Loading...
The URL can be used to link to this page
Your browser does not support the video tag.
Home
My WebLink
About
Agenda Packet_2023-08-01
City Council and Housing Authority Meeting Packet August 1, 2023 CLOSED SESSION MEETING - 4:30 PM REGULAR OPEN MEETING - 5:30 PM (Immediately following the Closed Session Meeting) CITY COUNCIL CHAMBER 22 Civic Center Plaza Santa Ana, CA 92701 4 Valerie Amezcua Mayor Thai Viet Phan Councilmember —Ward 1 Jessie Lopez Mayor Pro Tem - Ward 3 Johnathan Ryan Hernandez Councilmember - Ward 5 Benjamin Vazquez Councilmember - Ward 2 Phil Bacerra Councilmember - Ward 4 David Penaloza Councilmember - Ward 6 Mayor and Council telephone: 714-647-6900 Agenda item inquiries: 714-647-6520 Sonia R. Carvalho Kristine Ridge City Attorney City Manager Jennifer L. Hall City Clerk In compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting, ®contact Michael Ortiz, City ADA Program Coordinator, at (714) 647-5624. Notification 48 hours prior to the Meeting will enable the City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supporting documentation can be found on the City's website — www.santa-ana.org/city-meetings. City Council 1 8/1/2023 CITY VISION AND CODE OF ETHICS The City of Santa Ana is committed to achieving a shared vision for the organization and its community. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtful and inclusive process designed to set the City and organization on a course that meets the challenges of today and tomorrow, as follows: Vision - The dynamic center of Orange County which is acclaimed for our: Investment in youth • Safe and healthy community • Neighborhood pride • Thriving economic climate - Enriched and diverse culture • Quality government services Mission - To deliver efficient public services in partnership with our community which ensures public safety, a prosperous economic environment, opportunities for our youth, and a high quality of life for residents. Guiding Principles - Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility - Innovation • Transparency Code of Ethics and Conduct - At the Special Municipal Election held on February 5, 2008, voters approved an amendment to the City Charter which established the Code of Ethics and Conduct for elected officials and members of appointed boards, commissions, and committees to assure public confidence. The following are the core values expressed: - Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • Efficiency City Council 2 8/1/2023 Members of the public may attend the City Council meeting in -person or join via Zoom. The City Council meeting will occur live via teleconference Zoom webinar. You may view the meeting from your computer, tablet or smart phone via YouTube LiveStream at www.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3. PUBLIC COMMENTS — Members of the public who wish to address the City Council on closed session items, items on the regular agenda or on matters which are not on the agenda, but are within the subject matter jurisdiction of the City Council may do so by one of the following ways: • MAILING OPTION written communications — Public comments may be mailed to: Office of the City Clerk, 20 Civic Center Plaza M-30, Santa Ana, CA 92701. All written communications received via mail by 4:00 p.m. on the day of the meeting will be distributed to the City Council and imaged into the City's document archive system which is available for public review. • SENDING E-MAIL OPTION — Public comments may be sent via email to the City Clerk's office at eComment(a)santa-ana.org. Please note the agenda item you are commenting on in the subject line of the email. All emails received two (2) hours before the scheduled start of the meeting will be distributed to the City Council and imaged into the City's document archive system which is available for public review. • LIVE VIRTUAL OPTION — Members of the public may provide live comments during the meeting by Zoom or Conference Call. To join by Zoom click on or type the following address into your web browser https://us02web.zoom.us/j/315965149. To join the Conference Call: Dial (669) 900-9128 and enter MEETING ID: 315 965 149#. You will be prompted by the City Clerk when it is time for a: i) closed session item, ii) general agenda item, iii) public hearing item, iv) special agenda item, or v) for Housing Authority item. You may request to speak by dialing *9 from your phone or you may virtually raise your hand from Zoom. After the Clerk confirms the last three digits of the caller's phone number or Zoom ID and unmutes them, the caller must press *6 or microphone icon to speak. Callers are encouraged, but not required, to identify themselves by name. Each caller will be provided three (3) minutes to speak, unless due to the number of speakers wanting to speak a decision is made to provide a different amount of time to speak. • IN -PERSON OPTION - Members of the public can provide in -person comments at the podium in the Council Chamber. The Council Chamber will have seating available for members of the public to attend the meeting in -person. Public comments are limited to three (3) minutes per speaker, unless a different time is announced by the presiding chair. Speakers who wish to address the Council must do so by submitting a "Request to Speak" card by 4:30 p.m. for Closed Session items and by 5:45 p.m. for all other designated public comment periods as listed below. Cards will not be accepted after the Public Comment Session begins without the permission of the presiding chair. The following designated public comment periods are: 1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS —You can provide live comments on closed session items by joining Zoom or the Conference Call as described in City Council 3 8/1/2023 the LIVE or IN -PERSON PUBLIC COMMENTS OPTION above. Speaker queue will open at 4:00 p.m. YOU MUST JOIN ZOOM OR THE CONFERENCE CALL BY 4:30 p.m. Speakers who are not in the speaker queue by 4:30 p.m. will not be permitted to speak. 2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON -AGENDA ITEMS (GENERAL PUBLIC COMMENT) — You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN -PERSON PUBLIC COMMENTS OPTION above. Speaker queue will open at 4:00 p.m. YOU MUST JOIN ZOOM OR THE CONFERENCE CALL PRIOR TO 5:45 p.m. Speakers who are not in the speaker queue by 5:45 p.m. will not be permitted to speak. 3. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS —You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN -PERSON PUBLIC COMMENTS OPTION above. Speakers not in the queue by 5:45 p.m. will not be permitted to speak. TRANSLATION SERVICES - Spanish interpreting services are provided at City Council meetings. Simultaneous Spanish interpretation is provided through the use of headsets and consecutive interpretation (Spanish -to -English) in addition to those wishing to address the City Council at the podium. La ciudad provee servicios de interpretacion all espanol en las juntas del Concilio. La interpretacion simultanea al espanol se ofrece por medio del use de audifonos y la interpretacion consecutiva (espanol a ingles) tambien esta disponible para cualquiera que desee dirigirse all concilio municipal en el podio. About the Agenda To download or view the attachments (staff report and other supporting documentation) for each agenda item, you must select the agenda item to see the attachments to either open in a new link (the eyeball or download a pdf (the cloud symbol with the down arrow ). City Council 4 8/1/2023 CLOSED SESSION CALL TO ORDER ATTENDANCE Council Members Mayor Pro Tern Mayor City Manager City Attorney City Clerk ROLL CALL Phil Bacerra Johnathan Ryan Hernandez David Penaloza Thai Viet Phan Benjamin Vazquez Jessie Lopez Valerie Amezcua Kristine Ridge Sonia R. Carvalho Jennifer L. Hall ADDITIONS\DELETIONS TO CLOSED SESSION PUBLIC COMMENTS — Members of the public may address the City Council on Closed Session items. RECESS — City Council will recess to Closed Session for the purpose of conducting regular City business. CLOSED SESSION ITEMS — The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: 1. CONFERENCE WITH LEGAL COUNSEL —INITIATION OF LITIGATION pursuant to paragraph (4) of subdivision (d) of Section 54956.9 of the Government Code: One (1) case Consideration of Amicus Support of Petition for Writ of Certiorari by the City of Costa Mesa to the United States Supreme Court for review of the Ninth Circuit Court of Appeals decision in SoCal Recovery, LLC et al. v. City of Costa Mesa, 56 F.4th 802 (9th Cir. 2023) 2. PUBLIC EMPLOYEE PERFORMANCE EVALUATION pursuant to Government Code Section 54957(b)(1) TITLES: City Manager, City Attorney, City Clerk City Council 5 8/1/2023 RECONVENE — City Council will reconvene to continue regular City business. City Council 6 8/1/2023 CITY COUNCIL REGULAR OPEN SESSION CALL TO ORDER ATTENDANCE Council Members Mayor Pro Tern Mayor City Manager City Attorney City Clerk ROLL CALL Phil Bacerra Johnathan Ryan Hernandez David Penaloza Thai Viet Phan Benjamin Vazquez Jessie Lopez Valerie Amezcua Kristine Ridge Sonia R. Carvalho Jennifer L. Hall PLEDGE OF ALLEGIANCE Mayor Amezcua WORDS OF INSPIRATION Reverend Frank Wilder, Our Lady of the Pillar Church ADDITIONS\DELETIONS TO THE AGENDA CEREMONIAL PRESENTATIONS 1. Certificate of Recognition presented by Mayor Amezcua to Everado Navarro for Outstanding Contributions to Public Safety. 2. Certificate of Recognition presented by Mayor Pro Tern Lopez to Mia Verdin for Outstanding Contributions to the Community. 3. Certificate of Recognition presented by Councilmember Bacerra to Carol Chapman Cox for Outstanding Contributions to the Community. 4. Proclamation declaring August 2023 as Chicano Heritage Month presented by Councilmember Hernandez to Sarinana's Tamale Factory. 5. Certificate of Recognition presented by Councilmember Vazquez to Jimmy Rumsey for Outstanding Contributions to the Community. CLOSED SESSION REPORT — The City Attorney will report on any action(s) from Closed Session. PUBLIC COMMENT — Public comments will be held during the beginning of the meeting for ALL comments on agenda and non -agenda items, with the exception of public hearings. Comments for public hearings will take place after the hearing is opened. CONSENT CALENDAR City Council 7 8/1/2023 RECOMMENDED ACTION: Approve staff recommendations on the following Consent Calendar Items: 6 through 22, and waive reading of all resolutions and ordinances. 6. Excused Absences Department(s): City Clerk's Office Recommended Action: Excuse the absent members. 7. Appoint Frida Ramirez Nominated by Councilmember Penaloza as the Ward 6 Representative to the Santa Ana 2018 Measure X Citizen Oversight Committee for a Full -Term Expiring December 8, 2026 Department(s): City Clerk's Office Recommended Action: Appoint Frida Ramirez to the Santa Ana 2018 Measure X Citizen Oversight Committee as the Ward 6 representative and administer the Oath of Office. 8. Receive and File Boards and Commissions Biannual Attendance Report for January through June 2023 Department(s): City Clerk's Office Recommended Action: Receive and file Boards and Commissions Biannual Attendance Report 9. Quarterly Report for Housing Division Projects and Activities for the period of April 1, 2023 to June 30, 2023 Department(s): Community Development Agency Recommended Action: Receive and file the Quarterly Report for Housing Division Projects and Activities for the period of April 1, 2023 to June 30, 2023 10. Update on Historic Street Sign Toppers -Informational Quick Reference (QR) Code Signs. Department(s): Planning and Building Agency Recommended Action: Receive and file an update on Historic Street Sign Toppers and informational Quick Reference (QR) code signs. 11. Amend Purchase Order Contract with All American Asphalt to Increase the Annual Amount by $200,000 for Asphalt Pothole Repair (Specification No. 18-092) (General Fund) Department(s): Public Works Agency Recommended Action: Approve an amendment to the Purchase Order Contract City Council 8 8/1/2023 with All American Asphalt, for asphalt pothole repair, to increase the compensation amount by $200,000, for a total annual amount not to exceed $1,400,000 for both the current two-year term that ends on November 30, 2023, and the two-year renewal term ending on November 30, 2025, subject to non -substantive changes approved by the City Manager and City Attorney. 12. Approve an Appropriation Adjustment and Capital Improvement Project Amendment for the Bristol -Tolliver Street Greening Project (Project No. 24-6600) (Non -General Fund) Department(s): Public Works Agency Recommended Action: 1. Approve an appropriation adjustment to recognize $3,502,500 in Urban Greening Grant Program funding from the California Natural Resources Agency into the Public Works Agency Enterprise Capital Grants, State Grant -Direct Revenue Account and appropriate the same amount into the Public Works -Water Quality and Control, Improvements Other Than Building expenditure account. (Requires five affirmative votes) 2. Approve an amendment to the Fiscal Year 2023-24 Capital Improvement Program to include $3,502,500 of funding from the California Natural Resources Agency Urban Greening Grant Program for the Bristol -Tolliver Street Urban Greening Project. 13. Approve Agreement with WSP USA Environment & Infrastructure Inc. for Industrial/Commercial Inspection and National Pollutant Discharge Elimination System (NPDES) Program Support Services (Non -General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with WSP USA Environment & Infrastructure Inc. to provide stormwater related inspections of industrial/commercial establishments and National Pollutant Discharge Elimination System Program Support Services for a three-year term beginning August 1, 2023 and expiring on July 31, 2026, with provisions for one two-year extension exercisable by the City Manager and City Attorney, for a total amount not to exceed $1,750,000 over the lifetime of the agreement, including the optional two-year extension period, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2023-XXX). 14. Approve Agreement with Stearns, Conrad & Schmidt, Consulting Engineers, Inc. to Conduct a Cost of Service Study for the Sanitation Services User Charge, in an Amount Not to Exceed $82,875 (Specification No. 23-029) (Non -General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute a consultant agreement with Stearns, Conrad & Schmidt, Consulting Engineers, Inc. to conduct a cost of service study in an amount not to exceed $82,875, including a contingency of City Council 9 8/1/2023 $16,575, for a three-year term beginning on August 1, 2023 and expiring July 31, 2026, with provision for one, two-year extension, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2023-XXX). 15. Approve an Agreement with LOC Architects for Professional Architectural Services for the Santa Ana Zoo Educational Hub and an Amendment to the Fiscal Year 2023- 2024 Capital Improvement Project 23-2601 (Non -General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with LOC Architects for professional architectural services for the Santa Ana Zoo Educational Hub Building project in the amount of $350,120 with a contingency amount of $35,000, for a total amount not to exceed $385,120, for a three-year term beginning August 1, 2023 and expiring July 31, 2026, with an option for one two-year extension, subject to non -substantive changes approved by the City Manager and the City Attorney (Agreement No. 2023-XXX). 2. Approve an amendment to the Fiscal Year 2023-2024 Capital Improvement Program to include $385,120 of funding for the Santa Ana Zoo Educational Hub project (Project No. 23-2601). 16. Approve Amendment to Agreement with Govern mentjobs.com dba NEOGOV to continue Recruitment and Onboarding Services (General Fund) Department(s): Human Resources Recommended Action: Authorize the City Manager to execute a First Amendment to the Agreement with NEOGOV to continue the services of Insight platform, Candidate Text Messaging, and eSkill Integration for a period of July 1, 2023 through June 30, 2024 with the option of one, one (1)-year renewal, for an additional amount of $50,000 over the two years (approximately $25,000 each year), subject to non - substantive changes approved by the City Manager and City Attorney (Agreement No. 2023-XXX). 17. Authorize the City to Retain Life, Accidental Death & Dismemberment (AD&D), and Long-term Disability (LTD) Insurance with The Standard Insurance Company, and approve Agreement with REACH Employee Assistance, Inc. for Employee Assistance Program Services Effective January 1, 2024 through December 31, 2026 Department(s): Human Resources Recommended Action: 1. Authorize the City to retain life, AD&D, and LTD disability group and voluntary life and AD&D insurances through The Standard Insurance Company, subject to annual competitive rate evaluation seeking the best service for the best price and non -substantive changes approved by the City Manager and City Attorney. 2. Authorize the City Manager to execute an Agreement with REACH Employee Assistance, Inc. ("REACH") to continue employee assistance program ("EAP") City Council 10 8/1/2023 services effective January 1, 2024 through December 31, 2026, subject to annual competitive rate evaluation seeking the best service for the best price and non - substantive changes approved by the City Manager and City Attorney (Agreement No. 2023-XXX). 18. Approve Renewal of Joint Powers Authority Agreement between the City of Santa Ana and Independent Cities Risk Management Authority (ICRMA), and Agreement between the City of Santa Ana and Arthur J. Gallagher and Approve Appropriation, Associated Insurance Premiums, Costs, Programs, and Regulatory Fees for an Amount Not to Exceed $11,625,000 (Non -General Fund) Department(s): Human Resources Recommended Action: 1. Authorize the City Manager to approve the Agreement between the City of Santa Ana ("City") and Arthur J. Gallagher, broker of record, from July 1, 2023 to June 30, 2024, for insurance brokerage services, subject to non - substantive changes approved by the City Manager and City Attorney (Agreement No. 2023-XXX). 2. Authorize the City Manager to approve payment of insurance premiums and associated programs to ICRMA in an amount not to exceed $7,500,000 protection of City assets, from July 1, 2023 to June 30, 2024 including but not limited to: a. Excess Liability Program b. Excess Workers' Compensation Program c. Auto Physical Damage Program d. Property and Equipment Program e. Crime Program f. Cyber Program g. Associated Programs 3. Authorize the City Manager to approve payment of insurance premiums to Arthur J. Gallagher, Broker, in an amount not to exceed $3,325,000 for ancillary coverages of City's assets, from July 1, 2023 to June 30, 2024 including but not limited to: a. General Liability Buffer Program b. Workers' Compensation Buffer Program c. Earth Movement & Flood and Difference in Coverage Program d. Terrorism Insurance Program e. Underground Storage Tank and Environmental Program 4. Authorize the City Manager to approve funding to cover FY 2023/24 City Special Events Insurance for events including but not limited to Fourth of July fireworks show, winter events, and other City -sponsored events as created and held, in an amount not to exceed $300,000. 5. Authorize the City Manager to approve the City's obligation to pay the State of California DIR estimated assessment in the amount not to exceed $500,000. 6. Approval of the Appropriation Adjustment will recognize $1,300,000 in Liability and Property Insurance Revenue, Prior Year Carryforward revenue account (No. 08009002-50001) and appropriate the same amount into the Liability & Property City Council 11 8/1/2023 insurance account (No. 08009051-64010). (Requires five affirmative votes) 19. Appropriation Adjustment and Memorandum of Understanding Accepting Fiscal Year (FY) 2022 Improving Criminal Justice Response to Domestic Violence, Dating Violence, Sexual Assault, and Stalking Grant Program Funds Department(s): Police Department Recommended Action: 1. Approve an appropriation adjustment recognizing $210,000 in grant revenue from the U.S. Department of Justice Grants and appropriate same to the Office on Violence Against Women Improving Criminal Justice Response expenditure account. (Requires five affirmative votes) 2. Authorize the City Manager to execute a Memorandum of Understanding with Human Options, Inc. accepting the FY 2022 Improving Criminal Justice Response to Domestic Violence, Dating Violence, Sexual Assault, and Stalking Grant in the amount of $210,000, for the period of October 1, 2022 through September 30, 2025, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2023-XXX). 20. Adopt Resolution Appointing the Executive Director of Finance as Plan Administrator for Employee Savings Plans Department(s): Finance and Management Services Recommended Action: Adopt a resolution appointing the Executive Director of Finance as plan administer of the 457(b) Deferred Compensation Plan, the 401(a) Retirement Savings Plan, and the 401(h) Retirement Health Savings Plan. RESOLUTION NO. 2023-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING RESOLUTIONS 2011-024 AND 2016-053 AND APPOINTING THE EXECUTIVE DIRECTOR OF THE FINANCE AND MANAGEMENT SERVICES AGENCY AS THE PLAN ADMINISTRATOR FOR THE CITY'S 457(B), 401(A) AND 401(H) PLANS 21. Adopt a Resolution for the Automated License Plate Reader Policy. Department(s): Public Works Agency Recommended Action: Adopt a Resolution for the Automated License Plate Reader Policy. RESOLUTION NO. 2023-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING THE CITY OF SANTA ANA AUTOMATED LICENSE PLATE READER (ALPR) POLICY FOR CONDUCTING PARKING STUDIES 22. Adoption of 2023 Local Guidelines for Implementing the California Environmental Quality Act ("CEQA") City Council 12 8/1/2023 Department(s): Planning and Building Agency Recommended Action: Adopt a resolution adopting the 2023 Local Guidelines for Implementing the California Environmental Quality Act for the City of Santa Ana. RESOLUTION NO. 2023-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING LOCAL CEQA GUIDELINES FOR IMPLEMENTING THE CALIFORNIA ENVIRONMENTAL QUALITY ACT (PUBLIC RESOURCES CODE SECTIONS 21000 ET SEQ.) **END OF CONSENT CALENDAR** I BUSINESS CALENDAR 23. Adopt a Resolution and Approve an Agreement Authorizing Police Corporal Joshua Gripentrog to Purchase a Retired Santa Ana Police Department K-9, and Accepting the Donation of a Police K-9 from Johanna Scillieri for the Santa Ana Police Department K-9 Program Department(s): Police Department Recommended Action: 1. Adopt a resolution authorizing the purchase agreement between Santa Ana Police Corporal Joshua Gripentrog and the City of Santa Ana for the sale of a retired Santa Ana Police Department K-9, and accepting the donation of a Police K-9, equipment, and supplies from Johanna Scillieri for the Santa Ana Police Department's K-9 Program. RESOLUTION NO. 2023-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE AGREEMENT BETWEEN POLICE OFFICER GRIPENTROG AND THE CITY OF SANTA ANA RELATING TO THE PURCHASE OF A POLICE K-9 AND ACCEPTING THE DONATION OF A POLICE K-9, EQUIPMENT AND SUPPLIES FROM JOHANNA SCILLIERI FOR THE SANTA ANA POLICE DEPARTMENT K-9 PROGRAM 2. Authorize the City Manager to execute a purchase agreement with Santa Ana Police Corporal Joshua Gripentrog for the sale of a retired Police Department K-9 in the amount of $1, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2023-XXX). 24. Accept the Certificate of Sufficiency for Petition to Recall Councilmember Jessie Lopez, City Council, Ward 3, and Either Adopt Resolutions Calling a Special Election and Adopting a Regulation for Officer's Statement or Direct Staff to Prepare Resolutions Calling a Special Election and Adopting a Regulation for Officer's Statement for Consideration at the August 15, 2023 City Council Meeting Department(s): City Clerk's Office City Council 13 8/1/2023 Recommended Action: 1. Approve resolution accepting the certification of the Orange County Registrar of Voters as to the verification of signatures and the City Clerk's Certificate of Sufficiency for petition seeking to recall Councilmember Jessie Lopez, City Council, Ward 3; RESOLUTION NO. 2023-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ACCEPTING THE CERTIFICATE AS TO VERIFICATION OF SIGNATURES ON PETITION AND CERTIFICATE OF SUFFICIENCY FOR PETITION TO RECALL COUNCILMEMBER JESSIE LOPEZ Following acceptance of the certification, take one of the following actions: 2. Approve two resolutions: 1) calling and giving notice of a Special Municipal Election for the submission of the question of the recall of Councilmember Jessie Lopez to a vote by the electorate of Ward 3 of the City of Santa Ana and requesting specified services from the County of Orange to conduct said election, RESOLUTION NO. 2023-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, CALLING AND GIVING NOTICE OF THE HOLDING OF A SPECIAL MUNICIPAL ELECTION TO BE HELD IN COUNCIL WARD 3 ON TUESDAY, 12023 FOR SUBMISSION OF THE QUESTION OF THE RECALL OF CERTAIN OFFICERS AND REQUESTING SPECIFIED SERVICES FROM THE COUNTY OF ORANGE TO CONDUCT SAID ELECTION; and 2) adopting a regulation for officer's statement and establishing a system for payment of the cost of inclusion of the statement in the voter information guide. RESOLUTION NO. 2023-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING A REGULATION FOR AN OFFICER WHOSE RECALL IS BEING SOUGHT PERTAINING TO A STATEMENT SUBMITTED TO THE VOTERS AT A SPECIAL ELECTION ON TUESDAY 12023 AND ESTABLISHING A SYSTEM FOR PAYMENT OF THE COST OF INCLUSION OF THE OFFICER'S STATEMENT IN VOTER INFORMATION GUIDE/PAMPHLET AND/OR ELECTRONIC COPY OR 3. Direct staff to prepare a resolution for approval at the August 15, 2023 Council meeting, submitting the question of the recall of Councilmember Jessie Lopez to a vote by the electorate of Ward 3 of the City of Santa Ana at a special election, and a resolution adopting a regulation for officer's statement. **END OF BUSINESS CALENDAR** COUNCILMEMBER REQUESTED ITEMS 25. Discuss and Consider Directing the City Manager to Re -consider Fees for Registering Events and Reserving Facilities to Create a Community -Friendly Atmosphere — Councilmember Hernandez City Council 14 8/1/2023 26. Discuss and Consider Directing the City Manager to Return for City Council's Consideration a Resolution in Support of AB1306 to Harmonize State Policy with Broadly -Supported, Existing Criminal -Justice Reforms — Councilmember Vazquez CITY MANAGER COMMENTS COUNCIL 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. ADJOURNMENT — Adjourn the City Council meeting and convene to the Housing Authority meeting. Future Items 1. Water Quality PFAS Presentation with Orange County Water District POSTING STATEMENT: On July 25, 2023, a true and correct copy of this agenda was posted at the entrance to City Hall, 20 Civic Center Plaza, Santa Ana, CA 92701. Internet Access to City Council, Agency, and Authority agendas and related material is available prior to meetings at santa-ana.org/city-meetings. City Council 15 8/1/2023 HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Vice Chair Chair City Manager City Attorney Recording Secretary ROLL CALL Phil Bacerra Johnathan Ryan Hernandez David Penaloza Thai Viet Phan Benjamin Vazquez Jessie Lopez Valerie Amezcua Kristine Ridge Sonia R. Carvalho Jennifer L. Hall ADDITIONS\DELETIONS TO THE HOUSING AUTHORITY AGENDA PUBLIC COMMENTS — Members of the public may address Housing Authority on items on the Housing Authority agenda. I CONSENT CALENDAR RECOMMENDED ACTION: Approve staff recommendations on the following Consent Calendar Items: 1 through 3. 1. Excused Absences Department(s): City Clerk's Office Recommended Action: Excuse the absent members. 2. Approve minutes of the Housing Authority special meeting of July 18, 2023. Department(s): City Clerk's Office Recommended Action: Approve minutes. 3. Quarterly Report for the Housing Choice Voucher Program for the Period of April 1, 2023 to June 30, 2023 Department(s): Community Development Agency Recommended Action: Receive and file the Quarterly Report for the Housing Choice Voucher Program for the period of April 1, 2023 to June 30, 2023 City Council 16 8/1/2023 **END OF CONSENT CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT — Adjourn the Housing Authority meeting. POSTING STATEMENT: On July 25, 2023, a true and correct copy of this agenda was posted at the entrance to City Hall, 20 Civic Center Plaza, Santa Ana, CA 92701. Internet Access to City Council, Agency, and Authority agendas and related material is available prior to meetings at santa-ana.org/city-meetings. City Council 17 8/1/2023 City Clerk Office www.santa-ana.org/city-clerks-office Item # 8 o`7, City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: Boards and Commissions Biannual Attendance Report AGENDA TITLE Receive and File Boards and Commissions Biannual Attendance Report for January through June 2023 RECOMMENDED ACTION Receive and file Boards and Commissions Biannual Attendance Report DISCUSSION The Boards and Commissions Attendance Report is prepared biannually to inform the City Council regarding member attendance at board and commission meetings. This report covers the period of January through June 2023. Pursuant to Santa Ana Municipal Code Section 2-326(c), if a member of a board or commission absents themselves from two (2) regular meetings of such board or commission, consecutively, unless by permission of such board or commission expressed in its official minutes, or fails to attend at least one-half (1/2) of the regular meetings of such board or commission within a calendar year, or is convicted of a crime involving moral turpitude, or ceases to be a resident of the City, the office shall become vacant and shall be so declared by the City Council. Should City Council find that any member of a board or commission meets the above noted absence thresholds, City Council may direct staff to return with an item declaring such vacancy and removing the board or commission member from their appointment. Any such vacancy would then be subject to appointment to fill the unexpired portion of the existing term, pursuant to Santa Ana Municipal Code Section 2- 326(b) and following the required noticing procedures of Government Code Section 54974(a). Vince Frazier, the Section 8 Tenant representative on the Community Development Commission, has missed every meeting, without notice, during this reporting period despite numerous and varied attempts by staff to contact him. City Council 8-1 8/1/2023 Boards and Commissions August 1, 2023 Page 2 Biannual Attendance Report ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. EXHIBIT(S) 1. Biannual Attendance Reports Submitted By: Jennifer Hall, City Clerk Approved By: Kristine Ridge, City Manager City Council 8-2 8/1/2023 CITY OF SANTA ANA BIANNUAL ATTENDANCE REPORT TO CITY COUNCIL (JANUARY 2023 THROUGH JUNE 2023) BOARD/COMMISSION NAME: Arts and Culture Commission EXHIBIT 1 MEMBER NAME JANUARY FEBRUARY MARCH APRIL MAY JUNE 19 16 16 20 18 15 Gallegos, Steve C U X C C Hernandez, Joese A X X A A X Lopez -Guerra, Susie N X U N N X MacNair, Robyn Rivera, Martha Russell, Deborah C E X X X X C E C E X X X Vu, Indigo L X X L L X ATTENDANCE KEY: X = Attended E = Excused Absence U = Unexcused Absence COMMENTS: Dr. Susie Lopez -Guerra was appointed by Mayor Amezcua on 1-17-23 Martha Rivera was appointed on 6-06-23 Dgpartment Head Signature Date City Council 8-3 8/1/2023 CITY OF SANTA ANA BIANNUAL ATTENDANCE REPORT TO CITY COUNCIL (JAN UARY 2023 — J U N E 2023) BOARD/COMMISSION NAME: COMMUNITY DEVELOPMENT COMMISSION MEMBER NAME JANUARY FEBRUARY MARCH APRIL MAY JUNE 25 22 22 26 24 28 Cornelious, Daniel X C X X C X Covington, Winston X A X X A X Frazier, Vince Gallegos, Claudio Le, Dang U E N C U X U X N C U X X Martinez, Irlanda X E E E E X Martinez Balbuena, Darlene X L X X L Mejia, Amalia X X E Padilla, Ana Laura Oliva, Jennifer X X D X X D X ATTENDANCE KEY: X = Attended E = Excused Absence U = Unexcused Absence COMMENTS: Amalia Mejia was appointed on 2/21/23 Claudio Gallegos was appointed on 6/20/23 Mepartmen i Head Signature Date City Council 8-4 8/1/2023 CITY OF SANTA ANA BIANNUAL ATTENDANCE REPORT TO CITY COUNCIL (January 2023 — June 2023) BOARDICOMMISSION NAME: Environmental and Transportation Advisory y Commission MEMBER NAME JANUARY Meeting Dates FEBRUARY Meeting Dates MARCH Meeting Dates APRIL Meeting Dates MAY Meeting Dates JUNE Meeting Dates 10 14 14 11 9 Canceled Alvarado, Mario X X X U Benninger, Carl X X X X X Escamilla, Manuel U Germain, Brian X X X E X Greensides, Nathaniel X X X X X McLoughlin, Janelle X X E U E Rohrbacher, Duane E X Romero, Dorian X X E X X Welker, Jannelle X X X X X ATTENDANCE KEY: X = Attended E = Excused Absence U = Unexcused Absence COMMENTS: *Mario Alvarado -first meeting 2/14123 **Manuel Escamilla-last meeting 1/10123 ***Duane Rohrbacher-last meeting 2/14/23 �-1 , K�"q �'Z, 7 l (PI Z3 Nabil Saba, P.E., Executive Director, Public Works Agency Date Pa IZP 7 of 1 City Council 8-5 8%1/2023 CITY OF SANTA ANA BIANNUAL ATTENDANCE REPORT TO CITY COUNCIL (January 2023 —,Tune 2023) SCARDICOMMISSION NAME: Historic Resource Commission 11 SIR, 1" 1! "N Mil� X X X X X E X X X X X E E X X X X X X X X X ATTENDANCE KEY: X = Attended E = Excused Absence U = Unexcused Absence City Council 8-6 8/1/2023 Form Continued E .3AfAYE1t - fti�eefEr Qates.. y �, .. i Y' [� T�fiea#trr .Dates I Mq••. � ttn .:[dates ..3 . - LI - y '! X� I § �videTinj`; atesF-.,:; 'f Ike' , 151.1.E S t`. ;>_ttlf din a P aa' fl E � Gates"'f ..` ay..�.�Ri ENfEE R NAME I 1 y I 1/0 t�nQ 'V yy , 3/Z hro eet�n Q Sf3 r,aGeeiin I 1�11'1I?M. G', ltUE �"' 4�.rv.i -. 1li�t !..t;-. .e�i' �•: n, t:.'S�'• ! � r.. ,f!• S.. x 3 e� F::r's�'rl '• {:.f '�Y: t '�i �, t.=ff;i., Yxiii;�Ei��iy;nyl�;n` 1,y:�eE� p�y(�I 1Fp�g ! �t1.f.L.i .,- t 'e 1:((M_sfi:tl. ri:'hi [ i l t fi i.7. .�1:i. E. rl a - y .b� :tt >c: 1 - -' r", nF�?':1- - s� � t;1 ew{'�>ir '"�!�,'..k.� ,•.a '•t�-FW 'Fi Fuj: `t )TF?1.�Pik t.�l Ia i. .GF+nvslS sWE(!� � i e H �' � '� a�.0 ^:I.v`h� =E[y! �f u�a �y, ,.11y��t l�E,l';: 11/�j}5`([j,,FYI, .r:n .rt.3,.' �.�I.I1 '�:!" 3r:3V L,>ss +fi � ', r.' ". *�; t�.fi �'i4' :�ii"wi�,�il 3(ua,'rFar.'1'ilr. :-se! f sul�t3 . ..liF3i "'.d::G� A N:1 "' .�.-! 1'Lt <p.. i. s^f �Erini�'�Y�(r��7j�F. � 1 � 1 T �E�F.E.:,vlG.wrh�n-!l�.liy{!�'� - €4� GL' ' j.1i-:Y~',i5 �, lul� aFm' is ',� � '�.�7f•4'i S{y,; `S. � F],�,y ;;—eipi?� . ii.,e- .., 3 .• - Y ` - l�r:r' fa enln :tef ?I i ijw � y'MIF"t, ���Itr. . ri ,�i".t'�at�_ S._f! -tt��•,i,F- snYnfyy�!!}}., )f l�^l�t!j F }Fi pry .li lE`)•Cir •!�'IvY �3l Pqk}i7lii " "i:. �14 liy 3E ::�.o! e.\1� - 4 ,f i!^N`^tueli.FS Ph '� ev •rslFttYi fyH, ry,,.. idtfx F1tF3K1.•9i>P. •,t q, ?+f3 F'}n:,.pf {i,i �.1�"re� �� gitA}�j-v]�HiYf ".y. sr.gRFa1f' 12 i 1 .nr.:3.-¢..fe.��.r.�A tslifiF'.6) Fi:F:�E.nF� {.til 1WJ .n f v'.�. ..f....F..:i'tiY... "K•.�r; �"' .ri!, .571' 4�v 'ii`} �fi �{:•- .�n's:a.,.G.........rr'� .Y1..�,�io::.F lFi ,FLh if ! ! �[i ii e _oils X X X ��l�Aif5��,Jf�:...•`� i.ES;i�°'!� <ih4 !�lLI! jKhri rn_I �fst n of i,.t_S ,IIyj43r�?kf X )MR'�1 F�ali9fti .!I A I I i_NUANUL KtY: A = Attended E = Excused Absence U = Unexcused Absence COMMENTS: Historic Resource Commission is held on the first Thursday of every two months Sandra Pena Sarmiento's last meeting was on 1119; Ginelle Hardy replaced her. Mark McLoughlin's last meeting was on 312; Manuel J. Escamilla replaced him. July 12, 2023 Department Head Signature Date ATTENDANCE KEY: X = Attended E = Excused Absence U = Unexcused Absence City Council 8-7 8/1/2023 CITY OF SANITA ANA BIANNUAL ATTENDANCE REPORT TO CITY COUNCIL (January 2023 — June 2023) Measure X Citizen Oversight Cominittee BQARDICOMMISSION NAME: JANUARY FEBRUARY',` MARCH { ) APRIL;:!_ :. E !t�eetirs Dates MeetingDates Meeting Datesleeting Cues Meeting Qates Meeting;i7ates, T,� =r iM1�l 1EER NAMF-. } t'd Inr��Y�'E„ X X NIA �5�L�yi„�v E b�c a3E E antC vet3d r X ' NIA NIA eis d1.FV.,a.. t �g ir.-�°A-9d�S��i 4is E X N/A t�IgMuti L�rnkx lrl (-rRmp"�l3 r ?t'.�4c�ii, �dan�nuhd?u:E.k'i!?G[t;3n .;E •. 5-:..:!`....., 3mfig zo�}�uj�i'��t�+�-�3�rii X NIA }�Igg X I NIA NIA �1 p °p�!'Siv01 '�'��k9y'W Ak�i4i£�ARF� I�:.PRRR�i'P�H".�Ir�,. r-L• i3 � • 3 `ifi tq s sri..j "I'm i t5 .r6 :,i�:r7n!5i.a.r:-RE.e:�c;i�:;ei�r%liili:<,•.:ii!a3} 9 i _ 9�' �a5f�ei�Pert�� !§ { N/A X jjE[f` NIA �J' 1 .uuq��.��7��}1}yty� `]}�U!£ x��f1, d�fCfi�tSyUi! i'i f.�5413 "4 , 401It qmm' �'j € ���. $%a6�€hi i'�i1tP €Itifhlq? go i£'TH HEN RIsE aC3�: } 6�:mIIIIII:;?}`ii�un�•�u3�?::�i;:i';-,'t:,!E':e3ti �reHti.::.t.t:+es�z•itl{r.�.�Js�.ts�ri•�'s�r '. �2.; ,:s�E"��9t9�•.�pp � F;i;fyy!%ti5r + �'tr,��''-.��n.rt -��++ ;;.((1, �w�,,,a�: 3f� iNifi�U•5r�� �"��'9i�:FV7�t��'.JY !�i%�'i!�,�':" (':YM�d : �SS�Si#j'; lyry-��Fc,`AI-Vrr�g1�q¢ �3 VyyP�r9n�� 1�.1��C�Y>V�X a # i4�E��•i 11, W W u3 GSia, ' ��FIIi Y �I�K Fitit' i'��!n�'. ATTENDANCE KEY: X = Attended E : Excused Absence U = Unexcused Absence Page 1 of 2 City Council 8-8 8/1/2023 Fnrm CnntintiAd Rlii"M;APWNIlcsX OR J�91M N3,P v g w tR2. V P iv • j ATTENDANCE KEY: X = Attended E = Excused Absence U = Unexcused Absence COMMENTS: Darlene Perez was not a member until the March 8th meeting. Abigail Landaverde & Carlos Perea's last meeting was January 18th. The June 14ti' meeting was cancelled due to lack of a quorum. Department Head Signature Date Page 2 of 2 City Council 8-9 8/1/2023 CITY OF SANTA ANA S,IANNU.4,L ATTENDANCE REPORT TO CITY COUNCIL (January 2023 — june 2023) BOARDICOMMISSION NAME: -9 1Zl — I Czw NJ�E,d'iy JANlJARY MEMBER NAME Ming Dates FirBRUARY Meeting Dates MARCH Meeting Dates Ai?RIL Meeting Dates MAY JUNE Meeting Dates Meeting Dates X3 LK V � I L •— 1 a S,kE cz, mwx-c%,cfeS ATTENDANCE KEY: X = Attended E = Excused Absence U = Unexcused Absence Page 1 of 2 City Council 8 — 10 8/1/2023 Form Conti MEMBER NAME OCTOBER NOVEMBER DECEMBER JANUARY FEBRUARY MARCH Meeting Dates Meeting Dates Meeting Dates Meeting Dates Meeting Dates Meeting Dates I I I ATTENDANCE KEY: X = Attended E = Excused Absence U = Unexcused Absence COMMENTS: Page 2 of 2 City Council 8 —11 8/1/2023 CITY OF SANTA ANA BIANNUAL ATTENDANCE REPORT TO CITY COUNCIL (January 2023 — June 2023) BOAR DICOMMISSION NAME: Personnel Board JANUARY FEBRUARY MARCH APRIL MAY JUNE MEMBER NAME Meeting Dates Meeting Dates Meeting Dates Meeting Dates Meeting Dates Meeting Dates 2 9 14 15 11 9 22 5 8 13 Gabriela Hernandez - Castillo X X X X X X X X X X Angie Rivera X X X X X E X X X X Berenice Ballinas X X E X X X X X X X Nellieann LeGaspe X X X X X X X X X X Michelle Cisneros X X E E E X Ernesto Gomez X E X E X X E E E X David Crockett X E X X E E E X ATTENDANCE KEY: X = Attended E = Excused Absence U = Unexcused Absence COMMENTS: Board Member Michelle Cisneros began term on 312112023; Board Member David Crockett began term on 31712023; Board Member Ernesto Gomez began term on 1/17/2023 -7�1--- 0 6 ,-76 l L-7 lent Head Signature City Council 8 — 12 8/ /2023 CITY OF SANTA ANA BIANNUAL ATTENDANCE REPORT TO CITY COUNCIL (January 2023 — June 2023) BOARD/COMMISSION NAME: PLANNING COMMISSION JANUARY FEBRUARY MARCH APRIL MAY JUNE Meeting Dates Meeting Dates Meeting Dates Meeting Dates Meeting Dates Meeting Dates MEMBER NAME 1/9 1/23 2/13 2127 3/13 3/27 4/10 4/24 5/8 5/22 6/12 6/26 Meeting Meeting Meeting Meeting Meeting Canceled Canceled Canceled Canceled Canceled Bao Pham X E X X X X X Jennifer Oliva X X X X E X X Christopher Leo X X X X X X X Isuri S. Ramos X X E X X X X Manuel Escamilla X X X X X X X Mark McLoughlin X X X X Alan Woo X X X X X X X Carl Benninger X X X ATTENDANCE KEY: X = Attended E = Excused Absence U = Unexcused Absence City Council 8 — 13 8/1/2023 Form Continued OCTOBER Meeting Dates NOVEMBER Meeting Dates DECEMBER Meeting Dates JANUARY Meeting Dates i=EBRUARY Meeting Dates MARCH Meeting Dates MEMBER NAME -T i ATTENDANCE KEY: X = Attended E = Excused Absence U = Unexciused Absence COMMENTS: Carl Benninger was appointed in April and his first Commission meeting was on 51812023. Mark McLoughlin was succeeded by Carl Benninger, and his last Commission meeting was on 412412023. Department Head Signature ATTENDANCE KEY: X = Attended E = Excused Absence U = Unexcused Absence City Council 8 — 14 July 12, 2023 Date 8/1 /2023 CITY OF SANTA ANA BIANNUAL ATTENDANCE REPORT TO CITY COUNCIL (JANUARY 2023 THROUGH JUNE 2023) BOARD/COMMISSION NAME: Workforce Development Board MEMBER NAME JANUARY FEBRUARY MARCH APRIL MAY JUNE 19 DARK 16 DARK 18 DARK Alegre, Ignacio X X X X X C A N C A N Araujo, Gail Beasley Brent Campos, Daisy Elliot, David Haley, Jack Knitter, Marjorie Korthuis, Patrick E X X C C Lopez, Maria Rosa X E X E E L E L Loubet, Pierre Nery, Annebelle Perez, Enrique Rivera, Johanna X E E Ruiz, Robert Tucker, Bob X X D D Varnum, Dennis X ATTENDANCE KEY: X = Attended Comments: E = Excused Absence C Department Head Signature U = Unexcused Absence -71 Date City Council 8 — 15 8/1/2023 CITY OF SiANTA ANA BIANNUAL ATTENDANCE DEPORT TO CITY COUNCIL (January 2023 — june 2023) BQARDlQOMPJfISS[ON NAME_ Y—KM4�� ,�}l1EU�RY. F�RUARYHFIL +Meeting ©aces . .... Ong Dues Y-\— i►�eetu�g Dates U = Unexcused AF-w' : Meeten Dates.: MAY JUiVE Mr;gtir�g' Dates ' Pr!l efiing. .: MEM'3ER'NAfiW' . ' . Dates: Lfi�pti� I MIN-46fk. -Gil a ATTENDANCE KEY: X = Attended E = Excused Absence Absence 2 Page 1 of City Council 8 — 16 8/1/2023 Form Continued MEMBER NAME OCTOBER Meeting Dates NOVEMBER Meeting Dates DiECEMBER Meeting Dates JANUARY -Meeting Dates FEBRUARY Meeting Dates MARCH Meeting Dates ATTENDANCE KEY: X 2 Attended E = Excused Absence U = Unexcused Absence COMMENTS: —7/c3/,2_3 Page 2 of 2 City Council 8 — 17 8/1/2023 ') Community Development Agency .; santa-ana.org/community-development Item # 9 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: Housing Division Quarterly Report AGENDA TITLE Quarterly Report for Housing Division Projects and Activities for the period of April 1, 2023 to June 30, 2023 RECOMMENDED ACTION Receive and file the Quarterly Report for Housing Division Projects and Activities for the period of April 1, 2023 to June 30, 2023 DISCUSSION This report for the quarter ending on June 30, 2023 provides information for all of the affordable housing projects and activities for the City's Housing Division. The report is divided into seven (7) sections: Loan Activity, Loan Portfolio Management and Monitoring, Density Bonus Housing Agreements, Development Impact Fee Deferral Agreements, Rent Stabilization Program, Affordable Housing Opportunity and Creation Ordinance, and Development Projects. Loan Activity Applications The Housing Division offers several different programs including down payment assistance for first-time homebuyers and rehabilitation grants for mobile homes and single-family homes. Inquiries are received from the public and applications are mailed out, received, and approved for these programs on a continual basis. Table 1 shows the number of inquiries, applications sent out, received, and approved by type for the quarter and for the total fiscal year: Table 1: Applications Sent Out, Received and Approved Inquiries Applications Applications Applications Program Sent Out Received Approved Q4 Total Q4 Total Q4 Total Q4 Total FY FY FY FY Residential Rehabilitation 0 80 0 50 0 25 0 15 Grant Program Down Payment 18 141 10 133 8 25 5 16 Assistance Program Loan Subordinations 0 0 0 0 0 0 0 0 City Council 9-1 8/1/2023 Housing Division Quarterly Report August 1, 2023 Page 2 The number of applications received is typically lower than the number of applications sent out in any given period due to the stringent program guidelines for eligibility regulated by the federal government, which makes it difficult for most applicants to qualify. The City of Santa Ana's Residential Rehabilitation Grant Program is designed to improve and preserve affordable housing through the use of federal Community Development Block Grant (CDBG) funds. The Program is administered by Habitat for Humanity of Orange County on behalf of the City. The Program provides grants of up to $25,000 for eligible home repairs for low-income homeowners at or below 80% of the Area Median Income (AMI) as defined by the U.S. Department of Housing and Urban Development (HUD). Eligible activities include the repair, replacement, and/or installation of major systems including plumbing, heating, electrical, windows, roof, paint, and handicap accessibility. There were no inquiries or applications sent and/or received for the grant program during this quarter. Seven (7) rehabilitation projects were completed during this Fiscal Year. The Fiscal Year 2023-24 funding for this program was renewed by City Council on May 2, 2023 and applications are currently being accepted. Down Payment Assistance Loan Program Progress For the Down Payment Assistance Loan Program (DPAP), staff evaluates applicant eligibility and oversees underwriting to ensure compliance with program guidelines and requirements established by HUD. During this quarter, staff conducted the following outreach and education on the program: • Staff conducted two (2) virtual workshops via Zoom together with NeighborWorks of Orange County with a total of 48 attendees. These workshops are conducted every second Tuesday of the month. • Staff participated in one First Time Homebuyer Workshop sponsored by Councilmember Phan. In total, four (4) professionals and eight (8) residents attended the workshop to get information on how to qualify for the City's Down Payment Assistance Loan Program. • On June 10, staff participated in a First -Time Homebuyer Fair hosted by Orange County Community Housing Corporation at Santa Ana College. The event included other homebuying professionals and lenders that provided booths and informational lectures. Staff provided program materials and spoke about the program to all attendees. The event welcomed around 150 people. • On June 28, staff provided a Spanish language Down Payment Assistance and Affordable Housing Workshop at Latino Health Access. This workshop was attended by 14 residents. As a result of these efforts, five (5) down payment assistance loan applications were approved and five (5) closed escrow. City Council 9-2 8/1/2023 Housing Division Quarterly Report August 1, 2023 Page 3 Loan Portfolio Management & Monitoring The Housing Division is responsible for managing the residential loan portfolio, which includes all of the loans entered into by the City and Housing Authority acting as the Housing Successor Agency. As of the end of the fourth quarter, the principal balance was $149,153,321. This portfolio is comprised of 341 loans of which 319 are deferred or residual receipt payment loans. As shown in Table 2, the loan portfolio generated $464,827.98 in payments of principal and interest during the fourth quarter. The amount of residual receipts payments changes every quarter. Table 2: Portfolio Revenue HOME CDBG Redevelopment NSP Loan Payoffs $0 $0 $30,000.00 $0 Residual Receipts $98134.72 $0 $206,463.18 $96,892.26 Payments Amortized Loan $8,013.80 $3,402.13 $21,921.89 $0 Payments Total for Q4 $1063148.52 $3,402.13 $258,385.07 $96,892.26 Monitoring As part of the requirements for these loans, staff must monitor the owner -occupancy of single-family homes that have received loans and the building code compliance of units in rental projects with long-term affordability covenants. During this quarter, 38 owner - occupancy recertification letters were mailed and 24 were returned and processed. This number includes letters sent from previous months. Staff also conducted a total of 414 inspections during this quarter. Density Bonus Agreements The California Density Bonus law allows developers proposing five (5) or more residential units to seek increases in base density for providing on -site housing units in exchange for providing affordable units on site. To help make constructing on -site affordable units feasible, the law allows developers to seek up to three (3) incentives/concessions and an unlimited number of waivers, which are variances from development standards that would help the project be built without significant burden and without detriment to public health. The first version of the Density Bonus Law was adopted in 1979 and has since been amended at various times. Recent revisions allow affordable housing developers to request incentives/concessions and/or waivers for 100-percent affordable developments, even if they do not require a numerical density bonus. Moreover, in early 2017, the law was amended to restrict the ability of local jurisdictions to require studies to "justify" the density bonus and requested incentives/waivers and places the responsibility on local jurisdictions to prove that the incentives/concessions or waivers are not financially warranted. As of the date of this report, the City of Santa Ana has entered into the following Density Bonus Agreements: City Council 9-3 8/1/2023 Housing Division Quarterly Report August 1, 2023 Page 4 Date of Agreement Housing Development Address Affordable Units 415 rental units restricted October 2018 Metro East Senior Park 2222 E. First St. for very low income and low income or senior tenants 2110, 2114 and 2020 E. 547 rental units restricted August 2018 First Point I & II Apartments First St. for very low income and low income tenants 92 rental units restricted February 2019 Legacy Square 609 North Spurgeon St. for very low income and low income tenants 11 rental units restricted November 2019 The Rafferty 114 & 117 E. Fifth St. for very low income tenants 801, 807, 809 16 permanent supportive December 2021 FX Residences and 809 /2 housing units East Santa Ana Blvd June 2022 WISEPlace 1411 N. Broadway 47 permanent supportive housing units Brandywine Acquisition 4 townhomes restricted for August 2022 Group 1814 & 1818 E. First St. sale to moderate -income buyers Development Impact Fee Deferral Agreements Development impact fees are a one-time charge to new developments imposed under the Mitigation Fee Act. These fees are charged to new developments to mitigate impacts resulting from the development activity and cannot be used to fund existing deficiencies. This means that for improvements that benefit existing as well as new development, impact fees can only pay for the portion of the improvement that benefits the new uses. Impact fees must be adopted based on findings of a reasonable relationship between the development paying the fee, the size of the fee, and the use of fee revenues. Development impact fees do not require voter approval and are commonly used by cities to address the impact of new development on schools, parks, transportation, etc. Prior to issuance of any building permits, the City currently requires the payment of various development impact fees. However, affordable housing developers may submit a request to defer specific development impact fees for their property pursuant to California Government Code section 66007. The City and owner then execute a Development Impact Fee Deferral Agreement to defer certain development impact fees applicable to the property and place a lien on the property to secure payment of these fees, which are due before the issuance of the certificate of occupancy or the final building check. As of the date of this report, the City has entered into the following outstanding Development Impact Fee Deferral Agreements that are pending payment: Date of Agreement Developer Housing Development Address Estimated Total Fees Due December 2021 Shelter Providers of 802, 809, 809'/2 East $510,000 Orange County Santa Ana Blvd. July 2022 Washington Santa Ana 1126 &1146 E. $652,717 Housing Partners Washington Ave. City Council 9-4 8/1/2023 Housing Division Quarterly Report August 1, 2023 Page 5 Rent Stabilization Program Effective November 18, 2022, the City Council adopted an amended Rent Stabilization and Just Cause Eviction Ordinance (Ordinance) that included a number of changes. The amended Ordinance expands the administration and enforcement of renter protections for Santa Ana residents by establishing a rental housing board and a rental registry program. The amended Ordinance also includes additional petitions for tenants and landlords, voluntary mediation services, and other enhancements. The City has prepared user-friendly information on the Ordinance for both tenants and landlords on the City's webpage, including the full Ordinance and answers to Frequently Asked Questions in English, Spanish, and Vietnamese. Tenants and landlords are encouraged to to receive the latest updates. Program Updates: The City of Santa Ana continues to work with RSG, Inc. on the long-term implementation of the Ordinance. This project has met many critical milestones over the course of Quarter 4 (Q4). Staff, in partnership with Revenue and Cost Specialists (RCS), conducted a comprehensive fee study to determine appropriate program fees to recover all program costs associated with services provided under the Ordinance. The Rental Registry Fee was approved in the FY 2023-24 Miscellaneous Fee Schedule. Additionally, the City Council approved the City's new Rent Stabilization Division in the City's FY 2023-24 Annual Budget to administer the Ordinance. Staff, in partnership with 3Di, Inc., worked to implement a rental registry portal that supports the Ordinance. In Q4, staff worked with the consultant on a weekly basis to configure the portal where property owners will register rental units, update rental unit information, update tenancy information, submit notices, and pay the City's rental registry fee. Staff also worked with the Finance and Management Services Agency to ensure the City will be able to collect, allocate, process, and utilize rental registry fees for the administration of the Ordinance. Staff conducted targeted outreach in partnership with Santa Ana Unified School District, neighborhood associations, non -profits who work with low-income residents, and at local laundromats in an effort to strengthen the way we engage with our community. In addition to the progress made towards the long-term implementation of the Rent Stabilization Program, staff has continued to serve the community in the following ways throughout Q4: • Reviewed and made continuous improvements to the layout, content, and forms on the Renter Protections webpage for easier access and understanding. • Published new information on the City's webpage, including the Notice of Allowable Rent Increase, Fair Return Petition, Capital Improvement Petition, and Tenant Petition to ensure compliance with the City's Ordinance. City Council 9-5 8/1/2023 Housing Division Quarterly Report August 1, 2023 Page 6 Created a new website for the City's monthly Rent Stabilization Newsletter, increasing access to residents who need the newsletter translated into another language. Fielded calls and emails from the public and provided information, referrals, and education to renters and property owners on the City's Ordinance. Collected notices from landlords to monitor for compliance with the Ordinance. Residents Served: During this quarter, staff and RSG fielded calls from the public and provided information and education to renters and property owners on the Ordinance. A breakdown of the number of inquiries is as follows: Month # of Inquiries April 2023 93 May 2023 101 June 2023 103 Total 297 The City requires that when changing the terms of a tenancy, an owner must submit proof of service to the City as evidence that the owner has complied with noticing requirements. A breakdown of the number of notices received is as follows: Month # of Notices April 2023 29 May 2023 76 June 2023 48 Total 153 Staff also conducted one (1) workshop in partnership with Latino Health Access: Month # of Registrants May 17, 2023 41 Total 41 The City regularly distributes important updates and information to Santa Ana residents. During this quarter, staff informed the public of programmatic updates via social media, newsletters, and email distribution lists, reaching a total of 10,147 Santa Ana residents. Available Funds and Land Assets for Affordable Housing Development Projects The City of Santa Ana and the Housing Authority, acting as the Housing Successor Agency, manages multiple sources of local, state, and federal funds to develop affordable housing. Exhibit 1 provides a summary of the funds available as of June 30, 2023. City Council 9-6 8/1/2023 Housing Division Quarterly Report August 1, 2023 Page 7 Affordable Housing Opportunity and Creation Ordinance On -Site Development: Since 2011, a total of 33 units have been developed on -site as a result of the Affordable Housing Opportunity and Creation Ordinance, including 23 ownership units for -sale and 10 rental units: Units Built On -Site Ownership Rental Total 23 10 33 In -Lieu Fees Generated: All in -lieu fees, penalties, and other monies collected pursuant to the Ordinance, including interest, are deposited into the Inclusionary Housing Fund. Since inception, the Inclusionary Housing Fund has generated $28,443,446 to be used for the development of housing affordable to low- and moderate -income households, with a reasonable amount spent on administrative or related expenses associated with the administration of the Ordinance. Inclusionary Housing In -lieu Fees Received per Fiscal Year FYs 2009-2017 FY 17/18 FY 18/19 FY 19/20 FY 20/21 FY 21 /22 FY 22/23 $7,851,002 $2,712,304 $7,236,945 $0 $3,709,875 $6,933,320 $0 In -lieu fees generated have been used to develop new affordable homeownership and rental housing opportunities as well as provide emergency shelter. Below is a summary of how in -lieu fees have been used by the City: Project Inclusionary Housing # of Units Address Funds SPENT Santa Ana Arts $4,775,000 57 1666 N. Main Street Collective La Placita Cinco $1,300,000 50 2239 West 5th Street The Link Interim $4,140,295 N/A 2320 S Redhill Avenue Emergency Shelter Westview House $1,514,113 84 2530 and 2534 Westminster Avenue Habitat for Humanity "Lacy $565,271 2 826 N. Lacy Street & & Vance" 830 N. Lacy Street WISEPlace Steps to Independence Public $90,000 N/A N/A Service Program TOTAL $12,384,679 193 City Council 9-7 8/1/2023 Housing Division Quarterly Report August 1, 2023 Page 8 Project Inclusionary Housing # of Units Address Funds COMMITTED Habitat for Humanity "Washington $2,200,000 6 1921 W. Washington Street" Ave. Down Payment $1,250,000 N/A N/A Assistance TOTAL $3,450,000 6 Affordable Housing Development Projects There are six (6) affordable housing projects under construction and one (1) affordable housing project in pre -development. During this quarter, Legacy Square completed its construction and a final certificate of occupancy was issued. Below is a brief summary and status -update for each project. Exhibit 2 provides a development timeline for each project. The most recent RFP for Affordable Housing Development was issued on December 8, 2021 and closed on February 28, 2022. WISEPlace Permanent Supportive Housing and Habitat for Humanity of Orange County were awarded pre - commitment letters. Projects Completed during this Quarter Legacy Square (609 North Spurgeon Street) Developer National Community Renaissance with Mercy House as the service provider New construction of a 100% affordable multifamily apartment complex Description consisting of 92 units of rental housing and one (1) unit. All units Omanager's will be affordable to households earning less than 60 /o AMI of which 33 units will be set -aside for permanent supportive housing. Authority Funds Eight (8) Project -Based Vouchers (PBVs) The final Certificate of Occupancy was issued on June 14, 2023. A Grand Update Opening Ceremony was held on June 21, 2023. The lease -up of units is continuing. Projects under Construction Estrella Springs (1108 N. Harbor) (Formerly called North Harbor Village) Developer Jamboree Housing Corporation Description Acquisition and rehabilitation of a former motel yielding 89 units of permanent supportive housing. City / Authority CDBG ($1,687,047); Eight -nine (89) PBVs consisting of 34 HUD-VASH PBVs Funds and 55 regular PBVs. During this quarter, the project name was officially changed to Estrella Springs. Construction is currently underway. Recent activities include Update insulation, drywall, and interior work in Building C. Changes in the MEP, structural, and building have triggered plan check revisions that have taken some time to complete. Plan resubmittals have also required City Council 9-8 8/1/2023 Housing Division Quarterly Report August 1, 2023 Page 9 submittals to the Orange County Fire Authority (OCFA). The submittals are needed to complete the interior work. Most approvals for Bldg. C have been issued but approvals are pending for Bldg. B and Bldg. A. Once the interior work is approved, it will all be completed while elevator, exterior stucco, and paint start. The current schedule is subject to change pending approvals from the city on our plan revisions. Westview House (2530 Westminster Avenue) Developer Community Development Partners with Mercy House as the service provider New construction of an affordable multifamily apartment development consisting of 84 units of both large family and PSH units and one (1) Description manager's unit. Twenty-six (26) of the units will be funded by Mainstream Program PBVs and Mental Health Services Act (MHSA) funds through the No Place Like Home (NPLH) program. City / Authority Inclusionary Housing ($1,514,113), HOME Investment Partnerships Program Funds ($2,003,705), Rental Rehabilitation Program ($386,523), and twenty-six (26) Mainstream Program PBVs The project has completed rough framing and roofing. Project is currently Update working on utility rough ins. Completion of the project is anticipated in February 2024. Crossroads at Washington 0126. 1136. and 1146 E. Washington Avenue) Developer The Related Companies of California with A Community of Friends as co- developer and lead service provider New construction of a 100% affordable multifamily apartment complex Description consisting of 85 units of rental housing and one (1)manager's unit. All units will be affordable to households earning less than 30 /o AMI of which 43 units will be set -aside for permanent supportive housing. HOME Investment Partnerships Program ($3,007,489), Neighborhood City / Authority Stabilization Program ($1,637,420), sixty-five (65) year ground lease Funds agreement for 1126, 1136, and 1146 E. Washington Avenue (Appraised Value as of September 22, 2019: $4,108,136) and fifteen 15 PBVs The project is framed and roofed. The developer is working with the Update Corporation for Supportive Housing, Orange County staff, and the Santa Ana Housing Authority to begin the marketing. Habitat for Humanitv (826 N. Lacv & 830 N. Lacv Street) Developer Habitat for Humanity of Orange County (Habitat) Description New construction of two single-family detached homes for homeownership serving households up to 120 /o AMI. City / Authority Inclusionary Housing ($565,271) and a 99-year ground lease agreement for Funds 416 Vance Street and 826 N. Lacy Street (Appraised Value as of Oct 25, 2018: $578,000 Significant interior work was completed during this quarter including the Update painting, door installation, and cabinetry work. On May 5, Habitat held the Leaders Build Challenge on -site. Event participants included sponsors and City Council 9-9 8/1/2023 Housing Division Quarterly Report August 1, 2023 Page 10 volunteers. The event was attended by Mayor Farrah Khan of Irvine, Orange County Supervisor Vicente Sarmiento of the 2nd District, and Senator Tom Umberg. The initial outreach for homebuyers did not generate qualified buyers that met the City's local preference. The outreach strategy was revamped and was more targeted. The City assisted in the outreach efforts by including in its communications to residents. During July, Habitat will review home buyer applications and will present to the City those buyers recommended for final selection. Volunteer opportunities continue to be offered Wednesday through Saturday throughout the duration of the build. During this quarter, there were 919 unique volunteers with a total of 8,430 volunteer hours. WISEPIace Permanent Supportive Housing (1411 N. Broadway) Developer Jamboree Housing Corporation with WISEPIace as the co -developer and lead service provider Description Adaptive reuse and new construction of the WISEPIace building to provide 47 permanent supportive housing units and one 1 manager's unit. City / Authority HOME -ARP ($5,256,327); Twenty-five (25) PBVs Funds The developer closed on their construction loan financing and began Update construction in March 2023. The abatement and demolition of the project is complete. A groundbreaking ceremony was held on June 15, 2023. The expected construction completion date is November 2024. FX Residences (801, 809, 809 % East Santa Ana Boulevard) Developer HomeAid Orange County, Inc. with Mercy House as the service provider Description New construction of an affordable multifamily apartment complex consisting of 16 units of permanent supportive housing and one (1) manager's unit. Authority Housing Successor Agency ($1,656,947), three (3) PBVs, 99-year ground Funds lease agreement for 801 E. Santa Ana Blvd. (Appraised Value as of Oct 25, 2018: $788,000 HomeAid and its builder captain, City Ventures, met with the City's Planning and Building Agency to clarify comments from the 3,d submittal. Update Subsequently, building permits were issued in May. A Groundbreaking Ceremony was held on June 12, 2023 and construction will begin in July. Completion of the project is estimated by the 1 st quarter of 2024. Projects in Pre -Development Habitat for Humanity 1921 W. Washington Avenue Developer Habitat for Humanity of Orange County (Habitat) Description New construction of three (30) duplexes / six (6) homes for homeownership servinghouseholds u to 80 /o AMI. City Funds Inclusionary Housing Funds ($2,200,000) In March, Habitat received comments on its initial application for review. Comments were reviewed and addressed. A second Sunshine Ordinance Update meeting was held on May 30, 2023 at the El Salvador Community Center. In addition to the Habitat team and staff from the City, over 15 individuals attended the meeting. Representatives from Habitat and the City resented City Council 9 — 10 8/1/2023 Housing Division Quarterly Report August 1, 2023 Page 11 attendees with information on the project, provided an opportunity for questions, and addressed feedback from the first meeting and the application comments received. Attendees asked questions related to understanding income qualifications and the home buyer selection process. Habitat submitted its responses to comments received from the City and updated application documents on June 12, 2023. FISCAL IMPACT There is no fiscal impact associated with this action. EXHIBIT(S) 1. Available Funds for Affordable Housing Development Projects 2. Project Timelines Submitted By: Michael L. Garcia, Executive Director of Community Development Approved By: Kristine Ridge, City Manager City Council 9 —11 8/1/2023 Exhibit 1 Available Funds for Affordable Housing Development Projects As of June 30th, 2023 Housing Successor Agency (Housing Authority) $4,952,611 Cash on Hand ($1,656,947) Frances Xavier Residence Project Pre -Commitment Loan ($250,000) Administrative Costs Allowance 2 ($2,725,395) Administrative Costs Allowance for Future Fiscal Years 3 ($307,386) Crossroads at Washington Option Agreement Amendment 4 ($12,883) Crossroads at Washington Environmental Assessment Oversight 5 $0 Available Funds Inclusionary Housing Funds $13,130,581 Cash on Hand ($530,000) Down Payment Assistance Program 6 ($56,527) Lacy Street Project Grant 7 ($151,411) Westview House Loan 8 ($37,500) Westview House Project Cost ($11,544) WISEPIace Steps to Independence Program Agreement 9 ($2,200,000) 1921 W. Washington Project Pre -Commitment 13 ($2,298,515) Administrative Costs Allowance (CDA/PBA) $7,845,083 Available Funds HOME Program $6,695,823 Funds to Drawdown ($300,749) Crossroads at Washington Loan 10 ($200,371) Westview House Loan 8 $6,194,703 Available Funds to Drawdown HOME -American Rescue Plan Program (PSH Projects Only) $1,464,630 Funds to Drawdown ($1,464,630) WISEPIace PSH Loan 12 $0 Available Funds to Drawdown CDBG Program (Acquisition/Rehabilitation Projects Only) $4,690 Funds to Drawdown $4,690 Available Funds to Drawdown Rental Rehabilitation Grant Program $48,719 Cash on Hand 11 ($38,652) Westview House Loan 8 $10,067 Available Funds $14,054,543 Total Available Funds 1 Approved by Housing Authority on January 15, 2019. Additional $587,000 approved by Housing Authority on December 7, 2021. 2 The Housing Successor Agency relies on available cash to fund the monitoring and compliance functions related to the former Redevelopment Agency's housing loans. Funds to be set aside for compliance and monitoring requirements due to uncertainty of future repayment revenues. ° Approved by Housing Authority on December 15, 2020. Additional $150,000 maximum approved by Housing Authority on August 17, 2021 (2nd Amendment to Option Agreement). s Approved by Housing Authority on July 20, 2021. ° $400,000 originally approved by City Council on March 6, 2018. Nine loans paid through end of September 2021. Additional $1,200,000 approved by Council on November 2, 2021. Approved by City Council/Housing Authority on March 5, 2019. Additional $333,777 approved by City Council on April 6, 2020. ° Approved by City Council on May 17, 2022. s Approved by City Council on April 7, 2020. 10 Approved by City Council on June 21, 2022. Old program income available after close out of program with HUD. 12 Approved by City Council on March 7, 2023. 13 Approved by City Council on November 15, 2022. City Council 9-12 8/1/2023 EXHIBIT 2 Current Affordable Housing Development Project Timelines Projects Completed during this Quarter Legacy Square — 609 North Spurgeon Street Aug 18 Santa Ana CDA Funding Application Dec 18 Applied for NPLH and SNHP Funds Jan 19 Santa Ana funding award Feb 19 Planning entitlements approved Feb 19 Applied for Round 4 AHSC Funding May 19 Award of SNHP funds Jul 19 Applied for Round 1 MHP Nov 19 Applied for State 4% tax credits Jan 20 Construction drawings (8-12 weeks) Feb 20 Apply for Round 5 AHSC funding May 20 Apply for 4% tax credits May 20 Plan check (12-16 weeks) Jun 20 Award of AHSC funds July 20 Award of 4% Tax Credits July 20 Award of Tax -Exempt Bonds May 20 Plan Check (12-16 weeks) Jan 21 Building permit issuance Feb 21 Construction closing/syndication Feb 21 Begin construction (24 months) Jul 21 Groundbreaking Ceremony Mar 22 Press Release announcing 5 Community Workshops for Lease Up information Apr 22 Framing complete May 22 Roofing to start July 22 Elevator Cab delivery Sept 22 Interior painting, and flooring &HVAC getting installed Oct 22 Production insulation and Building Inspection of the Community Room and Leasing Office Jan 23 Fire signed off on all floors, solar panels and roofing completed, all units in the finish stages. Landscape on podium complete. Apr 23 Construction complete Jun 23 Final Certificate of occupancy issued Jun 23 Grand opening ceremony Aug 23 100% fully leased (4 months) Projects under Construction Estrella Springs — 1108 N. Harbor (Formerly called North Harbor Village) Mar 19 Start of design development Mar 19 Applied to FHLBSF for AHP Financing ($890,000) City Council 9 — 13 8/1/2023 EXHIBIT 2 Mar 19 Award of VASH Vouchers & City Loan by City Council (89 Vouchers and $1,687,047) Mar 19 Start environmental approval process with City of Santa Ana (CEQA/NEPA) Mar 19 Applied for Home Depot Grant ($500,000) Jun 19 CEQA / NEPA Approval — City of Santa Ana Jun 19 AHP Award Date ($890,000) Aug 20 Applied to HCD for MHP 1st Round Funding ($13,316,412) Dec 19 Notified project did not receive 1st Round MHP funding Feb 20 Applied to HCD for VHHP Funding ($10,000,000) Mar 20 Applied to HCD for MHP 2nd round funding Mar 20 Applied to OCHFT Financing ($2,292,920) May 20 Notified project did not receive 2st Round MHP funding May 20 Received OCHFT funding award ($2,292,920) Jun 20 Received VHHP funding award ($10,000,000) Jun 20 Submitted Plans for Ministerial Design Approval Jun 20 Applied for CDLAC tax-exempt bond allocation ($24,000,000) Jul 20 Applied for TCAC 4% competitive state and federal tax credits ($9,896,911) Sept 20 CDLAC Allocation Nov 20 Ministerial Design Approval (upon completion of community meeting on 11 /4/2020) Oct 20 TCAC Allocation Oct 20 Start construction documents for rehab Nov 20 Submit first plan check Dec 20 Awarded Home Depot Grant Jan 21 Receipt of first plan check comments Jan 21 Submit second plan check Feb 21 Receipt of second plan check comments Feb 21 Submit third plan check Mar 21 Received permit ready Apr 21 Construction loan closing Apr 21 Pull Permits and start construction May 21 Site Demolition Dec 21 Work on mock up units begins Jun 22 Structural retrofitting and repairs July 22 Roofing and Framing Aug 22 Stock drywall & Inspections Aug 22 Gutter, Awning and Painting & installation of stairs Oct 22 OCHFT Loan finalized Apr 23 Interior refurbishments & finishes Apr 23 Complete Flooring Mar 23 Plan resubmittal/Plan Coordination Apr 23 Grading/Paving for parking lot and site work May 23 Roof/Drywall Jul 23 Interiors/Fixtures & Appliances/ Aug 23 Elevator Sep 23 Lease up Par 9 City Council 9 — 14 8/1/2023 EXHIBIT 2 Oct 23 Stucco Oct 23 Scaffold finishes Nov 23 Final Cleaning Nov 23 Construction Completion Feb 24 Full Occupancy Westview House — 2530 Westminster Avenue Oct 19 City of Santa Ana RFP submittal May 20 OC 2020 Supportive Housing NOFA Submittal Dec 20 OC 2020 Supportive Housing NOFA award Jan 21 City of Santa Ana PBV Award Jan 21 Construction/permanent debt commitments Jan 21 Receive Entitlements Jan 21 No Place Like Home application Mar 21 OCHFT application May 21 OCHFT Award Jun 21 No Place Like Home commitment Sep 21 CDLAC/TCAC 4% application Dec 21 CDLAC/TCAC 4% award May 22 Close on construction financing Jun 22 Construction permits issued Jun 22 Construction start Nov 22 Groundbreaking Ceremony Dec 22 Grading activities completed and concrete poured Apr 23 Floor Sheathing & Pre -Rough complete in Buildings A & B Jun 23 Rough framing and roofing are complete Jun 23 Window installation in both buildings Jul 23 Working on utility rough -ins Jul 23 Roof Truss in Building B Jul 23 Drywall Production Feb 24 Construction complete July 24 All units Leased Nov 24 Perm Debt Conversion Crossroads at Washington — 1126,1136 and 1146 E. Washington Avenue Aug 19 Submitted PSH application to County Oct 19 Submitted for Planning entitlements Oct 19 Community meeting Nov 19 Approval of Joint Powers Agreement, Option to Ground Lease, Voucher Resolution and Cooperation Agreement, and Regional Housing Needs Assessment (RHNA) Agreement and Density Bonus Dec 19 NEPA EA City Approval — City of Santa Ana submits NEPA EA to HUD Feb 20 PSH Funds and Voucher approval from County Board of Supervisors Feb 20 Planning entitlements approved Mar 20 TCAC 9% Application — 15t Round 2020 Jul 20 TCAC FCAA/9% Application — 2nd Round 2020 Oct 20 TCAC FCAA/9% Award — 2nd Round 2020 Par q City Council 9 — 15 8/1/2023 EXHIBIT 2 Mar 21 Submitted OCHFT PSH NOFA Application May 21 OCHFT PSH NOFA Award Dec 21 Submit DTSC Equitable Community Revitalization Grant (ECRG) Pre - Qualifying Application Feb 22 Submit for 1st plan check Mar 22 DTSC approves draft Removal Action Workplan; draft Removal Implementation Plan under review Apr 22 DTSC ECRG Full Application Jul 22 DTSC ECRG Award Jul 22 City issues permit ready letter Jul 22 Construction finance closing/Start construction Nov 22 Building foundation complete Dec 22 Framing began Mar 24 Construction complete Jul 24 Full occupancy Habitat for Humanity — 826 N. Lacy Street & 830 Lacy Street May 20 DDA signed June 20 Prepare grading plans Oct 20 Prepare architectural plans Oct 20 Submit Neighborhood Review Application Feb 21 Final Approval from Historic French Park Committee Apr 21 Submit Site Review Application Dec 21 Submit grading/ Non -Priority WQMP Jan 22 Submit architectural plans May 22 Planning Commission Approval Jul 22 Grading permit issued Aug 22 Groundbreaking Aug 22 Building Permits issued Aug 22 Commence Grading Sep 22 Begin Foundation Construction Oct 22 Framing Ceremony/Framing Construction Begins Jan 23 Roof diaphragm sheathing and exterior sheathing completed Jan 23 Roof sheathing/frame and shear walls Inspection Jan 23 Buildings dried in Jan 23 House wrap and waterproofing Jan 23 Drywall stack complete Jan 23 Exterior Door installation complete Jan 23 Homebuyer outreach and application open Feb 23 Window installation complete Feb 23 Rough in plumbing Feb 23 Rough in electrical Feb 23 Rough in mechanical Feb 23 Rough in fire sprinkler- OCFA Mar 23 MEP Inspection Mar 23 OCFA Inspection Par 4 City Council 9 — 16 8/1/2023 EXHIBIT 2 Mar 23 Structural/framing complete Mar 23 Structural/framing Inspection Mar 23 Seal exterior penetrations Mar 23 Wood siding started Mar 23 Start exterior wood trim carpentry -ongoing Mar 23 Insulation completion and inspection Mar 23 Drywall hanging Mar 23 Preliminary homebuyer application review May 23 Habitat for Humanity Leaders Build on -site May 23 Re-IaunchHomebuyer outreach May 23 Interior paint completed Jun 23 Porch-flatwork, interior door installation and cabinetry installation Jul 23 Painting completion Jul 23 Homebuyer application review and selection Aug 23 Dedication Ceremony Aug 23 Anticipated Construction completion Aug 23 Certificate of Occupancy/Closing WISEPIace Permanent Suaaortive Housina — 1411 N. Broadwa May 19 Start of conceptual design development Sept 19 Applied to City of Santa Ana for Financing Feb 20 Notified not awarded City of Santa Ana Financing Mar 20 Applied to Orange County Housing Finance Trust (OCHFT) Financing Apr 20 Met with City of Santa Ana Planning Staff on entitlements May 20 Notified not awarded OCHFT Financing Jun 21 Met with City of Santa Ana staff to review revised conceptual plans Jan 22 Submitted Historic Resource Commission and entitlements application to City of Santa Ana Feb 22 Applied to City of Santa Ana for HOME -ARP Funding and PBVs Mar 22 City of Santa Ana Historic Resource Commission Approval Mar 22 Applied to OCHFT Financing Mar 22 Applied to AHP Financing Apr 22 Awarded City of Santa Ana for HOME -ARP Funding and PBVs May 22 Awarded OCHFT Funding May 22 City of Santa Ana Planning Commission Approval of entitlements May 22 City of Santa Ana Community Development Commission Approval of Funding and Density Bonus Agreement (DBA) Jun 22 Notified not awarded AHP Funding Jun 22 Applied to County of Orange for ARPA Funding Jun 22 City of Santa Ana City Council Approval of DBA Jun 22 Awarded County of Orange ARPA Funding Jun 22 Applied for TCAC 9% competitive federal tax credits Sept 22 TCAC Allocation Sept 22 Start Construction Documents, Plan Check and Permitting Par G; City Council 9 — 17 8/1/2023 EXHIBIT 2 Jan 23 Closing Kick Off Mar 23 Receive grading permit and building permit ready letter Mar 23 Construction loan closing Mar 23 Pull Permits and start construction Apr 23 Site Demolition Jun 23 Groundbreaking Ceremony Nov 23 Podium Complete Jun 24 Dry In Complete Nov 24 Construction Complete May 25 100% Full occupancy (6 months) FX Residences — 801, 809, 809 % E. Santa Ana Boulevard Jan 19 Council approval for land lease and project funding Jan 19 Submittal of application for NPLH funding Feb 19 Confirm with City staff that project site can yield additional units under existing zoning Mar 19 Revise conceptual drawings for additional 5 units (17 total units, up from the original 12 units) Mar 19 SNHP funding application submitted to County Apr 19 City staff to review revised conceptual design Apr 19 Begin development agreement May19 Board of Supervisors meeting for SNHP funding Jul 19 Execute Development Agreement Jul 19 Formal awards letters for NPLH funding to be issued Aug19 Initial planning submittal Sept19 Sunshine Ordinance Meeting Mar 21 Planning Commission Meeting (ministerial approval of density bonus) Oct 21 Submit for first plan check Dec 21 City Council Meeting (ministerial approval of density bonus) Dec 21 City Council approval of additional $587,000 for construction costs Feb 22 Building permit submittal Mar 22 Received 1st set of comments back from Plan Check, consultants working on responses. Jul 22 FX Funding Closing Meetings begin, 2nd Building Plan Submittal Aug 22 Building and Grading comments being addressed Oct 22 Construction Funding Closing process is underway Dec 22 Dry closed funding for CaIHFA/SNHP and City of Santa of Santa Ana April 23 Met with city planner to clarify all comments on 3rd submittal April 23 Submit 4th building review & OCFA building review May 23 Pull Building Permits & PGP Permits June 23 Groundbreaking Ceremony July 23 Start of Construction Sept 24 Start of Lease Up Dec 24 Estimated Completion of construction City Council 9 — 18 8/1/2023 EXHIBIT 2 Projects in Pre -Development Habitat for Humanity — 1921 Washington Avenue Dec 21 Habitat for Humanity OC closed escrow on property Aug 22 Subsidy Approval from Community Development Commission Nov 22 Subsidy Approval from City Council Dec 22 Submit Demo Permit Application Jan 23 Demo Permit Issued Feb 23 Submit Site Plan Review Application Mar 23 First Sunshine Ordinance Meeting Apr 23 Geological Soils Testing May 23 Second Sunshine Ordinance Meeting Jun 23 Second Sunshine Ordinance Meeting report submitted Jun 23 Responses to comments received submitted Jul 23 Demolition Permit Aug 23 Submit Grading / Non -Priority WQMP Aug 23 Submit Architectural Plans Sep 23 Planning Commission Approval Sep 23 Groundbreaking Ceremony Nov 23 Building Permit issued Nov 23 Begin Foundation Construction Jan 24 Framing Ceremony Aug 24 Complete Rough Inspections Dec 24 Construction Completed City Council 9 — 19 8/1/2023 Planning and Building Agency santa-ana.org/departments/planning-and-building/ Item # 10 or City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: Update on Historic Street Sign Toppers - Informational Quick Reference (QR) Code Signs AGENDA TITLE Update on Historic Street Sign Toppers - Informational Quick Reference (QR) Code Signs. RECOMMENDED ACTION Receive and file an update on Historic Street Sign Toppers and informational Quick Reference (QR) code signs. DISCUSSION On December 6, 2022, the Planning and Building Agency presented an update to the City Council on the 2022-2023 Historic Resources Commission Historic Preservation Work Program, which stemmed from a 2020 process for communication between the Historic Resources Commission (HRC) and the City Council that was established to communicate feedback related to various historic items and issues. During the December 6, 2022 City Council meeting, Councilmember Bacerra discussed the different components of the Work Program and expressed a strong desire to establish content on the City's website commemorating the historic individuals for whom various parks, facilities, and street sign toppers are named. Following this discussion, the Planning Division facilitated a series of discussions with the Library Department and the Public Works Agency to brainstorm ideas to: 1) Develop content on the City's Library Department webpages documenting and commemorating historic individuals in the City's history; and 2) Bridge that content with the community by making the information available through an easily -accessible format in public settings. Because Helen Marie Shipp is the first historic individual commemorated through the City's ceremonial street sign toppers along a portion of Willits Street near Raitt Street, the Library Department initiated its online content with a new landing webpage containing a biography of Shipp and a map showing the portion of Willits Street containing Helen M. Shipp Way and Black History Square. The new landing page is accessible online by visiting www.santa-ana.org/honorary-street-names/ . City Council 10 — 1 8/1/2023 Update on Historic Street Sign Toppers - Informational QR Code Signs August 1, 2023 Page 2 In tandem with this effort, the Public Works Agency developed a template for a professional -grade, reflective sign containing a quick reference (QR) code that members of the community may scan to access the Library Department's landing page. Signs will be placed at a pedestrian level for ease of viewing and access and will measure 4 inches by 6 inches, with a reflective coating to ensure visibility and functionality during a variety of lighting and weather conditions. Verbiage on the signs will state "More Information," with the QR code beneath that links to the new landing page. At the moment, the landing page contains only a biography of Shipp and street map; however, the intent is to expand the page to link to future historic individuals as the ceremonial street sign toppers program expands over time. Lastly, the landing page may also be adapted to contain biographies of additional historic individuals for whom other facilities are named, such as Carl Thornton Park. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT It is estimated that manufacturing and installation will result in $110 in expenses for each informational QR code sign. Expenses will be paid from account no. 011117625- 62300 (Public Works Roadway Markings/Signs-Contract Services). Assuming the ceremonial street sign toppers program results in one new annual designation, expenses will be approximately $660 annually if six QR code signs are manufactured and installed per designation. EXHIBIT(S) 1. Historic Street Sign Toppers - Informational Quick Reference (QR) Code Sign Template 2. QR Code Sign Photo 3. Sample Installation Photos Submitted By: Ali Pezeshkpour, AICP, Planning Manager Approved By: Kristine Ridge, City Manager City Council 10 — 2 8/1/2023 0.50" 4" 4D. 5 0" I" 0.50" O R=0o50" [Sims 0.43" 'R=0o75" City Council 10 — 3 8/1/2023 P pri �% L9 T 1, -P r.L.: r LV 60- p6n :1 n 'MAO .41 vil,'Nr 71 Public Works Agency www.santa-ana.org/public-works Item # 11 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: Contract Amendment for Asphalt Pothole Repair AGENDA TITLE Amend Purchase Order Contract with All American Asphalt to Increase the Annual Amount by $200,000 for Asphalt Pothole Repair (Specification No. 18-092) (General Fund) RECOMMENDED ACTION Approve an amendment to the Purchase Order Contract with All American Asphalt for asphalt pothole repair, to increase the compensation amount by $200,000, for a total annual amount not to exceed $1,400,000 for both the current two-year term that ends on November 30, 2023 and the two-year renewal term ending on November 30, 2025, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency Maintenance Services Division is responsible for maintaining approximately 400 miles of roadway within the City of Santa Ana. Services provided under the asphalt pothole repair contract include repairing potholes and repairing small damaged pavement areas with asphalt overlay. Additionally, the contract provides for sidewalk asphalt ramping to reduce risks to pedestrians. To carry out these maintenance services, All American Asphalt was awarded the purchase order on November 20, 2018, with an annual limit of $550,000. Due to the high demand of service requests, the purchase order amount was amended on November 16, 2021, and August 16, 2022, resulting in additional amounts of $147,800 and $202,200, respectively. These adjustments brought the total amount to $900,000. During the Winter and Spring seasons of FY 2022-23, heavy rainfall caused significant damage. The City Council approved a one-time amendment to address this on April 18, 2023. The amendment increased the FY 2022-23 purchase order amount by $300,000 from the General Fund, bringing the annual limit to $1,200,000. Additionally, the contract was extended for an additional two years to accommodate the increase in repairs. To deliver responsive public services, the City Council has allocated $500,000 of one- time funding to the FY 2023-24 budget. To ensure uninterrupted resources for essential City Council 11 — 1 8/1/2023 Contract Amendment for Asphalt Pothole Repair August 1, 2023 Page 2 street repairs and avoid delays in pothole repairs, Staff recommends increasing the contract authority by $200,000. This supplementary funding will guarantee the availability of resources and enable the smooth progress of street repairs without any interruptions. All American Asphalt has provided services to the Public Works Engineering Division for several years and most recently completed the following Capital Improvement Projects (CIP): ect ID Project Title 20-2707 Adams Park Parking Lot Improvements 20-6957 MacArthur Blvd. Rehabilitation from Flower Street to Main 20-6907 20-7533 21-6976 Street FY 2022-2023 Local Street Preventative Maintenance FY 2019-2020 Residential Street Repair Program FY 2019-2020 Flower Street Rehabilitation - McFadden Ave. to First St. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The current fiscal year funding is available in the FY 2023-24 budget and future fiscal year funding will be included in the proposed budgets for City Council consideration. Any remaining balances not expended at the end of the fiscal year will be carried forward to the following fiscal year. Fiscal Accounting Unit- Fund Accounting Unit, Year Account # Description Account Amount Description CURRENT ANNUAL AMOUNT Year 1 of Final 2-Year Term Roadway 2023-24 02917660-62300 Special Gas Maintenance, $900,000 Tax Contract Services - Professional PW Sidewalks - General Service 2023-24 01117626-62300 Fund Enhancement, 300,000 Contract Services - Professional SUBTOTAL 1,200,000 REQUESTED AMENDMENT AMOUNT City Council 11 — 2 8/1/2023 Contract Amendment for Asphalt Pothole Repair August 1, 2023 Page 3 Fiscal Accounting Unit- Fund Accounting Unit, Year Account # Description Account Amount Description PW Sidewalks - General Service 2023-24 01117626-62300 Fund Enhancement, $200,000 Contract Services - Professional ADJUSTED SUBTOTAL $1,400,000 ANNUAL CONTRACT Year 2 of Final 2- Year Term Roadway 2024-25 02917660-62300 Special Gas Maintenance, $1,400,000 Tax Contract Services - Professional Total $2,800,000 Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Kristine Ridge, City Manager City Council 11 — 3 8/1/2023 Public Works Agency www.santa-ana.org/public-works Item # 12 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: Bristol -Tolliver Street Urban Greening Project AGENDA TITLE Approve an Appropriation Adjustment and Capital Improvement Project Amendment for the Bristol -Tolliver Street Greening Project (Project No. 24-6600) (Non -General Fund) RECOMMENDED ACTION 1. Approve an appropriation adjustment to recognize $3,502,500 in Urban Greening Grant Program funding from the California Natural Resources Agency into the Public Works Agency Enterprise Capital Grants, State Grant -Direct Revenue Account and appropriate the same amount into the Public Works -Water Quality and Control, Improvements Other Than Building expenditure account. (Requires five affirmative votes) 2. Approve an amendment to the Fiscal Year 2023-24 Capital Improvement Program to include $3,502,500 of funding from the California Natural Resources Agency Urban Greening Grant Program for the Bristol -Tolliver Street Urban Greening Project. DISCUSSION The California Natural Resources Agency (CNRA) Urban Greening Grant Program funds projects that reduce greenhouse gases while also transforming the built environment into places that are more sustainable, enjoyable, and effective in creating healthy and vibrant communities. These projects will establish and enhance parks and open space, using natural solutions to improve air and water, reduce energy consumption, and create walkable and bike -able trails. The Public Works Agency (PWA) submitted a successful application for funding from the Urban Greening Grant Program for the Bristol -Tolliver Street Greening Project. The Project features the transformation of vacant City -owned parcels at the intersection of Bristol Street and Tolliver Street into a 1.25-acre new community park. The park will include drought tolerant landscaping, shade trees, recreational features, pedestrian pathways, signage, lighting, picnic benches, a stormwater bioretention basin, and a stormwater capture and reuse system for park irrigation (Exhibit 1). The project will provide significant aesthetic, recreational, and environmental benefits to the community. City Council 12 — 1 8/1/2023 Bristol -Tolliver Street Urban Greening Project August 1, 2023 Page 2 On January 17, 2023, City Council adopted Resolution 2023-002, which authorized the Executive Director of the Public Works Agency to execute agreements with CNRA for the project. On April 3, 2023, Staff was notified that the City was awarded $3,502,500 for design and construction of the project (Exhibit 2). A stormwater project design consultant is being procured for project design, which is anticipated to be completed in Spring 2024. Construction is anticipated to start in Summer 2024 and will take approximately one year to complete. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. The project design consultant will assess the environmental impact of this project in compliance with the California Environmental Quality Act (CEQA). FISCAL IMPACT Staff is requesting Council approval of an appropriation adjustment to recognize the Urban Greening Grant Program funding of $3,502,500 from CNRA into the PWA Enterprise Capital Grants, State Grant -Direct Revenue Account (No. 16417002-52025) and appropriate the same amount into the Public Works -Water Quality and Control, Improvements Other Than Building (No. 16417640-66220). With the approval of the amendment to the FY 2023-24 Capital Improvement Program, funds will be budgeted and available for expenditure in FY 2023-24 (Exhibit 3). The remaining balance not expended at the end of the fiscal year will be presented to City Council for approval of carryovers to FY 2024-25. The following table summarizes the funds budgeted and available for expenditure to deliver this project. Fiscal Accounting Unit Fund Accounting Unit, Year - Account No. Descriptio Account No. Amount (Project No.) n Description PWA Public Works — Water 2023-24 16417640-66220 Enterprise Quality and Control, $3,502,500 (24-6600) Capital Improvements Other Grants Than Building TOTAL $3,502,500 EXHIBIT(S) 1. Bristol -Tolliver Street Urban Greening Project Conceptual Site Plan 2. California Natural Resources Agency Award Letter 3. FY 2023-24 CIP Sheet Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Kristine Ridge, City Manager City Council 12 — 2 8/1/2023 EXHIBIT 1 1 • 1 DO I ''� 'IS' EXISTING SIDEWALK r PAVERS iN.n ` .. H• ppp npryryry �� I �F`F IBM'"°I ... Mud . i1 ^N�: 1i� NNRRRNHxnr�mmn. PARK ENTRY SIGN PICNIC TABLES DRINKING �•--- � DECORATIVE 3' HIGH FENCE FOUNTAIN DECOMPOSED WORKOUT AREA WIDE GRANITE WALKWAYLu SHADE STRUCTURE > EXISTING RETAINING WALL J 0 DENSE DROUGHT TOLERANT LANDSCAPING TRASH RECEPTACLE BENCH SITE LIGHTING HALF BASKE COURT INLET STRUCTURE TURF AREA d1 •� ......STORMWATERL- e� IP 'JOOi�i'P A 1 ......• A :�eeeeemeee�s. CURB INLET CURB OUTLET rr PUMP INTERPRETIVE SIGN SITE SECURITYING CA EIRA L SITE LIGHTING IRRIGATION PUMP 6" MOW CURB TO IRRIGATION SYSTEM DENSE LANDSCAPE TRASH RECEPTACLE REMOVE WALL BUFFER WITH ;WALL VINES . PRETREATMENT UNIT di ,� DIVERSION LINE FROM CATCH BASIN TO STORMWATER HARVEST !ki I AND USE SYSTEM OVERFLOW DRAIN PARK ENTRY SIGN PAVERS AND BOLLARDS TREE LEGEND MATERIALS LEGEND EXISTING TREE ® BIORETENTION BASIN (BOTTOM) /Ya- TREE SPECIES 1* BIORETENTION BASIN (SIDE SLOPE) 0 TREE SPECIES 2* DECOMPOSED GRANITE TREE SPECIES 3* DROUGHT TOLERANT LANDSCAPING (DENSE) *TREE SPECIES TO BE DETERMINED DURING FINAL DESIGN El DROUGHT TOLERANT LANDSCAPING PHASE AND WILL BE NO LARGER THAN 15-GALLONS. CATCH BASIN DIVERSION GENERAL NOTES: PAVERS HESPERIAN ST. 1. CAPTURED RUNOFF WILL BE USED TO SUPPLY SUBSURFACE PLAYGROUND SURFACING - - - DRIP IRRIGATION THROUGHOUT THE SITE. �°` *. 2. IMPROVEMENTS WILL BE FINALIZED THROUGH THE FINAL PCC PAVEMENT _ !► DESIGN PHASE AND IN CONSIDERATION OF ADDITIONAL �! PUBLIC INPUT. TURF AREA REVISIONS REFERENCES _ 1111 E. oRANCETHORRE AVE. SUITE 240 CONCEPT PLAN NUMBER DATE I INITIALS I DESCRPPON JAPPROVVE INSTALLED BENCHMARK NO.: XX-XXX-XX ELEV.: NNN.NN' NAVDY JIMFDL ERTON, CA 92831 T A A N A 0 10 20• 40' ""'CNeCOfP'`°" DATE BRISTOL—T RBAN GREENING 12_ SCALE'. I"= 40' PREPARED S1ON OF: SENIOR CINL ENGINEER PUBLIC WORKS AGENCY CONSTRUCTON COMPLETED: STEKN BELL CESIGNED'. KH DRAM : TT CHECKED: KH 3 2022 CITY OF SANTA ANA SHEET 1 OF I C A L I F O R N I A NATURAL RESOURCES AGENCY April 3, 2023 Nabil Saba City of Santa Ana Dear Nabil Saba, GAVIN NEWSOM, Governor WADE CROWFOOT, Secretary for Natural Resources Congratulations on behalf of the California Natural Resources Agency (Agency). It is my great pleasure to inform you that your proposal has been selected for funding under the Urban Greening Grant Program, in the amount of $3,502,500 for the Bristol -Tolliver Street Urban Greening Project. Thank you for your leadership bringing this project to fruition. We are excited that this funding will help your community reduce greenhouse gas emissions, build resilience to rising temperatures and extreme heat, and add natural features that your residents can enjoy. Agency staff will contact you in the coming weeks to begin developing your grant agreement. Should you have any questions in the interim, please do not hesitate to contact the Bonds & Grants Office at (916) 653-2812 or via e-mail at urbangreenincl@resources.ca.gov. Please coordinate any public announcements related to your grant award with our Director of Media Relations, Albert Lundeen at (916) 606-3990 or via e-mail at albert.lundeen@resources.ca.gov. Remember to tag us on Instagram, Twitter, and Linkedln should you announce your award on social media. We look forward to working with you in the coming months to advance this important project. Sincerely, SI JI< co.. rr Wade Crowfoot Secretary for Natural Resources 715 P Street, 201h Floor, Sacramento, CA 95814 Ph. 916.653.5656 http://resources.ca.gov Baldwin Hills Conservancy • California African American Museum • California Coastal Commission • California Coastal Conservancy • California Conservation Corps • Colorado River Board of California California Energy Commission • California Science Center • California Tahoe Conservancy • Coachella Valley Mountains Conservancy • California Department of Forestry and Fire Protection Delta Protection Commission • Delta Stewardship Council • Department of Conservation • Department of Fish and Wildlife • Department of Parks and Recreation • Department of Water Resources Exposition Park • Native American Heritage Commission • Office of Energy Infrastructure Safety • Sacramento -San Joaquin Delta Conservancy • San Diego River Conservancy • San Francisco Bay Conservation and I✓;^^ o^r r ;; c� r . ;oa..... nn ,ram; i.. c� ten,,; a;.,,,.,r�;. ne,S onservancy • Sierra City Council Nevada Conservancy • State Lands Commission • Wildlife C12rvatiop}Board • Ocean Protection Council 8/ 1 /2023 EXHIBIT 3 PROJECT TITLE: Bristol -Tolliver Urban Greening Project PROJECT CATEGORY: Utility/Drainage/Lighting Improvements Park Facility LOCATION MAP N 1: ro d • N m N O_ N CITY OF SANTA ANA FY 23/24CIP CAPITAL IMPROVEMENT PROJECT WORKSHEET PROJECT DESCRIPTION: The project will include drought tolerant landscaping, shade trees, recreational features, pedestrian pathways, signage, lighting, picnic benches, a stormwater bioretention basin, and a stormwater capture and reuse system for park irrigation. PROJECT NEED: The project features the transformation of vacant, City -owned parcels into a 1.25-acre new community park. The project helps advance the City's park acreage goal of 3-acres per 1, 000 residents and will provide significant recreational and environmental benefits. PROJECT COSTS FY 23/24 FY 24/25 FY 25/26 FY 26/27 FY 27/28 FY 28/29 FY 29/30 Construction 3,147,500 - - - - - - Engineering 335,000 Planning 20,000 TOTAL 3,502,500 - - - - - - SOURCE OF FUNDS FY 23124 FY 24125 FY 25126 FY 26127 FY 27128 FY 28129 FY 29130 CNRA Urban Greening Grant 3,502,500 - - - - - - TOTAL 3,502,500 - - - - - AGENCY: DIVISION: Public Works C/P Engineering CONTACT: Craig Foster, NPDES Manager DATE: 01-Aug-2023 City Council 12 — 5 8/1/2023 Public Works Agency www.santa-ana.org/public-works Item # 13 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: Agreement for Industrial/Commercial Inspection and NPDES Program Support Services. AGENDA TITLE Approve Agreement with WSP USA Environment & Infrastructure Inc. for Industrial/Commercial Inspection and National Pollutant Discharge Elimination System (NPDES) Program Support Services (Non -General Fund) RECOMMENDED ACTION Authorize the City Manager to execute an agreement with WSP USA Environment & Infrastructure Inc. to provide stormwater related inspections of industrial/commercial establishments and National Pollutant Discharge Elimination System Program Support Services for a three-year term beginning August 1, 2023 and expiring on July 31, 2026, with provisions for one two-year extension exercisable by the City Manager and City Attorney, for a total amount not to exceed $1,750,000 over the lifetime of the agreement, including the optional two-year extension period, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The City of Santa Ana is a co-permittee under the North Orange County Municipal Separate Storm Sewer System (MS4) Permit (Order No. R8-2009-0030, as amended by Order No. R8-2010-0062). The Permit requires the City to reduce pollutants discharged in urban runoff to the "maximum extent practicable." In order to comply with the Permit, the City is required to inspect industrial and commercial facilities for potential discharges of pollutants into the stormdrain system. On March 16, 2023, the Public Works Agency released Request for Proposal (RFP) No. 23-028 to seek the services of professional consultants to provide stormwater related inspections of industrial and commercial establishments and National Pollutant Discharge Elimination System (NPDES) Program Support Services (Exhibit 1). The RFP was advertised on the City's online procurement management and publication system (PlanetBids) with proposals due on April 6, 2023. Three proposals were received and evaluated by a selection committee. The proposal rankings were based on a combination of qualifications, relevant project experience, understanding of need, and references. The table below summarizes the rank and score for each contractor that submitted a proposal. City Council 13 — 1 8/1/2023 Agreement for Industrial/Commercial Inspections and NPDES Program Support Services August 1, 2023 Page 2 Consultant Rank WSP USA Environment & Infrastructure Inc. 1 Michael Baker International 2 Willdan 3 In accordance with the qualifications based selection process, the fee schedules were opened after proposal evaluations were completed. Staff recommends WSP USA Environment & Infrastructure Solutions Inc. be retained to provide these services (Exhibit 2) based upon the scope of work and selection criteria outlined in RFP No. 23- 028. The primary services provided under this Agreement will be Industrial/Commercial Inspection and NPDES Program Support Services. Additional services will also be provided for Database Management and various NPDES Program support tasks. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The current fiscal year funding is available in the FY 2023-24 budget and future fiscal year funding will be included in the proposed budgets for City Council consideration. Fiscal Year Accounting Fund Accounting Unit, Amount Unit — Description Account Description Account No. Agreement Term (August 1, 2023 through July 31, 2026 2023-24 05717640- Federal Clean Federal Clean Water $350,000 (August -June) 62300 Water Protection Protection Enterprise, Enterprise Contract Services - Professional 2024-25 05717640- Federal Clean Federal Clean Water $350,000 (July -June) 62300 Water Protection Protection Enterprise, Enterprise Contract Services - Professional 2025-26 05717640- Federal Clean Federal Clean Water $325,000 (July -June) 62300 Water Protection Protection Enterprise, Enterprise Contract Services - Professional 2026-27 05717640- Federal Clean Federal Clean Water $25,000 (July 1-31) 62300 Water Protection Protection Enterprise, Enterprise Contract Services - Professional SUBTOTAL: $1,050,000 City Council 13 — 2 8/1/2023 Agreement for Industrial/Commercial Inspections and NPDES Program Support Services August 1, 2023 Page 3 Fiscal Year Accounting Fund Accounting Unit, Amount Unit — Description Account Description Account No. Optional Extension Period (August 1, 2026, through July 31, 2028) 2026-27 05717640- Federal Clean Federal Clean Water $350,000 (August -June) 62300 Water Protection Protection Enterprise, Enterprise Contract Services - Professional 2027-28 05717640- Federal Clean Federal Clean Water $325,000 (July -June) 62300 Water Protection Protection Enterprise, Enterprise Contract Services - Professional 2028-29 05717640- Federal Clean Federal Clean Water $25,000 (July 1-31) 62300 Water Protection Protection Enterprise, Enterprise Contract Services - Professional SUBTOTAL: $700,000 TOTAL: $1,750,000 EXHIBIT(S) 1. RFP No. 23-028 2. Agreement with WSP USA Environment & Infrastructure Inc. Submitted By: Nabil Saba, Executive Director - Public Works Agency Approved By: Kristine Ridge, City Manager City Council 13 — 3 8/1/2023 REQUEST FOR PROPOSALS (RFP) FOR INDUSTRIAL/COMMERCIAL INSPECTION AND NPDES PROGRAM SUPPORT SERVICES CITY OF SANTA ANA Public Works Agency 20 Civic Center Plz (M-22) Santa Ana, CA 92701 Proiect Manager Craig Foster, EIT, CPSWQ, QSD/P NPDES Manager (714) 647-5659 cfoster a,santa-ana.or� for Release: KEY RFP DATES (Subject to chanIZe at discretion of City): Issue Date: Letter of Intent: Deadline for Requests for Information Proposal Due Date: .Anticipated Council Award Date: kA J G C Nabil Saba, PE Executive Director Public Works Agency Thursday March 16, 2023 Thursday March 23, 2023 Thursday March 30, 2023 Thursday April 6, 2023 at 5:00 p.m. Tuesday June 20, 2023 City Council 13 — 4 8/1/2023 NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified Consultants for Industrial/Commercial Inspection and NPDES Program Support Services. Responses to this Request for Proposals (RFP) will be accepted until 5:00pm on Thursday, April 6, 2023. Proposals must be submitted electronically through the PlanetBids system. It is the responsibility of the proposer to ensure that any proposals submitted have been uploaded to PlanetBids prior to the proposal due date and time stated on the cover page of this RFP. All notifications, requests for information, updates and addenda will be posted on the PlanetBids page at hgps://www.planetbids.coM 2ortal/portal.cfm?CompanyID=20137. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive proposal. In addition to the electronic submittal through the PlanetBids system, all proposers must deliver five (5) hardcopies of their proposals to the Public Works bid drop-off box at Santa Ana City Hall by 5 00pm on Friday, April 7, 2023. The proposal fee schedule does not need to be included in the hardcopy submittal. The bid drop-off box is located at: Santa Ana City Hall - First Floor (next to Public Works permit counter) 20 Civic Center Plaza Santa Ana, CA 92701 City o N anta na RFP 23-02 age 2 LETTER OF INTENT: As a courtesy to the City, all interested Consultants must submit a Letter of Intent of their pending proposal to the noted Project Manager by the required date, as shown on the cover page of this RFP. Letters of Intent shall be sent via email and shall include the information below: 1. Use formal company letterhead. 2. Indication of company interest in the RFP. 3. Acknowledgement of candidate's responsibility to monitor the City's website for any amendments or modifications to the RFP. 4. Provision of correct, complete contact information. Failure to submit a Letter of Intent will lead to disqualification of the firm. City o N anta na RFP 23-02 age 3 TABLE OF CONTENTS I. INTRODUCTION / PROJECT DESCRIPTION 4 II. INSTRUCTIONS TO PROPOSERS 6 A. CITY RESPONSIBILITIES B. PROPOSER RESPONSIBILITIES C. REQUEST FOR INFORMATION OR CLARIFICATION D. ADDENDA E. LICENSES & PERMITS F. INSURANCE G. INFORMATION PACKET H. PRE -PROPOSAL MEETING I. CITY RIGHT TO REJECT J. BID PROTESTS III. SUBMITTAL REQUIREMENTS 8 A. GENERAL B. PROPOSAL CONTENTS 1. STATEMENT OF QUALIFICATIONS 2. SCOPE OF SERVICES AND SCHEDULE 3. FEE PROPOSAL 4. CERTIFICATIONS IV. PROPOSAL REVIEW (CONSULTANT SELECTION) 10 A. EVALUATION AND RATING B. SELECTION V. CONTRACT AWARD 10 A. REQUEST FOR COUNCIL ACTION B. EXECUTION OF AGREEMENT VI. IMPLEMENTATION 11 A. KICK-OFF MEETING B. NOTICE TO PROCEED VII. PUBLIC RECORDS 11 1I/ I I Imo\ > > olel 11►:/ ATTACHMENT 1: SCOPE OF WORK ATTACHMENT 2: SAMPLE AGREEMENT ATTACHMENT 3: CERTIFICATIONS ATTACHMENT 4: FEE SCHEDULE City o N a a na RFP 23-02 age 4 I. INTRODUCTION / PROJECT DESCRIPTION Nature of Work: The City of Santa Ana is seeking a qualified Consultant to perform Industrial/Commercial Inspection and NPDES Program Support Services. A detailed Scope of Work is included in the Appendix of this RFP as Attachment 1. Number of Proposals and Signature: Proposals must be submitted electronically through the PlanetBids system. It is the responsibility of the proposer to ensure that any proposals submitted have been uploaded to PlanetBids prior to the proposal due date and time stated on the cover page of this RFP. Proposals shall be signed by a company official with the power to bind the company. Please be explicit in identifying the he appropriate person with legal authority to bind the company. The proposal fee schedule must be submitted as a separate attachment in the PlanetBids system, and not be included as part of the proposal. Consultants are required to complete ATTACHMENT 4 — FEE SCHEDULE and include it with their submittal. Five (5) hardcopies of the proposals must also be dropped -off to Santa Ana City Hall in accordance with page 2 of this RFP. The proposal fee schedule does not need to be included in the hardcopy submittal. The Statement of Qualifications shall be limited to a maximum of twenty (20) double - sided pages (excluding front and back covers, section dividers and attachments such as resumes, forms). Font size shall be minimum 11-point Arial. Proposal exhibits shall be maximum I I" x 17". Proposal Evaluation and Rating_ The criteria for evaluating the proposals submitted is shown below: Relevant Project Experience 35% Staff and Subconsultant Qualifications 30% Understanding of Need 25% References 10% The City has established a proposal review committee to evaluate proposals based on the response to this RFP, which includes adherence to outlined directions and format, and the City o N anta na RFP 23-02 age 5 City evaluation criteria set forth above. A final score will be calculated for each submitted proposal and used to rank the proposers. After proposal ranking, cost negotiations may begin with the most qualified consultant(s) and only their cost proposals will be opened. Should negotiations fail or result in a price that the City does not consider fair and reasonable, negotiations will be formally terminated and the City will then undertake negotiations with the next most qualified consultant(s). Project Funding: The primary funding source for these services is the City's NPDES Program budget. Special project funding sources may vary and shall comply with the funding agency's requirements. Special conditions may apply. Refer to Attachment 1 (Scope of Work) in the Appendix of this RFP. Prevailing Wages: In accordance with the California State Labor Code, prevailing wage rates apply. Copies of the prevailing rate of per diem wages are on file with the Public Works Agency and shall be made available to any interested party on request. Contractors shall submit certified payroll to the City for work performed in a timely manner. The City may withhold invoice payment until certified payroll is received. Term of Contract Agreement: The City desires to enter into an Agreement with the highest ranking Consultant for an initial three (3) year term with a City option to exercise one (1), two (2) year extension period. This term is outlined in the Standard Consultant Agreement, as contained in the Appendix of this RFP as Attachment 2. II. INSTRUCTIONS TO PROPOSERS A. CITY RESPONSIBILITIES The City will provide information in its possession relevant to preparation of required information in this RFP. The City will provide only the staff assistance and documentation specifically referred to herein. B. PROPOSER RESPONSIBILITIES Point of Contact: The selected proposers will assume responsibilities for all services in its proposal. The selected proposers shall identify a sole point of contact with the greatest knowledge concerning the required service operations and contractual matters, including payment of all charges resulting from the Agreement. City o N anta na RFP 23-02 age 6 Evidence of Financial Capacity: Proposers may be requested to submit its most recent audited financial statement, evidencing proposer's financial capacity to fully perform the required services, including provision of equipment and personnel expenses over a ninety (90) day period. If said financial statement does not reflect full ninety (90) day operational capacity, proposer may include a letter of credit as evidence of supplemental capacity. C. REQUEST FOR INFORMATION OR CLARIFICATION All questions or requested clarifications shall be made only in writing in the Q&A section located in PlanetBids prior to the deadline for Requests for Information outlined on the cover page of this RFP. No verbal requests will be accepted. Significant interpretations or clarifications will be addressed via addenda to this RFP. D. ADDENDA Any significant changes in the RFP from the date of release to the date of submittal will result in an addendum or amendment. As set forth in the Notice Inviting Proposals, notification of such addendum or amendment shall be posted on PlanetBids at https://www.planetbids.com/portal/portal.cfm?CompanylD=20137. Addenda shall become part of the agreement documents. E. LICENSES & PERMITS The selected proposers shall be required to obtain a City of Santa Ana Business license within ten (10) business days of selection and must provide a copy to the City's project manager or designee prior to commencing any work in Santa Ana. Additionally, Proposers will be responsible for obtaining any licenses/permits required by the Scope of Work. F. INSURANCE The Selected Proposers shall provide the required evidence of insurance coverage as set forth in the Scope of Work within ten (10) business days after receipt of notice that the contract has been awarded. Failure to provide the required insurance certificates shall be cause for the annulment of the award and the forfeiture of the proposal guaranty. The City will provide the Selected Proposers with a "New Vendor Checklist", which outlines insurance requirements. G. PAYMENT INFORMATION PACKET The selected proposers shall return a completed payment information packet within ten (10) business days after the successful proposer has received notice that the contract has been awarded. H. PRE -PROPOSAL MEETING There is no pre -proposal meeting scheduled for this RFP. City o N anta na RFP 23-02 age 7 I. CITY RIGHT TO REJECT The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any contract will be awarded pursuant to this RFP or otherwise. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any minor inconsistency, informality or technical defect in the proposal. The City reserves the right to reject, replace, and approve any and all subcontractors. All subcontractors shall be identified in response to this RFP. Subcontractors shall be the responsibility of the selected proposer and the City shall assume no liability of such subcontractors. III. SUBMITTAL REQUIREMENTS A. GENERAL 1. The number of Proposal Copies and signature is specified in: RFP SECTION I - INTRODUCTION / PROJECT DESCRIPTION 2. Deadline: Proposals are due to the City of Santa Ana via PlanetBids at the date and time specified in the Notice Inviting Proposals. B. PROPOSAL CONTENTS The proposal format and page limitation, if any, is specified in: RFP SECTION I - INTRODUCTION / PROJECT DESCRIPTION 1. STATEMENT OF QUALIFICATIONS a. Cover Letter: Proposals shall include a letter signed by a principal or authorized representative who can make legally binding commitments for the entity. b. Contract Agreement Statement: Proposals shall include a statement outlining concurrence or concerns with any and all provisions contained in the Agreement attached herein as Attachment 2 in the Appendix. Staff and Subconsultant Qualifications: Proposals shall include a profile of the firm's experience and resumes which outline the City o N a a na RFP 23-02 age 8 experience of the firm's Staff and Subconsultants that will be providing services. At a minimum, this should include the project manager or principal agent, associates in charge when the project manager or principal agent is unavailable, key personnel, firm size, and an organization chart identifying only those who will perform work for the proposed project and the percentage of each individual's time devoted to this project. The project manager or principal agent shall be the primary contact person to represent your firm and will be the person to conduct the presentation, if invited for an interview. Staff or Subconsultants who are not anticipated to provide any services should not be included in the proposal. d. Understanding of Need: Proposals shall include an outline which demonstrates contractor's understanding of the work. This outline should include anticipated approach, tasks necessary for successful completion, deliverables, and suggestions or special concerns that the City should be made aware of. Identify any assumptions and/or exclusions used in preparation of the scope of work and associated fee estimate. e. Relevant Project Experience: Proposal shall include a list of relevant projects, which your firm or personnel have completed within the last 5 years, including significant work with public agencies. Project information should include project description, project location, year completed, and client name and contact information. f. References: Proposal shall include a list of relevant projects with references from three public entities for which Proposer has performed similar work within the past five (5) years. 2. SCOPE OF SERVICES AND SCHEDULE: Proposals shall include a Scope of Services and Schedule that detail the work phases to be completed, deliverables to be provided, and the schedule to complete the work, based upon the Scope of Work detailed in Attachment 1 of this RFP. 3. FEE PROPOSAL: The fee proposal shall be submitted concurrently with the technical proposal, but as a separate attachment, clearly labeled as "Fee Proposal." The fee proposal shall include a list of all positions, hourly rates, equipment and material costs, and any other costs required to perform the services described in the Scope of Work detailed in Attachment 1 of this RFP. City o N anta na RFP 23-02 age 9 The fee proposal will not be opened until the proposals have been evaluated by the proposal selection committee. The City will select the consultant based on qualifications, and then negotiate a contract price based on available funding. Should negotiations fail or result in a price that the City does not consider fair and reasonable, negotiations will be formally terminated and the City will then undertake negotiations with the next most qualified consultant(s). Subconsultant markup shall not exceed 10% for any services performed. 4. CERTIFICATIONS: The following forms shall be signed and included as part of the proposal submittal package: Attachment 3-1: Non -Collusion Affidavit Attachment 3-2: Non -Lobbying Certification Attachment 3-3: Non -Discrimination Certification IV. PROPOSAL REVIEW (CONSULTANT SELECTION) A. EVALUATION AND RATING The criteria for evaluating the proposals are specified in: RFP SECTION I - INTRODUCTION / PROJECT DESCRIPTION. B. SELECTION The selection committee will be comprised of a minimum of three (3) City staff. The selection committee may interview the top ranking proposers. Staff will recommend award of the contract to the proposer who will provide the best value and expertise to the City. The City reserves the right to begin negotiations and enter into a contract without interview or further discussions. V. CONTRACT AWARD A. REQUEST FOR COUNCIL ACTION Following evaluation and rating by the selection committee, the Project Manager will recommend awarding contracts to the top-ranking proposer that will provide the best value and expertise to the City. The anticipated Council award date is June 20, 2023. B. EXECUTION OF AGREEMENT The Scope of Services and Fees submitted in the proposal will be the basis of any negotiation of final terms, which will lead to a completed agreement ready for execution based on the standard Agreement attached herein as Attachment 2 in the Appendix. City o N anta na RFP 23-02 age 10 VI. IMPLEMENTATION A. KICK-OFF MEETING A kick-off meeting will be held after award of the contract. The selected Consultant and their team will meet with City of Santa Ana staff to conduct introductions, discuss scope of services, and implementation processes. B. NOTICE TO PROCEED Prior to issuance of a formal Notice to Proceed (NTP), Consultants shall provide all required bonds, insurance documents, and contents of the Information Packet for review and approval by the City. VII. PUBLIC RECORDS All data, documents and other products used, developed, or produced during response preparation of this RFP will become property of the City. All responses to this RFP shall become property of the City. Proposer information identified as proprietary information be maintained confidential, to the extent allowed under the California Public Records Act. Proposals will become public record after award of contract. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. City o N anta na RFP 23-02 age 11 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS INDUSTRIAL/COMMERCIAL INSPECTION AND NPDES PROGRAM SUPPORT SERVICES RFP NO.23-028 INTRODUCTION/BACKGROUND The City of Santa Ana is 27.2 square miles and is located in central Orange County, California. Santa Ana is the most densely populated city in the county, with a total population of 338,247 and approximately 12,435 people per square mile. Santa Ana sits within three major watersheds: the Newport Bay watershed, the Santa Ana River watershed, and the Anaheim Bay/Huntington Harbour watershed. The City is a co-permittee under the North Orange County Municipal Separate Storm Sewer System (MS4) NPDES Permit (Order No. R8-2009-0030, as amended by Order No. R8-2010- 0062). The Permit presents a series of technical, legal, and regulatory challenges to the City and as a result, the City has developed a rigorous National Pollutant Discharge Elimination System (NPDES) Program. The Permit requires the City to reduce pollutants discharged in urban runoff to the "Maximum Extent Practicable". In order to comply with the Permit, the City is required to conduct inspections at Industrial and Commercial facilities within its jurisdiction to verify BMP implementation, prohibit the discharge of pollutants to the City's MS4, and issue enforcement as - needed. The City is soliciting proposals from qualified consulting firms to conduct inspections at all Industrial and Commercial facilities within the City, as required by the North Orange County Municipal NPDES permit. Additionally, the selected Consultant shall manage the Industrial and Commercial Facility Inspection Database to track facility inspections and provide additional NPDES Program support on an as -needed basis. The selected Consultant must have the experience, technical expertise, and demonstrated resources available to perform the work described in the Scope of Services below. The City desires to enter into an Agreement with the top-ranking Consultant for an initial three (3)-year term, with a City option to exercise one (1), two (2)-year extension period. City o anta na RFP 23-02 age Al-1 SCOPE OF SERVICES 1) Industrial and Commercial Facility Inspections Consultant shall perform the following tasks: i) Deploy all necessary personnel, equipment, and materials to conduct Industrial and Commercial Facility Inspections to verify Best Management Practice (BMP) implementation and prohibit discharges of pollutants to the City's MS4 (a) Inspections shall comply with the requirements of the City's Municipal NPDES Permit (b) Consultant shall ensure all staff receive proper training and have adequate Personal Protective Equipment (PPE) to successfully and safely conduct Industrial and Commercial Facility inspections (c) Consultant shall send out courtesy notifications to Facility operators of upcoming inspections (d) Consultant shall send out copies of completed inspection reports to Facility operators outlining any deficiencies or required corrections and include applicable BMP fact sheets with recommendations (e) Consultant shall provide educational materials to Facility operators regarding the Statewide Industrial General Permit or other applicable NPDES regulations and City requirements (f) Consultant shall issue enforcement actions for violations of Santa Ana Municipal Code. Enforcement actions may include, but are not limited to: verbal warnings and Administrative Citations with monetary fines (g) Consultant shall be solely responsible for tracking and completing all required Industrial and Commercial Facility Inspections each fiscal year per the requirements of the City's Municipal NPDES Permit ii) Any other work required to safely and effectively conduct Industrial and Commercial Facility inspections Based upon the City's Prioritized Industrial and Commercial Facility Inventory, the following facilities will need to be inspected during the next three fiscal years. These numbers are approximate and are subject to change. City o N anta na RFP 23-02 age Al-2 City of Santa Ana Industrial and Commercial Facility Inspection Schedule FY 2023-2026' High Medium Low High Medium Low Fiscal Priority Priority Priority Priority Priority Priority Re - Year Industrial Industrial Industrial Commercial Commercial Commercial Ins ections2 Total 2023-24 125 110 165 130 155 165 170 1,020 2024-25 125 110 165 130 155 165 170 1,020 2025-26 125 110 165 130 155 165 170 1,020 Total 375 330 495 390 465 495 510 3,060 Inspection numbers estimated using FY 2021-22 inspection data. Future revisions to the Industrial and Commercial Facility Database (based upon business license data and field conditions) could change inspection quantities. Adoption of the fifth term Municipal NPDES permit could also change inspection quantities. 2Assumes 20% of inspections require follow-up for BMP deficiencies or non-compliance. 2) Database Management Consultant shall perform the following tasks: i) Manage the City's Industrial and Commercial Facility Inspection Program database (a) The database shall comply with the requirements of the City's Municipal NPDES Permit (b) The database shall be routinely updated as -needed (i) The City will provide business license data (c) The Consultant shall be responsible for prioritizing Industrial and Commercial Facilities as high, medium, or low priority based on the requirements of the City's Municipal NPDES Permit (d) Consultant shall be solely responsible for managing the Industrial and Commercial Facility Inspection Program Database ii) Prepare and submit Quarterly Reports to the City summarizing inspection results and enforcement actions issued to Industrial Facilities per the requirements of the City's Municipal NPDES Permit iii) Prepare and submit the Existing Development section of the NPDES Annual Program Effectiveness Assessment (PEA) to the City iv) Any other work required to effectively conduct Database Management 3) As -Needed NPDES Program Support Consultant shall be capable of and may be requested to perform the following tasks: i) Additional NPDES Program Inspections (a) Construction site inspections City o N anta na RFP 23-02 age Al-3 (b) Municipal Facility inspections (c) Food Facility inspections (d) Illegal Discharge/Illicit Connection inspections and spill response (e) Source investigations (f) Water Quality Management Plan (WQMP) inspections (g) Inspections shall comply with the requirements of the City's Municipal NPDES Permit or Statewide Construction General Permit (if applicable) (h) Consultant shall ensure all staff receive proper training and have adequate Personal Protective Equipment (PPE) to successfully and safely conduct inspections (i) Consultant shall issue enforcement actions for violations of Santa Ana Municipal Code. Enforcement actions may include, but are not limited to: verbal warnings and Administrative Citations with monetary fines ii) Statewide Trash Provisions Support (a) Consultant shall have technical knowledge of the Statewide Trash Provisions and advise the City how to comply with the Statewide Trash Provisions (b) Analyze the City's MS4, delineate drainage areas, and identify potential "Direct Connections" (c) Conduct On -Land Visual Trash Assessments (OVTA) to quantify trash loads from various land uses throughout the City (d) Calculate the trash load captured by existing Best Management Practices (BMPs) and the total trash load required to be captured by the City (e) Identify opportunities for full trash capture device installation throughout the City (f) Prepare and submit maps, memorandums, or reports detailing the City's trash capture efforts and status of compliance with the Statewide Trash Provisions iii) Water Quality Management Plans (WQMPs) Support (a) Prepare and review WQMPs for priority and non -priority development projects (b) Hydraulic calculations, mapping, and hydraulic modeling (c) Design Best Management Practices (BMPs) for stormwater capture, treatment, or reuse (d) WQMPs and associated BMPs shall comply with the requirements of the City's Municipal NPDES Permit and applicable design guidance documents (e) WQMPs and BMP designs shall be prepared and stamped by a licensed Professional Engineer (PE) in the State of California iv) Stormwater Sampling and Analysis (a) Deploy all necessary personnel, equipment, and materials to collect stormwater or urban runoff samples (b) All sampling activities shall be in accordance with industry standards and applicable NPDES Permits City o N anta na RFP 23-02 age Al-4 (c) Consultant shall ensure all staff receive proper training and have adequate Personal Protective Equipment (PPE) to successfully and safely conduct stormwater sampling and analysis (d) Submit samples to a certified laboratory for analysis (e) Conduct pollutant load analysis (f) Prepare and submit data reports to the City analyzing the water quality of the samples v) Future Municipal NPDES Permit(s) Support (a) Analyze future Municipal NPDES Permit(s) and advise the City of pending changes and impacts to its NPDES Program (b) Assist the City in transitioning or modifying the NPDES Program to comply with future Municipal NPDES Permit(s) (c) Update plans associated with NPDES Permits, including but not limited to: Local Implementation Plan (LIP) and Drainage Area Management Plan (DAMP) vi) Total Maximum Daily Loads (TMDL) Support (a) Consultant shall have technical knowledge of TMDL requirements in watersheds the City is located within (b) Advise the City how to comply with TMDL requirements (c) Prepare and review special studies or reports associated with TMDL compliance vii) Watershed Management Plans (WMP) Support (a) Consultant shall have technical knowledge of WMP development and implementation (b) Conduct Reasonable Assurance Analysis (RAA) (c) Advise the City how to comply with WMP requirements viii) Statewide Construction General Permit (CGP) Support (a) Prepare and submit Stormwater Pollution Prevention Plans (SWPPP), Inspection Reports, Rain Event Action Plans (REAP), Annual Reports, Notices of Intent (NOI), Notices of Termination (NOT), Ad -Hoc Reports, Numeric Action Level (NAL) Exceedance Reports, or other related documents to the City for Capital Improvement Projects (b) All documentation shall comply with the requirements of the Statewide Construction General Permit (CGP) and shall be prepared by a licensed Qualified Stormwater Pollution Prevention Plan Developers (QSD) or Qualified Stormwater Pollution Prevention Plan Practitioners (QSP) ix) Any other work related to compliance with NPDES Permits or development of the City's NPDES Program City o A - na RFP 23-02 age Al-5 B. OTHER REQUIREMENTS Consultant shall adhere to all requirements of applicable NPDES Permits and environmental regulations while performing services under this Agreement. Contractors shall immediately notify the City should they become aware of any activities or events that may be deemed non- compliant. C. CITY RESPONSIBILITIES The City will provide information in its possession relevant to the completion of the tasks outlined in this RFP. In general, this includes, but is not limited to: • Furnish scope of work and provide general direction as -needed to complete tasks • Furnish documents, business license data, storm drain maps, land use data, or other information relevant to the Scope of Services • Provide access to stormdrain facilities • Facilitate meeting space and coordination at City facilities OTHER TERMS AND CONDITIONS: 1. All work shall be implemented in compliance with City of Santa Ana policies, as well as Prevailing Wage law and applicable State and Federal Requirements. 2. The City reserves the right to amend this Request for Proposal by addendum prior to the final dates of submission. 3. All reports, proposals, or other data or materials which are submitted shall become the sole property of the City of Santa Ana with the exception of the confidential Financial Capacity information and fee proposals. 4. All products used or developed in the execution of any contract resulting from this request will remain in the public domain at the completion of this project. 5. The City has an affirmative action program. The purpose of the affirmative action program is to encourage certified minority business enterprises and women business enterprises. All submitting Contractors must have established affirmative action programs approvable by the City. During the RFP stage, all Contractors will need to complete a "Certification of Non -Discrimination by Contractors" for each firm on their team. City o N anta na RFP 23-02 age Al-6 Appendix ATTACHMENT 2 SAMPLE AGREEMENT CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this day of , 2023 by and between ("Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. On March 16, 2023, the City issued Request for Proposal No. 23-028, by which it sought a consultant to provide Industrial/Commercial Inspection and NPDES Program Support Services. B. Consultant submitted a responsive proposal that was selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 23-028 and addendum thereto. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional 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 Consultant shall perform the services that were described in the scope of work that was included in RFP No. 23-028, which is attached as Exhibit A, and as more specifically delineated in Consultant's proposal, which is attached as Exhibit B and incorporated in full. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services provided under RFP No. 23-028, the rates and charges identified in Exhibit C. The total annual amount to be expended under this Agreement shall not exceed $ during the term of this Agreement, including any extension periods. b. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. City o N anta na RFP 23-02 age A2-1 3. TERM This Agreement shall commence on the date first written above and terminate on , unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for one 2-year period upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ("Documents & Data"). Consultant shall require all subconsultants to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subconsultant prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. City VoN a Ma na RFP 23-02 age A2-2 7. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subconsultants, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the California Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect, by Consultant, without thirty (30) days prior written notice to the City. (iv) Consultant shall supply City with a fully executed additional insured endorsement. City VoN anta na RFP 23-02 age A2-3 f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, Consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its subconsultants, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend, indemnify and hold harmless the City, its officers, agents, representatives, and employees against any and all liability, including costs, and attorney's fees, for infringement of any United States' letters patent, trademark, or copyright contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 10. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular City VoN anta na RFP 23-02 age A2-4 business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 11. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: (714) 647-6956 Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 City o N anta na RFP 23-02 age A2-5 To Consultant: Consultant Name Consultant Address Consultant Contact 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 Consultant regarding the subject matter herein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Consultants retained by City. 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. City VoN anta na RFP 23-02 age A2-6 17. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 18. NON-DISCRIMINATION Consultant shall not discriminate because of race, color, creed, relation, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities or in connection with any activities under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 19. JURISDICTION -VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 20. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such 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 City VoN anta na RFP 23-02 age A2-7 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: JENNIFER HALL Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney LO-A John M. Funk Sr. Assistant City Attorney RECOMMENDED FOR APPROVAL NABIL SABA, PE Executive Director Public Works Agency CITY OF SANTA ANA KRISTINE RIDGE City Manager CONSULTANT Name: Title: City VoN a Ma na RFP 23-02 age A2-8 EXHIBIT A RFP 23-028 SCOPE OF WORK City o N anta na RFP 23-02 age A2-9 EXHIBIT B CONSULTANT PROPOSAL City o N anta na RFP 23-02 age 2-10 EXHIBIT C CONSULTANT FEE SCHEDULE City o N anta na RFP 20-10 age 2-11 ATTACHMENT 3 ATTACHMENT 3-1: NON -COLLUSION AFFIDAVIT CERTIFICATIONS NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non -collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non -collusion Affidavit. 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. Notary Public Signature Notary Public Seal City o anta na RFP 23-02 age A3-1 ATTACHMENT 3 ATTACHMENT 3-2: NON -LOBBYING CERTIFICATION CERTIFICATIONS The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. 2. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities". This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firm Signed and Printed Name: Title Date City o anta Ana RFP 23-02 age A3-2 ATTACHMENT 3 ATTACHMENT 3-3: NON-DISCRIMINATION CERTIFICATION CERTIFICATIONS 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. 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 City o anta Ana RFP 23-02 age A3-3 by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a sub -consultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 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: Firm: Date: City VoN a Ma na RFP 21-00 age A2-4 Appendix ATTACHMENT 4 FEE SCHEDULE CITY OF SANTA ANA REQUEST FOR PROPOSALS INDUSTRIAL/COMMERCIAL INSPECTION AND NPDES PROGRAM SUPPORT SERVICES RFP NO.23-028 The Consultant shall furnish a fee schedule for the proposed services. The Consultant shall include a total cost broken down by Task as shown in Table 1 through Table 3 below, and complete Tables 4 through 7. The annual budget for Task 3 (As -Needed NPDES Program Support) will be determined by the City and will be considered a contingency to the Agreement. The City will utilize this task as -needed pending available budget. Attachment 4 — Fee Schedule must be submitted as a separate attachment in the PlanetBids system, and not be included as part of the proposal. Attachment 4 — Fee Schedule does not need to be included in the hardcopy submittal. Consultant may submit a revised Fee Schedule at the beginning of the fiscal year (July 1) for any adjustments to the hourly rates. The Consultant may be required to submit supporting back-up documentation for the revised fee schedule changes. The City shall review and determine if the rate increases are warranted. The City's determination is final. City o anta na RFP 23-02 age A4-1 TABLE 1 Year' High Priority Industrial Medium Priority Industrial Low Priority Industrial High Priority Commercial Medium Priority Commercial Low Priority Commercial Re - Ins ections2 Total 2023-24 125 110 165 1 130 1 155 165 170 1,020 Fiscal Year 2023-24 Task No. 1— Industrial and Commercial Facility Inspections $ Personnel/Labor Classification required for this Task (including hourly rates and hours): Task No. 2 — Database Management $ Personnel/Labor Classification required for this Task (including hourly rates and hours): Task No. 3 — As -Needed NPDES Program Support $TBD3 Personnel/Labor Classification required for this Task (including hourly rates and hours): Total Cost for Fiscal Year 2023-24 $ 'Inspection numbers estimated using FY 2021-22 inspection data. Future revisions to the Industrial and Commercial Facility Database (based upon business license data and field conditions) could change inspection quantities. Adoption of the fifth term Municipal NPDES permit could also change inspection quantities. 2Assumes 20% of inspections require follow-up for BMP deficiencies or non-compliance. 'Budget for this Task to be determined by the City and will be considered a contingency to the Agreement City o N anta na RFP 23-02 age A4-2 TABLE 2 Year' High Priority Industrial Medium Priority Industrial Low Priority Industrial High Priority Commercial Medium Priority Commercial Low Priority Commercial Re - Inspections2 Total 2024-25 125 110 165 1 130 1 155 165 170 1,020 Fiscal Year 2024-25 Task No. 1— Industrial and Commercial Facility Inspections $ Personnel/Labor Classification required for this Task (including hourly rates and hours): Task No. 2 — Database Management $ Personnel/Labor Classification required for this Task (including hourly rates and hours): Task No. 3 — As -Needed NPDES Program Support $TBD3 Personnel/Labor Classification required for this Task (including hourly rates and hours): Total Cost for Fiscal Year 2024-25 $ 'Inspection numbers estimated using FY 2021-22 inspection data. Future revisions to the Industrial and Commercial Facility Database (based upon business license data and field conditions) could change inspection quantities. Adoption of the fifth term Municipal NPDES permit could also change inspection quantities. 2Assumes 20% of inspections require follow-up for BMP deficiencies or non-compliance. 3Budget for this Task to be determined by the City and will be considered a contingency to the Agreement City o N anta na RFP 23-02 age A4-3 TABLE 3 Year' High Priority Industrial Medium Priority Industrial Low Priority Industrial High Priority Commercial Medium Priority Commercial Low Priority Commercial Re - Inspections2 Total 2025-26 125 110 165 1 130 1 155 165 170 1,020 Fiscal Year 2025-26 Task No. 1— Industrial and Commercial Facility Inspections $ Personnel/Labor Classification required for this Task (including hourly rates and hours): Task No. 2 — Database Management $ Personnel/Labor Classification required for this Task (including hourly rates and hours): Task No. 3 — As -Needed NPDES Program Support $TBD3 Personnel/Labor Classification required for this Task (including hourly rates and hours): Total Cost for Fiscal Year 2025-26 $ 'Inspection numbers estimated using FY 2021-22 inspection data. Future revisions to the Industrial and Commercial Facility Database (based upon business license data and field conditions) could change inspection quantities. Adoption of the fifth term Municipal NPDES permit could also change inspection quantities. 2Assumes 20% of inspections require follow-up for BMP deficiencies or non-compliance. 3Budget for this Task to be determined by the City and will be considered a contingency to the Agreement City o N anta na RFP 23-02 age A44 TABLE 4 LIST OF KEY PERSONNEL' Name & Job Title Function TABLE 5 LIST OF SUBCONSULTANTSZ Sub -Consultant Name / Address I Function 'Resumes of Key Personnel must be included in Consultant proposals 2Subconsultant resumes and qualifications must be included in Consultant Proposals City o anta na RFP 23-02 age A4-5 TABLE 6 PRICE SUMMARY SHEET HOURLY RATES Name Job Title/ Classification Job Function Fully Burdened Hourly Rate' 'Fully Burdened rate includes all overhead, general costs, administration costs, and profit City o N aO na RFP 23-02 age A4-6 TABLE 7 PRICE SUMMARY SHEET DIRECT EXPENSES' Direct Expense Cost Related Task/Job Function 'Direct expenses are expenses necessary to complete the Tasks outlined in the Scope of Work, such as vehicle mileage, subconsultant markup, equipment rental, etc. Subconsultant markup shall not exceed 10%. City o anta na RFP 23-02 age A4-7 AGREEMENT BETWEEN THE CITY OF SANTA ANA AND WSP USA ENVIRONMENT & INFRASTRUCTURE INC TO PROVIDE INDUSTRIAL/COMMERCIAL INSPECTION AND NPDES PROGRAM SUPPORT SERVICES THIS AGREEMENT is made and entered into this 1 st day of August, 2023 by and between WSP USA Environment & Infrastructure Inc. ("Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. On March 16, 2023, the City issued Request for Proposal No. 23-028, by which it sought qualified consultants to provide Industrial/Commercial Inspection and NPDES Program Support services for the City's Public Works Agency. B. Consultant submitted a responsive proposal that was among those selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 23-028. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional 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 Consultant shall perform the services described in the scope of work that was included in RFP No. 23-028, which is attached as Exhibit A, and as more specifically delineated in Consultant's proposal, which is attached as Exhibit B and incorporated in full. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services provided under RFP No. 23-028, the rates and charges identified in Exhibit C. The total annual amount to be expended under this Agreement shall not exceed $350,000 during the term of this Agreement, including any extension periods. b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. City Council 1 13 — 43 8/1 /2023 3. TERM This Agreement shall commence on the date first written above and terminate on July 31, 2026, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for one (1) two (2) year period upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ("Documents & Data"). Consultant shall require all subconsultants to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subconsultant prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. City Council 2 13 — 44 8/1 /2023 7. INSURANCE Consultant shall procure and maintain for the duration of the contract insurance against claimsfor injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder and the results of that work by the Consultant, his agents, representatives, employees or subcontractors. MINIMUM SCOPE AND LIMIT OF INSURANCE Coverage shall be at least as broad as: • Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including property damage, bodily injury andpersonal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separatelyto this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall betwice the required occurrence limit. • Automobile Liability: Insurance Services Office Form Number CA 0001 covering Code 1 (any auto), or if Vendor has no owned autos, Code 8 (hired) and 9 (non- owned), with limits no less than $1,000,000 per accident for bodily injury and propertydamage. (Not required if vendor provides written verification it has no vehicles). • Workers' Compensation insurance as required by the State of California, with Statutory Limits, and Employer's Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. • Professional Liability (Errors and Omissions): Insurance appropriates to the Consultant's profession, with limit no less than $1,000,000 per occurrence or claim, $2,000,000 aggregate. If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. Other Insurance Provisions The insurance policies are to contain, or be endorsed to contain, the following provisions: Additional Insured Status The City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant's insurance (at least as broad as ISO Form CG 20 10 1185 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions used). Primary Coverage For any claims related to this contract, the Consultant's insurance coverage shall be primary insurance primary coverage at least as broad as ISO CG 20 01 04 13 as respects the City, its City Council 13 — 45 8/1 /2023 officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Consultant's insurance and shall not contribute with it. Notice of Cancellation Each insurance policy required above shall state that coverage shall not be canceled, except with notice to the City. Waiver of Subrogation Consultant hereby grants to City a waiver of any right to subrogation which any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. Self -Insured Retentions Self -insured retentions must be declared to and approved by the City. The City may require the Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self -insured retention may be satisfied by either the named insured or City. Acceptability of Insurers Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best's rating of no less than A: VII, unless otherwise acceptable to the City. Claims Made Policies If any of the required policies provide coverage on a claims -made basis: 1. The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work. 2. Insurance must be maintained and evidence of insurance must be provided for at least five (S) years after completion of the contract of work. 3. If coverage is canceled or non -renewed, and not replaced with another claims -made policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase "extended reporting" coverage for a minimum of five (S) years after completion of contract work. Verification of Coverage Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements affecting the coverage required by these specifications, at any time. City Council 4 13 — 46 8/1 /2023 Subcontractors Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Contractor shall ensure that City is an additional insured on insurance required from subcontractors. Special or Low Risk Activities City reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances. The City reserves the right to modify or waive insurance requirements for certain low risk recreational activities. 8. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, Consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its subconsultants, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend, indemnify and hold harmless the City, its officers, agents, representatives, and employees against any and all liability, including costs, and attorney's fees, for infringement of any United States' letters patent, trademark, or copyright contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 10. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the City Council 5 13 — 47 8/1 /2023 costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 11. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: (714) 647-6956 City Council 6 13 — 48 8/1 /2023 Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 To Consultant: WSP USA Environment & Infrastructure Inc. Attn: Nathan Schaedler 3560 Hyland Ave Costa Mesa, CA 92626 (949) 642-0245 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 Consultant regarding the subject matter herein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Consultants retained by City. City Council 7 13 — 49 8/1 /2023 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 18. NON-DISCRIMINATION Consultant shall not discriminate because of race, color, creed, relation, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities or in connection with any activities under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 19. JURISDICTION -VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 20. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of City Council 8 13 — 50 8/1/2023 Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 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: JENNIFER L. HALL City Clerk APPROVED AS TO FORM SONIA R. CARVALHO City Attorney 51 Jose Montoya Assistant City Attorney RECOMMENDED FOR APPROVAL NABIL SABA, PE Executive Director Public Works Agency CITY OF SANTA ANA KRISTINE RIDGE City Manager CONSULTANT Nathan Schaedler Principal -In -Charge City Council 9 13 — 51 8/1/2023 EXHIBIT A City Council 13 — 52 8/1/2023 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS INDUSTRIAL/COMMERCIAL INSPECTION AND NPDES PROGRAM SUPPORT SERVICES RFP NO.23-028 INTRODUCTION/BACKGROUND The City of Santa Ana is 27.2 square miles and is located in central Orange County, California. Santa Ana is the most densely populated city in the county, with a total population of 338,247 and approximately 12,435 people per square mile. Santa Ana sits within three major watersheds: the Newport Bay watershed, the Santa Ana River watershed, and the Anaheim Bay/Huntington Harbour watershed. The City is a co-permittee under the North Orange County Municipal Separate Storm Sewer System (MS4) NPDES Permit (Order No. R8-2009-0030, as amended by Order No. R8-2010- 0062). The Permit presents a series of technical, legal, and regulatory challenges to the City and as a result, the City has developed a rigorous National Pollutant Discharge Elimination System (NPDES) Program. The Permit requires the City to reduce pollutants discharged in urban runoff to the "Maximum Extent Practicable". In order to comply with the Permit, the City is required to conduct inspections at Industrial and Commercial facilities within its jurisdiction to verify BMP implementation, prohibit the discharge of pollutants to the City's MS4, and issue enforcement as - needed. The City is soliciting proposals from qualified consulting firms to conduct inspections at all Industrial and Commercial facilities within the City, as required by the North Orange County Municipal NPDES permit. Additionally, the selected Consultant shall manage the Industrial and Commercial Facility Inspection Database to track facility inspections and provide additional NPDES Program support on an as -needed basis. The selected Consultant must have the experience, technical expertise, and demonstrated resources available to perform the work described in the Scope of Services below. The City desires to enter into an Agreement with the top-ranking Consultant for an initial three (3)-year term, with a City option to exercise one (1), two (2)-year extension period. City o anta na RFP 23-02 age Al-1 SCOPE OF SERVICES 1) Industrial and Commercial Facility Inspections Consultant shall perform the following tasks: i) Deploy all necessary personnel, equipment, and materials to conduct Industrial and Commercial Facility Inspections to verify Best Management Practice (BMP) implementation and prohibit discharges of pollutants to the City's MS4 (a) Inspections shall comply with the requirements of the City's Municipal NPDES Permit (b) Consultant shall ensure all staff receive proper training and have adequate Personal Protective Equipment (PPE) to successfully and safely conduct Industrial and Commercial Facility inspections (c) Consultant shall send out courtesy notifications to Facility operators of upcoming inspections (d) Consultant shall send out copies of completed inspection reports to Facility operators outlining any deficiencies or required corrections and include applicable BMP fact sheets with recommendations (e) Consultant shall provide educational materials to Facility operators regarding the Statewide Industrial General Permit or other applicable NPDES regulations and City requirements (f) Consultant shall issue enforcement actions for violations of Santa Ana Municipal Code. Enforcement actions may include, but are not limited to: verbal warnings and Administrative Citations with monetary fines (g) Consultant shall be solely responsible for tracking and completing all required Industrial and Commercial Facility Inspections each fiscal year per the requirements of the City's Municipal NPDES Permit ii) Any other work required to safely and effectively conduct Industrial and Commercial Facility inspections Based upon the City's Prioritized Industrial and Commercial Facility Inventory, the following facilities will need to be inspected during the next three fiscal years. These numbers are approximate and are subject to change. City o N anta na RFP 23-02 age Al-2 City of Santa Ana Industrial and Commercial Facility Inspection Schedule FY 2023-2026' High Medium Low High Medium Low Fiscal Priority Priority Priority Priority Priority Priority Re - Year Industrial Industrial Industrial Commercial Commercial Commercial Ins ections2 Total 2023-24 125 110 165 130 155 165 170 1,020 2024-25 125 110 165 130 155 165 170 1,020 2025-26 125 110 165 130 155 165 170 1,020 Total 375 330 495 390 465 495 510 3,060 Inspection numbers estimated using FY 2021-22 inspection data. Future revisions to the Industrial and Commercial Facility Database (based upon business license data and field conditions) could change inspection quantities. Adoption of the fifth term Municipal NPDES permit could also change inspection quantities. 2Assumes 20% of inspections require follow-up for BMP deficiencies or non-compliance. 2) Database Management Consultant shall perform the following tasks: i) Manage the City's Industrial and Commercial Facility Inspection Program database (a) The database shall comply with the requirements of the City's Municipal NPDES Permit (b) The database shall be routinely updated as -needed (i) The City will provide business license data (c) The Consultant shall be responsible for prioritizing Industrial and Commercial Facilities as high, medium, or low priority based on the requirements of the City's Municipal NPDES Permit (d) Consultant shall be solely responsible for managing the Industrial and Commercial Facility Inspection Program Database ii) Prepare and submit Quarterly Reports to the City summarizing inspection results and enforcement actions issued to Industrial Facilities per the requirements of the City's Municipal NPDES Permit iii) Prepare and submit the Existing Development section of the NPDES Annual Program Effectiveness Assessment (PEA) to the City iv) Any other work required to effectively conduct Database Management 3) As -Needed NPDES Program Support Consultant shall be capable of and may be requested to perform the following tasks: i) Additional NPDES Program Inspections (a) Construction site inspections City o N anta na RFP 23-02 age Al-3 (b) Municipal Facility inspections (c) Food Facility inspections (d) Illegal Discharge/Illicit Connection inspections and spill response (e) Source investigations (f) Water Quality Management Plan (WQMP) inspections (g) Inspections shall comply with the requirements of the City's Municipal NPDES Permit or Statewide Construction General Permit (if applicable) (h) Consultant shall ensure all staff receive proper training and have adequate Personal Protective Equipment (PPE) to successfully and safely conduct inspections (i) Consultant shall issue enforcement actions for violations of Santa Ana Municipal Code. Enforcement actions may include, but are not limited to: verbal warnings and Administrative Citations with monetary fines ii) Statewide Trash Provisions Support (a) Consultant shall have technical knowledge of the Statewide Trash Provisions and advise the City how to comply with the Statewide Trash Provisions (b) Analyze the City's MS4, delineate drainage areas, and identify potential "Direct Connections" (c) Conduct On -Land Visual Trash Assessments (OVTA) to quantify trash loads from various land uses throughout the City (d) Calculate the trash load captured by existing Best Management Practices (BMPs) and the total trash load required to be captured by the City (e) Identify opportunities for full trash capture device installation throughout the City (f) Prepare and submit maps, memorandums, or reports detailing the City's trash capture efforts and status of compliance with the Statewide Trash Provisions iii) Water Quality Management Plans (WQMPs) Support (a) Prepare and review WQMPs for priority and non -priority development projects (b) Hydraulic calculations, mapping, and hydraulic modeling (c) Design Best Management Practices (BMPs) for stormwater capture, treatment, or reuse (d) WQMPs and associated BMPs shall comply with the requirements of the City's Municipal NPDES Permit and applicable design guidance documents (e) WQMPs and BMP designs shall be prepared and stamped by a licensed Professional Engineer (PE) in the State of California iv) Stormwater Sampling and Analysis (a) Deploy all necessary personnel, equipment, and materials to collect stormwater or urban runoff samples (b) All sampling activities shall be in accordance with industry standards and applicable NPDES Permits City o N anta na RFP 23-02 age Al-4 (c) Consultant shall ensure all staff receive proper training and have adequate Personal Protective Equipment (PPE) to successfully and safely conduct stormwater sampling and analysis (d) Submit samples to a certified laboratory for analysis (e) Conduct pollutant load analysis (f) Prepare and submit data reports to the City analyzing the water quality of the samples v) Future Municipal NPDES Permit(s) Support (a) Analyze future Municipal NPDES Permit(s) and advise the City of pending changes and impacts to its NPDES Program (b) Assist the City in transitioning or modifying the NPDES Program to comply with future Municipal NPDES Permit(s) (c) Update plans associated with NPDES Permits, including but not limited to: Local Implementation Plan (LIP) and Drainage Area Management Plan (DAMP) vi) Total Maximum Daily Loads (TMDL) Support (a) Consultant shall have technical knowledge of TMDL requirements in watersheds the City is located within (b) Advise the City how to comply with TMDL requirements (c) Prepare and review special studies or reports associated with TMDL compliance vii) Watershed Management Plans (WMP) Support (a) Consultant shall have technical knowledge of WMP development and implementation (b) Conduct Reasonable Assurance Analysis (RAA) (c) Advise the City how to comply with WMP requirements viii) Statewide Construction General Permit (CGP) Support (a) Prepare and submit Stormwater Pollution Prevention Plans (SWPPP), Inspection Reports, Rain Event Action Plans (REAP), Annual Reports, Notices of Intent (NOI), Notices of Termination (NOT), Ad -Hoc Reports, Numeric Action Level (NAL) Exceedance Reports, or other related documents to the City for Capital Improvement Projects (b) All documentation shall comply with the requirements of the Statewide Construction General Permit (CGP) and shall be prepared by a licensed Qualified Stormwater Pollution Prevention Plan Developers (QSD) or Qualified Stormwater Pollution Prevention Plan Practitioners (QSP) ix) Any other work related to compliance with NPDES Permits or development of the City's NPDES Program City o A - na RFP 23-02 age Al-5 B. OTHER REQUIREMENTS Consultant shall adhere to all requirements of applicable NPDES Permits and environmental regulations while performing services under this Agreement. Contractors shall immediately notify the City should they become aware of any activities or events that may be deemed non- compliant. C. CITY RESPONSIBILITIES The City will provide information in its possession relevant to the completion of the tasks outlined in this RFP. In general, this includes, but is not limited to: • Furnish scope of work and provide general direction as -needed to complete tasks • Furnish documents, business license data, storm drain maps, land use data, or other information relevant to the Scope of Services • Provide access to stormdrain facilities • Facilitate meeting space and coordination at City facilities OTHER TERMS AND CONDITIONS: 1. All work shall be implemented in compliance with City of Santa Ana policies, as well as Prevailing Wage law and applicable State and Federal Requirements. 2. The City reserves the right to amend this Request for Proposal by addendum prior to the final dates of submission. 3. All reports, proposals, or other data or materials which are submitted shall become the sole property of the City of Santa Ana with the exception of the confidential Financial Capacity information and fee proposals. 4. All products used or developed in the execution of any contract resulting from this request will remain in the public domain at the completion of this project. 5. The City has an affirmative action program. The purpose of the affirmative action program is to encourage certified minority business enterprises and women business enterprises. All submitting Contractors must have established affirmative action programs approvable by the City. During the RFP stage, all Contractors will need to complete a "Certification of Non -Discrimination by Contractors" for each firm on their team. City o N anta na RFP 23-02 age Al-6 EXHIBIT B City Council 13 — 59 8/1/2023 City of Santa Ana Industrial/Commercial Inspection and NPDES Program Support Services RFP No. 20-028 gt- U--—k may= �- i '— Ael '° - - Of - ..� -, -- r.. -. rfr Y .ram„ � . ,� .a_.�..Y•� q /y • ! 1 Proposal -'r ,•.. RFP No.: 23PROPGOVT.0103 Date: April 2023 r ity Council 6 At- + Scope of Services and Schedule Scope of Services and Schedule 6.0 Work Approach Our proposed work plan is described in the section below. Our approach is based on years of experience completing this same type of work and developing efficiencies/knowledge needed to meet the MS4 Permit requirement and subsequent deadlines while providing business -friendly support to the City. 6.1 Task No. 1: Industrial and Commercial Facility Inspections Our project team will conduct field inspections of commercial and industrial facilities to assess compliance with local water quality regulations and appropriate BMPs. As identified in the RFP, we have assumed approximately 1,020 inspections per year will be required including follow- up inspections and issuance of enforcement notices. Our staff is thoroughly familiar with the City use of the inspection form as well as the web -based application and database, has gone through our extensive training program before performing solo inspections, and is knowledgeable of the City's procedures for enforcement. Our extensive training program is based on the County's core competencies program for municipal, industrial, and commercial inspectors. Our training program also includes 40-hour HAZWOPER training for safety and 40 hours of field training with a senior NPDES inspector. Every inspector on the project will have documentation that they have met WSP's extensive training program requirements based on these core competencies before billing the project for inspection -based services under this subtask. WSP also has an extensive QA/QC program, which includes having a senior inspector review each inspection record. The review process is documented in the City's web -based application. We understand the reports generated under this program are public documents and are be delivered to the facility or requested through a public records request. The reports generated through the City database will be complete and reflect conditions observed during the inspection. For the inspection program, our project team proposes on following protocols for announcing our inspections to the industrial and commercial facilities. We propose performing walk-in inspections at facilities covered under the IGP since many of these facilities will recognize our inspectors and are knowledgeable of the City inspection program. Our inspection staff will schedule the inspection with the facility representative in the event they are not available during the walk-in inspection and the inspector will move on to the next facility. For other industrial and commercial facilities, our costs include providing bilingual inspection announcement letters (English/Spanish) to notify businesses of the upcoming inspection. Once alerted, we will complete the inspections within a month. This approach is business - friendly, providing the business an opportunity to schedule the inspection. Our inspection team also uses the letter for our introductory discussion to obtain access to the facility. WSP staff will also have business cards available and our inspectors are dressed in business casual attire to serve as representatives of the City. To facilitate efficiency and reduce travel time between inspections, inspectors will group daily inspections by geographic location. Typically, the groupings will be based on zip code. For major streets, we separate our inspections by odd and even street numbers. In addition to travel efficiencies, our inspectors are proficient at explaining the inspection program to obtain access. The initial discussion can result in a good or bad impression with these facilities, sometimes resulting in additional time explaining the program. Our [%y Cbt4j Ij&anta Ana 1 Industrial/Commercial Inspectiol3rLd WPES Program Support ServiV11/2023 page 119 RFP No. 23-028 Scope of Services and Schedule training program works with the inspectors on how to make a good impression and to clearly explain the inspection program. This training program reduces the chances a facility denies access or contacts the City to ask questions about the inspector. Our inspectors are also equipped with a field inspector "tool box" that includes appropriate BMP fact sheets to provide to businesses and an iPad to complete the mobile component of data collection. Information includes BMP handouts and pamphlets, BMP guidance materials, and fact sheets such as the IGP coverage and No Exposure Certification Fact Sheet. The iPads are used to record the information during the inspection. Inspectors complete most of the form during or immediately after the site walk. Before going to the next facility, the form is submitted using the web -based application and the record is updated in our database for real-time access by the City. Each inspector has a chance to QA/QC their work prior to submittal and final review by our senior inspector. After the record is reviewed and finalized, the form is printed by our administrative staff and mailed. During the inspection program, there will be cases of unauthorized discharges observed during the inspection and evidence of poor BMP implementation. Our inspectors will act on the City's behalf to help manage the response to these cases. Our inspectors have pH paper and an administrative citation pad to issue enforcement actions. As specified in the RFP, we have assumed there will be approximately 170 cases per year to track and provide follow-up inspections. We have assumed that we will provide a notification via email within 24 hours for discharge cases that do not pose a threat to human health or environment. The City will be immediately notified for cases that may pose a threat. Our project team will track the follow-up status and enforcement on these cases until they are properly documented and the case is closed. WSP will provide the issued administration citations to the City or notification that an administrative citation was issued within 24 hours of issuance. Our project team has successfully worked with the City under the last contract to develop an enforcement process that is effective and streamlined. 6.2 Task No. 2: Database Management Our project team will manage the City's industrial and commercial web -based application and database in accordance with the specific requirements outlined in Orange County's MS4 permit and will meet the additional record protection practices outlined in the 5th term draft permit. Our team provides a seamless transition for this contract, based on our extensive experience. During the last contract period, WSP designed the web -based application and database, migrated the data from the City's Microsoft Access Database into a web -based application, and managed the database. WSP hosted the database and supplied tablets that are used for the mobile component of the data -collection for no additional charge. WSP will continue to supply the tablets for our field inspection staff and host the database for no additional charge during the next contract period. Y CITY OF SANTA ANA NPDES PROGRAMS WEB PORTAL Ina-W/C.-1-il;N1-x xan �O rmore n rma on on ineaNaxvocs vm¢rams, vkexamxi oais'ax•rn Vs<I w�asss vnm inecMs wburw«ks aeenp. rarassim.rewuneaess gr ecM'swebrone4 gnsew�rettmi4 iumnerar�sav�3ssicas. The City's web -based application and database was designed by WSP and streamlines the inspection process. The application uses drop down menus to minimize writing in the field for efficiency and provides consistency between inspectors. The web -based application also creates photo logs, eliminating effort downloading and managing photos and has automated reports (including courtesy letters and quarterly reports) as required in Permit Section VI - Legal Authority/Enforcement. Simple queries built into the application are also used to obtain the numbers for the PEA. The web -application is available to the City at any time using a desktop computer or laptop using the City's username and password. [%y Cbt4j Ij&anta Ana I Industrial/Commercial Inspectiol3nd T S Program Support ServiV1/2023 page 120 RFP No. 23-028 Scope of Services and Schedule WSP will perform the annual updates to the inventory and reprioritize the industrial and commercial businesses annually. New industrial businesses will be added when they are discovered and commercial businesses will be added at least quarterly in accordance with the MS4 permit. Through our prior work with the City's business license department and other City business license departments, our project team has developed efficient procedures to complete the City's inventory updates as specified in the County's MS4 Permit Sections IX and X. WSP is familiar with the City's Business Classification Code (BCC) and has processes developed to select which businesses should be included in the inventory. In the event the City switches from the City's BCC, our project team can quickly adapt our procedures to reprioritize the inventory based on Standard Industrial Classification or North American Industrial Classification System codes. We have procedures for those codes as well. Our extensive experience providing inventory update services to various cities makes us knowledgeable of the common pitfalls that may occur, such as inadvertently adding hundreds of new businesses in the inventory that do not require inspection. Our prioritization procedures include the removal of businesses with duplicate business licenses, businesses with multiple business licenses, home -based businesses, businesses with the incorrect BCC codes, and businesses that should not be included based on our past inspections. Our team also has extensive experience with using other online sources required for the inventory prioritization process, including the State Water Resources Control Board's (SWRCB) Storm Water Multiple Application and Report Tracking System and Toxic Release Inventory. The data tables downloaded from these online sources are compared using unique identification numbers and critical data are imported, as necessary. This task also includes periodic meetings and phone calls to provide the City with updates on inspections, discuss enforcement issues, and to provide program recommendations. Our project team will also provide one annual kickoff meeting to be held at the City office for training documentation purposes. Project management hours for the review and submittal of monthly summary status reports with monthly invoices are also included in this task. 6.3 Task No. 3: As -Needed NPDES Program Support We understand that the City may require additional technical and regulatory assistance related to other aspects of the NPDES program. This may include special inspections and studies, updating the City's Local Implementation Plan (LIP), Statewide Trash Provisions compliance, TMDL compliance, storm water and non -storm water sample collection and analysis, and other tasks related to improving and enhancing the City's NPDES program. We have provided similar services to numerous municipal and industrial clients in southern California, including the City. WSP has assisted several municipalities with technical and regulatory assistance. We are confident in our ability to provide expertise in each of the areas described further below and address any other compliance area of concern for the City. 6.3.1 Additional NPDES Program Inspections WSP staff has extensive experience with providing as -needed NPDES program inspections and can assist in any capacity needed by the City, from providing guidance to full program implementation. Construction Site Inspection WSP team has more than 20 local professionals supporting construction storm water permitting and inspection services and has been providing these services to both public and private sector clients throughout southern California for more than two decades. Over the past decade, our capability to provide these services has been built on securing contracts with many notable clients. Our staff routinely reviews construction compliance documents, such as SWPPPs, Erosion and Sediment Control Plan (ESCPs), and Water Pollution Control Plans (WPCPs). We have QSD/QSPs available to lead inspections and have a reputation for swift responses to meet client needs for construction inspection support. [%y Cbt4j lj&anta Ana 1 Industrial/Commercial Inspectiol3rLd WSES Program Support ServiV11/2023 page 121 RFP No. 23-028 Scope of Services and Schedule Our approach to providing storm water related construction services is to be proactive and establish expectations with developers and contractors early in the construction process. We intend to work closely with City staff to prioritize inspection needs (i.e., size, proximity to 303(d) listed water body segment, rainy or dry season, etc.) based on the history of specific types of projects or contractors. We have found that clear and upfront communication with private developers helps verify that NPDES issues, if they occur, will be properly addressed in a timely manner. Areas of expected support to construction services include: 10. Conducting routine and proactive storm water quality inspections for construction sites that require Construction General Permit (CGP) coverage Conducting as -needed inspection assistance based on project prioritization and City staff availability Collaborating with public works staff to bring NPDES issues into timely compliance Municipal Facility Inspections WSP's team has a thorough understanding of Orange County's Fixed Facility Model Procedures. We have We.pa� '%mA :Ry"`•°ap �.�aati_ .� a inspected and/or reviewed each fixed facility within the City — g a° "° ` Mirrors nCleana mr�wrreaa .ara°..m aaaia. pi p and can continue to support the City with completing aan a^gssxrdamc ll"�rmlr azareg�mp m°pmor°°m. back" an aapii inm mes n, guuer • �ep°O°quiet.am as aumpsa Mg P � � � 01"ip inspections, tracking inspection requirements, and/or Crew & Oil Ui*/ 1 N7oorM" Cleaning training City staff to complete this effort. Food Facility Inspections "Nee am iinga gmaee ' ^8a��. a"`ar�8 erteµ°r� urOT aarege Our project team has a thorough understanding of the dm� MajarSpi/lCleauap er,. iry Food Service Establishment (FSE) inspection program in;°" pernmme .espillcmmearaaarbam °owm �" p• aa ........ W��leDpa.al Orange County. WSP routinely performed Health Care°�°"" �;�wm"ro •.�„i„ y" ° '°` Agency follow-up FSE inspections. Our staff will provide the FSE with educational materials and will document - • • •- -• observations during the follow-up inspection. Should a • prohibited discharge occur, our staff will issue enforcement per the City's water quality ordinance. Illegal Discharge/Illicit Connection Inspections, Spill Response, and Source Investigations The City implements a program to actively detect and eliminate ID/ICs to the storm drain system. In addition to the proactive detection identified through County -led outfall monitoring or City -led facility inspections or special studies, a large portion of city investigations are in response to water pollution complaints or reported incidents. To achieve a consistent response in compliance with MS4 permit requirements, an Orange County Investigation Guidance Manual was developed by Orange County Copermittees outlining the fundamental techniques that should be followed during investigations. Each investigation must be thoroughly documented and discharges that present a significant threat to the environment must be immediately reported and remediated as quickly as possible. [%y Cbt4j lj&anta Ana 1 Industrial/Commercial InspectioJ3rd lIWES Program Support ServiV11/2023 Page 122 RFP No. 23-028 Scope of Services and Schedule WSP has provided these types of investigation services to several Orange County cities (i.e., Anaheim, Santa Ana, Laguna Niguel, San Juan Capistrano, etc.) and understands the process for investigation, the resources available to assist the City with addressing and eliminating the discharge (i.e., County pollution response implementation agreement, Countywide Area Spill Control program, Orange County Health Care Agency, Orange County District Attorney's office, Environmental Protection Agency), and the procedures for required reporting to local and State agencies. Our team has extensive experience with water pollution investigations. Our project team has performed thousands of water quality investigations for the cities of Anaheim, Costa Mesa, and Santa Ana. We have worked closely with various city departments during many of these investigations. Kacen Clapper also led the County's Water Pollution Response Unit, which directed County efforts to address illegal and illicit discharges in County unincorporated areas and Orange County Flood Control District facilities. He also provided support to Orange County cities, including on -call water pollution response assistance. Not all water pollution incidents require the same level of response and initial investigations may be more quickly and cost-effectively achieved. Our proposed approach is to coordinate closely with City staff to assess each incident situation and determine the best plan for a response. If WSP assistance is requested, we will respond as quickly as possible. In many cases, our team is already in the City conducting other inspections or at the nearby office in Costa Mesa and can provide a timely response for the protection of downstream receiving waters. Areas of expected support in investigation services include: ► Response to emergency spill notifications, including agency notification and coordination, field investigation, and coordination of cleanup efforts ► Proper documentation of all incident investigations to achieve MS4 permit compliance and legally defensible investigation data ► Coordination with appropriate parties to quickly mitigate incidents ► Issue enforcement to bring NPDES issues into compliance and maintain tracking of all complaints, investigations, and correspondence Water Quality Management Plan Inspections Our team has reviewed hundreds of WQMPs for Orange County projects and is currently providing WQMP verification and BMP maintenance inspections for several Orange County cities, including Anaheim, Santa Ana, Laguna Niguel, and San Juan Capistrano. During our typical verification inspection, WSP verifies that the structural treatment control BMPs are installed in accordance with the WQMP and grading plans, flow patterns are reviewed to confirm that storm water is directed to the structural treatment controls as intended, and elevations are reviewed to assess storm water detention. WSP also understands that some projects within the City may be constructed in phases and the relationship between the construction phase and the need to protect structural treatment control BMPs during construction. [%y Cbt4j lj&anta Ana I Industrial/Commercial Inspectiol3rLd WES Program Support ServiV11/2023 Page 123 RFP No. 23-028 Scope of Services and Schedule Areas of expected support to Planning and Land Development include: ► Providing private project plan check services to review priority WQMPs and Non -Priority WQMPs for compliance with storm water regulations ► Advising developers, contractors, and engineers on potential solutions to water quality issues related to grading plans and encroachment permits ► Conducting post -construction BMP verification and maintenance inspections to achieve the City's compliance with MS4 permit requirements Municipal NPDES Permit or Statewide Construction General Permit Inspections, Training, and Enforcement WSP has extensive experience with NPDES permits, including the MS4 permit and CGP. Our staff has assisted multiple cities with their municipal construction inspection programs covering the multiple types of inspection programs required. Our staff can assist with guidance to inspection staff, assist with municipal inspections should City staff become unavailable, or assist in a support training role for City staff. Our team also can assist with implementation of the CGP requirements as the QSD or QSP for the City's CIP projects should a contractor not fulfill their requirements or the City needs support throughout a construction project. Our team has supported the City with similar support during past contracts. Our team also routinely provides training on the requirements similar to the County's pre -wet season construction training and can provide QSD/QSP training with staff with the CGP ToR certification. 6.3.2 Statewide Trash Provisions Support Technical Knowledge We have been leading the compliance effort for the Statewide Trash Provisions (also referred to as the "Trash Amendments") within Orange County. From the onset, WSP worked on behalf of several Orange County cities to create an ad hoc trash committee, provided numerous presentations on track selection within southern California including presentations to the Orange County cities and at a Riverside County workshop, and led efforts to develop a land substitution guidance document. We continue to be a leader in identifying cost-effective pathways to comply with the Trash Provisions requirements. Our extensive experience working with Orange County cities means we are familiar with the landscape and understand the challenges presented by the Trash Provisions requirements. Our staff developed several technical reports showing various compliance scenarios for multiple cities. We were also the lead author through a contract with the County of Orange to develop a Trash Provisions Land Substitution Guidance Document. Based on our extensive experience, our team is currently leading the effort in providing comments related to trash provision compliance under the Santa Ana RWQCB's Regional Phase I MS4 Permit. We understand the balance between having a flexible approach to having a clear compliance pathway outlined in the MS4 permit. Our staff presented on this land substitution compliance approach at several Orange County Storm water program WSP's GIS team is also uniquely qualified for this work. Our GIS manager for trash provision compliance is Mr. Kacen Clapper. Kacen also has extensive expertise with the Trash Provisions and storm water regulatory compliance. He has trained several of our GIS support staff on Trash Provisions support tasks, Py Cbt4j Ij&anta Ana I Industrial/Commercial Inspectiol3rLd WES Program Support ServiV11/2023 page 124 RFP No. 23-028 Scope of Services and Schedule including automated delineations, refinement of drainages to include structures not reflected in digital elevation models (DEM), direct connection assessments, and modeling of land use trash generation rates (TGR). Direct connections are land areas that drain directly into the MS4 of the City or other jurisdiction, bypassing City municipal catch basins and any trash capture if Full Capture Systems (FCS) were installed at an inlet level. Because our GIS team's exceptional capabilities and understanding of the Trash Provisions policy and MS4 permit, and our previous history with the City, we will not have a "learning curve" related to tasks requested in this RFP. Trash Provisions support and GIS compliance work are a core business for our storm water group located in Orange County. Our team is uniquely qualified with an extensive work history for similar projects resulting in efficiencies and cost savings gained through years of experience. Our team also has extensive knowledge of the City's compliance strategy. We prepared the City's Trash Provisions Implementation Plan for the City that defined specific actions completed by City. The plan included current progress on program development, including mapped Priority Land Use (PLU) areas and modeled TGR adjustments, catch basin inlet delineated drainages, land use layer updates, preliminary land use substitution findings, and recommendations. The implementation plan is currently being updated for the remainder of the City and will include the projected trash load remaining. Based on current results, land substitution analysis suggests that FCS installed will achieve Track 1 compliance through submittal and acceptance of a land substitution request to the Santa Ana RWQCB and ongoing maintenance of the existing CPS devices. Delineation of Drainage Areas and Direct Connections The goal of this task is to: 1) identify City catch basins that receive runoff from PLUs and select equivalent Alternative Land Uses (ALUs); 2) provide more accurate ways to document runoff from City PLUS and areas that will be served by FCS to meet future annual report requirements; 3) confirm locations not captured by FCS requiring land substitution; and 4) obtain potential future OCTA grant funds (as part of the selection process). WSP has completed these delineations for several local clients, including the cities of Santa Ana, Irvine, Anaheim, Garden Grove, San Juan Capistrano, Laguna Beach, Laguna Niguel, Dana Point, and San Diego. Our approach includes automating the delineation process and performing a subsequent refinement. The initial task includes a desktop GIS analysis to develop a digital elevation model (DEM) based automated drainage delineation. This automated drainage layer saves time and provides a starting point for the subsequent refinement process. WSP recommends the subsequent refinement of drainages to account for structures that may affect drainage flow that are not reflected in the bare -earth DEM. In addition, the refinement process includes the search for public and private catch basins that may be missing in City GIS layers or need to be adjusted to match the location on aerial imagery. For the refinement process, WSP primarily uses storm drain infrastructure data, aerial imagery, and Google Earth street view images. Some drainage areas may require additional document reviews, such as the review of street improvement plans, private and public grading plans, and/or master drainage plans to complete the refinement process. [%y Cbt4j Ij&anta Ana I Industrial/Commercial Inspectiol3rLd TPES Program Support ServiV11/2023 page 125 RFP No. 23-028 Scope of Services and Schedule Typically, street improvement plans and grading plans are only needed when a property appears to have a private inlet and we need to assess if the storm drain connects directly to the City's storm drain system or to the back of a catch basin. Since WSP has completed the refinement for each catch basin in the City, additional refinement will be needed for redevelopment projects or when additional catch basin or private drop inlets are observed in the field. Under this scope of work, our staff can continue to refine drainage areas based on additional information received or observations. On -Land Visual Trash Assessments (OVTAs) WSP understands the City's goal of meeting the Track 1 compliance. Because of issues such as direct connections and some catch basins identified as infeasible to install FCS, the City has installed CPS in catch basins that were feasible, including both PLU and ALU areas, to meet this Track 1 compliance strategy. The Bay Area Storm Water Management Agencies Association (BASMAA) developed a trash model that correlates different land uses with TGRs for both VISUALTRASH ASSESSMENT SCORING SYSTEM ra .7 A. ■ A = clean, no trash (Low trash generation rote) • B = few pieces of trash (Moderate trash generation rate) ■ C = small to moderate amounts of trash (High trash generation rote) • D = moderate to high amounts of trash (Very Nigh trash generation rate) PLUs and non-PLU areas and further connects these TGRs with an OVTA score that can be verified through field monitoring. This model will ultimately be used for land substitution under the Track 1 compliance strategy. WSP completed two rounds of OVTA surveys to verify baseline TGRs. Initial OVTA survey results suggest that City land use TGRs are considerably different than BASMAA modeled TGRs. WSP recommends additional rounds of OVTAs under the next contract to further strengthen findings and adjustment of modeled TGRs based on the initial OVTAs. WSP also anticipates the TGR model will need to be verified Trash Generation Rate 9m1q".,..��� .E�.�m. rc�zPnPey1p�Jne1AG5 (gallons/acre/year) ` - 30 -�• fig- 1�. 7.5 r •j II 2.5 T • ' �� � a J 1r7 s`i " - A T .a.. - Miles .•4i a as i z periodically, requiring additional OVTAs completed. While our initial round of OVTAs were completed using standard two -person field team survey methods, WSP has developed new methods to complete cost-effective trash surveys. WSP's team uses a camera and develops a machine learning algorithm to successfully identify trash and develop corresponding visual trash assessments scores for several survey segments. We anticipate using the machine learning technology for future OVTAs proposed under this contract. Trash Generation Rate Calculations As described above, WSP prepared the initial TGR maps for the City and adjusted the TGRs based on the OVTA findings. WSP assumes TGR maps will be updated based on additional OVTA findings to further strengthen findings and periodic verification will be needed based on the new MS4 permit requirements. After the adjustments are made, WSP will be prepare the TGR calculations. Our extensive [%y Cbt4j lli Ana I Industrial/Commercial Inspectiol3rLd WES Program Support ServiV11/2023 page 126 RFP No. 23-028 Scope of Services and Schedule history supporting this task for multiple clients including the City demonstrates there will be no "learning curve" related to this task. Full Capture System Recommendations and Regional Projects Our staff have assisted with trash capture feasibility studies and review of structural BMPs, including the review of regional BMPs, to assess if they are or could be retrofitted as certified FCS. As an example, we completed a feasibility study on the Chantilly Storm Drain System for the City of Anaheim and continue to assist the City of Irvine with the review of 42 natural treatment system basins. Our team has worked with stakeholders including the cities, OCWD, Irvine Ranch Water District, and Caltrans on FCS projects. As the City moves forward with regional BMPs, our staff can assist FCS certification for additional credit or in the event additional trash needs to be captured. WSP's team has extensive knowledge of structural BMPs based on our engineering team's review and team of inspection staff who verify structural treatment controls. Through our experience, we can often provide simple, cost-effective solutions to retrofit BMPs to meet compliance requirements. Trash Provisions Deliverables WSP has been assisting southern California municipalities with storm water -related MS4 permit reporting and record keeping since 2003. In this capacity, our Orange County municipal clients have included the cities of Santa Ana, Costa Mesa, Anaheim, Laguna Niguel, and San Juan Capistrano, as well as John Wayne Airport. We understand that a large component of municipal NDPES program implementation revolves around accurate and thorough record keeping, which is the foundation of good reporting. The Santa Ana MS4 permits require annual reporting on all LIP components, including legal authority, illicit discharge detection and elimination, land development planning, construction management, existing development, and public education. The San Diego MS4 permit requires additional reporting on jurisdictional strategies to address WQIP identified High Priority Water Quality Conditions. Our approach for this task will focus on consideration of reporting and record keeping as part of all NPDES program tasks. We will work closely with City staff to review existing program methods and propose new methods for tracking and reporting, if needed, to better streamline the reporting process. Over the past three years, Orange County Public Works has been encouraging cities to on -board to OC Storm Water Tools, a new web -based countywide storm water BMP inventory, planning, and water quality model tool. The web -based platform provides a uniform storm water asset management database linked to spatial drainage data and a pollution load reduction model to quantify water quality benefits. The tool is envisioned to encapsulate and eventually fulfil MS4 permit reporting requirements replacing the current cumbersome reporting methods. It is our understanding that the City currently has a backlog of entries to OC Storm Water Tools, which involve making field visits to City -owned and privately -owned storm water treatment devices to verify status and O&M issues, researching existing WQMPs and grading plans, and entering the data into the system. WSP is currently assisting several clients with this process (San Juan Capistrano, Laguna Niguel, and Anaheim) and is familiar with the challenges that on -boarding may present and the software quirks of the still evolving OC Storm Water Tools. Areas of expected support in Reporting and Record Keeping include: P. Manage and update inventories to track inspections of municipal facilities, commercial facilities, industrial facilities, WQMP projects, post -construction BMP maintenance and verification, and construction site inspections P. Prepare and submit the City's Santa Ana MS4 permit quarterly reports for NPDES permit facilities P. Acquire, compile, and submit annual report data to Orange County Public Works for use in development of Copermittee unified report P. Prepare NPDES MS4 Annual Reports for the Santa Ana and San Diego RWQCBs [%y Cbt4j lj&anta Ana 1 Industrial/Commercial Inspectiol3rLd WES Program Support ServiV11/2023 Page 127 RFP No. 23-028 Scope of Services and Schedule ■ San Diego MS4 Permit Attachment D Form, Fiscal Analysis, cover letter and annual report summary San Diego MS4 Permit WQIP jurisdictional strategy reporting tables ■ Santa Ana MS4 Permit PEA annual report ► Input BMP and WQMP data into the OC Storm Water Tools asset management and modeling tool for future potential use as a compliance reporting platform 6.3.3 Water Quality Management Plans (WQMP) Support Prepare and Review WQMPs WSP has teamed with Fuscoe for the preparation and review of WQMPs for the City. Fuscoe has extensive experience with all aspects of the New Development/Redevelopment Program. Fuscoe's engineering team has provided WQMP reviews for the City of Anaheim and has prepared WQMPs for developers. Fuscoe's in-depth understanding of the County's New Development/Re-Development Standards and Technical Guidance Document (TGD) will compliment WSP's services and provide additional engineering support available to the City. Hydraulic Calculations, Mapping, Hydraulic Modeling, BMP Design Our team routinely provides engineering services for grading and drainage projects associated with site development and redevelopment, and storm water BMPs (first flush treatment, green infrastructure, etc.), making us well suited for this task. WSP's engineers have experience with a wide range of civil engineering projects and can collaborate and confer with developers on designs for detention and retention ponds, drainage swales, culverts, underground storm drain systems, hydraulic modifications, and overall site grading considerations for new and redevelopment projects. We are experienced water quality engineers and are familiar with the necessary coordination between grading and drainage design and storm water quality analysis to find the best solution for a project. During the last contract, our engineering services included assisting with hydraulic calculations for a grant support project and lift station design. WSP has also teamed with Fuscoe to support this task for new WQMPs required by the City. WQMP Compliance with Municipal Permit and Technical Guidance Documents WSP and Fuscoe both have an in-depth understanding of the County's New Development/Re- Development Standards and TGD. Professional Engineer (PE) Stamp WSP and Fuscoe have engineering support services. Documents prepared by the respective firm will be PE stamped as required by the deliverable or at the request of the City. 6.3.4 Storm Water Sampling and Analysis Personnel, Equipment, and Materials for Sample Collection Storm water sampling requires extensive planning to collect accurate and defensible data and to avoid missed storm events. WSP has substantial resources available, including staff available 24/7, and a weather tracking system that minimizes unnecessary storm event mobilizations and provides a high monitoring success rate. This weather tracking system consists of a dedicated weather tracker used for multiple projects. Storms are tracked daily, and hourly as the storm approaches. Prior to any storm, equipment is checked, field meters are calibrated, labels are prepared, bottles are separated by site for ease of collection, and laboratories are notified. During storm events, our field teams use web -enabled smart phones to display real- time radar and rainfall data and work with the storm water project manager to track the weather during the event. [ty Cbt4j lj&anta Ana I Industrial/Commercial Inspectiol3rLd WES Program Support ServiV11/2023 Page 128 RFP No. 23-028 Scope of Services and Schedule Industry Standards, Training, and PPE WSP has a stringent QA program. To verify that the QA program is conducted uniformly, WSP sampling projects, such as the monitoring project conducted for the City at Morrison Park, have Sampling and Analysis Plans (SAP) and Quality Assurance Project Plans (QAPP). Our staff is trained on sample collection and handling requirements, clean sampling techniques, and sample documentation procedures Our staff wear clean, powder -fee nitrile gloves for sample collection and follow the instructions in the SAP/QAPP to collect defensible data and achieve the goals of the sampling project. Certified Laboratory Eurofins Environment Testing America (Eurofins) of Tustin will be used as WSP's contracted analytical laboratory. Eurofins is a global leader in environmental testing and is located close to the City. Pollutant Load Analysis/Deliverables for Water Quality Samples City monitoring projects may be completed for various reasons. WSP has completed monitoring projects at industrial/commercial for enforcement purposes. In these cases, staff quickly respond to incidents and samples are collected based on anticipated pollutants. Deliverables may include a summary of the sampling program, chain -of -custody, and laboratory report. These files may be used for future enforcement cases. In most cases, City monitoring projects are completed for BMP improvement projects to document pollutant load reductions. These projects have an SAP that identifies the goals of the monitoring program and defines how the monitoring data will be used. WSP can assist with all aspects of these projects, including calculating the pollutant load reductions, preparing the reports, and documenting BMP performance or any grant requirements. 6.3.5 Future Municipal NPDES Permit(s) Support Future NPDES Permit Review Our staff routinely provides comments on future regulations on behalf of our clients, such as the MS4 permit, CGP, and IGP. Our staff recently provided comments on the Staff Working Proposal to the County. Comments were compiled and submitted to the Tri County Group for the Regional Phase I MS4 Permit. Our staff can assist the City with providing similar review or advise the City on potential permit interpretations and impacts to the City based on our permit reviews. Program Transition and Modifications We have assisted cities with program development at the infancy of many of the MS4 permit programs. Our staff is currently working on program development for the trash provisions program as an example. Because of our extensive 19-year history helping the City, we are uniquely qualified to assist the City with any program transitions and can quickly prepare training programs or implement program modifications to meet the new MS4 permit requirements. Plan Modification including LIP and DAMP WSP has extensive experience updating City LIPS for several Orange County cities. Our in-depth knowledge of the County's MS4 permit, along with our understanding of the City's departmental structure and responsibilities provide the experience and insight necessary to perform an effective and efficient update of the City's LIP. WSP also started the update process for several sections of the LIP, but reallocated efforts to assist the City with other compliance tasks, including the trash provisions, TMDL support, and project management. WSP can complete the LIP update task upon City approval. 6.3.6 TMDL Support WSP is routinely involved with several stakeholder -led groups to further the science of TMDL development in southern California receiving waters. We have worked on TMDLs for a variety of pollutants, including metals, bacteria, nutrients, salts, sediment, dissolved oxygen, pesticides, and pathogens. Our experience [%y Cbt4j lj&anta Ana I Industrial/Commercial Inspectiol3rLd 7TES Program Support ServiV11/2023 Page 129 RFP No. 23-028 Scope of Services and Schedule encompasses numerous aspects of TMDL implementation, including watershed planning, special studies, and coordination with stakeholders involved in third -party TMDL development. We have experience with a variety of TMDL approaches, including development of water effect ratios and load modeling for metals TMDL; source assessment studies; and land use runoff monitoring projects to support long-term modeling of pollutant loading. Under the last contract period, WSP developed recommendations on strategies for the City to implement for the Newport Bay TMDL program. With the work performed and expertise on the TMDL compliance issues, WSP provides extensive resources available to the City to meet the City's long- term goals of having more control over the programmatic direction of the TMDL programs. 6.3.7 Watershed Management Plans (WMP) Support Technical Knowledge The WSP team has extensive experience preparing and implementing Water Quality Improvement Plans (WQIP) or WMPs. WSP is currently assisting north Orange County cities with BMP data entry within the web -based BMP asset and modeling tool, OC Storm Water Tools. In fact, OC Storm Water Tools will be a key component of the WMP compliance strategy for Newport Bay. We have been involved since initial development of the South Orange County WQIP in 2015 and currently assist several south Orange County cities with providing comments on WQIP documents, completing WQIP jurisdictional strategy table updates, and updating OC Storm Water Tools. We have also helped the South Orange County Copermittees with TMDL Comprehensive Load Reduction Plans and provided comments on the draft Time Schedule Order. The WSP team also has prepared and implemented several WQIPs within the San Diego's watersheds. Reasonable Assurance Analysis Reasonable assurance analysis (RAA) provides the demonstration that the implementation of control measures will, in combination with operation of existing or proposed of control measures, in combination with operation or proposed storm drain system infrastructure and management programs, result in sufficient pollutant reductions over time to meet TMDL wasteload allocations, water quality based effluent limits, or other water quality targets specified in the MS4 permit. RAAs may also assist stakeholders or City with budgetary impacts to meet pollutant reductions. As stated above, OC Storm Water Tools is anticipated to be a key component of the WMP compliance strategy as a BMP inventory, planning, and water quality modeling tool. The web -based platform provides a uniform storm water asset management database linked to spatial drainage data and a pollution load reduction model to quantify water quality benefits. The tool is envisioned to encapsulate and eventually fulfill MS4 permit reporting requirements replacing past reporting methods. WSP has assisted several cities by updating information in the OC Storm Water Tools that will be used to demonstrate load reductions. WSP's team can assist with the preparation of RAA, assess pollutant reductions associated with new BMP projects, and/or review the RAA completed by the County. WMP Compliance WSP can support the City in many areas, such as: ► Preparing City comments on Orange County Storm Water Program -developed planning documents and materials ► Preparing City comments on RWQCB-issued orders ► Participating in WMP program planning and implementation on behalf of the City ► Managing implementation of the WMP, including City -specific jurisdictional strategies, such as an MS4 outfall dry weather flow reduction ► Participating in Newport Bay watershed TMDLs implementation efforts and compliance assessment [%y Cbt4j lj&anta Ana I Industrial/Commercial Inspectiol3rd f ES Program Support Servic��1/2023 page 130 RFP No. 23-028 Scope of Services and Schedule 6.3.8 Construction General Permit Support Preparation of CGP Documents and QSDs/QSPs WSP has extensive experience providing as -needed storm water quality support for CIPs. WSP's team of QSDs routinely review and prepare construction compliance documents, such as SWPPPs, ESCPs, and WPCPs. Our QSPs assist with the implementation of the SWPPP. Under the last contract with the City, our staff assisted the City with SWPPP preparation in advance of contractor selection due to grant requirements. Our team has also provided backup monitoring support when a contractor failed to implement their SWPPP. Our staff can support all aspects of the CGP, including preparation of inspection reports, rain event action plans, Annual Reports, Notices of Intent, Notice of Termination, Ad Hoc Reports, and Numeric Action Level Exceedance Reports. 6.3.9 Compliance with Other NPDES Permits WSP has extensive knowledge of other NPDES permits and development requirements in the City. We are available as an extension of the City staff to answer questions, review permit information, or assist with the implementation of these other types of NPDES permits. WSP routinely provides guidance on other NPDES permits, including individual permits, discharges from utility vaults and underground structures, drinking water system discharges, and de minimis discharge permits. WSP also assists dischargers with investigation orders, such as per- and polyfluoroalkyl substance investigations. 6.4 Schedule The table (below) lays out the proposed schedule for this contract. Table 5: Task -Specific Schedules Tasks/Anticipated Approach Date Inventory update 1-Ser Kick-off Meeting 1-Oct Update announcement 1-Oct letters Send announcement letters 1-Oct in batches Inspections/re-inspections are performed (assumes 1,020 inspections/year) Enforcement discussions/phone calls Senior review of forms 15-Sep 10 Brent Smith 1-Oct --' City representatives & WSP team 1-Oct -- Mike Lowther & WSP i administrative staff 15-Apr 1141 15-Oct 30-Jun 185 1-Oct 30-Jun 195 I 1-Oct 30-Jun -- Mike Lowther & WSP administrative staff (Letters will be sent in batches between the period specified) NPDES inspectors (2-3 inspectors typically complete inspections with two backup inspectors available. We have sufficient staff to complete the six per day required) NPDES inspector involved, Mike Lowther and/or Brent Smith Brent Smith & Mike Lowther (Forms are reviewed within five business days) [ty Cbt4j lj&anta Ana I Industrial/Commercial Inspectiol3r d 7SIES Program Support ServiV11/2023 page 131 RFP No. 23-028 Scope of Services and Schedule Mail completed inspection 1-Oct 30-Jun -- forms 1-Oct 6-Jan Prepare/submit draft 1-Jan 4-Apr quarterly report to City 1-Apr 6-July 1-July 3-Oct 6-Jan 6-Jan Update commercial 4-Apr 4-Apr inventory 6-July 6-July 3-Oct 3-Oct Prepare PEA Draft County Excel tables and Chapter 9 1-July 31-Aug -- Report Prepare PEA Final Report 15-Sep 15-Sep -- (Chapter 9) LAs-needed Task TBD -- -- Note: ' = Not Applicable WSP administrative staff, Mike Lowther (Approved forms are mailed within two weeks of inspection. Forms are mailed earlier if a follow-up inspection is required) Brent Smith & Mike Lowther (assumes deliverable is provided three to four days before due date to allow City to review) Brent Smith (This task does not re - prioritize the inventory or officially add businesses to the inventory for compliance reasons) Brent Smith & Mike Lowther (draft submittal will be completed well before the deadline; task performed around July or August) Mike Lowther Based on task assigned [ty Cbt4j lj&anta Ana 1 Industrial/Commercial Inspectiol3rLd EWES Program Support Servi W11/2023 Page 132 RFP No. 23-028 EXHIBIT C City Council 13 — 75 8/1/2023 April 6, 2023 23PROPGOVT.103 City of Santa Ana Public Works Agency 20 Civic Center Plaza (M-22) Santa Ana, California 92701 Attention: Mr. Craig Foster, EIT, CPSWQ, QSD/P NPDES Manager Re: Cost Proposal for Industrial/Commercial Inspection and NPDES Program Support Services RFP No. 23-028 Dear Mr. Foster: WSP USA Environment & Infrastructure Inc.'s (WSP) cost proposal is attached. Please find the requested Attachment 1, under separate cover from the proposal, submitted by WSP. WSP's Standard Hourly Fee Schedule, a table outlining the tasks and team hourly effort for each of the major tasks, and Project Fee Schedule as outlined in the Scope of Services is included. Brent Smith, IGP ToR, CPESC, QSD/P, our proposed project manager, is our official WSP contact for this effort. He can be reached via email at brent.smithO wsp.com or via phone at 714-925-4498. Please let us know if you have any questions. Sincerely, Brent Smith, IGP, ToR, CPESC, QSD/P Senior Associate Scientist brent.smith@wsp.com City Council 13 — 76 8/1/2023 ATTACHMENT 1 Table 1 High Medium Low High Medium Low Priority Priority Priority Priority Priority Priority Re - Year' Industrial Industrial Industrial Commercial Commercial Commercial Inspections' Total 2023-24 125 110 165 130 155 165 170 1,020 Fiscal Year 2023-24 Subtask Total 1.0 Task No. 1 — Industrial and Commercial Facility Inspections $175,910.00 Personnel/Labor Classifications required for this Subtask: Staff 1 Scientist/Engineer 305 hours @ $120.00 = $36,600 Staff 2 Scientist/Engineer 305 hours @ $130.00 = $39,650 Staff 3 Scientist/Engineer 305 hours @ $140.00 = $42,700 Associate Scientist/Engineer 165 hours @ $210.00 = $34,650 Project Assistant 100 hours @ $95.00 = $9,500 Senior Associate Scientist 40 hours @ $230.00 = $9,200 Postage (Postage Rate) 1,650 letters @ $0.60 = $990 Mileage (IRS Rate) 4,000 Miles @ $0.655 — $2,620 2.0 1 Task No. 2 — Database Management $32,420.00 Personnel/Labor Classifications required for this Subtask: Staff 3 Scientist/Engineer 16 hours @ $140.00 = $2,240 Senior Project Controller 12 hours @ $150.00 = $1,800 Associate Scientist/Engineer 64 hours @ $210.00 = $13,440 Senior Associate Scientist 60 hours @ $230.00 = $13,800 Project Assistant 100 hours @ $90.00 = $9,000 3.0 Task No. 3 — As -Needed NPDES Program Support3 T13D3 Personnel/Labor Classifications required for this task (including hourly rates and hours): Budget for this Task to be determined by the City and will be consider a contingency to the agreement. Hourly rates will be based on the rate sheets provided. Hours to be determined based on review of the scope required. Total Cost for Fiscal Year 2023/24 $208,330.00 1. Inspection numbers estimated using FY 2021-22 inspection data. Future revisions to the Industrial/Commercial Facility Database (based upon business license data and field conditions) could change inspection quantities. Adoption of the fifth term Municipal NPDES permit could also change inspection quantities. 2. Assumes 20% of the inspections require follow-up for BMP deficiencies or non-compliance. 3. Budget for this Task to be determined by the City and will be considered a contingency to the Agreement. Attachmenity Council 13 — 77 8/1/2023 ATTACHMENT 1 Table 2 High Medium Low High Medium Low Priority Priority Priority Priority Priority Priority Re - Year' Industrial Industrial Industrial Commercial Commercial Commercial Inspections2 Total 2024-25 125 110 165 130 155 165 170 1,020 Fiscal Year 2024-25 Subtask Total 1.0 Task No. 1 — Industrial and Commercial Facility Inspections $175,910.00 Personnel/Labor Classifications required for this Subtask: Staff 1 Scientist/Engineer 305 hours @ $120.00 = $36,600 Staff 2 Scientist/Engineer 305 hours @ $130.00 = $39,650 Staff 3 Scientist/Engineer 305 hours @ $140.00 = $42,700 Associate Scientist/Engineer 165 hours @ $210.00 = $34,650 Project Assistant 100 hours @ $95.00 = $9,500 Senior Associate Scientist 40 hours @ $230.00 = $9,200 Postage (Postage Rate) 1,650 letters @ $0.60 = $990 Mileage (IRS Rate) 4,000 Miles @ $0.655 — $2,620 2.0 1 Task No. 2 — Database Management $32,420.00 Personnel/Labor Classifications required for this Subtask: Staff 3 Scientist/Engineer 16 hours @ $140.00 = $2,240 Senior Project Controller 12 hours @ $150.00 = $1,800 Associate Scientist/Engineer 64 hours @ $210.00 = $13,440 Senior Associate Scientist 60 hours @ $230.00 = $13,800 Project Assistant 100 hours @ $90.00 = $9,000 3.0 Task No. 3 — As -Needed NPDES Program Support3 TBD3 Personnel/Labor Classifications required for this Subtask: Budget for this Task to be determined by the City and will be consider a contingency to the agreement. Hourly rates will be based on the rate sheets provided. Hours to be determined based on review of the scope required. Total Cost for Fiscal Year 2024-25 $208,330.00 1. Inspection numbers estimated using FY 2021-22 inspection data. Future revisions to the Industrial/Commercial Facility Database (based upon business license data and field conditions) could change inspection quantities. Adoption of the fifth term Municipal NPDES permit could also change inspection quantities. 2. Assumes 20% of the inspections require follow-up for BMP deficiencies or non-compliance. 3. Budget for this Task to be determined by the City and will be considered a contingency to the Agreement. Attachmenity Cbouncil 13 — 78 8/1/2023 ATTACHMENT 1 Table 3 High Medium Low High Medium Low Priority Priority Priority Priority Priority Priority Re - Year' Industrial Industrial Industrial Commercial Commercial Commercial Inspections' Total 2025-26 125 110 165 130 155 165 170 1,020 Year 2025/2026 Task Total 1.0 Task No. 1 — Industrial and Commercial Facility Inspections $175,910.00 Personnel/Labor Classifications required for this Subtask: Staff 1 Scientist/Engineer 305 hours @ $120.00 = $36,600 Staff 2 Scientist/Engineer 305 hours @ $130.00 = $39,650 Staff 3 Scientist/Engineer 305 hours @ $140.00 = $42,700 Associate Scientist/Engineer 165 hours @ $210.00 = $34,650 Project Assistant 100 hours @ $95.00 = $9,500 Senior Associate Scientist 40 hours @ $230.00 = $9,200 Postage (Postage Rate) 1,650 letters @ $0.60 = $990 Mileage (IRS Rate) 4,000 Miles @ $0.655 = $2,620 2.0 1 Task No. 2 — Database Management $32,420.00 Personnel/Labor Classifications required for this Subtask: Staff 3 Scientist/Engineer 16 hours @ $140.00 = $2,240 Senior Project Controller 12 hours @ $150.00 = $1,800 Associate Scientist/Engineer 64 hours @ $210.00 = $13,440 Senior Associate Scientist 60 hours @ $230.00 = $13,800 Project Assistant 100 hours @ $90.00 = $9,000 3.0 Task No. 3 — Additional Program Assistance as Requested TBD3 Personnel/Labor Classifications required for this Subtask: Budget for this Task to be determined by the City and will be consider a contingency to the agreement. Hourly rates will be based on the rate sheets provided. Hours to be determined based on review of the scope required. Total Cost for Fiscal Year 2025-26 $208,330.00 1. Inspection numbers estimated using FY 2021-22 inspection data. Future revisions to the Industrial/Commercial Facility Database (based upon business license data and field conditions) could change inspection quantities. Adoption of the fifth term Municipal NPDES permit could also change inspection quantities. 2. Assumes 20% of the inspections require follow-up for BMP deficiencies or non-compliance. 3. Budget for this Task to be determined by the City and will be considered a contingency to the Agreement. Attachmenit CPuncil 13 — 79 8/1/2023 Attachment 1 TABLE 4 PART I — LIST OF KEY PERSONNEL Names Functions Nathan Schaedler • Principal in Charge Brent A. Smith • Project manager/principal contact for the City • Technical Lead for Construction General Permit Support, Training, Future MS4 Permit Support Michael Lowther • Assistant project manager • Technical Lead for Inspection Tasks including Industrial/Commercial Inspections, WQMP Inspections, Municipal, FSE, IDIC; Source Investigations; and Storm Water Sampling and Analysis Ted Von Bitner • Technical Lead for Watershed Management Plans and TMDL Support Kacen Clapper • Technical Lead for Statewide Trash Provisions Support Marty Spongberg . Technical Lead for WQMP Support *Resumes for key personnel are included in Consultant proposal. Resumes for other WSP team members including subconsultants to be provided on request. Attachmen.ty Council 13 — 80 8/1/2023 Attachment 1 TABLE 5 PART II — LIST OF SUBCONSULTANT Sub -Consultant Name / Address Functions Fuscoe Engineering Preparation of WQMPs, 15535 Sand Canyon, Suite 100 engineering support Irvine, CA 92618 Eurofins Built Environment Testing Analytical Laboratory in the event sampling is 2841 Dow Avenue, Suite 300 required. Tustin, CA 92780 Attachmen.ty Council 13 — 81 8/1/2023 Attachment 1 TABLE 6 PRICE SUMMARY SHEET SCHEDULE I — HOURLY RATES Name Job Title/ Job Function Fully Classification Burdened Nathan Schaedler Principal Engineer Principal in Charge $260 Brent A. Smith Senior Associate Scientist Project Manager $230 Ted Von Bitner Senior Associate Scientist As -needed program $230 assistance Michael Lowther Associate Scientist Industrial/Commercial $210 Inspections and as -needed program assistance (inspection tasks) Kacen Clapper Senior 2 Scientist As -needed program $180 assistance (Trash Provisions) Marty Spongberg Principal Engineer As -needed program $260 assistance (WQMP Support) Ellen Smith Staff 3 Scientist NPDES Compliance Inspector $140 Kim Henry Staff 3 Scientist NPDES Compliance Inspector $140 Katelynn Webb Staff 3 Scientist As -needed program $140 assistance (Trash Provisions) Dylan Cawthorne Staff 3 Engineer As -needed program $140 assistance (Trash Provisions & WQMP Support) Bryan Shiang Staff 2 Scientist NPDES Compliance Inspector $130 Technician Technician As needed program $100 assistance (Sampling) Administrative Staff Project Assistant Project Assistant $90 * Fully Burdened rate includes all overhead, general costs, administration costs, and profit. City Council 13 — 82 8/1/2023 Attachment 1 TABLE 7 PRICE SUMMARY SHEET DIRECT EXPENSES' Direct Expenses Costs Job Function Vehicle Charges $50/da Y Industrial/Commercial Inspections and As -needed site inspections Vehicle Mileage IRS Rate Industrial/Commercial Inspections and As -needed site inspections Postage Cost + 10% Markup Inspection reports Subconsultant Markup Cost + 10% MarkupAs-needed Other Direct Expenses Cost + 10% Markup Other expenses in support of project activities * Direct expenses are expenses necessary to complete the Tasks outlined in the Scope of Work, such as vehicle mileage, subconsultant markup, equipment rental, etc. Subconsultants markup shall not exceed 10%. City Council 13 — 83 8/1/2023 Public Works Agency www.santa-ana.org/public-works Item # 14 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: Award Agreement to Conduct Cost of Service Study AGENDA TITLE Approve Agreement with Stearns, Conrad & Schmidt, Consulting Engineers, Inc. to Conduct a Cost of Service Study for the Sanitation Services User Charge, in an Amount Not to Exceed $82,875 (Specification No. 23-029) (Non -General Fund) RECOMMENDED ACTION Authorize the City Manager to execute a consultant agreement with Stearns, Conrad & Schmidt, Consulting Engineers, Inc. to conduct a cost of service study in an amount not to exceed $82,875, including a contingency of $16,575, for a three-year term beginning on August 1, 2023 and expiring July 31, 2026, with provision for one, two-year extension, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency maintains 400 miles of public right-of-way and provides maintenance services that include roadway maintenance, tree services, roadway cleaning, and sanitation services. Roadway cleaning and sanitation related services are funded through the Sanitation Services Users Charge (Sanitation Fee) and is collected on a bi-monthly basis along with other charges in the City's municipal utility services bill. The Sanitation Fee was established in 1991 by Ordinance NS-2129 and provides street cleaning services and environmental sanitation services that include street sweeping, street cleaning, removal of illegal deposits such as trash and bulky items, weed abatement, and inspections in the City's right-of-way. Over 35,000 public roadway cleaning and sanitation service requests are completed, and over 50,000 miles of streets are swept annually. As a best practice, the City periodically reviews enterprise operations; the last comprehensive evaluation of the Sanitation Fee was performed in 2019. At that time, the Tree Services Program expenses were transferred from the Sanitation Fee program to the General Fund. Correspondingly, the monthly Sanitation Fee was reduced from $6.47 monthly to $5.35 monthly (Resolution 2019-039). Due to increases in cost due to inflation, contractual increases, increasing prevailing wage requirements, and the need to keep pace with the increased demand in public service levels, it is City Council 14 — 1 8/1/2023 Award Agreement to SCS Engineers August 1, 2023 Page 2 necessary to perform a cost -of -service study to ensure the sustainability and improvement of the Sanitation Fee funded programs and long term financial stability. The Public Works Agency issued Request for Proposals (RFP) No. 23-029 on March 1, 2023, inviting qualified consulting firms with relevant experience to submit their proposals to the City. The RFP was advertised on PlanetBids, the City's online bid and management publication system. A summary of the RFP and proposals received is as follows: 211 Vendors notified 7 Santa Ana Vendors notified 16 Vendors Downloaded RFP Packet 2 Proposals Received 0 Proposals Received from Santa Ana Vendors Two proposals were received by the RFP deadline on March 20, 2023, and both were deemed to be responsive. The selection committee with experience in the financial and related program services evaluated both proposals. The recommended firm will perform a cost of service study for the City, involving an evaluation of Sanitation Fee programs, financial statements, reserve policies, establishing a cost recovery plan, financing, compliance with California Proposition 218 requirements, and developing a rate plan for the next five years. The goal of the study is to provide the City with an affordable and equitable rate that supports quality service delivery objectives, and ensures continued services for years to come. Based on criteria outlined in the RFP, the following summarizes the responding firms and their rankings: Firm City Rank Stearns, Conrad & Schmidt, Consulting Engineers, Inc. Pleasanton, CA 1 MGT Consulting Sacramento, CA 2 Staff recommends awarding an agreement to the highest -ranked firm, Stearns, Conrad & Schmidt, Consulting Engineers, Inc. (SCS Engineers, Inc.), to conduct the cost of service study (Exhibit 1). Their proposal demonstrated the firm has the necessary capacity and expertise to complete the required services as specified in the RFP. Additionally, the firm's rates are reasonable and within industry standard, the project team qualifications are relevant and appropriate, and the proposal was determined to provide the best overall value for the City. ENVIRONMENTAL IMPACT There is no environmental impact associated with the action. City Council 14 — 2 8/1/2023 Award Agreement to SCS Engineers August 1, 2023 Page 3 FISCAL IMPACT Funding is available in the FY 23-24 budget and funding for subsequent fiscal years and optional renewal term, if exercised, will be included in the proposed budgets for City Council consideration. The following is an estimate of expenditures by fiscal year for the initial three-year term: Accounting Fund Accounting Unit, Fiscal Year Unit - Description Amount Account Description Account # Public Works -Roadway 2023-24 06817641- Sanitation Cleaning, Contract $53,225 62300 Fund Services -Professional Public Works -Roadway 2024-25 06817641- Sanitation Cleaning, Contract $8,025 62300 Fund Services -Professional Public Works -Roadway 2025-26 06817641- Sanitation Cleaning, Contract $21,625 (August — May) 62300 Fund Services -Professional Total: $82,875 EXHIBIT(S) 1. Agreement with SCS Engineers, Inc. 2. Request for Proposal — Cost of Service Study 3. SCS Engineers, Inc. Proposal Response Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Kristine Ridge, City Manager City Council 14 — 3 8/1/2023 EXHIBIT 1 CONSULTANT AGREEMENT BETWEEN THE CITY OF SANTA ANA AND STEARNS, CONRAD & SCHMIDT, CONSULTING ENGINEERS, INC. FOR A COST - OF -SERVICE STUDY FOR THE SANITATION SERVICES USERS CHARGE THIS AGREEMENT is made and entered into on this I' day of August, 2023 by and between Stearns, Conrad & Schmidt, Consulting Engineers, Inc. ("Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. The City desires to retain a Consultant having special skill and knowledge in conducting a cost of service study for the Sanitation Services User Charge ("Sanitation Fee") B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Exhibit A, attached hereto and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B and incorporated herein by this reference. The total amount to be expended during the term of this Agreement shall not exceed $82,875, which includes a contingency amount of $16, 575. b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. City Council 14 — 4 8/1/2023 3. TERM This Agreement shall commence on the date first written above for a three (3) .year term with the option for the City to grant up to one (1) two (2)-year renewal, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below. 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent Consultant and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. OWNERSHIP OF MATERIALS All drawings, specifications, reports, notes and data developed pursuant to this Agreement are instruments of service, and as such the original documents and data are and remain the property of Consultant. Consultant grants a non-exclusive, perpetual license to use the deliverables (Documents & Data), identified in Exhibit A, to the City, as well as permission to sublicense the Documents & Data to others solely for the purpose of performing obligations related to this Agreement. Consultant shall require all subcontractors to agree in writing that Documents & Data prepared pursuant to this Agreement in their subcontracting agreements grant a non-exclusive, perpetual license to use its deliverables, as well as sublicense such Documents & Data to the City as well as others, solely for the purpose of performing obligations pertaining to or related to this Agreement. Consultant agrees that it has the legal right to license Documents & Data. Consultant makes no representation that it has any legal right to license nor has any obligation as to the accuracy or content of documents or data provided to Consultant by the City. 6. INSURANCE Consultant shall procure and maintain for the duration of the contract insurance against claimsfor injuries to persons or damages to property which may arise from or in connection with theperformance of the work hereunder and the results of that work by the Consultant, his agents, representatives, employees or subcontractors. MINIMUM SCOPE AND LIMIT OF INSURANCE Coverage shall be at least as broad as: • Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including property damage, bodily injury and personal & City Council 14 — 5 8/1/2023 advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall betwice the required occurrence limit. • Automobile Liability: ISO Form Number CA 00 01 covering any auto (Code 1), or if Consultant has no owned autos, hired, (Code 8) and non -owned autos (Code 9), with limitno less than $1,000,000 per accident for bodily injury and property damage. • Workers' Compensation insurance as required by the State of California, with Statutory Limits, and Employer's Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. • 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. If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. Self -Insured Retentions Self -insured retentions must be declared to and approved by the City. The City may require the Consultant to provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide,or be endorsed to provide, that the self -insured retention may be satisfied by either the namedinsured or City. Other Insurance Provisions The general liability policy is to contain, or be endorsed to contain, the following provisions: 1. The City, its officers, officials, employees, agents, and volunteers are to be covered as additional insureds with respect to liability arising out of work or operations performed by or on behalf of the Contractor including materials, parts or equipment furnished in connection with such work or operations. 2. For any claims related to this contract, the Consultant's insurance coverage shall be primary insurance coverage at least as broad as ISO CG 20 0104 13 as respects the City, its officers, officials, employees, agents, and volunteers. 3. The Insurance Company agrees to waive all rights of subrogation against the City,its elected or appointed officers, officials, agents, and employees for losses paid underthe terms of any policy which arise from work performed by the Consultant for the City. This provision also applies to the Consultant's Workers' Compensation policy. 4. Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the City. Acceptability of Insurers Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best's rating of no less than A: VII, unless otherwise acceptable to the City. City Council 14 — 6 8/1/2023 Verification of Coverage Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements affecting the coverage required by these specifications, at any time. Special Events Coverage for Contractors Special events coverage is available for an additional fee to provide the liability insurance required by this agreement. Consultant can obtain additional information and cost from the City. Subcontractors Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Consultant shall ensure that City is an additional insured on insurance required from subcontractors. Special or Low Risk Activities City reserves the right to modify these requirements, including limits, based on the nature ofthe risk, prior experience, insurer, coverage, or other special circumstances. The City reserves the right to modify or waive insurance requirements for certain low risk recreational activities. 7. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability 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, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Contractor's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. 8. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States' City Council 14 — 7 8/1/2023 letters patent, trademark, or copyright infringement, including costs, contained in the Documents & Data provided by Consultant to the City pursuant to his Agreement. 9. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 10. CONFIDENTIALITY Consultant shall not disclose, or permit disclosure of any information designated by the City as confidential, except to its employees and other consultants who need such information in order to properly execute the services of this Agreement. This provision shall not apply to information which: (1) has been published and is in the public domain, (2) has been provided to Consultant by third parties who have the legal right to possess and disclose the information, (3) was in the possession of Consultant prior to the disclosure of such information to Consultant by the City, (4) is required by law or any governmental agency to be disclosed, or (5) would require disclosure to comply with the ethical obligations of Consultant to protect the public. 11. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 12. NON-DISCRIMINATION Provider shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Provider affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. City Council 14 — 8 8/1/2023 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Contractors retained by City. 15. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case have a perpetual license to use the Documents & Data consistent with Section 5 of this Agreement. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 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. City Council 14 — 9 8/1/2023 17. 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. 18. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 19. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Executive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-xx) P.O. Box 1988 Santa Ana, California 92702 City Council 14 — 10 8/1/2023 To Contractor: Vita Quinn MBA Director of Management Services Stearns, Conrad & Schmidt, Consulting Engineers, Inc. 4683 Chabot Drive, Suite 200 Pleasanton, CA 94588 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 20. 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. [Space left intentionally blank] [Signatures on the following page] City Council 14 —11 8/1/2023 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Jennifer L. Hall City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Jose Montoya Assistant City Attorney RECOMMENDED FOR APPROVAL: Nabil Saba, P.E. Executive Director Public Works Agency CITY OF SANTA ANA Kristine Ridge City Manager CONSULTANT: Carlo Lebron Senior Vice President City Council 14 — 12 8/1/2023 EXHIBIT A City Council 14 — 13 8/1/2023 CITY OF SANTA ANA EXHIBIT I SCOPE OF SERVICES Contractor shall perform services as set forth below. SCOPE OF SERVICE: The City of Santa Ana is a full -service city with a population of over 335,000, encompassing 27 square miles. Santa Ana is the second largest city in Orange County, the eleventh largest in the state, and the 57th largest in the nation. Incorporated in 1886, Santa Ana has long been the County's government powerbase and serves as the County seat. With a total budget of $760.2 million, Santa Ana provides public safety, quality -of -life programming, and general & utility services to its residents and business community. The Sanitation Services Users Charge (Santation Fee/Sanitation Enterprise) as defined in the Santa Ana Municipal Code Chapter 18 Article XI I is 1 % of the total budget providing two services: Environmental Sanitation/Weed Abatement and Roadway Cleaning/Street Sweeping. Sanitation services are provided through a combination of city employees and private contractors. The approved Sanitation Enterprise budget for Fiscal Year 2022-23 is $7.6 million. The City maintains 400 miles of public right-of-way by removing hazardous material, vegetation, industrial emissions, and litter. The Sanitation Enterprise support efforts to help ensure an equitable approach to cleaning debris and pollutants along curbed streets, helping prevent contamination of local waters and damaging aquatic life and marine ecosystems. DESCRIPTION OF WORK: Consultant shall prepare a cost of service study and make recommendations for implementing a rate in compliance with California Proposition 218 requirements (anticipated implementation date January 2024). The goals of the study are to: A. Propose sanitation rates in accordance with California Constitution (Prop 218), and all applicable laws, that are fair, objective and fiscally appropriate for Santa Ana, covering a ten (10) year study period, including, but not limited to: 1. Ongoing operations and service enhancements; 2. A prudent reserve program for operating; 3. Capital replacement and emergencies; and 4. Identification ofcustomer life -line programs. B. Evaluate existing department operations and budgets, identify the current level of service, and estimate the future level of service. C. Evaluate existing department operations and budgets with non -prevailing wage contractor (street sweeping contract) requirement(s) and identify minimum service levels that will be feasible given the recent enactment of prevailing wage (street sweeping contract). D. Minimize rate impacts to customers to the greatest extent possible. E. Identify existing and potential funding mechanisms to finance department operations and capital Improvements. cr nc 2Ef :4r'VQ 2r1 Inv 18 City Council 14 — 14 8/1/2023 (9) CITY OF SANTA ANA Key issues that will impact the overall study are: 1. Continuous increase in cost due to current economic climate. 2. Santa Ana's historic effort to tackle the housing crisis is seeing an influx of redevelopment projects, increasing the City's footprint. III. CONTRACTOR REQUIREMENTS & RESPONSIBILITIES I. TASK 1 - SANITATION PROGRAM EVALUATION A. GENERAL The City sweeps approximately 54,000 curb miles; responds to over 15,000 service requests for roadway cleaning annually, 2,000 environmental sanitation/weed abatement violations, and more than 1,600 reports to obstructions in the public right-of-way. B. CONTENT/TASKS Consultant shall review and become familiar with the operation and all pertinent historical performance and financial data. Consultant shall review the following at minimum: a. Surrounding municipalities to establish service level; b. Current and recent budgets and Annual Comprehensice Financial Report (ACFR); c. Background information for the operation including existing regulatory requirements, and other contractual requirements and operations; d. Historical revenues, operating expenses, reserve policies (i.e., working capital and renewal and replacement), approved rates and charges, customer information and number of units; and e. Review other pertinent data as necessary. 2. Consultant shall prepare an "Existing Cost of Service Summary" technical memorandum or executive summary of the existing financial condition of the sanitation enterprises. This summary shall identify: a. The cost of service gaps or discrepancies between the existing rate structure(s); b. The projected maintenance, operations and capital spending plans; and c. The effects of current financial/economic climate. This summary will also identify the strategy the consultant intends to use to close any cost of service gaps identified. C. DELIVERABLES Existing Cost of Service Summary a. Digital Copy (PDF) b. Printed Copies (5) City Council COST OF SERV1d# SAY 8/1/2023 19 (9)CITY OF SANTA ANA II. TASK 2 - COST OF SERVICE RATE MODEL & SCENARIO DEVELOPMENT A. GENERAL As part of the work required in preparing a comprehensive cost of service and rate study report, the Consultant may develop various forecasting models, projections, and rate adjustment scenarios for the City's consideration. The cost of service rate model and scenario covers, but is not limited to, all expenses related to Sanitation Services, including Environmental Sanitation, Weed Abatement, Roadway Cleaning, Street Sweeping, and any other costs identified during the process. B. CONTENT/TASKS Consultant shall perform the following tasks: 1. Classify functional expenses to cost components: capacity (demand) costs (e.g., Environmental Sanitation, Weed Abatement, Roadway Cleaning, Street Sweeping), commodity costs - related to Sanitation Services, customer costs and other direct costs; 2. Classify operating, administrative, operations and maintenance (O&M) expenses, collection/disposal cost, and reserve fund requirements; 3. For each rate scenario, assess the sensitivity of the projected results to changes in certain key variables, including but not limited to, changes in units changes and changes in the cost of the operation. 4. Propose changes to existing or creation of new sanitation fees and surcharges, as are necessary and/or expedient to achieving the goals of the study. 5. The rate design shall continue to support current service level for all customer classes, provide funding for capital replacement while ensuring the ability of the sanitation enterprises to meet fixed and variable cost obligations. C. DELIVERABLES There are no deliverables for this section. Consultant shall meet and confer with City in regards to the cost of service rate model development and various scenarios prior to preparing report. III. TASK 3 - COST OF SERVICE REPORT A. GENERAL Consultant shall prepare comprehensive cost of service reports which satisfies the City's stated goals in Section II, "Description of Work" above. At a minimum the reports shall be comprised of the following: 1. Executive Summary 2. Introduction/Background including discussions on a. Purpose of study b. Applicable laws and regulatory framework c. Generally accepted rate setting standards 3. Revenue Requirements nncr (:).Fa c€.Q 1.4nc cri Inv 20 City Council 14 — 16 8/1/2023 (9) CITY OF SANTA ANA 4. Cost allocation methodology 5. Recommendations 6. California Proposition 218 Compliant Notices a. Prepare rate adjustment notices compliant with Proposition 218 requirements. Notices will be prepared in three languages, English, Spanish and Vietnamese. Notices to be delivered electronically as Microsoft Word document. b. Pass -through adjustment formula and means of establishing pass through adjustments shall be explicitly stated. B. CONTENT/TASKS Perform a fully allocated sanitation rate study tailored for Santa Ana, including the following: 1. A rate structure based on cost of service sufficient to meet the revenue requirements of the sanitation enterprise; 2. Classify functional expenses to cost components: capacity (demand) costs (e.g., Environmental Sanitation, Weed Abatement, Roadway Cleaning, Street Sweeping), commodity costs - related to Sanitation Services, customer costs and other direct costs; 3. Classify operating, administrative, operations and maintenance (O&M) expenses, collection/disposal cost, and reserve fund requirements; 4. A rate structure that considers and makes provisions for the following factors: a. Current and future cost of providing sanitation services in accordance with established and anticipated standards and regulations. b. A recommended sanitation rate structure that is in compliance with Proposition 218; 5. Provide a comparison of current sanitation rates to comparable surrounding sanitation program; 6. The type and amount of reserves appropriate to the City's sanitation operations taking into consideration reserves for cash flow, catastrophes, infrastructure replacement (proprietary assets) and other appropriate purposes; 7. A comparison of customer groups and cost of service with neighboring municipalities of comparable size, type of treatment, and level of service; 8. A review and analysis of current rate and fee structures. Consultant should recommend changes if appropriate; and 9. Consultant shall assess the recommended rate structures and their impacts on the ability to fund sanitation operations as well as their impact on the City's rate payers; 10. A review of elderly low-income and sanitation rate programs provided by other agencies and propose appropriate elderly low-income sanitation rate for Santa Ana; 11. The benefits of any proposed rate modifications shall be weighed against the financial impacts on the ratepayers. Consultant shall analyze the proposed rates for customer impacts and develop alternative rates modeled to address financial impacts on ratepayers. The analysis shall include: City Council COST OF SERVO# s7t7DY 8/1 /2023 21 (9) CITY OF SANTA ANA a. Preparation of typical bill comparisons for each proposed rate structure for representative customer classes using the current rate schedules as a baseline. b. Compare customer class and proposed rate structures with neighboring agencies of comparable service area. C. DELIVERABLES Consultant shall deliver at a minimum the following: 1. Final Cost of Service Reports a. Digital Copy (PDF) b. Printed and Bound Copies (15) of each 2. Proposition 218 Compliant Notice a. Digital Copy (PDF and MS Word) 3. Pass -through adjustment calculator a. Digital Copy (MS Excel or similar) Consultant shall meet with the City to discuss the report's outcome and explain in detail the full parameters and outcomes discussed in the report. In addition, the Consultant shall meet with the City to review a draft copy of the report before submitting the final report. IV. PUBLIC MEETINGS & PRESENTATIONS Consultant shall participate, as requested by City, at both staff and public meetings. Consultant shall expect to make presentations regarding the results of the cost of service study to City executive staff, Mayor and Council and the general public. For purposes of this RFP, Consultant shall be required to attend a minimum six (6) meetings in the range of two (2) — four (4) hours in length in person. V. KICKOFF MEETING Consultant shall attend one (1) contract kick-off meeting at the City's Corporate Yard located at 215 S. Center St., Santa Ana, CA 92703 at which City staff will share contact information, safety and security protocols, and familiarize the Consultant with the City's sites and equipment. VI. PROJECT MANAGEMENT & COORDINATION Consultant shall not proceed with any work without the approval of the City's designated Project Manager. Consultants shall invoice the City on a monthly basis for all work performed during the period. Each invoice shall be accompanied by a summary of tasks performed, results, and progress on long-term tasks (if any). VII. MIDTERM REVIEW The City intends to implement a five-year rate structure as determined appropriate by the results of the cost of service study. Consultant shall perform a midterm review (either at Year 2 or 3 of implementation) of the adopted rate structure, revenues and expenditures, and make recommendations/findings as to the need for any midterm rate adjustments to meet the City's stated goals. The Consultant shall deliver an addendum report to the initial study presenting nncTZ nFm c€.Q 1.4nc 2TI Inv 22 City Council 14 — 18 8/1/2023 e "t � CITY OF SANTA ANA said recommendations. The Consultant will provide an updated Proposition 218 notice if requested by the City. VIII. VALUE-ADDED RELATED SERVICES Consultant may propose additional related services that the City has not specifically identified in this RFP to accomplish the stated goals of this RFP. Value-added related services will be considered by the City and may or may not be incorporated in theAgreement. IX. FEE SCHEDULE Consultant shall submit a fee schedule in a separate file as described in Section VII.F.3 - RESPONSE TO RFP — PROPOSAL CONTENTS. Fee proposal shall be outlined as follows: 1. Fee for preparing Cost of Service Report (Items I — VI) 2. Fee for performing midterm review (Item VII) 3. Firm's standard hourly fee schedules 4. Optional: Fee for any proposed value-added services, if any (item VIII) X. TERMINATION The City reserves the right to terminate the contract, without penalty, for cause immediately or without cause. 1. This agreement may be terminated without cause by City upon thirty (30) days written notice delivered to the Contractor either personally or by mail. Upon termination, City shall pay to Contractor that portion of compensation specified in the Agreement that is earned and unpaid prior to the effective date of termination. 2. In addition to, or in lieu of, remedies provided in this Agreement or pursuant to law, City shall have the right to withhold all or a portion of Contractor's compensation for contract services if, in the judgment of the Projects Manager or designee, falls below appropriate standards and/or Contractor fails to satisfactorily perform contract services. XI. CONTRACTOR OPTION FOR TERMINATION In the event of nonpayment of undisputed sums by the City, Contractor shall give the City a minimum of thirty (30) working days to cure the alleged breach. City Council COST OF SERVO# s7bbY 8/1 /2023 23 EXHIBIT B City Council 14 — 20 8/1/2023 PROPOSA r k: To ensure that the City receives the services it requires at the agreed upon price, we propose to offer our servic es for a fixed fee of $47,700. The fee includes the scope for all services described in this proposal, in response to the Scope of Services requested, and will be monthly on a percent complete basis. Project Steps Fee Project Initiation $ 1,925 Revenue Sufficiency Analysis $ 8,825 Cost to Provide Services $ 8,725 Rate Structure Analysis $10,050 Rate Benchmarking $ 2,475 Ordinance/Policy Review $ 6,200 Presentation of Results $ 9,500 Total Midterm Update $ 47, 700 $18, 600 Additionally, we have provided the cost for the midterm update. In the event that the City requires any services not detailed in this proposal, work can be completed on an hourly basis using the fees on the next page, or we can provide a separate, fixed fee proposal for those additional services. �t_.tl 14 — 21 8/1 /2023 Hourly Rates SCS ENGINEERS FEE SCHEDULE (Effective January 1, 2023 through December 31, 2023) Labor Category Rate Principal/Business Unit Director........................................................................................ $255 ProjectDirector................................................................................................................ $240 Senior Project Advisor...................................................................................................... $225 Senior Project Manager................................................................................................... $205 ProjectManager II............................................................................................................ $185 ProjectManager I............................................................................................................. $175 ProjectAdvisor.................................................................................................................. $165 Senior Project Professional II............................................................................................ $165 Senior Project Professional I............................................................................................ $155 SeniorDesigner................................................................................................................ $145 Project Professional 11....................................................................................................... $140 Project Professional I........................................................................................................ $130 Designer.......................................................................................................................... $120 GISAnalyst....................................................................................................................... $120 StaffProfessional II........................................................................................................... $117 StaffProfessional I............................................................................................................ $110 Senior Superintendent...................................................................................................... $135 AnalystIII.......................................................................................................................... $115 AnalystII........................................................................................................................... $110 DataAnalyst.................................................................................................................... $105 AnalystI............................................................................................................................ $100 SeniorTechnician............................................................................................................. $110 Associate Staff Professional............................................................................................. $100 Drafter.................................................................................................................................. $95 TechnicalAssociate............................................................................................$95 Technician.......................................................................................................................... $90 Secretarial/Clerical.............................................................................................................. $90 General Terms: 1. The hourly and reimbursable rates are effective through December 31, 2023. Work performed thereafter is subject to a new Fee Schedule issued for the period beginning January 1, 2024. 2. The above rates include salary, overhead, administration, and profit. Other direct expenses, such as analyses of air, water and soil samples, reproduction, travel, subsistence, subcontractors, computers, and other reimbursable fees, are billed in accordance with the attached reimbursable fee schedule, or at cost plus 15 percent for administration. 3. For special situations, such as expert court testimony, hourly rates for principals of the firm will be on an individually -negotiated basis. i y ouncil 14 — 22 8/1/2023 EXHIBIT 2 REQUEST FOR PROPOSALS NO. 23-029 FOR SANITATION SERVICES USERS CHARGE (SANITATION FEE/SANITATION ENTERPRISE) COST OF SERVICE STUDY CITY OF SANTA ANA A oved f elease: Nabil Saba Executive Director Public Works Agency KEY RFP DATES: The schedule below is tentative and subject to change at the discretion of City, with appropriate notice to prospective Proposers. Issue Date: March 1, 2023 Virtual Mandatory Pre -Proposal Meeting: March 9, 2023 at 9:00 A.M. Deadline for Questions: March 13, 2023 by 4:00 P.M, Proposal Due Date-: March 20, 2023 by 4:00 P.M. Presentations/Interviews (if held) on or about March 27-30, 2023 City Council — Y 8/1/2023 (9)CITY OF SANTA ANA TABLE OF CONTENTS I. BACKGROUND...........................................................................................................................3 II. MANDATORY PRE -PROPOSAL MEETING................................................................................ 3 III. OVERVIEW OF PROJECT..........................................................................................................3 IV. SCOPE OF SERVICES...............................................................................................................3 V. TERM OF AGREEMENT............................................................................................................. 4 VI. MINIMUM QUALIFICATIONS......................................................................................................4 VII. RESPONSE TO RFP..................................................................................................................4 VIII. CERTIFICATIONS (ATTACHMENTS).........................................................................................7 IX. REFERENCES............................................................................................................................8 X. MINIMUM SCOPE AND LIMIT OF INSURANCE......................................................................... 8 XI. SELECTION PROCEDURES & CRITERIA............................................................................... 11 XII. WITHDRAWALS........................................................................................................................11 XIII. GENERAL TERMS AND CONDITIONS.................................................................................... 12 XIV. AWARD OF AGREEMENT........................................................................................................ 16 XV. IMPLEMENTATION................................................................................................................... 17 EXHIBITS Exhibits provided herein for Proposers' reference only. EXHIBIT I — SCOPE OF SERVICES EXHIBIT II — SAMPLE AGREEMENT ATTACHMENTS A REFERENCES B NON -COLLUSION AFFIDAVIT C NON -LOBBYING CERTIFICATION D NON-DISCRIMINATION CERTIFICATION City Council 14 — 24 8/1/2023 2 COST OF SERVICE STUDY (9) CITY OF SANTA ANA BACKGROUND Incorporated in 1886, Santa Ana, a Charter City, established a Council -Manager form of government in 1952. The City Council is composed of seven members; the Mayor elected at large and six Council members elected by ward, who appoint the City Manager, City Attorney and Clerk of the Council. The City of Santa Ana (City) is a full -service City with a diverse population of approximately 335,000. The City's eleven agencies provide all the traditional municipal services, as well as water utility, library system, 20-acre Zoo, City Jail, Police Department, and contracts with the Orange County Fire Authority for provision of fire services. The City employs 1,342 authorized full-time positions and has an annual citywide budget is $760.2 million, including the General Fund budget of $403.6 million. The City of Santa Ana is located 10 miles inland from the Pacific Ocean, 33 miles southeast of Los Angeles and 90 miles north of San Diego. The City, which is the county seat of Orange County, encompasses an area of approximately 27 square miles and is the 11th largest by population in California. II. MANDATORY PRE -PROPOSAL MEETING A mandatory virtual pre -proposal meeting will be held on the date and time specified on the cover page of this RFP. Failure to attend this meeting shall result in your firm being disqualified from proposing. Meeting Link: https:Hmeet.goto.com/794712045 The meeting will include a detailed discussion of the project and the services provided by the Sanitation Services Users Charge. All questions shall be required to be submitted in written form. After the pre -proposal meeting, City will respond to pre -proposal attendees by e-mail to written questions or requests for clarifications. III. OVERVIEW OF PROJECT The City of Santa Ana is seeking a Consultant to perform a cost of service study for the City's Sanitation Services Users Charge (Sanitation Fee/Sanitation Enterprise) in compliance with California Proposition 218 requirements . The City intends to enter into an agreement with a single firm to provide the described services. A detailed Scope of Work is included in EXHIBIT I: SCOPE OF SERVICES. IV. SCOPE OF SERVICES SEE EXHIBIT I — SCOPE OF SERVICES The Contractor shall be an independent contractor capable of providing experienced, knowledgeable and professional staff. The Contractor shall be responsive and maintain excellent working relationships with city residents, businesses, government officials and City staff. The Contractor shall provide adequate staffing levels at all times and adhere to established schedules. The Contractor shall be knowledgeable of and comply with federal, state and local regulations, including but not limited to California Constitution Proposition 218. City Council 14 — 25 8/1/2023 COST OF SERVICE STUDY (2)CITY OF SANTA ANA Usage is not guaranteed. Execution of an agreement between the City and successful firm(s) and/or individual(s) does not guarantee work throughout the duration of the contract period. Numerous factors will be evaluated by the City in its delivery of project and assignments, including technical expertise required. V. TERM OF AGREEMENT The anticipated term of the agreement is for an initial period of three (3) years. The City may, at its discretion, extend the agreement with the same or more limited scope of required services for one (1), two (2) year renewal, upon mutual agreement contingent upon City Council approval, or City Manager or City Attorney authorization, as appropriate unless the City notifies Contractor in writing at least thirty (30) days before the end of the initial term or any extended term, of its intent to terminate the Agreement at the conclusion of the initial term or any extension. Time is of the essence in the performance of services under this Agreement. The total term of the awarded agreement shall not exceed five (5) years. The contract term is anticipated to commence after City Council award or other required approval of this contract and upon receipt and approval of all required bonds and insurance documents. VI. MINIMUM QUALIFICATIONS Proposer's (Firm's) proposed KEY Personnel must have a minimum of five years of experience providing cost of service studies services to similar public agencies. VII. RESPONSE TO RFP A. SUBMITTAL INSTRUCTIONS It is the responsibility of the Proposer to ensure that any proposals submitted have been uploaded to PlanetBids prior to the RFP due date and time. Proposals, including all required sections and forms, shall be submitted electronically via the City's Bid Management System, PlanetBids. No other form of submittal will be accepted. PlanetBids will not accept late proposals and no exceptions shall be made. Proposers will receive an e-bid confirmation number with a time stamp from PlanetBids indicating that their proposal was submitted successfully. The City will only receive and consider those proposals that were transmitted successfully. Submit proposal online at: http://www.planetbids.com/portal/portal.cfm?CompanvlD=20137. Proposer shall be solely responsible for informing itself with respect to the proper utilization of the bid management system, for ensuring the capability of their computer system to upload the required documents, and for the stability of their internet service. Failure of the Proposer to successfully submit an electronic proposal shall be at the Proposer's sole risk and no relief will be given for late and/or improperly submitted proposals. Proposers experiencing any technical difficulties with the bid submission process may contact PlanetBids at (818) 992- 1771. Questions of an operational nature may be directed to the City's assigned Buyer. Neither the City, nor PlanetBids, makes any guarantee as to the timely availability of assistance, or assurance that any given problem will be resolved by the bid submission deadline. Proposals shall NOT be sent via telegraphic, electronic, or facsimile means. All notifications, updates and addenda will be posted online on PlanetBids at https://www.planetbids.com/portal/portal.cfm?CompanvlD=20137. Proposers shall be cT nc c€R �.nGc 2T4 Iv City Council 14 — 26 8/1/2023 (9)CITY OF SANTA ANA responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive proposal. B. COMMUNICATION / CONTACT WITH CITY STAFF Unless otherwise authorized herein, Proposers who are considering submitting a proposal in response to this RFP, or who submit a proposal in response to this RFP, are only to communicate with the assigned Project Coordinator(s), and no other City staff about this RFP from the date this RFP is issued until a contract is awarded. The City will provide all official communication concerning this RFP in writing via the City's Bid Management System, PlanetBids. The City will not be responsible for or bound by any oral communication or any other information or contact that occurs outside the official communication process specified herein, unless confirmed in writing by the designated Project Manager(s). C. REQUEST FOR INFORMATION OR CLARIFICATION / QUESTIONS Questions regarding this RFP shall be submitted via PlanetBids. Responses to all questions will be posted on PlanetBids no later than the date and time shown at the schedule of key RFP dates on the cover page of this RFP. All prospective Proposers are advised to visit PlanetBids on a regular basis as responses may be posted earlier than the date above (if applicable). No verbal requests or responses will be accepted. Significant interpretations or clarifications will be addressed via addenda to this RFP. Requests submitted for City's consideration of proposed terms and conditions, including modifications to the City's RFP and/or Contract terms and conditions must be submitted by the deadline for questions. Such requests should include an attachment in Word or PDF format on formal company letterhead that shows the requested modifications. Significant interpretations or clarifications and responses to questions received by the deadline will be addressed via addenda to this RFP, which will be released and posted on PlanetBids under the "Addenda/Emails" tab. General process questions may be directed to the following: Eva Pierce, Buyer Email: EPierce@santa-ana.org D. ADDENDA Any changes in RFP from the date of release to date of submittal will result in an addendum or amendment. Notification of such addendum or amendment shall be posted on City's PlanetBids system, https://www.planetbids.com/portal/portal.cfm?CompanVID=20137. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. E. UNDERSTANDING PROPOSAL It is the responsibility of each Proposer to inquire about any criteria, condition, term, provision, or requirement of the RFP that the Proposer does not understand. Responses to inquiries, if they significantly change or clarify the RFP requirements or any aspect of the procurement process, will be forwarded by addenda to all Proposers. The City will not be bound by any oral responses to inquiries. By submitting proposals, Proposers assert that they have fully read the RFP and any addenda issued by the City, the proposed Contract and any other Contract Documents, and affirm that the terms and conditions stated therein are fully cT- nx c€.QrIr Fc cT1 Inv 5 City Council 14 — 27 8/1/2023 (2) CITY OF SANTA ANA understood and are acceptable to the Proposer. Each Proposer accepts the terms and conditions of the Contract Documents and indicates their ability and willingness to perform the requested services under such terms and conditions. Any exceptions to the terms and conditions set forth in the Contract Document shall be submitted to the City by the deadline to submit requests for information or clarification/questions set forth herein. F. PROPOSAL CONTENTS Proposals are to be prepared in such a way as to provide a straightforward, concise delineation of capabilities to satisfy the requirements of this RFP. Colored displays, promotional materials, photographs etc., are not necessary or desired. Emphasis should be concentrated on conformance to RFP instructions, responsiveness to the RFP requirements, and on completeness and clarity of content. Digital dividers and clear organization of content and material are encouraged. Proposals must include a Table of Contents and be limited to a maximum of 10 pages (excluding section dividers and exhibits). The page limitation includes all appendices, attachments, and supplemental information. All electronic proposal submissions shall be on 8-1/2" x 11" white paper (PDF Format). 1. Narrative Proposal must include the following: CnvPr I Ptter Proposals shall include a letter signed by a principal or authorized representative who can make legally binding commitments for the entity. Include type of business entity. Cover Letter shall not exceed three (3) pages. Cover letter must stipulate the proposed pricing will be valid for a period of a minimum of 24 months (no price increase will be considered in the first 24 months) subject to annual CPI increases, indicate the address and telephone number of the Contractor's office nearest to Santa Ana, California, and the office from which the contract will be managed. Cover letter must be addressed to the following City Project Manager: Elizabeth Rubio, Projects Manager City of Santa Ana — Public Works Agency 220 S. Daisy Avenue Santa Ana, CA 92703 Scope of Services Provided and Schedule Proposals shall include a description of proposed services to be provided and how they meet the needs of the City; including details of the work phases to be completed, the tasks to be accomplished and the deliverables to be provided. Provide a schedule based on and incorporating the Scope of Services outlined in EXHIBIT I. Include a written statement which provides proposer's current workload and how this project will be accommodated. iii. Agreement Statement Proposal shall include a statement outlining your concurrence or concerns with any and all provisions as contained in EXHIBIT II — Sample Agreement of this RFP (if any). iv. Firm and Team Experience cr nc c€.Q nnc cry my City Council 14 — 28 8/1/2023 (9) CITY OF SANTA ANA Proposal shall include a profile of the firm's experience. Include resumes of project team/sub-contractors that outline their technical and design experience. At a minimum, this should include the project manager/principal agent, associates in charge when project manager/principal agent is unavailable, key personnel, firm size, and an organization chart identifying only those who will perform work for the proposed project and the percentage of each individual's time devoted to this project. The project manager/principal agent shall be the primary contact person to represent your firm. V. Understanding the Need Proposal shall include an outline which demonstrates the firm's understanding of the scope of work. This outline should include anticipated approach, tasks necessary for successful completion, and suggestions or special concerns that the City should be made aware of. vi. Relevant Project Experience Proposal shall include a list of relevant projects which your firm or personnel have completed within the last five (5) years, including significant work with public agencies. Project information should include project description, year completed, client name, along with a person to contact and their telephone number. vii. References Proposal shall include references for three (3) public entities for which Proposer has performed similar work within the past five (5) years. 2. Fee Proposal Provide a fee schedule/pricing information for the project, which shall include the firm's standard hourly fee schedule, and/or a project fee schedule required to perform the services as set forth in EXHIBIT I. The fee proposal shall be submitted concurrently with the technical proposal, but uploaded as a separate file and clearly labeled as "Fee Proposal". The City will primarily evaluate proposals based on qualifications. The City reserves the right to negotiate a contract price with the most qualified/highest-rated firm based on available funding. Vill. CERTIFICATIONS (ATTACHMENTS) In addition to the SOQ, Narrative/Technical Proposal, and Cost Proposal, the following forms, included in this RFP, shall be signed and included as part of the proposal submittal package: • Attachment A: References Attachment B: Non -Collusion Affidavit Attachment C: Non -Lobbying Certification Attachment D: Non -Discrimination Certification The proposal must be completely responsive to the RFP. Incomplete proposals will be deemed as nonresponsive and will be rejected. The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any commitment will be awarded pursuant to this RFP or otherwise. cr nc 2€.Q1_41r_c cr► my City Council 14 — 29 8/1/2023 (2)CITY OF SANTA ANA PLEASE NOTE. City will not be waive notarization requirement when applicable on any of the required attachments. IX. REFERENCES Contractor shall provide three (3) references from other similar public agencies for which services similar to those specified in this RFP have been performed, including contact names and telephone numbers. Use ATTACHMENT A — References. The respondent grants permission for the City to contact any individuals listed as references. City may disqualify a Proposer if. • References fail to substantiate Proposer's description of services and deliverables provided; or • References fail to support that Proposer has a continuing pattern of providing capable, productive, and skilled personnel, or • City is unable to reach the point of contact with reasonable effort. It is the Proposer's responsibility to inform the point of contact(s) of normal City working hours. X. MINIMUM SCOPE AND LIMIT OF INSURANCE The selected Proposer shall provide the required evidence of insurance coverage as set forth in the standard agreement within ten (10) business days after receipt of Notice of Intent to Award. Contractor must maintain, for the duration of its contract, insurance coverages as required by the City. Additionally, Contractor shall provide the following insurance coverage: Coverage shall be at least as broad as: • Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. • Automobile Liability: ISO Form Number CA 00 01 covering any auto (Code 1), or if Contractor has no owned autos, hired, (Code 8) and non -owned autos (Code 9), with limit no less than $1,000,000 per accident for bodily injury and property damage. • Workers' Compensation: as required by the State of California, with Statutory Limits, and Employer's Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. • Professional Liability (Errors and Omissions) Insurance appropriates to the Consultant's profession, with limit no less than $1,000,000 per occurrence or claim, $2,000,000aggregate. If the Contractor maintains broader coverage and/or higher limits than the minimums shown above, the Entity requires and shall be entitled to the broader coverage and/or the higher limits maintained by the contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the Entity. cr nc c€�nCc 2T4 rnv City Council 14 — 30 8/1/2023 w*1 CITY OF SANTA ANA Other Insurance Provisions The insurance policies are to contain, or be endorsed to contain, the following provisions: Additional Insured Status The Entity, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Contractor including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Contractor's insurance (at least as broad as ISO Form CG 20 10 11 85 or if not available, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 if a later edition is used). Primary Coverage For any claims related to this contract, the Contractor's insurance coverage shall be primary coverage at least as broad as ISO CG 20 01 04 13 as respects the Entity, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the Entity, its officers, officials, employees, or volunteers shall be excess of the Contractor's insurance and shall not contribute with it. Notice of Cancellation Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the Entity. Waiver of Subrogation Contractor hereby grants to Entity a waiver of any right to subrogation which any insurer of said Contractor may acquire against the Entity by virtue of the payment of any loss under such insurance. Contractor agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the Entity has received a waiver of subrogation endorsement from the insurer. Self -Insured Retentions Self -insured retentions must be declared to and approved by the Entity. The Entity may require the Contractor to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self -insured retention may be satisfied by either the named insured or Entity. Acceptability of Insurers Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best's rating of no less than A:VII, unless otherwise acceptable to the Entity. Claims Made Policies (note — should be applicable only to professional liability, see below) If any of the required policies provide claims -made coverage: 1. The Retroactive Date must be shown, and must be before the date of the contract or the beginning of contract work. 2. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. 3. If coverage is canceled or non -renewed, and not replaced with another claims -made policy form with a Retroactive Date prior to the contract effective date, the Contractor cr nc c� i►r�c cry my City Council 14 — 31 8/1/2023 (2)CITY OF SANTA ANA must purchase "extended reporting" coverage for a minimum of five (5) years after completion of work. Verification of Coverage Contractor shall furnish the Entity with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to Entity before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Contractor's obligation to provide them. The Entity reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. Subcontractors Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Contractor shall ensure that Entity is an additional insured on insurance required from subcontractors. Special Risks or Circumstances Entity reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances. cr nc my 10 City Council 14 — 32 8/1/2023 (9) CITY OF SANTA ANA XI. SELECTION PROCEDURES & CRITERIA A. The City will establish a proposal review committee. The review committee will evaluate proposals based on the response to the RFP, which includes adherence to outlined directions and format, and the City evaluation criteria set forth below. A final score will be calculated for each submitted proposal and used to rank the proposers. B. Proposers will be ranked by the review committee based on the following criteria: CATEGORY POINTS Firm/Team Experience • Firm experience (Quantity/Similar Project/Scope of Service) • Technical & design experience 15 • Company's structure demonstrates sufficient depth, capacity for its resent and additional workload Understanding of Need • Outline demonstrating the firm's understanding of the scope of work • Anticipated approach 30 • Task necessary for scuccessful competition Relevant Project Experience • Relevant projects firm/personnel completed within the last five (5) years 15 Schedule • Detailed Schedule based on the Scope of Service 15 Fee • Cost of Project 20 References • References that are similar in size and project scope to the City. 5 • Customer service approach and reputation with municipal agencies TOTAL POSSIBLE SCORE 100 The committee may interview the top ranking proposers. The City will recommend award of the agreement to the proposers who will provide the best quality and value to the City. City reserves the right to begin negotiations and enter into an agreement without interview or further discussions. XII. WITHDRAWALS Proposers are responsible for verifying all prices and information before submitting a proposal. Prior to the proposal due date, the Proposer or Proposer's representative may withdraw the proposal by providing written notice of the proposal withdrawal to the City Contact/Project Manager. Verbal or telephonic withdrawals are not permissible. cr nc c€�nCc 2T4 Iv 11 City Council 14 — 33 8/1/2023 (2) CITY OF SANTA ANA XIII. GENERAL TERMS AND CONDITIONS A. AMERICANS WITH DISABILITIES ACT The awarded Contractor hereby certifies that it will comply, as applicable, with the Americans with Disabilities Act of 1990 ("ADA"), 42 USC §§ 12101 et seq., and its implementing regulations, including Subtitle A, Title II of the ADA. Contractor will not discriminate against persons with disabilities nor against persons due to their relationship to or association with a person with a disability. Any contract entered into by the awarded Contractor (or any subcontract thereof), relating to this RFP, shall be subject to the provisions of this paragraph. B. CITY BUSINESS LICENSE The selected proposer shall be required to obtain a City of Santa Ana Business license within thirty (30) days of selection and must provide a copy to the City projects manager or designee prior to commencing any work in Santa Ana. C. CITY RIGHT TO REJECT The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any agreement will be awarded pursuant to this RFP or otherwise. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any minor inconsistency, informality or technical defect in the proposal. D. CONFLICT OF INTEREST Contractor shall exercise reasonable care and diligence to prevent any actions or conditions that could result in a conflict with the best interests of the City. This obligation shall apply to the Contractor; the Contractor's employees, agents, and Subcontractors associated with accomplishing work and services hereunder. The Contractor's efforts shall include, but not be limited to, establishing precautions to prevent its employees, agents, and Subcontractors from providing or offering gifts, entertainment, payments, loans or other considerations which could be deemed to influence or appear to influence City staff or elected officers from acting in the best interests of the City. Each Proposer must disclose any existing or potential conflict of interest relative to the performance of the contractual services resulting from this RFP. Any such relationship that might be perceived or represented as a conflict should be disclosed. The City reserves the right to disqualify any Proposer on the grounds of actual or apparent conflict of interest. No person, firm, or subsidiary thereof who has been awarded this Contract may be awarded a Contract for the provision of services, the delivery of supplies, or the provision of any other related action which is required, suggested, or otherwise deemed appropriate as an end product of this Contract. Therefore, Contractor is precluded from contracting for any work recommended as a result of this Contract. E. CONTRACTOR'S EXPENSE Pre -Contractual Expenses: The City is not liable for any costs incurred by Proposers prior to entering into a formal contract. Costs of developing a response to this RFP, are entirely the responsibility of the Proposer, and shall not be reimbursed in any manner by the City. Pre - contractual expenses are not to be included in the cost proposal. Pre -contractual expenses include, but are not limited to, preparation of the proposal, submission of the proposal and additional information, attendance at pre -proposal conference, negotiating any matter related CQ,2T_ QX 219:R1.41Cc cr1 my 12 City Council 14 — 34 8/1/2023 (9)CITY OF SANTA ANA to this RFP with City, and/or any other expenses incurred by the Proposer prior to the date of award and execution, if any, of the contract. Other Expenses: The Contractor will be responsible for all costs related to photo copying, telephone communications, fax communications, and parking while on City sites during the performance of work and services under this Contract. F. CONTRACTOR'S PROJECT MANAGER/KEY PERSONNEL Except as formally approved by the City, the key personnel identified in Contractor's proposal shall be the individuals who will actually complete the work. Changes in staffing must be reported in writing and approved by the City. The City shall have the right to require the removal and replacement of the Contractor's Project Manager and key personnel under the awarded contract. The City shall notify the Contractor in writing of such action. The City is not required to provide any reason, rationale, or additional factual information if it elects to request any specific key personnel be removed from performing services under the awarded contract. The City shall review and approve the appointment of the replacement for the Contractor's personnel. Said approval shall not be unreasonably withheld. Standards of Conduct: Contractor's personnel shall be courteous and maintain good working relationships with all stakeholders, state or outside agencies, other team members and staff within the City. G. COST PROPOSAL The awarded Contractor agrees to provide the purchased services at the costs, rates, and fees as set forth in their Fee Schedule in response to this RFP. No other costs, rates or fees shall be payable to the awarded Subcontractor for implementation of their proposal. H. DATA RETENTION Contractor shall be responsible for retaining data, records, and documentation for the preparation of required items. These materials shall be made available to and as requested by City. All materials, documents, data or information obtained from the City Data files or any City medium furnished to Contractor in the performance of an awarded contract will at all times remain the property of the City. Such data or information may not be used or copied for direct or indirect use by Contractor after completion or termination of this Contract without the express written consent of the City. All materials, documents, data or information, including copies, must be returned to the City at the end of the contract. All data, documents and other products used, developed, or produced during response preparation of the RFP will become property of the City. All responses to the RFP shall become property of the City. Proposer information identified as proprietary shall be maintained confidential, to the extent allowed under the California Public Records Act. I. DRUG -FREE WORKPLACE The awarded Contractor certifies compliance with Government Code Section 8355 in matters relating to providing a drug -free workplace. Failure to comply with these requirements may result in suspension of payments under the Contract or termination of the contract or both, and the Contractor may be ineligible for award of any future City contracts. cr nc c€WV.1r_c 2T4 Iv 13 City Council 14 — 35 8/1/2023 (2) CITY OF SANTA ANA J. EXAMINATION Proposer represents that it has thoroughly examined and become familiar with the services and responsibilities required this RFP and that it is capable of effectively and efficiently performing quality work to achieve the City's objectives. Any attachments referenced herein or any interpretations, clarifications or amendments subsequently posted in relation to this RFP are fully incorporated. Any irregularities or lack of clarity in the RFP should be brought to the designated City Contact/Project Manager's attention as soon as possible so that corrective addenda may be furnished to prospective Proposers. Proposals which appear unrealistic in the terms of technical commitments, lack of technical competence, or are indicative of failure to comprehend the complexity and risk of this contract, may be rejected. K. EXECUTION OF AGREEMENT Upon successful negotiations, the City and the selected Proposer will enter into an Agreement similar to that as shown in EXHIBIT II — Sample Agreement of this RFP. If a Proposer is unwilling or unable to execute an Agreement within thirty (30) days after being notified of selection under this RFP, the City reserves the right to disqualify them without any further obligation L. FISCAL NONFUNDING CLAUSE In the event sufficient budgeted funds are not available for a new fiscal period, the City shall retain the right to notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period and terminate the contract on the last day of the current fiscal period without penalty or expense to the City. M. INDEPENDENT CONTRACTOR Contractor is considered an independent Contractor and neither Contractor, its employees, nor anyone working under Contractor will be considered an agent or an employee of City. Neither Contractor, its employees, nor anyone working under Contractor, will qualify for workers' compensation or other fringe benefits of any kind through City. N. JOINT OFFERS/SUBCONSULTANTS Where two or more Proposers desire to submit a single Proposal in response to this RFP, they should do so on a prime sub -consultant basis. The City intends to contract with a single firm and not with multiple firms doing business as a joint venture. Should the use of sub - consultants be offered, the Proposer shall provide the same assurances of competence for the sub -consultant plus the demonstrated ability to manage and supervise the subcontracted work. Sub -consultants shall not be allowed to further subcontract with others for work under the Agreement. The provisions of the Agreement shall apply to all sub -consultants in the same manner as the Proposer. The City reserves the right to reject, replace and approve any and all Subcontractors. All Subcontractor(s) shall be identified in the response to the RFP and the City reserves the right to reject any proposed Subcontractor(s). Subcontractors shall be the responsibility of the prime Contractor and the City shall assume no liability of such Subcontractors. O. LITIGATION STATUS Each Proposer must include in its proposal a complete disclosure of any alleged significant prior or ongoing contract failures, any civil or criminal litigation or investigation pending which involves the Proposer or in which the Proposer has been judged guilty or liable. Failure to cr nc my 14 City Council 14 — 36 8/1/2023 (9) CITY OF SANTA ANA comply with the terms of this provision will disqualify any proposal. The City reserves the right to reject any proposal based upon the Proposer's prior history with the City or with any other party, which documents, without limitation, unsatisfactory performance, adversarial or contentious demeanor, significant failure(s) to meet contract milestones or other contractual failures. P. NEGOTIATIONS The City reserves the right to negotiate final contract terms with any Proposer selected. The contract between the parties will consist of the RFP together with any modifications thereto, and the awarded Contractor's proposal, together with any modifications and clarifications thereto that are submitted at the request of the City during the evaluation and negotiation process. In the event of any conflict or contradiction between or among these documents, the documents shall control in the following order of precedence: the final executed contract, the RFP, any modifications and clarifications to the awarded Contractor's proposal, and the awarded Contractor's proposal. Specific exceptions to this general rule may be noted in the final executed contract. Negotiations shall be confidential and not subject to disclosure to competing Contractors unless and until an agreement is reached. If contract negotiations cannot be concluded successfully, the City reserves the right to negotiate a contract with another Contractor or withdraw the RFP. Q. NON -PAYMENTS Note that payments will NOT be made for any unsatisfactory work until corrected. In the event of nonpayment of undisputed sums by the City, Contractor shall give the City thirty (30) working days to cure the alleged breach. R. OWNERSHIP OF DOCUMENTS The City has permanent ownership of all directly connected and derivative materials produced under this contract by the Contractor. All documents, reports and other incidental or derivative work or materials furnished hereunder shall become and remains the sole property of the City and may be used by the City as it may require without additional cost to the City. Contractor shall provide the City copies of documents upon its request at any time. None of the documents, reports and other incidental or derivative work or furnished materials shall be used by the Contractor without the express written consent of the City. S. PARKING The City will not provide free parking and/or reimbursement for the cost of parking while providing services and conducting business with the City. T. PROFESSIONAL STANDARDS Contractor staff shall be courteous to the public and City staff utilizing facilities where Contractor is performing work, but shall be responsive only to the requests of the City's Project Manager or designee. Contractor staff shall direct all inquiries to Project Manager or designee. Contractor acknowledges that City locations consist of public -use facilities and recognizes the obligation to ensure Contractor personnel and agents maintain the highest level of professional standards in attire, decorum, and interaction with the public and City personnel. cr nc c€WV.1r_c 2T4 Iv 15 City Council 14 — 37 8/1/2023 (2) CITY OF SANTA ANA U. PROJECT MANAGER The selected Proposer will assume responsibility for all services in its proposal. The selected Proposer shall identify a sole point of contact, Project Manager, with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement. V. PROPOSAL VALIDITY Services, pricing, and warranties indicated in a Proposer's Proposal must be valid for a period of 180 days at minimum after the submission of the Proposal. W. PUBLIC AGENCIES Other public agencies, as defined by California Government Code Section 6500, may choose to use the terms of this Contract, subject to Contractor's acceptance. The City is not liable or responsible for any obligations related to a subsequent contract between Contractor and another public agency. X. PUBLIC RECORDS Proposals will become public record after the award of a contract unless the proposal or specific parts of the proposal can be shown to be exempt by law. Each Proposer may clearly label all or part of a proposal as "CONFIDENTIAL" provided that the Proposer thereby agrees to indemnify and defend the City for honoring such a designation. The failure to so label any information that is released by the City shall constitute a complete waiver of any and all claims for damages caused by any release of the information. Proposer information identified as proprietary shall be maintained confidential, to the extent allowed under the California Public Records Act. Y. SUBCONTRACTORS Proposals in response to this RFP must identify any Subcontractors, and outline the contractual relationship between the Awarded Subcontractor and each Subcontractor. An official of each proposed Subcontractor must sign, and include as part of the proposal submitted by the Prime Contractor, a statement to the effect that the Subcontractor has read and will agree to abide by the awarded Contractor's obligations. Any Subcontractor proposed after award of contract must be approved by the City before commencement of work. The City will look solely to the awarded Contractor for the performance of all contractual obligations which may result from an award based on this RFP, and the awarded Contractor shall not be relieved for the non-performance of any or all Subcontractors. XIV. AWARD OF AGREEMENT Selected Contractor(s) will be notified in writing. Any award is contingent upon the successful negotiation of final contract terms. A standard agreement is included as EXHIBIT II - Sample Agreement of this RFP. "Proposer" will hereinafter be referred to as "Consultant" or "Contractor" in standard agreement. The term of the agreement will begin after the agreement is fully executed, and all required bonds, insurance documents and contents of the payment information packet have been received and approved. cr nc 219:R1.41nc cr1 my 16 City Council 14 — 38 8/1/2023 (9) XV. IMPLEMENTATION CITY OF SANTA ANA A. KICK-OFF MEETINGS A kick-off meeting will be held after award of contract. Consultant and its team will meet with City of Santa Ana staff to conduct introductions, discuss scope of services, and implementation process. B. NOTICE TO PROCEED Following the kick-off meeting, a formal Notice to Proceed (NTP) may be issued after the agreement is fully executed, and all insurance documents and contents of the Payment Information Packet have been received and approved. cr nc c€WV.1r_c 2T4 Iv 17 City Council 14 — 39 8/1/2023 CITY OF SANTA ANA EXHIBIT I SCOPE OF SERVICES Contractor shall perform services as set forth below. SCOPE OF SERVICE: The City of Santa Ana is a full -service city with a population of over 335,000, encompassing 27 square miles. Santa Ana is the second largest city in Orange County, the eleventh largest in the state, and the 57th largest in the nation. Incorporated in 1886, Santa Ana has long been the County's government powerbase and serves as the County seat. With a total budget of $760.2 million, Santa Ana provides public safety, quality -of -life programming, and general & utility services to its residents and business community. The Sanitation Services Users Charge (Santation Fee/Sanitation Enterprise) as defined in the Santa Ana Municipal Code Chapter 18 Article XI 1. is 1 % of the total budget providing two services: Environmental Sanitation/Weed Abatement and Roadway Cleaning/Street Sweeping. Sanitation services are provided through a combination of city employees and private contractors. The approved Sanitation Enterprise budget for Fiscal Year 2022-23 is $7.6 million. The City maintains 400 miles of public right-of-way by removing hazardous material, vegetation, industrial emissions, and litter. The Sanitation Enterprise support efforts to help ensure an equitable approach to cleaning debris and pollutants along curbed streets, helping prevent contamination of local waters and damaging aquatic life and marine ecosystems. II. DESCRIPTION OF WORK: Consultant shall prepare a cost of service study and make recommendations for implementing a rate in compliance with California Proposition 218 requirements (anticipated implementation date January 2024). The goals of the study are to: A. Propose sanitation rates in accordance with California Constitution (Prop 218), and all applicable laws, that are fair, objective and fiscally appropriate for Santa Ana, covering a ten (10) year study period, including, but not limited to: 1. Ongoing operations and service enhancements; 2. A prudent reserve program for operating; 3. Capital replacement and emergencies; and 4. Identification ofcustomer life -line programs. B. Evaluate existing department operations and budgets, identify the current level of service, and estimate the future level of service. C. Evaluate existing department operations and budgets with non -prevailing wage contractor (street sweeping contract) requirement(s) and identify minimum service levels that will be feasible given the recent enactment of prevailing wage (street sweeping contract). D. Minimize rate impacts to customers to the greatest extent possible. E. Identify existing and potential funding mechanisms to finance department operations and capital Improvements. cr nX 18 City Council 14 — 40 8/1/2023 w*1 CITY OF SANTA ANA Key issues that will impact the overall study are: 1. Continuous increase in cost due to current economic climate. 2. Santa Ana's historic effort to tackle the housing crisis is seeing an influx of redevelopment projects, increasing the City's footprint. III. CONTRACTOR REQUIREMENTS & RESPONSIBILITIES TASK 1 - SANITATION PROGRAM EVALUATION A. GENERAL The City sweeps approximately 54,000 curb miles; responds to over 15,000 service requests for roadway cleaning annually, 2,000 environmental sanitation/weed abatement violations, and more than 1,600 reports to obstructions in the public right-of-way. B. CONTENT/TASKS Consultant shall review and become familiar with the operation and all pertinent historical performance and financial data. Consultant shall review the following at minimum: a. Surrounding municipalities to establish service level; b. Current and recent budgets and Annual Comprehensice Financial Report (ACFR); c. Background information for the operation including existing regulatory requirements, and other contractual requirements and operations; d. Historical revenues, operating expenses, reserve policies (i.e., working capital and renewal and replacement), approved rates and charges, customer information and number of units; and e. Review other pertinent data as necessary. 2. Consultant shall prepare an "Existing Cost of Service Summary" technical memorandum or executive summary of the existing financial condition of the sanitation enterprises. This summary shall identify: a. The cost of service gaps or discrepancies between the existing rate structure(s); b. The projected maintenance, operations and capital spending plans; and c. The effects of current financial/economic climate. This summary will also identify the strategy the consultant intends to use to close any cost of service gaps identified. C. DELIVERABLES Existing Cost of Service Summary a. Digital Copy (PDF) b. Printed Copies (5) City Council COST OF SERV08 SAbY 8/1/2023 19 (2)CITY OF SANTA ANA II. TASK 2 - COST OF SERVICE RATE MODEL & SCENARIO DEVELOPMENT A. GENERAL As part of the work required in preparing a comprehensive cost of service and rate study report, the Consultant may develop various forecasting models, projections, and rate adjustment scenarios for the City's consideration. B. CONTENT/TASKS Consultant shall perform the following tasks: 1. Classify functional expenses to cost components: capacity (demand) costs, commodity costs, customer costs and other direct costs; 2. Classify operating, administrative, operations and maintenance (O&M) expenses, power costs, distribution systems and reserve fund requirements; 3. For each rate scenario, assess the sensitivity of the projected results to changes in certain key variables, including but not limited to, changes in units changes and changes in the cost of the operation. 4. Propose changes to existing or creation of new sanitation fees and surcharges, as are necessary and/or expedient to achieving the goals of the study. 5. The rate design shall continue to support current service level for all customer classes, provide funding for capital replacement while ensuring the ability of the sanitation enterprises to meet fixed and variable cost obligations. C. DELIVERABLES There are no deliverables for this section. Consultant shall meet and confer with City in regards to the cost of service rate model development and various scenarios prior to preparing report. III. TASK 3 - COST OF SERVICE REPORT A. GENERAL Consultant shall prepare comprehensive cost of service reports which satisfies the City's stated goals in Section II, "Description of Work" above. At a minimum the reports shall be comprised of the following: 1. Executive Summary 2. Introduction/Background including discussions on a. Purpose of study b. Applicable laws and regulatory framework c. Generally accepted rate setting standards 3. Revenue Requirements 4. Cost allocation methodology 5. Recommendations 6. California Proposition 218 Compliant Notices a. Prepare rate adjustment notices compliant with Proposition 218 requirements. Notices will be prepared in three languages, English, cT- nc 2�.Q1.4CFM cr1 my 20 City Council 14 — 42 8/1/2023 (9) CITY OF SANTA ANA Spanish and Vietnamese. Notices to be delivered electronically as Microsoft Word document. b. Pass -through adjustment formula and means of establishing pass through adjustments shall be explicitly stated. B. CONTENT/TASKS Perform a fully allocated sanitation rate study tailored for Santa Ana, including the following: 1. A rate structure based on cost of service sufficient to meet the revenue requirements of the sanitation enterprise; 2. Classify functional expenses to cost components: capacity (demand) costs, commodity costs, customer costs and other direct costs; 3. Classify operating, administrative, operations and maintenance (O&M) expenses, power costs and reserve fund requirements; 4. A rate structure that considers and makes provisions for the following factors: a. Current and future cost of providing sanitation services in accordance with established and anticipated standards and regulations. b. A recommended sanitation rate structure that is in compliance with Proposition 218; 5. Provide a comparison of current sanitation rates to comparable surrounding sanitation program; 6. The type and amount of reserves appropriate to the City's sanitation operations taking into consideration reserves for cash flow, catastrophes, infrastructure replacement (proprietary assets) and other appropriate purposes; 7. A comparison of customer groups and cost of service with neighboring municipalities of comparable size, type of treatment, and level of service; 8. A review and analysis of current block sizes and seasonal rate differentials. Consultant should recommend changes if appropriate; and 9. Consultant shall assess the recommended rate structures and their impacts on the ability to fund sanitation operations as well as their impact on the City's rate payers; 10. A review of elderly low-income and sanitation rate programs provided by other agencies and propose appropriate elderly low-income sanitation rate for Santa Ana; 11. The benefits of any proposed rate modifications shall be weighed against the financial impacts on the ratepayers. Consultant shall analyze the proposed rates for customer impacts and develop alternative rates modeled to address financial impacts on ratepayers. The analysis shall include: a. Preparation of typical bill comparisons for each proposed rate structure for representative customer classes using the current rate schedules as a baseline. b. Compare customer class and proposed rate structures with neighboring agencies of comparable service area. City Council COST OF SERV08 S1bY 8/1 /2023 21 (2) CITY OF SANTA ANA C. DELIVERABLES Consultant shall deliver at a minimum the following: 1. Final Cost of Service Reports a. Digital Copy (PDF) b. Printed and Bound Copies (15) of each 2. Proposition 218 Compliant Notice a. Digital Copy (PDF and MS Word) 3. Pass -through adjustment calculator a. Digital Copy (MS Excel or similar) Consultant shall meet with the City to discuss the report's outcome and explain in detail the full parameters and outcomes discussed in the report. In addition, the Consultant shall meet with the City to review a draft copy of the report before submitting the final report. IV. PUBLIC MEETINGS & PRESENTATIONS Consultant shall participate, as requested by City, at both staff and public meetings. Consultant shall expect to make presentations regarding the results of the cost of service study to City executive staff, Mayor and Council and the general public. For purposes of this RFP, Consultant shall be required to attend a minimum six (6) meetings in the range of two (2) — four (4) hours in length in person. V. KICKOFF MEETING Consultant shall attend one (1) contract kick-off meeting at the City's Corporate Yard located at 215 S. Center St., Santa Ana, CA 92703 at which City staff will share contact information, safety and security protocols, and familiarize the Consultant with the City's sites and equipment. VI. PROJECT MANAGEMENT & COORDINATION Consultant shall not proceed with any work without the approval of the City's designated Project Manager. Consultants shall invoice the City on a monthly basis for all work performed during the period. Each invoice shall be accompanied by a summary of tasks performed, results, and progress on long-term tasks (if any). VII. MIDTERM REVIEW The City intends to implement a five-year rate structure as determined appropriate by the results of the cost of service study. Consultant shall perform a midterm review (either at Year 2 or 3 of implementation) of the adopted rate structure, revenues and expenditures, and make recommendations/findings as to the need for any midterm rate adjustments to meet the City's stated goals. The Consultant shall deliver an addendum report to the initial study presenting said recommendations. The Consultant will provide an updated Proposition 218 notice if requested by the City. VIII. VALUE-ADDED RELATED SERVICES CQ,2T_ nc 21E.Q1.4cc cr1 my 22 City Council 14 — 44 8/1/2023 (9)CITY OF SANTA ANA Consultant may propose additional related services that the City has not specifically identified in this RFP to accomplish the stated goals of this RFP. Value-added related services will be considered by the City and may or may not be incorporated in theAgreement. IX. FEE SCHEDULE Consultant shall submit a fee schedule in a separate file as described in Section VII.F.3 - RESPONSE TO RFP — PROPOSAL CONTENTS. Fee proposal shall be outlined as follows: 1. Fee for preparing Cost of Service Report (Items I — VI) 2. Fee for performing midterm review (Item VII) 3. Firm's standard hourly fee schedules 4. Optional: Fee for any proposed value-added services, if any (item VIII) X. TERMINATION The City reserves the right to terminate the contract, without penalty, for cause immediately or without cause. 1. This agreement may be terminated without cause by City upon thirty (30) days written notice delivered to the Contractor either personally or by mail. Upon termination, City shall pay to Contractor that portion of compensation specified in the Agreement that is earned and unpaid prior to the effective date of termination. 2. In addition to, or in lieu of, remedies provided in this Agreement or pursuant to law, City shall have the right to withhold all or a portion of Contractor's compensation for contract services if, in the judgment of the Projects Manager or designee, falls below appropriate standards and/or Contractor fails to satisfactorily perform contract services. XI. CONTRACTOR OPTION FOR TERMINATION The Contractor may request termination of the contract when conditions during the contract make it impossible to perform or when prevented from proceeding with the contract by act of God, by law or official action of a public authority or in the event on nonpayment by the City. Such request will require sixty (60) days written notice prior to contract termination date requested. In the event of nonpayment of undisputed sums by the City, Contractor shall give the City a minimum of thirty (30) working days to cure the alleged breach. City Council COST OF SERV08 SAfDY 8/1/2023 23 (9) CITY OF SANTA ANA EXHIBIT II SAMPLE AGREEMENT THIS AGREEMENT is made and entered into on this day of , 2023 by and between , ("Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. The City desires to retain a Consultant having special skill and knowledge in the field of: B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Scope of Services - Exhibit I, attached hereto and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Compensation - Exhibit II. The total amount to be expended during the term of this Agreement shall not exceed $xxxxxx. b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice invoievidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above fora written number (3) year term with the option for the City to grant up to two, one (1)-year renewals, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below. 4. INDEPENDENT CONTRACTOR COST OF SERVICE STUDY 24 City Council 14 — 46 8/1/2023 (9) CITY OF SANTA ANA Consultant shall, during the entire term of this Agreement, be construed to be an independent Consultant and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. Standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not 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. MINIMUM SCOPE AND LIMIT OF INSURANCE The selected Proposer shall provide the required evidence of insurance coverage as set forth in the standard agreement within ten (10) business days after receipt of Notice of Intent to Award. Contractor must maintain, for the duration of its contract, insurance coverages as required by the City. Additionally, Contractor shall provide the following insurance coverage: Coverage shall be at least as broad as: Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. Automobile Liability: ISO Form Number CA 00 01 covering any auto (Code 1), or if Contractor has no owned autos, hired, (Code 8) and non -owned autos (Code 9), with limit no less than $1,000,000 per accident for bodily injury and property damage. Workers' Compensation: as required by the State of California, with Statutory Limits, and Employer's Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. rn.cT nF .CFR%1irF .szi Iny 25 City Council 14 — 47 8/1/2023 (2) CITY OF SANTA ANA If the Contractor maintains broader coverage and/or higher limits than the minimums shown above, the Entity requires and shall be entitled to the broader coverage and/or the higher limits maintained by the contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the Entity. Other Insurance Provisions The insurance policies are to contain, or be endorsed to contain, the following provisions: Additional Insured Status The Entity, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Contractor including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Contractor's insurance (at least as broad as ISO Form CG 20 10 11 85 or if not available, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 if a later edition is used). Primary Coverage For any claims related to this contract, the Contractor's insurance coverage shall be primary coverage at least as broad as ISO CG 20 01 04 13 as respects the Entity, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the Entity, its officers, officials, employees, or volunteers shall be excess of the Contractor's insurance and shall not contribute with it. Notice of Cancellation Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the Entity. Waiver of Subrogation Contractor hereby grants to Entity a waiver of any right to subrogation which any insurer of said Contractor may acquire against the Entity by virtue of the payment of any loss under such insurance. Contractor agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the Entity has received a waiver of subrogation endorsement from the insurer. Self -Insured Retentions Self -insured retentions must be declared to and approved by the Entity. The Entity may require the Contractor to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self -insured retention may be satisfied by either the named insured or Entity. Acceptability of Insurers Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best's rating of no less than A:VII, unless otherwise acceptable to the Entity. Claims Made Policies (note — should be applicable only to professional liability, see below) If any of the required policies provide claims -made coverage: 4. The Retroactive Date must be shown, and must be before the date of the contractor the beginning of contract work. 5. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. COST OF SERVICE STUDY 26 City Council 14 — 48 8/1/2023 (9)CITY OF SANTA ANA 6. If coverage is canceled or non -renewed, and not replaced with another claims -made policy form with a Retroactive Date prior to the contract effective date, the Contractor must purchase "extended reporting" coverage for a minimum of five (5) years after completion of work. Verification of Coverage Contractor shall furnish the Entity with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to Entity before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Contractor's obligation to provide them. The Entity reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. Special Risks or Circumstances Entity reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Contractor, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Contractor's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a rn.cr nF .CFRvir.F .cri Inv 27 City Council 14 - 49 8/1/2023 (2) CITY OF SANTA ANA representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 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, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. NON-DISCRIMINATION Contractor shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 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 COST OF SERVICE STUDY 28 City Council 14 — 50 8/1/2023 (9) CITY OF SANTA ANA of the services which are the subject to this Agreement performed by City personnel or by other Contractors retained by City. TERMINATION The City reserves the right to terminate the contract, without penalty, for cause immediately or without cause. 1. This agreement may be terminated without cause by City upon thirty (30) days written notice delivered to the Contractor either personally or by mail. Upon termination, City shall pay to Contractor that portion of compensation specified in the Agreement that is earned and unpaid prior to the effective date of termination. 2. In addition to, or in lieu of, remedies provided in this Agreement or pursuant to law, City shall have the right to withhold all or a portion of Contractor's compensation for contract services if, in the judgment of the Projects Manager or designee, falls below appropriate standards and/or Contractor fails to satisfactorily perform contract services. 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. 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. II. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. III. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this contract shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by 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) rn.cT nF .CFR%1irF .cTl InV 29 City Council 14 — 51 8/1/2023 (2) CITY OF SANTA ANA P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: To Contractor: First & Last Name Title Consultant Firm Name Address City, State, Zip Fax: A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. IV. 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. The Agreement is the final and complete agreement and any prior or contemporaneous agreements for similar services between the parties is superseded by this Agreement. This shall not apply where the Parties are currently engaged and Consultant is providing services not contemplated by this Agreement. C. 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: Clerk of the Council CITY OF SANTA ANA Kristine Ridge City Manager COST OF SERVICE STUDY 30 City Council 14 — 52 8/1/2023 (9) APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney go Assistant City Attorney RECOMMENDED FOR APPROVAL: CITY OF SANTA ANA CONSULTANT: (name) (title) SAMPLE ONLY rn.cT nF .CFR1/IrF .cTl InV 31 City Council 14 — 53 8/1/2023 (2) CITY OF SANTA ANA ATTACHMENT A REFERENCES THIS SHEET MUST BE COMPLETED IN ENTIRETY AND RETURNED WITH OFFEROR'S PROPOSAL List and describe fully the contracts performed by your firm which demonstrate your ability to provide the 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 & customer service reputation. Customer Name: Address: Reference No. 1 Contact Individual/Email: Phone Number: Facsimile Number: Project Name: I Year: Brief Description of Scope of Work: Customer Name: Address: Name: Brief Description of Scope of Work: Customer Name: Address: Reference No. 2 Contact Individual/Email: Phone Number: Facsimile Number: Year: Reference No. 3 Contact Individual/Email: Phone Number: Facsimile Number: Project Name I Year: Brief Description of Scope of Work: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. COST OF SERVICE STUDY 32 City Council 14 — 54 8/1/2023 (9) CITY OF SANTA ANA ATTACHMENT B NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal 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 proposal. Note: The above non -collusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this non -collusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. Signed State of , County of Subscribed and sworn to (or affirmed) before me on this day of , 20 , by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. rn.cT nF .CFR%1irF .cTl InV 33 City Council 14 — 55 8/1/2023 (2) CITY OF SANTA ANA ATTACHMENT C NON -LOBBYING CERTIFICATION The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Signed: Title: Firm: Date: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. COST OF SERVICE STUDY 34 City Council 14 — 56 8/1 /2023 (9) CITY OF SANTA ANA ATTACHMENT D NON-DISCRIMINATION CERTIFICATION The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 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. 2. 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, rn.cT nF .CFP%1irF .cTl InV 35 City Council 14 — 57 8/1/2023 (2) CITY OF SANTA ANA including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 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: Firm: Date: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. COST OF SERVICE STUDY 36 City Council 14 — 58 8/1 /2023 omr:..I "owns anITC ...._.._ 1 1 1 E3R 1#3 EXHIBIT 3 March 20, 2023 RFP No. 23-029 Ic uay 1 1p r � fM_•• - - •fir �� :� - - 1 irr . � N�q INTEGRATED UTILITY SOLUTIONS S C S ENGINEERS M=d& Environmental Consultants and Contractors 4683 C-napot Drive, Suite 200, riensamon, CA 94588 386.546.77 i 9 offices Nationwide I www.scsengineers.com Table of Contents City Council 1 Cover Letter 2 Firm & Team Experience 5 Understanding the Need 10 Relevant Project Experience Attachments - A-D (separate document) Fee Proposal (separate document) 14 - 61 8/1 /2023 4WI. "low. a. I I WE 64 I IL SCS ENGINEERS SCS Management Services March 20, 2023 Elizabeth Rubio, Projects Manager City of Santa Ana — Public Works Agency 220 S. Daisy Avenue Santa Ana, CA 92703 Subject: RFP No. 23-029 1 Sanitation Services Users Charge Cost of Service Study Dear Ms. Rubio: The City of Santa Ana has requested a proposal for a Sanitation Cost of Service Study. The goal of your study is to develop a long-term financial plan for the City's Sanitation Services Users Charge that will generate sufficient revenues to support operations, capital and fleet replacements, and other financial requirements while minimizing the impact to your customers. Additionally, the study will review your cost to provide services and develop rate structures that are equitable, easy to understand and bill, and are consistent with best practices. You need the services of experts to perform your financial analyses and provide you with the financial solution you require for long-term financial sustainability, while meeting your operational goals. I (Vita Quinn) am your Project Manager. I am on the Board of Directors for the Solid Waste Association of North America (SWANA), am SCS' National Expert on Rate Studies, and lead our Management Services practice. I will lead all of the work on this project and remain committed as Project Manager throughout the project duration. Tim Flanagan and Stacey Demers will lead the analysis of user characteristics, operations, and capital needs. Tim has extensive experience in solid waste operations in southern California and is the current SWANA President. Stacey performs research and operational planning, program analysis, and rate benchmarking studies for cities across the country. We will receive support from the other team members listed in this proposal and, to the extent required, can leverage hundreds of other consultants available for this work. Our goal is to combine our models and communication processes in a way that keeps you involved and informed, is efficient and cost-effective, and gets the results you require. Vita Quinn and Tim Flanagan are authorized to enter into and negotiate contracts with the City as required. The contract will be managed from our Pleasanton office and the office address and phone number are located below. As a corporation, SCS Engineers is in concurrence with the provisions contained in EXHIBIT II — Sample Agreement of this RFP. The pricing will be valid for 24 months. If you have questions concerning any aspect of this proposal, please contact me at 386-546-7719 or VQuinn@scsengineers.com. Sincerely, l _ Vita Quinn, MBA Director of Management Services SCS Engineers Tim Flanagan Project Director SCS Engineers City Counc�� 14 — 63 8/1/2023 83 Chabot Drive, Suite 200, Pleasanton, CA 94588 1 925-426-0080 I SCS ENGINEERS Rate & Management Consulting Expertise Rate studies, billing/policy reviews, and efficiency improvements for local governments are at the core of our Management Services practice. We also possess comprehensive knowledge covering the entire spectrum of utility industry issues. The professionals on SCS's project team for this assignment have completed similar rate studies, financial assessments, capital plans, strategic plans, program assessments, system evaluations, privatization evaluations and/or other financial evaluations and modeling efforts. Other Selected SMM & Management Services Capabilities • Zero Waste Plans • Business Advisory Services • Feasibility Analysis • Organizational Structure • Labor/Operational Benchmarking • Customer Billing & Service Reviews • Rate/Cost of Service Studies • Indirect Cost Apportionment • Public/Private Partnerships • Collection Assessments • Diversion Program Development • Evaluation of Plan Alternatives • Expert Witness Testimony • Public Education Programs • Regulatory Reporting • Waste Generation Studies • Cost -Benefit Analysis • Affordability Analysis • Operational/Process Improvements • Benchmarking of Services & Fees • Performance Reviews • Hauler Audits • Development Impact Fees • Non -Ad Valorem Assessments • Public -Private Partnership Planning • Sustainability Plans • CIP/Asset Management Plans • Workshops and Seminars • Contract Management Solutions • Policy/Ordinance Review Our Team of Experts Our team members, highlighted on the following pages, combine technical expertise and knowledge of the political environment with the ability to meet your greatest challenges. / Stacey Tyler Demers, LEED® AP mographic &Operational Comparisons & Data Analysis City Council 14 — 65 8/1/2023 EDUCATION MBA — Finance/Real Estate Development, Nova Southeastern University, Florida BS — International Economics, Florida Atlantic University, Florida RELEVANT PROFESSIONAL AFFILIATIONS Solid Waste Association of North America — Board of Directors, American Public Works Association SELECTED RATE & COST OF SERVICE STUDIES • Village of New Lothrop, MI — Wastewater/Stormwater Asset Management Plan • City of Myrtle Beach, SC — Collections Rate & Transfer Fee Study / Billing Analysis • City of Brownsville, TX — 5-Year Financial Services/Rate Studies • Stanford University, CA — Annual Rate Studies • City of Anaheim, CA — Resort Assessment District Revenue Sufficiency Analysis / Solid Waste Revenue Sufficiency Analysis and Updates • City of Council Bluffs, IA — Landfill and Recycling Center Revenue Sufficiency Analysis • City of Monrovia, CA — Hauler Rate Analysis • Reno County, KS — Annual Rate Model Updates/Reserve Calculation • Broward County, FL — Revenue Development & Benchmarking for Proposed Independent Authority • City of Bristol, VA — Solid Waste Collection Rate Study • City of Wauchula, FL — Solid Waste Rate Study • City of Grand Island, NE — Landfill Tipping Fee Study and Capital Feasibility Analysis • City of Dothan, AL — Environmental Svcs Rate Study • City of New Braunfels, TX — Solid Waste Management Plan Update and Rate Study • City of West Palm Bch, FL — Solid Waste Rate Study • City of Odessa, TX — Solid Waste Management Plan • City of Sheridan, WY — Tipping Fee Study and Financial Assurance Estimates • City of Port Orange, FL — Water & Sewer Rate Study • Okaloosa County, FL — Water & Wastewater Revenue Sufficiency Analyses • City of Galveston, TX — Water and Sewer Rate Study and Benchmarking Analysis • Clay County Utility Authority, FL — Water & Sewer Revenue Sufficiency, Lakes Replenishment Program Funding Analysis, and Comparative Impact Fee Study • City of Neptune Beach, FL — Water & Sewer Revenue Sufficiency Analysis • City of Temple Terrace, FL — Solid Waste and General Fund Integrated Analysis • Indian Creek Village, FL — General Government Financial Sustainability Analysis • City of Davis, CA — Solid Waste Rate Study • Greenville County, SC — Solid Waste Tipping Fee Study • City of Cocoa, FL — Integrated Utility Analysis, Regional Water Rate Development • City of Atlanta, GA — Solid Waste Rate & Utility Billing Study • Ft Lauderdale, FL — General Fund, Water, Sewer, Stormwater, Sanitation, Spec Rev Funds Analysis • City of Sheridan, WY — Water, Sewer, & Solid Waste Rate and Financial Plan Updates • Junction City, OR — Water, Sewer, and Sanitation Cost of Service Study • Nassau County, FL — Rate Study, Customer Deposit Review, Miscellaneous Fee Development • City of Tempe, AZ — Solid Waste Rate Design • City of Denton, TX — Rate Study and Benchmarking • Culver City, CA — Solid Waste Rate Study • City of Virginia Beach, VA — Solid Waste Revenue Sufficiency Analysis • Yakima County, WA — Solid Waste Management Plan and Rate Study • City of Killeen, TX — Solid Waste Rate Study • City of St. Cloud, FL — General Fund & Utility Integrated Analysis (Water, Sewer, Bulk Water) • Indian Creek Village, FL —Water and Stormwater Revenue Sufficiency Analysis • Village of Pinecrest, FL — Stormwater Fee Study • Cass County, IA — Landfill Revenue Sufficiency • City of Coconut Creek, FL — Water/Wastewater Utility Rate Study • City of Cape Coral, FL — Water & Sewer Rate Study • City of Alliance, NE — Landfill Revenue Sufficiency • Town of Mount Dora, FL — Stormwater Rate Study • City of Clearwater, FL — Water, Sewer, and Solid Waste Revenue Sufficiency Analysis • City of Zephyrhills, FL — General Fund Financial Sustainability Analysis • City of Fort Myers, FL — General Fund Financial Sustainability Analysis • City of New Port Richey, FL — General Fund and Utility Integrated Financial Sustainability Analysis SC CIN V IINC CK • •• 1 TIM FLANAGANAkOutreach: Prop 218 Compliance t EDUCATION BA — Public Policy and Economics, University of California, Santa Barbara RELEVANT PROFESSIONAL AFFILIATIONS Solid Waste Association of North America — President; Executive Board California Resource Recovery Association National Recycling Coalition National Legislative Committee — National "Buy Recycle" Alliance U.S. Conference of Mayors Advisory Committee for Solid Waste Mgmt and Resource Recovery — Devt Committee Leadership Monterey County — Member, Board of Directors Chaired/Appointed to Various County and State Elected Offices and Committees Chambers of Commerce (Southern California) — Former Board Member PROFESSIONAL EXPERIENCE Mr. Flanagan is a professional executive with 40 years of extensive expertise developed within various levels of private and governmental entities or sectors. He has championed and established cutting -edge waste reduction and recycling programs as a skilled communicator and team leader, and has directed multi -state domestic and export recycling tonnage marketing and sales efforts through key strategic industry partnerships. In his previous positions, he successfully managed multi -million -dollar capital improvement projects for construction of new recycling and materials processing facilities, restoration projects, and key public works projects, from project design through California Environmental Quality Act (CEQA), permitting, and construction processes. Additionally, he has familiarity and practical knowledge of "Green Building" practices. 3 Da ' • I Operational & D• • Analysis EDUCATION BS — Statistics, Virginia Polytechnic and State University 4 PROFESSIONAL EXPERIENCE Stacey has 30 years of experience in the solid waste field focusing on developing, evaluating and improving programs that reduce waste, increase recycling, and divert organics. As SCS's national expert in waste characterization, she has a strong working knowledge of the types and quantities of materials in various waste streams and customizes zero waste strategies by material and generator type. She has strong analytical skills in planning, statistics, program/operational benchmarking, and cost modeling. Her role includes analysis of user characteristics, operational evaluation, and data analysis. Our Management Services group has financial analysts, data analysts, and management analMly ready to perform the services you require. Kellyn and Sher will be lead analysts for this project team. Their experience working with large data sets, managing databases, and creating financial models for forecasting and cost saving for local government clients make them ideal for this project. Their experience with financial modeling and visualization along with rate and fee development helps provide clients with an accurate and proficient analysis. Our financial sustainability solutions include revenue sufficiency analysis, cost of service studies, and rate design. Our references, process, and proposed work plan are in the following sections. City Council 14 — 67 8/1/2023 d t.. I - . I. � .,.. .. - =.� �. tea.. .....J. �-�. [-- �'•a� -ME 0lZj MgoIfile 11HoaIs[=V[==• SCS ENGINEERS Background . der Grove u-Discuvery-Cube The Sanitation Services Users Charge (Charge or Fee) of $5.35 per month, is LF 'emp ""l05Cl paid by approximately 89,000 customers on a bimonthly basis. The Environmental Sanitation Program enforces municipal codes for right-of-way obstructions, illegal Q 0.ATCSIA PILAR ta Ara advertising, weed/rubbish abatement, and refuse violations. Among the services Santa Ana �SanTustirZoo provided are street sweeping, abandoned item collection, sidewalk cleaning and power washing, cleaning services for illegal dumping areas, sidewalk and alley 9 Heritage Museurr cleaning, right-of-way inspection and enforcement, and weed abatement. The �� ofGrargeCounty program also coordinates with neighborhood associations to assist in beautifying their properties and neighborhoods. �� , / vorange Let's Consider the Issues the City is Facing — — Mof Art Increased Cost The City has operated without a Fee increase since 1996, allowing your businesses and residents to be the beneficiary of low-cost services for nearly 30 years. However, salaries, contractual costs, and other operational costs increase over time, despite receiving a tremendous amount of scrutiny by public officials and community stakeholders. For FY 2023, the Fee is budgeted to generate about $6.3 million in annual revenues, but incur about $7.3 million in expenses, a significant increase over prior years. The increased cost of Street Sweeping due to prevailing wage regulation is partly responsible for this increased cost. As a result, the City is considering changing its level of service in terms of linear miles or frequency to accommodate these cost increases. Additionally, inflation due to economic pressures and supply chain issues has dramatically increased costs of everything from technology to fuel, further putting pressure on the City's revenue sufficiency. Increased Service Level Demand As the City of Santa Ana has grown to be the center of Orange County for many events and services, so has the need to handle the increased influx of both daytime and night time populations. Streets sweeping, sidewalk and alley cleaning, and illegal deposits/rubbish removal, have all seen a rise in service demands. How do these issues affect financial sustainability? Your financial health as a utility is dependent on how many paying customers the City has, as well as how much waste is disposed. Regardless of the number of customers or containers tipped in a year, your costs continue to increase, and most of those costs are fixed. Disposal costs, although variable based upon the amount of waste disposed, can be subject to tipping fee increases. Likewise, increasing costs of supplies, salaries, and routine capital cause your expenses to increase annually. And operational inefficiencies can further add to ongoing expense. Recognizing that current revenues are insufficient to fund ongoing costs of operations and capital, the City has chosen to engage a qualified firm to provide an analysis and to develop a financial management plan and rate structure to generate the required revenue while minimizing the impact on the City's residents. Now that we understand your problems, we want you to understand our solutions... While our financial models support decision -making, our added value is our client focus, industry experience, and technical ability that we leverage to identify innovative solutions to your problems. C S C ry V I ry C C R� i City Council ••8/1/2023 Our Approach Updating your rates begins with our suite of utility rate and financial planning models that we customize to reflect the City's available funds, budgeting and actual spending, customer information, and capital program. The models are designed to: • Identify assumptions and variables • Examine historical trends and performance • Forecast financial requirements • Test alternative what -if scenarios • Calculate cost of services for each rate/service component • Determine the sufficiency of current rates to recover the cost of services • Design updated rates based on cost to provide services and influence behavior Our detailed approach and planning tools will allow our project team to work closely with City utility staff, finance staff, and City Administration to develop and get support for a long-term financial plan. We will utilize our models in interactive work sessions with City staff to review what -if scenarios and develop strategies to implement a sustainable rate and financial plan. Steps to a Successful Rate Study There are several steps to calculating cost -of -service based rates. This section describes the ratemaking process and how we will work with the City to develop rates tailored to your system dynamics, diversion initiatives, and service levels. The steps also detail interaction with City staff, administration, elected officials, and the public that are required to facilitate the desired outcomes for your study. Compile and Review Existing Information We will begin our study by scheduling a kickoff meeting with our team and City staff to discuss key issues, near and long-term goals, and metrics that you consider to be most important to your financial performance. At this meeting we will also distribute our data request, discuss the items required for our analysis, and the platform we will use for data transfer. • Share - Create Public Meetings -Outreach Rates -Implementation Fees Plan -Capital Program - Review Policies - Funding Strategy - Discuss Goals We will establish who will be involved in the process, the key members of our team and your key staff, and discuss the project schedule for interactive work sessions with your staff, meetings with your Council, and final deliverables. We will work with you to obtain all information relevant to understanding your existing operations and costs for provision of service to customers. Once we start to receive the data, we will begin an in-depth review. We will also review any other data provided and remain in contact if we need clarification prior to our first interactive work session. Revenue Sufficiency (Existing Cost of Service) SCS uses an interactive modeling approach that allows input from you as we develop customized financial solutions. We will perform a revenue sufficiency analysis to determine the long-term sustainability of your solid waste system revenues, including a 10-year financial management plan and associated plan of rate adjustments. During meetings with your staff, we display the models and work with you to test multiple "what if" scenarios that consider your financial sensitivity to changes in various variables. For example, we can test the impact of changes to your vehicle program costs and timing, and the associated impact on operating expenses and staffing requirements. For each scenario considered, we will identify the necessary revenue adjustments, including any borrowing that may be required, and the associated financial, fund balance, and customer impacts. We will also evaluate capital funding alternatives, including cash funding, debt funding, grants, or any other financing alternatives the City is considering. The results are displayed in a simple, graphical format that allows for easy comparison of scenarios. Some of the steps in this process are detailed in the following sections. Expense Protection To project your revenue requirements, we review your historical budgeted and executed operating expenses, all planned capital improvements and associated funding sources, existing debt service and coverage ratios, available i y ouncil 14 — 70 8/1/2023 and recommended operating, capital, and debt service reserves, and any financial policies and reserve requirements dictated by policies of the City. We will also consider your goals to address during the study, such as cash reserve targets, operational changes, or hiring needs. We study changes in capital and labor costs and how this will affect your expenses. Using cost escalators, we estimate your future expense increases and the nature of any expenses that may be contractual or one- time/temporary. As we tailor our model to your operations, we identify any other issues or questions affecting financial performance to discuss with you during our first interactive meeting. Capital Program Review One of the largest expenditures driving the need for rate increases is the cost of capital outlay required to meet current and future service needs and regulatory requirements. In addition, there are significant renewal and replacement cost requirements to preserve the reliability and useful life of your equipment and other assets. The City must consistently fund vehicle replacements or incur increases in repair and maintenance costs. And implementing new programs often requires additional carts, routes/vehicles, or other capital expense. We will perform a detailed review of your current capital program, including vehicle/equipment replacements and the anticipated sources of funds available to pay for these projects. This discussion of funding is important to reducing the impact of capital on rates. Recognizing this, we will: • Review the level of your budgeted capital spending vs needed capital investment, • Consider the priority of individual items within your capital plan, • Review all restricted and unrestricted funds available for projects, • Discuss timing of project expenditures, and • Consider external funding sources, such as grants or loans, that may mitigate rate impacts. In meetings with City staff, we will review the level of capital or types of projects the City historically cash funds from rate revenues. We will evaluate the pros and cons of alternative capital funding practices, and financial considerations associated with leveraging debt financing. We will consider whether the City could adapt its use of cash and debt funding to maximize available cash reserves and limit risk. Working with you, we will develop a recommended capital spending and funding plan for the identified capital and future capital needs. Financial Management Plan Based on our analysis and interactions with staff, we now have a forecast of your system growth and anticipated revenues under your current rates. We also have a projection of operations and maintenance expenses, capital investment, debt service payments, and the resulting fund balances in each year of the projection period. The final step is to review the scenarios the City may wish to consider for project timing and funding, policy changes, or sensitivity to changes in any of the assumptions used in the analysis and then develop a long-term plan of rate adjustments for each scenario. Working with you, we identify the scenario that best reflects your anticipated and desired outcomes while minimizing rate impacts to your customers. This plan will provide the revenue requirements used as the basis for updating the structure of your rates. It is important to note that the City/SCS will update this analysis at the time of the midterm review. At that time, we will compare the anticipated outcomes from the rate/rate structure updates to the actual revenues and financial outcomes the City is experiencing. Cost of Services Once the above is complete, we will analyze the City's costs to provide various services to its customers by examining each line item in the budget. Our Cost Allocation Model takes the revenue requirement from and equitably allocates costs to each Fee component (street sweeping, illegal dumping, right of way maintenance, etc.) according to number of instances, how services are provided, and the City's current customer profile. We will prepare a detailed statistical analysis of the City's recent service levels, population growth, and tonnage/service level trends. By looking at several years of data, we can consider factors important to serving your customers and evaluating your costs of service and potential rate structure changes: • What services are provided? i y Council 14 — 71 8/1/2023 • How does the nature of providing those services differ? Are there varying times to respond, staffing, equipment, etc. for each service? • What customer classes do you serve in addition to residential? • What other services are included in the Fee, if any? This process allows you to see the revenue generated for various services/customer classes versus the expenses incurred in providing those services to your customers. The outcome of this analysis then becomes the basis for the net revenue requirement used in the rate structure analysis. Rate Benchmarking To assist in the next step of rate structure analysis, we will conduct a survey of nearby comparable entities to determine the City's current and proposed charges for the average customer relative to these other entities. Rate Structure Analysis Once the cost of services analysis is complete, we will use our Rate and Fee Model to examine the City's current Fee and identify any structural adjustments to consider in developing your new user fee. We will obtain historical billing data and/or property data and analyze current billing practices. We will identify the revenue requirement based on the results of the revenue sufficiency analysis and cost of service analysis, and use this revenue requirement and the results of the billing data analysis in considering alternative rate structures. We will analyze the City's current rate structure and projected changes in customer characteristics. We examine many factors important to potential rate structure changes, such as: historical and current fee structure and billing, franchise fees and agreements, miscellaneous or one-time service fees, customer sensitivity to fee changes, projected changes in population/service levels, tonnage/volume data, and City ordinances and policies relevant to the analysis. In developing recommendations, we will also consider your desire to encourage diversion and implement new programs. Our project team will develop rate structure recommendations that comply with best practices for ratemaking and relevant legislation. During meetings with staff, we will discuss rate recommendations for your user fee and other miscellaneous fees based on the current structure and suggested adjustments. We will discuss the basis of the recommendation and test the sensitivity of the rate changes to various customer classes and demand characteristics. The goal is to develop a structure that will be easily understandable and easy to administer and that will accurately reflect the dynamics of your solid waste system while equitably distributing costs. Lifeline Rates & Policy Review As part of the rate study, we will discuss with City staff any policies/ordinances/resolutions concerning solid waste that may be out of date or no longer reflect the services you provide to your customers and additional items that could be included in your ordinances/resolutions in the future. This is an appropriate time to also discuss other City policies that can be updated or have been analyzed during the rate study process, such as lifeline rates for elderly or low-income residents, working capital reserve targets, capital/rate stabilization reserve funding, indirect administrative cost allocation to departments/funds, etc. Presentation of Results & Implementation Assistance Customer Impacts & Plan for Public Meetings A well -designed rate structure only benefits you if it is adopted and implemented. With this outcome in mind, it is important to consider the impact of recommended changes on the average customer. It is also helpful at this point to include the City Manager or other officials in City Administration in a conversation of the key issues and the basis for the recommendations prior to public meetings. This conversation allows us to get support and direction regarding key items of interest to the public and/or elected officials that may be important to gaining support. Once we have agreed on the rate/policy recommendations to be presented to the public and Council, we will begin the presentation of results. Written Narrative We will develop outputs of the assumptions and projected revenues, expenses, rate adjustments, and rate structure changes used in developing the analysis. These will be included in our draft and final technical memorandums for i��i1 14 — 72 8/1/2023 your review and feedback. We will create a memorandum detailing the analysis performed, comparable entities identified, performance metrics considered and how the City compares, and recommendations for the City to consider. The draft memorandum will be distributed to City staff for review and comment. Upon receiving comments from City staff, we will adjust our analysis and/or narrative as required and distribute the final memorandum. Once all of the analyses are complete, we will provide the City with detailed schedules containing all of the assumptions and detailed projections used in developing the analysis. The detailed schedules will also be included in the draft report then be distributed to the City for thorough review and comment. Implementation/Prop 218 Support The rates that SCS will calculate will support the requirements of Prop 218. Additionally, we will assist the City in preparing a notice that will need to be mailed to all property owners/customers at least 45 days prior to a public meeting. At the meeting, residents can protest. If there is no majority protest, fees can be adopted. Based on the cost to provide services and rate structure analysis described above, the rates SCS will develop with the City will meet all of the Proposition 218 requirements. Public Meetings In addition to the written report, we will develop a PowerPoint presentation summarizing the findings. Then we will also attend a meeting with the City Council and/or the public where we will present the results of our analysis. As earlier discussed, it is important to have early interaction with key stakeholders, but this is the first time many of the residents will hear the details of the rate study performed. It is important to convey that the City is acting in the best interests of the residents. We will communicate: • The responsibility of a sanitation utility to provide an essential service and protect the environment • The key issues you are facing and the associated costs driving the need for additional revenue • The basis for calculating rates, including the equitable distribution of costs and desire to encourage diversion • Sensitivity in customer demand or satisfaction as a response to rate changes • Miscellaneous or one-time services that could be charged fees and not included in the base rates What Makes Our Project Approach Different? Project success couples experience in political decision making with input from you and your staff, and the technical ability to plan for your future success. We understand that an effective financial plan does not look to simply "balance the budget". Rather, it should be a long-term forecast that helps guide future decision -making, identifying trends and vulnerabilities that affect long-term financial sustainability. An effective plan should account for known costs (capital, operations, etc.), while also testing the sensitivity of the outcomes to changes in variables. Our strategic approach combined with effective communication demonstrates to you, your Council, and your residents how today's decisions will affect future outcomes. Sanitation Cost of Service Study Project Schedule Week 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Project Initiation Revenue Sufficiency Anal) Cost to Provide Services Rate Benchmarking Rate Structure Analysis Ordinance/Policy Review Presentation of Results I y Council 14 — 73 8/1/2023 kr _ or+ r ' r �' + ' Lim r � _ IPA 0 b16 •• r e r � r tr - r1.6 lhLp SCS ENGINEERS —ram ,r Similar Project Experience Over the years, SCS has literally completed hundreds of studies. Your Project Manager, Vita Quinn, has completed revenue sufficiency and/or cost -benefit analysis studies for the City of San Antonio, Texas; City of Myrtle Beach, South Carolina; and City of Atlanta, Georgia, just to name a SCS Management Services Projects r few, in the last several years. References are provided on C Attachment A. AM Ore,"� ses VroRcts `� The map visually illustrates the locations of key offices and recent projects in this practice. WE ENCOURAGE YOU TO REACH OUT TO ANY OF OUR CLIENTS TO DISCUSS THEIR SATISFACTION WITH OUR SERVICES. Other Recent/Current SCS Financial and Rate Study Projects Revenue Sufficiency and City of Glendale, California Evaluate options for franchising commercial collection, develop revenue Rate Analysis sufficiency model to evaluate rates and service option, assess regulatory environment and provide recommendations on changes necessary to franchise in Counties. Revenue Development for Broward County, Florida Developing the anticipated capital and operational expense for an authority Solid Waste Authority to build and operate waste -to energy, yard waste, MRF, and several transfer facilities. Also developing the level of processing fee, transfer fee, and special assessment revenue required to support this investment of approximately $1.5 in capital and the cost of operations. Comprehensive Solid Yakima County, Prepared a SWMP Update, including a detailed waste flow analysis, evaluation Waste Management Plan Washington of the recycling potential of materials, and a financial model of the options under consideration, which was used to develop a 5-year plan costs and revenues, presented to the County and Solid Waste Advisory Commission. Solid Waste Management City of Odessa, Texas Analysis of operations, projected services, waste stream, and demographic Plan & Fleet Rental Rate changes, and financial recommendations for the City's collections. Included Analysis long-term plan of financial/rate increases. Also performing annual analysis of entire City's fleet age, costs, repairs and reimbursements to the City's Fleet Maintenance Department. Operational Analysis Baltimore County, Maryland Analysis of operations and administration of billing at County's transfer stations, landfill, and administration/billing department office. Recommendations presented to County Administrator; implementation underway. REFERENCES FOR THE ABOVE CAN BE FURNISHED UPON REQUEST. City Council 14 — 75 8/1/2023 m Public Works Agency www.santa-ana.org/public-works Item # 15 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: Santa Ana Zoo Educational Hub Building Project AGENDA TITLE Approve an Agreement with LOC Architects for Professional Architectural Services for the Santa Ana Zoo Educational Hub and an Amendment to the Fiscal Year 2023-2024 Capital Improvement Project 23-2601 (Non -General Fund) RECOMMENDED ACTION 1. Authorize the City Manager to execute an agreement with LOC Architects for professional architectural services for the Santa Ana Zoo Educational Hub Building project in the amount of $350,120 with a contingency amount of $35,000, for a total amount not to exceed $385,120, for a three-year term beginning August 1, 2023 and expiring July 31, 2026, with an option for one two- year extension, subject to non -substantive changes approved by the City Manager and the City Attorney. 2. Approve an amendment to the Fiscal Year 2023-2024 Capital Improvement Program to include $385,120 of funding for the Santa Ana Zoo Educational Hub project (Project No. 23-2601). DISCUSSION The Santa Ana Zoo (Zoo) is owned by the City of Santa Ana and is operated by the Parks, Recreation and Community Services Agency (PRCSA) and a non-profit support organization, Friends of the Santa Ana Zoo (FOSAZ). In addition to being a public zoological garden dedicated to wildlife, environmental education, and the conservation of endangered species, the Santa Ana Zoo is a recreational facility and an important civic asset that attracts approximately 250,000 visitors annually. On May 3, 2022, Council adopted a resolution approving the acceptance of grant funds from the State of California Natural Resources Agency for the Santa Ana Zoo Educational Hub Building Project and authorized the City Manager to execute grant documents. The new educational hub building will include a multipurpose space, classrooms, and serve as a hub for community volunteers and education staff. The classrooms are flexible in design to maximize their use potential throughout the day and year. This facility will serve as a reception area for schoolchildren visiting the zoo and is directly adjacent to the existing outdoor amphitheater. The sides of the building will City Council 15 — 1 8/1/2023 Santa Ana Zoo Educational Hub Building Project August 1, 2023 Page 2 open out to the general zoo area, amphitheater, and staff and service areas. The facility will use environmentally sustainable materials in its construction. On February 22, 2023, the Public Works Agency (PWA) released a Request for Proposal (RFP) No. 23-033 to select a professional architectural services firm for the Santa Ana Zoo Educational Hub Building project. These services include all design and engineering as required for the project scope. The RFP was advertised on the City's online procurement management and publication system, PlanetBids, with electronic proposals due March 7, 2023. Eleven responsive proposals were received and evaluated by a selection committee comprised of PWA staff, Santa Ana Zoo staff, and a representative from FOSAZ. The following table summarizes the three top-ranking firms that were interviewed by the selection committee after the first round of proposal reviews: Firm City Rank LOC Architects Los Angeles, CA 1 TAIT & Associates Santa Ana, CA 2 Dahlin Group, Inc. Irvine, CA 3 Based upon the scope of work and selection criteria outlined in RFP 23-033, Staff recommends awarding an agreement to LOC Architects (Exhibit 1). The selected proposal demonstrates that this firm has the necessary capacity and expertise to complete professional architectural services for the Santa Ana Zoo Educational Hub Building project. The State of California Natural Resources Agency has approved and fully executed an amendment to Grant Agreement GF2107-0 (Exhibit 2) to allocate $385,120 for the design phase of this project. ENVIRONMENTAL IMPACT There is no environmental impact associated with the action. FISCAL IMPACT Fiscal Year 2023-24 funds (Exhibit 3) will be carried over and budgeted as seen in the table below. Accounting Fiscal Unit — Fund Accounting Unit, Amount Year Account No. Description Account Description Project No. 16113262- PR Capital State Resources Agency 2023-24 66200 r Grants G Grant, Building $385,120 (23-2601) Improvement TOTAL $385,120 City Council 15 — 2 8/1/2023 Santa Ana Zoo Educational Hub Building Project August 1, 2023 Page 3 EXHIBIT(S) 1. Agreement with LOC Architects 2. Grant Agreement Amendment 3. Fiscal Year 2023-24 CIP Sheet Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Kristine Ridge, City Manager City Council 15 — 3 8/1/2023 EXHIBIT 1 CONSULTANT AGREEMENT BETWEEN THE CITY OF SANTA ANA AND LOC ARCHITECTS TO PROVIDE PROFESSIONAL ARCHITECTURAL SERVICES FOR THE SANTA ANA ZOO EDUCATIONAL HUB BUILDING PROJECT THIS AGREEMENT FOR CONSULTANT SERVICES ("Agreement") is made and entered into this 1" day of August, 2023 by and between LOC Architects ("Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City") hereinafter collectively referred to as the "Parties". RECITALS A. On February 22, 2023, the City issued a Request for Proposal ("RFP") No. 23-033, by which it desired to retain a consultant having special skill and knowledge in the field of professional architectural services for the Santa Ana Zoo Educational Hub Building Project ("the Project") for the City's Public Works Agency. B. Consultant submitted a responsive proposal that was selected by the City. Consultant represents that Consultant is able and willing to provide such services described in the scope of work that was included in the RFP No. 23-033. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the Parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete those services described and identified in "Exhibit A - Scope of Work" which was made part of RFP No. 23-033, and is attached hereto an incorporated herein by this reference, and as further described and identified in "Exhibit B - Consultant's Proposal," attached hereto and incorporated herein by this reference. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services under this Agreement, the rates and charges identified in "Exhibit C - Consultant's Fee Proposal," attached hereto and incorporated herein by this reference. The total sum to be expended under the term of this Agreement, including any extension period(s), shall not exceed $385,120.00, and is comprised of the base amount of $350,120.00 and a contingency amount of $35,000.00 for any additional and necessary services, to be exercised at the City's sole discretion. 11110 City Council 15 — 4 8/1 023 b. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 3. TERM This Agreement shall commence on August 1, 2023, and shall terminate on July 31, 2026, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended at the sole discretion of City for one (1) additional two (2) year period upon a writing to the Consultant executed by the City Manager and the City Attorney. Thereafter, further extension of this Agreement may only be made by amendment upon mutual agreement of the Parties. 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not 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. 110 City Council 15 — 5 8/1 023 6. INSURANCE Consultant shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder and the results of that work by the Consultant, its agents, representatives, employees or subcontractors. a. Consultant shall not commence work for the City until it has provided evidence satisfactory to the City that it has secured all insurance required under this Section. In addition, Consultant shall not allow any subconsultant to commence work on any subcontract until it has secured all insurance required under this Section. b. Insurance coverage shall be at least as broad as: (i) Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000.00 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. (ii) Automobile Liability: Insurance Services Office Form Number CA 0001 covering, Code I (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non -owned), with limit no less than $1,000,000.00 per accident for bodily injury and property damage. (iii)Workers' Compensation insurance as required by the State of California, with Statutory Limits, and Employer's Liability Insurance with limit of no less than $1,000,000.00 per accident for bodily injury or disease. (iv)Professional Liability (Errors and Omissions) Insurance appropriates to the Consultant's profession, with limit no less than $2,000,000.00 per occurrence or claim, $2,000,000.00 aggregate. (v) If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. c. Other Insurance Provisions. The insurance policies are to contain, or be endorsed to contain, the following provisions: (i) Additional Insured Status. The City, its officers, officials, employees, 110 City Council 15 — 6 8/1 023 and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant's insurance (at least as broad as ISO Form CG 20 10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later edition is used). (ii) Primary Coverage. For any claims related to this contract, the Consultant's insurance coverage shall be primary insurance primary coverage at least as broad as ISO CG 20 01 04 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self- insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Consultant's insurance and shall not contribute with it. (iii)Notice of Cancellation. Each insurance policy required above shall state that coverage shall not be canceled, except with notice to the City. (iv)Waiver of Subrogation. Consultant hereby grants to City a waiver of any right to subrogation which any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. (v) Self -Insured Retentions. Self -insured retentions must be declared to and approved by the City. The City may require the Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self -insured retention may be satisfied by either the named insured or City. (vi)Acceptability of Insurers. Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best's rating of no less than ANII, unless otherwise acceptable to the City. (vii) Claims Made Policies. If any of the required policies provide coverage on a claims -made basis: • The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work. • Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the 110 City Council 15 — 7 8/1 023 contract of work. • If coverage is canceled or non -renewed, and not replaced with another claims -made policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase "extended reporting" coverage for a minimum of five (5) years after completion of contract work. (viii) Verification of Coverage. Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant's obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. (ix)Subcontractors. Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Consultant shall ensure that City is an additional insured on insurance required from subcontractors. (x) Special Risks or Circumstances. City reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances. 7. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for, personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and ( 2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due to the negligent operations of the Consultant, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party 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 Consultant's performance under this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding 110 City Council 15 — 8 8/1 023 the foregoing, to the extent Consultant' s services are subject to Civil Code Section 2782. 8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782. 8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 8. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 9. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 10. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 110 City Council 15 — 9 8/1 023 11. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 12. NON-DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the Parties. In the event of a conflict between the terms of this Agreement and any exhibits or other attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The Parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. This Agreement and all related obligations and services hereunder are intended for the sole benefit of City and Consultant and are not intended to create any third -party rights or benefits. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 15. TERMINATION This Agreement may be terminated by either party for default after five (5) days written notice to the other if the other party has substantially failed to fulfill any of its obligations under this Agreement after a thirty (30) day noticed cure period. CITY has and reserves the right to terminate this Agreement at its convenience and without cause upon thirty (30) days written notice 11110 City Council 15 — 10 8/1 023 to Consultant. In the event that the City should terminate this Agreement for its convenience, Consultant shall be entitled to payment for services provided hereunder, as provided in Section 2, Exhibit A — Phase One, including for such services performed prior to the effective date of said termination, including travel, accrued as of the date of the termination, which payment shall be per the terms set forth in Section 2, Exhibit A — Phase One, subject to the following conditions: a. As a condition of such payment, the City may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 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. 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. 18. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 19. 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: f10 City Council 15 —11 8/1 023 To CITY: City Clerk City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Nabil Saba Executive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702 To CONSULTANT: Poonam Sharma Principal LOC Architects 3203 E. 4th Street Los Angeles, CA 90063 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. Any correctly addressed notice that is refused, unclaimed, or undeliverable because of an act or omission of the party to be notified shall be deemed effective as of the first date that said notice was refused, unclaimed, or deemed undeliverable by the postal authorities, messenger, or overnight delivery service. 20. 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. f10 City Council 15 — 12 8/1 023 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: Jennifer L. Hall City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Jonathan T. Marti z Assistant City Attorney RECOMMENDED FOR APPROVAL: Nabil Saba Executive Director Public Works Agency CITY OF SANTA ANA: Kristine Ridge City Manager CONSULTANT: Poonam Sharma Principal f10 City Council 15 — 13 8/ /2023 EXHIBIT A SCOPE OF SERVICES City Council 15 — 14 8/1/2023 Appendix ATTACHMENT I SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR PROFESSIONAL ARCHITECTURAL SERVICES FOR THE SANTA ANA ZOO COMMUNITY HUB BUILDING "THE HIVE" RFP NO.23-033 INTRODUC TIONBACKGROUND Background: The Santa Ana Zoo is located along the eastern edge of Santa Ana, California, bordered by First Street (north), Interstate 5 freeway (east), Chestnut Avenue (south) and Elk Lane (west). The Zoo is owned by the City of Santa Ana, operated by the Parks, Recreation and Community Services Agency. The Friends of Santa Ana Zoo (FOSAZ), the zoo's non-profit support organization, raises funds for capital improvements and deferred maintenance projects and also manages the gift shop, ride concessions, rental areas, special events and membership program. Situated within the 20- acre Prentice Park, the Santa Ana Zoo has a live collection of over 300 animals, primarily representing the "NeotropicaI" biogeographic region, which includes the southern tip of Mexico, Central and South America, and is known for its extensive primate collection. In addition to being a public zoological garden dedicated to wildlife, environmental education and the conservation of endangered species, the Santa Ana Zoo is a recreational facility and important civic asset which attracts approximately 250,000 visitors annually from throughout Orange County. The following link includes the full master plan and project background information: https://www.dropbox.com/s/nicim35n3bmn9uzl2018%2OSanta%2OAna%2OZ00%2OMas ter%20Plan.pdf?dl-0 Zoo History: The Santa Ana Zoo opened to the public in 1952. The grant deed for the original 12 acres stipulated that the zoo must maintain at least 50 monkeys at all times or the land could revert back to donor's heirs. The Zoo's most recently added exhibits and attractions include the Crean Family Farm (2004), Endangered Species Carrousel (2008), the Ocelot Habitat and Education Center (2015, Description of Work: "Tierra de las Pampas" grasslands exhibit (2010), The project goal consists of the design and construction of a new building to accommodate a flex space, classroom(s), and hub for community volunteers and education staff. The classrooms are flexible in design and layout to maximize their use potential throughout the day and year. The facility would use environmentally sustainable materials in its construction (LEED status City of Santa Ana RFP 23-033 Page Al-1 City Council 15 — 15 8/1/2023 depending on the budget). This facility will serve as a reception area for schoolchildren coming to the zoo and it will be located directly adjacent to the existing outdoor amphitheater. Different sides of the building will open out to the general zoo area, the amphitheater, or staff and service areas. ➢ Building uses: • Education classroom(s) -- consider partitionable space • Community room • Temporary indoor exhibits for zoo visitors, i.e, table -top displays during special events • Office space for education staff • Office space for Friends of Santa Ana Zoo staff • Storage ➢ Site: • Located in proximity of master plan Iocation • The ideal building is 6,000 square feet roughly composed of 3,000 square feet of back of house, and 3,000 square feet if flex -use classroom space. A maximum of 3,000 square feet of hardscape/landscape/outdoor space will surround the building. The patio can be approximately 1,000 square feet of the outdoor space. The intent during the design process is to identify the best placement and layout within the general identified location. • Accessible to amphitheater • Accessible to visitors from inside the zoo • Accessible from staff areas of the zoo • Connectivity to future entry area (currently overflow parking lot) • Adjacent to zoo offices, amphitheater, exploration outpost, and water play area • Mature Ficus microcarpa nearby ➢ Look & Feel: • Light and airy feel • Windows and natural light • Uncluttered • Neutral palette • Blend with surroundings trees • Modern/subtropical feel ➢ Features: • Indoor/outdoor space • Outdoor lighting • Landscaping and pathways to connect building to surroundings • Pathway to future entry • Unisex restroom(s) City of Santa Ana RFP 23-033 Page Ai-2 City Council 15 — 16 8/1/2023 ➢ Materials: • Local materials when possible • Materials with smaller carbon footprint • Green methodologies and materials where logical • Long-lasting, durable ➢ Budget: The construction budget is anticipated to be approximately $3,000,000, separate from design, permitting, and construction administration fees, 20-Year Master Plan rendering: Proposed Site: City of Santa Ana RFP 23-033 Page Al-3 City Council 15 — 17 8/1/2023 Ea Consultant Responsibilities: The Consultant's responsibilities include the following, and shall consist of the following project tasks: Consultant is responsible for providing all design and engineering as required for all components within the project scope of work. This includes but is not limited to survey, civil engineering, geotechnical investigation, architectural/landscape architectural design, structural engineering, and electrical engineering. Project team should also include a CASP certified professional to ensure accessibility of all public areas. Consultant shall provide review sets in ,pdf format. Task l: Pre Design Preliminary design shall include Kick-off meeting with City Staff (representatives from Public Works Agency, Parks, Recreation and Community Services Agency and Santa Ana Zoo) to discuss scope of work, project goals and objectives, potential elements and issues, schedule, review of existing information and site investigation. ➢ Deliverables shall include a Work Task Plan, Schedule, Geotechnical Report and Site Survey. Task 2: Concept Design Concept design shall include up to three (3) meetings with City Staff to brainstorm and review potential layouts. ➢ Deliverables shall include up to three (3) schematic concept designs, with one final rendered concept site plan and perspective drawing for fundraising and presentation purposes. City of Santa Ana RFP 23-033 Page Al-4 City Council 15 — 18 8/1/2023 Task 3: Design Development (50% plans) Design development will involve the schematic development of approved concept plan, which shall include landscape architectural, architectural, civil engineering, structural, electrical engineering, draft technical specifications and "opinion of estimated cost'. ➢ Deliverables shall include a 50% set of plans, including site section studies, draft specification, "Opinion of Probable Cost". Task 4: Construction Documents (90% and 100% plans) Constriction Documents (CDs) shall include finalizing approved deliverables from the Design Development phase. This includes the provision of detailed engineering and construction drawings that will serve as the basis for both bidding and construction by a general contractor. ➢ Deliverables shall include 90% and 100% plans, structural calculations, CASP report, final technical specifications, finalized "Opinion of Probable Cost". Plans: Plans shall include, but are not limited to the following: • Title Sheet • Civil Engineering a Site Erosion Plan o Horizontal and Vertical Control Plan o Grading and On -Site Drainage Plan o Site Utility Plan • Landscape Architectural o Site Layout/Construction Plans and Details (including plumbing) o Site Sections, as applicable o Planting Plans/Details/Notes o Irrigation Plans/Details/Calculations/Notes • .Architectural o Holding Facility Plans o Holding Facility Interior elevations, Finish schedule o Roof Framing Plan o Reflected Ceiling Plan o Exterior Elevations o Interior Elevations o Mechanical and Plumbing Plans/T-24 a Electrical Plans, as applicable o Architectural Details o Structural Calculations o Door/Window/Finish Schedules, as applicable Structural Engineering City of Santa Ana RFP 23-033 Page Al-5 City Council 15 — 19 8/1/2023 o Structural Design and Detailing Mechanical Engineering & Plumbing Electrical Engineering o Electrical Site Plan to include walkway lighting, irrigation. o Location of panels, switchgear, meters o Schedules o Details o Notes, specifications Plan Check & Permits. - Construction drawings shall be in accordance with the 2013 California Building Code and will require review/approval by the City Planning and Building Agency. As a condition of plan check approval, plans, specifications and structural calculations must be signed by a California licensed architect / landscape architect /civil engineer/structural engineer as appropriate. Plans shall be organized so that they can be segregated cleanly for distribution to the various plan checking entities. Construction drawings shall be submitted at 90% completion for review by Public Works Design Engineering and Santa Ana Zoo staff and revised per their comments. The 100% complete construction drawing package will then be submitted for fmaI City review to the following City Agencies: Parks, Recreation and Community Services Agency/Santa Ana Zoo Planning and Building Agency Public Works Agency Design and Construction Engineering Divisions The Public Works Agency Project Manager will coordinate the submittal and review process. Once complete, the consultant will revise the Contract Documents Technical Specifications Technical specifications for all components listed above shall be provided by Consultant, or their Sub -consultants, to the City in CSI (Construction Specifications Institute) format. City Staff will combine these specifications with the City Boiler Plate which together, will become the Project Manual. Final Opinion of Probable Cost Consultant shall provide updated opinion of probable construction cost which shall reflect finalized plans, materials, systems, details of construction, and known or anticipated changes in the bidding market relative to the project. Should project scope exceed available budget, project plans/specifications will be phased as appropriate. Task 5: Bid Advertisement, Construction Administration, Record Drawings: Bid Advertisement City of Santa Ana RFP 23-033 Page Al-6 City Council 15 — 20 8/1/2023 Consultant shall provide support to the City during the Bidding phase by assisting with questions, requests for information/clarification, or conflicts arising out of the bidding process. Consultant shall also attend pre -bid meeting, if scheduled. Construction Administration Consultant shall provide support to the City during the Construction Administration phase by assisting with questions, requests for information/clarification, and/or reviewing submittals. Record Drawings /As -built Flans: Upon construction completion, consultant shall incorporate as -built information, as provided by the General Contractor, into the drawing files to provide record drawings for City archives. Fee Proposal: In addition to Section IV.B.3 (Submittal Requirements: Fee Proposal) fee schedule shall be structured to correspond to the above mentioned tasks as follows: Task 1: Pre -Design Task 2: Concept Design Task 3: Design Development Task 4: Construction Documents Task 5: Bid Advertisement, Construction Administration, Record Drawings Total Fee: Fee schedule for each task should include an hourly breakdown that corresponds to the task total. City Responsibilities The City will be responsible for the following items: • Provision of available plans and existing documentation on file. • Provision of electronic design file with City title block and title sheet (24" x 36") • Provision of standard City boilerplate specifications. • Acting as liaison with the appropriate decision making bodies, as necessary. • Coordination and processing of plans and documents with governmental agencies having jurisdiction over the project. City of Santa Ana RFP 23-033 Page Al-7 City Council 15 — 21 8/1/2023 EXHIBIT B CONSULTANT'S PROPOSAL City Council 15 — 22 8/1/2023 41'' atA j�Wt ■ AW 40, r11*t if a~�4�4 lma �r �r � own` 4 Y� r rti rt�t M ~R� 9 L 0 C Architects ARCHITECTURAL SERVICES �- FOR THE SANTA ANA ZOO COMMUNITY HUB BUILDING: THE HIVE MARCH 23, 2023 City Council 15 — 23 8/1/2023 TABLE OF CONTENTS 1. Statement of Qualifications a. Cover Letter 3 b. Contract Agreement Statement 6 c. Firm and Team Experience 8 d. Understanding of Need 28 e. Relevant Project Experience 30 f. References 43 2. Scope of Services and Schedule 45 3. Fee Proposal (submitted separately) 4. Certificates 50 r L 0'--,. -ty Council SANTA ANA z�gQ 24 8/l /2022,f Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 2 City Council lb — 2b 18/1/2023 LOC 3203 E. 4th Street Los Angeles, CA 90063 213.537.0480 www.loc-arch.com March 23, 2023 Gilbert Castillo Project Manager Public Works Agency 20 Civic Center Plaza, M-36 Santa Ana, CA 92701 Re: RFP for Professional Architectural Services for the Santa Ana Zoo Community Hub Building, "The Hive" Dear Mr. Castillo LOC is pleased to present you with these qualifications and to provide complete architectural services for the proposed project at the Santa Ana Zoo. We feel that we will be a great fit for this project due to our extensive experience in educational projects in the context of a larger organization, such as the Santa Ana Zoo LOC is an award -wining group of young architects that is deeply committed to the quality of the built environment of our educational environments. Our focus on human -centered experience makes us uniquely suited to take on the challenges of new educational facilities that serve the leaders of the future while working to embrace sustainable principles. We would like to bring our extensive experience in designing educational environments to contribute to your mission and your belief to instill a passion for the natural world through recreation, education and conservation. LOC would make an excellent choice to assist the City of Santa Ana and the zoo in many of their goals, most importantly in helping to provide innovative, relevant and inspiring learning environments for the following reasons: Our firm's personnel have a successful track record in creating vibrant educational and performing arts environments, including: o A 12 year relationship with Crossroads School for Arts and Sciences, a private K-12 institution in Santa Monica, CA, having completed a master plan and multiple classroom buildings including visual and performing arts classrooms and a black box theater. o A 15,000 SF MPR and classroom addition and renovation for City of Knowledge School, a K-12 Islamic school in Pomona, CA, currently under construction. o Multiple Montessori preschool classroom buildings o The design of a campus facility at Charles Drew University containing a medical and dental clinic and food bank, a community garden, and a new surface parking lot. o Several projects with Alliance College Ready Charter Schools including the conversion of a library to counselor's offices, a concept design for creating outdoor space and additional classrooms at an urban site, which is the basis of this RFP, and a CUP modification to change the use of an existing school, and a ground up 10,000 sf classroom building in South Los Angeles, currently in permitting. Knowledge of and experience implementing the most current educational technology and spatial strategies for enhancing educational outcomes. Award -winning and widely published work. L 0,. Uty Council SANTA ANA Q 26 8/1/2022,3 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 4 • A young and agile firm that can effectively respond to our clients' needs and schedules • Readiness: Our firm has several large scale projects reaching their construction completion and plan check submittals and will be able to devote our resources to the successful implementation of the requirements of this project. • A collaborative work process that builds long term relationships and can effectively leverage your institution's human and technical capital. • A deep dedication to sustainable principles. LOC has been recognized for its implementation of sustainable practices in response to the challenges that our cities and our planet are facing as a result of climate change. We are signatories to the AIA 2030 Challenge that maps a path for the design community to reduce the climate change impacts of new construction and major renovation projects through our implementation of design strategies, energy efficient technologies, on -site renewable energy systems. • Ability to navigate various public agencies for planning and permitting. Our firm has successfully obtained planning and plan check approval in the City of Los Angeles, City of Santa Monica, Santa Barbara, West Hollywood, and other local and out of state jurisdictions. As the challenges of 2020 arose, we have been able to quickly adapt to changing protocol in obtaining these approvals. • LOC is a certified DBE (Disadvantaged Business Enterprise), SBE (Small Business Enterprise), MBE (Minority Business Enterprise), SABE (Subcontinent Asian Business Enterprise, and a SDB (Small Disadvantaged Business). Our principals, Ali Jeevanjee and Poonam Sharma are deeply dedicated to the thoughtful design of educational spaces. As LOC is small firm, both principals will remain fully involved in the project from start to end. We have assembled a team that has worked together successfully to deliver similar types of project for similar clients, creating stellar spaces that respond to the modern needs of today's students, inspiring the occupants to have ownership over these spaces, while adhering to the constraints of both time and budget. Our dedication to sustainable practices informs our design decisions and helps to create spaces that are healthy for the students and the faculty through the introduction of natural ventilation, natural lighting, and constantly finding opportunities for materials and systems that anchor the community to a responsible future. very much enjoyed visiting the site and meeting with yourself and the zoo team and in speaking with our civil engineer at KFPP who directly worked on the master plan and is currently working on the Howler Monkey Exhibit, we believe that we have a good understanding of the role that the Santa Ana Zoo plays in the community at large. Our combination of deep experience with the design of educational experience and the capabilities of young, dynamic firm make LOC uniquely suited to assist your team in the development of your campus. In appreciation of your consideration, Poonam Sharma Principal LOC Architects poonam@loc-arch.com L 0,. Uty Council SANTA ANA z�gQ 27 8/1 /2024` Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 5 CONTRACT AGREEMENT STATEMENT LOC is in concurrene with all provisions contained in the Agreement which was included as Attachement 2 in the Appendix of the RFP. Poonam Sharma L 0,. Uty Council SANTA ANA z�gQ 29 $�� /202f Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 FIRM AND TEAM EXPERIENCE ORGANIZATIONAL CHART Poonam Sharma, Principal w Ali Jeevanjee, Principal Aashna Singh, Intermediate Designer Tianze Wu, Intermediate Designer L 0 �ty Council SANTA ANA z�gQ 31 8/1/2023 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 Project Team LOC Project Team: Poonam Sharma Principal -in -Charge, Poonam will be the principal -in -charge of this project, responsible for managing the client relationship, consultants, and the design team at large. Poonam will be involved in all phases of the project and will work directly with the client on a regular basis to ensure proper coordination and communication. Poonam will be involved throughout the course of the project until project close out. Involvement is 60% of time. (CV on following pages). All Jeevanjee Principal, Project Architect All will be responsible for developing design, coordinating the preparation of the drawing set, design team coordination, and producing deliverables throughout the design process, Consultant coordination, including drawings review and design integration. Involvement is 50% of time. All will be involved in the project from inception to project close out. L 0'--,. Uty Council SANTAANA Q 32 8/1/2022,3 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 10 Poonam Sharma, Principal Poonam Sharma is a founding principal of LOC Architects bringing a vast school design experience to the firm. -Over 20 years of professional experience -Diverse portfolio including public art, educational, retail, entertainment, commercial, mixed use, and residential. -Excellent at working with clients and collaborating with team members. Excellent communication and presentation skills. -Experience in all phases of design, from planning and entitlement work through construction administration. -Projects widely recognized for innovative design, including several publications and awards. -Ability to lead and guide the production of construction documents -Thorough knowledge of codes and zoning regulations - QA/QC -Leadership and mentorship of staff and internal project team RELEVANT PROJECT EXPERIENCE City of Knowledge K-12 School 15,000 sf addition and renovation to an existing K-12 private school in Pomona, CA, currently under construction. Crossroads School for Arts and Science Various projects including: Crossroads Lushing Classroom Building 17,000 sf existing office/ warehouse was gutted and converted to classrooms, theater prop shop, and assembly space. Crossroads Arts and Athletics Facility 12,000 sf existing bow truss warehouse was gutted and converted to arts and athletics facility. Crossroads Humanities Classrooms 5,000 sf warehouse was gutted to accommodate new humanities seminar rooms, teacher offices, and private work areas for Crossroads School. Crossroads Modulars LOC provided complete architectural services for site design, permitting and installation of temporary DSA approved modular facilities to accommodate three classrooms (approximately 640 square feet each) and three offices (approximately 300 square feet each). L 0 C Architects Education Master of Architecture Southern California Institute of Architecture, Los Angeles, CA Bachelor of Arts, Major: Literature Scripps College, The Claremont Colleges, Claremont, CA City of Knowledge School Crossroads Arts and Athletics Facility �� Crossroads Humanities Classroom L 0 Uty Council SANTA ANAQ 33 8/1 /202 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 11 Poonam Sharma Resume Crossroads Office TI LOC designed and permitted building to be used as offices. the conversion of an industrial Crossroads School for Arts and Science Master plan LOC provided a feasibility study of potential sites for the proposed Performing Arts Campus serving the Crossroads middle and upper school populations. This feasibility established a preliminary program and through careful site analysis identified the most suitable site(s) adjacent to the Crossroads campus with proposed configurations. Crossroads School for Arts and Sciences Performing Arts Campus Based on the Master Plan, LOC developed conceptual floor plans and renderings of a proscenium theater, a black box theater, and a recital hall for fundraising purposes. Crossroads Middle School Renovation LOC designed and permitted the remodel of classrooms and the configuration of disabled access in the Steve Morgan Middle School Building. New Horizons School Westside A master plan and fundraising package for a K-6 Islamic parochial school for 200 students on an urban infill site in west Los Angeles. The existing school occupies the same site in a series of modular buildings as well as an existing apartment building. The school is currently fundraising to develop the site. Alliance Judie Ivie Burton Technology High School LOC is currently working on the design and permitting of a 9,450 sf ground up classroom building for the Alliance College - Ready Charter School group of schools. Crossroads Master Plan New Horizons School Westside Crossroads Middle School Alliance College Ready Public Schools, Judie Ivie Technology High School L 0,. �ty Council SANTA ANA �Q 34 8/1 /2024f Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 12 Ali Jeevanjee, Principal Ali Jeevanjee is a founding principal of LOC Architects and brings great technical and design expertise to the team. -Licensed architect with over 22 years of professional experience. -Diverse portfolio including education, sports, entertainment, theater, commercial, mixed use and residential. -Ability to manage clients and implement their needs, and collaborate with consultants while building strong relationships. -Experience in all phases of design, from planning and entitlement work through construction administration. -Skilled in developing and adapting building systems and detailing to solve complex and unusual building constraints and geometries. -Proven ability as a rigorous and innovative designer and problem - solver learned working closely with designers as diverse as Edwin Chan (Gehry Partners), Barton Myers and Kathryn Gustafson. RELEVANT PROJECT EXPERIENCE City of Knowledge K-12 School 15,000 sf addition and renovation to an existing K-12 private school in Pomona, CA, currently under construction. Crossroads School for Arts and Science Various projects including: Crossroads Arts and Athletics Facility 12,000 sf existing bow truss warehouse was gutted and converted to arts and athletics facility. Crossroads Humanities Classrooms LOC designed the complete renovation of an existing 5,000 sf warehouse to accommodate new humanities seminar rooms, teacher offices, and private work areas for Crossroads School. Crossroads Modulars LOC provided complete architectural services for site design, permitting and installation of temporary DSA approved modular facilities to accommodate three classrooms (approximately 640 square feet each) and three offices (approximately 300 square feet each). Crossroads Office TI LOC designed and permitted the conversion of an industrial building to be used as offices. L 0 C Architects Education Master of Architecture II Harvard University, Graduate School of Design, Cambridge, MA Bachelor of Architecture Cornell University, Ithaca, NY CA Licensed Architect C30267 WA Licensed Architect 11863 Professional Affiliation: AIA City of Knowledge School A Crossroads Arts and Athletics Facility L 0,. Uty Council SANTAANA Q 35 8/1/2022,3 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 13 All Jeevaniee Resume Crossroads School for Arts and Science Master plan LOC provided a feasibility study of potential sites for the proposed Performing Arts Campus serving the Crossroads middle and upper school populations. This feasibility established a preliminary program and through careful site analysis identified the most suitable site(s) adjacent to the Crossroads campus with proposed configurations. Crossroads School for Arts and Sciences Performing Arts Campus Based on the Master Plan, LOC developed conceptual floor plans and renderings of a proscenium theater, a black box theater, and a recital hall for fundraising purposes. Crossroads Middle School Renovation LOC designed and permitted the remodel of classrooms and the configuration of disabled access in the Steve Morgan Middle School Building. Alliance Judie Ivie Burton Technology High School LOC is currently working on the design and permitting of a 9,450 sf ground up classroom building for the Alliance College - Ready Charter School group of schools. Crossroads Master Plan New Horizons School Westside Alliance College Ready Public Schools, Judie Me Technology High School L 0,. Uty Council SANTAANA Q 36 8/1/2022,3 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 14 STRUCTURAL ENGINEER City Council 15 — 37 8/1/2023 700 S. Flower St., Suite 2100 Los Angeles, CA 90017 213.418.0201 kpff.com Devlin Thomas, S.E. (56226) Associate / Project Manager / Structural Engineering As an associate with the Structural Division of the Los Angeles office of KPFF, Devlin's passion for solving challenges and the creation of collaborative project environments has defined his 16 years in the practice of structural engineering. With a diverse project experience, Devlin has relied on his talents in interpersonal communication and adaptability throughout the design and construction process. He believes positive synergetic teams provide for the most innovative and effective solutions within the construction industry. Green Heart Families Park & Community Center, Santa Ana, CA City of Los Angeles Vista Hermosa Park, Los Angeles, CA City of Los Angeles Pershing Square Renew Phase I & II, Los Angeles, CA Village Trailer Park, Santa Monica, CA Campus El Segundo Athletic Fields Shade Structure Peer Review, El Segundo, CA Angel City Football Club Training Facility Recreation Center Modifications, Los Angeles, CA USC Healthcare Consultation Center III & IV Site Structures, Los Angeles, CA Westmark School Campus Renovation Site Structures, Encino, CA Friendship Circle of Los Angeles Playground, Los Angeles, CA SSUSD Burroughs High School Modernization & Site Improvements Approvals & CA, Ridgecrest, CA USC Health Science Campus Cooling Tower Relocation Phase I, Los Angeles, CA La Rio Vistas Sculptural & Site Elements, Los Angeles, CA lqyff Education BS, Civil Engineering, University of California, Los Angeles Registration Structural Engineer: CA (S6226) Professional Engineer: CA (C75830) Professional Affiliations American Institute of Steel Construction (AISC) L 0-.- I'.. Uty Council SANTA ANAQ 38 8/1 /202f Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 16 700 S. Flower St., Suite 2100 Los Angeles, CA 90017 213.418.0201 kpff.com Ramzi Hodali, S.E. (S3552) Principal / Structural Engineering Mr. Hodali is a Principal with the Los Angeles office of KPFF with 36 years of experience working on numerous unique and complex projects in various industries including parks and recreation, civic and justice, healthcare, educational facilities, research facilities, aviation, port and harbor facilities, industrial, and commercial and residential developments. Mr. Hodali has extensive experience working on publicly -funded projects and has successfully completed significant projects for a number of public agencies including the City of Los Angeles, State of California, Riverside County, Los Angeles County, Los Angeles Unified School District, Los Angeles Community College District, University of California, California State University, Port of Long Beach, the Port of Los Angeles, Los Angeles World Airports, and numerous others. Earvin "Magic" Johnson Recreation Area Community Event Center, Los Angeles, CA Earvin "Magic" Johnson Recreation Area Phase 1B Maintenance Building & Dog Park, Los Angeles, CA Pershing Square Renew Phase I & II, Los Angeles, CA Marsh Park Phase I, Los Angeles, CA Reed Park Improvements, Santa Monica, CA Ozone Park Improvements, Santa Monica, CA Culver City Parks & Recreation Restroom Upgrade, Culver City, CA Memorial Park Redevelopment Site Analysis, Santa Monica, CA Cedars -Sinai Medical Center Healing Gardens, Los Angeles, CA Santa Ana Zoo New Necropsy Facility Design, Santa Ana, CA Samueli Academy Gym, Santa Ana, CA 1124 East 17th Street TI & Seismic Retrofit, Santa Ana, CA Canyon Country Community Center Concrete Wall Repair, Santa Clarita, CA Campbell Community Arts Center Northern Stair & Garage Connection, Campbell, CA City of Oxnard Durley Park Concession Building Fire Repair Assessment, Oxnard, CA lqjff Education Southern Illinois University, Carbondale, Illinois M.S. Civil Engineering and Mechanics B.S. Civil Engineering and Mechanics Registration Structural Engineer: CA (S3552) Professional Engineer: CA (C43755), WA (52312) Professional Affiliations Southern Illinois University, Professional Advisory Board Member for the Department of Civil and Environmental Engineering University of California, Los Angeles, Department of Civil Engineering, Lectured Advanced Structural Engineering Course for 6 Years ACEC/Caltrans Become -an -Engineer Volunteer Presenter at Various High Schools Served on the Los Angeles City Steel Subcommittee Post Northridge Earthquake Tau Beta Pi National Engineering Honor Society Structural Engineers Association of Southern California American Society of Civil Engineers American Institute for Steel Construction American Concrete Institute Design -Build Institute of America L 0,. Uty Council SANTAANA Q 39 8/1/2022,3 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 17 CIVIL ENGINEER City Council 15 — 40 8/1/2023 700 South Flower Street Suite 2100 Los Angeles, CA 90017 213.418.0201 kpff.com I<rff Sharad Ganju, PE (C85128) Principal I Project Manager I Civil Engineering With a background in land development industry that includes more than 20 years of experience in the design, development and management of projects for institutional, government, commercial and healthcare clients, Sharad Ganju is responsible for new project development in greater Los Angeles, client relationships, business development and providing unparalleled client service. He is experienced in managing multiple sub -consultants on large projects, delivering on schedule while meeting clients' expectations. Sharad specializes in campus master plan designs, utility 101 1w 1w infrastructure design and has worked on challenging campus setting Education projects involving existing utility infrastructure. Sharad's personal Rutgers, the State university of New knowledge and experience working in occupied and operational Jersey, New Brunswick, NJ campus facilities, brings valuable expertise to this project. MS, Civil Engineering (2003) Center for Environmental Planning & Sharad is also the lead civil peer reviewer on Department of Veteran Technology, India Affairs' Western Region Projects. BE, Civil Engineering (2000) Listed below are representative projects for which Sharad has been responsible: Registration Professional Engineer: CA (C85128) Compton Community College Utility Infrastructure, Compton, CA Compton Community College Master Plan, Compton, CA Professional Affiliations Antelope Valley College Utility Infrastructure, Lancaster, CA American Society of Civil Engineers Antelope Valley College Student Services Building, Lancaster, CA Antelope Valley College Academic Commons Building, Lancaster, CA Antelope Valley College Campus Design Standards, Lancaster, CA LAVC Gold Creek Fire Damage Repairs, Los Angeles, CA Chaffey College Campus Center, Rancho Cucamonga, CA UC Riverside Student Success Center, Riverside, CA UCR Material Science & Engineering Building, Riverside, CA UCR School of Medicine Building, Riverside, CA UCR North District Student Housing, Riverside, CA LAUSD - South Park School Food Services & Lunch Shelter, Los Angeles, CA Flintridge Sacred Heart Academy Fine Arts Facility, La Canada Flintridge, CA Flintridge Sacred Heart Academy Auditorium Remodel Phase 1, La Canada Flintridge, CA L 0..- Iq Uty Council SANTA ANAQ 41 8/1 /202f Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 19 MEP ENGINEER City Council 15 — 42 8/1/2023 fiR ABRARI & ASSOCIATES INC. Utility Consulting and MEP Engineers 1713 Standard Ave. Glendale, CA 91201 T: 818-956-1900 E: mail(@abrari.com OBJECTIVE To provide a reliable and cost-effective Electrical Design SKILLS & ABILITIES Design Automation Minimalizes errors 3D Modeling Reliable Calculations AUTOCAD Revit TYPES OF PROJECTS Multi -Residential Mixed Use -Residential Educational Hospitality Commercial Retail Surgery Center Offices High -End Luxury Single Family Homes Medical Restaurants Small Lot Divisions Street Lighting HENRY R. ABRARI, P.E. Electrical Engineer Henry Abrari has over 39 years of Electrical Engineering experience. As an accomplished engineer and retired Glendale Water and Power engineering manager with extensive utility and facilities design experience, he stablished Abrari and Associates in 2002 EXPERIENCE ABRARI & ASSOCIATES, FOUNDER MARCH 2O02-PRESENT • Electrical Engineering • Power Analysis and coordination • Arc Flash and Fault Current Studies • EV Charger Design • Solar Design • Construction Administration • Lighting Design • Street Lighting Design • Utility and Title-24 Consulting • Dry Utility Consulting • Power Quality, Power Measurement, Megger, Earth Resistance, Relay Testing L 0,. Uty Council SANTA ANA Q 43 8/1/2022,3 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 21 N EXPERIENCE ELECTRICAL DESIGN SOFTWARE SKIM POWER TOOLS TIME CURRENT COORDINATION PLANS AND SETTINGS DETERMINATIONS M IrCIP`1►1 RAAC-rrn r`Al r411 A-rlr%RIC VISUAL 3D MODELING City Council 15 — 44 8/1/2023 0 EXPERIENCE 11600 PICO BLVD.- SURGERY CENTER Electrical Design • 400A 120Y/240V 3Phase 4-wire • Health Care Facility • Photometric Egress • Emergency Design 3 separate emergency feeds o Life Safety Branch o Equipment Branch o Critical Branch 269 S. MARIPOSA AVE.- 121 UNITS MIXED USE APARTMENT Electrical Design • 3000A 208Y/120V 3Phase 4-wire • LADWP Transformer Pad • Emergency Inverters for Egress lighting • All Electric appliances Building Overview • Mixed Use Building • 121 units • Amenities: Gym, community room, recreation room • Over 4,000sgft of Retail Space L 0-, I,. Uty Council SANTA ANAQ 45 8/1 /202f Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 23 LANDSCAPE ARCHITECT City Council 15 — 46 8/1/2023 RESUMES DUANE BORDER / ASLA, PLA Principal Duane Border is an award -winning landscape architect and Design Director at BORDER, a boutique studio in Los Angeles that utilizes an interactive design process combining lifestyle, sustainability and art to generate creative design solutions and interactive environments. Using a wide range of design influences, he explores the boundaries of landscape architecture by embracing the cultural, artistic and environmental influences of each site to craft a unique sense of place and developing an engaging experience. Duane's design philosophy is to immerse individuals in the richness and wonder of the natural environment. BORDER is an evolution of Duane's philosophy of providing contemporary, urban landscape solutions that maintain the romance of the garden he used in the founding of his previous firm, Duane Border Design, in 2012. BORDER elevates this philosophy to includes a focus on the restorative properties of landscape design. Under his leadership, BORDER has built a reputation as a collaborative studio with an award -winning tradition. RELEVANT PROJECT EXPERIENCE MARSH PARK / Los Angeles, CA Marsh Park is a 3.9 acre open space adjacent to the LA River and thriving Elysian Valley River bike trail. While at Melendrez (RELM), Duane Border led the design effort with the firm's planning team and the Santa Monica Mountain Conservancy to re -imagine a brownfield that disconnected the neighborhood from the LA River. MARILYN HAWLEY HILTON SCHOOLYARD / Santa Monica, CA The redesign altered the perception of a parking lot used as a schoolyard to provide students and their families with a sense of campus pride and identity while maintaining the parish's commitment to sustainable practices. LAIRD PUBLIC ADMINISTRATION BUILDING / Los Angeles, CA Duane Border, as lead designer at Melendrez, viewed challenging site and contextual conditions as opportunities for social, publicly accessible spaces rather than constraints that dictate a static, rigid design of impediments and barriers. Defensible space can still be social space. LICENSURE Registered Landscape Architect CA 5810 // UT 5301 EDUCATION Bachelor of Science in Landscape Architecture Purdue University AWARDS ASLA Southern California LAPD PAB Marsh Park Hilton Schoolyard Santa Monica College Quad 444 South Flower Street Not -A -Cornfield AFFILIATIONS ASLA Southern California Ex Com 2010 - 2020 ASLA Education Advisory Committe 2020-2022 Santa Ana Zoo Community Hub Building RFP L 0 Uty Council SANTA ANA Z@Q 47 8/1/2023t. Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP ' March 23, 2023 RESUMES DARREN SHIRAI / ASLA, PLA Landscape Architect Darren Shirai brings a passion for design and nature to BORDER as a landscape architect and Education Studio Leader, His experience includes a variety of award - winning civic, education, and mixed -use projects throughout Southern California. Growing -up in Honolulu, Hawaii, Darren learned about the uniqueness and global significance of Hawaiian ecosystems and the role of nature in indigenous Hawaiian culture. Nature was an integral part of daily life at the schools he attended throughout childhood with lush campuses that reflected community values and role of nature in creating a high quality of life. Child development experts theorize the origin of healthy environmental ethics in adults begins early in life, the result of sustained positive experiences in nature and the personal value associated with those experiences. Darren is motivated by the belief that the design of outdoor spaces can result in a sustainable positive relationship with local ecologies and a legacy of reconnecting people to the restorative power of the natural world. As a result of his personal experiences and values, education is at the heart of Darren's work, in practice and approach. His engaging design process has created a long list of enthusiastic collaborators, clients, and designers whom he has mentored. RELEVANT PROJECT EXPERIENCE TESORO CARSON ONE / Carson, CA A new corporate campus for administrative offices with environmental education garden, social spaces, softball field, basketball court and perimeter fitness trail. Outdoor learning spaces provide a venue for the company's environmental education outreach programs. LA COUNTY OFFICE OF EDUCATION / Los Angeles, CA The COVID-19 pandemic challenged educators to re -imagine and be creative with campus outdoor space to support the safe return to in -person instruction. The Los Angeles County Office of Education published design guidelines to help schools and facilities professionals create equitable everyday outdoor learning experiences on their campuses. BURROUGHS MIDDLE SCHOOL / Los Angeles, CA The project will restore the historic quad, once the focus of the school campus with new sports fields, a three-story cafeteria building, and new locker rooms. Social and interpretive environmental education spaces provide daily opportunities for the campus community to engage with nature and each other. A LICENSURE Registered Landscape Architect EDUCATION Landscape Architecture Certificate UCLA, Los Angeles Extension Bachelor of Arts, Economics Creighton University AWARDS Next LA / AIA Design Awards Wilshire Grand Hotel ASLA Southern California Marsh Park Long Beach Airport Passenger Concourse AFFILIATION ASLA Southern California Santa Ana Zoo Community Hub Building RFP L 0 Uty Council SANTA ANA ZQ 48 8/1/2023 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 RESUMES RACHEL ISON / ASLA Landscape Designer Rachel Ison is a Southern California native who brings her experiences of living in the region to her work as a landscape designer at BORDER. These experiences influence her approach to research, site analysis and enhance her appreciation for the environments in which she works. Dedicated to developing designs with purpose, Rachel explores a site's history, culture, and position within its context to create a narrative and character that is as unique and fresh as the project itself. Her efforts as project design lead on projects such as Ballona Creek Feasibility Study and Jordan Downs are examples of her commitment to finding the essence of design from context clues and cultural influences. Rachel is a talented designer and uses a keen eye and attention to detail to create thoughtful graphic exhibits and detailed drawings from concept to construction for BORDER. f' ti EDUCATION Masters of Landscape Architecture University of Southern California Her focus is on engaging and connecting communities through landscape design while respecting and enhancing the local flora and fauna. This passion was B.A. in Environmental Studies recognized and rewarded with the honor of an Olmsted Scholarship from the B.A. in Anthropology Tufts University Landscape Architecture Foundation, AWARDS RELEVANT PROJECT EXPERIENCE BALLONA CREEK FEASIBILITY STUDY / Los Angeles, CA Ballona Creek Feasibility Study included landscape design services and community outreach efforts for storm water management along the Ballona Creek corridor. BORDER led stakeholder meetings and incorporated storm water BMP strategies to manage over 9 acres of storm water collection. EAH MARTEL / West Hollywood, CA EAH Martel, an affordable senior housing project of inviting and engaging courtyard, is built around restorative landscape practices for residents and visitors, including increased pollinators, abundant shade, and gathering spaces. JORDAN DOWNS BRIDGE HOUSING / Los Angeles, CA The newest residential community in Jordan Downs addresses the need for affordable housing and quality outdoor recreation. A community gathering space with social courts, multi -function lawn, seating gardens, and outdoor BBQ spaces give residents and neighbors a diverse collection of outdoor spaces for year- round activity. Landscape Architecture Foundation National Olmsted Scholar Finalist 2018 Santa Ana Zoo Community Hub Building RFP L 0 I~g Uty Council SANTA ANA ZQ 49 8/1/2023' Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 UNDERSTANDING OF NEED 8/1 /2023 • The Santa Ana Zoo is seeking proposals for full architectural services to design, permitting, bidding, and construction administration of a building that will occupy the existing campus and contain classroom type spaces along with offices that will form the community hub for the zoo. Users will include field trip students, volunteers for the zoo, and the Friends of the Santa Ana Zoo, a nonprofit entity that supports the Santa Ana Zoo. • The project is to be located in an approximately 9,000 sf of area and in the general area designated on the Masterplan that was provided as part of the RFP. The project is to consist of 6,000 sf of built space of which 3,000 sf would be back of house (including offices and restrooms) and 3,000 sf to be flex space/classrooms. A 1,000 sf patio is also required. • The building siting is defined by two large existing Ficus trees. Design is to provide access to amphitheater, and connect the visitor experience to the interior of the zoo. • The building is to be accessible to visitors inside the zoo, and accessible to staff. • The design of the building is to incorporate an indoor/outdoor feel, lots of light, to be uncluttered with a neutral palate and blend in with the surrounds and respond to the master plan. • The building design should incorporate sustainable practices and use local materials where possible. • Architect will be responsible for providing a full design team including, Civil, Geotechnical, Structural, Landscape, and Mechanical, Electrical, and Plumbing design. L 0'--,. Uty Council SANTA ANAQ 51 8/1 /2022,f Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 29 RELEVANT PROJECT EXPERIENCE 8/1 /2023 11 MI LOC Arch itects t, LOC Architects is the Los Angeles practice of partners Poonam Sharma and Ali Jeevanjee, founded in 2006. With a strong belief that architecture is about people, the firm is driven by a passionate approach to bringing people together in a collaborative design process to create transformative experience through design. The firm's process driven and socially responsive approach has allowed them to take on a wide range of projects that span in scale and type from art installations to master plans, single family residences to multi -family, and office campuses to schools. The design of schools and learning environments is an area of deep personal interest and remains a focus of the work they do. The spaces of a school can help to define the education experience for students, and the people - driven and carefully considered approach of LOC can enable these spaces to have a meaningful impact on a large number of people. f# IV 1 Y I low DES %!'V ouncil E Crossroads Athletics and Arts Facility Location: Santa Monica, CA Client: Crossroads School for Arts & Sciences Size: 12,000 SF Budget: $3 Million Year Completed: 2019 LOC Architects designed this 12,000 sf Visual and Performing Arts and Athletics facilities building within an existing bow truss warehouse on the Crossroads School for Arts and Sciences Middle and High School campus in an industrial area of Santa Monica. This project included a complete gutting of warehouse space, creating distinct spaces for arts and athletics, an entry garden, and lounge areas, and all new MEP systems as well as extensive daylighting to optimize the educational environment. The project is characterized by the introduction of natural light, a large slanted polycarbonate wall, and warm plywood surfaces. L 0 ty Council SANTA ANA Z@Q 54 8/1 /Saw 202 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 32 Alliance Burton Tech High School Location: South Los Angeles Client: Alliance College -Ready Charter Schools , ,Or.0 A Df I BURMW r#C.m1�1p1;r Size: 9,400 sf •F_iDEaiY _SCHOOK Budget: $6 Million Projected Completion: December 2024 LOC won the RFP to design a new building to compliment the Alliance College -Ready School's Judie Ivie Burton Technology High School campus. f; Working closely with the school team, LOC designed a two story classroom builidng with a rooptop outdoor - ` space. The project maximizes natural light and view to �- the exterior while making a connection to the existing IY , campus and helping to foster the school's role as a pivotal entity in the South Los Angeles neighborhood. The project is currently in permitting. L 0 nz Uty Council SANTA ANAQ 55 8/1 /202 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 33 Southern California Gas Company Headquarters Location: Anaheim Client: Southern California Gas Company Size: 27,000 sf Budget: $6 Million Completion: February 2022 LOC was hired for complete architectural services to gut and convert and exisitng 27,000 sf tilt -up concrete building to to accommodate 170 employees with new conference rooms, indoor and outdoor break areas, complete with the latest workplace technology. Extensive organizational and space planning was undertaken to best serve the needs of this large and complex organization. 1 -r !Poll L 0,. Uty Council SANTAANA Q 56 8/1/2022,3 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 34 City of Knowledge School Location: Pomona, CA Client: City of Knowledge School Size: 15,000 sf Budget: $5 Million Projection Completion: May LOC Architects designed this 15,000 sf addition and renovation to an existing Islamic K-12 parochial school. The project, currently under construction will include a new gym/assembly hall, new classrooms, a ceramics studio, locker rooms, and restroom facilities for both adults and students and serve a hub for the local Islamic community . Working very closely with the administration at the school, LOC developed a language of architecture that spoke to the Islamic roots of the school to create a sense of identity and community for this organization. LOC created a series of tiled dome structures that are inspired by Islamic architecture. L 0,. Uty Council SANTA ANAQ 57 8/1 /2022,f Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 35 Avis and Mark Ridley -Thomas Wellness Center at Charles Drew University with APLA Location: Willowbrook, CA Client: Charles Drew University Owner's Rep: Elaine Nesbit Size: 10,000 sf Budget: $4 Million Year Completed: 2021 LOC Architects designed this two story modular building to house a medical clinic, a dental clinic and a food bank managed by Vance North Necessities of Life Program on the campus of Charles Drew University in Willowbrook. While providing for 3 distinct entries for the 3 entities housed in this building, LOC worked to integrate the project into the existing campus of CDU and helped to establish a material and color palate for future development at the university. LOC also undertook the design of a community vegetable and fruit garden adjacent to the building. In addition to this project, LOC has been involved in several projects across the campus of Charles Drew University. CDU'WELL1tiESS L 0 �G Uty Council SANTA ANAQ 58 8/1 /202 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 36 Green Heart Families Park & Community Center Santa Ana, CA Structural engineering services for a new 3,188 SF community center that includes a large multi -purpose room, adjoining kitchen and support spaces. The single -story high ceiling structure includes unique sloping, articulated roof structures. The site also includes a playground, restrooms and half-size basketball court. 3-D REVIT modeling was successfully leveraged during design to coordinate structural, architectural and MEP conflicts. LOC Architects LSanta Ana Zoo Community Hub Building Architects Owner Latino Health Access Size 3,188 SF Community Center Date Completed 2013 Council SANTA ANA NQ 59 COMMUNITY HUB BUILIDNG "THE HIVE" RFP lqjff 8/1 /2023 March 23, 2023 Earvin "Magic" Johnson Recreation Area Community Center Los Angeles, CA Phase 1A of the Earvin "Magic" Johnson Recreation Area encompasses a 22-acre core portion of the master planned project and includes a new community center, wedding pavilion, outdoor amphitheater, reflecting pool and splash pad, sculpture garden and civic plaza, group picnic area, restroom building, children's play area, entry gate and kiosk and walking trails. The community center is 20,000 SF, single story structure that houses a multipurpose room, classrooms, restrooms, kitchen, support area for staff and storage, and maintenance/electrical areas. The wedding pavilion is a 1,250 SF single story partially covered structure with garden amenities including arbors and trellises. The 1,500-seat outdoor amphitheater includes, stairs, stepped slabs, and security/ performance lighting systems supports. The reflecting pool and splash pad area includes a linear reflecting pool, entry fountain and children's water play area. The 20,000 SF sculpture garden and civic plaza includes garden areas, signage posts, seating benches, statues, and monuments. The project also includes a 100-person picnic area, a 500 SF restroom building, children's play area with playground equipment and shade structures, a new entry gate and kiosk with monument signage and security fencing along with walking trials with signage and exercise equipment. Owner County of Los Angeles Department of Parks & Recreation Construction Value $59 M Size 22 Acre Recreation Area 20,000 SF Community Center Date Completed 2020 LEED Status Gold Certified Awards 2022, Westside Urban Forum, Public/ Open Space Honor Award 2021, ASCE, MLAB Award for Outstanding Sustainable Engineering 2021, LABC, Architectural Awards Civic Awa rd 2021, Grands Prix Du Design, Public Building/Institutional Building Award - Silver Winner 2021, NAFSMA, Green Infrastructure Award - 1st Place LOC Architects k�ff Santa Ana Zoo Community Hub Building L O 'ty Council SANTA ANA z1gQ 60 8/1/2023 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 i #. j, r �jar �r. An, City of Anaheim Miraloma Park Community Center Anaheim, CA Structural engineering services for the renovation and redevelopment of Miraloma Park. This effort included the creation of a new community center through the adaptive re -use, renovation and seismic retrofit of an existing CMU industrial building. This new Park and Family Resource Center includes multi -purpose rooms, classrooms, counseling offices, a kitchen, computer center, lounge, and restrooms. The redevelopment of the existing park included the addition of solar canopies, storm/bio swales, a perimeter exercise loop trail, skate plaza, outdoor classroom plaza, picnic/BBQ area, events plaza, playground, interactive water feature, play areas, native gardens, vertical garden wall, and other landscape and hardscape improvements. LOC Architects Santa Ana Zoo Community Hub Building Owner City of Anaheim Construction Value $4.2 M Size 5,415 SF Community Center 2 Acre Park Date Completed 2015 LEED Status Silver Certified lzpff L 0 �ty Council SANTA ANA z�gQ 61 8/1/2023 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 700 South Flower Street Suite 2100 Los Angeles, CA 90017 Santa Ana Zoo Location: Cost: Santa Ana, CA $1.8 M Client: Status: Santa Ana Zoo Ongoing Master Plan 213.418.0201 kpff.com I<Pff The project consisted of developing a Master Plan for future improvements and expansion of the Santa Ana Zoo. The Master Plan included the analysis of existing utilities and infrastructure and recommendations related to additional exhibits. The final comprehensive plan provides a roadmap for how capital projects and programs can be carried out over the next 20 years, with a strong focus on a balanced investment on infrastructure, visitor services, and attractions. Exhibits Amazon's Edge exhibit is being renovated to include the Giant River Otter Exhibit and Howler Monkey Exhibit. This includes a redeveloped 27,000 gallon pool with underwater viewing, a naturalistic exhibit habitat for Giant Otters, a new view shelter for visitors, two new monkey enclosures, "back of house", adjacent walkways and landscaping with a construction budget of $1.8 million. L 0-.- Iq Uty Council SANTA ANAQ 62 8/1 /202f Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 40 EXPERIENCE MARSH PARK The landscape design is based on Southern California sustainable landscape principles of water conservation, increased biodiversity, storm water capture, filtration and recharge. Marsh Park is a 3.9 acre open space adjacent to the LA River and thriving Elysian Valley River bike trail. While at Melendrez (RELM), Duane Border led the design effort with the firm's planning team and the Santa Monica Mountain Conservancy to re -imagine a brownfield that disconnected the neighborhood from the LA River. The project has successfully engaged residents and visitors with the wonder of the natural environment through engaging teaching and recreational opportunities. Most importantly, the park acts as a conduit for local Angelenos to access the LA River while utilizing planting and site design to filter and recharge storm water prior to its connection to the LA River, LOCATION Los Angeles, CA CLIENT Santa Monica Mountains Conservancy YEAR Completed 2015 SCOPE Schematic Design Design Development Construction Documentation Construction Administration AWARDS 2016 Honor Award ASLA Southern California * Completed prior to BORDER EEF=R Santa Ana Zoo Community Hub Building RFP L O SANTA ANA Q 0 Uty Council 63 8/1/202 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP ' March 23, 2023 EXPERIENCE LAPD PUBLIC ADMINISTRATION BUILDING Envisioned as a transparent gesture of architecture and site design, the LAPD PAB was designed as a metaphorical reference to the desired relationship between the public and the public -serving entity Duane Border, as lead designer at Melendrez, viewed challenging site and contextual conditions as opportunities for social, publicly accessible spaces rather than constraints that dictate a static, rigid design of impediments and barriers. Defensible space can still be social space. The landscape design includes a palette of kinetic, water conserving plant materials and irrigation systems. Plazas are punctuated with large expanses of planting areas with integrated seat walls and lighting. The design is built to be flexible enough for large public gatherings while allowing for individual interaction within the natural landscape. At a big -picture level, the site and landscape design for the LAPD Police Administration Building has started a dialog for rethinking urban design approaches in Downtown Los Angeles, and more importantly, the role of landscape design in the discussion. P l" LOCATION Compton, CA CLIENT City of Los Angeles Department of Engineering YEAR Completed 2009 SCOPE Schematic Design Design Development Construction Documentation Construction Administration AWARDS 2012 Honor Award ASLA Southern California AA/LA Project Team of Year 2009 * Completed prior to BORDER E3ED E=- F=R Santa Ana Zoo Community Hub Building RFP L 0 Uty Council SANTA ANA 7a@Q 64 8/1/2023 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 City Council 15 — 65 8/1/2023 Elaine Nesbit Elaine Nesbit, Architect eIaine@enarchitect.com Client Rep/Project Manager Full architectural services on approximately 12 projects with this project manager for Crossroads School and Charles Drew Universtiy. Yasser Abdulridha YSK Construction Group Inc. Yasser@miragebuild.com Project Manager, Client Rep. Full architectural services on 15,000 sf addition and remodel in- cluding multipurpose room/assembly hall and new classrooms. Emma Ponco Southern California Gas Company EMPonco@soca Igas.com Project Manager Full architectural services on 27,000 remodel of existing building for new offices L 0,. Uty Council SANTA ANA Q 66 8/1/2022,3 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 44 F SERVICES AND SCHEDULE LOC is responsible for facilitating the project's design and planning process within the constraints of the Owner, governing authorities, and sub -consultants' requirements. LOC is always committed to producing the ideal project for the Owner within the stated requirements and identified constraints. Pre -Design 6 weeks Preliminary design shall include Kick-off meeting with City Staff (representatives from Public Works Agency, Parks, Recreation and Community Services Agency and Santa Ana Zoo) to discuss scope of work, project goals and objectives, potential elements and issues, schedule, review of existing information and site investigation. Deliverables shall include a Work Task Plan, Schedule, Geotechnical Report and Site Survey Concept Design 8 weeks • Develop program with zoo team and provide written narrative of project scope. • Based upon a detailed review of the program, test fits site constraints, and budget requirements, LOC shall develop a set of schematic design documents illustrating the scale and relationship of the project components. • These drawings shall include a site plan, building plans, sections and elevations. • Deliverables (1): One set of schematic design documents. • Renderings: (3) conceptual electronic renderings. • Meetings (2): 1. 50% schematic design review; 2. 100% schematic design review for approval. • Allowable Revisions: Any revisions that do not revisit approved decisions documented in the test fits • LOC confirms that this effort shall be completed in three weeks. • Concept design shall include up to three (3) meetings with City Staff to brainstorm and review potential layouts. • Deliverables shall include up to three (3) schematic concept designs, with one final renderedconcept site plan and perspective drawing for fundraising and presentation purposes. Design Development 12 weeks • Upon the Owner's approval of Schematic Design, LOC shall refine the design to include more detailed information i.e. refine location of furniture, walls, doors, windows per Owner's comments. Develop Site Plan, Floor Plans, Building sections, Exterior Elevations, and Schedules as necessary. • Prepare and present exterior and interior material and finish samples. Assist the Owners in selection. • Assist the Owners in selecting fixtures, appliances, door and window systems, and related hardware. • Typical construction details and equipment layouts shall be determined. • Deliverables (1): One set of design development documents. • Renderings: (3) conceptual electronic renderings updated to reflect material selection etc. • Meetings (2): 1. 50% design development review; 2. 100% design development review for approval. • Allowable Revisions: Any revisions that do not revisit approved decisions documented in the L 0,. Uty Council SANTA ANA Q 68 8/1/2022,3 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 46 =114101m,ZWO .�.I_WOM schematic design documents. • LOC confirms that this effort shall be completed in six weeks. • Deliverables shall include a 50% set of plans, including site section studies, draft specification, "Opinion of Probable Cost." Construction Documents 12 weeks Develop thorough drawings required for City submittal and Bidding (Site Plan, Floor Plans, Electrical/ Lighting Plans, Interior and Exterior Elevations, Building Sections, Details) incorporating any structural or sub -consultant requirements that are intended for construction. • Establish in detail the quality level of materials and system used in the project. • Deliverables (2): 1. one set of permit submittal documents; 2. one set of bid documents. • Renderings: N/A • Meetings (2): 1. 50% construction documents review; 2. 100% construction documents review for approval. • Allowable Revisions: Any revisions that do not revisit approved decisions documented in the design development documents. • LOC confirms that this effort shall be completed in twelve weeks. • Deliverables shall include 90% and 100% plans, structural calculations, CASP report, final technical specifications, finalized "Opinion of Probable Cost". Plan Check and Bidding (concurrent) • Submit drawings for Plan Check review by the City of Los Angeles • Assist in bidding process, provide additional clarification/ information/ addenda as necessary. • Review and address City issued Plan Check corrections as well as any required departmental clearances. • Obtain Ready to Issue certificate from the City. • Deliverables (2): 1. plan check corrections as necessary; 2. Ready to Issue certificate • Renderings: N/A • Meetings : N/A • Allowable Revisions: Any revisions that do not revisit approved decisions documented in the approved construction documents. • The duration of the plan check process is not entirely within the control of the Architect, but LOC shall make every effort to conclude it within the allotted time. Construction Observation 52 weeks • LOC shall visit the site once a week to ensure that the project is being built in conformance with the Contract Documents. • LOC shall respond to RFI's and submittals in a timely fashion • LOC shall review and certify the amounts due the Contractor and shall issue certificates in such L 0,. Uty Council SANTA ANA Q 69 8/1/2022,3 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 47 amounts. • Deliverable: N/A • Renderings: N/A • Meetings (20): Weekly on -site OAC meeting • Allowable Revisions: Any revisions necessary to accommodate unforeseen site conditions. • The duration of the construction process is not entirely within the control of the Architect, but LOC shall make every effort to assist the contractor in meeting scheduled milestones. • Plans: Plans shall include, but are not limited to the following: • Title Sheet • Civil Engineering • o Site Erosion Plan • o Horizontal and Vertical Control Plan • o Grading and On -Site Drainage Plan • o Site Utility Plan • Landscape Architectural • o Site Layout/Construction Plans and Details (including plumbing) • o Site Sections, as applicable • o Planting Plans/Details/Notes • o Irrigation Plans/Details/Calculations/Notes • Architectural • o Holding Facility Plans • o Holding Facility Interior elevations, Finish schedule • o Roof Framing Plan • o Reflected Ceiling Plan • o Exterior Elevations • o Interior Elevations • o Mechanical and Plumbing Plans/T-24 • o Electrical Plans, as applicable • o Architectural Details • o Structural Calculations • o Door/Window/Finish Schedules, as applicable • Structural Engineering • o Structural Design and Detailing • Mechanical Engineering & Plumbing • Electrical Engineering • o Electrical Site Plan to include walkway lighting, irrigation. L 0,... Uty Council SANTA ANAQ 70 8/1 /202f Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 48 • o Location of panels, switchgear, meters • o Schedules • o Details • o Notes, specifications • Plan Check &Permits: • Construction drawings shall be in accordance with the 2022 California Building Code and will require review/approval by the City Planning and Building Agency. • As a condition of plan check approval, plans, specifications and structural calculations must be signed by a California licensed architect / landscape architect /civil engineer/structural engineer as appropriate. Plans shall be organized so that they can be segregated cleanly for distribution to the various plan checking entities. • Construction drawings shall be submitted at 90% completion for review by Public Works Design Engineering and Santa Ana Zoo staff and revised per their comments. The 100% complete construction drawing package will then be submitted for final City review to the following City Agencies: • Parks, Recreation and Community Services Agency/Santa Ana Zoo • Planning and Building Agency • Public Works Agency Design and Construction Engineering Divisions • The Public Works Agency Project Manager will coordinate the submittal and review process. Once complete, the consultant will revise the Contract Documents • Final Opinion of Probable Cost • Consultant shall provide updated opinion of probable construction cost which shall reflect finalized plans, materials, systems, details of construction, and known or anticipated changes in the bidding market relative to the project. Should project scope exceed available budget, project plans/specifications will be phased as appropriate. Task 5: Bid Advertisement, Construction Administration, Record Drawings: • Bid Advertisement • Consultant shall provide support to the City during the Bidding phase by assisting with questions, requests for information/clarification, or conflicts arising out of the bidding process. Consultant shall also attend pre -bid meeting, if scheduled. • Construction Administration • Consultant shall provide support to the City during the Construction Administration phase by assisting with questions, requests for information/clarification, and/or reviewing submittals. • Record Drawings / As -built Plans: • Upon construction completion, consultant shall incorporate as -built information, as provided by the General Contractor, into the drawing files to provide record drawings for City archives L 0,. 4ty Council SANTAANA Q 71 8/1/202213 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 49 City Council 8/1/2023 Appendix ATTACHMENT 3- 1: NON-COLLU IONAFFIDAVIT CERTIFICATIONS NON -COLLUSION AFFIDAVIT {Title 23 United Sties Code Wdoo 112 and Public C(MM-t 'Ode settim 7 106) To the CFFY OF SANCA ANA DEPARTMENT OF PUBLIC WORKS In accordance with Title 23 United States Code Section 112 and Public Cantract Code 7106 the BIDDER declares that the bid is not made in the interest of, or an behalf of, any undisclosed parson, partnership. company, association, organization, or corporation: that the bid is genuine and not collusive or shin,; that the IBID DER has not directly or indirectly induced or solicited any other BIDDER io put in a false or sham hid, and has not directly or indirectly col Wcd. conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or thal anyone shall ruin 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 Oce of the BIDDER or any BIDDEN, or to fix any overhead. profit, or cost element of the bid price, -or of that of any Dater BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the propaxed contrwt; that all statement's contained in the bid are true: and, Further, that the BIDDER has riot, directly or indirectly, submitted his or her bid price or any breakdu n ihereof, or the Lmntrnts thereof, or divulged infonmtion or data relative thereto, or paid, and will not pay, any fec to any corporation. partnership. company association, organiMdan, bid depository, or to any member or agent thereof to effectuate a collusive or sharn bid, [Mote: The above iron -collusion Affidavit is part of the Proposal_ Signing this Proposal on the signature portion thereof shall also' constitute signature of this Non -collusion Af'fida0l. BIDDERS are cautioned that making a false =ification may sub cct the oortirker to criminal prosecution. Sighed State of Cal' is Courny.+f=4i_ nq 4 Subscnbed sivom to for affinT cd] before me on this day of ' � 20 by �41A proved to me on Ihr bmh; Of sarisfamry evidence iAw be the per.kmisl who eppearetl wJlu SEaiaaiow WWAG PLAlk LQy��IR �PX11'/ Mlr£Cmm. L%j4rn NIN 17. iQ25 Iie Siip�antiTc Norary Public Seal City of Santa Ara RFI3 Page A3.1 L 0„ -ty Council SANTAANA Q 73 8/1/2022,3 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 51 Appendix ATTACHMENT 3-2: NON -LOBBYING CERTIFICATION CERTIFICATIONS The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. 2. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities". This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firm LOC Architects Signed and Printed Name: Title Principal Date ° Poonam Sharma City of Santa Ana RFP Page A3-2 L 0a Uty Council SANTA ANA ZQ 74 8/1/2023 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 Appendix ATTACHMENT 3-3: NON-DISCRIMINATION CERTIFICATION CERTIFICATIONS The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 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. 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 City of Santa Ana RFP Page A3-3 L 0 Uty Council SANTA ANA 7a@Q 75 8/1/2023 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a sub -consultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: Title: Principal WIN Eml 1 - Date: 03/22/2023 City of Santa Ana RFP Page A3-4 L 0 Uty Council SANTA ANA z�gQ 76 8/1/2023 Architects COMMUNITY HUB BUILIDNG "THE HIVE" RFP March 23, 2023 Our experience in creating successful educational environments working closely with small to medium-sized institutions, in combination with our agile and collaborative process, would make LOC an ideal strategic partner in the development of your campus. We thank you for your consideration. City Council 15 — 77 8/1/2023 EXHIBIT C CONSULTANT'S FEE PROPOSAL (including hourly rates if applicable) City Council 15 — 78 8/1/2023 will 3203 E 41h St. Los Angeles, CA 90063 213.537.0480 www.loc-arch.com PRICING Compensation We propose to complete this effort for a not to exceed fee of Three Hundred and Fifty Thousand, One Hundred and Twenty Dollars ($350,120) The fee breakdown is as follows: Architect $156,000 Structural Engineer $30,000 MEP Engineer $48,000 Civil Engineer $30,000 Landscape Architect $46,000 Geotechnical Engineering $9,560 Surveyor $ 5, 240 Sub -consultants Subtotal $168,800 Markup (15%) $25,320 Total $350,120 In the event that the Owners authorizes an increase in the project scope or construction budget giving rise to a substantial increase in the Scope of Work, LOC has the right to renegotiate the fee on which this proposal is based. For work outside of the scope of this agreement, our hourly rate schedule is as follows: Hourly Rate Schedule Principal $175/hr Designer II $1 10/hr Designer I $90/hr City Council 15 — 79 8/1/2023 LOC 3203 E 41h St. Los Angeles, CA 90063 213.537.0480 www.loc-arch.com Schedule Completion of architectural services up to the conclusion of Construction Documents and the issuance of a Ready -to -Issue Building Permit is estimated at approximately 38 weeks, with interim milestones as described below. The Schedule is subject to revision based on any changes in the Scope of Work. Schematic Design 6 weeks Design Development 8 weeks Construction Documents 12 weeks Permitting / Bidding 12 weeks Construction Observation 52 weeks Payment Schedule The Architectural fee shall be billed monthly based upon the following allocation per phase: Schematic Design (15%) $23,400 Design Development (25%) $39,000 Construction Documents (35%) $62,400 Bidding (5%) $7,800 Construction Observation (20%) $23,400 Total Fee $156,000 Unless otherwise agreed to, payments for services shall be made monthly in proportion to services performed. Payments are due and payable upon presentation of the Architect's invoice. Exclusions • The cost of sub -consultants necessary to complete this project not expressly included herein. Sub -consultants shall be engaged by and managed by LOC and shall be billed at a rate of 1.15 time the actual cost. • Presentation quality models of the project are at the architect's discretion unless specifically requested by the Owner as an Additional Service. • Reproduction or other project related expenses, which shall be billed at a rate of 1.15 time the actual cost. City Council 15 — 80 8/1/2023 DocuSign Envelope ID: 8B7C0318-7479-4B72-BDA1-6ADC2B2AFEAB W► State of California Natural Resources Agency General Fund Specified Grant AMENDMENT #1 TO GRANT AGREEMENT GF2107-0 GRANTEE NAME: City of Santa Ana PROJECT TITLE: City Santa Ana Zoo and Park Projects 6/23/2023 c.Q F' „" l 6/26/2023 This amendment is hereby made and agreed upon by the State of California, acting through the Natural Resources Agency and by the City of Santa Ana pursuant to the above identified program. The State and Grantee, in mutual consideration of the promises made herein and in the agreement, of which this is an amendment, agree to the following: Update Exhibit A-1 Cost Estimate In all other respects, the agreement and the terms and conditions if relevant thereto, shall remain in full force and effect. In witness whereof, the parties hereto have executed this amendment as of the date entered below. CITY OF SANTA ANA STATE OF CALIFORNIA NATURAL RESOURCES AGENCY By By III In n �(l Avg v Kristine Ridge Andrea° Sc a ffer Title City Manager Title Deputy Assistant Secretary 7/3/2023 Date 7/3/2023 Date CERTIFICATION OF FUNDING AMOUNT OF ESTIMATE AGREEMENT NUMBER FUND FUNDING $4,000,000.00 GF2107-0 0001— General Fund ADJ. INCREASING FI$Cal PO Number ENCUMBRANCE $ 1342 ADJ. DECREASING FUNCTION ENCUMBRANCE $ Local Assistance UNENCUMBERED BALANCE REF NUMBER FUND ENACTMENT YEAR ACCOUNT NUMBER ALT ACCOUNT $ 101 0001 2021 5432000 5432000000 PROGRAM PCBU PROJECT ACTIVITY RPTG SVCLOC AGENCY BUDGET STRUCTURE USE PERIOD 0320 0540 0540GF21070 21133 05400001 21133 2022 I e�rtify upQ mypersona� owledge that budgeted funds are available for this encumbrance 7/3/2023 SIGNATURE OF ACCOUNTING OFFICER DATE City Council 15-81 8/1 /2023 DocuSign Envelope ID: 8B7C0318-7479-4B72-BDA1-6ADC2B2AFEAB Exhibit A-1 -Revised Amendment 1 City of Santa Ana City of Santa Ana Zoo and Park Projects GF2107-0 Exhibit A-1 Cost Estimate - Revised Amendment 1 Project Elements Total Original General Fund Grant Cost Estimate Revision Revised General Fund Grant City of Santa Ana Funds 1. Zoo Project: Planning, Design & Permitting 1.1 Design Engineering (Planning) 150,125.00 115,125.001 234,995.001 350,120.001 35,000.00 Sub-total—F 150,125.00 1 115,125.00 1 234,995.001 350,120.001 35,000.00 2. Park Playground Project: Planning, Design & Permitting 2.1 Design Engineering (Planning) 194,895.00 1 115,125.001 88,965.001 204,090.001 79,770.00 Sub -total 1 194,895.00 1 115,125.001 88,965.001 204,090.001 79,770.00 Non -Construction Sub -total 1 345,020.00 1 230,250.001 323,960.001 554,210.001 114,770.00 3. Zoo Project: Construction 3.1 Contractor Costs 1,535,000.00 1,535,000.00 (119,870.00) 1,415,130.00 - 3.2 Construction Engineering Construction Management) 310,375.00 115,125.00 (115,125.00) - 195,250.00 3.3 Contingency 234,750.00 234,750.00 234,750.00 - Sub -total 2,080,125.00 1,884,875.00 (234,995.00) 1,649,880.001 195,250.00 4. Park Playground Project: Construction 4.1 Contractor Costs 1,535,000.00 1,535,000.00 260,910.00 1,795,910.00 - 4,2 Construction Engineering Construction Management) 175,605.00 115,125.00 (115,125.00) - 60,480.00 4.3 Contingency 324,750.00 234,750.00 234,750.00 - 90,000.00 Sub -total 2,035,355.00 T 1,884,875.00 (88,965.00) 1,795,910.001 150,480.00 Construction Sub -total 4,115,480.00 1 3,769,750.00 (323,960.00) 3,445,790.001 345,730.00 Grand Total $ 4,460,500.00 1 $ 4,000,000.00 1 $ - $ 4,000,000.00 1 $ 460,500.00 *Overhead costs are allowable and generally limited to 15% of total direct costs of the grant. In-service payroll may not include a "billable rate" or administrative cost allocation. **All invoices and receipts for all project expenditures from all funding sources will be retained and made available in the event of any future State Audits. City Council 15 — 82 8/1/2023 EXHIBIT 3 PROJECT TITLE: Santa Ana Zoo Educational Hub PROJECT CATEGORY: City & Park Facility Improvements Park Facility LOCATION MAP A N E 1 st St E 1 st St E Main 51 La Ronan CITY OF SANTA ANA FY 23/24CIP CAPITAL IMPROVEMENT PROJECT WORKSHEET PROJECT DESCRIPTION: The project goal is a building including a flex space, classroom(s), and hub for community volunteers and education staff. The classrooms are flexible in design and layout to maximize their use potential throughout the day and year. The facility would use environmentally sustainable materials in its construction. PROJECT NEED: This facility serves as a reception area for school children coming to the zoo and is directly adjacent to the existing outdoor amphitheater. Different sides of the building will open out to the general zoo area, the amphitheater, or staff and service areas. PROJECT COSTS FY 23/24 FY 24/25 FY 25/26 FY 26/27 FY 27/28 FY 28/29 FY 29/30 Construction 1,614,880 - - - - - - Contingency 35,000 Engineering 230,250 Planning 350,120 TOTAL 2,230,250 SOURCE OF FUNDS FY 23124 FY 24125 FY 25126 FY 26127 FY 27128 FY 28129 FY 29130 A & D District 3 230,250 - - - - - - CA RESOURCES AGENCY 2,000,000 GRANT TOTAL 2,230,250 - - - AGENCY: DIVISION: CONTACT: DATE: Public Works Agency CIP Engineering Gilbert Castillo, Senior Engineer 01-Aug-2023 City Council 15 — 83 8/1/2023 Human Resources www.santa-ana.org/departments/human-resources/ Item # 16 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: Approve Amendment to the Agreement with Govern mentjobs.com dba NEOGOV for Online Recruitment Services AGENDA TITLE: Approve Amendment to Agreement A-2021-090 with Govern mentjobs.com dba NEOGOV to continue Recruitment and Onboarding Services (General Fund) RECOMMENDED ACTION Authorize the City Manager to execute a First Amendment to Agreement A-2021-090 with NEOGOV to continue the services of Insight platform, Candidate Text Messaging, and eSkill Integration for a period of July 1, 2023 through June 30, 2024 with the option of one, one (1)-year renewal, for an additional amount of $50,000 over the two years (approximately $25,000 each year), subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION Staff recommends adopting an Amendment to the current Agreement with NEOGOV, the City's vendor for applicant tracking, onboarding, and performance management services. The Amendment would expand Agreement A-2021-090 to include applicant tracking for the remaining term of the agreement, FY 2023-2024, and an option to renew for FY 2024-2025. This platform allows employees to transition from applicant to employee, complete required new hire forms online, and to provide employees information on benefit enrollment. It also helps staff with workflow processes and efficiency. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The Amendment is for a one-year period from July 1, 2023 to June 30, 2024 with the option for one, one (1)-year renewal and an amount not to exceed $50,000 over the two years (approximately $25,000 each year). This will bring the total agreement amount to $152,452.28 (inclusive of the two above -referenced terms). $75,000 has been budgeted in the Human Resources Contract Services — Professional account (01109050-62300) City Council 16 — 1 8/1/2023 Approve Amendment to Agreement with Govern mentjobs.com Inc. dba NEOGOV August 1, 2023 Page 2 and the second year, if exercised, will be budgeted out of that account as well subject to City Council approval. EXHIBIT(S) 1. Amendment to Agreement A-2021-090 Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director of Finance and Manager Services Submitted By: Jason Motsick, Executive Director of Human Resources Approved By: Kristine Ridge, City Manager City Council 16 — 2 8/1/2023 FIRST AMENDMENT TO AGREEMENT WITH GOVERNMENTJOBS.COM DBA NEOGOV FOR RECRUITMENT AND ONBOARDING SERVICES THIS FIRST AMENDMENT to the above -referenced agreement is entered into on August 1, 2023, by and between GovernmentJobs.com, Inc., a California corporation dba NEOGOV ("NEOGOV"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. The parties entered into Agreement No. A-2021-090 ("Agreement") dated June 17, 2021, to retain a qualified contractor to provide recruitment and onboarding services for the City's Human Resources Department. B. The parties executed the first of two (2) one- (1) year extensions on June 26, 2023. C. The Agreement is in full force and effect through June 30, 2024. D. The parties now wish to amend the Agreement to expand the scope and increase compensation. The Parties therefore agree: 1. Section B, G e n e r a I T e r m s S u m m a r y, is hereby amended to include: 7. NEOGOV will continue the services of Insight platform, Candidate Text Messaging and eSkill integration, as further detailed in Exhibit A-1, attached hereto and incorporated by reference, for the remaining term of the Agreement, FY2023-24, and an option to renew for FY 2024-25. This Agreement contemplates payment for services invoiced beginning July 1, 2023. 8. City agrees to pay, and NEOGOV agrees to accept as total payment for its services under this Agreement, the rates and charges identified in Exhibit A-1. The total amount to be expended during the term of this Agreement, including any renewal periods, shall not exceed One Hundred Fifty -Two Thousand, Four Hundred Fifty -Two Dollars and Twenty - Eight Cents ($152,452.28). 2. Except as modified by this First Amendment, all terms and conditions of the Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to the Agreement on the date and year first written above. Jennifer L. Hall City Clerk Kristine Ridge City Manager [signatures continued on next page] Page 1 of 2 City Council 16 — 3 8/1/2023 APPROVED AS TO FORM SONIA R. CARVALHO, City Attorney By: Bryn Sa[vatierra Deputy City Attorney RECOMMENDED FOR APPROVAL Jason otsick Ex utive Director Human Resources NEOGOV Name: Michael Burns, Title: Accounting Director Page 2 of 2 City Council 16 — 4 8/1/2023 EXHIBIT A-1 City Council 16 — 5 8/1/2023 N EOGOV Invoice #INV-28171 From Invoice Summary Governmentjobs.com, Inc. DBA NEOGOV Invoice Number INV-28173 2120 Park PI, Suite 100 Date 06/Ol/2023 El Segundo, CA 90245 Terms Net 30 Bill To Due Date 07/01/2023 Santa Ana, City of (CA) Amount Due (USD) $ 73,087.35 Purchasing, M-16 PO Box 1988 Santa Ana, CA 92702-1988 USA Item / Description Onboard This is your subscription fee for Onboard for the term starting 07/01/2023 and ending 06/30/2024. Candidate Text Messaging This is your subscription fee for Candidate Text Messaging for the term starting 07/01/2023 and ending 06/30/2024. eSkill Integration This is your subscription fee for eSkill Integration for the term starting 07/01/2023 and ending 06/30/2024. Insight This is your subscription fee for Insight for the term starting 07/01/2023 and ending 06130/2024. Position Control Integration This is your subscription fee for Position Control Integration for the term starting 07/01/2023 and ending 06/30/2024. Employee Import into PE/ON (SFTP) This is your subscription fee for Employee Import into PEON (SFTP) for the term starting 07/01/2023 and ending 06/30/2024. Perform This is your subscription fee for Perform for the term starting 07/01/2023 and ending 06130/2024. Amount Due (USD) Thank you for your business! Total 17,010.69 1,349.80 1,736.44 20,024.39 1,575.00 1,575.00 29,816.03 $ 73,087.35 For questions, or pay by credit card, please reply to this email or reach out to billing@neogov.com. For questions on a renewals invoice, please reach out to renewals@neogov.com. Please make checks payable to; Governmentjobs.com, Inc DEPT LA 25067 Pasadena, CA 91185-5067 City Council 16 — 6 8/1/2023 For Payments by Wire: Silicon Valley Bank Account #: 3302022848 Account Name: Govern mentjobs.com, Inc. Bank Routing No.: 121140399 Swift Code: SVBKUS6SIB0 For a copy of our W9, please click on "Download W9" above. Signature: Email: jmotsick@santa-ana.org City Council 16 — 7 8/1/2023 Human Resources Department https://www.santa-ana.org/human-resources Item # 17 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: Approve Changes to 2024 Employee Benefits TITLE Authorize the City to retain life, accidental death & dismemberment (AD&D), and long- term disability (LTD) insurance with The Standard Insurance Company, and approve Agreement with REACH Employee Assistance, Inc. for employee assistance program services effective January 1, 2024 through December 31, 2026. RECOMMENDED ACTION (1) Authorize the City to retain life, AD&D, and LTD disability group and voluntary life and AD&D insurances through The Standard Insurance Company, subject to annual competitive rate evaluation seeking the best service for the best price and non -substantive changes approved by the City Manager and City Attorney. (2) Authorize the City Manager to execute an Agreement with REACH Employee Assistance, Inc. ("REACH") to continue employee assistance program ("EAP") services effective January 1, 2024 through December 31, 2026, subject to annual competitive rate evaluation seeking the best service for the best price and non - substantive changes approved by the City Manager and City Attorney. DISCUSSION Along with competitive salaries, the City enhances employees' total compensation package with City -sponsored and voluntary benefit programs. Each year staff initiates an evaluation of the City's existing benefit plans in order to ensure that the City is receiving the best value as well as discover and evaluate other types of benefits that may be worth bringing into the City's benefit package. Keenan, the City's Benefits Broker, assisted in a market study to compare services to ensure that rates and coverages are competitive. City staff evaluated the options along with the employee demographics and needs and selected a mix of benefits for the next calendar year. The Standard has offered a proposal to maintain existing coverage obligations with an estimated 46.72% combined savings compared to the existing agreement, with fee reductions of 50.98% for group life, 25.00% for group AD&D, and 26.83% for LTD coverages, with a rate guarantee of three (3) years. The Standard will also provide a one-time implementation credit of up $15,000 to assist with transition communications City Council 17 — 1 8/1/2023 Approve Changes to 2024 Employee Benefits AUGUST 1, 2023 Page 2 and resources. Employee cost will remain the same to maintain existing coverages for voluntary life and AD&D coverages. The costs of the supplemental insurance benefits are born entirely by the employees who elect to participate in voluntary plans (as the City does not contribute monies toward additional voluntary coverage options). The Standard has an A (Excellent) rating. Providing an EAP contributes to decreased absenteeism, reduced accidents, fewer workers compensation claims, greater employee retention, fewer labor disputes, and significantly reduced medical costs arising from early identification and treatment of individual mental health and substance use issues. The City has contracted with REACH to provide EAP services, which include licensed and certified employee assistance professionals that provide short-term counseling, assessment, and referral services. The City provides this invaluable service to all full- and part-time employees and their families as a City -sponsored benefit. REACH has offered a proposal to maintain existing monthly cost of $1.85 per full-time and $1.25 per part-time employee with a rate guarantee of three (3) years. ENVIRONMENTAL IMPACT The consideration and approval of the proposed action do not constitute a project under the California Environmental Quality Act. FISCAL IMPACT Both vendors have guaranteed these rates for the next three (3) years. The current fiscal year funding is available in the FY 23-24 budget and future fiscal year funding will be included in the proposed budgets for City Council consideration. Fiscal Accounting Accounting Unit —Account Year Unit — Fund Description No. Description Amount Account No Agreement Term (January 1, 2024 through December 31, 2026) - Group Life Insurance, AD&D and LTD Coverage 2023- 08109053- Employee Group Employee Group Insurance- $ 105,500.00 24 64010 Insurance Insurance payment 2024- 08109053- Employee Group Employee Group Insurance- $ 211,000.00 25 64010 Insurance Insurance payment 2025- 08109053- Employee Group Employee Group Insurance- $ 211,000.00 26 64010 Insurance Insurance payment 2026- 08109053- Employee Group Employee Group Insurance- $ 105,500.00 27 64010 Insurance Insurance payment TOTAL $ 633,000.00 City Council 17 — 2 8/1/2023 Approve Changes to 2024 Employee Benefits AUGUST 1, 2023 Page 3 Fiscal Accounting Unit — Fund Description Accounting Unit —Account Amount Year Account No No. Description Agreement Term (January 1, 2024 through December 31, 2026) - EAP 2023- 08109053- Employee Group Employee Group Insurance- $ 13,000.00 24 64010 Insurance Insurance payment 2024- 08109053- Employee Group Employee Group Insurance- $ 26,000.00 25 64010 Insurance Insurance payment 2025- 08109053- Employee Group Employee Group Insurance- $ 26,000.00 26 64010 Insurance Insurance payment 2026- 08109053- Employee Group Employee Group Insurance- $ 13,000.00 27 64010 Insurance Insurance payment TOTAL $ 78,000.00 EXHIBIT(S) 1. Agreement with REACH Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director of Finance and Manager Services Submitted By: Jason R. Motsick, Executive Director of Human Resources Approved By: Kristine Ridge, City Manager City Council 17 — 3 8/1/2023 REACH EMPLOYEE ASSISTANCE PROGRAM SERVICES AGREEMENT This Employee Assistance Program Services Agreement is made and entered into as of 1st day of January, 2024, between REACH Employee Assistance, Inc. (hereinafter referred to as "REACH"), a California corporation, 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 (hereafter referred to as "City".) WHEREAS REACH is engaged in the Employee Assistance Program Services business and desires to service City; and WHEREAS City desires to obtain the Employee Assistance Program Services of REACH. IT IS THEREFORE AGREED AS FOLLOWS: This is a contract for service outlining the duties and responsibilities of REACH Employee Assistance, Inc., to the City of Santa Ana. 1. Scone of Services REACH will provide Assessment/Counseling/Referral for Employees and Dependents. A total assessment will be administered for a well-rounded analysis of the client's problem. Employees and immediate family members are entitled to up to three (3) sessions per incident every six (6) months. REACH provides professional assessment/counseling to the point of referring the client to an outside counseling professional or agency. In addition, REACH provides follow-up consultation. The number of sessions offered, within this limit, will be at the sole discretion of the REACH counseling staff. The City will be assigned a REACH liaison person. REACH provides quality, experienced counselors knowledgeable in assessment skills to provide personal counseling to employees and immediate family members. REACH also provides qualified and experienced staff to assist management on all aspects of Employee Assistance Program. Dr Marcus Dayhoff is administratively, operationally and clinically responsible for REACH. 2. Confidentiality and Release of Information As a general rule REACH shall not disclose to the City the identity of City employees or immediate family members of City employees who elect to participate in the REACH Program offered under this Agreement. In particular, any report consisting of any of the following information: 1) diagnosis; 2) summary of treatment of therapeutic procedures 3) disabilities, limitations of employee (except for whether the employee can perform the essential functions of the employee's job with the City); and 4) recommendations on further treatment shall be considered confidential information not subject to disclosure by REACH unless the City employee has on file with REACH and any treatment service provider in the REACH Program an irrevocable authorization(s), RELEASE OF INFORMATION to the City. On receipt of the City's request for the above information, REACH shall notify in writing, the City employee of the City's request. City Council 17 — 4 8/1/2023 Notwithstanding the above, REACH shall release to the City in writing the following information on employees who have been referred into the REACH Program as a condition of employment with the City: A) Whether employee has agreed to participate in the Assistance Program. B) List of all appointments of employee kept and missed, together with reason, if any, for missing the appointment. C) Submission of the employee's anticipated treatment plan as a participant in the Program. This plan shall consist of the following: 1) The anticipated number of visits, appointments, or sessions requested of the employee. 2) The type of therapeutic procedures in general terms that the employee is to receive during the employee's participation with the REACH Program or the treatment provider(s). 3) Description of the treatment service provider the employee is referred to by REACH. 4) Any other information not contained in the employee's treatment service provider medical record deemed appropriate by the City to evaluate the employee's participation in the Assistance Program. D) Any conclusion or opinion of REACH or employee's treatment service provider that the employee is limited or restricted in his/her ability to perform the employee's job duties, such limitation may be, but not necessary, limited to physical, psychological, or medical reasons. E) Any conclusion or opinion of REACH or employee's treatment service provider that employee's participation may necessitate employee's absence from the City. F) That employee has failed, refused, or otherwise has discontinued to proceed with the REACH Program or any treatment service provider. NOTE: The City agrees that in cases where an employee agrees to be referred by management to REACH, the Supervisor will seek written permission from the employee to inform REACH of the circumstances leading up to the referral. The City agrees to in no way insist or demand confidential information from the REACH program on specific individuals who do not want their information released to the City. Service Providers: Exceptions will also be made in cases when the employee and/or immediate family members sign a written release authorizing the release of information by REACH to one or more agreed upon service providers. City Council 2 17 — 5 8/1/2023 3. Definitions a. "Client" shall mean an employee or his/her immediate family member participating in the REACH EAP program. b. "Treatment Service Providers" or "Service Providers" shall mean an outside counseling professional or agency, referred by REACH, whose services will be paid by the client. 4. Counseling Hours REACH provides counseling hours from 8:00 a.m. to 8:00 p.m. Monday through Thursday, Friday 8:00 to 5:00 p.m. and will respond appropriately and effectively to employee needs. Every attempt will be made to see management referrals and employees in crisis as early as possible to the time of call and no later than 24 hours (during business hours) of the call being made. All other clients will be seen within 48 hours of the call being made. The City agrees to provide REACH with names and telephone numbers of liaison individual(s) at the City who can be contacted in cases of emergencies and keep REACH appraised of changes in contacts and telephone numbers. 5. 24-Hour Availability, 7 days a week REACH provides confidential intake and psycho -social assessment and counseling to the point of referral to employees and their immediate family members with a 24 hour telephone service. REACH assures that no calls go unanswered and that all crisis callers receive courteous and prompt service. During non -business hours, all calls answered by the REACH answering service will be connected to the on -call counselor. The REACHline number is 1-800-273-5273. 6. Location Employees and family members will have a choice of counseling either at one of our several conveniently located offices or at one of our service provider's office. 7. Referral Network When necessary, REACH will refer employees and dependents to appropriate, cost effective, geographically convenient and high quality services provided by individuals and agencies which have been screened by our staff. City Council 17 — 6 8/1/2023 8. Monitoring/Follow-up REACH will monitor and follow-up as long as appropriate all people referred by the REACH program to outside individuals and community resources to assure the problem is resolved and that the person is satisfied with the quality of referrals. In cases of management referrals, REACH will also follow-up regularly with the City on status of job performance. 9. Service Utilization Reports REACH will provide quarterly confidential reports on service utilization, aggregate client profiles, assessed problems and outcome at case closure. Customer satisfaction reports will be available upon request by the City. 10. Benefits The City agrees to provide REACH with copies of all the City employee benefit plans and appraise REACH of all changes as they occur. 11. Avoiding Conflict of Interest REACH agrees to avoid conflict of interest by providing up to three (3) referrals to clients based on competency, geography and the most cost effective modality to deal with the client's problem(s). No referrals will be made to the private practices of REACH counseling staff members or to any private practitioner and/or agency with whom a REACH counselor has an economic relationship. Only the City can make exceptions to this rule. 12. Alcoholism and Chemical Dependency Intervention Services REACH provides j ob related alcoholism and chemical dependency intervention services as required. 43. Policy and Procedure The City agrees to consider implementing a policy and procedure statement on employee assistance when appropriate. REACH will provide technical assistance to the City staff in writing a policy and procedure statement on employee assistance. 14. Training REACH will provide Management and Supervisory training sessions annually. It is recommended that no more than 25 managers/supervisors attend each session. The purpose of these training sessions is to make managers and supervisors aware of City employee assistance program policy and procedures, of how to identify poor job performance as it relates to personal problems 0 City Council 17 — 7 8/1/2023 and to familiarize them with the processes of referrals and follow-up. The effectiveness of each training session will be evaluated. 15. Management Guidelines REACH supplies on request Management and Supervisor Employee Assistance Program guidelines for inclusion in City personnel management guidelines. 16. Manager/Supervisor Consultation and Assistance REACH will assist managers and supervisors calling REACHline for consultation on how to deal with specific employee incidents or problems, which may require EAP intervention. The City agrees to encourage managers and supervisors to take advantage of this consultation service. 17. Program Promotion The City agrees to support REACH in developing a yearly EAP program promotion plan. a. EAP orientation classes for employees in groups of up to 50 will be available to the City as a means of introducing City EAP policy and procedures and utilization of REACH services. b. "Munch & Learn" presentations will be conducted periodically upon request by the City, at City locations to maximize utilization of REACH services. C. REACH brochure & REACHline cards will be supplied to the City for distribution to all employees. d. REACH Frontline will be electronically supplied to the City quarterly for distribution to all supervisors. e. REACHline.com will be available for online use to all employees and family members. Employees will be supplied a password as mentioned on REACH employee brochure for online secure area access. f. REACHline Posters will be supplied from time to time to the City for posting on official staff bulletin boards. g. Originals of promotional materials for inclusion as short articles in internal staff newsletter or as check stuffers will be supplied upon request by the City. h. REACH staff will participate at the City's employee benefit fair upon request. City Council 17 — 8 8/1/2023 i. REACH will assist with drafting of any EAP related materials to announce REACH services to employees. 18. Oual REACH conducts on -going quality assurance audits on all aspects of the program from inception to end of the contract year. REACH will supply the City with quarterly reports. 19. City's Understanding a. Top management support and commitment is essential to the success of the REACH Employee Assistance Program at the City of Santa Ana. b. REACH is a totally confidential program. The City will only be aware of employees referred officially by management and information about that employee will not be released without written consent of the employee. C. REACH will not, in all cases, be able to resolve the employee's or dependent's problem(s) in the set number of counseling sessions. In such cases the employee or family member will be referred to quality, cost effective resources available within the community. d. Employees and dependents will not be charged for the services provided by REACH. If referrals are necessary, those referrals may result in additional cost to the City's benefit plan and may result in added costs to the employee or family member. e. The REACH program is made available to all full- and part-time employees and their dependents. The REACH benefit starts on the first day of employment. f. It is anticipated that the yearly employee utilization rate will be a minimum of 6-8%. The REACH promotional program will aim at achieving at least this utilization rate. III. TERMS AND CONDITIONS 1. The Agreement period will be from January 1, 2024 to December 31, 2026. 2. The total cost to the City for the services to be provided to the City and its employees by REACH under this Agreement shall be $1.85 per full time employee per month, and $1.25 per part time employee per month. While the number of persons employed by the City may fluctuate from time to time during the term of this Agreement, the City agrees the amount of compensation payable to REACH during the term of the Agreement shall be based on the number of persons employed by the City at the beginning of the month invoiced for. 6 City Council 17 — 9 8/1/2023 3. The City will be invoiced on the first of each month for that month's installment. Checks will be made payable to REACH Employee Assistance, Inc. and mailed to 650 N. Rose Drive, #350, Placentia, CA 92870 - Attn.: Accounts Receivable. 4. The City will make payment within 30 days from the date of the receipt of the invoice from REACH Employee Assistance, Inc. 5. REACH Employee Assistance, Inc. agrees to indemnify, defend, and hold harmless the City, its officers, employees, agents and representatives, from any and all claims, demands, purported liability, or consequential damages of any kind or nature arising out of or in connection with REACH's acts or omissions in carrying out the terms of this Agreement or exercising the rights herein granted; excepting those claims, demands, purported liability, or consequential damages which arise out of the sole negligence of City. 6. REACH agrees to maintain during the course of this Agreement the following insurance coverage: a. Comprehensive general liability insurance coverage, including personal injury and contractual liability coverage, in an amount equal to One Million Dollars ($1,000,000.00) per occurrence, combined single limit; b. Worker's Compensation insurance as required by State of California statutes; C. Professional liability insurance with a One Million Dollar ($1,000,000.00) limit, per occurrence. REACH agrees to keep such policy in force and effect for at least five (5) years from the date of completion of this Agreement. Also, the City of Santa Ana, its officers, agents and employees will be named as additional insured on the above referred comprehensive general liability coverage and REACH will provide an endorsement to that effect. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. Such insurance will be evidenced by certificate and issued by companies licensed to do business in California and acceptable to the City. Before REACH performs any work, it will furnish certificates of insurance and endorsements, as required by City, evidencing the aforementioned general liability, and professional liability insurance coverages on forms acceptable to the City which shall provide that the insurance in force not be canceled or modified without 30 days prior written notice to the City. In the absence of satisfactory insurance coverage, City may, at its option: (a) procure insurance with collection rights for premiums, attorney's fees and costs against REACH by way of set-off or recoupment from the sums due REACH, at City's option; (b) immediately terminate this Agreement; or (c) self insure the risk, with all damages and costs incurred, by judgment, 7 City Council 17 — 10 8/1/2023 settlement or otherwise, including attorney's fees and costs, being collectible from REACH, by way of set-off or recoupment from any sums due REACH. 7. No Assignment REACH shall not assign or transfer this Agreement or any rights hereunder without the prior written consent of the City and approval by the City's City Attorney, which may be withheld in the City's sole discretion. Any unauthorized assigned or transfer shall be null and void and shall constitute a material breach by REACH of its obligations under this Agreement. No assignment shall release the original parties or otherwise constitute a notation. 8. Compliance With All Laws REACH shall comply with all Federal, State, County and City laws, ordinances, rules and regulations, which are, as amended from time to time, incorporated herein and applicable to the performance hereof. 9. Attorney's Fees If any action at law or in equity is brought to enforce or interpret the terms of this Agreement, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to the relief to which such party may be entitled. 10. Interpretation a. Applicable Law and Choice of Forum. This Agreement, and the rights and duties of the parties hereunder (both procedural and substantive), shall be governed by and construed according to the laws of the State of California, with venue regarding any claims or controversial arising out of or related to performance under this Agreement in Orange County. b. Entire Agreement. This Agreement, including any exhibits attached hereto, constitutes the entire agreement and understanding between the parties regarding its subject matter and supersedes all prior or contemporaneous negotiations, representations, understandings, correspondence, documentation and agreements (written or oral). To the extent there is any conflict or inconsistency between the terms and provisions of this Agreement and the exhibits attached hereto, the terms and provisions of this Agreement shall govern the rights and obligations the parties hereto. C. Written Amendment, This Agreement may only be changed by written amendment signed by REACH and the City Manager of the City or other authorized representative of the City, subject to any requisite authorization by the City Council. Any oral representations or modifications concerning this Agreement shall be of no force or effect. City Council 17 —11 8/1/2023 d. Severability. If any provisions of this Agreement is held by any court of competent jurisdiction to be invalid, illegal, void, or unenforceable, such portion shall be deemed severed from this Agreement, and the remaining provisions shall nevertheless continue in full force and effect as fully as though such invalid, illegal, or unenforceable portion had never been part of this Agreement. e. Order of Precedence. In case of conflict between the terms of this Agreement and the terms contained in any document attached as an exhibit or otherwise incorporated by reference, the terms of this Agreement shall strictly prevail. 11. Time is of The Essence Time is strictly of the essence of this Agreement and each and every covenant, term and provision hereof. 12. Authority of REACH REACH hereby represents and warrants to the City that REACH has the right, power, legal capacity and authority to enter into and perform its obligations under this Agreement, and its execution of this Agreement has been duly authorized. 13. Notices Any notice or demand to be given by one party to the other shall be given in writing and by personal delivery or prepaid first-class, registered or certified mail, addressed as follows. Notice simply to the City of Santa Ana or any other City department is not adequate notice. To City: City Clerk City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax 714- 647-6956 Copies to: Executive Director of Human Resources City of Santa Ana 20 Civic Center Plaza (M-24) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647-6930 7 City Council 17 — 12 8/1/2023 City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647-6515 If to REACH: REACH Employee Assistance, Inc. 101 East Lincoln Avenue, Suite 230 Anaheim, CA 92805 Attn.: Dr. Marcus Dayhoff Fax: 714-533-5700 Any such notice shall be deemed to have been given upon delivery, if personally delivered, or, if mailed, upon receipt or upon expiration of three (3) business days from the date of posting, whichever is earlier. Either party may change the address at which it desires to receive notice upon giving written notice of such request to the other party. 14. Termination Without Cause The City or REACH may terminate this Agreement in whole or in part at any time, for any cause or without cause, upon sixty (60) calendar days' written notice to the other. If the Agreement is thus terminated by the City for reasons other than REACH's failure to perform its obligations, the City shall pay REACH a prorated amount based on the services satisfactorily completed and accepted prior to the effective date of termination. Such payment shall be REACH's exclusive remedy for termination without cause. 15. Default In the event either party materially defaults in its obligations hereunder, the other party may declare a default and terminate this Agreement by written notice to the defaulting party. The notice shall specify the basis for the effective date of termination stated in such notice, which date shall be no sooner than ten (10) days after the date of the notice. Termination for cause shall relieve the terminating party of further liability or responsibility under this Agreement, including the payment of money, except for payment of services satisfactorily and timely performed prior to the service of the notice of termination, and except for reimbursement of (1) any payments made by the City for service not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by the City in obtaining substitute performance. 16. Equal Employment Opportunity During the performance of this Agreement, REACH agrees as follows: 10 City Council 17 — 13 8/1/2023 a. REACH shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, national origin or mental or physical disability, or any other protected category prohibited by state or federal law. REACH will ensure that applicants are employed and that employees are treated during employment, without regard to race, color, religion, sex, national origin or mental or physical disability. Such actions shall include, but not 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 training, including apprenticeship. REACH agrees to post in conspicuous places, available to all employees and applicants for employment, a notice setting forth provisions of this non- discrimination clause. b. REACH shall, in all solicitations and advertisements for employees placed by, or on behalf of REACH, state that all qualified applicants will receive consideration for employment without regard to race, age, color, religion, sex, national origin, or mental or physical disability. c. REACH shall cause the foregoing paragraphs (a) and (b) to be inserted in all subcontracts for any work covered by this Agreement, provided that the foregoing provisions shall not apply to subcontracts for standard commercial supplies or raw materials. 19. Conflict of Interest REACH hereby represents, warrants and certifies that no member, officer or employee of REACH is a director, officer or employee of the City, or a member of any of its boards, commissions or committees, except to the extent permitted by law. (Signatures on Following Page) 11 City Council 17 — 14 8/1/2023 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: JENNIFER HALL City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: f CW, A.2."M. Laura A. Rossini Chief Assistant City Attorney RECOMMENDED FOR APPROVAL: Jason Motsick JASON MOTSICK Executive Director Human Resources Signature: /-/-- Email: jmotsick@santa-ana.org 12 CITY OF SANTA ANA KRISTINE RIDGE City Manager REACH Employee Assistance, Inc. By: Marcus Dayhoff CEO & Clinical Director City Council 17 — 15 8/1/2023 Human Resources www.santa-ana.org/human-resources Item # 18 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: ICRMA JPA Renewal / Broker Agreement / Associated Premiums and Costs AGENDA TITLE Approve Renewal of Joint Powers Authority Agreement between the City of Santa Ana and Independent Cities Risk Management Authority (ICRMA), and Agreement between the City of Santa Ana and Arthur J. Gallagher and Approve Appropriation, Associated Insurance Premiums, Costs, Programs, and Regulatory Fees for an Amount Not to Exceed $11,625,000 (Non -General Fund) RECOMMENDED ACTION 1. Authorize the City Manager to approve the Agreement between the City of Santa Ana ("City") and Arthur J. Gallagher, broker of record, from July 1, 2023 to June 30, 2024, for insurance brokerage services, subject to non -substantive changes approved by the City Manager and City Attorney. 2. Authorize the City Manager to approve payment of insurance premiums and associated programs to ICRMA in an amount not to exceed $7,500,000 protection of City assets, from July 1, 2023 to June 30, 2024 including but not limited to: a. Excess Liability Program b. Excess Workers' Compensation Program c. Auto Physical Damage Program d. Property and Equipment Program e. Crime Program f. Cyber Program g. Associated Programs 3. Authorize the City Manager to approve payment of insurance premiums to Arthur J. Gallagher, Broker, in an amount not to exceed $3,325,000 for ancillary coverages of City's assets, from July 1, 2023 to June 30, 2024 including but not limited to: a. General Liability Buffer Program b. Workers' Compensation Buffer Program c. Earth Movement & Flood and Difference in Coverage Program d. Terrorism Insurance Program e. Underground Storage Tank and Environmental Program City Council 18 — 1 8/1/2023 ICRMA JPA Renewal / Broker Agreement / Associated Premiums and Costs August 1, 2023 Page 2 4. Authorize the City Manager to approve funding to cover FY 2023/24 City Special Events Insurance for events including but not limited to Fourth of July fireworks show, winter events, and other City -sponsored events as created and held, in an amount not to exceed $300,000. 5. Authorize the City Manager to approve the City's obligation to pay the State of California DIR estimated assessment in the amount not to exceed $500,000. 6. Approval of the Appropriation Adjustment will recognize $1,300,000 in Liability and Property Insurance Revenue, Prior Year Carryforward revenue account (No. 08009002-50001) and appropriate the same amount into the Liability & Property insurance account (No. 08009051-64010). (Requires five affirmative votes) DISCUSSION Staff is recommending renewal with ICRMA, a joint powers authority formed in 1980 in accordance with California Government Code Section 6500. ICRMA's purpose is to provide: 1) excess and re -insurance to protect members from extensive financial debt due to large claims, settlements, and judgments, 2) group insurance purchasing power that can offer broader coverage at a lower cost, 3) rate stability, and 4) protect individual member cities through pooling of losses and self-insurance. ICRMA also offers to its members actuarial services, appraisal services, loss control assessments and recommendations, safety trainings, claims audits, contract risk transfer consultation, and other services and resources. Currently comprised of 14 California cities, Santa Ana joined ICRMA in July 2019. For this renewal period: • The City's Workers' Compensation coverage experienced an increase of approximately thirteen percent (13%). • The City's Liability and Property premiums increased approximately twenty-one percent (21 %). • The City's Cyber experienced a 10% decrease in premium along with enhanced coverages. Cost of insurance continues to increase primarily due to the following ongoing reasons: 1. An insurance market with continually decreasing excess carriers willing to quote municipal government entities in California, primarily those with Police departments; 2. A continuing rise in jury awards and settlement amounts; 3. A rising amount of ADA claims in both cyber and physical environments; 4. The continual rise in frequency of vehicle collisions and costs for repair and replacement of damaged vehicles, property, and equipment; 5. Aging City infrastructure including sidewalks, streets, and buildings; and 6. Increasing instances of sexual molestation and abuse. City Council 18 — 2 8/1/2023 ICRMA JPA Renewal / Broker Agreement / Associated Premiums and Costs August 1, 2023 Page 3 QUOTED & ESTIMATED PREMIUMS & FEES WORKERS' COMPENSATION COVERAGES FY 2021/22 FY 2022/23 FY 2023/24 Excess Pool Workers' Compensation Program $ 298,553 $ 345,678 $ 415,464 Excess Workers' Compensation Buffer $ 240,118 $ 257,356 $ 264,085 Total $ 538,671 $ 603,034 $ 679,549 Percent Change -7% 12% 13% LIABILITY AND PROPERTY COVERAGES FY 2021/22 FY 2022/23 FY 2023/24 Excess Pool Liability Program $ 3,936,181 $ 5,123,142 $ 6,070,925 Auto Physical Damage Program $ 119,215 $ 129,488 $ 145,108 Property & Equipment Program $ 472,724 $ 485,380 $ 593,557 Crime Program $ 11,914 $ 14,233 $ 15,394 Cyber Program $ 66,441 $ 111,964 $ 100,445 Excess Liability Buffer $ 993,265 $ 1,233,321 $ 1,743,398 DIC Earth Movement & Flood $ 985,856 $ 1,126,819 $ 1,283,147 Terrorism $ 12,330 $ 13,164 $ 13,723 Underground Storage Tanks - Environmental $ 10,157 $ 11,112 $ 12,761 Total $ 6,608,083 $ 8,248,623 $ 9,978,458 Percent Change 69% 25% 21 % FY 2021/22 FY 2022/23 FY 2023/24 City Special Events Insurance $ 300,000 State of California DIR $ 500,000 Total $ 11,458,007 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The recommended action includes appropriating $1.3 million of the General Liability fund balance. The following table compares the most recent actuarial valuation for claims liability to the estimated fund balances in the Workers Compensation and General Liability funds. Actuarial estimates of the liability are more than the City has on deposit. City Council 18 - 3 8/1/2023 ICRMA JPA Renewal / Broker Agreement / Associated Premiums and Costs August 1, 2023 Page 4 Workers Compensation General Liability Actuarial Valuation as of June 30, 2023 $44,631,000 $26,456,000 Estimated fund balance as of June 30, 2023 $16,739,939 $14,190,056 Estimated Shortfall $27,891,061 $12,265,944 After appropriation adjustment, the following table summarizes the funds budgeted and available for estimated premium and administrative costs. Fiscal Accounting Unit Fund Accounting Unit — Year — Account No Description Account No. Amount Description Workers Workers $ 1,300,000 2023-24 08209054-64010 Compensation Compensation, Insurance Payment Liability & Liability & Property $ 9,036,300 2023-24 08009051-64010 Property Insurance, Insurance Insurance Payment APPROPRIATION ADJUSTMENT 2023-24 08009051-64010 Liability & Liability & Property $ 1,300,000 Property Insurance, Insurance Insurance Payment Total: $ 11,636,300 EXHIBIT(S) 1. Agreement with Arthur J. Gallagher Insurance Brokers of California, Inc. For Insurance Broker Services, Client Service Agreement Submitted By: Jason Motsick, Executive Director Human Resources Approved By: Kristine Ridge, City Manager City Council 18 — 4 8/1/2023 AGREEMENT FOR CONSULTANT SERVICES BETWEEN CITY OF SANTA ANA AND ARTHUR J. GALLAGHER RISK MANAGEMENT SERVICES LLC INSURANCE BROKER SERVICES THIS AGREEMENT is made and effective as of August 1, 2023 between the City of Santa Ana, a municipal corporation (hereinafter referred to as "City"), and Arthur J. Gallagher Risk Management Services LLC, a Delaware limited liability company (hereinafter referred to as "Consultant"). City and Consultant are also referred to collectively as "the Parties" or singularly as a "Party." In consideration of the mutual covenants and conditions set forth herein, the Parties agree as follows: 1. TERM This Agreement shall commence on August 1, 2023, and shall remain and continue in effect until tasks described herein are completed, but in no event later than August 31, 2026 unless sooner terminated pursuant to the provisions of this Agreement. The Parties acknowledge that Consultant has been providing services since July 1, 2023. This Agreement can be canceled by either Party with thirty (30) days written notice to the other Party. 2. SERVICES Consultant shall perform insurance brokerage services for the placement of the City of Santa Ana's insurance programs as outlined in Exhibit A. 3. PERFORMANCE Consultant shall at all times faithfully, competently and to the best of his or her ability, experience, and talent, perform all tasks described herein. Consultant shall employ, at a minimum, generally accepted standards and practices utilized by persons engaged in providing similar services as are required of Consultant hereunder in meeting its obligations under this Agreement. 4. PAYMENT a. The City agrees to pay Consultant for insurance premiums invoiced for insurance placements. b. Consultant will submit invoices for insurance premiums. Invoices shall be submitted once insurance coverage is bound. Payment shall be made within thirty (30) days of receipt of each invoice as to all non -disputed fees. If the City disputes any of Consultant's fees, it shall give written notice to Consultant within thirty (30) days of receipt of an invoice of any disputed fees set forth on the invoice. 5. LEGAL RESPONSIBILITIES The Consultant shall keep itself informed of all local, State and Federal ordinances, laws and regulations which in any manner affect those employed by it or in any way affect the performance of its service pursuant to this Agreement. The Consultant shall at all times observe and comply with all such ordinances, laws and regulations. The City, and its officers City Council 18 — 5 8/1/2023 and employees, shall not be liable at law or in equity occasioned by failure of the Consultant to comply with this section. 6. RELEASE OF INFORMATION a. All information gained by Consultant in performance of this Agreement shall be considered confidential and shall not be released by Consultant without City's prior written authorization. Consultant, its officers, employees, agents or subcontractors, shall not without written authorization from Risk Management Department or unless requested by the City Attorney, voluntarily provide declarations, letters of support, testimony at depositions, response to interrogatories or other information concerning the work performed under this Agreement or relating to any project or property located within the City. Response to a subpoena or court order shall not be considered "voluntary" provided Consultant gives City notice of such court order or subpoena. b. Consultant shall promptly notify City should Consultant, its officers, employees, agents or subcontractors be served with any summons, complaint, subpoena, notice of deposition, request for documents, interrogatories, request for admissions or other discovery request, court order or subpoena from any party regarding this Agreement and the work performed there under or with respect to any project or property located within the City. City retains the right, but has no obligation, to represent Consultant and/or be present at any deposition, hearing or similar proceeding. Consultant agrees to cooperate fully with City and to provide City with the opportunity to review any response to discovery requests provided by Consultant. However, City's right to review any such response does not imply or mean the right by City to control, direct, or rewrite said response. 7. NOTICES Any notices which either party may desire to give to the other party under this Agreement must be in writing and may be given either by (i) personal service, (ii) delivery by a reputable document delivery service, such as but not limited to, Federal Express, that provides a receipt showing date and time of delivery, or (iii) mailing in the United States Mail, certified mail, postage prepaid, return receipt requested, addressed to the address of the party as set forth below or at any other address as that party may later designate by Notice. Notice shall be effective upon delivery to the addresses specified below or on the third business day following deposit with the document delivery service or United States Mail as provided above. Mailing Address: City of Santa Ana 20 Civic Center Plaza, M-28 Risk Management, 4th Floor Santa Ana, CA 92701 AND City Clerk City of Santa Ana 20 Civic Center Plaza, M-30 Santa Ana, CA 92702 To Consultant: Arthur J. Gallagher & Co., Insurance Brokers of California., Inc. Susan J. Blankenburg San Francisco, CA 94111 415-536-8417 Susan Blankenburg(a)-aig.com City Council 18 — 6 8/1/2023 8. ASSIGNMENT The Consultant shall not assign the performance of this Agreement, nor any part thereof, nor any monies due hereunder, without prior written consent of the City. Upon termination of this Agreement, Consultant's sole compensation shall be payment for actual services performed up to, and including, the date of termination or as may be otherwise agreed to in writing between the City Council and the Consultant. 9. LICENSES At all times during the term of this Agreement, Consultant shall have in full force and effect, all licenses required of it by law for the performance of the services described in this Agreement. 10. GOVERNING LAW The City and Consultant understand and agree that the laws of the State of California shall govern the rights, obligations, duties and liabilities of the parties to this Agreement and also govern the interpretation of this Agreement. Any litigation concerning this Agreement shall take place in the municipal, superior, or federal district court with geographic jurisdiction over the City of Santa Ana. In the event such litigation is filed by one party against the other to enforce its rights under this Agreement, the prevailing party, as determined by the Court's judgment, shall be entitled to reasonable attorney fees and litigation expenses for the relief granted. 11. ENTIRE AGREEMENT This Agreement contains the entire understanding between the parties relating to the obligations of the parties described in this Agreement. All prior or contemporaneous agreements, understandings, representations and statements, oral or written, are merged into this Agreement and shall be of no further force or effect. Each party is entering into this Agreement based solely upon the representations set forth herein and upon each party's own independent investigation of any and all facts such party deems material. 12. AUTHORITY TO EXECUTE THIS AGREEMENT The person or persons executing this Agreement on behalf of Consultant warrants and represents that he or she has the authority to execute this Agreement on behalf of the Consultant and has the authority to bind Consultant to the performance of its obligations hereunder. The Risk Management Department is authorized to enter into an amendment on behalf of the City to make the following non -substantive modifications to the agreement: (a) name changes; (b) extension of time; (c) non -monetary changes in scope of work; (d) agreement termination. City Council 18 — 7 8/1/2023 IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed the day and year first above written. CITY OF SANTA ANA Al Kristine Ridge City Manager ATTEST: is Jennifer Hall City Clerk APPROVED AS TO FORM: Sonia R. Carvalho City Attorney nn By: Laura A. Rossini Chief Assistant City Attorney Arthur J. Gallagher & Co. Michael Gallagher, Area President CONSULTANT Arthur J. Gallagher & Co. Susan J. Blankenburg 1255 Battery Street, Suite 456 San Francisco, CA 94111 (415) 536-8417 Susan Blankenburg(a-)ajg.com PM Initials: --7 Date: City Council 18 — 8 8/1/2023 CLIENT SERVICE AGREEMENT EXHIBIT A The following outlines Services provided by Gallagher over the term of this Agreement: • Use its best efforts to secure the following lines of insurance coverage on Client's behalf: o List of Insurance Placements: ■ Underground Storage Tanks ■ Excess Liability (Buffer) ■ Excess Workers' Compensation (Buffer) ■ Terrorism ■ Difference in Conditions (Earth Movement & Flood) • Work with Client to prepare comprehensive underwriting data and criteria for insurance carrier negotiations. • Formally present coverage submissions to agreed upon insurance carrier(s) and negotiate terms on behalf of Client. • Summarize the results of executing the marketing strategy developed with Client and communicate program recommendations. • Provide consultation to Client on exposures, existing coverage, and the desirability and/ or feasibility of potential program changes, retention and data analysis as recommended by Gallagher. • Request change endorsements, when requested by the Client or when otherwise necessary, ensuring accuracy and delivery in a timely manner. • Administration of insurance program (only if applicable), including policy review and issuance, invoicing, coordination and/ or issuance of required documentation, i.e., certificates of insurance, and other program administration, as required by the Client. • Review accounting and billing data; audit information from insurance carriers to ensure accuracy. • Other Services: o Risk Control Services o Loss control consultation and claim advocacy o Certificate Tracking City Council 18 — 9 8/1/2023 Police Department www.santa-ana.org/police Item # 19 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: FY 2022 Department of Justice Office on Violence Against Women Grant Funds AGENDA TITLE Appropriation Adjustment and Memorandum of Understanding Accepting Fiscal Year (FY) 2022 Improving Criminal Justice Response to Domestic Violence, Dating Violence, Sexual Assault, and Stalking Grant Program Funds RECOMMENDED ACTION 1. Approve an appropriation adjustment recognizing $210,000 in grant revenue from the U.S. Department of Justice Grants and appropriate same to the Office on Violence Against Women Improving Criminal Justice Response expenditure account (Requires five affirmative votes). 2. Authorize the City Manager to execute a Memorandum of Understanding with Human Options, Inc. accepting the FY 2022 Improving Criminal Justice Response to Domestic Violence, Dating Violence, Sexual Assault, and Stalking Grant in the amount of $210,000, for the period of October 1, 2022 through September 30, 2025, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The United States Department of Justice Office on Violence Against Women solicited grant applications for the FY 2022 Improving Criminal Justice Response to Domestic Violence, Dating Violence, Sexual Assault, and Stalking grant program, which implements certain provisions of the Federal Violence Against Women Act. The program enhances victim safety and offender accountability in cases of sexual assault, domestic violence, dating violence, and stalking by encouraging jurisdictions to implement pro -arrest policies as an effective intervention that is part of a coordinated community response. An integral component of the Improving Criminal Justice Responses program is the creation and enhancement of collaborative partnerships between criminal justice agencies, victim services providers, and community organizations which respond to sexual assault, domestic violence, dating violence, and stalking. In April 2022, Human Options, in collaboration with the Santa Ana Police Department, City Council 19 — 1 8/1/2023 FY 2022 Department of Justice Office on Violence Against Women Grant Funds August 1, 2023 Page 2 submitted a grant application to the United States Department of Justice Office on Violence Against Women and was later awarded $500,000 for the period performance of October 1, 2022 through September 30, 2025. Human Options is the lead agency for this program and the Santa Ana Police Department is the criminal justice agency partner that will investigate domestic violence cases. The Santa Ana Police Department was awarded $210,000 for its partnership efforts. In partnership with Human Options, the Santa Ana Police Department will use this award to assist with the implementation of the Collaborative's project, specifically, by providing funds for police officer overtime and training. Special Crimes/Domestic Violence detectives, investigators, and police officers from the Santa Ana Police Department will investigate domestic violence cases, update cases in the Police Department's Report Management System, and assist with the mobile domestic violence response team comprised of a Human Options domestic violence advocate and a Santa Ana Special Crimes detective or police officer. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Approval of the appropriation adjustment will recognize $210,000 in the Department of Justice Grants revenue account (no. 12714002-52001) and appropriate same to the Office on Violence Against Women Improving Criminal Justice Response expenditure accounts for projected expenditures as follows: Fiscal Accounting Unit Accounting Unit — Year — Account No. Fund Description Account No. Amount Description OVW-Improving FY 22-23 12714406-61040 Department of Criminal Justice $ 20,000 Justice Grants Response, Overtime 12714406- Department of OVW-Improving FY 23-24 Various Justice Grants Criminal Justice $ 95,000 Response, Various OVW-Improving FY 24-25 12714406- Department of Criminal Justice $ 85,500 Various Justice Grants Response, Various OVW-Improving FY 25-26 12714406-61040 Department of Criminal Justice $ 9,500 Justice Grants Response, Overtime Total $210,000 City Council 19 — 2 8/1/2023 FY 2022 Department of Justice Office on Violence Against Women Grant Funds August 1, 2023 Page 3 The amount shown above for FY 2022-23 represents an estimated total of overtime costs spent by the Police Department on domestic violence cases during the first nine months of the grant performance period. Any remaining balances not expended at the end of each fiscal year will be presented to City Council for approval of carryovers to the subsequent fiscal year. EXHIBIT(S) 1. MOU with Human Options Submitted By: David Valentin, Police Chief Approved By: Kristine Ridge, City Manager City Council 19 — 3 8/1/2023 Exhibit 1 Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037 HUMAN 4t 41 OPTIONS PREVENT. PROTECT. EMPOWER. TRANSFORM. MEMORANDUM OF UNDERSTANDING BETWEEN Human Options, Inc., and the City of Santa Ana WHEREAS, this 1st day of August 2023, Human Options, Inc. (Human Options), a domestic violence victim service provider, and The City of Santa Ana, a California Municipal Corporation, have come together to collaborate on a grant proposal and application for the FY 2022 Improving Criminal Justice Responses to Sexual Assault, Domestic Violence, Dating Violence, and Stalking Grant Program; and WHEREAS the applicant and partner below have agreed to enter into a partnership in which Human Options will be the lead agency and The City of Santa Ana will be a partner; and WHEREAS the partners herein, collectively referred to as the Domestic Violence Response Team (DVRT), agree to enter into a Memorandum of Understanding (MOU) setting forth the services to be provided by the project partners using the information obtained during the planning phase outlined in the FY 2022 ICJR Solicitation; and WHEREAS, the application prepared and approved by the CDVRC through its partners was selected for funding by the Office on Violence Against Women on September 23, 2022; The parties, therefore, agree as follows that this MOU stands as evidence that Human Options and The City of Santa Ana, partners in this collaborative, have consulted and coordinated in a meaningful way and intend to work together as partners to develop and deliver integrated services Memorandum of Understanding Page 1 of 10 info(a human YnQY9Ynf949.737.5242 1 P.O. Box 53745 Irvine, CA 9261J 9 TAD: 95-3667817 V f ff/1JJW&'anoptions.org Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037 HUMAN 4t 41 OPTIONS PREVENT. PROTECT. EMPOWER. TRANSFORM. to strengthen legal advocacy and other victim services for victims of domestic violence, dating violence, sexual assault, and stalking, including strengthening assistance to such victims in immigration matters (Purpose Area 5). 1. Partner Agency Information Human Options (Applicant) is a private nonprofit organization specializing in domestic violence victim services. Incorporated in 1981, Human Options provides domestic violence services throughout Orange County, California. Human Options' mission statement is as follows: We ignite social change by educating Orange County to recognize relationship violence as an issue that threatens everyone, advocating for those affected by abuse, extending a safe place for victims, and empowering survivors on their journey of healing. Human Options has evolved from a small grassroots effort into a large nonprofit organization that provides comprehensive domestic violence prevention and victim services, including 24-hour bilingual domestic violence hotline counseling, a continuum of housing options for victims of domestic violence and their children, legal advocacy, mental health counseling, children's therapeutic services, prevention education, and professional training programs. Human Options is well -regarded in Orange County and California as a leader in the domestic violence movement and a catalyst for progressive, collaborative, trauma -informed, and empowering services that improve the safety and well-being of families and communities affected by domestic violence. Memorandum of Understanding Page 2 of 10 info@) human YnQY9Ynf949.737.5242 1 P.O. Box 53745 Irvine, CA 92614 9 TAD: 95-3667817 %F f ff/jjjW&,anoptions.org Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037 HUMAN 4t 41 OPTIONS PREVENT. PROTECT. EMPOWER. TRANSFORM. Human Options is dedicated to serving unserved and underserved victims of domestic violence. To increase access to its services, Human Options has established a network of community -based services offered in multiple locations, including nine family resource centers throughout Orange County. Each year, Human Options responds to 5,300 calls for assistance through its hotline and walk-in centers and serves 450 domestic violence survivors through its shelter and transitional housing programs, 1,450 people through its community -based programs, and 11,000 community members through community education. Human Options is the only domestic violence service provider with offices in Santa Ana. The City of Santa Ana (partner) Founded in 1869, the City of Santa Ana is in Southern California, 10 miles from the California coast, in central Orange County. The city utilizes a council-manager system of local government to govern its 335,052 residents. The City of Santa Ana's mission is: To deliver efficient public services in partnership with our community, which ensures public safety, a prosperous economic environment, opportunities for our youth, and a high quality of life for residents. The City of Santa Ana's 5-year vision: By 2025, Santa Ana honors its rich cultural history as it becomes a thriving urban center with welcoming green spaces and world -class amenities, services, and infrastructure. The efficient and financially stable City government will further diversify Santa Ana's housing and economy, Memorandum of Understanding Page 3 of 10 info@) human YnQY9Ynf949.737.5242 1 P.O. Box 53745 Irvine, CA 92614 9 T D: 95-3667817 V f ff/jjjW&,anoptions.org Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037 HUMAN 4t 41 OPTIONS PREVENT. PROTECT. EMPOWER. TRANSFORM. increase the community's safety, and support programs and services that enhance residents' quality of life. The Santa Ana Police Department (SAPD) The SAPD is a community -oriented police department committed to high -quality services, innovative leadership, and problem prevention through highly trained and professional employees in modern facilities using the latest technology. Our values act as the guideline for the discretionary use of police powers and are the basis by which employee actions are evaluated. History of the Collaborative Relationship Human Options has a long and productive history of collaboration with the Santa Ana city government and the SAPD on a variety of projects related to domestic violence. From 2009 to 2012, the City of Santa Ana provided Emergency Service grant funding for Human Options' domestic violence shelter. Human Options has also received numerous Santa Ana Community Development Block Grants for emergency housing for victims of domestic violence. In 2015- 2016, the City of Santa Ana granted Human Options funding to educate youth and parents about teen dating violence and healthy relationships. Human Options also has a standing MOU with the City of Santa Ana and SAPD, established in 2001, to provide services to victims of domestic violence. Through this MOU, the SAPD links domestic violence victims to Human Options' 24- hour emergency hotline so that hotline advocates can assess victim needs and assist in providing immediate shelter or referrals to victims. Human Options and SAPD have also historically cross - Memorandum of Understanding Page 4 of 10 info@) human YnQY9Ynf949.737.5242 1 P.O. Box 53745 Irvine, CA 9261J 9 Tx7D: 95-3667817 V f ff/1JJW&,anoptions.org Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037 HUMAN 4t 41 OPTIONS PREVENT. PROTECT. EMPOWER. TRANSFORM. referred victims and participated in community -based projects through two family resource centers in Santa Ana. In 2014 the City of Santa Ana adopted a five-year Strategic Plan, which addressed community needs related to domestic violence and sexual assault. In. support of the strategic plan, the SAPD developed several initiatives to promote education and services to domestic violence and sexual assault victims. Each initiative involved a partnership with nonprofit, community, or government agencies. In 2016, the City of Santa Ana, SAPD, and Human Options collaborated to prepare an application for an Office on Violence Against Women (OVW) FY 2016 Improving Criminal Justice Response (ICJR) Grant to launch the DVRT. That application was awarded a three-year grant, beginning on October 1, 2016, and ending on September 30, 2019. In 2019, Human Options, the City of Santa Ana, and SAPD applied for renewal funding for this project and were again awarded a three-year grant, beginning on October 1, 2019, and ending on September 30, 2022. Human Options, the City of Santa Ana, and SAPD came together to prepare this application in April 2022 to sustain and enhance the existing ICJR project. 2. Roles and Responsibilities. Each partner agrees to participate in the Domestic Violence Response Team, as outlined below. Memorandum of Understanding Page 5 of 10 info@) human YnQY9Ynf949.737.5242 1 P.O. Box 53745 Irvine, CA 92614 9 MAD: 95-3667817 V f ff/1JJW&'anoptions.org Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037 HUMAN 4t 41 OPTIONS PREVENT. PROTECT. EMPOWER. TRANSFORM. As the lead agency, Human Options, Inc. will receive compensation from this grant over the three-year grant period and commit to the following roles and responsibilities to ensure the success of the project: • Serve as fiscal and project lead. • Allocate Chief Operations Officer (with leveraged funds) to oversee Grant and budget management, project reporting, and adherence to state, federal, and funder policies. • Allocate Legal Advocacy Program Manager (.05 FTE) to oversee the project, facilitate project meetings, liaise with SAPD, ensure excellence in client services, ensure tracking of project activities for reports and progress evaluation, coordinate participation in required training and technical assistance (TAT), attend required program orientation, and supervise the Legal Advocate; assist with streamlining shelter intake to expedite victim access to shelter during a police response, attend project meetings, and supervise the Domestic Violence Advocate (DVA). • Allocate a Legal Advocate (.50 FTE) to provide bilingual legal services, including legal needs assessments, application assistance, court accompaniment, safety planning, education, and referrals to victims of domestic violence. • Allocate a DVA (.5 FTE) to provide bilingual victim services (including in -person advocacy during DVRT (Domestic Violence Response Team) response, advocacy for walk-in clients at SAPD, and follow-up advocacy), participate in project meetings, and document services as required for reports. Memorandum of Understanding Page 6 of 10 info@) human YnQY9Ynf949.737.5242 1 P.O. Box 53745 Irvine, CA 92614 9 MAD: 95-3667817 V f ff/1JJW&'anoptions.org Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037 HUMAN 4t 41 OPTIONS PREVENT. PROTECT. EMPOWER. TRANSFORM. • Allocate a Staff Therapist (.24 FTE) to provide bilingual, trauma -informed, and culturally competent mental health counseling to victims. • Utilize an MSW Intern (using leveraged funds) to assist with walk-in clients and follow- up advocacy at SAPD, individual counseling and support groups at SAPD and/or a Santa Ana based Family Resource Center. • Provide emergency shelter and/or safety net for victims of domestic violence and their children (with leveraged funds). • Comply with OVW and VAWA (Violence Against Women Act) safety standards to ensure that project staff does not engage in activities that compromise victim safety. As a collaborating, funded agency, the City of Santa Ana will receive compensation from this Grant for fiscal year 2022-23 not to exceed $70,000.00, for fiscal year 2023-24 not to exceed $70,000.00, and for fiscal year 2024-2025 not to exceed $70,000.00, up to $210,000 over the three- year grant period (based on timely billing and spend -down). Funds not expended by the City of Santa Ana will be reallocated to the project based on project needs. The City of Santa Ana commits to the following roles and responsibilities to ensure the success of this project: • Assign one Domestic Violence Corporal or Sergeant to serve on the project oversight team, attend project oversight meetings, attend required OVW training and project orientation, work collaboratively to address obstacles preventing victim access to the criminal justice system, investigate domestic violence cases, supervise the police officers, Memorandum of Understanding Page 7 of 10 info(a human YnCYPynf949.737.5242 I P.O. Box 53745 Irvine, CA 926119 Tx116.95-3667817 V f &/1JJW&'anoptions.org Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037 HUMAN 4t 41 OPTIONS PREVENT. PROTECT. EMPOWER. TRANSFORM. corporals, and detectives assigned to the DV (Domestic Violence) Car, and participate in data collection and progress reporting as required by OVW (no designated FTE will utilize overtime funds for meetings). • Assign SAPD police officers, corporals, and detectives to the DV Car on an overtime basis to team up with an advocate from Human Options to respond to domestic violence calls, and to investigate domestic violence cases. • Provide space in the SAPD facility to outstation a DVA at the SAPD to assist domestic violence -related walk-ins, and complete follow-up calls with victims encountered during ride-alongs. • Coordinate with Human Options to schedule DVRT ride -along shifts and ensure that SAPD officers staffing the DV Car have received domestic violence training. • Refer domestic violence victims to the DVA for follow-up victim advocacy services. • Train the DVA on SAPD domestic violence response protocols, safety procedures, and other relevant topics. • Complete training and begin implementing the Domestic Violence Lethality Screen for First Responders to better identify and respond to highly lethal cases. • Comply with OVW and VAWA safety standards to ensure that project staff does not engage in activities that compromise victim safety. • Maintain statistical records and expenses and provide Human Options with expenses in grant funds in invoices and include all necessary supporting documents. The City of Memorandum of Understanding Page 8 of 10 info(a human YnCYPynf949.737.5242 I P.O. Box 53745 Irvine, CA 9261191 axll�: 95-3667817 V f &/1JJW&'anoptions.org Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037 HUMAN 4t 41 OPTIONS PREVENT. PROTECT. EMPOWER. TRANSFORM. Santa Ana shall submit invoices to Human Options not more often than monthly and not less frequently than quarterly for allowable costs. Invoices shall be reimbursed within forty-five (45) days of receipt. Reimbursement of funds shall not exceed the allocated grant amount, as indicated in the approved OVW ICJR Budget. 3. Term Although pending review, once Human Options receives clearance to proceed with respect to the budget for the grant, the term of this MOU will be as follows: Performance Period and Budget Period for the grant will be deemed to have commenced since the last funding cycle, or October 1, 2022, and, the Performance Period and Budget Period for this grant will end on September 30, 2025. Once approved, the City will be permitted to seek reimbursement for expenses incurred in connection with this grant commencing on October 1, 2022. 4. Commitment to Partnership. 1) The service area includes the City of Santa Ana. 2) The partners agree to collaborate and strengthen legal advocacy service programs and other victim services for victims of domestic violence, including strengthening assistance to victims in immigration matters pursuant to the Project Description in the grant Award and subject to the conditions and limitations set forth, attached hereto as Exhibit A. 3) Compensation for each partner's contribution to this project will be provided, as outlined in the attached OVW budget detail worksheet, attached hereto as Exhibit B. Memorandum of Understanding Page 9 of 10 info(a human YnCYPynf949.737.5242 I P.O. Box 53745 Irvine, CA 926119 Tx1l9.95-3667817 V f ff/1JJW&,anoptions.org Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037 HUMANI 41 OPTIONS PREVENT. PROTECT. EMPOWER. TRANSFORM. 4) We, the undersigned, have read and agree with this Memorandum of Understanding. Further, we have reviewed the proposed project and proposed budget, and have approved it. For Human Options (Lead Agency authorized Representative): MARICELA RIOS-FAUST Chief Executive Officer Human Options, Inc. For CITY OF SANTA ANA (Required Partner): JENNIFER L. HALL, City Clerk KRISTINE RIDGE, City Manager APPROVED AS TO FORM: SONIA R. CARVALHO, City Attorney Date Date Date TAMARA BOGOSIAN, Senior Assistant City Attorney Date RECOMMENDED FOR APPROVAL: DAVID VALENTIN, Chief of Police Memorandum of Understanding Date Page 10 of 10 info@) human YnQY9ynf949.737.5242 I P.O. Box 53745 1 Irvine, CA 92611 P TOO 95-3667817 V f ff/1JJW&'anoptions.org 6/18/23, 9:49 PM Active Funded Award EXHIBIT A Award Letter --- Award Information This award is offered subject to the conditions or limitations set forth in the Award Information, Project Information, Financial Information, and Award Conditions. Recipient Information Recipient Name HUMAN OPTIONS, INC UEI XC3EL4FAP817 Street 1 Street 2 5540 TRABUCO RD STE100 City State/U.S. Territory IRVINE California Zip/Postal Code Country 92620 United States County/Parish Province *TPLAward Details Federal Award Date Award Type 9/23/22 Initial Award Number Supplement Number 15JOVW-22-GG-01808-ICJR 00 Federal Award Amount Funding Instrument Type $5 i ncil rain — 14 8/1/2023 https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_IpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40baseclass. pzProces... 1 /2 6/18/23, 9:49 PM Active Funded Award Assistance Listing Number Assistance Listings Program Title 16.590 Grants to Encourage Arrest Policies and Enforcement of Protection Orders Program Statutory Authority 34 U.S.C. §§ 10461-10465 R I have read and understand the information presented in this section of the Federal Award Instrument. Project Information Financial Information Other Award Documents Award Conditions Award Acceptance City Council 19 — 15 8/1/2023 https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40baseclass. pzProces... 2/2 6/18/23, 9:49 PM Active Funded Award Award Letter Award Information ,-, Project Information This award is offered subject to the conditions or limitations set forth in the Award Information, Project Information, Financial Information, and Award Conditions. Solicitation Title Awarding Agency 2022 OVW Fiscal Year 2022 Improving Criminal OVW Justice Responses to Domestic Violence, Dating Violence, Sexual Assault, and Stalking Grant Program Solicitation Application Number GRANT13598889 Grant Manager Name Phone Number LASHONDE BEASLEY 202-353-5498 E-mail Address lashonde.beasley@usdoj.gov Project Title Santa Ana Coordinated Domestic Violence Response Performance Period Start Date 10/01 /2022 Budget Period Start Date 10/01 /2022 Project Description Performance Period End Date 09/30/2025 Budget Period End Date 09/30/2025 The Improving Criminal Justice Responses to Domestic Violence, Dating Violence, Sexual Assault, and Stalking Grant Program is authorized by 34 U.S.C. §§ 10461-10465 and implemented through regulations at 28 C.F.R. Part 90, Subpart D. The program fosters victim safety and offender accountability in cases of domestic violence, dating violence, sexual assault, and stalking by er 4D61"tgte, local, and tribal governments and 1Murtl g) work collaboratively wW1g2O2Vnity https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_IpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40baseclass. pzProces... 1 /2 6/18/23, 9:49 PM Active Funded Award partners to identify problems and share ideas that will result in effectively responding to these crimes. An integral component of this program is the development, revitalization, or enhancement of a coordinated community response that brings together criminal justice agencies, victim services providers, and community -based organizations that respond to domestic violence, dating violence, sexual assault, and stalking. The grantee, in collaboration with its project partners, will use this continuation award to continue improving the jurisdiction's criminal justice system response to domestic violence, dating violence, sexual assault, and stalking. Specifically, the project will: 1) implement activities focused on victim safety and offender accountability; 2) participate in mandated OVW training and technical assistance; and 3) work toward sustainability of project activities. R I have read and understand the information presented in this section of the Federal Award Instrument. Financial Information Other Award Documents Award Conditions Award Acceptance City Council 19 — 17 8/1/2023 https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40baseclass. pzProces... 2/2 6/5/23, 3:07 PM Active Funded Award Award Letter Award Information Project Information Financial Information Other Award Documents -,- Award Conditions This award is offered subject to the conditions or limitations set forth in the Award Information, Project Information, Financial Information, and Award Conditions. 1Q1 Requirements of the award; remedies for non-compliance or for materially false statements The conditions of this award are material requirements of the award. Compliance with any assurances or certifications submitted by or on behalf of the recipient that relate to conduct during the period of performance also is a material requirement of this award. By signing and accepting this award on behalf of the recipient, the authorized recipient official accepts all material requirements of the award, and specifically adopts, as if personally executed by the authorized recipient official, all assurances or certifications submitted by or on behalf of the recipient that relate to conduct during the period of performance. Failure to comply with any one or more of these award requirements -- whether a condition set out in full below, a condition incorporated by reference below, or an assurance or certification related to conduct during the award period -- may result in the Office on Violence Against Women (OVW) taking appropriate action with respect to the recipient and the award. Among other things, OVW may withhold award funds, disallow costs, or suspend or terminate the award. DOJ, including OVW, also may take other legal action as appropriate. Any materially false, fictitious, or fraudulent statement to the federal government related to this award (or concealment or omission of a material fact) may be the subject of criminal prosecution (including under 18 U.S.C. 1001 and/or 1621, and/or 34 U.S.C. 10271-10273), and also may lead to imposition of civil penalties and administrative remedies for false claims or otherwise (including under 31 U.S.C. 3729-3730 and 3801- 3812). Should any provision of a requirement of this award be held to be invalid or unenforceable by its terms, that provision shall first be applied with a limited construction so as to give it the maximum effect permitted by law. Should it be held, instead, that the provision is utterly invalid or -unenforceable, such provision shall be deemed severable from this award. 'Q2 Applicability of Part 200 Uniform Requirements and DOJ Grants Financial Guide The recipient agrees to comply with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements in 2 C.F.R. Part 200, as adopted and supplemented by the Department of Justice (DOJ) in 2 C.F.R. P rants City Council 19 — 18 8/1/2023 https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_IpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40basec!ass. pzProc... 1 /12 6/5/23, 3:07 PM Active Funded Award Financial Guide as posted on the OVW website, including any updated version that may be posted during the period of performance. The recipient also agrees that all financial records pertinent to this award, including the general accounting ledger and all supporting documents, are subject to agency review throughout the life of the award, during the close-out process, and for three years after submission of the final Federal Financial Report (SF-425) or as long as the records are retained, whichever is longer, pursuant to 2 C.F.R. 200.334, 200.337. 'Q3 Requirement to report potentially duplicative funding If the recipient currently has other active awards of federal funds, or if the recipient receives any other award of federal funds during the period of performance for this award, the recipient promptly must determine whether funds from any of those other federal awards have been, are being, or are to be used (in whole or in part) for one or more of the identical cost items for which funds are provided under this award. If so, the recipient must promptly notify OVW in writing of the potential duplication, and, if so requested by OVW, must seek a budget -modification or change -of -project -scope Grant Award Modification (GAM) to eliminate any inappropriate duplication of funding. 'Q4 Requirements related to System for Award Management and unique entity identifiers The recipient must comply with applicable requirements regarding the System for Award Management (SAM), currently accessible at https://www.sam.gov. This includes applicable requirements regarding registration with SAM, as well as maintaining current information in SAM. The recipient also must comply with applicable restrictions on subawards (subgrants) to first -tier subrecipients (subgrantees), including restrictions on subawards to entities that do not acquire and provide (to the recipient) the unique entity identifier assigned by SAM. The details of the recipient's obligations related to SAM and to unique entity identifiers are posted on the OVW website at https://www.justice.gov/ovw/award-conditions (Award Condition: Requirements related to System for Award Management (SAM) and unique entity identifiers), and are incorporated by reference here. 9D5 Requirement to report actual or imminent breach of personally identifiable information (PII) The recipient (and any subrecipient at any tier) must have written procedures in place to respond in the event of an actual or imminent breach (as defined in OMB M-17-12) if it (or a subrecipient)-- 1) creates, collects, uses, processes, stores, maintains, disseminates, discloses, or disposes of personally identifiable information (PII) (as defined in 2 C.F.R. 200.1) within the scope of an OVW grant -funded program or activity, or 2) uses or operates a Federal information system (as defined in OMB Circular A-130). The recipient's breach procedures must include a requirement to report actual or imminent breach of PII to an OVW Program Manager no later than 24 hours after an occurrence of an actual breach, or the detection of an imminent breach. 'Q6 Requirements pertaining to prohibited conduct related to trafficking in persons (including reporting requirements and OVW authority to terminate award) The recipient, and any subrecipient (subgrantee) at any tier, must comply with all applicable requirements (including requirements to report allegations) pertaining to prohibited conduct related to the trafficking of persons, whether on the part of recipients, subrecipients (subgrantees), or individuals defined (for purposes of this condition) as "employees" of the recipient or of any subrecipient. City Council 19 — 19 8/1/2023 https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40baseclass. pzProc... 2/12 6/5/23, 3:07 PM Active Funded Award The details of the recipient's obligations related to prohibited conduct related to trafficking in persons are posted on the OVW website at https://www.justice.gov/ovw/award-conditions (Award Condition: Prohibited conduct by recipients and subrecipients related to trafficking in persons (including reporting requirements and OVW authority to terminate award)), and are incorporated by reference here. 'Q7 Determinations of suitability to interact with participating minors This condition applies to this award if it is indicated in the application for the award (as approved by DOJ) (or in the application for any subaward at any tier), the DOJ funding announcement (solicitation), or an associated federal statute that a purpose of some or all of the activities to be carried out under the award (whether by the recipient or a subrecipient at any tier) is to benefit a set of individuals under 18 years of age. The recipient, and any subrecipient at any tier, must make determinations of suitability before certain individuals may interact with participating minors. This requirement applies regardless of an individual's employment status. The details of this requirement are posted on the OVW website at https://www.justice.gov/ovw/award-conditions (Award condition: Determination of suitability required, in advance, for certain individuals who may interact with participating minors), and are incorporated by reference here. GM$ Compliance with applicable rules regarding approval, planning, and reporting of conferences, meetings, trainings, and other events The recipient, and any subrecipient (subgrantee) at any tier, must comply with all applicable laws, regulations, policies, and official DOJ guidance (including specific cost limits, prior approval and reporting requirements, where applicable) governing the use of federal funds for expenses related to conferences (as that term is defined by DOJ), including the provision of food and/or beverages at such conferences, and costs of attendance at such conferences. Information on the pertinent DOJ definition of conferences and the rules applicable to this award appears on the OVW website at https://www.justice.gov/ovw/conference-planning. IM9 OVW Training Guiding Principles The recipient understands and agrees that any training or training materials developed or delivered with funding provided under this award must adhere to the OVW Training Guiding Principles for Grantees and Subgrantees, available at https://www.justice.gov/ovw/resources-and-faqs-grantees#Discretionary. Effect of failure to address audit issues The recipient understands and agrees that OVW may withhold award funds, or may impose other related requirements, if (as determined by OVW) the recipient does not satisfactorily and promptly address outstanding issues from audits required by the Part 200 Uniform Requirements (or by the terms of this award), or other outstanding issues that arise in connection with audits, investigations, or reviews of DOJ awards. IM11 Potential imposition of additional requirements The reci the City ouncil 19 — 20 8/1/202 https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_IpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40baseclass. pzProc... 3/12 6/5/23, 3:07 PM Active Funded Award period of performance for this award, if the recipient is designated as "high -risk" for purposes of the DOJ high -risk grantee list. 'Q12 Compliance with DOJ regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 42 The recipient, and any subrecipient (subgrantee) at any tier, must comply with all applicable requirements of 28 C.F.R. Part 42, specifically including any applicable requirements in Subpart E of 28 C.F.R. Part 42 that relate to an equal employment opportunity program. 9M13 Compliance with DOJ regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 38 The recipient, and any subrecipient (subgrantee) at any tier, must comply with all applicable requirements of 28 C.F.R. Part 38. Among other things, 28 C.F.R. Part 38 includes rules that prohibit specific forms of discrimination on the basis of religion, a religious belief, a refusal to hold a religious belief, or refusal to attend or participate in a religious practice. Part 38 also sets out rules and requirements that pertain to recipient and subrecipient (subgrantee) organizations that engage in or conduct explicitly religious activities, as well as rules and requirements that pertain to recipients and subrecipients that are faith -based or religious organizations. Compliance with DOJ regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 54 The recipient, and any subrecipient (subgrantee) at any tier, must comply with all applicable requirements of 28 C.F.R. Part 54, which relates to nondiscrimination on the basis of sex in certain "education programs." IM15 Restrictions on "lobbying" and policy development In general, as a matter of federal law, federal funds may not be used by the recipient, or any subrecipient (subgrantee) at any tier, either directly or indirectly, in support of the enactment, repeal, modification or adoption of any law, regulation or policy, at any level of government, in order to avoid violation of 18 U.S.C. 1913. The recipient, or any subrecipient (subgrantee) may, however, use federal funds to collaborate with and provide information to federal, state, local, tribal and territorial public officials and agencies to develop and implement policies and develop and promote state, local, or tribal legislation or model codes designed to reduce or eliminate domestic violence, dating violence, sexual assault, and stalking (as those terms are defined in 34 U.S.C. 12291(a)) when such collaboration and provision of information is consistent with the activities otherwise authorized under this grant program. Another federal law generally prohibits federal funds awarded by OVW from being used by the recipient, or any subrecipient at any tier, to pay any person to influence (or attempt to influence) a federal agency, a Member of Congress, or Congress (or an official or employee of any of them) with respect to the awarding of a federal grant or cooperative agreement, subgrant, contract, subcontract, or loan, or with respect to actions such as renewing, extending, or modifying any such award. See 31 U.S.C. 1352. Certain exceptions to this law apply, including an exception that applies to Indian tribes and tribal organizations. Should any question arise as to whether a particular use of federal funds by a recipient (or subrecipient) would or might fall within the scope of these prohibitions, the recipient is to contact OVW for guidance, and may not proceed without the express prior written approval of OVW. 'Q16 City Council 19 — 21 8/1/2023 https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40baseclass. pzProc... 4/12 6/5/23, 3:07 PM Active Funded Award Compliance with general appropriations -law restrictions on the use of federal funds for this fiscal year The recipient, and any subrecipient (subgrantee) at any tier, must comply with all applicable restrictions on the use of federal funds set out in federal appropriations statutes. Pertinent restrictions, for each fiscal year, are set out at https://www.justice.gov/ovw/award-conditions (Award Condition: General appropriations -law restrictions on use of federal award funds), and are incorporated by reference here. Should a question arise as to whether a particular use of federal funds by a recipient (or a subrecipient) would or might fall within the scope of an appropriations -law restriction, the recipient is to contact OVW for guidance, and may not proceed without the express prior written approval of OVW. 9M17 Reporting potential fraud, waste, and abuse, and similar misconduct The recipient and any subrecipients (subgrantees) must promptly refer to the DOJ Office of the Inspector General (OIG) any credible evidence that a principal, employee, agent, subrecipient, contractor, subcontractor, or other person has, in connection with funds under this award -- (1) submitted a claim that violates the False Claims Act; or (2) committed a criminal or civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, or similar misconduct. Potential fraud, waste, abuse, or misconduct involving or relating to funds under this award should be reported to the OIG by-- (1) online submission accessible via the OIG webpage at https:Hoig.justice.gov/hotline/contact-grants.htm (select "Submit Report Online"); (2) mail directed to: U.S. Department of Justice, Office of the Inspector General, Investigations Division, ATTN: Grantee Reporting, 950 Pennsylvania Ave., NW, Washington, DC 20530; (3) by facsimile directed to the DOJ OIG Fraud Detection Office (Attn: Grantee Reporting) at (202) 616-9881 (fax). Additional information is available from the DOJ OIG website at https://oig.justice.gov/hotline. Restrictions and certifications regarding non -disclosure agreements and related matters No recipient or subrecipient (subgrantee) under this award, or entity that receives a procurement contract or subcontract with any funds under this award, may require any employee or contractor to sign an internal confidentiality agreement or statement that prohibits or otherwise restricts, or purports to prohibit or restrict, the reporting (in accordance with law) of waste, fraud, or abuse to an investigative or law enforcement representative of a federal department or agency authorized to receive such information. The foregoing is not intended, and shall not be understood by the agency making this award, to contravene requirements applicable to Standard Form 312 (which relates to classified information), Form 4414 (which relates to sensitive compartmented information), or any other form issued by a federal department or agency governing the nondisclosure of classified information. 1. In accepting this award, the recipient -- a. represents that it neither requires nor has required internal confidentiality agreements or statements from employees or contractors that currently prohibit or otherwise currently restrict (or purport to prohibit or restrict) employees or contractors from reporting waste, fraud, or abuse as described above; and b. certifies that, if it learns or is notified that it is or has been requiring its employees or contractors to execute agreements or statements that prohibit or otherwise restrict (or purport to prohibit or restrict), reporting of waste, fraud, or abuse as described above, it will immediately stop any further obligations of award funds, will provide prompt written notification to the federal agency making this award, and will resume (or permit resumption of) such obligations only if expressly authorized to do so by that agency. 2. If the recipient does or is authorized under this award to make subawards (subgrants), procurement contracts, or both -- a. it reprE(g ft tMdfi-Cil 19 - 22 8/1 /2023 https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40baseclass. pzProc... 5/12 6/5/23, 3:07 PM Active Funded Award (1) it has determined that no other entity that the recipient's application proposes may or will receive award funds (whether through a subaward (subgrant), procurement contract, or subcontract under a procurement contract) either requires or has required internal confidentiality agreements or statements from employees or contractors that currently prohibit or otherwise currently restrict (or purport to prohibit or restrict) employees or contractors from reporting waste, fraud, or abuse as described above; and (2) it has made appropriate inquiry, or otherwise has an adequate factual basis, to support this representation; and b. it certifies that, if it learns or is notified that any subrecipient, contractor, or subcontractor entity that receives funds under this award is or has been requiring its employees or contractors to execute agreements or statements that prohibit or otherwise restrict (or purport to prohibit or restrict), reporting of waste, fraud, or abuse as described above, it will immediately stop any further obligations of award funds to or by that entity, will provide prompt written notification to the federal agency making this award, and will resume (or permit resumption of) such obligations only if expressly authorized to do so by that agency. Compliance with 41 U.S.C. 4712 (including prohibitions on reprisal; notice to employees) The recipient (and any subrecipient at any tier) must comply with, and is subject to, all applicable provisions of 41 U.S.C. 4712, including all applicable provisions that prohibit, under specified circumstances, discrimination against an employee as reprisal for the employee's disclosure of information related to gross mismanagement of a federal grant, a gross waste of federal funds, an abuse of authority relating to a federal grant, a substantial and specific danger to public health or safety, or a violation of law, rule, or regulation related to a federal grant. The recipient also must inform its employees, in writing (and in the predominant native language of the workforce), of employee rights and remedies under 41 U.S.C. 4712. Should a question arise as to the applicability of the provisions of 41 U.S.C. 4712 to this award, the recipient is to contact OVW for guidance. 1 Encouragement of policies to ban text messaging while driving Pursuant to Executive Order 13513, "Federal Leadership on Reducing Text Messaging While Driving," 74 Fed. Reg. 51225 (October 1, 2009), DOJ encourages recipients and subrecipients (subgrantees) to adopt and enforce policies banning employees from text messaging while driving any vehicle during the course of performing work funded by this award, and to establish workplace safety policies and conduct education, awareness, and other outreach to decrease crashes caused by distracted drivers. 9M21 Requirement to disclose whether recipient is designated high risk by a federal grant -making agency outside of DOJ If the recipient is designated high risk by a federal grant -making agency outside of DOJ, currently or at any time during the course of the period of performance under this award, the recipient must disclose that fact and certain related information to OVW by email to OVW.GFMD@usdoj.gov. For purposes of this disclosure, high risk includes any status under which a federal awarding agency provides additional oversight due to the recipient's past performance, or other programmatic or financial concerns with the recipient. The recipient's disclosure must include the following: (1) the federal awarding agency that currently designates the recipient high risk; (2) the date the recipient was designated high risk; (3) the high -risk point of contact at that federal awarding agency (name, phone number, and email address); and (4) the reasons for the high -risk status, as set out by the federal awarding agency. City Council 19 — 23 8/1/2023 https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40baseclass. pzProc... 6/12 6/5/23, 3:07 PM 'D22 Active Funded Award Availability of general terms and conditions on OVW website The recipient agrees to follow the applicable set of general terms and conditions that are available at https://www.justice.gov/ovw/award-conditions. These do not supersede any specific conditions in this award document. 9M23 Compliance with statutory and regulatory requirements The recipient agrees to comply with all relevant statutory and regulatory requirements, which may include, among other relevant authorities, the Violence Against Women Act of 1994, P.L. 103-322, the Violence Against Women Act of 2000, P.L. 106-386, the Violence Against Women and Department of Justice Reauthorization Act of 2005, P.L. 109-162, the Violence Against Women Reauthorization Act of 2013, P.L. 113-4, the Omnibus Crime Control and Safe Streets Act of 1968, 34 U.S.C. 10101 et seq., and OVW's implementing regulations at 28 C.F.R. Part 90. 1 ' Compliance with solicitation requirements The recipient agrees that it must be in compliance with requirements outlined in the solicitation under which the approved application was submitted, the applicable Solicitation Companion Guide, and any program - specific frequently asked questions (FAQs) on the OVW website (https://www.justice.gov/ovw/resources- and-fags-grantees). The program solicitation, Companion Guide, and any program -specific FAQs are hereby incorporated by reference into this award. M25 VAWA 2013 nondiscrimination condition The recipient acknowledges that 34 U.S.C. 12291(b)(13) prohibits recipients of OVW awards from excluding, denying benefits to, or discriminating against any person on the basis of actual or perceived race, color, religion, national origin, sex, gender identity, sexual orientation, or disability in any program or activity funded in whole or in part by OVW. Recipients may provide sex -segregated or sex -specific programming if doing so is necessary to the essential operations of the program, so long as the recipient provides comparable services to those who cannot be provided with the sex -segregated or sex -specific programming. The recipient agrees that it will comply with this provision. The recipient also agrees to ensure that any subrecipients (subgrantees) at any tier will comply with this provision. M26 Misuse of award funds The recipient understands and agrees that misuse of award funds may result in a range of penalties, including suspension of current and future funds, suspension or debarment from federal grants, recoupment of monies provided under an award, and civil and/or criminal penalties. 9M27 Limitation on use of funds to approved activities The recipient agrees that grant funds will be used only for the purposes described in the recipient's application, unless OVW determines that any of these activities are out of scope or unallowable. The recipient must not undertake any work or activities that are not described in the recipient's application, award do-1 imants nr annrrnicrl hi irina+ a�mict npt i icc c+afF cni iinmen+ nr n+har nnnrlc nr SaniiC" paid City Council 19 — 24 8/1/2023 https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40baseclass. pzProc... 7/12 6/5/23, 3:07 PM Active Funded Award for with grant funds for such work or activities, without prior written approval, via Grant Award Modification (GAM), from OVW. Non -supplantation The recipient agrees that grant funds will be used to supplement, not supplant, non-federal funds that would otherwise be available for the activities under this grant. Confidentiality and information sharing The recipient agrees to comply with the provisions of 34 U.S.C. 12291(b)(2), nondisclosure of confidential or private information, which includes creating and maintaining documentation of compliance, such as policies and procedures for release of victim information. The recipient also agrees to comply with the regulations implementing this provision at 28 CFR 90.4(b) and "Frequently Asked Questions (FAQs) on the VAWA Confidentiality Provision (34 U.S.C. 12291(b)(2))" on the OVW website at https://www.justice.gov/ovw/resources-and-faqs-grantees. The recipient also agrees to ensure that all subrecipients (subgrantees) at any tier meet these requirements. M Activities that compromise victim safety and recovery or undermine offender accountability The recipient agrees that grant funds will not support activities that compromise victim safety and recovery or undermine offender accountability, such as: procedures or policies that exclude victims from receiving safe shelter, advocacy services, counseling, and other assistance based on their actual or perceived sex, age, immigration status, race, religion, sexual orientation, gender identity, mental health condition, physical health condition, criminal record, work in the sex industry, or the age and/or sex of their children; procedures or policies that compromise the confidentiality of information and privacy of persons receiving OVW-funded services; procedures or policies that impose requirements on victims in order to receive services (e.g., seek an order of protection, receive counseling, participate in couples' counseling or mediation, report to law enforcement, seek civil or criminal remedies, etc.); procedures or policies that fail to ensure service providers conduct safety planning with victims; project design and budgets that fail to account for the access needs of participants with disabilities and participants who have limited English proficiency or are Deaf or hard of hearing; or any other activities outlined in the solicitation or companion guide under which the application was submitted. 9M31 Policy for response to workplace -related incidents of sexual misconduct, domestic violence, and dating violence The recipient, and any subrecipient at any tier, must have a policy, or issue a policy within 270 days of the award date, to address workplace -related incidents of sexual misconduct, domestic violence, and dating violence involving an employee, volunteer, consultant, or contractor. The details of this requirement are posted on the OVW website at https://www.justice.gov/ovw/award-conditions (Award Condition: Policy for response to workplace -related sexual misconduct, domestic violence, and dating violence), and are incorporated by reference here. 9M32 Termination or suspension The Director of OVW, upon a finding that there (1) has been substantial failure by the recipient to comply with app City Council 19 — 25 8/1/2M (2) https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40baseclass. pzProc... 8/12 6/5/23, 3:07 PM Active Funded Award has been failure by the recipient to make satisfactory progress toward the goals, objectives, or strategies set forth in the application, or (3) have been project changes proposed or implemented by the recipient to the extent that, if originally submitted, the application would not have been selected for funding, will terminate or suspend until the Director is satisfied that there is no longer such failure or changes, all or part of the award, in accordance with the provisions of 28 C.F.R. Part 18, as applicable mutatis mutandis. The federal regulation providing uniform rules for termination of grants and cooperative agreements is 2 C.F.R. 200.340. 9M33 Semiannual and final performance progress report submission The recipient agrees to submit semiannual performance progress reports that describe activities conducted during the reporting period, including program effectiveness measures. Reports must be submitted throughout the project period, even if no funds were spent and no activities were conducted in a given reporting period. Delinquent reports may affect future discretionary award decisions and may lead to suspension and/or termination of the award. The information that must be collected and reported to OVW can be found in the reporting form associated with the grant program or initiative under which this award was made. Performance progress reports must be submitted within 30 days after the end of the reporting periods, which are January 1 - June 30 and July 1 - December 31. Recipients are required to submit their reports through the Justice Grants System, unless and until OVW issues updated instructions for report submission. The final report is due 90 days after the end of the project period and should be marked "final" in the Report Type field. Quarterly financial status reports The recipient agrees that it will submit quarterly financial status reports (the SF 425 Federal Financial Report) to OVW in the Justice Grants System, not later than 30 days after the end of each calendar quarter. The final report shall be submitted not later than 90 days following the end of the award period. Delinquent reports may affect future discretionary award decisions and may lead to suspension and/or termination of the award. 9M35 Program income Program income, as defined by 2 C.F.R. 200.1, means gross income earned by the non-federal entity that is directly generated by a supported activity or earned as a result of the federal award during the period of performance. Without prior approval from OVW, program income must be deducted from total allowable costs to determine the net allowable costs. In order to add program income to the OVW award, the recipient must seek approval from its program manager via a budget modification Grant Award Modification (GAM) prior to generating any program income. Any program income added to the federal award must be used to support activities that were approved in the budget and follow the conditions of the OVW award. Any program income approved via budget modification GAM must be reported in the recipient's quarterly Federal Financial Report SF-425 in accordance with the addition alternative. If the program income amount changes (increases or decreases) during the project period, it must be approved via a budget modification GAM by the end of the project period. If the budget modification is not submitted and approved, it could result in audit findings for the recipient. FFATA reporting subawards and executive compensation The recipient agrees to comply with applicable requirements to report first -tier subawards (subgrants) of $30,000 or more and, in certain circumstances, to report the names and total compensation of the five most highly compensated executives of the recipient and first -tier subrecipients of award funds. Such data will be submitte,t"&gal Funding Accountability and Transpllr ���ct of 2006 (FFATA) Suk23 https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_IpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40baseclass. pzProc... 9/12 6/5/23, 3:07 PM Active Funded Award Reporting System (FSRS). The details of recipient obligations, which derive from FFATA, are posted on the OVW website at https://www.justice.gov/ovw/award-conditions (Award Condition: Reporting Subawards and Executive Compensation), and are incorporated by reference here. 9M37 Changes to MOU and/or IMOA The recipient agrees to submit for OVW review and approval any anticipated addition of, removal of, or change in collaborating partner agencies or individuals who are signatories of the Memorandum of Understanding and, if applicable, the Internal Memorandum of Agreement. Submission of all materials and publications The recipient agrees to submit to OVW one copy of all materials and publications (written, web -based, audio-visual, or any other format) that are funded under this award not less than twenty days prior to distribution or public release. If the materials are found to be outside the scope of the program, or in some way to compromise victim safety, the recipient will need to revise the materials to address these concerns or the recipient will not be allowed to use award funds to support the development or distribution of the materials. Publication disclaimer The recipient agrees that all materials and publications (written, web -based, audio-visual, or any other format) resulting from award activities shall contain the following statement: "This project was supported by Grant No. awarded by the Office on Violence Against Women, U.S. Department of Justice. The opinions, findings, conclusions, and recommendations expressed in this publication/program/exhibition are those of the author(s) and do not necessarily reflect the views of the U.S. Department of Justice." The recipient also agrees to ensure that any subrecipient at any tier will comply with this condition. Copyrighted works Pursuant to 2 C.F.R. 200.315(b), the recipient may copyright any work that is subject to copyright and was developed, or for which ownership was acquired, under this award. OVW reserves a royalty -free, nonexclusive, and irrevocable right to reproduce, publish, or otherwise use the work, in whole or in part (including in the creation of derivative works), for federal purposes, and to authorize others to do so. OVW also reserves a royalty -free, nonexclusive, and irrevocable right to reproduce, publish, or otherwise use, in whole or in part (including in the creation of derivative works), any work developed by a subrecipient (subgrantee) of this award, for federal purposes, and to authorize others to do so. In addition, the recipient (or subrecipient, contractor, or subcontractor of this award at any tier) must obtain advance written approval from the OVW program manager assigned to this award, and must comply with all conditions specified by the program manager in connection with that approval, before: 1) using award funds to purchase ownership of, or a license to use, a copyrighted work; or 2) incorporating any copyrighted work, or portion thereof, into a new work developed under this award. It is the responsibility of the recipient (and of each subrecipient, contractor, or subcontractor as applicable) to ensure that this condition is included in any subaward, contract, or subcontract under this award. City Council 19 — 27 8/1/2023 https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40baseclass. pzPro... 10/12 6/5/23, 3:07 PM Active Funded Award 4M41 Grantee orientation - mandatory attendance First-time recipients, or continuation recipients if requested, must agree to have key staff members, as identified by OVW, attend the OVW grantee orientation seminar, which may be offered in -person, online, or a combination of both. Additionally, if there is a change in the project director/coordinator during the grant period, the recipient agrees, at the earliest opportunity, to send the new project director/coordinator, regardless of prior experience with this or any other federal award, to an in -person OVW grantee orientation seminar or require completion of the orientation online, whichever is available. Prior approval for non-OVW sponsored technical assistance The recipient agrees that funds allocated for OVW-sponsored technical assistance may not be used for any other purpose without prior approval by OVW. To request approval, the recipient must submit a copy of the event's brochure, a curriculum and/or agenda, a description of the hosts or trainers, and an estimated breakdown of costs. The request must be submitted to OVW at least 20 days prior to registering for the event. Requests to attend non-OVW sponsored events will be considered on a case -by -case basis. This prior approval process also applies to requests for the use of OVW-designated technical assistance funds to pay a consultant or contractor not designated as an OVW technical assistance provider to develop and/or provide training and/or technical assistance. Participation in OVW-sponsored technical assistance The recipient agrees to attend and participate in OVW-sponsored technical assistance. Technical assistance includes, but is not limited to, national and regional conferences, audio conferences, webinars, peer -to -peer consultations, and workshops conducted by OVW-designated technical assistance providers. Consultant compensation rates The recipient acknowledges that consultants paid with award funds generally may not be paid at a rate in excess of $81.25 per hour, not to exceed $650 per day. To exceed this specified maximum rate, recipients must submit to OVW a detailed justification and have such justification approved by OVW, prior to obligation or expenditure of such funds. Issuance of this award or approval of the award budget alone does not indicate approval of any consultant rate in excess of $81.25 per hour, not to exceed $650 per day. Although prior approval is not required for consultant rates below this specified maximum rate, recipients are required to maintain documentation to support all daily or hourly consultant rates. Compliance with certifications The recipient acknowledges that it has a continuing obligation to remain in compliance with the applicable certification requirements of 34 U.S.C. 10461(c). Limitation on use of funds for direct legal representation The recipient agrees not to use grant funds to provide legal representation in civil or criminal matters, such as family law cases (divorce, custody, visitation, and child support), housing cases, consumer law cases and others. (meant fi inrlc may ha i icarl to nrnvirlin lien@ I rap rocantatinn to virtimc of dowinstir vin!onre dating violence, 04uGamedIt, or stalking only in the limited contetW-pMection order proceedinolea2a https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_IpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40basec!ass. pzProc... 11 /12 6/5/23, 3:07 PM Active Funded Award temporary or long term relief), or for limited immigration matters that may impact and affect the victim's ability to maintain safety (such as U visas). FEE In Prohibition on public awareness activities The recipient agrees that grant funds will not be used to conduct public awareness or community education campaigns or related activities. Grant funds may be used to support, inform, and conduct outreach to victims about available services. 'Q48 Indirect costs The recipient may not obligate, expend, or draw down any award funds for indirect costs, unless and until either (1) the recipient submits to OVW a current, federally -approved indirect cost rate agreement, or (2) the recipient determines that it is eligible under the Part 200 Uniform Requirements to use the "de minimis" indirect cost rate described in 2 C.F.R. 200.414(f), and advises OVW in writing of both its eligibility and its election. 'Q49 Conditional clearance with release of technical assistance funds The recipient acknowledges that the budget for this award is pending review and approval. Until OVW approves the budget, the recipient may not obligate, expend, or draw down any funds, except those that OVW allows for participation in or travel -related expenses to attend OVW-sponsored technical assistance events. Any obligations or expenditures incurred by the recipient prior to the budget being approved are made at the recipient's own risk. If there is another condition on the award prohibiting any obligation, expenditure, and drawdown of any funds, that other condition will control. Remaining funds will not be available for drawdown until OVW's Grants Financial Management Division has approved the budget and budget narrative via a Grant Award Modification (GAM). If applicable, the Indirect Cost Rate will be identified in the GAM when the budget is approved. VA 1 have read and understand the information presented in this section of the Federal Award Instrument. Award Acceptance City Council 19 — 29 8/1/2023 https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40baseclass. pzPro... 12/12 6/18/23, 9:50 PM Active Funded Award Award Letter Award Information Project Information Financial Information This award is offered subject to the conditions or limitations set forth in the Award Information, Project Information, Financial Information, and Award Conditions. The recipient budget is currently under review. R 1 have read and understand the information presented in this section of the Federal Award Instrument. Other Award Documents Award Conditions Award Acceptance City Council 19 — 30 8/1/2023 https://justgrants. usdoj.gov/prweb/PRAuth/app/JG ITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTH READ3?pyActivity=%40baseclass. pzProces... 1 /1 EXHIBIT B Human Options, Inc. Improving Criminal Justice Response (OVW-2022-171037) Santa Ana Police Department -Budget Detail Year 1 # of weeks/meetings hours Rate Total Description Detective Corporal/Detective /Police Officer/Sergeant/Investigative Specialist 50 5 $ 99.68 $ 24,920.00 Case hivestigation/Follow-up Detective Corporal/Detective/Police Officer/Sergeant/Investigative Specialist 50 8 $ 103.69 $ 41,476.00 time in DV Response Care Provide quarterly data report information 2 4 $ 100.50 $ 804.00 Training/travel Budget Training Varies $ 2,800.00 subtotal $ 70,000.00 Year 2 # of weeks/meetings hours Rate Total Description Detective Corporal/Detective /Police Officer/Sergeant/Investigative Specialist 50 5 $ 99.68 $ 24,920.00 Case hivesti ation/Follow-u Detective Corporal/Detective/Police Officer/Sergeant/Investigative Specialist 50 8 $ 103.69 $ 41,476.00 time in DV Response Care Provide quarterly data report information 2 4 $ 100.50 $ 804.00 Training/travel Budget Training Varies S 2,800.00 subtotal S 70,000.00 Year 3 # of weeks/meetings hours Rate Total Description Detective Corporal/Detective /Police Officer/Sergeant/Investigative Specialist 50 5 $ 99.68 $ 24,920.00 Case Investigation/Follow-up Detective Corporal/Detective/Police Officer/Sergeant/hivestigative Specialist 50 8 $ 103.69 $ 41,476.00 time in DV Response Care Provide quarterly data report information 2 4 $ 100.50 $ 804.00 Training/travel Budget Training Varies $ 2,800.00 subtotal $ 70,000.00 City Council 19 — 31 8/1/2023 Travel funds will be available to attend the OVW-mandated technical trainings in accordance with the program guidelines. Remaining funds will be made available to attend any other available and relevant OVW-approved trainings which would enhance or support the work identified in this project. The sites of the training are unknown at this time. Costs are based on average airfare and MME expenses and an average lodging rate of major metropolitan areas for FY2022 Total: $ 210,000.00 The positions within the Santa Ana Police Department (SAPD) listed below will staff the DV Response Car and a DV Investigation Car on an overtime basis, depending upon their availability and the situation. All SAPD personnel involved in the proposed OVW-ICJR project have received special training on domestic violence and related issues. Detective Corporal: Special Crimes Section Detective Corporal is a sworn Peace Officer assigned responsible for supervising the Domestic Violence and Sexual Assault Unit. The Detective Corporal is responsible for report review, scheduling, making supervisory decisions as well as investigating cases. This is a supervising detective position, and the detective corporal has a caseload of sexual assault and domestic violence cases. The Detective Corporal also performs the same investigative tasks as the Domestic Violence Detective in the unit. The Detective Corporal will also compile data to complete monthly reporting required by the grant. The Detective Corporal will also be the lead contact for scheduling SAPD briefings and budget approval of overtime. The Detective Corporal will be the primary liaison with Human Options on the proposed project. Detectives are sworn Peace Officers assigned cases and are tasked with investigating the case. The investigations include: Doing background checks on the suspect, researching the background of the victim and suspect's domestic violence history, obtaining and reviewing prior domestic violence reports, possibly obtaining outside police agency reports, interviewing victims, witnesses and suspects, obtaining medical records from hospitals, doing follow-up photos of victims if necessary, obtaining and reviewing 911 calls, obtaining text messages, phone messages and e-mails, obtaining camera footage at locations where the incident occurred, following up by responding to schools to interview children, submitting cases to the District Attorney's Office for possible filing of charges, obtaining arrest warrants, serving arrest warrants, following up by arresting suspects on cases who were not located at the time the report was taken, testifying in court on cases, doing follow-up investigation requested by the District Attorney on patrol arrests, and other investigative duties required to support the case. The Detective is responsible for closing the casefile and updating the case in the Santa Ana Police Department TriTech System. The Detective maintains their own monthly logs on all their assigned cases. The Detective completes their monthly Statistics at the end of each month and they are submitted to the section Commander. City Council 19 — 32 8/1/2023 Police Officer: Police Officer is a sworn peace officer that may be assigned to the Domestic Violence Response car, the Domestic Violence Investigation Car or assiged to investigate cases in the Special Crimes Section on an overtime basis. Police Officers may also be assigned to perform the duties of the Detective/Investigator, which include: Doing background checks on the suspect, researching the background of the victim and suspect's domestic violence history, obtaining and reviewing prior domestic violence reports, possibly obtaining outside police agency reports, interviewing victims, witnesses and suspects, obtaining medical records from hospitals, doing follow-up photos of victims if necessary, obtaining and reviewing 911 calls, obtaining text messages, phone messages and e-mails, obtaining camera footage at locations where the incident occurred, following up by responding to schools to interview children, submitting cases to the District Attorney's Office for possible filing of charges, obtaining arrest warrants, serving arrest warrants, following up by arresting suspects on cases who were not located at the time the report was taken, testifying in court on cases, doing follow-up investigation requested by the District Attorney on patrol arrests, and other investigative duties required to support the case. Detective Sergeant: Special Crimes Section Detective Sergeant is a sworn Peace Officer responsible for supervising the Domestic Violence Unit, Sexual Assault Unit, Child Abuse Unit, and Sex Registrant Unit. The Detective Sergeant reviews incoming police reports including domestic violence reports and is responsible for case assignments. The Detective Sergeant is also responsible for ensuring proper follow-up is conducted on domestic violence cases and provides direction when appropriate on the investigation. Other duties include the development and implementation of training as it relates to domestic violence and recent case law related to domestic violence. Police Investigative Specialist: Investigators (PIS) are non -sworn professionals assigned cases and are tasked with investigating the case. The investigations include: Doing background checks on the suspect, researching the background of the victim and suspect's domestic violence history, obtaining and reviewing prior domestic violence reports, possibly obtaining outside police agency reports, interviewing victims, witnesses and suspects, obtaining medical records from hospitals, doing follow-up photos of victims if necessary, obtaining and reviewing 911 calls, obtaining text messages, phone messages and e-mails, obtaining camera footage at locations where the incident occurred, following up by responding to schools to interview children, submitting cases to the District Attorney's Office for possible filing of charges, obtaining arrest warrants, serving arrest warrants, following up by arresting suspects on cases who were not located at the time the report was taken, testifying in court on cases, doing follow-up investigation requested by the District Attorney on patrol arrests, and other investigative duties required to support the case. The Investigator is also responsible for ensuring domestic violence victims are provided with resources available to them as victims of domestic violence and is responsible for closing the casefile and updating the case in the Santa Ana Police Department TriTech System. The Investigators maintain their own monthly logs on all their assigned cases. The Investigator completes their monthly Statistics at the end of each month and they are submitted to the section Commander City Council 19 — 33 8/1/2023 Finance and Management Services www.santa-ana.org/departments/finance/ Item # 20 or City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: Adopt Resolution appointing the Executive Director of Finance as Plan Administrator for Employee Savings Plans AGENDA TITLE Adopt Resolution appointing the Executive Director of Finance as Plan Administrator for Employee Savings Plans. RECOMMENDED ACTION Adopt a resolution appointing the Executive Director of Finance as plan administer of the 457(b) Deferred Compensation Plan, the 401(a) Retirement Savings Plan, and the 401(h) Retirement Health Savings Plan. DISCUSSION The City sponsors and administers the following employee savings plans: • Deferred compensation savings plan (Internal Revenue Code section 457(b)); • Retirement savings plan (IRC 401(a)) for past employees; and • Retirement health savings plan (IRC 401(h)). All third -party expenses to administer the plans are paid by current and past participating employees. Although employee savings plan assets are owned by current and past employees, and not the City, the City Council has fiduciary responsibilities for the plans. It has been the practice for the Executive Director of Finance to act as plan administrator, consistent with City Treasurer duties outlined in Santa Ana Municipal Code Section 2-300.8(h) as follows. "Direct treasury administration for the city; including the receiving and collecting of revenues and receipts from whatever source; have custody of all public funds belonging to or under the control of the city or any office, department, or other agency of the city government, and deposit all funds received in such depository as may be designated by resolution of the city council, or, if no such resolution be adopted, by the city City Council 20-1 8/1/2023 Adopt Resolution appointing the Executive Director of Finance as Plan Administrator for Employee Savings Plans. August 1, 2023 Page 2 manager, in compliance with the provisions of the state constitution and laws of the state governing the handling, depositing, and securing of public funds" Staff recommends adoption of the proposed resolution to formalize the delegation of authority to administer the employee savings plans. Administration includes withholding employee contributions from pay, settlement of plan transactions, making administrative changes to plan documents to conform to law and best practices, and selection of third - party record keepers and investment advisors. The Executive Director of Finance is advised by an internal committee comprised of the Human Resources Director and two of his appointees, the Assistant Director of Finance, and one additional appointee from Finance. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with the recommendation. EXHIBIT(S) 1. Resolution Submitted By: Kathryn Downs, Executive Director of Finance and Management Services Approved By: Kristine Ridge, City Manager City Council 20 — 2 8/1/2023 EXHIBIT 1 RESOLUTION NO. 2023-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING RESOLUTIONS 2011-024 AND 2016-053 AND APPOINTING THE EXECUTIVE DIRECTOR OF THE FINANCE AND MANAGEMENT SERVICES AGENCY AS THE PLAN ADMINISTRATOR FOR THE CITY'S 457(B), 401(A) AND 401(H) PLANS. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby finds, determines and declares as follows: A. The City sponsors a 457(b) Deferred Compensation Plan currently through Prudential, 401(a) Retirement Savings Plan through Public Agency Retirement Services ("PARS"), and 401(h) Retirement Health Savings Plan through Mission Square (the "Plans") which are funded through employee salary deferrals and any employer matching contributions authorized by the City Council. All third -party expenses of administering the Plans are paid by those current and former employees participating in the Plans. B. As sponsor, the City has fiduciary obligations relating to the Plans. These fiduciary obligations generally include monitoring the investment funds available to participants in the Plans, determining whether changes should be made to investment funds available through the Plan, maintaining compliance with applicable federal and state laws and regulations, and completing necessary paperwork related to the Plans. C. Pursuant to Resolution 2011-80 as amended by Resolution 2016-053, the Executive Director of Finance was appointed as the City's Plan Trustee and the Executive Director of Human Resources as Plan Administrator for the City's 401(h) Retirement Health Savings Plan. Pursuant to Resolution 2011-024, the Executive Director of Human Resources was designated as Plan Administrator for the 401(a) PARS Plan. D. It is now desired to appoint the Executive Director of Finance and Management Services Agency ("Finance Director") as the Plan Administrator for all the Plans and to amend Resolutions 2011-024 and 2016-053 as to the designated Plan Administrator. Resolution No. 2023-XXX Page 1 of 1 City Council 20 — 3 8/1/2023 Section 2: The Santa Ana City Council hereby amends Resolutions 2011-024 and 2016-053 as to the designation of the Plan Administrator and appoints the Finance Director as Plan Administrator for the 457(b) Deferred Compensation Plan, 401(a) Retirement Savings Plan, and 401(h) Retirement Health Savings Plan, which includes full authority and responsibility to manage all fiduciary requirements associated with the Plans including but not limited to maintaining the City's participation in the Plans, and maintaining compliance with any relevant federal or state law or regulation. Section 3: The Santa Ana City Council further grants the authority to manage all settlor functions associated with the Plans, including but not limited to optional amendments of the Plans, except amendments that increase the cost, which shall require the approval of the City Council. Section 4: The Santa Ana City Council further grants the Finance Director the authority to select, monitor, and deselect service providers as necessary to effectively exercise the authority granted through this Resolution, except for service providers that increase the cost, which shall require approval of the City Council. Section 5: The Santa Ana City Council also hereby grants authority to the Finance Director to delegate or assign specific responsibilities or tasks to City employees or outside service providers utilizing the City's normal contracting provisions provided the Finance Director monitors and manages the actions of such delegates. Section 6. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this 1 st day of August, 2023. Valerie Amezcua Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: N. Laura A. Rossini Chief Assistant City Attorney Resolution No. 2023-XXX Page 2 of 2 City Council 20 — 4 8/1/2023 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, JENNIFER HALL, City Clerk, do hereby attest to and certify the attached Resolution No. 2023- to be the original Resolution adopted by the City Council of the City of Santa Ana on August 1, 2023. Date: City Clerk City of Santa Ana Resolution No. 2023-XXX City Council 20 — 5 8/1 2 of 3 Public Works Agency www.santa-ana.org/public-works Item # 21 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: Citywide Parking Study — Automated License Plate Reader Policy AGENDA TITLE Adopt a Resolution for the Automated License Plate Reader (ALPR) Policy RECOMMENDED ACTION Adopt a Resolution for the Automated License Plate Reader Policy. DISCUSSION The Public Works Agency staff is conducting a comprehensive evaluation of the Permit Parking Program to update the program guidelines and requirements which were established in the early 1990s. As part of the ongoing Permit Parking Program evaluation, parking studies must be conducted to evaluate and inventory public street parking spaces and street density. Traditionally, these studies are conducted manually and are labor and time intensive. In an effort to collect the public street parking spaces data, along with street density, in a highly efficient and expeditious manner, the Public Works Traffic Engineering section is recommending the use of Automated License Plate Reader (ALPR) Technology. ALPR technology functions by automatically capturing an image of a vehicle's license plate, transforming that image into alphanumeric characters using optical character recognition software, and storing that information. There is no personally identifiable information (PI I) captured by the ALPR. The ALPR data does not include the name or address of the registered owner or any other information gleaned from the license plate number associated with a particular vehicle. The ALPR is a smart phone application that does not require special equipment. The sole purpose of the data collection is to assess the curbside vacancy rate i.e., street density. The development and purpose of the ALPR is to define the appropriate use, collection, security, and retention of ALPR data (Exhibit 1). Additionally, the recommended action adopts a resolution (Exhibit 2) of the City Council's intent to conduct a comprehensive evaluation of the Permit Parking program by utilizing ALPR Technology. City Council 21 —1 8/1/2023 Citywide Parking Study — Automated License Plate Reader Policy August 1, 2023 Page 2 ENVIRONMENTAL IMPACT There is no environmental impact associated with the action. FISCAL IMPACT There is no fiscal impact associated with this action. EXHIBIT(S) 1. Automated License Plate Reader (ALPR) Policy for Conducting Parking Studies 2. Resolution Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Kristine Ridge, City Manager City Council 21 —2 8/1/2023 AUTOMATED LICENSE PLATE READER (ALPR) POLICY FOR CONDUCTING PARKING STUDIES 1. Purpose This policy establishes guidelines for the use of Automated License Plate Reader ("ALPR") technology and data specifically for conducting parking studies in the City of Santa Ana ("City"). This policy applies to the use of ALPR technology by all Santa Ana Public Works Traffic Engineering employees, officials, contractors, and volunteers for parking data collection purposes ("PWA"). This policy does not enable the PWA to use ALPR technology for any law enforcement or regulatory purposes. 2. ALPR Definition ALPR technology functions by automatically capturing an image of a vehicle's license plate, transforming that image into alphanumeric characters using optical character recognition software, and storing that information, along with relevant metadata (e.g., geo-location and temporal information, as well as data about the ALPR). There is no Personally Identifiable Information (PII) captured by the ALPR. The ALPR data does not contain any information about the name of the registered owner, address of registered owner, or any other information gleaned from the license plate number associated with a particular vehicle. The data captured by ALPR is equivalent to the data that would otherwise be captured manually during a parking study, so the use of ALPR simply automates the process of data collection. 3. Parking Study Usage ALPR technology allows parking study procedures to be automated, eliminating the manual counting of vehicles and manual recording of license plate numbers required to evaluate parking occupancy and duration trends. No law enforcement database shall interface or integrate with the ALPR technology utilized by PWA to conduct its parking studies. 4. Authorized Users The Public Works Director or their designee ("Director") shall assign personnel to operate and manage the ALPR system for official parking data collection purposes and are authorized to access the ALPR data needed to analyze results. City Council 21 — 3 8/1/2023 PWA shall not use, or allow others to use, the ALPR equipment or database records for any unauthorized purpose. The Director shall ensure that the ALPR system is operated in conformity with this policy and other City policies, procedures, rules and regulations. The Director shall enforce this policy and shall act as the Department Head for all disciplinary and enforcement actions for any violations by PWA. Use of an ALPR is restricted to the purposes outlined below. PWA members shall not use, or allow others to use the equipment or database records for any unauthorized purpose. (a) Any ALPR owned or operated by the Public Works Agency ("Department") shall only be used for official parking data collection while conducting parking studies. This includes the evaluation of parking occupancy and duration trends for the purpose of evaluating parking program policies. (b) No member of the Department shall operate ALPR equipment or access ALPR data without first completing department -approved training. (c) No ALPR operator may access the Department's data unless otherwise authorized to do so. 5. Restricted Uses The PWA shall only use ALPR Technology to collect license plate data within view of the public right-of-way. The PWA shall use ALPR Technology consistent with this policy and all applicable City, State, and Federal laws. The Department shall not share ALPR information with any commercial or private entity, other than PWA parking contractors, as necessary for the conduct of PWA parking studies and operations. Information gathered or collected and records retained by the Department shall not be: (a) Sold, published, exchanged, or disclosed for commercial purposes. (b) Disclosed without authorization or disseminated to persons not otherwise authorized to access or use the ALPR information. 6. ALPR Data Collection and Retention The ALPR data contains no Personally Identifiable Information (PII) that may be used to connect license plate numbers detected to an individual. The Federal Driver's Privacy Protection Act (DPPA) already prohibits the release or use of any State DMV or any officer, employee, or contractor thereof of personal information in connection with a motor vehicle record. ALPR data shall be stored in accordance with the Department's established records retention schedule except that the license plate numbers recorded by ALPR shall not be retained beyond twenty-four (24) hours. City Council 21 — 4 8/1/2023 7. Information Sharing This policy is specifically intended to address the use of ALPR for conducting parking studies. The ALPR data does not contain any information about the name of the registered owner, address of registered owner, or any other information gleaned from the license plate number associated with a particular vehicle. For the purposes of parking studies, PWA may periodically access ALPR data to analyze parking demand. This analysis process shall not use actual license plate numbers, and instead the raw license plate number data shall be hashed to produce anonymized data for the purposes of the data analysis. 8. Training All authorized ALPR users shall first complete department -approved training on the proper handling of ALPR data. The training addresses appropriate handling and transmission procedures, as well as consequences of an ALPR data security breach. 9. Information Security All data shall be closely safeguarded and protected by both procedural and technological means: (a) All ALPR data downloaded to the mobile workstation and in storage shall be accessible only through a login/password-protected system capable of documenting all access of information by name, date, and time. (b) Members approved to access ALPR data under these guidelines are permitted to access the data for legitimate parking study purposes only, such as evaluating parking occupancy and duration trends to determine potential parking policy adjustments. (c) ALPR systems audits will be conducted on a regular basis. City Council 21 — 5 8/1/2023 00111-21111110 RESOLUTION NO. 2023-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING THE CITY OF SANTA ANA AUTOMATED LICENSE PLATE READER (ALPR) POLICY FOR CONDUCTING PARKING STUDIES BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines, and declares as follows: A. The Public Works Agency staff is conducting a comprehensive evaluation of the Permit Parking Program to update the program guidelines and requirements which were established in the early 1990s. B. As part of the ongoing Permit Parking Program evaluation, parking studies must be conducted to evaluate and inventory public street parking spaces along with street density. C. In an effort to collect the data required to evaluate and inventory public street parking spaces along with street density in a highly efficient and expeditious rate, traffic engineering staff has chosen to use Automated License Plate Reader ("ALPR") Technology. D. The development and purpose of the Automated License Plate Reader Policy is to define the appropriate use, collection, security, and retention of ALPR data. E. After review and consideration, the City Council wishes to adopt the proposed Automated License Plate Reader Policy for Conducting Parking Studies, a copy of which is attached as Exhibit 1 ("Policy"). Section 2. The City Council of the City of Santa Ana hereby approves and adopts the Policy for purposes of conducting parking studies in the City of Santa Ana. 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. [Signatures on the following Page] Resolution No. 2023-XXX of City Council 21 — 6 8/1 23 ADOPTED this day of Valerie Amezcua Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Jose Montoya Assistant City Attorney AYES: NOES: Councilmembers Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 2023. CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Jennifer L. Hall, City Clerk, do hereby certify the attached Resolution No. 2023 - to be the original resolution adopted by the City Council of the City of Santa Ana on , 2023. Date: City Clerk City of Santa Ana Resolution No. 2023-XXX of City Council 21 — 7 8/1 23 Planning and Building Agency santa-ana.org/departments/planning-and-building/ Item # 22 or City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: Resolution Adopting Local CEQA Guidelines Resolution AGENDA TITLE Adoption of 2023 Local Guidelines for Implementing the California Environmental Quality Act ("CEQA") RECOMMENDED ACTION Adopt a resolution adopting the 2023 Local Guidelines for Implementing the California Environmental Quality Act for the City of Santa Ana. DISCUSSION The California Environmental Quality Act ("CEQA"), codified at Public Resources Code section 21000, et seq., is California's most comprehensive environmental law. It generally requires public agencies to evaluate the environmental effects of their actions before they are taken. CEQA also aims to disclose significant environmental effects of projects and prevent significant environmental effects from occurring as a result of agency actions by requiring agencies to avoid or reduce, when feasible, the significant environmental impacts of their decisions. Local CEQA Guidelines CEQA requires public agencies to adopt specific objectives, criteria, and procedures for evaluating public and private projects that are undertaken or approved by such agencies. As in prior years, Best, Best and Krieger (BB&K) assisted the City of Santa Ana in preparing a set of Local CEQA Guidelines that are in compliance with CEQA's requirements. The Local Guidelines provide step-by-step procedures for evaluating projects prior to approval including: • General Provisions & Definitions • Time Limits • Initial Study • Exemptions • Negative Declarations/Mitigated Negative Declarations City Council 22 — 1 8/1/2023 Resolution Adopting Local CEQA Guidelines Resolution August 1, 2023 Page 2 • Environmental Impact Reports • Forms The Local CEQA Guidelines will become effective upon adoption. New projects or projects that have not circulated CEQA documents for public review before the effective date must comply with the City's new CEQA Guidelines. ENVIRONMENTAL IMPACT No environmental impact is anticipated from amending the Local CEQA Guidelines. The City of Santa Ana's adoption of the attached Resolution is not a project under State CEQA Guidelines section 15378(b)(5) because it involves an administrative activity and would not result in any environmental impacts. FISCAL IMPACT There is no fiscal impact associated with this action. EXHIBIT(S) 1. Resolution adopting the Local CEQA Guidelines Submitted By: Minh Thai, Executive Director of Planning and Building Agency Approved By: Kristine Ridge, City Manager City Council 22 — 2 8/1/2023 RESOLUTION NO. 2023-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING LOCAL CEQAGUIDELINES FOR IMPLEMENTING THE CALIFORNIA ENVIRONMENTAL QUALITY ACT (PUBLIC RESOURCES CODE SECTIONS 21000 ET SEQ.) WHEREAS, the California Legislature has amended the California Environmental Quality Act ("CEQA") (Public Resources Code sections 21000 et seq.), the Natural Resources Agency has amended the State CEQA Guidelines (California Code of Regulations, Title 14, sections 15000 et seq.), and the California courts have interpreted specific provisions of CEQA; and WHEREAS, Public Resources Code section 21082 requires all public agencies to adopt objectives, criteria and procedures for (1) the evaluation of public and private projects undertaken or approved by such public agencies, and (2) the preparation, if required, of environmental impact reports and negative declarations in connection with that evaluation; and WHEREAS, the City of Santa Ana has prepared local guidelines for implementing CEQA to make them consistent with the current provisions and interpretations of CEQA and the State CEQA Guidelines. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Ana as follows: Section 1. The City hereby adopts the "2023 Local Guidelines for Implementing the California Environmental Quality Act for City of Santa Ana," attached hereto and incorporated herein as Attachment A, a copy of which is on file at the offices of the City and is available for inspection by the public. Section 2. It is the intent of the City to conform to the requirements of the State CEQA Guidelines and CEQA. If any of the specific procedures or provisions adopted herein should be in conflict with CEQA or the State CEQA Guidelines, then CEQA and the State Guidelines shall prevail. The City may administer its responsibilities under CEQA in any manner which meets the requirements of CEQA, notwithstanding the specific procedures set forth in the City's Local CEQA Guidelines. All future revisions to CEQA and the State CEQA Guidelines shall hereafter be considered to be part of the City's implementing procedures without further action by the City Council. Section 3. No environmental impact is anticipated from the adoption of the 2023 Local CEQA Guidelines. The City's adoption of the attached Resolution is not a project under State CEQA Guidelines section 15378(b)(5) because it involves an administrative activity that will not result in direct or indirect physical changes in the environment. 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. Resolution No. 2023-XXX Page 1 of 2 City Council EXHIBIT 1 22 — 3 8/1/2023 ADOPTED this day of Valerie Amezcua Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By:_:- �� John M. Funk Chief Assistant City Attorney AYES: NOES: Councilmembers Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 2023. CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Jennifer Hall, City Clerk, do hereby certify the attached Resolution No. 2023- to be the original resolution adopted by the City Council of the City of Santa Ana on 2023. Date: City Clerk Resolution No. 2023-XXX Page 2 of 2 City Council 22 — 4 8/1/2023 2023 LOCAL GUIDELINES FOR IMPLEMENTING THE CALIFORNIA ENVIRONMENTAL QUALITY ACT FOR CITY OF SANTA ANA ATTACHMENT A City Council 22 — 5 8/1/2023 TABLE OF CONTENTS Page 1. GENERAL PROVISIONS, PURPOSE AND POLICY.................................................1-1 1.01 General Provisions . ............................................................................................. 1-1 1.02 Purpose................................................................................................................1-1 1.03 Applicability . ...................................................................................................... 1-1 1.04 Reducing Delay and Paperwork..........................................................................1-2 1.05 Compliance With State Law............................................................................... 1-2 1.06 Terminology........................................................................................................1-3 1.07 Partial Invalidity..................................................................................................1-3 1.08 Electronic Delivery of Comments and Notices . ................................................. 1-3 1.09 The City May Charge Reasonable Fees For Reproducing Environmental Documents. ......................................................................................................... 1-3 1.10 Time of Preparation............................................................................................1-4 1.11 State Agency Furloughs......................................................................................1-5 2. LEAD AND RESPONSIBLE AGENCIES....................................................................2-1 2.01 Lead Agency Principle........................................................................................2-1 2.02 Selection of Lead Agency................................................................................... 2-1 2.03 Duties of a Lead Agency.....................................................................................2-1 2.04 CEQA Determinations Made by Non -Elected Body; Procedure to Appeal SuchDeterminations........................................................................................... 2-3 2.05 Projects Relating to Development of Hazardous Waste and Other Sites........... 2-3 2.06 Responsible Agency Principle............................................................................ 2-4 2.07 Duties of a Responsible Agency......................................................................... 2-4 2.08 Response to Notice of Preparation by Responsible Agencies ............................ 2-4 2.09 Use of Final EIR or Negative Declaration by Responsible Agencies ................ 2-5 2.10 Shift in Lead Agency Responsibilities................................................................ 2-5 3. ACTIVITIES EXEMPT FROM CEQA......................................................................... 3-1 3.01 Actions Subject to CEQA................................................................................... 3-1 3.02 Ministerial Actions..............................................................................................3-1 3.03 Exemptions in General........................................................................................ 3-2 3.04 Notice of Exemption........................................................................................... 3-2 3.05 Disapproved Projects.......................................................................................... 3-3 -I- City Council 22 — 6 8/1/2023 TABLE OF CONTENTS (continued) Page 3.06 Projects with No Possibility of Significant Effect .............................................. 3-4 3.07 Emergency Projects............................................................................................ 3-4 3.08 Feasibility and Planning Studies......................................................................... 3-4 3.09 Rates, Tolls, Fares, and Charges......................................................................... 3-5 3.10 Pipelines within a Public Right -of -Way and Less Than One Mile in Length................................................................................................................. 3-5 3.11 Pipelines of Less Than Eight Miles in Length .................................................... 3-5 3.12 Certain Residential Housing Projects................................................................. 3-7 3.13 Minor Alterations to Fluoridate Water Utilities ................................................ 3-13 3.14 Ballot Measures................................................................................................ 3-13 3.15 Transit Priority Project...................................................................................... 3-14 3.16 Certain Infill Projects........................................................................................3-14 3.17 Exemption for Infill Projects In Transit Priority Areas .................................... 3-17 3.18 Exemption for Residential Projects Undertaken Pursuant to a Specific Plan... 3-17 3.19 Transfer of Land for The Preservation of Natural Conditions .......................... 3-17 3.20 Transit Prioritization Projects........................................................................... 3-18 3.21 Transportation Plans, Pedestrian Plans, and Bicycle Transportation Plans...... 3-20 3.22 Water System Wells and Domestic Well Projects............................................3-21 3.23 Small Disadvantaged Community Water System and State Small Water System............................................................................................................... 3 -22 3.24 Conservation and Restoration of California Native Fish and Wildlife ............. 3-23 3.25 Linear Broadband Deployment in a Right -of -Way .......................................... 3-24 3.26 Needle and Syringe Exchange Services............................................................ 3-25 3.27 Other Specific Exemptions............................................................................... 3-25 3.28 Categorical Exemptions.................................................................................... 3-25 4. TIME LIMITATIONS....................................................................................................4-1 4.01 Review of Private Project Applications.............................................................. 4-1 4.02 Determination of Type of Environmental Document ......................................... 4-1 4.03 Completion and Adoption of Negative Declaration ........................................... 4-1 4.04 Completion and Certification of Final EIR......................................................... 4-1 4.05 Projects Subject to the Permit Streamlining Act.................................................4-2 City Council 22 — 7 8/1/2023 TABLE OF CONTENTS (continued) Page 4.06 Projects, Other Than Those Subject to the Permit Streamlining Act, with Short Time Periods for Approval........................................................................ 4-2 4.07 Waiver or Suspension of Time Periods.............................................................. 4-3 5. INITIAL STUDY............................................................................................................5-1 5.01 Preparation of Initial Study................................................................................. 5-1 5.02 Informal Consultation with Other Agencies....................................................... 5-1 5.03 Consultation with Private Project Applicant....................................................... 5-2 5.04 Projects Subject to NEPA................................................................................... 5-2 5.05 An Initial Study................................................................................................... 5-3 5.06 Contents of Initial Study..................................................................................... 5-4 5.07 Use of a Checklist Initial Study.......................................................................... 5-4 5.08 Evaluating Significant Environmental Effects .................................................... 5-5 5.09 Determining the Significance of Transportation Impacts...................................5-6 5.10 Mandatory Findings of Significant Effect.......................................................... 5-7 5.11 Mandatory Preparation of an EIR for Waste -Burning Projects .......................... 5-8 5.12 Development Pursuant To An Existing Community Plan And EIR................... 5-9 5.13 Land Use Policies............................................................................................. 5-10 5.14 Evaluating Impacts on Historical Resources .................................................... 5-10 5.15 Evaluating Impacts on Archaeological Sites .................................................... 5-11 5.16 Consultation with Water Agencies Regarding Large Development Projects.............................................................................................................. 5-12 5.17 Subdivisions with More Than 500 Dwelling Units .......................................... 5-14 5.18 Impacts to Oak Woodlands............................................................................... 5-15 5.19 Climate Change And Greenhouse Gas Emissions . ........................................... 5-15 5.20 Energy Conservation......................................................................................... 5-19 5.21 Environmental Impact Assessment................................................................... 5-20 5.22 Final Determination.......................................................................................... 5-20 6. NEGATIVE DECLARATION.......................................................................................6-1 6.01 Decision to Prepare a Negative Declaration....................................................... 6-1 6.02 Decision to Prepare a Mitigated Negative Declaration ....................................... 6-1 6.03 Contracting for Preparation of Negative Declaration or Mitigated Negative Declaration.......................................................................................................... 6-1 City Council 22 — 8 8/1/2023 TABLE OF CONTENTS (continued) Page 6.04 Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration.......................................................................................................... 6-1 6.05 Projects Affecting Military Services; Department of Defense Notification....... 6-4 6.06 Special Findings Required for Facilities That May Emit Hazardous Air Emissions Near Schools...................................................................................... 6-4 6.07 Consultation with California Native American Tribes ....................................... 6-5 6.08 Identification of Tribal Cultural Resources and Processing of Information after Consultation with the California native American tribe ............................. 6-6 6.09 Significant Adverse Impacts to Tribal Cultural Resources ................................. 6-8 6.10 Posting and Publication of Negative Declaration or Mitigated Negative Declaration.......................................................................................................... 6-9 6.11 Submission of Negative Declaration or Mitigated Negative Declaration to StateClearinghouse.......................................................................................... 6-10 6.12 Special Notice Requirements for Waste- and Fuel -Burning Projects ............... 6-12 6.13 Consultation with Water Agencies Regarding Large Development Projects.............................................................................................................. 6-12 6.14 Content of Negative Declaration or Mitigated Negative Declaration .............. 6-13 6.15 Types of Mitigation........................................................................................... 6-13 6.16 Adoption of Negative Declaration or Mitigated Negative Declaration............ 6-13 6.17 Mitigation Reporting or Monitoring Program for Mitigated Negative Declaration........................................................................................................ 6-14 6.18 Approval or Disapproval of Project.................................................................. 6-15 6.19 Recirculation of a Negative Declaration or Mitigated Negative Declaration........................................................................................................ 6-15 6.20 Notice of Determination on a Project for Which a Proposed Negative or Mitigated Negative Declaration Has Been Approved ...................................... 6-16 6.21 Addendum to Negative Declaration or Mitigated Negative Declaration.......... 6-17 6.22 Subsequent Negative Declaration or Mitigated Negative Declaration ............. 6-17 6.23 Private Project Costs......................................................................................... 6-18 6.24 Filing Fees for Projects That Affect Wildlife Resources .................................. 6-19 7. ENVIRONMENTAL IMPACT REPORT..................................................................... 7-1 7.01 Decision to Prepare an EIR................................................................................. 7-1 7.02 Contracting for Preparation of EIRs................................................................... 7-1 7.03 Notice of Preparation of Draft EIR..................................................................... 7-1 City Council 22 — 9 8/1/2023 TABLE OF CONTENTS (continued) Page 7.04 Special Notice Requirements for Affected Military Agencies ........................... 7-3 7.05 Environmental Leadership Development Project ............................................... 7-3 7.06 Preparation of Draft EIR..................................................................................... 7-5 7.07 Consultation with California Native American Tribes ....................................... 7-6 7.08 Identification of Tribal Cultural Resources and Processing of Information after Consultation with the California native American tribe ............................. 7-7 7.09 Significant Adverse Impacts to Tribal Cultural Resources ................................. 7-8 7.10 Consultation with Other Agencies and Persons .................................................. 7-9 7.11 Early Consultation on Projects Involving Permit Issuance...............................7-11 7.12 Consultation with Water Agencies Regarding Large Development Projects.............................................................................................................. 7-11 7.13 Airport Land Use Plan...................................................................................... 7-11 7.14 General Aspects of an EIR................................................................................ 7-12 7.15 Use of Registered Consultants in Preparing EIRs............................................ 7-12 7.16 Incorporation by Reference............................................................................... 7-12 7.17 Standards for Adequacy of an EIR................................................................... 7-13 7.18 Form and Content of EIR.................................................................................. 7-13 7.19 Consideration and Discussion of Significant Environmental Impacts . ............ 7-15 7.20 Environmental Setting...................................................................................... 7-16 7.21 Analysis of Cumulative Impacts.......................................................................7-17 7.22 Analysis of Mitigation Measures...................................................................... 7-19 7.23 Analysis of Alternatives in an EIR................................................................... 7-20 7.24 Analysis of Future Expansion........................................................................... 7-22 7.25 Notice of Completion of Draft EIR; Notice of Availability of Draft EIR........ 7-23 7.26 Submission of Draft EIR to State Clearinghouse ............................................. 7-25 7.27 Special Notice Requirements for Waste- And Fuel -Burning Projects .............. 7-27 7.28 Time For Review of Draft EIR; Failure to Comment ....................................... 7-27 7.29 Public Hearing on Draft EIR............................................................................. 7-28 7.30 Response to Comments on Draft EIR............................................................... 7-29 7.31 Preparation and Contents of Final EIR............................................................. 7-29 7.32 Recirculation When New Information Is Added to EIR................................... 7-30 -v- City Council 22 — 10 8/1/2023 TABLE OF CONTENTS (continued) Page 7.33 Certification of Final EIR................................................................................. 7-31 7.34 Consideration of EIR Before Approval or Disapproval of Project ................... 7-31 7.35 Findings.............................................................................................................7-32 7.36 Special Findings Required for Facilities That May Emit Hazardous Air Emissions Near Schools.................................................................................... 7-33 7.37 Statement of Overriding Considerations........................................................... 7-33 7.38 Mitigation Monitoring or Reporting Program for EIR..................................... 7-34 7.39 Notice of Determination................................................................................... 7-36 7.40 Disposition of a Final EIR................................................................................ 7-37 7.41 Private Project Costs......................................................................................... 7-37 7.42 Filing Fees for Projects That Affect Wildlife Resources .................................. 7-37 8. TYPES OF EIRS............................................................................................................. 8-1 8.01 EIRs Generally....................................................................................................8-1 8.02 Tiering.................................................................................................................8-1 8.03 Project EIR.......................................................................................................... 8-2 8.04 Subsequent EIR................................................................................................... 8-3 8.05 Supplemental EIR............................................................................................... 8-4 8.06 Addendum to an EIR.......................................................................................... 8-4 8.07 Staged EIR.......................................................................................................... 8-4 8.08 Program EIR....................................................................................................... 8-5 8.09 Use of a Program EIR with Subsequent EIRs and Negative Declarations......... 8-5 8.10 Use of an EIR from an Earlier Project................................................................ 8-6 8.11 Master EIR.......................................................................................................... 8-6 8.12 Focused EIR........................................................................................................ 8-8 8.13 Special Requirements for Redevelopment Projects ............................................ 8-9 9. AFFORDABLE HOUSING........................................................................................... 9-1 9.01 Streamlined, ministerial approval process for affordable housing projects........ 9-1 9.02 Ministerial approval process for urban lot splits and housing developments with no more than two residential units within a single-family residential zone(SB 9)....................................................................................................... 9-22 9.03 Approval of ordinance to zone any parcel for up to 10 units of residential density per parcel in certain circumstances (SB 10)......................................... 9-26 City Council 22 —11 8/1/2023 10 11 TABLE OF CONTENTS (continued) Page 9.04 Housing Sustainability Districts....................................................................... 9-27 9.05 Interim Motel Housing Projects........................................................................9-27 9.06 Supportive Housing And "No Place Like Home" Projects . ............................. 9-28 9.07 Shelter Crisis and Emergency Housing............................................................ 9-28 9.08 Affordable Housing Developments in Commercial Zones ............................... 9-29 9.09 Mixed -Income Housing Developments Along Commercial Corridors............ 9-31 CEQALITIGATION.................................................................................................... 10-1 10.01 Timelines...........................................................................................................10-1 10.02 Mediation and Settlement . ................................................................................ 10-1 10.03 Administrative Record...................................................................................... 11-1 DEFINITIONS.............................................................................................................. 11-1 11.01 "Agricultural Employee"..................................................................................11-1 11.02 "Applicant".......................................................................................................11-1 11.03 "Approval"........................................................................................................11-1 11.04 `Baseline".........................................................................................................11-2 11.05 "California Native American Tribe"................................................................. 11-2 11.06 "Categorical Exemption"..................................................................................11-2 11.07 "Census -Defined Place"....................................................................................11-2 11.08 "CEQA"............................................................................................................11-2 11.09 "City„................................................................................................................11-2 11.10 "Clerk".............................................................................................................. 11-2 11.11 "Community -Level Environmental Review" ................................................... 11-2 11.12 "Consultation"...................................................................................................11-3 11.13 "Cumulative Impacts"....................................................................................... 11-3 11.14 "Cumulatively Considerable"...........................................................................11-3 11.15 "Decision -Making Body„.................................................................................11-3 11.16 "Developed Open Space".................................................................................11-3 11.17 "Development Project".....................................................................................11-3 11.18 "Discretionary Project".....................................................................................11-4 11.19 "EIR................................................................................................................... 11-4 11.20 "Emergency„....................................................................................................11-4 City Council 22 — 12 8/1 /2023 TABLE OF CONTENTS (continued) Page 11.21 "Endangered, Rare or Threatened Species"......................................................11-4 11.22 "Environment"..................................................................................................11-4 11.23 "Feasible"..........................................................................................................11-5 11.24 "Final EIR"....................................................................................................... 11-5 11.25 "Greenhouse Gases"......................................................................................... 11-5 11.26 "Guidelines" or "Local Guidelines"................................................................. 11-5 11.27 "Highway„........................................................................................................ 11-5 11.28 "Historical Resources"......................................................................................11-5 11.29 "Infill Site"........................................................................................................ 11-6 11.30 "Initial Study..................................................................................................... 11-6 11.31 "Jurisdiction by Law"....................................................................................... 11-6 11.32 "Land Disposal Facility..................................................................................... 11-7 11.33 "Large Treatment Facility„............................................................................... 11-7 11.34 "Lead Agency....................................................................................................11-7 11.35 "Low- and Moderate -Income Households"......................................................11-7 11.36 "Low -Income Households"..............................................................................11-7 11.37 "Low -Level Flight Path"................................................................................... 11-7 11.38 "Lower Income Households"............................................................................ 11-7 11.39 "Major Transit Stop........................................................................................... 11-8 11.40 "Metropolitan Planning Organization" or"MPO... .......................................... 11-8 11.41 "Military Impact Zone".....................................................................................11-8 11.42 "Military Service".............................................................................................11-8 11.43 "Ministerial".....................................................................................................11-8 11.44 "Mitigated Negative Declaration" or "MND"..................................................11-9 11.45 "Mitigation"...................................................................................................... 11-9 11.46 "Negative Declaration" or "ND"...................................................................... 11-9 11.47 "Notice of Completion"....................................................................................11-9 11.48 "Notice of Determination"................................................................................11-9 11.49 "Notice of Exemption".....................................................................................11-9 11.50 "Notice of Preparation".....................................................................................11-9 11.51 "Oak"................................................................................................................11-9 City Council 22 - 13 8/1/2023 TABLE OF CONTENTS (continued) Page 11.52 "Oak Woodlands"...........................................................................................11-10 11.53 "Offsite Facility...............................................................................................11-10 11.54 "Person"..........................................................................................................11-10 11.55 "Pipeline"........................................................................................................11-10 11.56 "Private Project".............................................................................................11-10 11.57 "Project"..........................................................................................................11-10 11.58 "Project -Specific Effects"...............................................................................11-11 11.59 "Public Water System"...................................................................................11-11 11.60 "Qualified Urban Use"....................................................................................11-11 11.61 "Residential"...................................................................................................11-11 11.62 "Responsible Agency„....................................................................................11-11 11.63 "Riparian areas"..............................................................................................11-11 11.64 "Roadway„......................................................................................................11-12 11.65 "Significant Effect".........................................................................................11-12 11.66 "Significant Value as a Wildlife Habitat".......................................................11-12 11.67 "Special Use Airspace"...................................................................................11-12 11.68 "Staff'.............................................................................................................11-12 11.69 "Standard".......................................................................................................11-12 11.70 "State CEQA Guidelines"...............................................................................11-13 11.71 "Substantial Evidence"...................................................................................11-13 11.72 "Sustainable Communities Strategy"..............................................................11-13 11.73 "Tiering„.........................................................................................................11-13 11.74 "Transit Priority Area"....................................................................................11-13 11.75 "Transit Priority Project"................................................................................11-14 11.76 "Transportation Facilities"..............................................................................11-14 11.77 "Tribal Cultural Resources"............................................................................11-14 11.78 "Trustee Agency..............................................................................................11-15 11.79 "Urban Growth Boundary„.............................................................................11-15 11.80 "Urbanized Area"............................................................................................11-15 11.81 "Water Acquisition Plans"..............................................................................11-16 11.82 "Water Assessment" or "Water Supply Assessment"....................................11-16 City Council 22 - 14 8/1/2023 TABLE OF CONTENTS (continued) Page 11.83 "Water Demand Project"................................................................................11-16 11.84 "Waterway.......................................................................................................11-17 11.85 "Wetlands"......................................................................................................11-17 11.86 "Wildlife Habitat"...........................................................................................11-17 11.87 "Zoning Approval"........................................................................................11-17 12. FORMS.........................................................................................................................12-1 13. COMMON ACRONYMS............................................................................................13-1 -x- City Council 22 — 15 8/1/2023 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) GENERAL PROVISIONS, PURPOSE AND POLICY. LOCAL GUIDELINES FOR IMPLEMENTING THE CALIFORNIA ENVIRONMENTAL QUALITY ACT (2023) 1. GENERAL PROVISIONS, PURPOSE AND POLICY. 1.01 GENERAL PROVISIONS. These Local Guidelines ("Local Guidelines") are to assist the City of Santa Ana ("City") in implementing the provisions of the California Environmental Quality Act ("CEQA"). These Local Guidelines are consistent with the Guidelines for the Implementation of CEQA ("State CEQA Guidelines"), which have been promulgated by the California Natural Resources Agency for the guidance of state and local agencies in California. These Local Guidelines have been adopted pursuant to California Public Resources Code section 21082. 1.02 PURPOSE. The purpose of these Local Guidelines is to help the City accomplish the following basic objectives of CEQA: (a) To enhance and provide long-term protection for the environment, while providing a decent home and satisfying living environment for every Californian; (b) To provide information to governmental decision -makers and the public regarding the potential significant environmental effects of the proposed project; (c) To provide an analysis of the environmental effects of future actions associated with the project to adequately apprise all interested parties of the true scope of the project for intelligent weighing of the environmental consequences of the project; (d) To identify ways that environmental damage can be avoided or significantly reduced; (e) To prevent significant avoidable environmental damage through utilization of feasible project alternatives or mitigation measures; and (f) To disclose and demonstrate to the public the reasons why a governmental agency approved the project in the manner chosen. Public participation is an essential part of the CEQA process. Each public agency should encourage wide public involvement, formal and informal, in order to receive and evaluate public reactions to environmental issues related to a public agency's activities. Such involvement should include, whenever possible, making environmental information available in electronic format on the Internet, on a web site maintained or utilized by the public agency. 1.03 APPLICABILITY. These Local Guidelines apply to any activity that constitutes a "project," as defined in Local Guidelines Section 11.57, for which the City is the Lead Agency or a Responsible Agency. These Local Guidelines are also intended to assist the City in determining whether a proposed 2023 tot OUf1Cl ca ur a mes - ZZ — G es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) GENERAL PROVISIONS, PURPOSE AND POLICY. activity constitutes a project that is subject to CEQA review, or whether the activity is exempt from CEQA. 1.04 REDUCING DELAY AND PAPERWORK. The State CEQA Guidelines encourage local governmental agencies to reduce delay and paperwork by, among other things: (a) Integrating the CEQA process into early planning review; to this end, the project approval process and these procedures, to the maximum extent feasible, are to run concurrently, not consecutively; (b) Identifying projects which fit within categorical or other exemptions and are therefore exempt from CEQA processing; (c) Using initial studies to identify significant environmental issues and to narrow the scope of Environmental Impact Reports (EIRs); (d) Using a Negative Declaration when a project, not otherwise exempt, will not have a significant effect on the environment; (e) Consulting with state and local responsible agencies before and during the preparation of an EIR so that the document will meet the needs of all the agencies which will use it; (f) Allowing applicants to revise projects to eliminate possible significant effects on the environment, thereby enabling the project to qualify for a Negative Declaration rather than an EIR; (g) Integrating CEQA requirements with other environmental review and consultation requirements; (h) Emphasizing consultation before an EIR is prepared, rather than submitting adverse comments on a completed document; (i) Combining environmental documents with other documents, such as general plans; (j) Eliminating repetitive discussions of the same issues by using EIRs on programs, policies or plans and tiering from statements of broad scope to those of narrower scope; (k) Reducing the length of EIRs by means such as setting appropriate page limits; (1) Preparing analytic, rather than encyclopedic, EIRs; (m) Mentioning insignificant issues only briefly; (n) Writing EIRs in plain language; (o) Following a clear format for EIRs; (p) Emphasizing the portions of the EIR that are useful to decision -makers and the public and reducing emphasis on background material; (q) Incorporating information by reference; and (r) Making comments on EIRs as specific as possible. 1.05 COMPLIANCE WITH STATE LAW. These Local Guidelines are intended to implement the provisions of CEQA and the State CEQA Guidelines, and the provisions of CEQA and the State CEQA Guidelines shall be fully complied with even though they may not be set forth or referred to herein. 2023 tot OUf1Cl ca ur a mes - ZZ — 7 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) GENERAL PROVISIONS, PURPOSE AND POLICY. 1.06 TERMINOLOGY. The terms "must" or "shall" identify mandatory requirements. The terms "may" and "should" are permissive, with the particular decision being left to the discretion of the City. 1.07 PARTIAL INVALIDITY. In the event any part or provision of these Local Guidelines shall be determined to be invalid, the remaining portions that can be separated from the invalid unenforceable provisions shall continue in full force and effect. 1.08 ELECTRONIC DELIVERY OF COMMENTS AND NOTICES. Individuals may file a written request to receive copies of public notices provided for under these Local Guidelines or the State CEQA Guidelines. The requestor may elect to receive these notices via email rather than regular mail. Notices sent by email are deemed delivered when the staff person sending the email sends it to the last email address provided by the requestor to the City. Any request to receive public notices shall be in writing and shall be renewed annually. Individuals may also submit comments on the CEQA documentation for a project via email. Comments submitted via email shall be treated as written comments for all purposes. Comments sent to the City via email are deemed received when they actually arrive in an email account of a staff person who has been designated or identified as the point of contact for a particular project. The City must also post certain environmental documents (such as Draft and Final Environmental Impact Reports, Draft Negative Declarations and Draft Mitigated Negative Declarations) and CEQA notices (such as Notices of Preparation, Notices of Availability, Notices of Intent to Adopt a Negative Declaration, Notices of Exemption, and Notices of Determination) on its website, if any. (Reference: Pub. Resources Code, §§ 21082.1, 21091(d)(3), 21092.2.) 1.09 THE CITY MAY CHARGE REASONABLE FEES FOR REPRODUCING ENVIRONMENTAL DOCUMENTS. A public agency may charge and collect a reasonable fee from members of the public that request a copy of an environmental document, so long as the fee does not exceed the cost of reproduction. The kinds of "environmental documents" that CEQA specifically allows public agencies to seek reimbursement for include: initial studies, negative declarations, mitigated negative declarations, draft and final EIRs, and documents prepared as a substitute for an EIR, negative declaration, or mitigated negative declaration. The City shall make CEQA-related documents (e.g., Negative Declarations, Mitigated Negative Declarations, Draft EIRs, Final EIRs, and notices relating to these documents) available to the public -at -large on its website. Requests for documents made pursuant to the California Public Records Act must comply with the Government Code. (See, for example, Government Code section 7922.570 for information regarding providing documents in electronic format.) 2023 tAna - es gfr LLP ot OUI22_1$ Local Guidelines for Irnplementing the California Environmental Quality Act (2023) GENERAL PROVISIONS, PURPOSE AND POLICY. 1.10 TIME OF PREPARATION Before granting any approval of a non-exempt project subject to CEQA, the Lead Agency or Responsible Agency shall consider either (1) a Final EIR, (2) a Negative Declaration, (3) a Mitigated Negative Declaration, or (4) another document authorized by the State CEQA Guidelines to be used in the place of an EIR or Negative Declaration (e.g., an Addendum, a Supplemental EIR, a Subsequent EIR, etc.). Choosing the precise time for CEQA compliance involves a balancing of competing factors. EIRs, Negative Declarations, and Mitigated Negative Declarations should be prepared as early as feasible in the planning process to enable environmental considerations to influence project program and design and yet late enough to provide meaningful information for environmental assessment. With public projects, at the earliest feasible time, project sponsors shall incorporate environmental considerations into project conceptualization, design, and planning. CEQA compliance should be completed prior to acquisition of a site for a public project. To implement the above principles, the City shall not undertake actions concerning the proposed public project that would have a significant adverse effect or limit the choice of alternatives or mitigation measures, before completion of CEQA compliance. For example, the City shall not: (A) Formally make a decision to proceed with the use of a site for facilities which would require CEQA review, regardless of whether the City has made any final purchase of the site for these facilities, except that the City may designate a preferred site for CEQA review and may enter into land acquisition agreements when the City has conditioned its future use of the site on CEQA compliance. (B) Otherwise take any action that gives impetus to a planned or foreseeable project in a manner that forecloses alternatives or mitigation measures that would ordinarily be part of CEQA review of that public project. With private projects, the City shall encourage the project proponent to incorporate environmental considerations into project conceptualization, design, and planning at the earliest feasible time. While mere interest in, or inclination to support, a project does not constitute approval, a public agency entering into preliminary agreements regarding a project prior to approval shall not, as a practical matter, commit the agency to the project. For example, the City shall not grant any vested development entitlements prior to compliance with CEQA. Further, any such pre -approval agreement should, for example: (A) Condition the agreement on compliance with CEQA; (B) Not bind any party, or commit any party, to a definite course of action prior to CEQA compliance; 2023 dtot O U Ina ca ur a mes - 22 _ 1 9 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) GENERAL PROVISIONS, PURPOSE AND POLICY. (C) Not restrict the Lead Agency from considering any feasible mitigation measures and alternatives, including the "no project" alternative; and (D) Not restrict the Lead Agency from denying the project. The City's environmental document preparation and review should be coordinated in a timely fashion with the City's existing planning, review, and project approval processes. These procedures, to the maximum extent feasible, are to run concurrently, not consecutively. (See State CEQA Guidelines, § 15004; Save Tara v. City of West Hollywood (2008) 45 CalAth 116.) 1.11 STATE AGENCY FURLOUGHS. Due to budget concerns, the State may institute mandatory furlough days for state government agencies. Local agencies may also change their operating hours. Because state and local agencies may enact furloughs that limit their operating hours, if the City has time -sensitive materials or needs to consult with a state agency, the City should check with the applicable state agency office or with the City's attorney to ensure compliance with all applicable deadlines. 2023 dtot OU Ina ca ur a mes - ZZ — ZO es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) LEAD AND RESPONSIBLE AGENCIES 2. LEAD AND RESPONSIBLE AGENCIES 2.01 LEAD AGENCY PRINCIPLE. The City will be the Lead Agency if it will have principal responsibility for carrying out or approving a project. Where a project is to be carried out or approved by more than one public agency, only one agency shall be responsible for the preparation of environmental documents. This agency shall be called the Lead Agency. (Reference: State CEQA Guidelines, §§ 15050, 15367.E 2.02 SELECTION OF LEAD AGENCY. Where two or more public agencies will be involved with a project, the Lead Agency shall be designated according to the following criteria: (a) If the project will be carried out by a public agency, that agency shall be the Lead Agency even if the project will be located within the jurisdiction of another public agency; or (b) If the project will be carried out by a nongovernmental person or entity, the Lead Agency shall be the public agency with the greatest responsibility for supervising and approving the project as a whole. The Lead Agency will normally be the agency with general governmental powers, rather than an agency with a single or limited purpose. (For example, a city that will provide a public service or utility to the project serves a limited purpose.) If two or more agencies meet this criteria equally, the agency that acts first on the project will normally be the Lead Agency. If two or more public agencies have a substantial claim to be the Lead Agency under either (a) or (b), they may designate one agency as the Lead Agency by agreement. An agreement may also provide for cooperative efforts by contract, joint exercise of powers, or similar devices. If the agencies cannot agree which agency should be the Lead Agency for preparing the environmental document, any of the disputing public agencies or the project applicant may submit the dispute to the Office of Planning and Research. Within 21 days of receiving the request, the Office of Planning and Research will designate the Lead Agency. The Office of Planning and Research shall not designate a Lead Agency in the absence of a dispute. A "dispute" means a contested, active difference of opinion between two or more public agencies as to which of those agencies shall prepare any necessary environmental document. A dispute exists when each of those agencies claims that it either has or does not have the obligation to prepare that environmental document. (Reference: State CEQA Guidelines, § 15051.) 2.03 DUTIES OF A LEAD AGENCY. As a Lead Agency, the City shall decide whether a Negative Declaration, Mitigated Negative Declaration or an EIR will be required for a project and shall prepare, or cause to be prepared, and consider the document before making its decision on whether and how to approve 2023 dtot OU Ina ca ur a mes - ZZ — 2 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) LEAD AND RESPONSIBLE AGENCIES the project. The documents may be prepared by Staff or by private consultants pursuant to a contract with the City. However, the City shall independently review and analyze all draft and final EIRs or Negative Declarations prepared for a project and shall find that the EIR or Negative Declaration reflects the independent judgment of the City prior to approval of the document. If a Draft EIR or Final EIR is prepared under a contract with the City, the contract must be executed within forty-five (45) days from the date on which the City sends a Notice of Preparation. The City, however, may take longer to execute the contract if the project applicant and the City mutually agree to an extension of the 45-day time period. (Pub. Resources Code, § 21151.5; see also Local Guidelines Section 7.02.) During the process of preparing an EIR, the City, as Lead Agency, shall have the following duties: (a) If a California Native American tribe has requested consultation, within 14 days after determining that an application for a project is complete or a decision to undertake a project, the City shall begin consultation with the California Native American tribes (see Local Guidelines Section 7.07); (b) Immediately after deciding that an EIR is required for a project, the City shall send to the Office of Planning and Research and each Responsible Agency a Notice of Preparation (Form "G") stating that an EIR will be prepared (see Local Guidelines Section 7.03); (c) Prior to release of an EIR, if the California Native American tribe that is culturally affiliated with the geographic area of a project requests in writing to be informed of any proposed project, the City shall begin consultation with the tribe consistent with California law and Local Guidelines Section 7.07; (d) The City shall prepare or cause to be prepared the Draft EIR for the project (see Local Guidelines Sections 7.06 and 7.18); (e) Once the Draft EIR is completed, the City shall file a Notice of Completion (Form "H") with the Office of Planning and Research (see Local Guidelines Section 7.25); (f) The City shall consult with state, federal and local agencies that exercise authority over resources that may be affected by the project for their comments on the completed Draft EIR (see, e.g., Local Guidelines Sections 5.02, 5.16, Section 7.26); (g) The City shall provide public notice of the availability of a Draft EIR (Form "K") at the same time that it sends a Notice of Completion to the Office of Planning and Research (see Local Guidelines Section 7.25); (h) The City shall evaluate comments on environmental issues received from persons who reviewed the Draft EIR and shall prepare or cause to be prepared a written response to all comments that raise significant environmental issues and that were timely received during the public comment period. A written response must be provided to all public agencies who commented on the project during the public review period at least ten (10) days prior to certifying an EIR (see Local Guidelines Section 7.30); (i) The City shall prepare or cause to be prepared a Final EIR before approving the project (see Local Guidelines Section 7.31); (j) The City shall certify that the Final EIR has been completed in compliance with CEQA and has been reviewed by the City Council (see Local Guidelines Section 7.33); and (k) The City shall include in the Final EIR any comments received from a Responsible Agency on the Notice of Preparation or the Draft EIR (see Local Guidelines Sections 2.08, 7.30 and 7.31). 2023 dtot OUIICI ea to a roes - ZZ — 22 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) LEAD AND RESPONSIBLE AGENCIES 2.04 CEQA DETERMINATIONS MADE BY NON -ELECTED BODY; PROCEDURE TO APPEAL SUCH DETERMINATIONS. As Lead Agency, the City may charge a non -elected decisionmaking body with the responsibility of making a finding of exemption or adopting, certifying or authorizing environmental documents. Any such determination, however, shall be subject to the City's procedures allowing for the appeal of the CEQA determination of any non -elected body to the City Council. In the absence of a procedure governing such appeal, any CEQA determination made by a non -elected decisionmaker shall be appealable to the City Council within ten (10) days of the non -elected decisionmaker's determination. If the non -elected decisionmaker's CEQA determination is not timely appealed as set forth herein, the non -elected decisionmaker's determination shall be final. In the event the City Council has delegated authority to a subsidiary board or official to approve a project, the City hereby delegates to that subsidiary board or official the authority to make all necessary CEQA determinations, including whether an EIR, Negative Declaration, Mitigated Negative Declaration or exemption shall be required for any project. A subsidiary board or official's CEQA determination shall be subject to appeal as set forth above. (Reference: State CEQA Guidelines, § § 15061(e), 15074(f), 15090(b).) 2.05 PROJECTS RELATING TO DEVELOPMENT OF HAZARDOUS WASTE AND OTHER SITES. An applicant for a development project must submit a signed statement to the City, as Lead Agency, stating whether the project and any alternatives are located on a site that is included in any list compiled by the Secretary for Environmental Protection of the California Environmental Protection Agency ("California EPA") listing hazardous waste sites and other specified sites located in the City's boundaries. The applicant's statement must contain the following information: (a) The applicant's name, address, and phone number; (b) Address of site, and local agency (city/county); (c) Assessor's book, page, and parcel number; and (d) The list which includes the site, identification number, and date of list. Before accepting as complete an application for any development project as defined in Local Guidelines Section 11.17, the City, as Lead Agency, shall consult lists compiled by the Secretary for Environmental Protection of the California EPA pursuant to Government Code section 65962.5 listing hazardous waste sites and other specified sites located in the City's boundaries. When acting as Lead Agency, the City shall notify an applicant for a development project if the project site is located on such a list and not already identified. In the Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration (see Local Guidelines Section 6.04) or the Notice of Preparation of Draft EIR (see Local Guidelines Section 7.03), the City shall specify the California EPA list, if any, that includes the project site, and shall provide the information contained in the applicant's statement. (Reference: Gov. Code, § 65962.5.) 2023 tAna - es gfr LLP u ot OUIZZ-23 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) LEAD AND RESPONSIBLE AGENCIES 2.06 RESPONSIBLE AGENCY PRINCIPLE. When a project is to be carried out or approved by more than one public agency, all public agencies other than the Lead Agency that have discretionary approval power over the project shall be identified as Responsible Agencies. 2.07 DUTIES OF A RESPONSIBLE AGENCY. When it is identified as a Responsible Agency, the City shall consider the environmental documents prepared or caused to be prepared by the Lead Agency and reach its own conclusions on whether and how to approve the project involved. The City shall also both respond to consultation and attend meetings as requested by the Lead Agency to assist the Lead Agency in preparing adequate environmental documents. The City should also review and comment on Draft EIRs, Negative Declarations, and Mitigated Negative Declarations. Comments shall be limited to those project activities that are within the City's area of expertise or are required to be carried out or approved by the City or are subject to the City's powers. As a Responsible Agency, the City may identify significant environmental effects of a project for which mitigation is necessary. As a Responsible Agency, the City may submit to the Lead Agency proposed mitigation measures that would address those significant environmental effects. If mitigation measures are required, the City should submit to the Lead Agency complete and detailed performance objectives for such mitigation measures that would address the significant environmental effects identified, or refer the Lead Agency to appropriate, readily available guidelines or reference documents. Any mitigation measures submitted to the Lead Agency by the City, when acting as a Responsible Agency, shall be limited to measures that mitigate impacts to resources that are within the City's authority. For private projects, the City, as a Responsible Agency, may require the project proponent to provide such information as may be required and to reimburse the City for all costs incurred by it in reporting to the Lead Agency. (Reference: State CEQA Guidelines, § 15096.) 2.08 RESPONSE TO NOTICE OF PREPARATION BY RESPONSIBLE AGENCIES. Within thirty (30) days of receipt of a Notice of Preparation of an EIR, the City, as a Responsible Agency, shall specify to the Lead Agency the scope and content of the environmental information related to the City's area of statutory responsibility in connection with the proposed project. At a minimum, the response shall identify the significant environmental issues and possible alternatives and mitigation that the City, as a Responsible Agency, will need to have explored in the Draft EIR. Such information shall be specified in writing, shall be as specific as possible, and shall be communicated to the Lead Agency, by certified mail, email, or any other method of transmittal that provides it with a record that the response was received. The Lead Agency shall incorporate this information into the EIR. (Reference: Pub. Resources Code, § 21080.4; State CEQA Guidelines, § 15103.) 2023 dtot OUf1Cl ca ur a mes - ZZ — 24 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) LEAD AND RESPONSIBLE AGENCIES 2.09 USE OF FINAL EIR OR NEGATIVE DECLARATION BY RESPONSIBLE AGENCIES. The City, as a Responsible Agency, shall consider the Lead Agency's Final EIR or Negative Declaration before acting upon or approving a proposed project. As a Responsible Agency, the City must independently review and consider the adequacy of the Lead Agency's environmental documents prior to approving any portion of the proposed project. In certain instances, the City, in its role as a Responsible Agency, may require that a Subsequent EIR or a Supplemental EIR be prepared to fully address those aspects of the project over which the City has approval authority. Mitigation measures and alternatives deemed feasible and relevant to the City's role in carrying out the project shall be adopted. Findings that are relevant to the City's role as a Responsible Agency shall be made. After the City decides to approve or carry out part of a project for which an EIR or negative declaration has previously been prepared by the Lead Agency, the City, as Responsible Agency, should file a Notice of Determination with the County Clerk within five (5) days of approval, but need not state that the Lead Agency's EIR or Negative Declaration complies with CEQA. The City, as Responsible Agency, should state that it considered the EIR or Negative Declaration as prepared by a Lead Agency. (Reference: State CEQA Guidelines, § 15096.) 2.10 SHIFT IN LEAD AGENCY RESPONSIBILITIES. The City, as a Responsible Agency, shall assume the role of the Lead Agency if any one of the following three conditions is met: (a) The Lead Agency did not prepare any environmental documents for the project, and the statute of limitations has expired for a challenge to the action of the appropriate Lead Agency; (b) The Lead Agency prepared environmental documents for the project, and all of the following conditions apply: (1) A Subsequent or Supplemental EIR is required; (2) The Lead Agency has granted a final approval for the project; and (3) The statute of limitations has expired for a challenge to the action of the appropriate Lead Agency; or (c) The Lead Agency prepared inadequate environmental documents without providing public notice of a Negative Declaration or sending Notice of Preparation of an EIR to Responsible Agencies and the statute of limitations has expired for a challenge to the action of the appropriate Lead Agency. (Reference: State CEQA Guidelines, § 15052.) 2023 dtot - es gfr LLP y OUIC22—ZJ Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA 3. ACTIVITIES EXEMPT FROM CEQA 3.01 ACTIONS SUBJECT TO CEQA. CEQA applies to discretionary projects proposed to be carried out or approved by public agencies such as the City. If the proposed activity does not come within the definition of "project" contained in Local Guidelines Section 11.57, it is not subject to environmental review under CEQA. The term "project," as defined by CEQA, does not include: (a) Proposals for legislation to be enacted by the State Legislature; (b) Continuing administrative or maintenance activities, such as purchases for supplies, personnel -related actions, and general policy and procedure making (except as provided in Local Guidelines Section 11.57); (c) The submittal of proposals to a vote of the people in response to a petition drive initiated by voters, or the enactment of a qualified voter -sponsored initiative under California Constitution Art. II, Section I I(a) and Election Code section 9214; (d) The creation of government funding mechanisms or other government fiscal activities that do not involve any commitment to any specific project that may have a potentially significant physical impact on the environment. Government funding mechanisms may include, but are not limited to, assessment districts and community facilities districts; (e) Organizational or administrative activities of governments that will not result in direct or indirect physical changes in the environment; and (f) Activities that do not result in a direct or reasonably foreseeable indirect physical change in the environment. (Reference: State CEQA Guidelines, §§ 15060(c), 15378.) 3.02 MINISTERIAL ACTIONS. Ministerial actions are not subject to CEQA review. A ministerial action is one that is approved or denied by a decision that a public official or a public agency makes that involves only the use of fixed standards or objective measurements without personal judgment or discretion. When a project involves an approval that contains elements of both a ministerial and discretionary nature, the project will be deemed to be discretionary and subject to the requirements of CEQA. The decision whether the approval of a proposed project or activity is ministerial in nature may involve or require, to some extent, interpretation of the language of the legal mandate, and should be made on a case -by -case basis. The following is a non-exclusive list of examples of ministerial activities: (a) Issuance of business licenses; (b) Approval of final subdivision maps and final parcel maps; (c) Approval of individual utility service connections and disconnections; (d) Issuance of licenses; (e) Issuance of a permit to do street work; 2023 dtot Ana - es gfr LLP u ot OUIZZ—ZG Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA (f) Issuance of building permits where the Lead Agency does not retain significant discretionary power to modify or shape the project; and (g) Until January 1, 2024, approval of an application to install an emergency standby generator to serve a macro cell tower where conditions set forth in Government Code section 65850.75 are met. (Reference: State CEQA Guidelines, § 15268.) 3.03 EXEMPTIONS IN GENERAL. CEQA and the State CEQA Guidelines exempt certain activities and provide that local agencies should further identify and describe certain exemptions. The requirements of CEQA and the obligation to prepare an EIR, Negative Declaration, or Mitigated Negative Declaration generally do not apply to the exempt activities that are set forth in CEQA, the State CEQA Guidelines, and Chapter 3 of these Local Guidelines. (Reference: State CEQA Guidelines, §§ 15260 — 15332.) 3.04 NOTICE OF EXEMPTION. After approval of an exempt project, a "Notice of Exemption" (Form "A") may be filed by the City or its representatives with the County Clerk of each county in which the activity will be located. A Notice of Exemption must be filed electronically with the County Clerk if that option is offered by the County Clerk. After filing, the City must additionally post the Notice of Exemption on the City's website, if any. If the Lead Agency exempts an agricultural housing, affordable housing, or residential infill project under State CEQA Guidelines sections 15193, 15194 or 15195 and approves or determines to carry out that project, it must also file a notice with the Office of Planning and Research ("OPR") identifying the exemption. The County Clerk must post the Notice of Exemption within twenty-four (24) hours of receipt, and the Notice must remain posted for thirty (30) days. The thirty day (30) posting requirement excludes the first day of posting and includes the last day of posting. On the 30th day, the Notice of Exemption must be posted for the entire day. Although no California Department of Fish and Wildlife ("DFW") filing fee is applicable to exempt projects, most counties customarily charge a documentary handling fee to pay for record keeping on behalf of the DFW. Refer to the Index in the County Clerk Memo to determine if such a fee will be required for the project. The Notice of Exemption must, among other things, identify the person undertaking the project, including any person undertaking an activity that receives financial assistance from the City as part of the project or the person receiving a lease, permit, license, certificate, or other entitlement for use from the City as part of the project. Certain counties require the name and address of an applicant to be included in the "Project Applicant" box of the Notice of Exemption, even when the only project proponent is the City; in these counties, if the City is the only project proponent, the City's name and address should be provided in the "Project Applicant" box of the Notice of Exemption. Check the county's requirements before submitting the Notice of Exemption for filing and posting. 2023 dtot Ana - es gfr LLP u ot OUIZZ-27 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA The Notice of Exemption may be filed by the project applicant, rather than the Lead Agency, in certain circumstances. Specifically, the Lead Agency may direct the project applicant to file the Notice of Exemption where the activity that the Lead Agency has determined is exempt from CEQA either: (a) is undertaken by a person (not a public agency) and is supported, in whole or in part, through contracts, grants, subsidies, loans, or other forms of assistance from one or more public agencies; or (b) involves the issuance to a person (not a public agency) of a lease, permit, license, certificate, or other entitlement for use by one or more public agencies. (See Public Resources Code, §§ 21065(b)-(c), 21152). Where the Notice of Exemption is filed by a project applicant rather than the Lead Agency, the applicant must attach a Certificate of Determination to the Notice of Exemption to be filed. The Certificate of Determination may be in the form of a certified copy of an existing document or record of the Lead Agency. Alternatively, the Lead Agency may prepare a Certificate of Determination (see Form `B") stating that the activity is exempt from CEQA, and the Lead Agency may provide the Certificate of Determination to the applicant. The applicant must attach the Certificate of Determination to the Notice of Exemption to be filed. The filing of a Notice of Exemption, when appropriate, is recommended for City actions because it starts a 35-day statute of limitations on legal challenges to the City's determination that the activity is exempt from CEQA. If a Notice of Exemption is not filed, a 180-day statute of limitations will apply. Please see Local Guidelines Section 3.12 for certain circumstances in which the Lead Agency is required to file a Notice of Exemption. When a request is made for a copy of the Notice prior to the date on which the City determines the project is exempt, the Notice must be mailed, first class postage prepaid, within five (5) days after the City's determination. If such a request is made following the City's determination, then the copy should be mailed in the same manner as soon as possible. (Reference: Pub. Resources Code, § 21152; State CEQA Guidelines, § 15062.) 3.05 DISAPPROVED PROJECTS. CEQA does not apply to projects that the Lead Agency rejects or disapproves. Even if a project for which an EIR, Negative Declaration, or Mitigated Negative Declaration has been prepared is ultimately disapproved, the project applicant shall not be relieved of its obligation to pay the costs incurred to prepare the EIR, Negative Declaration, or Mitigated Negative Declaration for the project. (Reference: State CEQA Guidelines, § § 15061(b)(4), 15270.) 2023 dtot Ana - es gfr LLP u ot OUIZZ—ZH Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA 3.06 PROJECTS WITH NO POSSIBILITY OF SIGNIFICANT EFFECT. Where it can be seen with absolute certainty that there is no possibility that the activity in question may have a significant effect on the environment, the activity is exempt from CEQA. 3.07 EMERGENCY PROJECTS. The following types of emergency projects are exempt from CEQA (the term "emergency" is defined in Local Guidelines Section 11.20): (a) Work in a disaster -stricken area in which a state of emergency has been proclaimed by the Governor pursuant to Section 8550 of the Government Code. This includes projects that will remove, destroy, or significantly alter a historical resource when that resource represents an imminent threat to the public of bodily harm or of damage to adjacent property or when the project has received a determination by the State Office of Historic Preservation pursuant to Section 5028(b) of the Public Resources Code. (b) Emergency repairs to publicly or privately owned service facilities necessary to maintain service essential to the public health, safety, or welfare. Emergency repairs include those that require a reasonable amount of planning to address an anticipated emergency. (c) Projects necessary to prevent or mitigate an emergency. This does not include long-term projects undertaken for the purpose of preventing or mitigating a situation that has a low probability of occurrence in the short-term, but this exclusion does not apply (i) if the anticipated period of time to conduct an environmental review of such a long-term project would create a risk to public health, safety, or welfare, or (ii) if activities (such as fire or catastrophic risk mitigation or modifications to improve facility integrity) are proposed for existing facilities in response to an emergency at a similar existing facility. (d) Projects undertaken, carried out, or approved by a public agency to maintain, repair, or restore an existing highway damaged by fire, flood, storm, earthquake, land subsidence, gradual earth movement, or landslide, provided that the project is within the existing right of way of that highway and is initiated within one year of the damage occurring. Highway shall have the same meaning as defined in Section 360 of the Vehicle Code. This exemption does not apply to highways designated as official state scenic highways, nor to any project undertaken, carried out, or approved by a public agency to expand or widen a highway damaged by fire, flood, storm, earthquake, land subsidence, gradual earth movement, or landslide. (e) Seismic work on highways and bridges pursuant to Streets and Highways Code section 180.2. (Reference: State CEQA Guidelines, § 15269.) 3.08 FEASIBILITY AND PLANNING STUDIES. A project that involves only feasibility or planning studies for possible future actions which the City has not yet approved, adopted or funded is exempt from CEQA. (Reference: State CEQA Guidelines, § 15262.) 2023 dtot Ana - es gfr LLP u ot OUIZZ-29 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA 3.09 RATES, TOLLS, FARES, AND CHARGES. The establishment, modification, structuring, restructuring or approval of rates, tolls, fares, or other charges by the City that the City finds are for one or more of the purposes listed below are exempt from CEQA. (a) Meeting operating expenses, including employee wage rates and fringe benefits; (b) Purchasing or leasing supplies, equipment or materials; (c) Meeting financial reserve needs and requirements; or (d) Obtaining funds for capital projects necessary to maintain service within existing service areas. When the City determines that one of the aforementioned activities pertaining to rates, tolls, fares, or charges is exempt from the requirements of CEQA, it shall incorporate written findings setting forth the specific basis for the claim of exemption in the record of any proceeding in which such an exemption is claimed. (Reference: State CEQA Guidelines, § 15273.) 3.10 PIPELINES WITHIN A PUBLIC RIGHT-OF-WAY AND LESS THAN ONE MILE IN LENGTH. Projects that are for the installation of a new pipeline or the maintenance, repair, restoration, reconditioning, relocation, replacement, removal, or demolition of an existing pipeline and that are: (a) in a public street or highway or any other public right-of-way; and (b) less than one mile in length shall be exempt from CEQA requirements. "Pipeline" includes subsurface facilities but does not include any surface facility related to the operation of the underground facility. (Reference: Public Resources Code, § 21080.21.) 3.11 PIPELINES OF LESS THAN EIGHT MILES IN LENGTH. Projects that are for the inspection, maintenance, repair, restoration, reconditioning, relocation, replacement, or removal of an existing pipeline, or any valve, flange, meter, or other piece of equipment that is directly attached to the pipeline shall be exempt from CEQA requirements if all of the following conditions are met: (a) The project is less than eight miles in length. (b) Notwithstanding the project length, actual construction and excavation activities undertaken to achieve the maintenance, repair, restoration, reconditioning, relocation, replacement, or removal of an existing pipeline are not undertaken over a length of more than one-half mile at any one time. 2023 dtot OU Ina ca ur a mes - 22 — 3O es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA (c) The project consists of a section of pipeline that is not less than eight miles from any section of pipeline that has been subject to an exemption pursuant to CEQA in the past 12 months. (d) The project is not solely for the purpose of excavating soil that is contaminated by hazardous materials, and, to the extent not otherwise expressly required by law, the party undertaking the project immediately informs the lead agency of the discovery of contaminated soil. (e) To the extent not otherwise expressly required by law, the person undertaking the project has, in advance of undertaking the project, prepared a plan that will result in notification of the appropriate agencies so that they may take action, if determined to be necessary, to provide for the emergency evacuation of members of the public who may be located in close proximity to the project. (f) Project activities are undertaken within an existing right-of-way and the right-of-way is restored to its condition prior to the project. (g) The project applicant agrees to comply with all conditions otherwise authorized by law, imposed by the city or county planning department as part of any local agency permit process, that are required to mitigate potential impacts of the proposed project, and to otherwise comply with the Keene-Nejedly California Wetlands Preservation Act (Chapter 7 (commencing with Section 5810) of Division 5), the California Endangered Species Act (Chapter 1.5 (commencing with Section 2050) of Division 3 of the Fish and Game Code), and other applicable state laws, and with all applicable federal laws. If a project meets all of the requirements for this exemption, the person undertaking the project shall do all of the following: (a) Notify, in writing, any affected public agency, including, but not limited to, any public agency having permit, land use, environmental, public health protection, or emergency response authority of this exemption. (b) Provide notice to the public in the affected area in a manner consistent with paragraph (3) of Public Resources Code section 21092(b). (c) In the case of private rights -of -way over private property, receive from the underlying property owner permission for access to the property. (d) Comply with all conditions otherwise authorized by law, imposed by the city or county planning department as part of any local agency permit process, that are required to mitigate potential impacts of the proposed project, and otherwise comply with the Keene- Nejedly California Wetlands Preservation Act (Chapter 7 (commencing with Section 5810) of Division 5), the California Endangered Species Act (Chapter 1.5 (commencing with Section 2050) of Division 3 of the Fish and Game Code), and other applicable state laws, and with all applicable federal laws. This exemption does not apply to a prof ect in which the diameter of the pipeline is increased or to a project undertaken within the boundaries of an oil refinery. For purposes of this exemption, the following definitions apply: (a) "Pipeline" includes every intrastate pipeline used for the transportation of hazardous liquid substances or highly volatile liquid substances, including a common carrier pipeline, and all piping containing those substances located within a refined products bulk loading 2023 dtot ot OU Ina Weal ur a mes - ZZ — 3 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA facility which is owned by a common carrier and is served by a pipeline of that common carrier, and the common carrier owns and serves by pipeline at least five such facilities in the state. "Pipeline" does not include the following: (1) An interstate pipeline subject to Part 195 of Title 49 of the Code of Federal Regulations. (2) A pipeline for the transportation of a hazardous liquid substance in a gaseous state. (3) A pipeline for the transportation of crude oil that operates by gravity or at a stress level of 20 percent or less of the specified minimum yield strength of the pipe. (4) Transportation of petroleum in onshore gathering lines located in rural areas. (5) A pipeline for the transportation of a hazardous liquid substance offshore located upstream from the outlet flange of each facility on the Outer Continental Shelf where hydrocarbons are produced or where produced hydrocarbons are first separated, dehydrated, or otherwise processed, whichever facility is farther downstream. (6) Transportation of a hazardous liquid by a flow line. (7) A pipeline for the transportation of a hazardous liquid substance through an onshore production, refining, or manufacturing facility, including a storage or in plant piping system associated with that facility. (8) Transportation of a hazardous liquid substance by vessel, aircraft, tank truck, tank car, or other vehicle or terminal facilities used exclusively to transfer hazardous liquids between those modes of transportation. 3.12 CERTAIN RESIDENTIAL HOUSING PROJECTS. CEQA does not apply to the construction, conversion, or use of residential housing if the project meets all of the general requirements described in Section A below and satisfies the specific requirements for any one of the following three categories: (1) agricultural housing (Section B below), (2) affordable housing projects in urbanized areas (Section C below), or (3) affordable housing projects near major transit stops (Section D below). A. General Requirements. The construction, conversion, or use of residential housing units affordable to low-income households (as defined in Local Guidelines Section 11.36) located on an infill site in an urbanized area is exempt from CEQA if all of the following general requirements are satisfied: (1) The project is consistent with: (a) Any applicable general plan, specific plan, or local coastal program, including any mitigation measures required by such plan or program, as that plan or program existed on the date that the application was deemed complete; and (b) Any applicable zoning ordinance, as that zoning ordinance existed on the date that the application was deemed complete. 2023 dtot OUf1Cl ca ur a mes - 22 — 32 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA However, the project may be inconsistent with zoning if the zoning is inconsistent with the general plan and the project site has not been rezoned to conform to the general plan; (2) Community level environmental review has been adopted or certified; (3) The project and other projects approved prior to the approval of the project can be adequately served by existing utilities, and the project applicant has paid, or has committed to pay, all applicable in -lieu or development fees; (4) The project site meets all of the following four criteria relating to biological resources: (a) The project site does not contain wetlands; (b) The project site does not have any value as a wildlife habitat; (c) The project does not harm any species protected by the federal Endangered Species Act of 1973, the Native Plant Protection Act, or the California Endangered Species Act; and (d) The project does not cause the destruction or removal of any species protected by a local ordinance in effect at the time the application for the project was deemed complete; (5) The site is not included on any list of facilities and sites compiled pursuant to Government Code section 65962.5; (6) The project site is subject to a preliminary endangerment assessment prepared by a registered environmental assessor to determine the existence of any release of a hazardous substance on the site and to determine the potential for exposure of future occupants to significant health hazards from any nearby property or activity. In addition, the following steps must have been taken in response to the results of this assessment: (a) If a release of a hazardous substance is found to exist on the site, the release shall be removed or any significant effects of the release shall be mitigated to a level of insignificance in compliance with state and federal requirements; or (b) If a potential for exposure to significant hazards from surrounding properties or activities is found to exist, the effects of the potential exposure shall be mitigated to a level of insignificance in compliance with state and federal requirements; (7) The project does not have a significant effect on historical resources pursuant to Section 21084.1 of the Public Resources Code (see Local Guidelines Section 11.28); (8) The project site is not subject to wildland fire hazard, as determined by the Department of Forestry and Fire Protection; unless the applicable general 2023 dtot Ana - es gfr LLP u ot OUIZZ-33 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA plan or zoning ordinance contains provisions to mitigate the risk of a wildland fire hazard; (9) The project site does not have an unusually high risk of fire or explosion from materials stored or used on nearby properties; (10) The project site does not present a risk of a public health exposure at a level that would exceed the standards established by any state or federal agency; (11) Either the project site is not within a delineated earthquake fault zone, or a seismic hazard zone, as determined pursuant to Section 2622 and 2696 of the Public Resources Code respectively, or the applicable general plan or zoning ordinance contains provisions to mitigate the risk of an earthquake or seismic hazard; (12) Either the project site does not present a landslide hazard, flood plain, flood way, or restriction zone, or the applicable general plan or zoning ordinance contains provisions to mitigate the risk of a landslide or flood; (13) The project site is not located on developed open space; (14) The project site is not located within the boundaries of a state conservancy; (15) The project site has not been divided into smaller projects to qualify for one or more of the exemptions for affordable housing, agricultural housing, or residential infill housing projects found in the subsequent sections; and (16) The project meets the requirements set forth in either Public Resources Code sections 21159.22, 21159.23 or 21159.24. (Reference: State CEQA Guidelines, § 15192.) B. Specific Requirements for Agricultural Housing. CEQA does not apply to the construction, conversion, or use of residential housing for agricultural employees that meets all of the general requirements described above in Section A and meets the following additional criteria: (1) The project either: (a) Is affordable to lower income households, lacks public financial assistance, and the developer has provided sufficient legal commitments to ensure the continued availability and use of the housing units for lower income households for a period of at least fifteen (15) years; or (b) If public financial assistance exists for the project, then the project must be housing for very low-, low-, or moderate -income 2023 dtot Ana - es gfr LLP u ot OUIZZ-34 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA households and the developer of the project has provided sufficient legal commitments to the appropriate local agency to ensure the continued availability and use of the housing units for low- and moderate -income households for a period of at least fifteen (15) years; (2) The project site is adjacent on at least two sides to land that has been developed and the project consists of not more than forty-five (45) units or provides dormitories, barracks, or other group -living facilities for a total of forty-five (45) or fewer agricultural employees, and either: (a) The project site is within incorporated city limits or within a census -defined place with a minimum population density of at least five thousand (5,000) persons per square mile; or (b) The project site is within incorporated city limits or within a census -defined place and the minimum population density of the census -defined place is at least one thousand (1,000) persons per square mile, unless the Lead Agency determines that there is a reasonable possibility that the project, if completed, would have a significant effect on the environment due to unusual circumstances or that the cumulative effects of successive projects of the same type in the same area would, over time, be significant; (3) If the project is located on a site zoned for general agricultural use, it must consist of twenty (20) or fewer units, or, if the housing consists of dormitories, barracks, or other group -living facilities, the project must not provide housing for more than twenty (20) agricultural employees; and (4) The project is not more than two (2) acres in area if the project site is located in an area with a population density of at least one thousand (1,000) persons per square mile, and is not more than five (5) acres in area for all other project sites. (Reference: Pub. Resources Code, §§ 21084, 21159.22; State CEQA Guidelines, §§ 15192, 15193.) C. Specific Requirements for Affordable Housing Projects in Urbanized Areas. CEQA does not apply to any development project that consists of the construction, conversion, or use of residential housing consisting of one hundred (100) or fewer units that are affordable to low-income households if all of the general requirements described in Section A above are satisfied and the following additional criteria are also met: (1) The developer of the project provides sufficient legal commitments to the local agency to ensure the continued availability and use of the housing units for lower income households for a period of at least thirty (30) years, 2023(&tot uraes - es gfr LLP y OUICZZ-35 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA at monthly housing costs deemed to be "affordable rent" for lower income, very low income, and extremely low income households, as determined pursuant to Section 50053 of the Health and Safety Code; (2) The project site meets one of the following conditions: (a) Has been previously developed for qualified urban uses; (b) Is immediately adjacent to parcels that are developed with qualified urban uses; or (c) At least 75% of the perimeter of the site adjoins parcels that are developed with qualified urban uses and the remaining 25% of the perimeter of the site adjoins parcels that have previously been developed for qualified urban uses, the site has not been developed for urban uses and no parcel within the site has been created within ten (10) years prior to the proposed development of the site; (3) The project site is not more than five (5) acres in area; and (4) The project site meets one of the following requirements regarding population density: (a) The project site is within an urbanized area or within a census - defined place with a population density of at least five thousand (5,000) persons per square mile; (b) If the project consists of fifty (50) or fewer units, the project site is within an incorporated city with a population density of at least twenty-five hundred (2,500) persons per square mile and a total population of at least twenty-five thousand (25,000) persons; or (c) The project site is within either an incorporated city or a census - defined place with a population density of one thousand (1,000) persons per square mile, unless there is a reasonable possibility that the project would have a significant effect on the environment due to unusual circumstances or due to the related or cumulative impacts of reasonably foreseeable projects in the vicinity of the project. (Reference: Pub. Resources Code, §§ 21083, 21159.23; State CEQA Guidelines, § 15194.) D. Specific Requirements for Affordable Housing Projects Near Major Transit Stops. (a) Except as provided in subdivision (b), CEQA does not apply to a project if all of the following criteria are met: 1. The project is a residential project on an infill site. 2. The project is located within an urbanized area. 2023(&tot uraes - es gfr LLP y OUICZZ-3G Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA 3. The project satisfies the criteria of Public Resources Code section 21159.21, described in Section A above. 4. Within five years of the date that the application for the project is deemed complete pursuant to Section 65943 of the Government Code, community -level environmental review was certified or adopted. 5. The site of the project is not more than four acres in total area. 6. The project does not contain more than 100 residential units. 7. Either of the following criteria (subdivision (a) or subdivision (b)) are met: a. (1) At least 10 percent of the housing is sold to families of moderate income, or not less than 10 percent of the housing is rented to families of low income, or not less than 5 percent of the housing is rented to families of very low income; and (2) The project developer provides sufficient legal commitments to the appropriate local agency to ensure the continued availability and use of the housing units for very low-, low-, and moderate -income households at monthly housing costs determined pursuant to paragraph (3) of the subdivision (h) of Section 65589.5 of the Government Code. b. The project developer has paid or will pay in -lieu fees pursuant to a local ordinance in an amount sufficient to result in the development of an equivalent number of units that would otherwise be required pursuant to subparagraph 7.a above. 8. The project is within one-half mile of a major transit stop. 9. The project does not include any single level building that exceeds 100,000 square feet. 10. The project promotes higher density infill housing. A project with a density of at least 20 units per acre shall be conclusively presumed to promote higher density infill housing. A project with a density of at least 10 units per acre and a density greater than the average density of the residential properties within 1,500 feet shall be presumed to promote higher density housing unless the preponderance of the evidence demonstrates otherwise. (b) Notwithstanding subdivision (a) above, the Exemption for Affordable Housing Projects near Major Transit Stops does not apply if any one of the following criteria is met: 2023(&tot uraes - es gfr LLP y OUICZZ-37 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA 1. There is a reasonable possibility that the project will have a project - specific, significant effect on the environment due to unusual circumstances; 2. Substantial changes have occurred since community -level environmental review was adopted or certified with respect to the circumstances under which the project is being undertaken, and those changes are related to the project; or 3. New information regarding the circumstances under which the project is being undertaken has become available, and that new information is related to the project and was not known and could not have been known at the time of the community -level environmental review. (c) If a project satisfies the criteria described above in Section 3.121)(a), but is not exempt from CEQA as a result of satisfying the criteria described in Section 3.121)(b), the analysis of the environmental effects of the project in the EIR or the negative declaration for the project shall be limited to an analysis of the project -specific effects of the project and any effects identified pursuant to Paragraph 2 or 3 of Section 3.121)(b), above. (Reference: Pub. Resources Code, §§ 21083, 21159.24; State CEQA Guidelines, § 15195.) E. Whenever the Lead Agency determines that a project is exempt from environmental review based on Public Resources Code sections 21159.22 [Section 3.12B of these Local Guidelines], 21159.23 [Section 3.12C of these Local Guidelines], or 21159.24 [Section 3.121) of these Local Guidelines], Staff and/or the proponent of the project shall file a Notice of Exemption with the Office of Planning and Research within five (5) working days after the approval of the project. (Reference: State CEQA Guidelines, § 15196.) 3.13 MINOR ALTERATIONS TO FLUORIDATE WATER UTILITIES. Minor alterations to water utilities made for the purpose of complying with the fluoridation requirements of Health and Safety Code sections 116410 and 116415 or regulations adopted thereunder are exempt from CEQA. (Reference: State CEQA Guidelines, § 15282(m).) 3.14 BALLOT MEASURES. The definition of project in the State CEQA Guidelines specifically excludes the submittal of proposals to a vote of the people of the state or of a particular community. This exemption does not apply to the public agency that sponsors the initiative. When a governing body makes a decision to put a measure on the ballot, that decision may be discretionary and therefore subject to CEQA. In contrast, the enactment of a qualified voter -sponsored initiative under California 2023 ty OUIICI ea ur a mes - ZZ — 3H es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA Constitution Art. II, Section 11(a) and Election Code section 9214 is not a project and therefore is not subject to CEQA review. (Reference: Local Guidelines Section 3.01; State CEQA Guidelines, § 15378(b)(3).) 3.15 TRANSIT PRIORITY PROJECT. Exemption: Transit Priority Projects (see Local Guidelines Section 11.75) that are consistent with the general use designation, density, building intensity, and applicable policies specified for the project area in either a Sustainable Community Strategy or an alternative planning strategy may be exempt from CEQA. To qualify for the exemption, the decision -making body must hold a hearing and make findings that the project meets all of Public Resources Code section 21155.I's environmental, housing, and public safety conditions and requirements. Streamlined Review: A Transit Priority Project that has incorporated all feasible mitigation measures, performance standards or criteria set forth in a prior environmental impact report, may be eligible for streamlined environmental review. For a complete description of the requirements for this streamlined review see Public Resources Code section 21155.2. Similarly, the environmental review for a residential or mixed use residential project may limit, or entirely omit, its discussion of growth -inducing impacts or impacts from traffic on global warming under certain limited circumstances. Note, however, that impacts from other sources of greenhouse gas emissions would still need to be analyzed. For complete requirements see Public Resources Code section 21159.28. Note that neither the exemption nor the streamlined review will apply until: (1) the applicable Metropolitan Planning Organization prepares and adopts a Sustainable Communities Strategy or alternative planning strategy for the region; and (2) the California Air Resources Board has accepted the Metropolitan Planning Organization's determination that the Sustainable Communities Strategy or the alternative planning strategy would, if implemented, achieve the greenhouse gas emission reduction targets adopted for the region. (Reference: Pub. Resources Code, §§ 21155.1, 21151.2, 21159.28.) 3.16 CERTAIN INFILL PROJECTS (a) (1) If an environmental impact report was certified for a planning level decision of the city or county, the application of CEQA to the approval of an infill project shall be limited to the effects on the environment that (A) are specific to the project or to the project site and were not addressed as significant effects in the prior environmental impact report or (B) substantial new information shows the effects will be more significant than described in the prior environmental impact report. The attached Form "S" shall be used for this determination. A lead agency's determination pursuant to this section shall be supported by substantial evidence. (2) An effect of a project upon the environment shall not be considered a specific effect of the project or a significant effect that was not considered significant in a prior environmental impact report, or an effect that is more significant than was described in the prior environmental impact report if uniformly applicable development policies or standards adopted by the city, county, or the lead agency, would apply to the project and the lead agency makes a finding, based 2023 ty OUIICI ea ur a mes - ZZ — 39 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA upon substantial evidence, that the development policies or standards will substantially mitigate that effect. (b) If an infill project would result in significant effects that are specific to the project or the project site, or if the significant effects of the infill project were not addressed in the prior environmental impact report, or are more significant than the effects addressed in the prior environmental impact report, and if a mitigated negative declaration or a sustainable communities environmental assessment could not be otherwise adopted, an environmental impact report prepared for the project analyzing those effects shall be limited as follows: (1) Alternative locations, densities, and building intensities to the project need not be considered. (2) Growth inducing impacts of the project need not be considered. (c) This section applies to an infill project that satisfies both of the following: (1) The project satisfies any of the following: A) Is consistent with the general use designation, density, building intensity, and applicable policies specified for the project area in either a sustainable communities strategy or an alternative planning strategy for which the State Air Resources Board, pursuant to subparagraph (H) of paragraph (2) of subdivision (b) of Section 65080 of the Government Code, has accepted a metropolitan planning organization's determination that the sustainable communities strategy or the alternative planning strategy would, if implemented, achieve the greenhouse gas emission reduction targets. (B) Consists of a small walkable community project located in an area designated by a city for that purpose. (C) Is located within the boundaries of a metropolitan planning organization that has not yet adopted a sustainable communities strategy or alternative planning strategy, and the project has a residential density of at least 20 units per acre or a floor area ratio of at least 0.75. (2) Satisfies all applicable statewide performance standards contained in the guidelines adopted pursuant to Public Resources Code section 21094.5.5 (Form "R"). (d) This section applies after the Secretary of the Natural Resources Agency adopts and certifies the guidelines establishing statewide standards pursuant to Public Resources Code section 21094.5.5. (e) For the purposes of this section, the following terms mean the following: (1) "Infill project" means a project that meets the following conditions: (A) Consists of any one, or combination, of the following uses: 2023(&tot uraes - es gfr LLP y OUICZZ-4O Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA (i) Residential. (ii) Retail or commercial, where no more than one-half of the project area is used for parking. (iii) A transit station. (iv) A school. (v) A public office building. (B) Is located within an urban area on a site that has been previously developed, or on a vacant site where at least 75 percent of the perimeter of the site adjoins, or is separated only by an improved public right-of-way from, parcels that are developed with qualified urban uses. (2) "Planning level decision" means the enactment or amendment of a general plan, community plan, specific plan, or zoning code. (3) "Prior environmental impact report" means the environmental impact report certified for a planning level decision, as supplemented by any subsequent or supplemental environmental impact reports, negative declarations, or addenda to those documents. (4) "Small walkable community project" means a project that is in an incorporated city, which is not within the boundary of a metropolitan planning organization and that satisfies the following requirements: (A) Has a project area of approximately one -quarter mile diameter of contiguous land completely within the existing incorporated boundaries of the city. (B) Has a project area that includes a residential area adjacent to a retail downtown area. (C) The project has a density of at least eight dwelling units per acre or a floor area ratio for retail or commercial use of not less than 0.50. (5) "Urban area" includes either an incorporated city or an unincorporated area that is completely surrounded by one or more incorporated cities that meets both of the following criteria: (A) The population of the unincorporated area and the population of the surrounding incorporated cities equal a population of 100,000 or more. (B) The population density of the unincorporated area is equal to, or greater than, the population density of the surrounding cities. (Reference: Pub. Resources Code, § 21094.5.) 2023(&tot uraes - es gfr LLP y OUICZZ-4 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA 3.17 EXEMPTION FOR INFILL PROJECTS IN TRANSIT PRIORITY AREAS A residential or mixed -use project, or a project with a floor area ratio of at least 0.75 on commercially -zoned property, including any required subdivision or zoning approvals, is exempt from CEQA if the project satisfies the following criteria: ■ The project is located within a transit priority area as defined in Section 11.74 below; ■ The project is consistent with an applicable specific plan for which an environmental impact report was certified; and The project is consistent with the general use designation, density, building intensity, and applicable policies specified for the project area in either a sustainable communities strategy or an alternative planning strategy for which the State Air Resources Board has accepted the determination that the sustainable communities strategy or the alternative planning strategy would achieve the applicable greenhouse gas emissions reduction targets. Further environmental review shall be required for a project meeting the above criteria only if one of the events specified in Section 8.04 below occurs. (Reference: State CEQA Guidelines, § 15182(b).) 3.18 EXEMPTION FOR RESIDENTIAL PROJECTS UNDERTAKEN PURSUANT TO A SPECIFIC PLAN Where a public agency has prepared an EIR for a specific plan after January 1, 1980, a residential project undertaken pursuant to and in conformity with that specific plan is generally exempt from CEQA. Residential projects covered by this section include, but are not limited to, land subdivisions, zoning changes, and residential planned unit developments. Further environmental review shall be required for a project meeting the above criteria only if, after the adoption of the specific plan, one of the events specified in Section 8.04 below occurs. In that circumstance, this exemption shall not apply until the city or county which adopted the specific plan completes a subsequent EIR or a supplement to an EIR on the specific plan. The exemption provided by this section shall again be available to residential projects after the Lead Agency has filed a Notice of Determination on the specific plan as reconsidered by the subsequent EIR or supplement to the EIR. (Reference: State CEQA Guidelines, § 15182(c).) 3.19 TRANSFER OF LAND FOR THE PRESERVATION OF NATURAL CONDITIONS CEQA does not apply to the acquisition, sale, or other transfer of interest in land by the City for the purpose of fulfilling any of the following purposes: (1) preservation of natural conditions existing at the time of transfer, including plant and animal habitats, (2) restoration of natural conditions, including plant and animal habitats, (3) continuing agricultural use of the land; (4) prevention of encroachment of development into flood plains; (5) preservation of historical 2023(&tot uraes - es gfr LLP y OUIC22-42 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA resources; or (6) preservation of open space or lands for park purposes. CEQA similarly does not apply to the granting or acceptance of funding by the City for the foregoing purposes. The foregoing applies even if physical changes to the environment or changes in the use of the land are a reasonably foreseeable consequence of the acquisition, sale, or other transfer of the interests in land, or of the granting or acceptance of funding, provided that environmental review otherwise required by CEQA occurs before any project approval that would authorize physical changes being made to that land. The City must file a Notice of Exemption with the State Clearinghouse and the County Clerk should it find a project exempt under this provision. (Reference: Pub. Resources Code, § 21080.28.) 3.20 TRANSIT PRIORITIZATION PROJECTS. CEQA exempts the following projects when (i) the project is carried out by a local agency that is the lead agency for the project; (ii) the project does not induce single -occupancy vehicle trips, add additional highway lanes, widen highways, or add physical infrastructure or striping to highways except for minor modifications needed for efficient and safe movement of transit vehicles, bicycles, or high -occupancy vehicles, such as extended merging lanes, shoulder improvements, or improvements to the roadway within the existing right of way; (iii) the project does not include the addition of any auxiliary lanes; and (iv) the construction of the project shall not require the demolition of affordable housing units: (1) Pedestrian and bicycle facilities —including bicycle parking, bicycle sharing facilities, and bikeways as defined in Section 890.4 of the Streets and Highways Code —that improve safety, access, or mobility, including new facilities, within the public right-of-way; (2) Projects that improve customer information and wayfinding for transit riders, bicyclists, or pedestrians within the public right-of-way; (3) Transit prioritization projects, which are defined to mean any of the following transit project types on highways or in the public right-of-way: (a) Signal and sign changes, such as signal coordination, signal timing modifications, signal modifications or the installation of traffic signs or new signals; (b) The installation of wayside technology and onboard technology; (c) The installation of ramp meters; (d) The conversion to dedicated transit lanes, including transit queue jump or bypass lanes, shared turning lanes and turn restrictions, the narrowing of lanes to allow for dedicated transit lanes or transit reliability improvements, or the widening of existing transit travel lanes by removing or restricting street parking; and 2023(&tot uraes - es gfr LLP y OUICZZ-43 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA (e) Transit stop access and safety improvements, including, but not limited to, the installation of transit bulbs and the installation of transit boarding islands. (4) A project for the designation and conversion of general purpose lanes to high - occupancy vehicle lanes or bus -only lanes, or highway shoulders to part-time transit lanes, for use either during peak congestion hours or all day on highways with existing public transit service or where a public transit agency will be implementing public transit service as identified in a short range transit plan. (5) A project for the institution or increase of bus rapid transit, bus, or light rail service, including the construction or rehabilitation of stations, terminals, or existing operations facilities, which will be exclusively used by zero -emission, near -zero emission, low oxide of nitrogen engine, compressed natural gas fuel, fuel cell, or hybrid powertrain buses or light rail vehicles, on existing public rights -of -way or existing highway rights -of -way, whether or not the right-of-way is in use for public mass transit. The project shall be located on a site that is wholly within the boundaries of an urbanized area or urban cluster, as designated by the United State Census Bureau. (6) A project to construct or maintain infrastructure to charge or refuel zero -emission transit buses, provided the project is carried out by a public transit agency that is subject to, and in compliance with, the State Air Resources Board's Innovative Clean Transit regulations (Article 4.3 (commencing with Section 2023) of Chapter I of Division 3 of Title 13 of the California Code of Regulations) and the project is located on property owned by the transit agency or within an existing public right- of-way. A lead agency applying an exemption pursuant to this paragraph for hydrogen refueling infrastructure or facilities necessary to refuel or maintain zero -emission public transit buses, trains, or ferries shall hold a noticed public hearing and give notice of the meeting consistent with Public Resources Code section 21080.25(b)(6)(B). (7) The maintenance, repair, relocation, replacement, or removal of any utility infrastructure associated with a project identified in paragraphs (1) to (6), inclusive. (8) A project that consists exclusively of a combination of any of the components of a project identified in paragraphs (1) to (7), inclusive. (9) A planning decision carried out by a local agency to reduce or eliminate minimum parking requirements or institute parking maximums, remove or restrict parking, or implement transportation demand management requirements or programs. Additional conditions apply to a project otherwise exempt under this section if the project exceeds fifty million dollars ($50,000,000), as set forth in Public Resources Code section 21080.25(d)-(e). 2023(&tot uraes - es gfr LLP y OUICZZ-44 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA Moreover, a project exempt under this section may be subject to certain labor requirements, including that the project be completed by a skilled and trained workforce, as set forth in Public Resources Code section 21080.25(f). If the City determines that a project is not subject to CEQA pursuant to this section and approves that project, the City must file a Notice of Exemption with both the Office of Planning and Research and the County Clerk of the county in which the project is located. This exemption shall remain in effect only until January 1, 2030, and as of that date it will be repealed. (Reference: Pub. Resources Code, § 21080.25.) 3.21 TRANSPORTATION PLANS, PEDESTRIAN PLANS, AND BICYCLE TRANSPORTATION PLANS. CEQA does not apply to an active transportation plan, a pedestrian plan, or a bicycle transportation plan for restriping of streets and highways, bicycle parking and storage, signal timing to improve street and highway intersection operations, and the related signage for bicycles, pedestrians, and vehicles. An active transportation plan or pedestrian plan is encouraged to include the consideration of environmental factors, but that consideration does not inhibit or preclude the application of this section. An individual project that is part of an active transportation plan or pedestrian plan remains subject to CEQA unless another exemption applies to that project. Before determining that a project is exempt pursuant to this section, the Lead Agency must hold noticed public hearings in areas affected by the project to hear and respond to public comments. Publication of the notice must comply with Government Code section 6061 and be in a newspaper of general circulation in the area affected by the proposed project. If the City determines that a project is not subject to CEQA pursuant to this section and approves that project, the City must file a Notice of Exemption with both the Office of Planning and Research and the County Clerk of the county in which the project is located. For purposes of this section, the following definitions apply: (1) "Active transportation plan" means a plan developed by a local jurisdiction that promotes and encourages people to choose walking, bicycling, or rolling through the creation of safe, comfortable, connected, and accessible walking, bicycling, or rolling networks, and encourages alternatives to single -occupancy vehicle trips. (2) "Pedestrian plan" means a plan developed by a local jurisdiction that establishes a comprehensive, coordinated approach to improving pedestrian infrastructure and safety. This exemption shall remain in effect only until January 1, 2030, and as of that date it will be repealed. (Reference: Pub. Resources Code, § 21080.20.) 2023(&tot uraes - es gfr LLP y OUICZZ-45 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA 3.22 WATER SYSTEM WELLS AND DOMESTIC WELL PROJECTS CEQA does not apply to the construction, maintenance, repair, or replacement of a well or a domestic well that meets all of the following conditions: (1) The domestic well or water system to which the well is connected has been designated by the State Water Resources Control Board ("State Board") as high risk or medium risk in the State Board's drinking water needs assessment; (2) The well project is designed to mitigate or prevent a failure of the well or the domestic well that would leave residents that rely on the well, the water system to which the well is connected, or the domestic well without an adequate supply of safe drinking water; (3) The lead agency determines all of the following: (a) The well project is not designed primarily to serve irrigation or future growth. (b) The well project does not affect wetlands or sensitive habitats. (c) Unusual circumstances do not exist that would cause the well project to have a significant effect on the environment. (d) The well project is not located on a site that is included on any list compiled pursuant to Section 65962.5 of the Government Code. (e) The well project does not have the potential to cause a substantial adverse change in the significance of a historical resource. (f) The well project's construction impacts are fully mitigated consistent with applicable law. (g) The cumulative impact of successive reasonably anticipated projects of the same type as the well project, in the same place, overtime, is not significant. Before determining that a well project is exempt pursuant to this section, a lead agency must contact the State Board to determine whether claiming the exemption under this section will affect the ability of the well project to receive federal financial assistance or federally capitalized financial assistance. A lead agency that determines that a well project is exempt under this section must file a notice of exemption with both OPR and the County Clerk. The notice of exemption must explain whether the project is additionally exempt from CEQA under Public Resources Code section 21080 (e.g., whether it is a ministerial project, an emergency repair necessary to maintain service, or an action necessary to prevent or mitigate an emergency), Public Resources Code section 21080.47 (see Section 3.23 of these Local Guidelines, below), or under the Class 1 (Existing Facilities) or Class 2 (Replacement or Reconstruction) categorical exemptions (see Section 3.28 2023(&tot uraes es gfr LLP y OUICZZ-4G Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA of these Local Guidelines, below). If none of the exemptions referenced in this paragraph apply to a project that is otherwise exempt under this section, the notice of exemption must explain why the exemptions referenced in this paragraph do not apply to the project. For purposes of this section, the following definitions apply: A "well" is defined as a wellhead that provides drinking water to a "water system." A "domestic well" is defined as a groundwater well used to supply water for the domestic needs of an individual residence or a water system that is not a public water system and that has no more than four service connections. A "water system" is defined to mean a "public water system" as that term is defined in Health and Safety Code section 116275(h) (i.e., a system for the provision of water for human consumption through pipes or other constructed conveyances that has 15 or more service connections or regularly serves at least 25 individuals daily at least 60 days out of the year), a "state small water system" as that term is defined in Health and Safety Code section 116275(n) (i.e., a system for the provision of piped water to the public for human consumption that serves at least five, but not more than 14, service connections and does not regularly serve drinking water to more than an average of 25 individuals daily for more than 60 days out of the year), or a tribal water system. (Pub. Resources Code, § 21080.31 [in effect until January 1, 2028].) 3.23 SMALL DISADVANTAGED COMMUNITY WATER SYSTEM AND STATE SMALL WATER SYSTEM. CEQA does not apply to certain water infrastructure projects that primarily benefit a "small disadvantaged community water system" or a "state small water system," as these terms are defined in Public Resources Code section 21080.47. If certain labor requirements and other conditions are met as set forth in Public Resources Code section 21080.47, the installation, repair, or construction of the following for the benefit of a small disadvantaged community water system or state small water system is exempt from CEQA: (1) Drinking water groundwater wells with a maximum flow rate of up to 250 gallons per minute; (2) Drinking water treatment facilities with a footprint of less than 2,500 square feet that are not located in an environmentally sensitive area; (3) Drinking water storage tanks with a capacity of up to 250,000 gallons; (4) Booster pumps and hydropneumatic tanks; 2023(&tot uraes 94 es gfr LLP y OUICZZ-4T Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA (5) Pipelines of less than one mile in length in a road right-of-way or up to seven miles in length in a road right-of-way when the project is required to address threatened or current drinking water violations; (6) Water services lines; and (7) Minor drinking water system appurtenances, including, but not limited to, system and service meters, fire hydrants, water quality sampling stations, valves, air releases and vacuum break valves, emergency generators, backflow prevention devices, and appurtenance enclosures. (Reference: Pub. Resources Code, § 21080.47.) 3.24 CONSERVATION AND RESTORATION OF CALIFORNIA NATIVE FISH AND WILDLIFE. (a) CEQA does not apply to a project that is exclusively one of the following (though a project may exclusively be one of the following even if it has incidental public benefits, such as public access or recreation) and meets the criteria set forth in subdivision (b) of this section: (1) A project to conserve, restore, protect, or enhance, and assist in the recovery of California native fish and wildlife, and the habitat upon which they depend. (2) A project to restore or provide habitat for California native fish and wildlife. (b) This section does not apply to a project unless the project does both of the following: (1) Results in long-term net benefits to climate resiliency, biodiversity, and sensitive species recovery; and (2) Includes procedures and ongoing management for the protection of the environment. (c) This section does not apply to a project that includes construction activities, except for construction activities solely related to habitat restoration. (d) The lead agency shall obtain the concurrence of the Director of Fish and Wildlife for the determinations required pursuant to subdivisions (a) through (c) above. (e) Within 48 hours of making a determination that a project is exempt pursuant to this section, the lead agency shall file a Notice of Exemption with the Office of Planning and Research, and the Department of Fish and Wildlife must post the concurrence of the Director of Fish and Wildlife on the department's website. This exemption is in effect until January 1, 2025. (Pub. Resources Code, § 21080.56.) 2023 ty OUIICI ea ur a mes - 22 — 4H es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA 3.25 LINEAR BROADBAND DEPLOYMENT IN A RIGHT-OF-WAY. (a) CEQA does not apply to a project that consists of linear broadband deployment in a right-of-way if the project meets all of the following conditions: (1) The project is located in an area identified by the Public Utilities Commission as a component of the statewide open -access middle -mile broadband network pursuant to Section 11549.54 of the Government Code. (2) The project is constructed along, or within 30 feet of, the right-of-way of any public road or highway. (3) The project is either deployed underground where the surface area is restored to a condition existing before the project or placed aerially along an existing utility pole right-of-way. (4) The project incorporates, as a condition of project approval, measures developed by the Public Utilities Commission or the Department of Transportation to address potential environmental impacts. At a minimum, the project shall be required to include monitors during construction activities and measures to avoid or address impacts to cultural and biological resources. (5) The project applicant agrees to comply with all conditions otherwise authorized by law, imposed by the planning department of a city or county as part of a local agency permit process, that are required to mitigate potential impacts of the proposed project, and to comply with the Keene- Nejedly California Wetlands Preservation Act (Chapter 7 (commencing with Section 5810) of Division 5), the California Endangered Species Act (Chapter 1.5 (commencing with Section 2050) of Division 3 of the Fish and Game Code), as applicable, other applicable state laws, and all applicable federal laws. (b) If a project meets all of the requirements of subdivision (a), the project applicant shall do all of the following: (1) Notify, in writing, any affected public agency, including, but not limited to, any public agency having permit, land use, environmental, public health protection, or emergency response authority, of the exemption of the project pursuant to this section. (2) File a Notice of Exemption. (3) In the case of private rights -of -way over private property, receive from the underlying property owner permission for access to the property. 2023 ty OUIICI ea ur a mes - ZZ — 49 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA (4) Comply with all conditions authorized by law imposed by the planning department of a city or county as part of any local agency permit process, that are required to mitigate potential impacts of the proposed project, and otherwise comply with the Keene-Nejedly California Wetlands Preservation Act (Chapter 7 (commencing with Section 5810) of Division 5), the California Endangered Species Act (Chapter 1.5 (commencing with Section 2050) of Division 3 of the Fish and Game Code), as applicable, other applicable state laws, and all applicable federal laws. (Pub. Resources Code, § 21080.51.) 3.26 NEEDLE AND SYRINGE EXCHANGE SERVICES. The Legislature has authorized cities and counties meeting certain requirements to apply to the State Department of Public Health for authorization to provide hypodermic needle and syringe exchange services consistent with state standards in any location where the State Department of Public Health determines that the conditions exist for the rapid spread of human immunodeficiency virus (HIV), viral hepatitis, or any other potentially deadly or disabling infections that are spread through the sharing of used hypodermic needles and syringes. (Health and Safety Code, § 121349.) Needle and syringe exchange services application submissions, authorizations, and operations performed pursuant to Health and Safety Code section 121349 are exempt from review under CEQA. (Health and Safety Code, § 121349(h).) 3.27 OTHER SPECIFIC EXEMPTIONS. CEQA and the State CEQA Guidelines exempt many other specific activities, including early activities related to thermal power plants, ongoing projects, transportation improvement programs, family day care homes, congestion management programs, railroad grade separation projects, restriping of streets or highways to relieve traffic congestion, hazardous or volatile liquid pipelines, and the installation of solar energy systems, including, but not limited to solar panels. Specific statutory exemptions are listed in the Public Resources Code, including Sections 21080 through 21080.35, and in the State CEQA Guidelines, including Sections 15260 through 15285. In addition, other titles of the California Codes provide statutory exemptions from CEQA, including, for example, Government Code section 12012.70. 3.28 CATEGORICAL EXEMPTIONS. The State CEQA Guidelines establish certain classes of categorical exemptions. These apply to classes of projects which have been determined not to have a significant effect on the environment and which, therefore, are generally exempt from CEQA. For any project that falls within one of these classes of categorical exemptions, the preparation of environmental documents under CEQA is not required. The classes of projects are briefly summarized below. (Reference to the State CEQA Guidelines for the full description of each exemption is recommended.) The exemptions for Classes 3, 4, 5, 6, and 11 below are qualified in that such projects must be considered in light of the location of the project. A project that is ordinarily insignificant in its impact on the environment may, in a particularly sensitive environment, be significant. Therefore, 2023(&tot y OUIICI ea ur a mes - ZZ — 5O es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA these classes are considered to apply in all instances except when the project may impact an environmental resource of hazardous or critical concern that has been designated, precisely mapped, and officially adopted pursuant to law by federal, state, or local agencies. All classes of categorical exemptions are qualified. None of the categorical exemptions are applicable if any of the following circumstances exist: (1) The cumulative impact of successive projects of the same type in the same place over time is significant; (2) There is a reasonable possibility that the activity will have a significant effect on the environment due to unusual circumstances; (3) The project may result in damage to a scenic resource or may result in a substantial adverse change to a historical resource; or (4) The project is located on a site which is included on any hazardous waste site or list compiled pursuant to Government Code section 65962.5. However, a project's greenhouse gas emissions do not, in and of themselves, cause an exemption to be inapplicable if the project otherwise complies with all applicable regulations or requirements adopted to implement statewide, regional, or local plans consistent with State CEQA Guidelines section 15183.5. With the foregoing limitations in mind, the following classes of activity are generally exempt from CEQA: Class 1: Existing Facilities. Activities involving the operation, repair, maintenance, permitting, leasing, licensing, minor alteration of —or legislative activities to regulate —existing public or private structures, facilities, mechanical equipment or other property, or topographical features, provided the activity involves negligible or no expansion of existing or former use. The types of "existing facilities" itemized in State CEQA Guidelines section 15301 are not intended to be all-inclusive of the types of projects which might fall within the Class 1 categorical exemption. The key consideration is whether the project involves negligible or no expansion of use. (State CEQA Guidelines, § 15301.) Class 2: Replacement or Reconstruction. Replacement or reconstruction of existing facilities, structures, or other property where the new facility or structure will be located on the same site as the replaced or reconstructed facility or structure and will have substantially the same purpose and capacity as the replaced or reconstructed facility or structure. (State CEQA Guidelines, § 15302.) Class 3: New Construction or Conversion of Small Structures. Construction of limited numbers of small new facilities or structures; installation of small new equipment or facilities in small structures; and the conversion of existing small structures from one use to another, when only minor modifications are made in the exterior of the structure. This exemption includes structures built for both residential and commercial uses. (State CEQA Guidelines, § 15303 outlines, among other things, the maximum number of structures allowable under this exemption.) 2023(&tot y OU IICI ea ur a mes - ZZ — 5 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA Class 4: Minor Alterations to Land. Minor alterations in the condition of land, water, and/or vegetation which do not involve removal of healthy, mature, scenic trees, except for forestry or agricultural purposes. (State CEQA Guidelines, § 15304.) Class 5: Minor Alterations in Land Use Limitations. Minor alterations in land use limitations in areas with an average slope of less than 20% which do not result in any changes in land use or density. (State CEQA Guidelines, § 15305.) Class 6: Information Collection. Basic data collection, research, experimental management, and resource evaluation activities which do not result in a serious or major disturbance to an environmental resource. (State CEQA Guidelines, § 15306.) Class 7: Actions by Regulatory latory Agencies for Protection of Natural Resources. Actions taken by regulatory agencies as authorized by state law or local ordinance to assure the maintenance, restoration, or enhancement of a natural resource where the regulatory process involves procedures for protection of the environment. (State CEQA Guidelines, § 15307.) Class 8: Actions By Regulatory Agencies for Protection of the Environment. Actions taken by regulatory agencies, as authorized by state or local ordinance, to assure the maintenance, restoration, enhancement or protection of the environment where the regulatory process involves procedures for protection of the environment. (State CEQA Guidelines, § 15308.) Class 9: Inspection. Inspection activities, including, but not limited to, inquiries into the performance of an operation and examinations of the quality, health or safety of a project. (State CEQA Guidelines, § 15309.) Class 10: Loans. Loans made by the Department of Veterans Affairs under the Veterans Farm and Home Purchase Act of 1943, mortgages for the purchase of existing structures where the loan will not be used for new construction and the purchase of such mortgages by financial institutions. (State CEQA Guidelines, § 15310.) Class 11: Accessory Structures. Construction or replacement of minor structures accessory or appurtenant to existing commercial, industrial, or institutional facilities, including, but not limited to, on -premise signs; small parking lots; and placement of seasonal or temporary use items, such as lifeguard towers, mobile food units, portable restrooms or similar items in generally the same locations from time to time in publicly owned parks, stadiums or other facilities designed for public use. (State CEQA Guidelines, § 15311.) Class 12: Surplus Government Property Sales. Sales of surplus government property, except for certain parcels of land located in an area of statewide, regional or area -wide concern identified in State CEQA Guidelines section 15206(b)(4). However, even if the surplus property to be sold is located in any of those areas, its sale is exempt if: (a) The property does not have significant values for wildlife or other environmental purposes; and (b) Any one of the following three conditions is met: 1. The property is of such size, shape, or inaccessibility that it is incapable of independent development or use; 2023(&tot uraes es gfr LLP y OUIC22-J2 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA 2. The property to be sold would qualify for an exemption under any other class of categorical exemption in the State CEQA Guidelines; or 3. The use of the property and adjacent property has not changed since the time of purchase by the public agency. (State CEQA Guidelines, § 15312.) Class 13: Acquisition of Lands for Wildlife Conservation Purposes. Acquisition of lands for fish and wildlife conservation purposes, including preservation of fish and wildlife habitat, establishment of ecological preserves under Fish and Game Code section 1580, and preservation of access to public lands and waters where the purpose of the acquisition is to preserve the land in its natural condition. (State CEQA Guidelines, § 15313.) Class 14: Minor Additions to Schools. Minor additions to existing schools within existing school grounds where the addition does not increase original student capacity by more than 25% or ten (10) classrooms, whichever is less. The addition of portable classrooms is included in this exemption. (State CEQA Guidelines, § 15314.) Class 15: Minor Land Divisions. Division(s) of property in urbanized areas zoned for residential, commercial or industrial use into four or fewer parcels when the division is in conformance with the General Plan and zoning, no variances or exceptions are required, all services and access to the proposed parcels to local standards are available, the parcel was not involved in a division of a larger parcel within the previous two (2) years, and the parcel does not have an average slope greater than 20%. (State CEQA Guidelines, § 15315.) Class 16: Transfer of Ownership of Land in Order to Create Parks. Acquisition, sale, or other transfer of land in order to establish a park where the land is in a natural condition or contains historical or archaeological resources and either: (a) The management plan for the park has not been prepared, or (b) The management plan proposes to keep the area in a natural condition or preserve the historic or archaeological resources. CEQA will apply when a management plan is proposed that will change the area from its natural condition or cause substantial adverse change in the significance of the historic or archaeological resource. (State CEQA Guidelines, § 15316.) Class 17: Open Space Contracts or Easements. Establishment of agricultural preserves, making and renewing of open space contracts under the Williamson Act, or acceptance of easements or fee interests in order to maintain the open space character of the area. (The cancellation of such preserves, contracts, interests or easements is not included in this exemption.) (State CEQA Guidelines, § 15317.) Class 18: Designation of Wilderness Areas. Designation of wilderness areas under the California Wilderness System. (State CEQA Guidelines, § 15318.) Class 19: Annexations of Existing Facilities and Lots for Exempt Facilities. This exemption applies only to the following annexations: 2023(&tot uraes - es gfr LLP y OUICZZ-53 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA (a) Annexations to a city or special district of areas containing existing public or private structures developed to the density allowed by the current zoning or prezoning of either the gaining or losing governmental agency, whichever is more restrictive; provided, however, that the extension of utility services to the existing facilities would have a capacity to serve only the existing facilities; and (b) Annexations of individual small parcels of the minimum size for facilities exempted by Class 3, New Construction or Conversion of Small Structures. (State CEQA Guidelines, § 15319.) Class 20: Changes in Organization of Local Agencies. Changes in the organization of local governmental agencies where the changes do not change the geographical area in which previously existing powers are exercised. Examples include but are not limited to: (a) Establishment of a subsidiary district; (b) Consolidation of two or more districts having identical powers; and (c) Merger with a city of a district lying entirely within the boundaries of the city. (State CEQA Guidelines, § 15320.) Class 21: Enforcement Actions by Regulatory Agencies. _ Actions by regulatory agencies to enforce or revoke a lease, permit, license, certificate or other entitlement for use issued, adopted or prescribed by the regulatory agency or enforcement of a law, general rule, standard or objective administered or adopted by the regulatory agency; or law enforcement activities by peace officers acting under any law that provides a criminal sanction. The direct referral of a violation of lease, permit, license, certificate, or entitlement to the City Attorney for judicial enforcement is exempt under this Class. (Construction activities undertaken by the public agency taking the enforcement or revocation action are not included in this exemption.) (State CEQA Guidelines, § 15321.) Class 22: Educational or Training Programs Involving No Physical Changes. The adoption, alteration or termination of educational or training programs which involve no physical alteration in the area affected or which involve physical changes only in the interior of existing school or training structures. Examples include but are not limited to: (a) Development of or changes in curriculum or training methods; or (b) Changes in the trade structure in a school which do not result in changes in student transportation. (State CEQA Guidelines, § 15322.) Class 23: Normal Operations of Facilities for Public Gatherings. Continued or repeated normal operations of existing facilities for public gatherings for which the facilities were designed, where there is past history, of at least three years, of the facility being used for the same or similar purposes. Facilities included within this exemption include, but are not limited to, race tracks, stadiums, convention centers, auditoriums, amphitheaters, planetariums, swimming pools and amusement parks. (State CEQA Guidelines, § 15323.) 2023(&tot uraes - es gfr LLP y OUICZZ-54 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA Class 24: Regulation of Working Conditions. Actions taken by the City to regulate employee wages, hours of work or working conditions where there will be no demonstrable physical changes outside the place of work. (State CEQA Guidelines, § 15324.) Class 25: Transfers of Ownership of Interest in Land to Preserve Existing Natural Conditions and Historical Resources. Transfers of ownership of interest in land in order to preserve open space, habitat, or historical resources. Examples include, but are not limited to, acquisition, sale, or other transfer of areas to: preserve existing natural conditions, including plant or animal habitats; allow continued agricultural use of the areas; allow restoration of natural conditions; preserve open space or lands for natural park purposes; or prevent encroachment of development into floodplains. This exemption does not apply to the development of parks or park uses. (State CEQA Guidelines § 15325.) Class 26: Acquisition of Housing for Housing Assistance Programs. _ Actions by a redevelopment agency, housing authority or other public agency to implement an adopted Housing Assistance Plan by acquiring an interest in housing units, provided the housing units are either in existence or possessing all required permits for construction when the agency makes its final decision to acquire the units. (State CEQA Guidelines, § 15326.) Class 27: Leasing New Facilities. Leasing of a newly constructed or previously unoccupied privately owned facility by a local or state agency when the City determines that the proposed use of the facility: (a) Conforms with existing state plans and policies and with general, community, and specific plans for which an EIR or Negative Declaration has been prepared; (b) Is substantially the same as that originally proposed at the time the building permit was issued; (c) Does not result in a traffic increase of greater than 10% of front access road capacity; and (d) Includes the provision of adequate employee and visitor parking facilities. (State CEQA Guidelines, § 15327.) Class 28: Small Hydroelectric Projects as Existing Facilities. Installation of certain small hydroelectric -generating facilities in connection with existing dams, canals and pipelines, subject to the conditions in State CEQA Guidelines section 15328. (State CEQA Guidelines, § 15328.) Class 29: Cogeneration Projects at Existing Facilities. Installation of cogeneration equipment with a capacity of 50 megawatts or less at existing facilities meeting certain conditions listed in State CEQA Guidelines, § 15329. (State CEQA Guidelines section 15329.) Class 30: Minor Actions to Prevent, Minimize, Stabilize, Mitigate or Eliminate the Release or Threat of Release of Hazardous Waste or Hazardous Substances. Any minor cleanup actions taken to prevent, minimize, stabilize, mitigate, or eliminate the release or threat of release of a hazardous waste or substance which are small or medium removal actions costing $1 million or less. 2023 ty OUIICI ea ur a mes4 Op - ZZ — 55 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA (a) No cleanup action shall be subject to this Class 30 exemption if the action requires the onsite use of a hazardous waste incinerator or thermal treatment unit or the relocation of residences or businesses, or the action involves the potential release into the air of volatile organic compounds as defined in Health and Safety Code section 25123.6, except for small scale in situ soil vapor extraction and treatment systems which have been permitted by the local Air Pollution Control District or Air Quality Management District. All actions must be consistent with applicable state and local environmental permitting requirements including, but not limited to, off -site disposal, air quality rules such as those governing volatile organic compounds and water quality standards, and approved by the regulatory body with jurisdiction over the site; (b) Examples of such minor cleanup actions include but are not limited to: 1. Removal of sealed, non -leaking drums of hazardous waste or substances that have been stabilized, containerized and are designated for a lawfully permitted destination; 2. Maintenance or stabilization of berms, dikes, or surface impoundments; 3. Construction or maintenance or interim of temporary surface caps; 4. Onsite treatment of contaminated soils or sludge provided treatment system meets Title 22 requirements and local air district requirements; 5. Excavation and/or offsite disposal of contaminated soils or sludge in regulated units; 6. Application of dust suppressants or dust binders to surface soils; 7. Controls for surface water run-on and run-off that meets seismic safety standards; 8. Pumping of leaking ponds into an enclosed container; 9. Construction of interim or emergency ground water treatment systems; or 10. Posting of warning signs and fencing for a hazardous waste or substance site that meets legal requirements for protection of wildlife. (State CEQA Guidelines, § 15330.) Class 31: Historical Resource Restoration/Rehabilitation. Maintenance, repairs, stabilization, rehabilitation, restoration, preservation, conservation, or reconstruction of historical resources in a manner consistent with the Secretary of the Interior's Standards for the Treatment of Historic Properties with Guidelines for Preserving, Rehabilitating, Restoring, and Reconstructing Historic Buildings (1995), Weeks and Grimmer. (State CEQA Guidelines, § 15331.) Class 32: Infill Development Projects. Infill development meeting the following conditions: (a) The project is consistent with the applicable general plan designation and all applicable general plan policies as well as with applicable zoning designation and regulations; (b) The proposed development occurs within city limits on a project site of no more than five acres substantially surrounded by urban uses; (c) The project site has no value as habitat for endangered, rare or threatened species; 2023 ty OUIICI ea ur a mes - ZZ — 5G es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ACTIVITIES EXEMPT FROM CEQA (d) Approval of the project would not result in any significant effects relating to traffic, noise, air quality, or water quality; and (e) The site can be adequately served by all required utilities and public services. (State CEQA Guidelines, § 15332.) Class 33: Small Habitat Restoration Projects. This exemption applies to projects to assure the maintenance, restoration, enhancement, or protection of habitat for fish, plants, or wildlife, provided that such projects meet the following criteria: (a) The project does not exceed five acres in size; (b) There would be no significant adverse impact on endangered, rare or threatened species or their habitat pursuant to Section 15065 of the State CEQA Guidelines; (c) There are no hazardous materials at or around the project site that may be disturbed or removed; and (d) The project will not result in impacts that are significant when viewed in connection with the effects of past projects, the effects of other current projects, and the effects of probable future projects. Examples of small habitat restoration projects include, but are not limited to: revegetation of disturbed areas with native plant species; wetland restoration, the primary purpose of which is to improve conditions for waterfowl or other species that rely on wetland habitat; stream or river bank revegetation, the primary purpose of which is to improve habitat for amphibians or native fish; projects to restore or enhance habitat that are carried out principally with hand labor and not mechanized equipment; stream or river bank stabilization with native vegetation or other bioengineering techniques, the primary purpose of which is to reduce or eliminate erosion and sedimentation; and culvert replacement conducted in accordance with published guidelines of DFW or NOAA Fisheries, the primary purpose of which is to improve habitat or reduce sedimentation. (State CEQA Guidelines, § 15333.) 2023 ty OUIICI ea ur a mes - ZZ — 5T es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) TIME LIMITATIONS 4. TIME LIMITATIONS 4.01 REVIEW OF PRIVATE PROJECT APPLICATIONS. Staff shall determine whether the application for a private project is complete within thirty (30) days of receipt of the application. No application may be deemed incomplete based on an applicant's refusal to waive the time limitations set forth in Local Guidelines Sections 4.03 and 4.04. Accepting an application as complete does not limit the authority of the City, acting as Lead Agency or Responsible Agency, to require the applicant to submit additional information needed for environmental evaluation of the project. Requiring such additional information after the application is complete does not change the status of the application. (Reference: State CEQA Guidelines, § 15101.) 4.02 DETERMINATION OF TYPE OF ENVIRONMENTAL DOCUMENT. Except as provided in Local Guidelines Sections 4.05 and 4.06, Staff s initial determination as to whether a Negative Declaration, Mitigated Negative Declaration or an EIR should be prepared shall be made within thirty (30) days from the date on which an application for a project is accepted as complete by the City. This period may be extended fifteen (15) days with consent of the applicant and the City. (Reference: State CEQA Guidelines, § 15102.) 4.03 COMPLETION AND ADOPTION OF NEGATIVE DECLARATION. For private projects involving the issuance of a lease, permit, license, certificate, or other entitlement for use by one or more public agencies, the Negative Declaration/Mitigated Negative Declaration shall be completed and approved within one hundred eighty (180) days from the date when the City accepted the application as complete. In the event that compelling circumstances justify additional time and the project applicant and Lead Agency consent thereto, Staff may provide that the 180-day time limit may be extended once for a period of not more than 90 days. (Reference: State CEQA Guidelines, § 15107.) 4.04 COMPLETION AND CERTIFICATION OF FINAL EIR. For private projects, the Final EIR shall be completed and certified by the City within one (1) year after the date the City accepted the application as complete. In the event that compelling circumstances justify additional time and the project applicant consents thereto, the City may provide a one-time extension up to ninety (90) days for completing and certifying the EIR. (Reference: State CEQA Guidelines, § 15108.) 2023 dtot ot OU Ina Weal ur a mes - JIL ZZ — 5H es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) TIME LIMITATIONS 4.05 PROJECTS SUBJECT TO THE PERMIT STREAMLINING ACT. The Permit Streamlining Act requires agencies to make decisions on certain development project approvals within specified time limits. If a project is subject to the Permit Streamlining Act, the City cannot require the project applicant to submit the informational equivalent of an EIR or prove compliance with CEQA as a prerequisite to determining whether the project application is complete. In addition, if requested by the project applicant, the City must begin processing the project application prior to final CEQA action, provided the information necessary to begin the process is available. (Reference: Gov. Code §§ 65941, 65944.) Under the Permit Streamlining Act, the Lead Agency must approve or disapprove the development project application within one hundred eighty (180) days from the date on which it certifies the EIR, or within ninety (90) days of certification if an extension for completing and certifying the EIR was granted. If the Lead Agency adopts a Negative Declaration/Mitigated Negative Declaration or determines the development project is exempt from CEQA, it shall approve or disapprove the project application within sixty (60) days from the date on which it adopts the Negative Declaration/Mitigated Negative Declaration or determines that the project is exempt from CEQA. (Reference: Gov. Code §§ 65950, 65950.1; see also State CEQA Guidelines, § 15107.) Except for waivers of the time periods for preparing a joint Environmental Impact Report/Environmental Impact Statement (as outlined in Government Code sections 65951 and 65957), the City cannot require a waiver of the time limits specified in the Permit Streamlining Act as a condition of accepting or processing a development project application. In addition, the City cannot disapprove a development project application in order to comply with the time limits specified in the Permit Streamlining Act. (Reference: Gov. Code §§ 65940.5, 65952.2.) 4.06 PROJECTS, OTHER THAN THOSE SUBJECT TO THE PERMIT STREAMLINING ACT, WITH SHORT TIME PERIODS FOR APPROVAL. A few statutes require agencies to make decisions on project applications within time limits that are so short that review of the project under CEQA would be difficult. To enable the City as Lead Agency to comply with both the enabling statute and CEQA, the City shall deem a project application as not received for filing under the enabling statute until such time as the environmental documentation required by CEQA is complete. This section applies where all of the following conditions are met: (a) The enabling statute for a program, other than development projects under Chapter 4.5 (commencing with Section 65920) of Division 1 of Title 7 of the Government Code, requires the City to take action on an application within a specified period of time of six (6) months or less; (b) The enabling statute provides that the project is approved by operation of law if the City fails to take any action within the specified time period; and 2023 dtot ot OUf1Cl ca ur a mes - ZZ — 59 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) TIME LIMITATIONS (c) The project application involves the City's issuance of a lease, permit, license, certificate or other entitlement for use. In any case, the environmental document shall be completed or certified and the decision on the application shall be made within the period established by the Permit Streamlining Act (Government Code sections 65920, et seq.). (Reference: State CEQA Guidelines, § 15111.) 4.07 WAIVER OR SUSPENSION OF TIME PERIODS. These deadlines may be waived by the applicant if the project is subject to both CEQA and the National Environmental Policy Act ("NEPA"). An unreasonable delay by an applicant in meeting the City's requests necessary for the preparation of a Negative Declaration, Mitigated Negative Declaration, or an EIR shall suspend the running of the time periods described in Local Guidelines Sections 4.03 and 4.04 for the period of the unreasonable delay. Alternatively, the City may disapprove a project application where there is unreasonable delay in meeting requests. The City may also allow a renewed application to start at the same point in the process where the prior application was when it was disapproved. (Reference: State CEQA Guidelines, §§ 15109, 15110, and 15224; see Section 5.04 of these Local Guidelines for information about projects that are subject to both CEQA and NEPA.) 2023 dtot Ana - es gfr LLP u ot OUIZZ—GO Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY 5. INITIAL STUDY 5.01 PREPARATION OF INITIAL STUDY. If the City determines that it is the Lead Agency for a project which is not exempt, the City will normally prepare an Initial Study to ascertain whether the project may have a substantial adverse effect on the environment, regardless of whether the overall effect of the project is adverse or beneficial. All phases of project planning, implementation and operation must be considered in the Initial Study. An Initial Study may rely on expert opinion supported by facts, technical studies or other substantial evidence. However, an Initial Study is neither intended nor required to include the level of detail included in an EIR. The City, as Lead Agency, may use any of the following arrangements or combination of arrangements to prepare an Initial Study: (1) Preparing the Initial Study directly with the City's own staff. (2) Contracting with another entity, public or private, to prepare the Initial Study. (3) Accepting a draft Initial Study prepared by the applicant, a consultant retained by the applicant, or any other third person. (4) Executing a third party contract or memorandum of understanding with the applicant to govern the preparation of an Initial Study by an independent contractor. (5) Using a previously prepared Initial Study. The Initial Study sent out for public review, however, must reflect the independent judgment of the Lead Agency. For private projects, the person or entity proposing to carry out the project shall complete Form "I" of these Local CEQA Guidelines, submit the completed Form "I" to the City, and submit all other data and information as may be required by the City to determine whether the proposed project may have a significant effect on the environment. All costs incurred by the City in reviewing the data and information submitted, or in conducting its own investigation based upon such data and information, or in preparing an Initial Study for the project shall be borne by the person or entity proposing to carry out the project. (Reference: State CEQA Guidelines, § § 15063, 15084.) 5.02 INFORMAL CONSULTATION WITH OTHER AGENCIES. When more than one public agency will be involved in undertaking or approving a project, the Lead Agency shall consult with all Responsible and any Trustee Agencies. Such consultation shall be undertaken in compliance with the notice procedures applicable to the type of CEQA document being prepared. See Section 6.04, Negative Declarations, and Sections 7.03 and 7.25, EIRs. 2023 dtot Ana u- es gar LLP ot OUI22—G Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY When the City is acting as Lead Agency, the City may choose to engage in early consultation with Responsible and Trustee Agencies before the City begins to prepare the Initial Study. This early consultation may be done quickly and informally and is intended to ensure that the EIR, Negative Declaration or Mitigated Negative Declaration reflects the concerns of all Responsible Agencies that will issue approvals for the project and all Trustee Agencies responsible for natural resources affected by the project. The City's early consultation process may include consultation with other individuals or organizations with an interest in the project, if the City so desires. The OPR, upon request of the City or a private project applicant, shall assist in identifying the various Responsible Agencies for a proposed project and ensure that the Responsible Agencies are notified regarding any early consultation. In the case of a project undertaken by a public agency, the OPR, upon request of the City, shall ensure that any Responsible Agency or public agency that has jurisdiction by law with respect to the project is notified regarding any early consultation. If, during the early consultation process it is determined that the project will clearly have a significant effect on the environment, the City, as Lead Agency, may immediately dispense with the Initial Study and determine that an EIR is required. (Reference: State CEQA Guidelines, § 15063.) 5.03 CONSULTATION WITH PRIVATE PROJECT APPLICANT. During or immediately after preparation of an Initial Study for a private project, the City may consult with the applicant to determine if the applicant is willing to modify the project to reduce or avoid the significant effects identified in the Initial Study. If the project can be revised to avoid or mitigate effects to a level of insignificance and there is no substantial evidence before the City that the project, as revised, may have a significant effect on the environment, the City may prepare and adopt a Negative Declaration or Mitigated Negative Declaration. If any significant effect may still occur despite alterations of the project, an EIR must be prepared. (Reference: State CEQA Guidelines, § 15063(g).) 5.04 PROJECTS SUBJECT TO NEPA. Projects that are carried out, financed, or approved in whole or in part by a federal agency are subject to the provisions of NEPA in addition to CEQA. To the extent possible, the State CEQA Guidelines encourage the City, when it is a Lead Agency under CEQA, to use the federally - prepared Environmental Impact Statement ("EIS") or Finding of No Significant Impact ("FONSI") or to prepare a joint CEQA/NEPA document instead of preparing separate NEPA and CEQA documents for a project that is subject to both NEPA and CEQA. (State CEQA Guidelines, § 15220.) For example, the City should attempt to work in conjunction with the federal agency involved in the project to prepare a combined EIR-EIS or Negative Declaration-FONSI. (State CEQA Guidelines, § 15222.) To avoid the need for the federal agency to prepare a separate document for the same project, the Lead Agency must involve the federal agency in the preparation of the joint document. The Lead Agency may also enter into a Memorandum of Understanding with the federal agency to ensure that both federal and state requirements are met. 2023 dtot y OUIICI ea to a roes - 22 — G2 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY The City is required to cooperate with the federal agency and to utilize joint planning processes, environmental research and studies, public hearings, and environmental documents to the fullest extent possible. (State CEQA Guidelines, § 15226.) However, since NEPA does not require an examination of mitigation measures or growth -inducing impacts, analysis of mitigation measures and growth -inducing impacts will need to be added before NEPA documents may be used to satisfy CEQA. (State CEQA Guidelines, § 15221.) For projects that are subject to NEPA, a scoping meeting held pursuant to NEPA satisfies the CEQA scoping requirement as long as notice is provided to the agencies and individuals listed in Local Guidelines Section 7.10, and provided in accordance with these Local Guidelines. If the federal agency refuses to cooperate with the City with regard to the preparation of joint documents, the City should attempt to involve a state agency in the preparation of the EIR, Negative Declaration, or Mitigated Negative Declaration. Since federal agencies are explicitly permitted to utilize environmental documents prepared by agencies of statewide jurisdiction, it is possible that the federal agency will reuse the state -prepared CEQA documents instead of requiring the applicant to fund a redundant set of federal environmental documents. (State CEQA Guidelines, § 15228.) Where the federal agency has circulated the EIS or FONSI and the circulation satisfied the requirements of CEQA and any other applicable laws, the City, when it is a Lead Agency under CEQA, may use the EIS or FONSI in place of an EIR or Negative Declaration without having to recirculate the federal documents. The City's intention to adopt the previously circulated EIS or FONSI must be publicly noticed in the same way as a Notice of Availability of a Draft EIR. Special rules may apply when the environmental documents are prepared for projects involving the reuse of military bases. (See State CEQA Guidelines, § 15225.) 5.05 AN INITIAL STUDY. The Initial Study shall be used to determine whether a Negative Declaration, Mitigated Negative Declaration or an EIR shall be prepared for a project. It provides written documentation of whether the City found evidence of significant adverse impacts which might occur. The purposes of an Initial Study are to: (a) Identify environmental impacts; (b) Enable an applicant or Lead Agency to modify a project, mitigating adverse impacts before an EIR is written; (c) Focus an EIR, if one is required, on potentially significant environmental effects; (d) Facilitate environmental assessment early in the design of a project; (e) Provide documentation of the factual basis for the finding in a Negative Declaration that a project will not have a significant effect on the environment; (f) Eliminate unnecessary EIRs; and (g) Determine whether a previously prepared EIR could be used for the project. (Reference: State CEQA Guidelines, § 15063.) 2023 tAna - es gfr LLP u ot OUI22—G3 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY 5.06 CONTENTS OF INITIAL STUDY. An Initial Study shall contain in brief form: (a) A description of the project, including the location of the project. The project description must be consistent throughout the environmental review process; (b) An identification of the environmental setting. The environmental setting is usually the existing physical environmental conditions in the vicinity of the project, as they exist at the time the Notice of Preparation is published, or if no Notice of Preparation is published, such as in the case of a Negative Declaration or Mitigated Negative Declaration, at the time environmental analysis begins. The environmental setting should describe both the project site and surrounding properties. The description should include, but not necessarily be limited to, a discussion of existing structures, land use, energy supplies, topography, water usage, soil stability, plants and animals, and any cultural, historical, or scenic aspects. This environmental setting will normally constitute the baseline physical conditions against which a Lead Agency may compare the project to determine whether an impact is significant; (c) An identification of environmental effects by use of a checklist, matrix, or other method, provided that entries are briefly explained to show the evidence supporting the entries. The brief explanation may be through either a narrative or a reference to other information such as attached maps, photographs, or an earlier EIR or Negative Declaration or Mitigated Negative Declaration. A reference to another document should include a citation to the page or pages where the information is found; (d) A discussion of ways to mitigate any significant effects identified; (e) An examination of whether the project is consistent with existing zoning and local land use plans and other applicable land use controls; (f) The name of the person or persons who prepared or participated in the Initial Study; and (g) Identification of prior EIRs or environmental documents that could be used with the project. (Reference: State CEQA Guidelines, § 15063(d).) 5.07 USE OF A CHECKLIST INITIAL STUDY. When properly completed, the Environmental Checklist (Form "J") will meet the requirements of Local Guidelines Section 5.05 for an Initial Study provided that the entries on the checklist are explained. Either the Environmental Checklist (Form "J") should be expanded or a separate attachment should be prepared to describe the project, including its location, and to identify the environmental setting. California courts have rejected the use of a bare, unsupported Environmental Checklist as an Initial Study. An Initial Study must contain more than mere conclusions. It must disclose supporting data or evidence upon which the Lead Agency relied in conducting the Initial Study. The Lead Agency must augment checklists with supporting factual data and reference information sources when completing the forms. Explanation of all "potential impact" answers should be provided on attached sheets. For controversial projects, it is advisable to state briefly why "no" 2023 dtot ot OU Ina Weal ur a mes -It 22 — G4 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY answers were checked. If practicable, attach a list of reference materials, such as prior EIRs, plans, traffic studies, air quality data, or other supporting studies. 5.08 EVALUATING SIGNIFICANT ENVIRONMENTAL EFFECTS. In evaluating the environmental significance of effects disclosed by the Initial Study, the Lead Agency shall consider: (a) Whether the Initial Study and/or any comments received informally during consultations indicate that a fair argument can be made that the project may have a significant adverse environmental impact that cannot be mitigated to a level of insignificance. Even if a fair argument can be made to the contrary, an EIR should be prepared; (b) Whether both primary (direct) and reasonably foreseeable secondary (indirect) consequences of the project were evaluated. Primary consequences are immediately related to the project, while secondary consequences are related more to the primary consequences than to the project itself. For example, secondary impacts upon the resources base, including land, air, water and energy use of an area, may result from population growth, a primary impact; (c) Whether adverse social and economic changes will result from a physical change caused by the project. Adverse economic and social changes resulting from a project are not, in themselves, significant environmental effects. However, if such adverse changes cause physical changes in the environment, those consequences may be used as the basis for finding that the physical change is significant; (d) Whether there is serious public controversy or disagreement among experts over the environmental effects of the project. However, the existence of public controversy or disagreement among experts does not, without more, require preparation of an EIR in the absence of substantial evidence of significant effects; (e) Whether the cumulative impact of the project is significant and whether the incremental effects of the project are "cumulatively considerable" (as defined in Local Guidelines Section 11.14) when viewed in connection with the effects of past projects, current projects, and probable future projects. The City may conclude that a project's incremental contribution to a cumulative effect is not cumulatively considerable if the project will comply with the requirements in a previously approved plan or mitigation program (including, but not limited to, water quality control plan, air quality attainment or maintenance plan, integrated waste management plan, habitat conservation plan, natural community conservation plan, plans or regulations for the reduction of greenhouse gas emissions) that provides specific requirements that will avoid or substantially lessen the cumulative problem. To be used for this purpose, such a plan or program must be specified in law or adopted by the public agency with jurisdiction over the affected resources through a public review process. In relying on such a plan or program, the City should explain which requirements apply to the project and ensure that the project's incremental contribution is not cumulatively considerable; and (f) Whether the project may cause a substantial adverse change in the significance of an archaeological or historical resource. The City may use a threshold of significance (as that term is defined in State CEQA Guidelines section 15064.7) to determine whether a project may cause a significant environmental 2023 dtot y OUIICI ea to a roes - re 22 — 65 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY impact. When using a threshold of significance, the City should briefly explain how compliance with the threshold means that the project's impacts are less than significant. Compliance with the threshold, however, does not relieve the City of the obligation to consider substantial evidence indicating that a project's environmental effects may still be significant. (Reference: State CEQA Guidelines, § 15064(b)(2).) 5.09 DETERMINING THE SIGNIFICANCE OF TRANSPORTATION IMPACTS On or about December 28, 2018, the California Natural Resources Agency added a new section to the State CEQA Guidelines —Section 15064.3, entitled "Determining the Significance of Transportation Impacts." Section 15064.3 provides: (a) Purpose. This section describes specific considerations for evaluating a project's transportation impacts. Generally, vehicle miles traveled is the most appropriate measure of transportation impacts. For the purposes of this section, "vehicle miles traveled" refers to the amount and distance of automobile travel attributable to a project. Other relevant considerations may include the effects of the project on transit and non -motorized travel. Except as provided in subdivision (b)(2) below (regarding roadway capacity), a project's effect on automobile delay shall not constitute a significant environmental impact. (b) Criteria for Analyzing Transportation Impacts. (1) Land Use Projects. Vehicle miles traveled exceeding an applicable threshold of significance may indicate a significant impact. Generally, projects within one-half mile of either an existing major transit stop or a stop along an existing high quality transit corridor should be presumed to cause a less than significant transportation impact. Projects that decrease vehicle miles traveled in the project area compared to existing conditions should be presumed to have a less than significant transportation impact. (2) Transportation Projects. Transportation projects that reduce, or have no impact on, vehicle miles traveled should be presumed to cause a less than significant transportation impact. For roadway capacity projects, agencies have discretion to determine the appropriate measure of transportation impact consistent with CEQA and other applicable requirements. To the extent that such impacts have already been adequately addressed at a programmatic level, such as in a regional transportation plan EIR, a lead agency may tier from that analysis as provided in Section 15152. (3) Qualitative Analysis. If existing models or methods are not available to estimate the vehicle miles traveled for the particular project being considered, a lead agency 2023 dtot ot OUf1Cl ca ur a mes - 22 — GG es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY may analyze the project's vehicle miles traveled qualitatively. Such a qualitative analysis would evaluate factors such as the availability of transit, proximity to other destinations, etc. For many projects, a qualitative analysis of construction traffic may be appropriate. (4) Methodology. A lead agency has discretion to choose the most appropriate methodology to evaluate a project's vehicle miles traveled, including whether to express the change in absolute terms, per capita, per household or in any other measure. A lead agency may use models to estimate a project's vehicle miles traveled, and may revise those estimates to reflect professional judgment based on substantial evidence. Any assumptions used to estimate vehicle miles traveled and any revisions to model outputs should be documented and explained in the environmental document prepared for the project. The standard of adequacy in Section 15151 shall apply to the analysis described in this section. (c) Applicability. The provisions of this section shall apply prospectively as described in section 15007. A lead agency may elect to be governed by the provisions of this section immediately. Beginning on July 1, 2020, the provisions of this section shall apply statewide. (Reference: State CEQA Guidelines, § 15064.3.) 5.10 MANDATORY FINDINGS OF SIGNIFICANT EFFECT. Whenever there is substantial evidence, in light of the whole record, that any of the conditions set forth below may occur, the Lead Agency shall find that the project may have a significant effect on the environment and thereby shall require preparation of an EIR: (a) The project has the potential to substantially degrade the quality of the environment, substantially reduce the habitat of a fish or wildlife species, cause a fish or wildlife population to drop below self-sustaining levels, threaten to eliminate a plant or animal community, substantially reduce the number or restrict the range of a rare or endangered plant or animal, or eliminate important examples of major periods of California history or prehistory; (b) The project has the potential to achieve short-term environmental goals to the disadvantage of long-term environmental goals; (c) The project has possible environmental effects which are individually limited but cumulatively considerable, as defined in Local Guidelines Section 11.14. That is, the City, when acting as Lead Agency, is required to determine whether the incremental impacts of a project are cumulatively considerable by evaluating them against the back -drop of the environmental effects of the other projects; or (d) The environmental effects of a project will cause substantial adverse effects on humans either directly or indirectly. 2023 dtot ot OU Ina ca ur a mes - 22 — G7 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY If, before the release of the CEQA document for public review, the potential for triggering one of the mandatory findings of significance is avoided or mitigation measures or project modifications reduce the potentially significant impacts to a point where clearly the mandatory finding of significance is not triggered, preparation of an EIR is not mandated. If the project's potential for triggering one of the mandatory findings of significance cannot be avoided or mitigated to a point where the criterion is clearly not triggered, an EIR shall be prepared, and the relevant mandatory findings of significance shall be used: (1) as thresholds of significance for purposes of preparing the EIR's impact analysis; (2) in making findings on the feasibility of alternatives or mitigation measures; (3) when found to be feasible, in making changes in the project to lessen or avoid the adverse environmental impacts; and (4) when necessary, in adopting a statement of overriding considerations. Although an EIR prepared for a project that triggers one of the mandatory findings of significance must use the relevant mandatory findings as thresholds of significance, the EIR need not conclude that the impact itself is significant. Rather, the City, as Lead Agency, must exercise its discretion and determine, on a case -by -case basis after evaluating all of the relevant evidence, whether the project's environmental impacts are avoided or mitigated below a level of significance or whether a statement of overriding considerations is required. With regard to a project that has the potential to substantially reduce the number or restrict the range of a protected species, the City, as Lead Agency, does not have to prepare an EIR solely due to that impact, provided the project meets the following three criteria: (a) The project proponent must be bound to implement mitigation requirements relating to such species and habitat pursuant to an approved habitat conservation plan and/or natural communities conservation plan; (b) The state or federal agency must have approved the habitat conservation plan and/or natural community conservation plan in reliance on an EIR and/or EIS; and (c) The mitigation requirements must either avoid any net loss of habitat and net reduction in number of the affected species, or preserve, restore, or enhance sufficient habitat to mitigate the reduction in habitat and number of the affected species below a level of significance. (Reference: State CEQA Guidelines, § 15065.) 5.11 MANDATORY PREPARATION OF AN EIR FOR WASTE -BURNING PROJECTS. Lead Agencies shall prepare or cause to be prepared and certify the completion of an EIR, or, if appropriate, an Addendum, Supplemental EIR, or Subsequent EIR, for any project involving the burning of municipal wastes, hazardous waste or refuse -derived fuel, including, but not limited to, tires, if the project consists of any of the following: (a) The construction of a new facility; 2023 dtot ot OUf1Cl ca ur a mes - Z2 — GH es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY (b) The expansion of an existing hazardous waste burning facility which would increase its permitted capacity by more than 10%; (c) The issuance of a hazardous waste facilities permit to a land disposal facility, as defined in Local Guidelines Section 11.32; or (d) The issuance of a hazardous waste facilities permit to an offsite large treatment facility, as defined in Local Guidelines Sections 11.33 and 11.53. This section does not apply to projects listed in subsections (c) and (d), immediately above, if the facility only manages hazardous waste that is identified or listed pursuant to Health and Safety Code section 25140 or 25141 or only conducts activities which are regulated pursuant to Health and Safety Code sections 25100, et seq. The Lead Agency shall calculate the percentage of expansion for an existing facility by comparing the proposed facility's capacity with either of the following, as applicable: (a) The facility capacity authorized in the facility's hazardous waste facilities permit pursuant to Health and Safety Code section 25200, or its grant of interim status pursuant to Health and Safety Code section 25200.5, or the facility capacity authorized in any state or local agency permit allowing the construction or operation of the facility for the burning of hazardous waste granted before January 1, 1990; or (b) The facility capacity authorized in the facility's original hazardous facilities permit, grant of interim status, or any state or local agency permit allowing the construction or operation of a facility for the burning of hazardous waste, granted on or after January 1, 1990. This section does not apply to any project over which the State Energy Resources Conservation and Development Commission has assumed jurisdiction per Health and Safety Code sections 25500 et seq. The EIR requirement is also subject to a number of exceptions for specific types of waste - burning projects. (Public Resources Code section 21151.1 and State CEQA Guidelines section 15081.5.) Even if preparation of an EIR is not mandatory for a particular type of waste -burning project, those projects are not exempt from the other requirements of CEQA, the State CEQA Guidelines, or these Local Guidelines. In addition, waste -burning projects are subject to special notice requirements under Public Resources Code section 21092. Specifically, in addition to the standard public notices required by CEQA, notice must be provided to all owners and occupants of property located within one-fourth mile of any parcel or parcels on which the waste -burning project will be located. (Public Resources Code section 21092(c); see Local Guidelines Sections 6.12 and 7.27.) 5.12 DEVELOPMENT PURSUANT TO AN EXISTING COMMUNITY PLAN AND EIR. Before preparing a CEQA document, Staff should determine whether the proposed project involves development consistent with an earlier zoning or community plan to accommodate a particular density for which an EIR has been certified. If an earlier EIR for the zoning or planning action has been certified, and if the proposed project concerns the approval of a subdivision map or development, CEQA applies only to the extent the project raises environmental effects peculiar to the parcel which were not addressed in the earlier EIR. Off -site and cumulative effects not 2023 dtot ot OU Ina ca ur a mes - Z2 — G9 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY discussed in the general plan EIR must still be considered. Mitigation measures set out in the earlier EIR should be implemented at this stage. Environmental effects shall not be considered peculiar to the parcel if uniformly applied development policies or standards have been previously adopted by a city or county with a finding based on substantial evidence that the policy or standard will substantially mitigate the environmental effect when applied to future projects. Examples of uniformly applied development policies or standards include, but are not limited to: parking ordinances; public access requirements; grading ordinances; hillside development ordinances; flood plain ordinances; habitat protection or conservation ordinances; view protection ordinances; and requirements for reducing greenhouse gas emissions as set forth in adopted land use plans, policies or regulations. Any rezoning action consistent with the Community Plan shall be subject to exemption from CEQA in accordance with this section. "Community Plan" means part of a city's general plan which: (1) applies to a defined geographic portion of the total area included in the general plan; (2) complies with Article 5 (commencing with Section 65300) of Chapter 3 of Division 1 of Title 7 of the Government Code by referencing each of the mandatory elements specified in Government Code section 65302; and (3) contains specific development policies adopted for the area in the Community Plan and identifies measures to implement those policies, so that the policies which will apply to each parcel can be determined. (Reference: State CEQA Guidelines, § 15183.) 5.13 LAND USE POLICIES. When a project will amend a general plan or another land use policy, the Initial Study must address how the change in policy and its expected direct and indirect effects will affect the environment. When the amendments constitute substantial changes in policies that result in a significant impact on the environment, an EIR may be required. 5.14 EVALUATING IMPACTS ON HISTORICAL RESOURCES. Projects that may cause a substantial adverse change in the significance of a historical resource, as defined in Local Guidelines Section 11.28 are projects that may have a significant effect on the environment, thus requiring consideration under CEQA. Particular attention and care should be given when considering such projects, especially projects involving the demolition of a historical resource, since such demolitions have been determined to cause a significant effect on the environment. Substantial adverse change in the significance of a historical resource means physical demolition, destruction, relocation or alteration of the resource or its immediate surroundings, such that the significance of a historical resource would be materially impaired. The significance of a historical resource is materially impaired when a project: (a) Demolishes or materially alters in an adverse manner those physical characteristics of a historical resource that convey its historical significance and that justify its inclusion in, or eligibility for inclusion in, the California Register of Historical Resources; 2023(&tot uraes -IV es gfr LLP y OUICZZ-7O Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY (b) Demolishes or materially alters in an adverse manner those physical characteristics that account for its inclusion in a local register of historical resources or its identification in a historical resources survey, unless the Lead Agency establishes by a preponderance of evidence that the resource is not historically or culturally significant; or (c) Demolishes or materially alters in an adverse manner those physical characteristics of a historical resource that convey its historical significance and that justify its eligibility for inclusion in the California Register of Historical Resources as determined by the Lead Agency for purposes of CEQA. Generally, a project that follows either one of the following sets of standards and guidelines will be considered mitigated to a level of less than significant: (a) the Secretary of the Interior's Standards for the Treatment of Historic Properties with Guidelines for Preserving, Rehabilitating, Restoring and Reconstructing Historic Buildings; or (b) the Secretary of the Interior's Standards for Rehabilitation and Guidelines for Rehabilitating Historic Buildings (1995), Weeks and Grimmer. In the event of an accidental discovery of a possible historical resource during construction of the project, the City may provide for the evaluation of the find by a qualified archaeologist or other professional. If the find is determined to be a historical resource, the City should take appropriate steps to implement appropriate avoidance or mitigation measures. Work on non - affected portions of the project, as determined by the City, may continue during the process. Curation may be an appropriate mitigation measure for an artifact that must be removed during project excavation or testing. (Reference: State CEQA Guidelines, § 15064.5.) 5.15 EVALUATING IMPACTS ON ARCHAEOLOGICAL SITES. When a project will impact an archaeological site, the City shall first determine whether the site is a historical resource, as defined in Local Guidelines Section 11.28 If the archaeological site is a historical resource, it shall be treated and evaluated as such, and not as an archaeological resource. If the archaeological site does not meet the definition of a historical resource, but does meet the definition of a unique archaeological resource set forth in Public Resources Code section 21083.2, the site shall be treated in accordance with said provisions of the Public Resources Code. The time and cost limitations described in Section 21083.2(c-f) do not apply to surveys and site evaluation activities intended to determine whether the project site contains unique archaeological resources. If the archaeological resource is neither a unique archaeological resource nor a historical resource, the effects of the project on those resources shall not be considered a significant effect on the environment. It shall be sufficient that both the resource and the effect on it are noted in the Initial Study or EIR, if one is prepared to address impacts on other resources, but they need not be considered further in the CEQA process. In the event of an accidental discovery of a possible unique archaeological resource during construction of the project, the City may provide for the evaluation of the find by a qualified archaeologist. If the find is determined to be a unique archaeological resource, the City should 2023(&tot uraes - es gfr LLP y OUIC22-7 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY take appropriate steps to implement appropriate avoidance or mitigation measures. Work on non - affected portions of the project, as determined by the City, may continue during the process. Curation may be an appropriate mitigation measure for an artifact that must be removed during project excavation or testing. When an Initial Study identifies the existence of, or the probable likelihood of, Native American human remains within the Project, the City shall comply with the provisions of State CEQA Guidelines section 15064.5(d). In the event of an accidental discovery or recognition of any human remains in any location other than a dedicated cemetery, the City shall comply with the provisions of State CEQA Guidelines section 15064.5(e). (Reference: State CEQA Guidelines, § 15064.5(c).) 5.16 CONSULTATION WITH WATER AGENCIES REGARDING LARGE DEVELOPMENT PROJECTS. (a) Projects Subject to Consultation Requirements. For certain development projects, cities and counties must consult with water agencies. If the City is a municipal water provider, the city or county may request that the City prepare a water supply assessment to be included in the relevant environmental documentation for the project. The City may refer to this section when preparing such an assessment or when reviewing projects in its role as a Responsible Agency. This section applies only to water demand projects as defined by Local Guidelines Section 11.83. Program level environmental review may not need to be as extensive as project level environmental review. (See Local Guidelines Sections 8.03 and 8.08.) (b) Water Supply Assessment. When a city or county as Lead Agency determines the type of environmental document that will be prepared for a water demand project or any project that includes a water demand project, the city or county must identify any public water system (as defined in Local Guidelines Sections 11.59 and 11.83) that may supply water for the project. The city or county must also request that the public water system determine whether the projected demand associated with the project was included in the most recently adopted Urban Water Management Plan. The city or county must also request that the public water system prepare a specified water supply assessment for approval at a regular or special meeting of the public water system governing body. A sample request for a water supply assessment is provided as Form "N" of these Local CEQA Guidelines. If no public water system is identified that may supply water for the water demand project, the city or county shall prepare the water supply assessment. The city or county shall consult with any entity serving domestic water supplies whose service area includes the site of the water demand project, the local agency formation commission, and the governing body of any public water system adjacent to the site of the water demand project. The city council or county board of supervisors must approve the water assessment prepared pursuant to this paragraph at a regular or special meeting. As per Water Code section 10910, the water assessment must include identification of existing water supply entitlements, water rights, or water service contracts relevant to the water 2023(&tot uraes es gfr LLP y OUICZZ-72 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY supply for the proposed project and water received in prior years pursuant to those entitlements, rights, and contracts, and further information is required if water supplies include groundwater. The water assessment must determine the ability of the public water system to meet existing and future demands along with the demands of the proposed water demand project in light of existing and future water supplies. This supply demand analysis is to be conducted via a twenty-year projection, and must assess water supply sufficiency during normal year, single dry year, and multiple dry year hydrology scenarios. If the public water agency concludes that the water supply is, or will be, insufficient, it must submit plans for acquiring additional water supplies. The city or county may grant the public water agency a thirty (30) day extension of time to prepare the assessment if the public water agency requests an extension within ninety (90) days of being asked to prepare the assessment. If the governing body of the public water system fails to request and receive an extension of time, or fails to submit the water assessment notwithstanding the thirty (30) day extension, the city or county may seek a writ of mandamus to compel the governing body of the public water system to comply. If a water -demand project has been the subject of a water assessment, no additional water assessment shall be required for subsequent water -demand projects that were included in the larger water -demand project if all of the following criteria are met: (1) The entity completing the water assessment concluded that its water supplies are sufficient to meet the projected water demand associated with the larger water - demand project, in addition to the existing and planned future uses, including, but not limited to, agricultural and industrial uses; and (2) None of the following changes has occurred since the completion of the water assessment for the larger water -demand project: (A) Changes in the larger water -demand project that result in a substantial increase in water demand for the water -demand project; (B) Changes in the circumstances or conditions substantially affecting the ability of the public water system identified in the water assessment to provide a sufficient supply of water for the water demand project; and (C) Significant new information becomes available which was not known and could not have been known at the time when the entity had reached its assessment conclusions. (3) The city or county shall include the water assessment, and any water acquisition plan in the EIR, negative declaration, or mitigated negative declaration, or any supplement thereto, prepared for the project, and may include an evaluation of the water assessment and water acquisition plan information within such environmental document. A discussion of water supply availability should be included in the main text of the environmental document. Normally, this discussion should be based on the data and information included in the water supply assessment. In making its required findings under CEQA, the city or county shall determine, based on the entire record, whether projected water supplies will be 2023(&tot uraes - es gfr LLP y OUICZZ-73 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY sufficient to satisfy the demands of the project, in addition to existing and planned future uses. If a city or county determines that water supplies will not be sufficient, the city or county shall include that determination in its findings for the project. The degree of certainty regarding the availability of water supplies will vary depending on the stage of project approval. A Lead Agency should have greater confidence in the availability of water supplies for a specific project than might be required for a conceptual plan (i.e. general plan, specific plan). An analysis of water supply in an environmental document may incorporate by reference information in a water supply assessment, urban water management plan, or other publicly available sources. The analysis shall include the following: (1) Sufficient information regarding the proj ect's proposed water demand and proposed water supplies to permit the Lead Agency to evaluate the pros and cons of supplying the amount of water that the project will need. (2) An analysis of the reasonably foreseeable environmental impacts of supplying water throughout all phases of the project. (3) An analysis of circumstances affecting the likelihood of the water's availability, as well as the degree of uncertainty involved. Relevant factors may include but are not limited to, drought, salt -water intrusion, regulatory or contractual curtailments, and other reasonably foreseeable demands on the water supply. (4) If the Lead Agency cannot determine that a particular water supply will be available, it shall conduct an analysis of alternative sources, including at least in general terms the environmental consequences of using those alternative sources, or alternatives to the project that could be served with available water. For complete information on these requirements, consult Water Code sections 10910, et seq. For other CEQA provisions applicable to these types of projects, see Local Guidelines Sections 7.03 and 7.25. 5.17 SUBDIVISIONS WITH MORE THAN 500 DWELLING UNITS. Cities and counties must obtain written verification (see Form "O" for a sample) from the applicable public water system(s) that a sufficient water supply is available before approving certain residential development projects. If the City is a municipal water provider for a project, the city or county may request such a verification from the City. The City should also be aware of these requirements when reviewing projects in its role as a Responsible Agency. Cities and counties are prohibited from approving a tentative map, parcel map for which a tentative map was not required, or a development agreement for a subdivision of property of more than 500 dwellings units, unless: (1) The City Council, Board of Supervisors, or the advisory agency receives written verification from the applicable public water system that a sufficient water supply is available; or 2023(&tot y OUIICI ea ur a mes - ZZ — 74 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY (2) Under certain circumstances, the City Council, Board of Supervisors or the advisory agency makes a specified finding that sufficient water supplies are, or will be, available prior to completion of the project. For complete information on these requirements, consult Government Code section 66473.7. (Reference: Pub. Resources Code, § 21083.4.) 5.18 IMPACTS TO OAK WOODLANDS. When a county prepares an Initial Study to determine what type of environmental document will be prepared for a project within its jurisdiction, the county must determine whether the project may result in a conversion of oak woodlands that will have a significant effect on the environment. Normally, this rule will not apply to projects undertaken by the City. However, if the City is a Responsible Agency on such a project, the City should endeavor to ensure that the county, as Lead Agency, analyzes these impacts in accordance with CEQA. (Reference: State CEQA Guidelines, § 21083.4.) 5.19 CLIMATE CHANGE AND GREENHOUSE GAS EMISSIONS. A. Estimating or Calculating the Magnitude of the Project's Greenhouse Gas Emissions. The City shall analyze the greenhouse gas emissions of its projects as required by State CEQA Guidelines section 15064.4. For projects subject to CEQA, the City shall make a good - faith effort, based to the extent possible on scientific and factual data, to describe, calculate or estimate the amount of greenhouse gas emissions resulting from a project. In performing analysis of greenhouse gas emissions, the City, as Lead Agency, shall have discretion to determine, in the context of a particular project, whether to: (1) Quantify greenhouse gas emissions resulting from a project; and/ or (2) Rely on a qualitative analysis or performance -based standards. B. Factors in Determining Significance. In determining the significance of a project's greenhouse gas emissions, the City, when acting as Lead Agency, should focus its analysis on the reasonably foreseeable incremental contribution of the project's emissions to the effects of climate change. A project's incremental contribution may be cumulatively considerable even if it appears relatively small compared to statewide, national, or global emissions. The City's analysis should consider a timeframe that is appropriate for the project. The City's analysis also must reasonably reflect evolving scientific knowledge and state regulatory schemes. 2023(&tot y OUIICI ea ur a mes - ZZ — 75 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY Once the amount of a project's greenhouse gas emissions have been described, estimated, or calculated, the City should consider the following factors, among others, to determine whether those emissions are significant: (1) The extent to which the project may increase or reduce greenhouse gas emissions as compared to the existing environmental setting. Physical environmental conditions in the vicinity of the project, as they exist at the time the Notice of Preparation is published or the time when the environmental analysis is commenced, will normally constitute the baseline. All project phases, including construction and operation, should be considered in determining whether a project will cause emissions to increase or decrease as compared to the baseline; (2) Whether the project emissions exceed a threshold of significance that the Lead Agency determines applies to the project. The Lead Agency may rely on thresholds of significance developed by experts or other agencies, provided that application of the threshold and the significance conclusion is supported with substantial evidence. When relying on thresholds developed by other agencies, the Lead Agency should ensure that the threshold is appropriate for the project and the project's location; and (3) The extent to which the project complies with regulations or requirements adopted to implement a statewide, regional, or local plan for the reduction or mitigation of greenhouse gas emissions (see, e.g., State CEQA Guidelines section 15183.5(b)). Such requirements must be adopted by the relevant public agency through a public review process and must reduce or mitigate the project's incremental contribution of greenhouse gas emissions. If there is substantial evidence that the possible effects of a particular project are still cumulatively considerable notwithstanding compliance with the adopted regulations or requirements, an EIR must be prepared for the project. In determining the significance of impacts, the Lead Agency may consider a project's consistency with the State's long- term climate goals or strategies, provided that substantial evidence supports the agency's analysis of how those goals or strategies address the project's incremental contribution to climate change and its conclusion that the project's incremental contribution is not cumulatively considerable. The Lead Agency may use a model or methodology to estimate greenhouse gas emissions resulting from a project. The Lead Agency has discretion to select the model or methodology it considers most appropriate to enable decision makers to intelligently take into account the project's incremental contribution to climate change. The Lead Agency must support its selection of a model or methodology with substantial evidence. The Lead Agency should explain the limitations of the particular model or methodology selected for use. 2023(&tot uraes -IV es gfr LLP y OUICZZ-7G Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY C. Consistency with Applicable Plans. When an EIR is prepared, it must discuss any inconsistencies between the proposed project and any applicable general plan, specific plans, and regional plans. This includes, but is not limited to, any applicable air quality attainment plans, regional blueprint plans, or plans for the reduction of greenhouse gas emissions. D. Mitigation Measures Related to Greenhouse Gas Emissions. Lead Agencies must consider feasible means of mitigating the significant effects of greenhouse gas emissions. Any such mitigation measure must be supported by substantial evidence and be subject to monitoring or reporting. Potential mitigation will depend on the particular circumstances of the project, but may include the following, among others: (1) Measures in an existing plan or mitigation program for the reduction of emissions that are required as part of the Lead Agency's decision; (2) Reductions in emissions resulting from a project through implementation of project features, project design, or other measures, such as those described in State CEQA Guidelines Appendix F; (3) Off -site measures, including offsets that are not otherwise required, to mitigate a project's emissions; (4) Measures that sequester greenhouse gases; and (5) In the case of the adoption of a plan, such as a general plan, long range development plan, or plan for the reduction of greenhouse gas emissions, mitigation may include the identification of specific measures that may be implemented on a project -by - project basis. Mitigation may also include the incorporation of specific measures or policies found in an adopted ordinance or regulation that reduces the cumulative effect of emissions. E. Streamlined Analysis of Greenhouse Gas Emissions. Under certain limited circumstances, the legislature has specifically declared that the analysis of greenhouse gas emissions or climate change impacts may be limited. Public Resources Code sections 21155, 21155.2, and 21159.28 provide that if certain residential, mixed use and transit priority projects meet specified ratios and densities, then the lead agencies for those projects may conduct a limited review of greenhouse gas emissions or may be exempted from analyzing global warming impacts that result from cars and light duty trucks, if a detailed list of requirements is met. However, unless the project is exempt from CEQA, the Lead Agency must consider whether such projects will result in greenhouse gas emissions from other sources, including, but not limited to, energy use, water use, and solid waste disposal. 2023(&tot uraes - es gfr LLP y OUIC22—TT Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY F. Tiering. The City may analyze and mitigate the significant effects of greenhouse gas emissions at a programmatic level. Later project -specific environmental documents may then tier from and/or incorporate by reference that existing programmatic review. G. Plans for the Reduction of Greenhouse Gas Emissions. Public agencies may choose to analyze and mitigate greenhouse gas emissions in a plan for the reduction of greenhouse gas emissions or in a similar document. A plan for the reduction of greenhouse gas emissions should: (1) Quantify greenhouse gas emissions, both existing and projected over a specified time period, resulting from activities within a defined geographic area; (2) Establish a level, based on substantial evidence, below which the contribution to greenhouse gas emissions from activities covered by the plan would not be cumulatively considerable; (3) Identify and analyze the greenhouse gas emissions resulting from specific actions or categories of actions anticipated within the geographic area; (4) Specify measures or a group of measures, including performance standards, that substantial evidence demonstrates, if implemented on a project -by -project basis, would collectively achieve the specified emissions level; (5) Establish a mechanism to monitor the plan's progress toward achieving the level and to require amendment if the plan is not achieving specified levels; and (6) Be adopted in a public process following environmental review. A plan for the reduction of greenhouse gas emissions, once adopted following certification of an EIR, or adoption of another environmental document, may be used in the cumulative impacts analysis of later projects. An environmental document that relies on a plan for the reduction of greenhouse gas emissions for a cumulative impacts analysis must identify those requirements specified in the plan that apply to the project, and, if those requirements are not otherwise binding and enforceable, incorporate those requirements as mitigation measures applicable to the project. If there is substantial evidence that the effects of a particular project may be cumulatively considerable notwithstanding the project's compliance with the specified requirements in the plan for reduction of greenhouse gas emissions, an EIR must be prepared for the project. H. Analyzing the Effects of Climate Change on the Project. Where an EIR is prepared for a project, the EIR shall analyze any significant environmental effects the project might cause by bringing development and people into the project area that may be affected by climate change. In particular, the EIR should evaluate any potentially significant impacts of locating development in areas susceptible to hazardous conditions (e.g., floodplains, coastlines, wildfire risk areas) as identified in authoritative hazard maps, risk assessments or in 2023(&tot y OUIICI ea ur a mes - ZZ — 7H es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY land use plans addressing such hazards areas. The analysis may be limited to the potentially significant effects of locating the project in a potentially hazardous location. Further, this analysis may be limited by the project's life in relation to the potential of such effects to occur and the availability of existing information related to potential future effects of climate change. Further, the EIR need not include speculation regarding such future effects. 5.20 ENERGY CONSERVATION. Potentially significant energy implications of a project must be considered in an EIR to the extent relevant and applicable to the project. Therefore, the project description should identify the following as applicable or relevant to the particular project: (1) Energy consuming equipment and processes which will be used during construction, operation and/or removal of the project. If appropriate, this discussion should consider the energy intensiveness of materials and equipment required for the project; (2) Total energy requirements of the project by fuel type and end use; (3) Energy conservation equipment and design features; (4) Identification of energy supplies that would serve the project; and (5) Total estimated daily vehicle trips to be generated by the project and the additional energy consumed per trip by mode. As described in Local Guidelines Section 5.06, above, an initial study must include a description of the environmental setting. The discussion of the environmental setting may include existing energy supplies and energy use patterns in the region and locality. The City may also consider the extent to which energy supplies have been adequately considered in other environmental documents. Environmental impacts may include: (1) The project's energy requirements and its energy use efficiencies by amount and fuel type for each stage of the project including construction, operation, maintenance and/or removal. If appropriate, the energy intensiveness of materials may be discussed; (2) The effects of the project on local and regional energy supplies and on requirements for additional capacity; (3) The effects of the project on peak and base period demands for electricity and other forms of energy; (4) The degree to which the project complies with existing energy standards; (5) The effects of the project on energy resources; and/or 2023(&tot uraes -17 es gfr LLP y OUIC22-79 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) INITIAL STUDY (6) The project's projected transportation energy use requirements and its overall use of efficient transportation alternatives. As discussed above in Section 5.06, the Initial Study must identify the potential environmental effects of the proposed activity. That discussion must include the unavoidable adverse effects. Unavoidable adverse effects may include wasteful, inefficient and unnecessary consumption of energy during the project construction, operation, maintenance and/or removal that cannot be feasibly mitigated. When discussing energy conservation, alternatives should be compared in terms of overall energy consumption and in terms of reducing wasteful, inefficient and unnecessary consumption of energy. 5.21 ENVIRONMENTAL IMPACT ASSESSMENT. The Initial Study identifies which environmental impacts may be significant. Based upon the Initial Study, Staff shall determine whether a proposed project may or will have a significant effect on the environment. Such determination shall be made in writing on the Environmental Impact Assessment Form (Form "C"). If Staff finds that a project will not have a significant effect on the environment, it shall recommend that a Negative Declaration be prepared and adopted by the decision -making body. If Staff finds that a project may have a significant effect on the environment, but the effects can be mitigated to a level of insignificance, it shall recommend that a Mitigated Negative Declaration be prepared and adopted by the decision -making body. If Staff finds that a project may have a significant effect on the environment, it shall recommend that an EIR be prepared and certified by the decision -making body. 5.22 FINAL DETERMINATION. The City Council shall have the final responsibility for determining whether an EIR, Negative Declaration or Mitigated Negative Declaration shall be required for any project. The City Council's determination shall be final and conclusive on all persons, including Responsible Agencies and Trustee Agencies, except as provided in Section 15050(c) of the State CEQA Guidelines. Additionally, in the event the City Council has delegated authority to a subsidiary board or official to approve a project, the City Council also hereby delegates to that subsidiary board or official the authority to make all necessary CEQA determinations, including whether an EIR, Negative Declaration, Mitigated Negative Declaration or exemption shall be required for any project. A subsidiary board or official's CEQA determination shall be subject to appeal consistent with the City's established procedures for appeals. (Reference: Pub. Resources Code, § 21151.) 2023(&tot uraes - es gfr LLP y OUIC22_80 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION 6. NEGATIVE DECLARATION 6.01 DECISION TO PREPARE A NEGATIVE DECLARATION. A Negative Declaration (Form ` E") shall be prepared for a project subject to CEQA when the Initial Study shows that there is no substantial evidence in light of the whole record that the project may have a significant or potentially significant adverse effect on the environment. (See Local Guidelines Sections 11.65 and 11.71.) (Reference: State CEQA Guidelines, § 15070(a).) 6.02 DECISION TO PREPARE A MITIGATED NEGATIVE DECLARATION. A Mitigated Negative Declaration (Form "E") shall be prepared for a project subject to CEQA when the Initial Study identifies potentially significant effects on the environment, but: (a) The project applicant has agreed to revise the project or the City can revise the project to avoid these significant effects or to mitigate the effects to a point where it is clear that no significant effects would occur; or (b) There is no substantial evidence in light of the whole record before the City that the revised project may have a significant effect. It is insufficient to require an applicant to adopt mitigation measures after final adoption of the Mitigated Negative Declaration or to state that mitigation measures will be recommended on the basis of a future study. The City must know the measures at the time the Mitigated Negative Declaration is adopted in order for them to be evaluated and accepted as adequate mitigation. Evidence of agreement by the applicant to such mitigation should be in the record prior to public review. Except where noted, the procedural requirements for the preparation and approval of a Negative Declaration and Mitigated Negative Declaration are the same. (Reference: State CEQA Guidelines, § 15070(b).) 6.03 CONTRACTING FOR PREPARATION OF NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION. The City, when acting as Lead Agency, is responsible for preparing all documents required pursuant to CEQA. The documents may be prepared by Staff or by private consultants pursuant to a contract with the City, but they must be the City's product and reflect the independent judgment of the City. 6.04 NOTICE OF INTENT TO ADOPT A NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION. When, based upon the Initial Study, it is recommended to the decision -making body that a Negative Declaration or Mitigated Negative Declaration be adopted, a Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration (Form "D") shall be prepared. In addition to being provided to the public through the means set forth in Local Guidelines Section 6.07, this Notice shall also be provided to: 2023 dtot ot O U Ina ca ur a mes - 22 _ $ es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION (a) Each Responsible and Trustee Agency; (b) Any other federal, state, or local agency that has jurisdiction by law or exercises authority over resources affected by the project, including: (1) Any water supply agency consulted under Local Guidelines Section 5.16; (2) Any city or county bordering on the project area; (3) For a project of statewide, regional, or area -wide significance, to any transportation agencies or public agencies which have major local arterials or public transit facilities within five (5) miles of the project site or freeways, highways, or rail transit service within ten (10) miles of the project site which could be affected by the project; and (4) For a subdivision project located within one mile of a facility of the State Water Resources Development System, to the California Department of Water Resources; (c) The last known name and address of all organizations and individuals who have previously filed a written request with the City to receive these Notices; (d) For certain projects that may impact a low-level flight path, military impact zone, or special use airspace and that meet the other criteria of Local Guidelines Section 6.05, to the specified military services contact; (e) For certain projects that involve the construction or alteration of a facility anticipated to include hazardous air emissions or handle hazardous substances within one -quarter mile of a school and that meet the other requirements of Local Guidelines Section 6.06, to any potentially affected school district; (f) For certain waste -burning projects that meet the requirements of Local Guidelines Section 5.11 (regarding mandatory preparation of EIR) (see also Local Guidelines Section 7.27), to the owners and occupants of property within one-fourth mile of any parcel on which the project will be located; and (g) For a project that establishes or amends a redevelopment plan that contains land in agricultural use, notice shall be provided to the agricultural and farm agencies and organizations specified in Health and Safety Code section 33333.3. The Notice of Intent must also be posted to the Lead Agency's website, if any. (Pub. Resources Code, § 21092.2(d).) Additionally, for a project of statewide, regional, or area -wide significance, the Lead Agency should also consult with public transit agencies with facilities within one-half mile of the proposed project. A copy of the proposed Negative Declaration or Mitigated Negative Declaration and the Initial Study shall be attached to the Notice of Intent to Adopt that is sent to every Responsible Agency and Trustee Agency concerned with the project and every other public agency with jurisdiction by law over resources affected by the project. The public review period for a Negative Declaration or Mitigated Negative Declaration shall not be less than twenty (20) days; the public review period shall be at least thirty (30) days where the Negative Declaration or Mitigated Negative Declaration is for a proposed project where 2023 dtot y OUIICI ea to a roes - ZZ — H2 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION (1) a state agency is the lead agency, a responsible agency, or a trustee agency; (2) a state agency otherwise has jurisdiction by law with respect to the project; or (3) the proposed project is of sufficient statewide, regional, or area -wide significance as determined pursuant to State CEQA Guidelines section 15206. The Lead Agency shall give notice of the public review period by filing and posting a Notice of Intent to Adopt a Negative Declaration (Form "D") with the County Clerk before commencement of the public review period; where a public review period of at least 30 days is required, the Lead Agency shall also electronically submit the Notice of Intent to the State Clearinghouse. (Pub. Resources Code, § 21091.) For purposes of calculating the length of the public review period, the last day of the public review period cannot fall on a weekend, a legal holiday, or other day on which the lead agency's offices are closed! (Reference: Rominger v. County of Colusa (2014) 229 Cal.App.4th 690, 708.) The City requires requests for notices to be in writing and to be renewed annually. If the City is not otherwise required by CEQA or another regulation to provide notice, the City may charge a fee for providing notices to individuals or organizations that have submitted written requests to receive such notices, unless the request is made by another public agency. If the Negative Declaration or Mitigated Negative Declaration has been submitted to the State Clearinghouse for review by state agencies, the public review period shall be at least as long as the period of review and comment by state agencies as established by the State Clearinghouse. (See Local Guidelines Section 6.10.) Day one of the state agency review period shall be the date that the State Clearinghouse distributes the Negative Declaration or Mitigated Negative Declaration to state agencies. The Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration shall contain the following information: (a) The period during which comments shall be received; (b) The date, time and place of any public meetings or hearings on the proposed project; (c) A brief description of the proposed project and its location; (d) The address where copies of the proposed Negative Declaration or Mitigated Negative Declaration and all documents incorporated by reference in the proposed Negative Declaration or Mitigated Negative Declaration are available for review; (e) A description of how the proposed Negative Declaration or Mitigated Negative Declaration can be obtained in electronic format; (f) The Environmental Protection Agency ("EPA") list on which the proposed project site is located, if applicable, and the corresponding information from the applicant's statement (see Local Guidelines Section 2.05); and (g) The significant effects on the environment, if any, anticipated as a result of the proposed project. 1 A public agency's "offices are closed" for purposes of this section on days in which the agency is formally closed for business (for example, due to a weekend, a legal holiday, or a formal furlough affecting the entire office). A public agency's office is not considered closed for purposes of this section where the agency's office may be physically closed, but the agency is nonetheless open for business and is operating remotely or virtually (for example, in response to the Covid-19 pandemic). 2023 tAna - es gfr LLP u ot OUIZZ—H3 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION (Reference: Pub. Resources Code, §§ 21082.1, 21091, 21161; State CEQA Guidelines, §§ 15072, 15105, 15205.) 6.05 PROJECTS AFFECTING MILITARY SERVICES; DEPARTMENT OF DEFENSE NOTIFICATION. CEQA imposes additional requirements to provide notice to potentially affected military agencies when: (a) The project meets one of the following three criteria: (1) The project includes a general plan amendment; (2) The project is of statewide, regional, or area -wide significance; or (3) The project relates to a public use airport or certain lands surrounding a public use airport; and (b) A "military service" (defined in Section 11.42 of these Local Guidelines) has provided its contact office and address and notified the Lead Agency of the specific boundaries of a "low-level flight path" (defined in Section 11.37 of these Local Guidelines), "military impact zone" (defined in Section 11.41 of these Local Guidelines), or "special use airspace" (defined in Section 11.67 of these Local Guidelines). When a project meets these requirements, the City must provide the military service's designated contact with a copy of the Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration that has been prepared for the project, unless the project involves the remediation of lands contaminated with hazardous wastes and meets certain other requirements. (Reference: Pub. Resources Code §§ 21080.4 and 21092; Health & Safety Code §§ 25300, et seq., 25396, and 25187.) The City must provide the military service with sufficient notice of its intent to adopt a Negative Declaration or Mitigated Negative Declaration to ensure that the military service has no fewer than twenty (20) days to review the documents before they are approved, provided that the military service shall have a minimum of thirty (30) days to review the environmental documents if the documents have been submitted to the State Clearinghouse. (Reference: State CEQA Guidelines, §§ 15105(b), 15190.5(c).) 6.06 SPECIAL FINDINGS REQUIRED FOR FACILITIES THAT MAY EMIT HAZARDOUS AIR EMISSIONS NEAR SCHOOLS. Special procedural rules apply to projects involving the construction or alteration of a facility within one -quarter mile of a school/schools when: (1) the facility might reasonably be anticipated to emit hazardous air emissions or to handle an extremely hazardous substance or a mixture containing extremely hazardous substances in a quantity equal to or greater than the threshold specified in Health and Safety Code section 255320), and (2) the emissions or substances may pose a health or safety hazard to persons who would attend or would be employed at the 2023 dtot OUf1Cl ca ur a mes - ZZ — H4 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION school. If the project meets both of those criteria, a Lead Agency may not approve a Negative Declaration or a Mitigated Negative Declaration unless both of the following have occurred: (a) The Lead Agency consulted with the affected school district or districts having jurisdiction over the school regarding the potential impact of the project on the school; and (b) The school district(s) was given written notification of the project not less than thirty (30) days prior to the proposed approval of the Negative Declaration. When the City is considering the adoption of a Negative Declaration or Mitigated Negative Declaration for a project that meets these criteria, it can satisfy this requirement by providing the Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration, the proposed Negative Declaration or Mitigated Negative Declaration, and the Initial Study to the potentially affected school district at least thirty (30) days before the decision -making body will consider the adoption of the Negative Declaration or Mitigated Negative Declaration. See also Local Guidelines Section 6.04. Implementation of this Guideline shall be consistent with the definitions and terms utilized in State CEQA Guidelines section 15186. 6.07 CONSULTATION WITH CALIFORNIA NATIVE AMERICAN TRIBES. Prior to the release of a Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration for a project, the Lead Agency shall begin consultation with a California Native American tribe that is traditionally and culturally affiliated with the geographic area of the proposed project if: (a) The California Native American tribe requested to the Lead Agency, in writing, to be informed by the Lead Agency through formal notification of proposed projects in the geographic area that is traditionally and culturally affiliated with the tribe; and (b) The California Native American tribe responds, in writing, within 30 days of receipt of the formal notification, and requests the consultation. The California Native American tribe shall designate a lead contact person when responding to the Lead Agency. If a lead contact is not designated by the California Native American tribe, or it designates multiple lead contact people, the Lead Agency shall defer to the individuals listed on the contact list maintained by the Native American Heritage Commission. Consultation is defined in Local Guidelines Section 11.12. To expedite the requirements of this section, the Native American Heritage Commission shall assist the Lead Agency in identifying the California American Native tribes that are traditionally and culturally affiliated with the project area. Within 14 days of determining that an application for a project is complete or a decision by a public agency to undertake a project, the Lead Agency shall provide formal notification to the designated contact of, or a trial representative of, traditionally and culturally affiliated California Native America tribes that have requested notice, which shall be accomplished by at least one written notification that includes a brief description of the proposed project and its 2023 dtot y OUIICI ea to a roes - 22 — $rJ es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION location, the Lead Agency contact information, and a notification that the California Native American tribe has 30 days to request consultation. Where the application for a housing development project is deemed to be complete on or after March 4, 2020 and before December 31, 2021, the California Native American tribe shall have 60 days to respond to the Lead Agency and request consultation. (Reference: Gov. Code, § 65583(i).) The Lead Agency shall begin the consultation process within 30 days of receiving a California Native American tribe's request for consultation. If consultation is requested, the parties may propose mitigation measures, including those set forth in Public Resources Code section 21084.3, capable of avoiding or substantially lessening potential significant impacts to a tribal cultural resource or alternatives that would avoid significant impacts to a tribal cultural resource. The consultation may include discussion concerning the type of environmental review necessary, the significance of tribal cultural resources, the significance of the project's impacts on the tribal cultural resources, and, if necessary, project alternatives or the appropriate measures for preservation or mitigation that the California Native American tribe may recommend to the Lead Agency. The consultation shall be considered concluded when either of the following occurs: (1) The parties agree to measures to mitigate or avoid a significant effect, if a significant effect exists, on a tribal cultural resource. (2) A party, acting in good faith and after reasonable effort, concludes that mutual agreement cannot be reached. The California Native American tribe is not limited in its ability to submit information to the lead agency regarding the significance of the tribal cultural resources, the significance of the project's impact on tribal cultural resources, or any appropriate measures to mitigate the impacts. Additionally, the lead agency or project proponent is not limited in its ability to incorporate changes and additions to the project as a result of the consultation, even if not legally required. (Reference: Pub. Resources Code, §§ 21080.3.1, 21080.3.2.) 6.08 IDENTIFICATION OF TRIBAL CULTURAL RESOURCES AND PROCESSING OF INFORMATION AFTER CONSULTATION WITH THE CALIFORNIA NATIVE AMERICAN TRIBE After consultation with the California Native American tribe listed above in Local Guidelines Section 6.07, any mitigation measures agreed upon in the consultation conducted pursuant to Public Resources Code section 21080.3.2 shall be recommended for inclusion in the Mitigated Negative Declaration and in an adopted mitigation monitoring and reporting program, if the mitigation measures are determined to avoid or lessen the proposed project's impacts on tribal cultural resources, and if the mitigation measures are enforceable. If a project may have a significant impact on a tribal cultural resource, the Lead Agency's Mitigated Negative Declaration shall discuss both of the following: 2023 dtot OU Ina ca ur a mes - 22 — HG es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION (a) Whether the proposed project has a significant impact on an identified tribal cultural resource; (b) Whether feasible alternatives or mitigation measures, including those measures that may be agreed to during the consultation, avoid or substantially lessen the impact on the identified tribal cultural resource. Any information provided regarding the location, description and use of the tribal cultural resource that is submitted by a California Native American tribe during the environmental review process shall not be included in the Negative Declaration or Mitigated Negative Declaration or otherwise disclosed by the Lead Agency or any other public agency to the public, consistent with Government Code sections 7927.005, and State CEQA Guidelines section 15120(d), without the prior consent of the tribe that provided the information. If the Lead Agency publishes any information submitted by a California Native American tribe during the consultation or environmental review process, that information shall be published in a confidential appendix to the Negative Declaration or Mitigated Negative Declaration unless the tribe provides consent, in writing, to the disclosure of some or all of the information to the public. This does not prohibit the confidential exchange of the submitted information between public agencies that have lawful jurisdiction over the preparation of the Negative Declaration or the Mitigated Negative Declaration. The exchange of confidential information regarding tribal cultural resources submitted by a California Native American tribe during the consultation or environmental review process among the Lead Agency, the California Native American tribe, the project applicant, or the project applicant's agent is not prohibited by Public Resources Code section 21082.3. The project applicant and the project applicant's legal advisers must use a reasonable degree of care and maintain the confidentiality of the information exchanged for the purposes of preventing looting, vandalism, or damage to tribal cultural resources and shall not disclose to a third party confidential information regarding the cultural resource unless the California Native American tribe providing the information consents in writing to the public disclosure of such information. Public Resources Code section 21082.3 does not prevent a Lead Agency or other public agency from describing the information in general terms in the Negative Declaration or Mitigated Negative Declaration so as to inform the public of the basis of the Lead Agency's or other public agency's decision without breaching the confidentiality required. In addition, a Lead Agency may adopt a Mitigated Negative Declaration for a project with a significant impact on an identified tribal cultural resource only if one of the following occurs: (a) The consultation process between the California Native American tribe and the Lead Agency has occurred as provided in Public Resources Code sections 21080.3.1 and 21080.3.2 and concluded pursuant to subdivision (b) of Section 21080.3.2. (b) The California Native American tribe has requested consultation pursuant to Public Resources Code section 21080.3.1 and has failed to provide comments to the Lead agency, or otherwise failed to engage, in the consultation process. 2023 dtot y OUIICI ea to a roes - 22 — $7 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION (c) The Lead Agency has complied with subdivision (d) of Section 21080.3.1 of the Public Resources Code and the California Native American tribe has failed to request consultation within 30 days. If substantial evidence demonstrates that a project will cause a significant effect to a tribal cultural resource but the decision -makers do not include the mitigation measures recommended by the staff in the Mitigated Negative Declaration, or if there are no agreed upon mitigation measures at the conclusion of the consultation; or if no consultation has occurred, the Lead Agency must still consider the adoption of feasible mitigation. (Reference: Pub. Resources Code, § 21082.3.) 6.09 SIGNIFICANT ADVERSE IMPACTS TO TRIBAL CULTURAL RESOURCES Public agencies shall, when feasible, avoid damaging effects to any tribal cultural resource. If the Lead Agency determines that a project may cause a substantial adverse change to a tribal cultural resource, and measures are not otherwise identified in the consultation process provided in Public Resources Code section 21080.3.2 and as set forth in Local Guidelines Section 6.07, the following examples of mitigation measures, if feasible, may be considered to avoid or minimize the significant adverse impacts: (a) Avoidance and preservation of the resources in place, including, but not limited to, planning and construction to avoid the resources and protect the cultural and natural context, or planning greenspace, parks, or other open space, to incorporate the resources with culturally appropriate protection and management criteria. (b) Treating the resource with culturally appropriate dignity taking into account the tribal cultural values and meaning of the resource, including, but not limited to, the following: (1) Protecting the cultural character and integrity of the resource. (2) Protecting the traditional use of the resource. (3) Protecting the confidentiality of the resource. (c) Permanent conservation easements or other interests in real property, with culturally appropriate management criteria for the purposes of preserving or utilizing the resources or places. (d) Protecting the resource. (Reference: Pub. Resources Code, § 21084.3.) 2023 dtot OUf1Cl ca ur a mes - 22 _ $$ es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION 6.10 POSTING AND PUBLICATION OF NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION. The City shall have a copy of the Notice of Intent to Adopt, the Negative Declaration or Mitigated Negative Declaration, and the Initial Study posted at the City's offices and on the City's website, if any, and shall make these documents available for public inspection. The Notice must be provided either twenty (20) or thirty (30) days prior to final adoption of the Negative Declaration or Mitigated Negative Declaration. The public review period for a Negative Declaration or Mitigated Negative Declaration prepared for a project subject to state agency review, as set forth in Local Guidelines Section 6.11, must be circulated for at least as long as the review period established by the State Clearinghouse, usually no less than thirty (30) days. Under certain circumstances, a shortened review period of at least twenty (20) days may be approved by the State Clearinghouse as provided for in State CEQA Guidelines section 15105. See the Shortened Review Request Form "P." The state review period will commence on the date the State Clearinghouse distributes the document to state agencies. The State Clearinghouse will distribute the document within three (3) days of receipt if the Negative Declaration or Mitigated Negative Declaration is deemed complete. The Notice must also be posted in the office of the Clerk in each county in which the project is located and must remain posted throughout the public review period. The County Clerk is required to post the Notice within twenty-four (24) hours of receiving it. Notice shall be provided as stated in Local Guidelines Section 6.04. In addition, Notice of the Intent to Adopt shall be given to the last known name and address of all organizations and individuals who have previously requested notice; by posting the notice on the website of the lead agency; and by at least one of the following procedures: (a) Publication at least once in a newspaper of general circulation in the area affected by the proposed project. If more than one area will be affected, the notice shall be published in the newspaper of largest circulation from among the newspapers of general circulation in those areas; (b) Posting of notice on and off site in the area where the project is to be located; or (c) Direct mailing to owners and occupants of property contiguous to the project, as shown on the latest equalized assessment roll. The City, when acting as Lead Agency, shall consider all comments received during the public review period for the Negative Declaration or Mitigated Negative Declaration. For a Negative Declaration or Mitigated Negative Declaration, the City is not required to respond in writing to comments it receives either during or after the public review period. However, the City may provide a written response to all comments if it will not delay action on the Negative Declaration or Mitigated Negative Declaration, since any comment received prior to final action on the Negative Declaration or Mitigated Negative Declaration can form the basis of a legal challenge. A written response that refutes the comment or adequately explains the City's action in light of the comment will assist the City in defending against a legal challenge. The City shall notify any public agency that comments on a Negative Declaration or Mitigated Negative Declaration of the public hearing or hearings, if any, on the project for which the Negative Declaration or Mitigated Negative Declaration was prepared. 2023 dtot OUf1Cl ca ur a mes - 22 _ 89 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION (Reference: Pub. Resources Code, § 21092; State CEQA Guidelines, §§ 15072-15073.) 6.11 SUBMISSION OF NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION TO STATE CLEARINGHOUSE. A Negative Declaration or Mitigated Negative Declaration must be submitted to the State Clearinghouse, in an electronic form as required by the Office of Planning and Research, regardless of whether the document must be circulated for review and comment by state agencies under State CEQA Guidelines section 15205 and 15206. The Negative Declaration or Mitigated Negative Declaration must be submitted via the Office of Planning and Research's CEQA Submit website (https://cegasubmit.opr.ca.gov/Security/LogOn?RetumUrl=%2f). The CEQA Submit website differentiates between environmental documents that do require review and comment by state agencies and those that do not. In particular, the website provides a "Local Review Period" tab for submitting documents that do not require review and comment by state agencies, and a "State Review Period" tab for submitting documents that do require review and comment by state agencies. A Negative Declaration or Mitigated Negative Declaration must be submitted to the State Clearinghouse for review and comment by state agencies (i.e., a Negative Declaration or Mitigated Negative Declaration must be submitted through the CEQA Submit website under the "State Review Period" tab) in the following situations: (a) The Negative Declaration or Mitigated Negative Declaration is prepared by a Lead Agency that is a state agency; (b) The Negative Declaration or Mitigated Negative Declaration is prepared by a public agency where a state agency is a Responsible Agency, Trustee Agency, or otherwise has jurisdiction by law with respect to the project; or (c) The Negative Declaration or Mitigated Negative Declaration is for a project identified in State CEQA Guidelines section 15206 as being of statewide, regional, or area -wide significance. State CEQA Guidelines section 15206 identifies the following types of projects as being examples of projects of statewide, regional, or area -wide significance that require submission to the State Clearinghouse for circulation: (1) Projects that have the potential to cause significant environmental effects beyond the city or county where the project would be located, such as: (a) Residential development of more than 500 units; (b) Commercial projects employing more than 1,000 persons or covering more than 500,000 square feet of floor space; (c) Office building projects employing more than 1,000 persons or covering more than 250,000 square feet of floor space; (d) Hotel or motel development of more than 500 rooms; or (e) Industrial projects housing more than 1,000 persons, occupying more than 40 acres of land, or covering more than 650,000 square feet of floor area; 2023(&tot y OUIICI ea ur a mes - 22 _ 90 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION (2) Projects for the cancellation of a Williamson Act contract covering 100 or more acres; (3) Projects in one of the following Environmentally Sensitive Areas: (a) Lake Tahoe Basin; (b) Santa Monica Mountains Zone; (c) Sacramento -San Joaquin River Delta; (d) Suisun Marsh; (e) Coastal Zone, as defined by the California Coastal Act; (f) Areas within one -quarter mile of a river designated as wild and scenic; or (g) Areas within the jurisdiction of the San Francisco Bay Conservation and Development Commission; (4) Projects that would affect sensitive wildlife habitats or the habitats of any rare, threatened, or endangered species; (5) Projects that would interfere with water quality standards; and (6) Projects that would provide housing, jobs, or occupancy for 500 or more people within 10 miles of a nuclear power plant. A Negative Declaration or Mitigated Negative Declaration may also be submitted to the State Clearinghouse for circulation if a state agency has special expertise with regard to the environmental impacts involved. The public review period for a Negative Declaration or a Mitigated Negative Declaration shall not be less than twenty (20) days. The review period, however, shall be at least thirty (30) days if the Negative Declaration or Mitigated Negative Declaration is for a proposed project where a state agency is the lead agency, a responsible agency, or a trustee agency; a state agency otherwise has jurisdiction by law with respect to the project; or the proposed project is of sufficient statewide, regional, or areawide significance as determined pursuant to the guidelines certified and adopted pursuant to State CEQA Guidelines section 15206. When the Negative Declaration or Mitigated Negative Declaration is submitted to the State Clearinghouse for state agency review, the review period begins (day one) on the date that the State Clearinghouse distributes the Negative Declaration or Mitigated Negative Declaration to state agencies. The State Clearinghouse is required to distribute the Negative Declaration or Mitigated Negative Declaration to state agencies within three (3) working days from the date the State Clearinghouse receives the document, as long as the Negative Declaration or Mitigated Negative Declaration is complete when submitted to the State Clearinghouse. If the document submitted to the State Clearinghouse is not complete, the State Clearinghouse must notify the Lead Agency. The review period for the public and all other agencies may run concurrently with the state agency review period established by the State Clearinghouse, but the public review period cannot conclude before the state agency review period does. The review period for the public shall be at least as long as the review period established by the State Clearinghouse. 2023(&tot y OU IICI ea ur a mes - 22 _ 9 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION A shorter review period by the State Clearinghouse for a Negative Declaration or Mitigated Negative Declaration can be requested by the decision -making body. The shortened review period shall not be less than twenty (20) days. Such a request must be made in writing by the Lead Agency to the Office of Planning and Research. The decision -making body may designate by resolution or ordinance an individual authorized to request a shorter review period. (See Form "P"). Any approval of a shortened review period must be given prior to, and reflected in, the public notice. However, a shortened review period shall not be approved by the Office of Planning and Research for any proposed project of statewide, regional or area -wide environmental significance, as defined by State CEQA Guidelines section 15206. When the City completes its Negative Declaration or Mitigated Negative Declaration for a proposed project, the City must also cause a Notice of Completion (Form "H") to be filed with the Office of Planning and Research via the Office of Planning and Research's CEQA Submit website. The Notice of Completion should briefly identify the project, indicate that an environmental document has been prepared for the project, and identify the project location by latitude and longitude. The City must post the Notice of Intent, Notice of Completion, and Negative Declaration or Mitigated Negative Declaration on its website, if any. (Reference: Pub. Resources Code, §§ 21082.1, 21161; State CEQA Guidelines, §§ 15205, 15206.) 6.12 SPECIAL NOTICE REQUIREMENTS FOR WASTE- AND FUEL -BURNING PROJECTS. For any project that involves the burning of municipal waste, hazardous waste, or refuse - derived fuel (such as tires) and that does not require an EIR, as defined in Local Guidelines Section 5.11, a Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration shall be given to all organizations and individuals who have previously requested it and shall also be given by all three of the procedures listed in Local Guidelines Section 6.07. In addition, Notice shall be given by direct mailing to the owners and occupants of property within one -quarter mile of any parcel or parcels on which such a project is located. These notice requirements apply only to those projects described in Local Guidelines Section 5.11. These notice requirements do not preclude the City from providing additional notice by other means if desired. (Reference: Pub. Resources Code, § 21092(c).) 6.13 CONSULTATION WITH WATER AGENCIES REGARDING LARGE DEVELOPMENT PROJECTS. Under specific circumstances a city or county acting as Lead Agency must consult with the public water system that will supply the project to determine whether the public water system can adequately supply the water needed for the project. As a Responsible Agency, the City should be aware of these requirements. See Local Guidelines Section 5.16 for more information on these requirements. (Reference: State CEQA Guidelines, § 15155.) 2023(&tot uraes es gfr LLP y OUIC22-92 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION 6.14 CONTENT OF NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION. A Negative Declaration must be prepared directly by or under contract to the City and should generally resemble Form " E." It shall contain the following information: (a) A brief description of the project proposed, including any commonly used name for the project; (b) The location of the project and the name of the project proponent; (c) A finding that the project as proposed will not have a significant effect on the environment; and (d) An attached copy of the Initial Study documenting reasons to support the finding. For a Mitigated Negative Declaration, feasible mitigation measures included in the project to substantially lessen or avoid potentially significant effects must be fully enforceable through permit conditions, agreements, or other measures. Such permit conditions, agreements, and measures must be consistent with applicable constitutional requirements such as the "nexus" and "rough proportionality" standards established by case law. The proposed Negative Declaration or Mitigated Negative Declaration must reflect the independent judgment of the City. (Reference: State CEQA Guidelines, § 15071 6.15 TYPES OF MITIGATION. The following is a non -exhaustive list of potential types of mitigation the City may consider: (a) Avoidance; (b) Preservation; (c) Rehabilitation or replacement. Replacement may be on -site or off -site depending on the particular circumstances; and/or (d) Participation in a fee program. (Reference: State CEQA Guidelines, § 15370.) 6.16 ADOPTION OF NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION. Following the publication, posting or mailing of the Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration, but not before the expiration of the applicable twenty (20) or thirty (30) day public review period, the Negative Declaration or Mitigated Negative Declaration may be presented to the decision -making body at a regular or special meeting. Prior to adoption, the City shall independently review and analyze the Negative Declaration or Mitigated Negative Declaration and find that the Negative Declaration or Mitigated Negative Declaration reflects the independent judgment of the City. If new information is added to the Negative Declaration or Mitigated Negative Declaration after public review, the City should determine whether recirculation is warranted. (See Local 2023(&tot uraes - es gfr LLP y OUICZZ-93 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION Guidelines Section 6.19). If the decision -making body finds that the project will not have a significant effect on the environment, it shall adopt the Negative Declaration or Mitigated Negative Declaration. If the decision -making body finds that the proposed project may have a significant effect on the environment that cannot be mitigated or avoided, it shall order the preparation of a Draft EIR and the filing of a Notice of Preparation of a Draft EIR. When adopting a Negative Declaration or Mitigated Negative Declaration, the City shall specify the location and custodian of the documents or other material that constitute the record of proceedings upon which it based its decision. If adopting a Negative Declaration for a project that may emit hazardous air emissions within one -quarter mile of a school and that meets the other requirements of Local Guidelines Section 6.06, the decision -making body must also make the findings required by Local Guidelines Section 6.06. As Lead Agency, the City may charge a non -elected official or body with the responsibility of independently reviewing the adequacy of and adopting a Negative Declaration or a Mitigated Negative Declaration. Any final CEQA determination made by a non -elected decisionmaker, however, is appealable to the City Council within either (a) the time period set forth in the City's established process to appeal the non -elected decisionmaker's CEQA determination; or, if no such process exists, (2) ten (10) days of the non -elected decisionmaker's determination. If the non- elected decisionmaker's CEQA determination is not timely appealed as set forth herein, the non- elected decisionmaker's determination shall be final. (Reference: State CEQA Guidelines, § 15074.) 6.17 MITIGATION REPORTING OR MONITORING PROGRAM FOR MITIGATED NEGATIVE DECLARATION. When adopting a Mitigated Negative Declaration pursuant to Local Guidelines Section 6.13, the City shall adopt a reporting or monitoring program to assure that mitigation measures, which are required to mitigate or avoid significant effects on the environment, will be fully enforceable through permit conditions, agreements, or other measures and implemented by the project proponent or other responsible party in a timely manner, in accordance with conditions of project approval. The City shall also specify the location and the custodian of the documents that constitute the record of proceedings upon which it based its decision. There is no requirement that the reporting or monitoring program be circulated for public review; however, the City may choose to circulate it for public comments along with the Mitigated Negative Declaration. The mitigation measures required to mitigate or avoid significant effects on the environment must be adopted as conditions of project approval. This reporting or monitoring program shall be designed to assure compliance during the implementation or construction of a project and shall otherwise comply with the requirements described in Local Guidelines Section 7.38. If a Responsible Agency or Trustee Agency has required that certain conditions be incorporated into the project, the City may request that agency to prepare and submit a proposed reporting or monitoring program. The City shall also require that, prior to the close of the public review period for a Mitigated Negative Declaration (see Local Guidelines Section 6.04), the Responsible or Trustee Agency submit detailed performance objectives for mitigation measures, or refer the City to appropriate, readily available guidelines or 2023(&tot y OUIICI ea ur a mes - ZZ — 94 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION reference documents. Any mitigation measures submitted to the City by a Responsible or Trustee Agency shall be limited to measures that mitigate impacts to resources that are within the Responsible or Trustee Agency's authority. Local agencies have the authority to levy fees sufficient to pay for this program. Therefore, the City can charge the project proponent a fee to cover actual costs of program processing and implementation. Transportation information resulting from the reporting or monitoring program required to be adopted by the City shall be submitted to the regional transportation planning agency where the project is located and to the Department of Transportation for a project of statewide, regional or area -wide significance according to State CEQA Guidelines section 15206. The transportation planning agency and the Department of Transportation are required by law to adopt guidelines for the submittal of these reporting or monitoring programs, so the City may wish to tailor its submittal to such guidelines. (Reference: State CEQA Guidelines, §§ 15074, 15097.) 6.18 APPROVAL OR DISAPPROVAL OF PROJECT. At the time of adoption of a Negative Declaration or Mitigated Negative Declaration, the decision -making body may consider the project for purposes of approval or disapproval. Prior to approving the project, the decision -making body shall consider the Negative Declaration or Mitigated Negative Declaration, together with any written comments received and considered during the public review period, and shall approve or disapprove the Negative Declaration or Mitigated Negative Declaration. In making a finding as to whether there is any substantial evidence that the project will have a significant effect on the environment, the factors listed in Local Guidelines Section 5.08 should be considered. (See Local Guidelines Section 6.06 for approval requirements for facilities that may emit hazardous pollutants or that may handle extremely hazardous substances within one -quarter mile of a school site.) (Reference: State CEQA Guidelines, § 15092.) 6.19 RECIRCULATION OF A NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION. A Negative Declaration or Mitigated Negative Declaration must be recirculated when the document must be substantially revised after the public review period but prior to its adoption. A "substantial revision" occurs when the City has identified a new and avoidable significant effect for which mitigation measures or project revisions must be added in order to reduce the effect to a level of insignificance, or when the City determines that the proposed mitigation measures or project revisions will not reduce the potential effects to less than significant and new measures or revisions must be required. Recirculation is not required under the following circumstances: (a) Mitigation measures are replaced with equal or more effective measures, and the City makes a finding to that effect; 2023(&tot y OUIICI ea ur a mes - ZZ — 95 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION (b) New project revisions are added after circulation of the Negative Declaration or Mitigated Negative Declaration or in response to written or oral comments on the project's effects, but the revisions do not create new significant environmental effects and are not necessary to mitigate an avoidable significant effect; (c) Measures or conditions of project approval are added after circulation of the Negative Declaration or Mitigated Negative Declaration, but the measures or conditions are not required by CEQA, do not create new significant environmental effects, and are not necessary to mitigate an avoidable significant effect; or (d) New information is added to the Negative Declaration or Mitigated Declaration which merely clarifies, amplifies, or makes insignificant modifications to the Negative Declaration or Mitigated Negative Declaration. If, after preparation of a Negative Declaration or Mitigated Negative Declaration, the City determines that the project requires an EIR, it shall prepare and circulate the Draft EIR for consultation and review and advise reviewers in writing that a proposed Negative Declaration or Mitigated Declaration had previously been circulated for the project. (Reference: State CEQA Guidelines, § 15073.5.) 6.20 NOTICE OF DETERMINATION ON A PROJECT FOR WHICH A PROPOSED NEGATIVE OR MITIGATED NEGATIVE DECLARATION HAS BEEN APPROVED. After final approval of a project for which a Negative Declaration or Mitigated Negative Declaration has been prepared, Staff shall cause to be prepared, filed, and posted a Notice of Determination (Form "F"). The Notice of Determination shall contain the following information: (a) An identification of the project, including the project title as identified on the proposed Negative Declaration or Mitigated Negative Declaration, location, and the State Clearinghouse identification number for the proposed Negative Declaration or Mitigated Negative Declaration if the Notice of Determination is filed with the State Clearinghouse; (b) For private projects, identification of the person undertaking a project that is supported, in whole or in part, through contracts, grants, subsidies, loans, or other forms of assistance from one or more public agencies or the identity of the person receiving a lease, permit, license, certificate, or other entitlement for use from one or more public agencies; (c) A brief description of the project; (d) The name of the City and the date on which the City approved the project; (e) The determination of the City that the project will not have a significant effect on the environment; (f) A statement that a Negative Declaration or Mitigated Negative Declaration was adopted pursuant to the provisions of CEQA; (g) A statement indicating whether mitigation measures were made a condition of the approval of the project, and whether a mitigation monitoring plan/program was adopted; and (h) The address where a copy of the Negative Declaration or Mitigated Negative Declaration may be examined. The Notice of Determination shall be filed with the Clerk of each county in which the project will be located within five (5) working days of project approval. 2023(&tot uraes -IV es gfr LLP y OUIC22-9G Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION The City must also post the Notice of Determination on its website. Such electronic notice is in addition to the posting requirements of the State CEQA Guidelines and the Public Resources Code. The Clerk must post the Notice of Determination within twenty-four (24) hours of receipt. The Notice must be posted in the office of the Clerk for a minimum of thirty (30) days. Thereafter, the Clerk shall return the notice to the City with a notation of the period it was posted. The City shall retain the notice for not less than twelve (12) months. If the project requires discretionary approval from any State agency, the Notice of Determination shall also be filed with OPR within five (5) working days of project approval along with proof of payment of the DFW fee or a no effect determination form from the DFW (see Local Guidelines Section 6.24). Simultaneously with the filing of the Notice of Determination with the Clerk, Staff shall cause a copy of the Notice of Determination to be posted at City Offices. If a written request has been made for a copy of the Notice of Determination prior to the date on which the City adopts the Negative Declaration or Mitigated Negative Declaration, the copy must be mailed, first class postage prepaid, within five (5) days of the City's determination. If such a request is made following the City's determination, then the copy should be mailed in the same manner as soon as possible. The recipients of such documents may be charged a fee reasonably related to the cost of providing the service. For projects with more than one phase, Staff shall file a Notice of Determination for each phase requiring a discretionary approval. The filing and posting of the Notice of Determination with the County Clerk, and, if necessary, with OPR, usually starts a thirty (30) day statute of limitations on court challenges to the approval under CEQA. When separate notices are filed for successive phases of the same overall project, the thirty (30) day statute of limitations to challenge the subsequent phase begins to run when the second notice is filed. Failure to file the Notice may result in a one hundred eighty (180) day statute of limitations. (Reference: State CEQA Guidelines, § 15075.) 6.21 ADDENDUM TO NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION. The City may prepare an addendum to an adopted Negative Declaration or Mitigated Negative Declaration if only minor technical changes or additions are necessary. The City may also prepare an addendum to an adopted Negative Declaration or Mitigated Negative Declaration when none of the conditions calling for a subsequent Negative Declaration or Mitigated Negative Declaration have occurred. (See Local Guidelines Section 6.22 below.) An addendum need not be circulated for public review but can be attached to the adopted Negative Declaration or Mitigated Negative Declaration. The City shall consider the addendum with the adopted Negative Declaration or Mitigated Negative Declaration prior to project approval. (Reference: State CEQA Guidelines, § 15164.) 6.22 SUBSEQUENT NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION. When a Negative Declaration or Mitigated Negative Declaration has been adopted for a project, or when an EIR has been certified, no subsequent Negative Declaration, Mitigated 2023(&tot uraes - es gfr LLP y OUICZ2-97 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION Negative Declaration, or EIR shall be prepared for that project unless the Lead Agency determines, on the basis of substantial evidence in the light of the whole record, one or more of the following: (a) Substantial changes are proposed in the project which will require major revisions of the previous EIR, Negative Declaration, or Mitigated Negative Declaration due to the involvement of new significant environmental effects or a substantial increase in the severity of previously identified significant effects; or (b) Substantial changes occur with respect to the circumstances under which the project is undertaken which will require major revisions of the previous EIR, Negative Declaration, or Mitigated Negative Declaration due to the involvement of new significant environmental effects or a substantial increase in the severity of previously identified significant effects; or (c) New information of substantial importance which was not known and could not have been known with the exercise of reasonable diligence at the time the previous EIR was certified or the Negative Declaration was adopted which shows any of the following: (1) The project will have one or more significant effects not discussed in the previous EIR or Negative Declaration; (2) Significant effects previously examined will be substantially more severe than shown in the previous EIR; (3) Mitigation measure(s) or alternative(s) previously found not to be feasible would in fact be feasible and would substantially reduce one or more significant effects of the project, but the project proponents declined to adopt the mitigation measure(s) or alternative(s); or (4) Mitigation measure(s) or alternative(s) which are considerably different from those analyzed in the previous EIR would substantially reduce one or more significant effects on the environment, but the project proponents decline to adopt the mitigation measure(s) or alternative(s). The City, as Lead Agency, would then determine whether a Subsequent EIR, Supplemental EIR, Subsequent Negative Declaration, Subsequent Mitigated Negative Declaration, or Addendum would be applicable. Subsequent Negative Declarations and Mitigated Negative Declarations must be given the same notice and public review period as other Negative Declarations. The Subsequent Negative Declaration shall state where the previous document is available and can be reviewed. (Reference: State CEQA Guidelines, § 15162.) 6.23 PRIVATE PROJECT COSTS. For private projects, the person or entity proposing to carry out the project shall bear all costs incurred by the City in preparing the Initial Study and in preparing and filing the Negative Declaration or Mitigated Negative Declaration and Notice of Determination. 2023(&tot y OUIICI ea ur a mes - 22 _ 98 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION 6.24 FILING FEES FOR PROJECTS THAT AFFECT WILDLIFE RESOURCES. At the time a Notice of Determination for a Negative Declaration or Mitigated Negative Declaration is filed with the County or Counties in which the project is located, a fee of $2,764.00, or the then applicable fee, shall be paid to the Clerk for projects that will adversely affect fish or wildlife resources. These fees are collected by the Clerk on behalf of DFW pursuant to Fish and Game Code section 711.4. Only one filing fee is required for each project unless the project is tiered or phased and separate environmental documents are prepared. (Fish & Game Code section 711.4(g).) For projects where Responsible Agencies file separate Notices of Determination, only the Lead Agency is required to pay the fee. Note: County Clerks are authorized to charge a documentary handling fee for each project in addition to the Fish and Game Code fees specified above. Refer to the Index in the Staff Summary to help determine the correct total amount of fees applicable to the project. For private projects, the City may pass these costs on to the project applicant. Fish and Game Code fees maybe waived for projects with "no effect" on fish or wildlife resources or for certain projects undertaken by the DFW and implemented through a contract with a non-profit entity or local government agency; however, the Lead Agency must obtain a form showing that the DFW has determined that the project will have "no effect" on fish and wildlife. (Fish and Game Code section 711.4(c)(2)(A)). Projects that are statutorily or categorically exempt from CEQA are also not subject to the filing fee, and do not require a no effect determination. (State CEQA Guidelines sections 15260 through 15333; Fish and Game Code section 711.4(d)(1)). The applicable DFW Regional Office's environmental review and permitting staff are responsible for determining whether a project within their region will qualify for a no effect determination and if the CEQA filing fee will be waived. The request should be submitted when the CEQA document is released for public review, or as early as possible in the public comment period. Documents submitted in digital format are preferred (e.g. compact disk). If insufficient documentation is submitted to DFW for the proposed project, a no effect determination will not be issued. If the City believes that a project for which it is Lead Agency will have "no effect" on fish or wildlife resources, it should contact the appropriate DFW Regional Office. The project's CEQA document may need to be provided to the appropriate DFW Regional Office along with a written request. Documentation submitted to the appropriate DFW Regional Office should set forth facts in support of the fee exemption. Previous examples of projects that have qualified for a fee exemption include: minor zoning changes that did not lead to or allow new construction, grading, or other physical alterations to the environment; and minor modifications to existing structures, including addition of a second story to single or multi -family residences. The fee exemption requirement that the project have "no" impact on fish or wildlife resources is more stringent than the former requirement that a project have only "de minimis" effects on fish or wildlife resources. DFW may determine that a project would have no effect on fish and wildlife if all of the following conditions apply: 2023(&tot y OUIICI ea ur a mes - 22 _ 99 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) NEGATIVE DECLARATION • The project would not result in or have the potential to result in harm, harassment, or take of any fish and/or wildlife species. • The project would not result in or have the potential to result in direct or indirect destruction, ground disturbance, or other modification of any habitat that may support fish and/or wildlife species. • The project would not result in or have the potential to result in the removal of vegetation with potential to support wildlife. • The project would not result in or have the potential to result in noise, vibration, dust, light, pollution, or an alteration in water quality that may affect fish and/or wildlife directly or from a distance. • The project would not result in or have the potential to result in any interference with the movement of any fish and/or wildlife species. Any request for a fee exemption should include the following information: (1) the name and address of the project proponent and applicant contact information; (2) a brief description of the project and its location; (3) site description and aerial and/or topographic map of the project site; (4) State Clearinghouse number or county filing number; (5) a statement that an Initial Study has been prepared by the City to evaluate the project's effects on fish and wildlife resources, if any; and (6) a declaration that, based on the City's evaluation of potential adverse effects on fish and wildlife resources, the City believes the project will have no effect on fish or wildlife. If insufficient documentation is submitted to DFW for the proposed project, a no effect determination will not be issued. (A sample Request for Fee Exemption is attached as Form "U.) DFW will review the City's finding, and if DFW agrees with the City's conclusions, DFW will provide the City with written confirmation. Retain DFW's determination as part of the administrative record; the City is required to file a copy of this determination with the County after project approval and at the time of filing of the Notice of Determination. The Lead Agency must have written confirmation of DFW's finding of "no impact" at the time the Lead Agency files its Notice of Determination with the County. The County cannot accept the Notice of Determination unless it is accompanied by the appropriate fee or a written no effect determination from DFW. 2023(&tot uraes es gfr LLP y OUIC22_100 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT 7. ENVIRONMENTAL IMPACT REPORT 7.01 DECISION TO PREPARE AN EIR. An EIR shall be prepared whenever there is substantial evidence in light of the whole record which supports a fair argument that the project may have a significant effect on the environment. (See Local Guidelines Sections 11.65 and 11.71.) The record may include the Initial Study or other documents or studies prepared to assess the project's environmental impacts. (Reference: Pub. Resources Code, § 21151.) 7.02 CONTRACTING FOR PREPARATION OF EIRs. If an EIR is prepared under a contract with the City, the contract must be executed within forty-five (45) days from the date on which the City sends a Notice of Preparation. The City may take longer to execute the contract if the project applicant and the City mutually agree to an extension of the 45-day time limit. (Reference: Pub. Resources Code, § 21151.5.) The EIR prepared under contract must be the City's product. Staff, together with such consultant help as may be required, shall independently review and analyze the EIR to verify its accuracy, objectivity and completeness prior to presenting it to the decision -making body. The EIR made available for public review must reflect the independent judgment of the City. Staff may require such information and data from the person or entity proposing to carry out the project as Staff deems necessary for completion of the EIR. (Reference: State CEQA Guidelines, § § 15084, 15090.) 7.03 NOTICE OF PREPARATION OF DRAFT EIR. After determining that an EIR will be required for a proposed project, the Lead Agency shall prepare and submit a Notice of Preparation (Form "G") to the Office of Planning and Research through its CEQA Submit website and to each of the following: (a) Each Responsible Agency and Trustee Agency involved with the project; (b) Any other federal, state, or local agency which has jurisdiction by law or exercises authority over resources affected by the project, including: (1) Any water supply agency consulted under Local Guidelines Section 5.16; (2) Any city or county bordering on the project area; (3) For a project of statewide, regional, or area -wide significance, to any transportation agencies or public agencies which have major local arterials or public transit facilities within five (5) miles of the project site or freeways, highways, or rail transit service within ten (10) miles of the project site which could be affected by the project; and (4) For a subdivision project located within one mile of a facility of the State Water Resources Development System, the California Department of Water Resources; 2023 dtot OU Ina ca ur a mes 22 — 101 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT (c) The last known name and address of all organizations and individuals who have previously filed a written request with the City to receive these Notices; (d) For certain projects that may impact a low-level flight path, military impact zone, or special use airspace and that meet the other criteria in Local Guidelines Section 7.04, the specified military services contact; (e) For certain projects that involve the construction or alteration of a facility anticipated to emit hazardous air emissions or handle hazardous substances within one -quarter mile of a school and that meet the other requirements of Local Guidelines Section 7.36, any potentially affected school district; (f) For certain waste -burning projects that meet the requirements of Local Guidelines Section 5.11 (See also Local Guidelines Section 7.27), the owners and occupants of property within one-fourth mile of any parcel on which the project will be located; and (g) For a project that establishes or amends a redevelopment plan that contains land in agricultural use, the agricultural and farm agencies and organizations specified in Health and Safety Code section 33333.3. Additionally, for a project of statewide, regional, or area -wide significance, the Lead Agency should also consult with public transit agencies with facilities within one-half mile of the proposed project. The Notice of Preparation must also be filed and posted in the office of the Clerk in each county in which the project is located for thirty (30) days. The County Clerk must post the Notice within twenty-four (24) hours of receipt. When submitting the Notice of Preparation to OPR, a Notice of Completion (Form "H") should be used as a cover sheet. Responsible and Trustee Agencies, the State Clearinghouse, and the state agencies contacted by the State Clearinghouse have thirty (30) days to respond to the Notice of Preparation in writing via certified mail, email, or an equivalent procedure. Agencies that do not respond within thirty (30) days shall be deemed not to have any comments on the Notice of Preparation. At a minimum, the Notice of Preparation shall include: (a) A description of the project; (b) The location of the project indicated either on an attached map (preferably a copy of the USGS 15' or 71/2' topographical map identified by quadrangle name) or by a street address and cross street in an urbanized area; (c) The probable environmental effects of the project; (d) The name and address of the consulting firm retained to prepare the Draft EIR, if applicable; and (e) The Environmental Protection Agency (`EPA") list on which the proposed site is located, if applicable, and the corresponding information from the applicant's statement. (See Local Guidelines Section 2.05.) (Reference: Pub. Resources Code, § 21080.4; State CEQA Guidelines, § 15082.) 2023 tot OU Ina calto a roes - �� _ �� es �s gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT 7.04 SPECIAL NOTICE REQUIREMENTS FOR AFFECTED MILITARY AGENCIES CEQA imposes additional requirements to provide notice to potentially affected military agencies when: (a) A "military service" (defined in Section 11.42 of these Local Guidelines) has provided the City with its contact office and address and notified the City of the specific boundaries of a "low-level flight path" (defined in Section 11.37 of these Local Guidelines), "military impact zone" (defined in Section 11.41 of these Local Guidelines), or "special use airspace" (defined in Section 11.67 of these Local Guidelines); and (b) The project meets one of the following criteria: (1) The project is within the boundaries specified pursuant to subsection (a) of this guideline; (2) The project includes a general plan amendment; (3) The project is of statewide, regional, or area -wide significance; or (4) The project relates to a public use airport or certain lands surrounding a public use airport. When a project meets these requirements, the City must provide the military service's designated contact with any Notice of Preparation, and/or Notice of Availability of Draft EIRs that have been prepared for a project, unless the project involves the remediation of lands contaminated with hazardous wastes and meets certain other requirements. The City must provide the military service with sufficient notice of its intent to certify an EIR to ensure that the military service has no fewer than thirty (30) days to review the document; or forty-five (45) days to review the environmental documents before they are approved if the documents have been submitted to the State Clearinghouse. It should be noted that the effect, or potential effect, a project may have on military activities does not itself constitute an adverse effect on the environment pursuant to CEQA. (Reference: Pub. Resources Code, §§ 21080.4, 21092; Health & Safety Code, §§ 25300, et seq., 25396, 25187; State CEQA Guidelines, § 15082(a).) 7.05 ENVIRONMENTAL LEADERSHIP DEVELOPMENT PROJECT. Under certain circumstances, a project applicant may choose to apply to the Governor of the State of California to have the project certified as an Environmental Leadership Development Project. A project may qualify as an Environmental Leadership Development Project if it is one of the following: (1) A residential, retail, commercial, sports, cultural, entertainment, or recreational use project that meets the following standards: 2023 dtot Ana es gfr LLP u ot OUI22-103 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT ■ The project is certified as Leadership in Energy and Environmental Design (LEED) gold or better by the United States Green Building Council; and ■ The project, where applicable, achieves a 15 percent greater standard for transportation efficiency than comparable projects; and ■ The project is located on an infill site; and ■ For a project that is within a metropolitan planning organization for which a sustainable communities strategy or alternative planning strategy is in effect, the infill project shall be consistent with the general use designation, density, building intensity, and applicable policies specified for the project area in either a sustainable communities strategy or an alternative planning strategy, for which the State Air Resources Board has accepted a metropolitan planning organization's determination, under subparagraph (H) of paragraph (2) of subdivision (b) of Section 65080 of the Government Code, that the sustainable communities strategy or the alternative planning strategy would, if implemented, achieve the greenhouse gas emission reduction targets. (2) A clean renewable energy project that generates electricity exclusively through wind or solar, but not including waste incineration or conversion. (3) A clean energy manufacturing project that manufactures products, equipment, or components used for renewable energy generation, energy efficiency, or for the production of clean alternative fuel vehicles. (4) A housing development projecti.e., a project that entails either residential units only; mixed -use developments consisting of residential and nonresidential uses with at least two-thirds of the square footage designated for residential use; or transitional housing or supportive housing —that meets all of the following conditions: ■ The housing development project is located on an infill site. ■ For a housing development project that is located within a metropolitan planning organization for which a sustainable communities strategy or alternative planning strategy is in effect, the project is consistent with the general use designation, density, building intensity, and applicable policies specified for the project area in either a sustainable communities strategy or an alternative planning strategy, for which the State Air Resources Board has accepted a metropolitan planning organization's determination, under subparagraph (H) of paragraph (2) of subdivision (b) of Section 65080 of the Government Code, that the sustainable communities strategy or the alternative planning strategy would, if implemented, achieve the greenhouse gas emission reduction targets. ■ Notwithstanding paragraph (1) of subdivision (a) of Section 21183, the housing development project will result in a minimum investment of fifteen million 2023 dtot ounce ca ur a mes - 22 — O4 es �S r LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT dollars ($15,000,000), but less than one hundred million dollars ($100,000,000), in California upon completion of construction. At least 15 percent of the housing development project is dedicated as housing that is affordable to lower income households, as defined in Section 50079.5 of the Health and Safety Code. Upon completion of a housing development project that is qualified under this paragraph and is certified by the Governor, the lead agency or applicant of the project shall notify the Office of Planning and Research of the number of housing units and affordable housing units established by the project. Notwithstanding the foregoing, if a local agency has adopted an inclusionary zoning ordinance that establishes a minimum percentage for affordable housing within the jurisdiction in which the housing development project is located that is higher than 15 percent, the percentage specified in the inclusionary zoning ordinance shall be the threshold for affordable housing. ■ Except for use as a residential hotel, as defined in Section 50519 of the Health and Safety Code, no part of the housing development project shall be used for a rental unit for a term shorter than 30 days, or designated for hotel, motel, bed and breakfast inn, or other transient lodging use. Moreover, no part of the housing development project shall be used for manufacturing or industrial uses. The Governor may certify a leadership project for streamlining before the lead agency certifies an EIR for the project if various conditions set forth in Public Resources Code section 21182 are met. The conditions include but are not limited to the following: (1) except as set forth above, the project will result in a minimum investment of one hundred million dollars ($100,000,000) in California upon completion of construction; (2) the project creates high -wage, highly skilled jobs that pay prevailing wages and living wages, provide construction jobs and permanent jobs for Californians, helps reduce unemployment, and promotes apprenticeship training; and (3) the project will not result in any net additional emission of greenhouse gases, including greenhouse gas emissions from employee transportation. If the Governor certifies a project as an Environmental Leadership Development Project, any lawsuit challenging the project —including any potential appeals to the court of appeal or the California Supreme Court —must be resolved, to the extent feasible, within 270 days of the filing of the certified record of proceedings with the trial court. This section shall remain in effect until January 1, 2026. This section does not comprehensively set forth the rules governing Environmental Leadership Development projects. For more information, please see Chapter 6.5 of the Public Resources Code, starting with Public Resources Code section 21178. 7.06 PREPARATION OF DRAFT EIR. The Lead Agency is responsible for preparing a Draft EIR. The Lead Agency may begin preparation of the Draft EIR without awaiting responses to the Notice of Preparation. However, 2023 ty OUIICI ea to a roes 22 — 105 es es fr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT information communicated to the Lead Agency not later than thirty (30) days after receipt of the Notice of Preparation shall be included in the Draft EIR. (Reference: State CEQA Guidelines, § 15084.) 7.07 CONSULTATION WITH CALIFORNIA NATIVE AMERICAN TRIBES. Prior to the release of a Draft EIR for a project, the Lead Agency shall begin consultation with a California Native American tribe that is traditionally and culturally affiliated with the geographic area of the proposed project if: (a) The California Native American tribe requested to the Lead Agency, in writing, to be informed by the Lead Agency through formal notification of proposed projects in the geographic area that is traditionally and culturally affiliated with the tribe; and (b) The California Native American tribe responds, in writing, within 30 days of receipt of the formal notification, and requests the consultation. The California Native American tribe shall designate a lead contact person when responding to the Lead Agency. If a lead contact is not designated by the California Native American tribe, or if it designates multiple lead contact people, the Lead Agency shall defer to the individuals listed on the contact list maintained by the Native American Heritage Commission. Consultation is defined in Local Guidelines Section 11.12. To expedite the requirements of this section, the Native American Heritage Commission shall assist the Lead Agency in identifying the California American Native tribes that are traditionally and culturally affiliated with the project area. Within 14 days of determining that an application for a project is complete or a decision by a public agency to undertake a project, the Lead Agency shall provide formal notification to the designated contact of, or a trial representative of, traditionally and culturally affiliated California Native America tribes that have requested notice, which shall be accomplished by at least one written notification that includes a brief description of the proposed project and its location, the Lead Agency contact information, and a notification that the California Native American tribe has 30 days to request consultation. The Lead Agency shall begin the consultation process within 30 days of receiving a California Native American tribe's request for consultation. If consultation is requested, the parties may propose mitigation measures, including those set forth in Public Resources Code section 21084.3, capable of avoiding or substantially lessening potential significant impacts to a tribal cultural resource or alternatives that would avoid significant impacts to a tribal cultural resource. The consultation may include discussion concerning the type of environmental review necessary, the significance of tribal cultural resources, the significance of the project's impacts on the tribal cultural resources, and, if necessary, project alternatives or the appropriate measures for preservation or mitigation that the California Native American tribe may recommend to the lead agency. 2023 dtot OU Ina ca ur a mes 22 — 106 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT The consultation shall be considered concluded when either of the following occurs: (1) The parties agree to measures to mitigate or avoid a significant effect, if a significant effect exists, on a tribal cultural resource. (2) A party, acting in good faith and after reasonable effort, concludes that mutual agreement cannot be reached. The California Native American tribe is not limited in its ability to submit information to the Lead Agency regarding the significance of the tribal cultural resources, the significance of the project's impact on tribal cultural resources, or any appropriate measures to mitigate the impacts. Additionally, the Lead Agency or project proponent is not limited in its ability to incorporate changes and additions to the project as a result of the consultation, even if not legally required. (Reference: Pub. Resources Code, §§ 21080.3.1, 21080.3.2.) 7.08 IDENTIFICATION OF TRIBAL CULTURAL RESOURCES AND PROCESSING OF INFORMATION AFTER CONSULTATION WITH THE CALIFORNIA NATIVE AMERICAN TRIBE After consultation with the California Native American tribe listed above in Local Guidelines Section 7.07, any mitigation measures agreed upon in the consultation conducted pursuant to Public Resources Code section 21080.3.2 shall be recommended for inclusion in the EIR and in an adopted mitigation monitoring and reporting program, if the mitigation measures are determined to avoid or lessen the proposed project's impacts on tribal cultural resources, and if the mitigation measures are enforceable. If a project may have a significant impact on a tribal cultural resource, the Lead Agency's EIR shall discuss both of the following: (a) Whether the proposed project has a significant impact on an identified tribal cultural resource; (b) Whether feasible alternatives or mitigation measures, including those measures that may be agreed to during the consultation, avoid or substantially lessen the impact on the identified tribal cultural resource. Any information provided regarding the location, description and use of the tribal cultural resource that is submitted by a California Native American tribe during the environmental review process shall not be included in the EIR or otherwise disclosed by the lead agency or any other public agency to the public, consistent with Government Code sections 7927.005, and State CEQA Guidelines section 15120(d), without the prior consent of the tribe that provided the information. If the Lead Agency publishes any information submitted by a California Native American tribe during the consultation or environmental review process, that information shall be published in a confidential appendix to the EIR unless the tribe provides consent, in writing, to the disclosure of some or all of the information to the public. This does not prohibit the confidential exchange of the submitted information between public agencies that have lawful jurisdiction over the preparation of the EIR. 2023 dtot OUIICI ea to a roes - 22 — O7 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT The exchange of confidential information regarding tribal cultural resources submitted by a California Native American tribe during the consultation or environmental review process among the Lead Agency, the California Native American tribe, the project applicant, or the project applicant's agent is not prohibited by Public Resources Code section 21082.3. The project applicant and the project applicant's legal advisers must use a reasonable degree of care and maintain the confidentiality of the information exchanged for the purposes of preventing looting, vandalism, or damage to tribal cultural resources and shall not disclose to a third party confidential information regarding the cultural resource unless the California Native American tribe providing the information consents in writing to the public disclosure of such information. Public Resources Code section 21082.3 does not prevent a Lead Agency or other public agency from describing the information in general terms in the EIR so as to inform the public of the basis of the Lead Agency's or other public agency's decision without breaching the confidentiality required. In addition, a Lead Agency may certify an EIR for a project with a significant impact on an identified tribal cultural resource only if one of the following occurs: (a) The consultation process between the California Native American tribe and the Lead Agency has occurred as provided in Public Resources Code sections 21080.3.1 and 21080.3.2 and concluded pursuant to subdivision (b) of Section 21080.3.2. (b) The California Native American tribe has requested consultation pursuant to Public Resources Code section 21080.3.1 and has failed to provide comments to the Lead Agency, or otherwise failed to engage, in the consultation process. (c) The Lead Agency has complied with subdivision (d) of Section 21080.3.1 of the Public Resources Code and the California Native American tribe has failed to request consultation within 30 days. If substantial evidence demonstrates that a project will cause a significant effect to a tribal cultural resource but the decision -makers do not include the mitigation measures recommended by the staff in the Draft EIR, or if there are no agreed upon mitigation measures at the conclusion of the consultation, or if no consultation has occurred, the Lead Agency must still consider the adoption of feasible mitigation. (Reference: Pub. Resources Code, § 21082.3.) 7.09 SIGNIFICANT ADVERSE IMPACTS TO TRIBAL CULTURAL RESOURCES Public agencies shall, when feasible, avoid damaging effects to any tribal cultural resource. If the Lead Agency determines that a project may cause a substantial adverse change to a tribal cultural resource, and measures are not otherwise identified in the consultation process provided in Public Resources Code section 21080.3.2 as set forth in Local Guidelines Section 7.07, the following examples of mitigation measures, if feasible, may be considered to avoid or minimize the significant adverse impacts: (a) Avoidance and preservation of the resources in place, including, but not limited to, planning and construction to avoid the resources and protect the cultural and natural 2023 dtot OU Ina ca ur a mes - 22 _ 1 O$ es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT context, or planning greenspace, parks, or other open space, to incorporate the resources with culturally appropriate protection and management criteria. (b) Treating the resource with culturally appropriate dignity taking into account the tribal cultural values and meaning of the resource, including, but not limited to the following: (1) Protecting the cultural character and integrity of the resource. (2) Protecting the traditional use of the resource. (3) Protecting the confidentiality of the resource. (c) Permanent conservation easements or other interests in real property, with culturally appropriate management criteria for the purposes of preserving or utilizing the resources or places. (d) Protecting the resource. (Reference: Pub. Resources Code, § 21084.3.) 7.10 CONSULTATION WITH OTHER AGENCIES AND PERSONS. To expedite consultation in response to the Notice of Preparation, the Lead Agency, a Responsible Agency, or a project applicant may request a meeting among the agencies involved to assist in determining the scope and content of the environmental information that the involved agencies may require. For any project that may affect highways or other facilities under the jurisdiction of the State Department of Transportation, the Department of Transportation can request a scoping meeting. When acting as Lead Agency, the City must convene the meeting as soon as possible but no later than thirty (30) days after a request is made. When acting as a Responsible Agency, the City should make any requests for consultation as soon as possible after receiving a Notice of Preparation. Prior to completion of the Draft EIR, the Lead Agency shall consult with each Responsible Agency and any public agency that has jurisdiction by law over the project. When acting as a Lead Agency, the City may fulfill this obligation by distributing the Notice of Preparation in compliance with Local Guidelines Section 7.03 and soliciting the comments of Responsible Agencies, Trustee Agencies, and other affected agencies. The City may also consult with any individual who has special expertise with respect to any environmental impacts involved with a project. The City may also consult directly with any person or organization it believes will be concerned with the environmental effects of the project, including any interested individuals and organizations of which the City is reasonably aware. The purpose of this consultation is to "scope" the EIR's range of analysis. When a Negative Declaration or Mitigated Negative Declaration will be prepared for a project, no scoping meeting need be held, although the City may hold one if it so chooses. For private projects, the City as Lead Agency may charge and collect from the applicant a fee not to exceed the actual cost of the consultations. 2023 dtot ounce ca ur a mes - 22 — O9 es �S r LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT In addition to soliciting comments on the Notice of Preparation, the Lead Agency may be required to conduct a scoping meeting to gather additional input regarding the impacts to be analyzed in the EIR. The Lead Agency is required to conduct a scoping meeting when: (a) The meeting is requested by a Responsible Agency, a Trustee Agency, OPR, or a project applicant; (b) The project is one of "statewide, regional or area wide significance" as defined in State CEQA Guidelines section 15206; or (c) The project may affect highways or other facilities under the jurisdiction of the State Department of Transportation, and the Department of Transportation has requested a scoping meeting. When acting as Lead Agency, the City shall provide notice of the scoping meeting to all of the following: (a) Any county or city that borders on a county or city within which the project is located, unless the City has a specific agreement to the contrary with that county or city; (b) Any Responsible Agency; (c) Any public agency that has jurisdiction by law over the project; (d) A transportation planning agency, or any public agency that has transportation facilities within its jurisdiction, that could be affected by the project; and (e) Any organization or individual who has filed a written request for the notice. The requirement for providing notice of a scoping meeting may be met by including the notice of the public scoping meeting in the public meeting notice. Government Code section 65352 requires that before a legislative body may adopt or substantially amend a general plan, the planning agency must refer the proposed action to any city or county, within or abutting the area covered by the proposal, and any special district that may be significantly affected by the proposed action. CEQA allows that referral procedure to be conducted concurrently with the scoping meeting required pursuant to this section of the Local CEQA Guidelines. For projects that are also subject to NEPA, a scoping meeting held pursuant to NEPA satisfies the CEQA scoping requirement as long as notice is provided to the agencies and individuals listed above, and in accordance with these Local Guidelines. (See Local Guideline 5.04 for a discussion of NEPA.) The City shall call the scoping meeting as soon as possible but not later than 30 days after the meeting was requested. If the scoping meeting is being conducted concurrently with the procedure in Government Code section 65352 for the consideration of adoption or amendment of general plans, each entity receiving a proposed general plan or amendment of a general plan should have 45 days from the date the referring agency mails it or delivers it in which to comment unless a longer period is specified. The commenting entity may submit its comments at the scoping meeting. A Responsible Agency or other public agency shall only make comments regarding those activities that are within its area of expertise or that are required to be carried out or approved by 2023(&tot uraes es gfr LLP y OUIC22-110 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT the Responsible Agency. These comments must be supported by specific documentation. Any mitigation measures submitted to the City by a Responsible or Trustee Agency shall be limited to measures that mitigate impacts to resources that are within the Responsible or Trustee Agency's authority. For projects of statewide, area -wide, or regional significance, consultation with transportation planning agencies or with public agencies that have transportation facilities within their jurisdictions shall be for the purpose of obtaining information concerning the project's effect on major local arterials, public transit, freeways, highways, overpasses, on -ramps, off -ramps, and rail transit services. Moreover, the Lead Agency should also consult with public transit agencies with facilities within one-half mile of the proposed project. Any transportation planning agency or public agency that provides information to the Lead Agency must be notified of, and provided with, copies of any environmental documents relating to the project. (Reference: State CEQA Guidelines, §§ 15082, 15083.) 7.11 EARLY CONSULTATION ON PROJECTS INVOLVING PERMIT ISSUANCE. When the project involves the issuance of a lease, permit, license, certificate, or other entitlement for use by one or more public agencies, the City, upon request of the applicant, shall meet with the applicant regarding the range of actions, potential alternatives, mitigation measures and significant effects to be analyzed in depth in the EIR. The City may also consult with concerned persons identified by the applicant and persons who have made written requests to be consulted. Such requests for early consultation must be made not later than thirty (30) days after the City's decision to prepare an EIR. 7.12 CONSULTATION WITH WATER AGENCIES REGARDING LARGE DEVELOPMENT PROJECTS. For certain development projects, cities and counties must consult with water agencies. If the City is a water provider for the project, the city or county may request consultation with the City. (See Local Guidelines Sections 5.16 and 5.17 for more information on these requirements.) (Reference: State CEQA Guidelines, § 15155.) 7.13 AIRPORT LAND USE PLAN. When the City prepares an EIR for a project within the boundaries of a comprehensive airport land use plan, or, if such a plan has not been adopted, for a project within two (2) nautical miles of a public airport or public use airport, the City shall utilize the Airport Land Use Planning Handbook published by Caltrans' Division of Aeronautics to assist in the preparation of the EIR relative to potential airport or related safety hazards and noise problems. (Reference: State CEQA Guidelines, § 15154.) 2023 t°y ounce ea ur a mes - 22 — 11 1 es �S fr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT 7.14 GENERAL ASPECTS OF AN EIR. Both a Draft and Final EIR must contain the information outlined in Local Guidelines Sections 7.17 and 7.18. Each element must be covered, and when elements are not separated into distinct sections, the document must state where in the document each element is covered. The body of the EIR shall include summarized technical data, maps, diagrams and similar relevant information. Highly technical and specialized analyses and data should be included in appendices. Appendices may be prepared in separate volumes, but must be equally available to the public for examination. All documents used in preparation of the EIR must be referenced. An EIR shall not include "trade secrets," locations of archaeological sites and sacred lands, or any other information subject to the disclosure restrictions of the Public Records Act (Government Code section 7920.000, et seq.). The EIR should discuss environmental effects in proportion to their severity and probability of occurrence. Effects dismissed in the Initial Study as clearly insignificant and unlikely to occur need not be discussed. The Initial Study should be used to focus the EIR so that the EIR identifies and discusses only the specific environmental problems or aspects of the project that have been identified as potentially significant or important. A copy of the Initial Study should be attached to the EIR or included in the administrative record to provide a basis for limiting the impacts discussed. The EIR shall contain a statement briefly indicating the reason for determining that various effects of a project that could possibly be considered significant were not found to be significant and consequently were not discussed in detail in the EIR. The City should also note any conclusion by it that a particular impact is too speculative for evaluation. The EIR should omit unnecessary descriptions of projects and emphasize feasible mitigation measures and alternatives to projects. 7.15 USE OF REGISTERED CONSULTANTS IN PREPARING EIRS. An EIR is not a technical document that can be prepared only by a registered consultant or professional. However, state statutes may provide that only registered professionals can prepare certain technical studies that will be used in an EIR, or that will control the detailed design, construction, or operation of the proposed project and that will be prepared in support of an EIR. (Reference: State CEQA Guidelines, § 15149.) 7.16 INCORPORATION BY REFERENCE. An EIR, Negative Declaration, or Mitigated Negative Declaration may incorporate by reference all or portions of another document that is a matter of public record or is generally available to the public. Any incorporated document shall be considered to be set forth in full as part of the text of the environmental document. When all or part of another document is incorporated by reference, that document shall be made available to the public for inspection at 2023(&tot y OU IICI ea ur a mes - 22 — 2 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT the City's offices. The environmental document shall state where incorporated documents will be available for inspection. When incorporation by reference is used, the incorporated part of the referenced document shall be briefly summarized, if possible, or briefly described if the data or information cannot be summarized. The relationship between the incorporated document and the EIR, Negative Declaration, or Mitigated Negative Declaration shall be described. When information from an environmental document that has previously been reviewed through the state review system ("State Clearinghouse") is incorporated by the City, the state identification number of the incorporated document should be included in the summary or text of the EIR. (Reference: State CEQA Guidelines, § 15150.) 7.17 STANDARDS FOR ADEQUACY OF AN EIR. An EIR should be prepared with a sufficient degree of analysis to provide decision -makers with information that enables them to make a decision that takes into account the environmental consequences of the project. The evaluation of environmental effects need not be exhaustive, but must be within the scope of what is reasonably feasible. The EIR should be written and presented in such a way that it can be understood by governmental decision -makers and members of the public. A good faith effort at completeness is necessary. The adequacy of an EIR is assessed in terms of what is reasonable in light of factors such as the magnitude of the project at issue, the severity of its likely environmental impacts, and the geographic scope of the project. CEQA does not require a Lead Agency to conduct every test or perform all research, study, and experimentation recommended or demanded by commenters, but CEQA does require the Lead Agency to make a good faith, reasoned response to timely comments raising significant environmental issues. There is no need to unreasonably delay adoption of an EIR in order to include results of studies in progress, even if those studies will shed some additional light on subjects related to the project. (Reference: State CEQA Guidelines, § 15151.) 7.18 FORM AND CONTENT OF EIR. The text of the EIR should normally be less than 150 pages. For proposals of unusual scope or complexity, the EIR may be longer than 150 pages but should normally be less than 300 pages. The required contents of an EIR are set forth in Sections 15122 through 15132 of the State CEQA Guidelines. In brief, the EIR must contain: (a) A table of contents or an index; (b) A brief summary of the proposed project, including each significant effect with proposed mitigation measures and alternatives, areas of known controversy and issues to be resolved including the choice among alternatives, how to mitigate the significant effects and whether there are any significant and unavoidable impacts (generally, the summary should be less than fifteen (15) pages); 2023(&tot uraes es gfr LLP y OUIC22-113 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT (c) A description of the proposed project, including its underlying purpose and a list of permit and other approvals required to implement the project (see Local Guidelines Section 7.24 regarding analysis of future project expansion); (d) A description of the environmental setting, which includes the project's physical environmental conditions from both a local and regional perspective at the time the Notice of Preparation is published, or if no Notice of Preparation is published, at the time environmental analysis begins. (State CEQA Guidelines section 15125.) This environmental setting will normally constitute the baseline physical conditions by which the Lead Agency determines whether an impact is significant. However, the City, when acting as Lead Agency, may choose any baseline that is appropriate as long as the City's choice of baseline is supported by substantial evidence; (e) A discussion of any inconsistencies between the proposed project and applicable general, specific and regional plans. Such plans include, but are not limited to, the applicable air quality attainment or maintenance plan or State Implementation Plan, area -wide waste treatment and water quality control plans, regional transportation plans, regional housing allocation, regional blueprint plans, plans for the reduction of greenhouse gas emissions, habitat conservation plans, natural community conservation plans and regional land use plans; (f) A description of the direct and indirect significant environmental impacts of the proposed project explaining which, if any, can be avoided or mitigated to a level of insignificance, indicating reasons that various possible significant effects were determined not to be significant and denoting any significant effects that are unavoidable or could not be mitigated to a level of insignificance. Direct and indirect significant effects shall be clearly identified and described, giving due consideration to both short-term and long-term effects; (g) Potentially significant energy implications of a project must be considered to the extent relevant and applicable to the project (see Local Guidelines Section 5.20); (h) An analysis of a range of alternatives to the proposed project that could feasibly attain the project's objectives as discussed in Local Guidelines Section 7.23; (i) A description of any significant irreversible environmental changes that would be involved in the proposed action should it be implemented if, and only if, the EIR is being prepared in connection with: (1) The adoption, amendment, or enactment of a plan, policy, or ordinance of a public agency; (2) The adoption by a Local Agency Formation Commission of a resolution making determinations; or (3) A project that will be subject to the requirement for preparing an Environmental Impact Statement pursuant to NEPA; (j) An analysis of the growth -inducing impacts of the proposed action. The discussion should include ways in which the project could foster economic or population growth, or the construction of additional housing, either directly or indirectly, in the surrounding environment. Growth -inducing impacts may include the estimated energy consumption of growth induced by the project; 2023 t°y ounce ea ur a mes - 22 — 4 es �S fr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT (k) A discussion of any significant, reasonably anticipated future developments and the cumulative effects of all proposed and anticipated action as discussed in Local Guidelines Section 7.24; (1) In certain situations, a regional analysis should be completed for certain impacts, such as air quality; (m) A discussion of any economic or social effects, to the extent that they cause, or may be used to determine, significant environmental impacts; (n) A statement briefly indicating the reasons that various possible significant effects of a project were determined not to be significant and, therefore, were not discussed in the EIR; (o) The identity of all federal, state or local agencies or other organizations and private individuals consulted in preparing the EIR, and the identity of the persons, firm or agency preparing the EIR, by contract or other authorization. To the fullest extent possible, the City should integrate CEQA review with these related environmental review and consultation requirements; (p) A discussion of those potential effects of the proposed project on the environment that the City has determined are or may be significant. The discussion on other effects may be limited to a brief explanation as to why those effects are not potentially significant; and (q) A description of feasible measures, as set forth in Local Guidelines Section 7.22, which could minimize significant adverse impacts. (Reference: State CEQA Guidelines, §§ 15120-15148.) 7.19 CONSIDERATION AND DISCUSSION OF SIGNIFICANT ENVIRONMENTAL IMPACTS. An EIR must identify and focus on the significant effects of the proposed project on the environment. In assessing the proposed project's potential impacts on the environment, the City should normally limit its examination to comparing changes that would result from the project as compared to the existing physical conditions in the affected area as they exist when the Notice of Preparation is published. If a Notice of Preparation is not published for the project, the City should compare the proposed project's potential impacts to the physical conditions that exist at the time environmental review begins. Direct and indirect significant effects of the project on the environment must be clearly identified and described, considering both the short-term and long- term effects. The discussion should include relevant specifics of the area, the resources involved, physical changes, alterations to ecological systems, and changes induced in population distribution, population concentration, the human use of the land (including commercial and residential development), health and safety problems caused by the physical changes, and other aspects of the project that may impact resources in the project area, such as water, historical resources, scenic quality, and public services. The EIR must also analyze any significant environmental effects the project might cause or risk exacerbating by bringing development and people into the area. If applicable, an EIR should also evaluate any potentially significant direct, indirect, or cumulative environmental impacts of locating development in areas susceptible to hazardous conditions (e.g., floodplains, coastlines, wildfire risk areas), including both short-term and long-term conditions, as identified on authoritative hazard maps, risk assessments or in land use plans addressing such hazards areas. If analysis of the project's energy use reveals that the project may result in significant environmental effects due to wasteful, inefficient, or unnecessary use of energy, or wasteful use 2023(&tot uraes es gfr LLP y OUIC22-115 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT of energy resources, the EIR shall mitigate that energy use. This analysis should include the project's energy use for all project phases and components, including transportation -related energy, during construction and operation. In addition to building code compliance, other relevant considerations may include, among others, the project's size, location, orientation, equipment use and any renewable energy features that could be incorporated into the project. This analysis is subject to the rule of reason and shall focus on energy use that is caused by the project. This analysis may be included in related analyses of air quality, greenhouse gas emissions, transportation or utilities in the discretion of the Lead Agency. The EIR must describe all significant impacts, including those that can be mitigated but not reduced to a level of insignificance. Where there are impacts that cannot be alleviated without imposing an alternative design, their implications and the reasons why the project is being proposed, notwithstanding their effect, should be described. The EIR must also discuss any significant irreversible environmental changes that would be caused by the project. For example, use of nonrenewable resources during the initial and continued phases of a project may be irreversible if a large commitment of such resources makes removal or nonuse thereafter unlikely. Additionally, irreversible commitment of resources may include a discussion of how the project preempts future energy development or future energy conservation. Irretrievable commitments of resources to the proposed project should be evaluated to assure that such current consumption is justified. (Reference: Pub. Resources Code, § 21100.) 7.20 ENVIRONMENTAL SETTING An EIR must include a description of the physical environmental conditions in the vicinity of the project. This environmental setting will normally constitute the baseline physical conditions by which the Lead Agency determines whether an impact is significant. The description of the environmental setting shall be no longer than is necessary to provide an understanding of the significant effects of the proposed project and its alternatives. The purpose of this requirement is to give the public and decision makers the most accurate and understandable picture practically possible of the project's likely near -term and long-term impacts. (1) Generally, the Lead Agency should describe physical environmental conditions as they exist at the time the Notice of Preparation is published, or if no Notice of Preparation is published, at the time environmental analysis is commenced, from both a local and regional perspective. Where existing conditions change or fluctuate over time, and where necessary to provide the most accurate picture practically possible of the project's impacts, the Lead Agency may define existing conditions by referencing historic conditions, or conditions expected when the project becomes operational, or both, that are supported with substantial evidence. In addition, the Lead Agency may also use baselines consisting of both existing conditions and projected future conditions that are supported by reliable projections based on substantial evidence in the record. (2) The Lead Agency may use projected future conditions (beyond the date of project operations) as the sole baseline for analysis only if it demonstrates with substantial evidence that use of existing conditions would be either misleading or without informative value to decision- 2023(&tot uraes es gfr LLP y OUIC22-116 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT makers and the public. Use of projected future conditions as the only baseline must be supported by reliable projections based on substantial evidence in the record. (3) An existing conditions baseline shall not include hypothetical conditions —such as those that might be allowed, but have never actually occurred, under existing permits or plans — as the baseline. (State CEQA Guidelines, § 15125.) 7.21 ANALYSIS OF CUMULATIVE IMPACTS. An EIR must discuss cumulative impacts when the project's incremental effect is "cumulatively considerable" as defined in Local Guidelines Section 11.14. When the City is examining a project with an incremental effect that is not "cumulatively considerable," it need not consider that effect significant, but must briefly describe the basis for this conclusion. A project's contribution may be less than cumulatively considerable if the project is required to implement or fund its fair share of a mitigation measure designed to alleviate the cumulative impact. When relying on a fee program or mitigation measure(s), the City must identify facts and analysis supporting its conclusion that the cumulative impact is less than significant. The City may determine that a project's incremental contribution to a cumulative effect is not cumulatively considerable if the project will comply with the requirements in a previously approved plan or mitigation program that provides specific requirements that will avoid or substantially lessen the cumulative problem in the geographic area in which the project is located. Such plans and programs may include, but are not limited to: (1) Water quality control plans; (2) Air quality attainment or maintenance plans; (3) Integrated waste management plans; (4) Habitat conservation plans; (5) Natural community conservation plans; and/or (6) Plans or regulations for the reduction of greenhouse gas emissions. When relying on such a regulation, plan, or program, the City should explain how implementing the particular requirements of the plan, regulation or program will ensure that the project's incremental contribution to the cumulative effect is not cumulatively considerable. A cumulative impact consists of an impact that is created as a result of the combination of the project evaluated in the EIR together with other projects causing related impacts. An EIR should not discuss impacts that do not result in part from the project evaluated in the EIR. The discussion of cumulative impacts in an EIR must focus on the cumulative impacts to which the identified other projects contribute, rather than on the attributes of other projects that do 2023(&tot y OUIICI ea ur a mes - ZZ — 7 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT not contribute to the cumulative impact. The discussion of significant cumulative impacts must include either of the following: (1) A list of past, present, and probable future projects causing related or cumulative impacts including, if necessary, those projects outside the control of the City; or (2) A summary of projections contained in an adopted local, regional or statewide plan, or related planning document, that describes or evaluates conditions contributing to the cumulative effect. Such plans may include: a general plan, regional transportation plan, or a plan for the reduction of greenhouse gas emissions. A summary of projections may also be contained in an adopted or certified prior environmental document for such a plan. Such projections may be supplemented with additional information such as a regional modeling program. Documents used in creating a summary of projections must be referenced and made available to the public. When utilizing a list, as suggested above, factors to consider when determining whether to include a related project should include the nature of each environmental resource being examined and the location and type of project. Location maybe important, for example, when water quality impacts are involved since projects outside the watershed would probably not contribute to a cumulative effect. Project type may be important, for example, when the impact is specialized, such as a particular air pollutant or mode of traffic. Public Resources Code section 21094 also states that if a Lead Agency determines that a cumulative effect has been adequately addressed in an earlier EIR, it need not be examined in a later EIR if the later project's incremental contribution to the cumulative effect is not cumulatively considerable. A cumulative effect has been adequately addressed in the prior EIR if: (1) it has been mitigated or avoided as a result of the prior EIR; or (2) the cumulative effect has been examined in a sufficient level of detail to enable the effect to be mitigated or avoided by site -specific revisions, the imposition of conditions, or other means in connection with the approval of the later project. Public Resources Code section 21094 only applies to earlier projects that (1) are consistent with the program, plan, policy, or ordinance for which an environmental impact report has been prepared and certified, (2) are consistent with applicable local land use plans and zoning of the city, county, or city and county in which the later project would be located and (3) are not subject to Public Resources Code section 21166. If the Lead Agency determines that the cumulative effect has been adequately addressed in a prior EIR, the Lead Agency should clearly explain the basis for its determination in the current environmental documentation for the project. The City should define the geographic scope of the area affected by the cumulative effect and provide a reasonable explanation for the geographic limitation used. (Reference: State CEQA Guidelines, § 15130.) 2023 t°y ounce ea ur a mes - 22 — H es �S fr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT 7.22 ANALYSIS OF MITIGATION MEASURES. The discussion of mitigation measures in an EIR must distinguish between measures proposed by project proponents and other measures proposed by Lead, Responsible or Trustee Agencies. This discussion shall identify mitigation measures for each significant environmental effect identified in the EIR. Where several measures are available to mitigate an impact, each should be disclosed and the basis for selecting a particular measure should be identified. Formulation of mitigation measures shall not be deferred until some future time The specific details of a mitigation measure, however, may be developed after project approval when it is impractical or infeasible to include those details during the project's environmental review provided that the Lead Agency (1) commits itself to the mitigation, (2) adopts specific performance standards the mitigation will achieve, and (3) identifies the type(s) of potential action(s) that can feasibly achieve that performance standard and that will be considered, analyzed, and potentially incorporated in the mitigation measure. Compliance with a regulatory permit or other similar process may be identified as mitigation if compliance would result in implementation of measures that would be reasonably expected, based on substantial evidence in the record, to reduce the significant impact to the specified performance standards. If a mitigation measure would cause one or more significant effects in addition to those that would be caused by the project as proposed, the effects of the mitigation measure shall be disclosed but in less detail than the significant effects of the project itself. If a project includes a housing development, the City may not reduce the project's proposed number of housing units as a mitigation measure or project alternative if the City determines that there is another feasible specific mitigation measure or project alternative that would provide a comparable level of mitigation without reducing the number of housing units. Mitigation measures must be fully enforceable through permit conditions, agreements, or other legally binding instruments. In the case of the adoption of a plan, policy, regulation, or other public project, mitigation measures can be incorporated into the plan, policy, regulation, or project design. Mitigation measures must also be consistent with all applicable constitutional requirements such as the "nexus" and "rough proportionality" standardsi.e., there must be an essential nexus between the mitigation measure and a legitimate governmental interest, and the mitigation measure must be "roughly proportional" to the impacts of the project. Where maintenance, repair, stabilization, rehabilitation, restoration, preservation, conservation or reconstruction of a historical resource will be conducted in a manner consistent with the Secretary of the Interior's "Standards for the Treatment of Historic Properties with Guidelines for Preserving, Rehabilitating, Restoring and Reconstructing Historic Buildings" (1995), Weeks and Grimmer, the project's impact on the historical resource shall generally be considered mitigated below a level of significance and thus not significant. The City should, whenever feasible, seek to avoid damaging effects on any historical resource of an archaeological nature. The following must be considered and discussed in an EIR for a project involving an archaeological site: 2023(&tot y OUIICI ea ur a mes - 22 _ 1 1 9 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT (a) Preservation in place is the preferred manner of mitigating impacts to archaeological sites; and (b) Preservation in place may be accomplished by, but is not limited to, the following: (1) Planning construction to avoid archaeological sites; (2) Incorporation of sites within parks, green space, or other open spaces; (3) Covering the archaeological sites with a layer of chemically stable soil before building tennis courts, parking lots, or similar facilities on the site; and/or (4) Deeding the site into a permanent conservation easement. When data recovery through excavation is the only feasible mitigation, a data recovery plan, which makes provision for adequately recovering the scientifically consequential information from and about the historical resource, shall be prepared and adopted prior to excavation. Such studies must be deposited with the California Historical Resources Regional Information Center. Data recovery shall not be required for a historical resource if the City determines that existing testing or studies have adequately recovered the scientifically consequential information from and about the archaeological or historical resource, provided that the determination is documented in the EIR and that the studies are deposited with the California Historical Resources Regional Information Center. (Reference: State CEQA Guidelines, § 15126.4.) 7.23 ANALYSIS OF ALTERNATIVES IN AN EIR. The alternatives analysis must describe and evaluate the comparative merits of a range of reasonable alternatives to the project or to the location of the project which would feasibly attain most of the basic objectives of the project, but which would avoid or substantially lessen any of the significant effects of the project. An EIR need not consider every conceivable alternative to a project, and it need not consider alternatives that are infeasible. Rather, an EIR must consider a reasonable range of potentially feasible alternatives that will foster informed decision -making and public participation. Purpose of the Alternatives Analysis: An EIR must identify ways to mitigate or avoid the significant effects that a project may have on the environment. For this reason, a discussion of alternatives must focus on alternatives to the project or its location that are capable of avoiding or substantially lessening any significant effect of the project, even if these alternatives would impede to some degree the attainment of the project objectives or would be more costly. Selection of a Range of Reasonable Alternatives: The range of potential alternatives to the proposed project shall include those that could feasibly accomplish most of the basic purposes of the project and could avoid or substantially lessen one or more of the significant effects, even if those alternatives would be more costly or would impede to some degree the attainment of the project's objectives. The EIR should briefly describe the rationale for selecting the alternatives to 2023(&tot uraes - es gfr LLP y OUIC22— ZO Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT be discussed. The EIR should also identify any alternatives that were considered by the Lead Agency and rejected as infeasible during the scoping process, and it should briefly explain the reasons for rejecting those alternatives. Additional information explaining the choice of alternatives should be included in the administrative record. Among the factors that may be used to eliminate alternatives from detailed consideration in an EIR are: (a) failure to meet most of the basic project objectives; (b) infeasibility; or (c) inability to avoid significant environmental impacts. Evaluation of Alternatives: The EIR shall include sufficient information about each alternative to allow meaningful evaluation, analysis and comparison with the proposed project. A matrix displaying the major characteristics and significant environmental effects of each alternative may be used to summarize the comparison. The matrix may also identify and compare the extent to which each alternative meets project objectives. If an alternative would cause one or more significant effects in addition to those that would be caused by the project as proposed, the significant effects of the alternative shall be discussed but in less detail than the significant effects of the project as proposed. The Rule of Reason: The range of alternatives required in an EIR is governed by a "rule of reason" which courts have held means that an alternatives discussion must be reasonable in scope and content. Therefore, the EIR must set forth only those alternatives necessary to permit public participation, informed decision -making, and a reasoned choice. The alternatives shall be limited to ones that would avoid or substantially lessen any of the significant effects of the project. Of those alternatives, the EIR need examine in detail only the ones the City determines could feasibly attain most of the basic objectives of the project. An EIR need not consider an alternative whose effect cannot be reasonably ascertained and whose implementation is remote and speculative. Feasibility of Alternatives: The factors that may be taken into account when addressing the feasibility of alternatives include: site suitability; economic viability; availability of infrastructure; general plan consistency; other plans or regulatory limitations; jurisdictional boundaries (projects with a regionally significant impact should consider the regional context); and whether the proponent already owns the alternative site or can reasonably acquire, control or otherwise have access to the site. No one factor establishes a fixed limit on the scope of reasonable alternatives. Alternative Locations: The first step in the alternative location analysis is to determine whether any of the significant effects of the project could be avoided or substantially lessened by putting the project in another location. This is the key question in this analysis. Only locations that would avoid or substantially lessen any of the significant effects of the project need be considered for inclusion in the EIR. The second step in this analysis is to determine whether any of the alternative locations are feasible. If the City concludes that no feasible alternative locations exist, it must disclose its reasons, and it should include them in the EIR. When a previous document has sufficiently analyzed a range of reasonable alternative locations and environmental impacts for a project with the same basic purpose, the City should review the previous document and incorporate the previous document by reference. To the extent the circumstances have remained substantially the same 2023 ty OU IICI calur a mes - 22 — 1 2 1 es e�s gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT with respect to an alternative, the EIR may rely on the previous document to help it assess the feasibility of the potential project alternative. The "No Project" Alternative: The specific alternative of "no project" must be evaluated along with its impacts. The purpose of describing and analyzing the no project alternative is to allow decision -makers to compare the impacts of approving the proposed project with the impacts of not approving the proposed project. The no project alternative may be different from the baseline environmental conditions. The no project alternative will be the same as the baseline only if it is identical to the existing environmental setting and the Lead Agency has chosen the existing environmental setting as the baseline. A discussion of the "no project" alternative should proceed along one of two lines: (a) When the project is the revision of an existing land use or regulatory plan, policy or ongoing operation, the "no project" alternative will be the continuation of the existing plan, policy or operation into the future. Typically, this is a situation where other projects initiated under the existing plan will continue while the new plan is developed. Thus, the projected impacts of the proposed plan or alternative plans would be compared to the impacts that would occur under the existing plan; or (b) If the project is other than a land use or regulatory plan, for example a development project on identifiable property, the "no project" alternative is the circumstance under which the project does not proceed. This discussion would compare the environmental effects of the property remaining in its existing state against environmental effects that would occur if the project is approved. If disapproval of the project would result in predictable actions by others, such as the proposal of some other project, this "no project" consequence should be discussed. After defining the "no project" alternative, the City should proceed to analyze the impacts of the "no project" alternative by projecting what would reasonably be expected to occur in the foreseeable future if the project were not approved, based on current plans and consistent with available infrastructure and community services. If the "no project" alternative is the environmentally superior alternative, the EIR must also identify another environmentally superior alternative among the remaining alternatives. Remote or Speculative Alternatives: An EIR need not consider an alternative whose effect cannot be reasonably ascertained and whose implementation is remote and speculative. (Reference: State CEQA Guidelines, § 15126.6.) 7.24 ANALYSIS OF FUTURE EXPANSION. An EIR must include an analysis of the environmental effects of future expansion (or other similar future modifications) if there is credible and substantial evidence that: (a) The future expansion or action is a reasonably foreseeable consequence of the initial project; and (b) The future expansion or action is likely to change the scope or nature of the initial project or its environmental effects. 2023(&tot uraes 9191 es gfr LLP y OUIC22— 22 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT Absent these two circumstances, future expansion of a project need not be discussed. CEQA does not require speculative discussion of future development that is unspecific or uncertain. However, if future action is not considered now, it must be considered and environmentally evaluated before it is actually implemented. (Reference: Laurel Heights Improvement Ass'n v. Regents of University of California (1988) 47 Cal.3d 376, 396.) 7.25 NOTICE OF COMPLETION OF DRAFT EIR; NOTICE OF AVAILABILITY OF DRAFT EIR. Notice of Completion. When the Draft EIR is completed, a Notice of Completion (Form "H") must be filed with the Office of Planning and Research in an electronic form via the Office of Planning and Research's CEQA Submit website, which is located at the following web address: https://cegasubmit.opr.ca.gov/Security/LogOn?RetumUrl=%2f. The Notice of Completion shall contain: (a) A brief description of the proposed project; (b) The location of the proposed project including the proposed project's latitude and longitude; (c) An address where copies of the Draft EIR are available and a description of how the Draft EIR can be provided in an electronic format; and (d) The review period during which comments will be received on the Draft EIR. The Office of Planning and Research has developed a model form Notice of Completion. Form H follows OPR's model. To ensure that the documents are accepted by OPR staff, this form should be used when documents are transmitted to OPR. Notice of Availability. At the same time it sends a Notice of Completion to the Office of Planning and Research, the City shall provide public notice of the availability of the Draft EIR by distributing a Notice of Availability of Draft EIR (Form "K"). The Notice of Availability shall include at least the following information: (a) A brief description of the proposed project and its location; (b) The starting and ending dates for the review period during which the City will receive comments, the manner in which the City will receive those comments, and whether the review period has been shortened; (c) The date, time, and place of any scheduled public meetings or hearings to be held by the City on the proposed project, if the City knows this information when it prepares the Notice; (d) A list of the significant environmental effects anticipated as a result of the project; (e) The address where copies of the EIR and all documents incorporated by reference in the EIR will be available for public review, and a description of how the Draft EIR can be obtained in electronic format. This location shall be readily accessible to the public during the City's normal working hours; and (f) A statement indicating whether the project site is included on any list of hazardous waste facilities, land designated as hazardous waste property, or hazardous waste disposal site, 2023 t°y ounce ea ur a mes - 22 — 23 es �S fr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT and, if so, the information required in the Hazardous Waste and Substances Statement pursuant to Government Code section 65962.5. The Notice of Availability shall be provided to: (a) Each Responsible and Trustee Agency; (b) Any other federal, state, or local agency that has jurisdiction by law or exercises authority over resources affected by the project, including: (1) Any water supply agency consulted under Local Guidelines Section 5.16; (2) Any city or county bordering on the project area; (3) For a project of statewide, regional, or area -wide significance, any transportation agencies or public agencies that have major local arterials or public transit facilities within five (5) miles of the project site; or freeways, highways, or rail transit service within ten (10) miles of the project site that could be affected by the project; (4) For a subdivision project located within one mile of a facility of the State Water Resources Development System, the California Department of Water Resources; and (5) For a general plan amendment, a project of statewide, regional, or area -wide significance, or a project that relates to a public use airport, to any "military service" (defined in Section 11.42 of these Local Guidelines) that has provided the City with its contact office and address and notified the City of the specific boundaries of a "low-level flight path" (defined in Section 11.37 of these Local Guidelines), "military impact zone" (defined in Section 11.41 of these Local Guidelines), or "special use airspace" (defined in Section 11.67 of these Local Guidelines; (c) The last known name and address of all organizations and individuals who have previously filed a written request with the City to receive these Notices; (d) For certain projects that may impact a low-level flight path, military impact zone, or special use airspace and that meet the other criteria of Local Guidelines Section 7.04, the specified military services contact; (e) For certain projects that involve the construction or alteration of a facility anticipated to emit hazardous air emissions or handle hazardous substances within one -quarter mile of a school and that meet the other requirements of Local Guidelines Section 7.36, any potentially affected school district; (f) For certain waste -burning projects that meet the requirements of Local Guidelines Section 5.11 (see also Local Guidelines Section 7.27), the owners and occupants of property within one-fourth mile of any parcel on which the project will be located; and (g) For a project that establishes or amends a redevelopment plan that contains land in agricultural use, notice and a copy of the Draft EIR shall be provided to the agricultural and farm agencies and organizations specified in Health and Safety Code section 33333.3. The City requires requests for copies of these Notices to be in writing and to be renewed annually; moreover, the City may charge a fee for the reasonable cost of providing these Notices. 2023 t°y ounce ea ur a mes - 22 — 24 es �S fr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT A project will not be invalidated due to a failure to send a requested Notice provided there has been substantial compliance with these notice provisions. Staff may also consult with and obtain comments from any person known to have special expertise or any other person or organization whose comments relative to the Draft EIR would be desirable. Notice shall be given to the last known name and address of all organizations and individuals who have previously requested notice; by posting the notice on the website of the lead agency; and by at least one of the following : (a) Publication of the Notice of Completion and/or the Notice of Availability at least once in a newspaper of general circulation in the area affected by the proposed project. If more than one area will be affected, the notice shall be published in the newspaper of largest circulation from among the newspapers of general circulation in those areas; (b) Posting of the Notice of Completion and/or the Notice of Availability on and off site in the area where the project is to be located; or (c) Direct mailing of the Notice of Completion and/or the Notice of Availability to owners and occupants of property contiguous to the project, as identified on the latest equalized assessment roll. The Notice of Completion and Notice of Availability shall be posted in the office of the Clerk in each county in which the project is located for at least thirty (30) days. If the public review period for the Draft EIR is longer than thirty (30) days, the City may wish to leave the Notice posted until the public review period for the Draft EIR has expired. Copies of the Draft EIR shall also be made available at the City office for review by members of the general public. The City may require any person obtaining a copy of the Draft EIR to reimburse the City for the actual cost of its reproduction. Copies of the Draft EIR should also be furnished to appropriate public library systems. The City shall also post an electronic copy of the Notice of Completion, Notice of Availability, and Draft EIR on its website, if any. (Reference: Pub. Resources Code, § 21082.1; State CEQA Guidelines, §§ 15085, 15087.) 7.26 SUBMISSION OF DRAFT EIR TO STATE CLEARINGHOUSE. A Draft EIR must be submitted to the State Clearinghouse, at the same time as the Notice of Completion, in an electronic form as required by the Office of Planning and Research, regardless of whether the document must be circulated for review and comment by state agencies under State CEQA Guidelines section 15205 and 15206. The Draft EIR must be submitted via the Office of Planning and Research's CEQA Submit website (https:Hceqasubmit.opr.ca.gov/Security/LogOn?RetumUrl=%2f). The CEQA Submit website differentiates between environmental documents that do require review and comment by state agencies and those that do not. In particular, the website provides a "Local Review Period" tab for submitting documents that do not require review and comment by state agencies, and a "State 2023 ty OUIICI ea ur a mes - 22 — 2rJ es e�s gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT Review Period" tab for submitting documents that do require review and comment by state agencies. A Draft EIR must be submitted to the State Clearinghouse for review and comment by state agencies (i.e., the Draft EIR must be submitted through the CEQA Submit website under the "State Review Period" tab) in the following situations: (a) A state agency is the Lead Agency for the Draft EIR; (b) A state agency is a Responsible Agency, Trustee Agency, or otherwise has jurisdiction by law over resources potentially affected by the project; or (c) The Draft EIR is for a project identified in State CEQA Guidelines section 15206 as being a project of statewide, regional, or area -wide significance. State CEQA Guidelines section 15206 identifies the following types of projects as being examples of projects of statewide, regional, or area -wide significance that require submission to the State Clearinghouse for circulation: (1) General plans, elements, or amendments for which an EIR was prepared; (2) Projects that have the potential for causing significant environmental effects beyond the city or county where the project would be located, such as: (a) Residential development of more than 500 units; (b) Commercial projects employing more than 1,000 persons or covering more than 500,000 square feet of floor space; (c) Office building projects employing more than 1,000 persons or covering more than 250,000 square feet of floor space; (d) Hotel or motel development of more than 500 rooms; and (e) Industrial projects housing more than 1,000 persons, occupying more than 40 acres of land, or covering more than 650,000 square feet of floor area; (3) Projects for the cancellation of a Williamson Act contract covering more than 100 acres; (4) Projects in one of the following Environmentally Sensitive Areas: (a) Lake Tahoe Basin; (b) Santa Monica Mountains Zone; (c) Sacramento -San Joaquin River Delta; (d) Suisun Marsh; (e) Coastal Zone, as defined by the California Coastal Act; (f) Areas within one -quarter mile of a river designated as wild and scenic; or (g) Areas within the jurisdiction of the San Francisco Bay Conservation and Development Commission; (5) Projects that would affect sensitive wildlife habitats or the habitats of any rare, threatened, or endangered species; 2023(&tot uraes es gfr LLP y OUIC22— ZG Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT (6) Projects that would interfere with water quality standards; and (7) Projects that would provide housing, jobs, or occupancy for 500 or more people within 10 miles of a nuclear power plant. A Draft EIR may also be submitted to the State Clearinghouse for review and comment by state agencies when a state agency has special expertise with regard to the environmental impacts involved. Submission of the Draft EIR to the State Clearinghouse affects the timing of the public review period as set forth in Local Guidelines Section 7.28. (Reference: Pub. Resources Code, § 21091; State CEQA Guidelines, §§ 15205, 15206.) 7.27 SPECIAL NOTICE REQUIREMENTS FOR WASTE- AND FUEL -BURNING PROJECTS. For any waste -burning project, as defined in Local Guidelines Section 5.11, in addition to the notice requirements specified in Local Guidelines Sections 7.25 and 7.26, Notice of Availability of the Draft EIR shall be given by direct mailing or any other method calculated to provide delivery of the notice to the owners and occupants of property within one-fourth mile of any parcel or parcels on which the project is located. (Reference: Pub. Resources Code, § 21092(c).) 7.28 TIME FOR REVIEW OF DRAFT EIR; FAILURE TO COMMENT. A period of between thirty (30) and sixty (60) days from the filing of the Notice of Completion of the Draft EIR shall be allowed for review of and comment on the Draft EIR, except in unusual situations. If the Draft EIR is for a proposed project where a state agency is the lead agency, a responsible agency, or a trustee agency; a state agency otherwise has jurisdiction by law with respect to the project; or the proposed project is of sufficient statewide, regional, or area -wide significance as determined pursuant to State CEQA Guidelines section 15206, the review period shall be at least forty-five (45) days (unless a shorter period is approved as set forth below), and the lead agency shall provide the document in an electronic form, as required by the Office of Planning and Research, to the State Clearinghouse for review and comment by state agencies. For purposes of calculating the length of the public review period, the last day of the public review period cannot fall on a weekend, a legal holiday, or other day on which the lead agency's offices are closed.2 (Reference: Rominger v. County of Colusa (2014) 229 Cal.App.4th 690, 708.) 2 A public agency's "offices are closed" for purposes of this section on days in which the agency is formally closed for business (for example, due to a weekend, a legal holiday, or a formal furlough affecting the entire office). A public agency's office is not considered closed for purposes of this section where the agency's office may be physically closed, but the agency is nonetheless open for business and is operating remotely or virtually (for example, in response to the Covid-19 pandemic). 2023 tot OU na calto a mes - ZZ — 27 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT If a state agency is a Responsible Agency, or if the Draft EIR is submitted to the State Clearinghouse for review and comment by state agencies, the public review period shall be at least as long as the review period established by the State Clearinghouse. The public review period and the state agency review period may, but are not required to, begin and end at the same time. The state agency review period begins (day one) on the date that the State Clearinghouse distributes the Draft EIR to state agencies. The State Clearinghouse is required to distribute the Draft EIR to state agencies within three (3) working days from the date the State Clearinghouse receives the document, as long as the Draft EIR is complete when submitted to the State Clearinghouse. If the document submitted to the State Clearinghouse is not complete, the State Clearinghouse must notify the Lead Agency. The review period for the public and all other agencies may run concurrently with the state agency review period established by the State Clearinghouse. Under certain circumstances, a shorter review period of the Draft EIR by the State Clearinghouse can be requested by the City; however, a shortened review period shall not be less than thirty (30) days for a Draft EIR. Any request for a shortened review period must be made in writing by the City to OPR. The City may designate a person to make these requests. The City must contact all Responsible and Trustee agencies and obtain their agreement prior to obtaining a shortened review period. (See the Shortened Review Request Form "P.") A shortened review period is not available for any proposed project of statewide, regional or area -wide environmental significance as determined pursuant to State CEQA Guidelines section 15206. Any approval of a shortened review period shall be given prior to, and reflected in, the public notices. In the event a public agency, group, or person whose comments on a Draft EIR are solicited fails to comment within the required time period, it shall be presumed that such agency, group, or person has no comment to make, unless the Lead Agency has received a written request for a specific extension of time for review and comment and a statement of reasons for the request. Continued planning activities concerning the proposed project, short of formal approval, may continue during the period set aside for review and comment on the Draft EIR. (Reference: Pub. Resources Code, § 21091; State CEQA Guidelines, §§ 15203, 15205(d).) 7.29 PUBLIC HEARING ON DRAFT EIR. CEQA does not require formal public hearings for certification of an EIR; public comments may be restricted to written communications. (However, a hearing is required to utilize the limited exemption for Transit Priority Projects as explained in Local Guidelines Section 3.15; to adopt a bicycle transportation plan as explained in Local Guidelines Section 3.18; and for certain other actions involving the replacement or deletion of mitigation measures under State CEQA Guidelines section 15074.1.) However, if the City provides a public hearing on its consideration of a project, the City should include the project's environmental review documents as one of the subjects of the hearing. Notice of the time and place of the hearing shall be given in a timely manner in accordance with any legal requirements applicable to the proposed project. Generally, the requirements of the Ralph M. Brown Act will provide the minimum requirements for the inclusion of CEQA matters on agendas and at hearings. (Gov. Code, § 54950 et seq.) At a 2023(&tot y OU IICI ea ur a mes - 22 — ZH es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT minimum, agendas for meetings and hearings before commissions, boards, councils, and other agencies must be posted in a location that is freely accessible to members of the public at least seventy-two (72) hours prior to a regular meeting. The agenda must contain a brief general description of each item to be discussed and the time and location of the meeting. (Gov. Code, § 54954.2.) Additionally, any legislative body or its presiding officer must post an agenda for each regular or special meeting on the local agency's Internet Web site, if the local agency has one. (Reference: State CEQA Guidelines, § 15202.) 7.30 RESPONSE TO COMMENTS ON DRAFT EIR. The Lead Agency shall evaluate any comments on environmental issues received during the public review period for the Draft EIR and shall prepare a written response to those comments that raise significant environmental issues. As stated below, the City, as Lead Agency, should also consider evaluating and responding to any comments received after the public review period. The written responses shall describe the disposition of any significant environmental issues that are raised in the comments. The responses may take the form of a revision of the Draft EIR, an attachment to the Draft EIR, or some other oral or written response that is adequate under the circumstances. If the City's position is at variance with specific recommendations or suggestions raised in the comment, the City's response must detail the reasons why such recommendations or suggestions were not accepted. The level of detail contained in the response, however, may correspond to the level of detail provided in the comment (i.e., responses to general comments may be general). A general response may be appropriate when a comment does not contain or specifically refer to readily available information, or does not explain the relevance of evidence submitted with the comment. Moreover, the City shall respond to any specific suggestions for project alternatives or mitigation measures for significant impacts, unless such alternatives or mitigation measures are facially infeasible. The response shall contain recommendations, when appropriate, to alter the project as described in the Draft EIR as a result of an analysis of the comments received. At least ten (10) days prior to certifying a Final EIR, the Lead Agency shall provide its proposed written response, either in printed copy or in an electronic format, to any public agency that has made comments on the Draft EIR during the public review period. The City, as Lead Agency, is not required to respond to comments received after the public review period. However, the City, as Lead Agency, should consider responding to all comments if it will not delay action on the Final EIR, since any comment received before final action on the EIR can form the basis of a legal challenge. A written response that addresses the comment or adequately explains the City's action in light of the comment may assist in defending against a legal challenge. (Reference: State CEQA Guidelines, § 15088.) 7.31 PREPARATION AND CONTENTS OF FINAL EIR. Following the receipt of any comments on the Draft EIR as required herein, such comments shall be evaluated by Staff and a Final EIR shall be prepared. 2023 t°y ounce ea ur a mes - 22 — 29 es �S fr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT The Final EIR shall meet all requirements of Local Guidelines Section 7.18 and shall consist of the Draft EIR or a revision of the Draft, a section containing either verbatim or in summary the comments and recommendations received through the review and consultation process, a list of persons, organizations and public agencies commenting on the Draft, and a section containing the responses of the City to the significant environmental points raised in the review and consultation process. (Reference: State CEQA Guidelines, §§ 15089, 15132.) 7.32 RECIRCULATION WHEN NEW INFORMATION Is ADDED TO EIR. When significant new information is added to the EIR after notice and consultation but before certification, the Lead Agency must recirculate the Draft EIR for another public review period. The term "information" can include changes in the project or environmental setting as well as additional data or other information. New information is significant only when the EIR is changed in a way that would deprive the public of a meaningful opportunity to comment upon a substantial adverse environmental effect of a project or a feasible way to mitigate or avoid such an effect, including a feasible project alternative, that the project proponents decline to implement. Recirculation is required, for example, when: (1) New information added to an EIR discloses: (a) A new significant environmental impact resulting from the project or from a new mitigation measure proposed to be implemented; or (b) A significant increase in the severity of an environmental impact (unless mitigation measures are also adopted that reduce the impact to a level of insignificance); or (c) A feasible project alternative or mitigation measure that clearly would lessen the significant environmental impacts of the project, but which the project proponents decline to adopt; or (2) The Draft EIR is so fundamentally and basically inadequate and conclusory in nature that meaningful public review and comment were precluded. Recirculation is not required when the new information added to the EIR merely clarifies or amplifies or makes insignificant modifications in an adequate EIR. If the revision is limited to a few chapters or portions of the EIR, the City as Lead Agency need only recirculate the chapters or portions that have been modified. A decision to not recirculate an EIR must be supported by substantial evidence in the record. When the City determines to recirculate a Draft EIR, it shall give Notice of Recirculation (Form "M") to every agency, person, or organization that commented on the prior Draft EIR. The Notice of Recirculation must indicate whether new comments must be submitted and whether the City has exercised its discretion to require reviewers to limit their comments to the revised chapters or portions of the recirculated EIR. The City shall also consult again with those persons contacted pursuant to Local Guidelines Section 7.25 before certifying the EIR. When the EIR is substantially 2023 t°y ounce ea ur a mes - 22 — 3O es �S fr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT revised and the entire EIR is recirculated, the City may require that reviewers submit new comments and need not respond to those comments received during the earlier circulation period. In those cases, the City should advise reviewers that, although their previous comments remain part of the administrative record, the final EIR will not provide a written response to those comments, and new comments on the revised EIR must be submitted. The City need only respond to those comments submitted in response to the revised EIR. When the EIR is revised only in part and the City is recirculating only the revised chapters or portions of the EIR, the City may request that reviewers limit their comments to the revised chapters or portions. The City need only respond to: (1) comments received during the initial circulation period that relate to chapters or portions of the document that were not revised and recirculated, and (2) comments received during the recirculation period that relate to the chapters or portions of the earlier EIR that were revised and recirculated. When recirculating a revised EIR, either in whole or in part, the City must, in the revised EIR or by an attachment to the revised EIR, summarize the revisions made to the previously circulated draft EIR. (Reference: State CEQA Guidelines, § 15088.5.) 7.33 CERTIFICATION OF FINAL EIR. Following the preparation of the Final EIR, Staff shall review the Final EIR and make a recommendation to the decision -making body regarding whether the Final EIR has been completed in compliance with CEQA, the State CEQA Guidelines and the City's Local Guidelines. The Final EIR and Staff recommendation shall then be presented to the decision -making body. The decision - making body shall independently review and consider the information contained in the Final EIR and determine whether the Final EIR reflects its independent judgment. Before it approves the project, the decision -making body must certify and find that: (1) the Final EIR has been completed in compliance with CEQA, the State CEQA Guidelines and the City's Local Guidelines; (2) the Final EIR was presented to the decision -making body and the decision -making body reviewed and considered the information contained in the Final EIR before approving the project; and (3) the Final EIR reflects the City's independent judgment and analysis. Except in those cases in which the City Council is the final decision -making body for the project, any interested person may appeal the certification or denial of certification of a Final EIR to the City Council. Appeals must follow the procedures prescribed by the City. (Reference: State CEQA Guidelines, § 15090.) 7.34 CONSIDERATION OF EIR BEFORE APPROVAL OR DISAPPROVAL OF PROJECT. Once the decision -making body has certified the EIR, it may then proceed to consider the proposed project for purposes of approval or disapproval. (Reference: State CEQA Guidelines, § 15092.) 2023 t°y ounce ea ur a mes - 22 — 3 es �S fr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT 7.35 FINDINGS. The decision -making body shall not approve or carry out a project if a completed EIR identifies one or more significant environmental effects of the project unless it makes one or more of the following written findings for each such significant effect, accompanied by a brief explanation of the rationale supporting each finding. For impacts that have been identified as potentially significant, the possible findings are: (a) Changes or alterations have been required in, or incorporated into, the project which mitigate or avoid the significant effects on the environment as identified in the Final EIR, such that the impact has been reduced to a less -than -significant level; (b) Such changes or alterations are within the responsibility and jurisdiction of another public agency and not the City. Such changes have been, or can and should be, adopted by that other agency; or (c) Specific economic, legal, social, technological or other considerations, including considerations for the provision of employment opportunities for highly trained workers, make infeasible the mitigation measures or alternatives identified in the Final EIR. The decision -making body must make specific written findings stating why it has rejected an alternative to the project as infeasible. The findings required by this Section shall be supported by substantial evidence in the record. Measures identified and relied on to mitigate environmental impacts identified in the EIR to below a level of significance should be expressly adopted or rejected in the findings. The findings should include a description of the specific reasons for rejecting any mitigation measures or project alternatives identified in the EIR that would reduce the significant impacts of the project. Any mitigation measures that are adopted must be fully enforceable through permit conditions, agreements, or other measures. If any of the proposed alternatives could avoid or lessen an adverse impact for which no mitigation measures are proposed, the City shall analyze the feasibility of such alternative(s). If the project is to be approved without including such alternative(s), the City shall find that specific economic, legal, social, technological or other considerations, including considerations for the provision of employment opportunities for highly trained workers, make infeasible the alternatives identified in the Final EIR and shall list such considerations before such approval. The decision -making body shall not approve or carry out a project as proposed unless: (1) the project as approved will not have a significant effect on the environment; or (2) the project's significant environmental effects have been eliminated or substantially lessened (as determined through one or more of the findings indicated above), and any remaining unavoidable significant effects have been found acceptable because of facts and circumstances described in a Statement of Overriding Considerations (see Local Guidelines Section 7.37). Statements in the Draft EIR or comments on the Draft EIR are not determinative of whether the project will have significant effects. When making the findings required by this Section, the City as Lead Agency shall specify the location and custodian of the documents or other material which constitute the record of proceedings upon which it based its decision. 2023 t°y ounce ea ur a mes - 22 — 32 es �S fr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT (Reference: State CEQA Guidelines, § 15091.) 7.36 SPECIAL FINDINGS REQUIRED FOR FACILITIES THAT MAY EMIT HAZARDOUS AIR EMISSIONS NEAR SCHOOLS. Special procedural rules apply to projects involving the construction or alteration of a facility within one -quarter mile of a school when: (1) the facility might reasonably be anticipated to emit hazardous air emissions or to handle an extremely hazardous substance or a mixture containing extremely hazardous substances in a quantity equal to or greater than the threshold specified in Health and Safety Code section 255320); and (2) the emissions or substances may pose a health or safety hazard to persons who would attend or would be employed at the school. If the project meets both of those criteria, the Lead Agency may not certify an EIR or approve a Negative Declaration or Mitigated Negative Declaration unless it makes a finding that: (a) The Lead Agency consulted with the affected school district or districts having jurisdiction over the school regarding the potential impact of the project on the school; and (b) The school district was given written notification of the project not less than thirty (30) days prior to the proposed certification of the EIR or approval of the Negative Declaration or Mitigated Negative Declaration. Implementation of this Local Guideline shall be consistent with the definitions and terms utilized in State CEQA Guidelines section 15186. Additionally, in its role as a Responsible Agency, the City should be aware that for projects involving the acquisition of a school site or the construction of a secondary or elementary school by a school district, the Negative Declaration, Mitigated Negative Declaration, or EIR prepared for the project may not be adopted or certified unless there is sufficient information in the entire record to determine whether any boundary of the school site is within 500 feet of the edge of the closest traffic lane of a freeway or other busy traffic corridor. If it is determined that the project involves the acquisition of a school site that is within 500 feet of the edge of the closest traffic lane of a freeway, or other busy traffic corridor, the Negative Declaration, Mitigated Negative Declaration, or EIR may not be adopted or certified unless the school board determines, through a health risk assessment pursuant to Section 44360(b)(2) of the Health and Safety Code and after considering any potential mitigation measures, that the air quality at the proposed project site does not present a significant health risk to pupils. (Reference: State CEQA Guidelines, § 15186.) 7.37 STATEMENT OF OVERRIDING CONSIDERATIONS. Before a project that has unmitigated significant adverse environmental effects can be approved, the decision -making body must adopt a Statement of Overriding Considerations. If the decision -making body finds in the Statement of Overriding Considerations that specific benefits of a proposed project outweigh the unavoidable adverse environmental effects, the adverse environmental effects may be considered "acceptable." 2023 t°y ounce ea ur a mes -JJ 22 — 33 es t2fr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT Accordingly, the Statement of Overriding Considerations allows the decision -making body to approve a project despite one or more unmitigated significant environmental impacts identified in the Final EIR. A Statement of Overriding Considerations can be made only if feasible project alternatives or mitigation measures do not exist to reduce the environmental impact(s) to a level of insignificance and the benefits of the project outweigh the adverse environmental effect(s). The feasibility of project alternatives or mitigation measures is determined by whether the project alternative or mitigation measure can be accomplished within a reasonable period of time, taking into account economic, environmental, social, legal and technological factors. Project benefits that are appropriate to consider in the Statement of Overriding Considerations include the economic, legal, environmental, technological and social value of the project. The City may also consider region -wide or statewide environmental benefits. Substantial evidence in the entire record must justify the decision -making body's findings and its use of the Statement of Overriding Considerations. If the decision -making body makes a Statement of Overriding Considerations, the Statement must be included in the record of the project approval and it should be referenced in the Notice of Determination. (Reference: State CEQA Guidelines, § 15093.) 7.38 MITIGATION MONITORING OR REPORTING PROGRAM FOR EIR. When making findings regarding an EIR, the City must do all of the following: (a) Adopt a reporting or monitoring program to assure that mitigation measures that are required to mitigate or avoid significant effects on the environment will be implemented by the project proponent or other responsible party in a timely manner, in accordance with conditions of project approval; (b) Make sure all conditions and mitigation measures are feasible and fully enforceable through permit conditions, agreements, or other measures. Such permit conditions, agreements, and measures must be consistent with applicable constitutional requirements such as the "nexus" and "rough proportionality" standards established by case law; and (c) Specify the location and the custodian of the documents which constitute the record of proceedings upon which the City based its decision in the resolution certifying the EIR. There is no requirement that the reporting or monitoring program be circulated for public review; however, the City may choose to circulate it for public comments along with the Draft EIR. Any mitigation measures required to mitigate or avoid significant effects on the environment shall be adopted and made fully enforceable, such as by being imposed as conditions of project approval. The adequacy of a mitigation monitoring program is determined by the "rule of reason." This means that a mitigation monitoring program does not need to provide every imaginable measure. It needs only to provide measures that are reasonably feasible and that are necessary to avoid significant impacts or to reduce the severity of impacts to a less -than -significant level. The mitigation monitoring or reporting program shall be designed to assure compliance with the mitigation measures during the implementation and construction of the project. If a 2023 t°y ounce ea ur a mes - 22 — 34 es t2fr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT Responsible Agency or Trustee Agency has required that certain conditions be incorporated into the project, the City may request that agency to prepare and submit a proposed reporting or monitoring program. The City shall also require that, prior to the close of the public review period for a Draft EIR, the Responsible or Trustee Agency submit detailed performance objectives for mitigation measures, or refer the City to appropriate, readily available guidelines or reference documents. Any mitigation measures submitted to the City by a Responsible or Trustee Agency shall be limited to measures that mitigate impacts to resources that are within the Responsible or Trustee Agency's authority. When a project is of statewide, regional, or area -wide significance, any transportation information resulting from the reporting or monitoring program required to be adopted by the City shall be submitted to the regional transportation planning agency where the project is located and to the Department of Transportation. The transportation planning agency and the Department of Transportation are required by law to adopt guidelines for the submittal of these reporting or monitoring programs, so the City may wish to tailor its submittal to such guidelines. Local agencies have the authority to levy fees sufficient to pay for this program. Therefore, the City may impose a program to charge project proponents fees to cover actual costs of program processing and implementation. The City may delegate reporting or monitoring responsibilities to an agency or to a private entity that accepts the delegation; however, until mitigation measures have been completed, the City remains responsible for ensuring that implementation of the mitigation measures occurs in accordance with the program. The City may choose whether its program will monitor mitigation, report on mitigation, or both. "Reporting" is defined as a written compliance review that is presented to the Board or an authorized staff person. A report may be required at various stages during project implementation or upon completion of the mitigation measure. Reporting is suited to projects that have readily measurable or quantitative mitigation measures or that already involve regular review. "Monitoring" is generally an ongoing or periodic process of project oversight. Monitoring is suited to projects with complex mitigation measures that may exceed the expertise of the City to oversee, are expected to be implemented over a period of time, or require careful implementation to assure compliance. At its discretion, the City may adopt standardized policies and requirements to guide individually adopted programs. Standardized policies or requirements for monitoring and reporting may describe, but are not limited to: (a) The relative responsibilities of various departments within the City for various aspects of the program; (b) The responsibilities of the project proponent; (c) Guidelines adopted by the City to govern preparation of programs; (d) General standards for determining project compliance with the mitigation measures and related conditions of approval; 2023(&tot y OUIICI ea ur a mes 22 — 135 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT (e) Enforcement procedures for noncompliance, including provisions for administrative appeal; and/or (f) A process for informing the Board and staff of the relative success of mitigation measures and using those results to improve future mitigation measures. When a project is of statewide, regional, or area -wide importance, any transportation information generated by a mitigation monitoring or reporting program must be submitted to the transportation planning agency in the region where the project is located, as well as to the Department of Transportation. (Reference: State CEQA Guidelines, § 15097.) 7.39 NOTICE OF DETERMINATION. After approval of a project for which the City is the Lead Agency, Staff shall cause a Notice of Determination (Form "F") to be prepared, filed, and posted. The Notice of Determination shall include the following information: (a) An identification of the project, including its common name, where possible, and its location. If the notice of determination is filed with the State Clearinghouse, the State Clearinghouse identification number for the draft EIR shall be provided. (b) A brief description of the project; (c) The City's name and the applicant's name (if any). If different from the applicant, the Notice of Determination shall further provide, if applicable, the identity of the person undertaking the project that is supported, in whole or in part, through contracts, grants, subsidies, loans, or other forms of assistance from one or more public agencies, or the identity of the person receiving a lease, permit, license, certificate, or other entitlement for use from one or more public agencies. (d) The date when the City approved the project; (e) Whether the project in its approved form with mitigation will have a significant effect on the environment; (f) A statement that an EIR was prepared and certified pursuant to the provisions of CEQA; (g) Whether mitigation measures were made a condition of the approval of the project, and whether a mitigation monitoring plan/program was adopted; (h) Whether findings were made and/or whether a Statement of Overriding Considerations was adopted for the project; and (i) The address where a copy of the EIR (with comments and responses) and the record of project approval may be examined by the general public. The Notice of Determination shall be filed with the Clerk of each county in which the project will be located within five (5) working days of project approval. (To determine the fees that must be paid with the filing of the Notice of Determination, see Local Guidelines Section 7.42 and the Staff Summary of the CEQA Process.) The County Clerk is required to post the Notice of Determination within twenty-four (24) hours of receipt. The Notice must be posted in the office of the Clerk for a minimum of thirty (30) days. Thereafter, the Clerk shall return the notice to the City with a notation of the period it was posted. The City shall retain the notice for not less than twelve (12) months. 2023(&tot uraes es gfr LLP y OUIC22-136 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT Simultaneously with the filing of the Notice of Determination with the Clerk, Staff shall cause a copy of such Notice to be posted at City Offices. If the project requires discretionary approval from a state agency, the Notice of Determination shall also be filed electronically with the Office of Planning and Research within five (5) working days of project approval, along with proof that the City has paid the County Clerk the DFW fee or a completed form from DFW documenting DFW's determination that the project will have no effect on fish and wildlife. (If the City submits the Notice of Determination in person, the City may bring an extra copy to be date stamped by OPR.) When a request is made for a copy of the Notice of Determination prior to the date on which the City approves the project, the copy must be mailed, first class postage prepaid, within five (5) days of the City's approval. If such a request is made following the City's approval of the project, then the copy should be mailed in the same manner as soon as possible. The recipients of such documents may be charged a fee reasonably related to the cost of providing the service. The City, when acting as lead agency, must post its Notice of Determination for a project on its website. For projects with more than one phase, Staff shall file a Notice of Determination for each phase requiring a discretionary approval. The filing and posting of a Notice of Determination with the Clerk, and, if necessary, with OPR, usually starts a thirty (30) day statute of limitations on court challenges to the approval under CEQA. When separate notices are filed for successive phases of the same overall project, the thirty (30) day statute of limitation to challenge the subsequent phase begins to run when the second notice is filed. Failure to file the Notice may result in a one hundred eighty (180) day statute of limitations. (Reference: Pub. Resources Code, §§ 21092.2, 21108; State CEQA Guidelines, § 15094.) 7.40 DISPOSITION OF A FINAL EIR. The City shall file a copy of the Final EIR with the appropriate planning agency of any city or county where significant effects on the environment may occur. The City shall also retain one or more copies of the Final EIR as a public record for a reasonable period of time. Finally, for private projects, the City may require that the project applicant provide a copy of the certified Final EIR to each Responsible Agency. (Reference: State CEQA Guidelines, § 15095.) 7.41 PRIVATE PROJECT COSTS. For private projects, the person or entity proposing to carry out the project shall be charged a reasonable fee to recover the estimated costs incurred by the City in preparing, circulating, and filing the Draft and Final EIRs, as well as all publication costs incident thereto. 7.42 FILING FEES FOR PROJECTS THAT AFFECT WILDLIFE RESOURCES. At the time a Notice of Determination for an EIR is filed with the County or Counties in which the project is located, a fee of $3,839.25, or the then applicable fee, shall be paid to the 2023 tot OU na calto a mes - Z2 — 37 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT Clerk for projects that will adversely affect fish or wildlife resources. These fees are collected by the Clerk on behalf of DFW. Only one filing fee is required for each project unless the project is tiered or phased and separate environmental documents are prepared. For projects where Responsible Agencies file separate Notices of Determination, only the Lead Agency is required to pay the fee. Note: County Clerks are authorized to charge a documentary handling fee for each project in addition to the Fish and Wildlife fees specified above. Refer to the Index in the Staff Summary to help determine the correct total amount of fees applicable to the project. For private projects, the City should pass these costs on to the project applicant. No fees are required for projects with "no effect" on fish or wildlife resources or for certain projects undertaken by the DFW and implemented through a contract with a non-profit entity or local government agency. (See Local Guidelines Section 6.24 for more information regarding a "no effect" determination.) 2023(&tot y OUIICI ea ur a mes - Z2 — 3H es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) TYPES OF EIRS 8. TYPES OF EIRS 8.01 EIRs GENERALLY. This chapter describes a number of examples of various EIRs tailored to different situations. All of these types of EIRs must meet the applicable requirements of Chapter 7 of these Local Guidelines. 8.02 TIERING. (a) Tiering Generally. "Tiering" refers to using the analysis of general matters contained in a previously certified broader EIR in later EIRs, Negative Declarations, or Mitigated Negative Declarations prepared for narrower projects. The later EIR, Negative Declaration, or Mitigated Negative Declaration may incorporate by reference the general discussions from the broader EIR and may concentrate solely on the issues specific to the later project. An Initial Study shall be prepared for the later project and used to determine whether a previously certified EIR may be used and whether new significant effects should be examined. Tiering does not excuse the City from adequately analyzing reasonably foreseeable significant environmental effects of a project, nor does it justify deferring analysis to a later tier EIR, Negative Declaration, or Mitigated Negative Declaration. However, the level of detail contained in a first - tier EIR need not be greater than that of the program, plan, policy, or ordinance being analyzed. When the City is using the tiering process in connection with an EIR for a large-scale planning approval, such as a general plan or component thereof (e.g., an area plan, specific plan or community plan), the development of detailed, site -specific information may not be feasible. Such site -specific information can be deferred, in many instances, until such time as the Lead Agency prepares a future environmental document in connection with a project of a more limited geographical scale, as long as deferral does not prevent adequate identification of significant effects of the planning approval at hand. (b) Identifying New Significant Impacts. When assessing whether there is a new significant cumulative effect for purposes of a subsequent tier environmental document, the Lead Agency shall consider whether the incremental effects of the project would be considerable when viewed in the context of past, present, and probable future projects. A Lead Agency may use only a valid CEQA document as a first -tier document. Accordingly, the City, in its role as Lead Agency, should carefully review the first -tier environmental document to determine whether or not the statute of limitations for challenging the document has run. If the statute of limitations has not expired, the City should use the first -tier document with caution and pay careful attention to the legal status of the document. If the first - tier document is subsequently invalidated, any later environmental document may also be defective. 2023 dtot ounce ca ur a mes - Z2 — 39 es �S r LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) TYPES OF EIRS (c) Infill Projects and Tiering. Certain "infill" projects may tier off of a previously certified EIR. An "infill" project is defined as a project with residential, retail, and/or commercial uses, a transit station, a school, or a public office building. It must be located in an urban area on a previously developed site or on an undeveloped site that is surrounded by developed uses. The project must be either consistent with land use planning strategies that achieve greenhouse gas ("GHG") emission reduction targets, feature a small walkable community project, or where a sustainable communities or alternative planning strategy has not yet been adopted for the area, include a residential density of at least 20 units per acre or a floor area ratio of at least 0.75. The project must also meet a number of standards related to energy efficiency that are not yet defined but which SB 226 directs the Office of Planning and Research to prepare. If an EIR was certified for a planning level decision by a city or county (such as a General Plan or Specific Plan), the scope of the CEQA review for a later "infill" project can be limited to those effects on the environment that: 1) are specific to the project or to the project site and were not addressed as significant effects in the prior EIR; or 2) substantial new information shows will be more significant than described in the prior EIR. When a project meets the definition of "infill" and either of the above conditions exist but a Mitigated Negative Declaration cannot be adopted, then the subsequent EIR for such a project need not consider alternative locations, densities, and building intensities or growth -inducing impacts. (d) Statement of Overriding Considerations. A Lead Agency may also tier off of a previously prepared Statement of Overriding Considerations if certain conditions are met. (See Local Guidelines Section 7.37.) (Reference: State CEQA Guidelines, § 15152.) 8.03 PROJECT EIR. The most common type of EIR examines the environmental impacts of a specific development project and focuses primarily on the changes in the environment that would result from the development project. This type of EIR must examine all phases of the project, including planning, construction, and operation. If the EIR for a redevelopment plan is a Project EIR, all public and private activities or undertakings pursuant to or in furtherance of the Redevelopment Plan shall constitute a single project, which shall be deemed approved at the time of the adoption of the Redevelopment Plan. Although the City will probably not act as a Lead Agency for a Redevelopment Plan, the City may act as a Responsible Agency. (Reference: State CEQA Guidelines, §§ 15161, 15180.) 2023 dtot ounce ca ur a mes - Z2 — 4O es �S r LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) TYPES OF EIRS 8.04 SUBSEQUENT EIR. A Subsequent EIR is required when a previous EIR has been prepared and certified, or a Negative Declaration or Mitigated Negative Declaration has been adopted, for a project and at least one of the three following situations occur: (a) Substantial changes are proposed in the project which will require major revisions of a previous EIR due to the identification of new significant environmental effects or a substantial increase in the severity of previously identified significant effects; (b) Substantial changes occur with respect to the circumstances under which the project is to be undertaken which will require major revisions of a previous EIR due to the identification of new significant environmental effects or a substantial increase in the severity of previously identified significant effects; or (c) New information, which was not known and could not have been known with the exercise of reasonable diligence at the time the previous EIR was certified as complete or the Negative Declaration/Mitigated Negative Declaration was adopted, becomes available and shows any of the following: (1) the project will have one or more significant effects not discussed in a previous EIR, Negative Declaration, or Mitigated Negative Declaration; (2) significant effects previously examined will be substantially more severe than shown in a previous EIR; (3) mitigation measures or alternatives previously found not to be feasible are in fact feasible and would substantially reduce one or more significant effects, but the project proponent declines to adopt the mitigation measures or alternatives; or (4) mitigation measures or alternatives which were not considered in a previous EIR would substantially lessen one or more significant effects on the environment, but the project proponent declines to adopt the mitigation measures or alternatives. A Subsequent EIR must receive the same circulation and review as the previous EIR received. As a potential tool to determine whether a Subsequent EIR is required, see Form J-1 of these Local Guidelines. In instances where the City is evaluating a modification or revision to an existing use permit, the City may consider only those environmental impacts related to the changes between what was allowed under the old permit and what is requested under the new permit. Only if these differential impacts fall within the categories described above may the City require additional environmental review. When the City is considering approval of a development project that is consistent with a general plan for which an EIR was completed, another EIR is required only if the project causes environmental effects peculiar to the parcel which were not addressed in the prior EIR or substantial new information shows the effects peculiar to the parcel will be more significant than described in the prior EIR. (Reference: State CEQA Guidelines, § 15162.) 2023 dtot Ana es gfr LLP u ot OUI22-141 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) TYPES OF EIRS 8.05 SUPPLEMENTAL EIR. The City may choose to prepare a Supplemental EIR, rather than a Subsequent EIR, if any of the conditions described in Local Guidelines Section 8.04 have occurred but only minor additions or changes would be necessary to make the previous EIR adequately apply to the project in the changed situation. To assist the City in making this determination, the decision -making body should request an Initial Study and/or a recommendation by Staff. The Supplemental EIR need contain only the information necessary to make the previous EIR adequate for the project as revised. A Supplemental EIR shall be given the same kind of notice and public review as is given to a Draft EIR but may be circulated by itself without recirculating the previous EIR. When the decision -making body decides whether to approve the project, it shall consider the previous EIR as revised by the Supplemental EIR. Findings shall be made for each significant effect identified in the Supplemental EIR. (Reference: State CEQA Guidelines, § 15163.) 8.06 ADDENDUM TO AN EIR. The City shall prepare an Addendum to a previously certified EIR, rather than a Subsequent or Supplemental EIR, only if changes or additions to the EIR are necessary, but none of the conditions described in Local Guidelines Section 8.04 or 8.05 calling for preparation of a Subsequent or Supplemental EIR have occurred. Since significant effects on the environment were addressed by findings in the original EIR, no new findings are required in the Addendum. An Addendum to an EIR need not be circulated for public review but should be included in or attached to the Final EIR. The decision -making body shall consider the Addendum with the Final EIR prior to making a decision on a project. A brief explanation of the decision not to prepare a Subsequent EIR or a Supplemental EIR should be included in the Addendum, the Lead Agency's findings on the project, or elsewhere in the record. This explanation must be supported by substantial evidence. (Reference: State CEQA Guidelines, § 15164.) 8.07 STAGED EIR. When a large capital project will require a number of discretionary approvals from governmental agencies and one of the approvals will occur more than two years before construction will begin, a Staged EIR may be prepared. The Staged EIR covers the entire project in a general form or manner. A Staged EIR should evaluate a proposal in light of current and contemplated plans and produce an informed estimate of the environmental consequences of an entire project. The particular aspect of the project before the City for approval shall be discussed with a greater degree of specificity. When a Staged EIR has been prepared, a Supplemental EIR shall be prepared when a later approval is required for the project and the information available at the time of the later approval 2023 dtot OU Ina ca ur a mes - Z2 — 42 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) TYPES OF EIRS would permit consideration of additional environmental impacts, mitigation measures, or reasonable alternatives to the project. (Reference: State CEQA Guidelines, § 15167.) 8.08 PROGRAM EIR. A Program EIR is an EIR that may be prepared on an integrated series of actions that are related either: (a) Geographically; (b) As logical parts in a chain of contemplated actions; (c) In connection with the issuance of rules, regulations, plans or other general criteria to govern the conduct of a continuing program; or (d) As individual projects carried out under the same authorizing statutory or regulatory authority and having generally similar environmental effects that can be mitigated in similar ways. An advantage of using a Program EIR is that it can "[a]llow the Lead Agency to consider broad policy alternatives and program wide mitigation measures at an early time when the agency has greater flexibility to deal with basic problems or cumulative impacts." (State CEQA Guidelines section 15168(b)(4).) A Program EIR is distinct from a Project EIR, as a Project EIR is prepared for a specific project and must examine in detail site -specific considerations. Program EIRs are commonly used in conjunction with the process of tiering. Tiering is the coverage of general matters in broader EIRs (such as on general plans or policy statements) with subsequent narrower EIRs. (State CEQA Guidelines section 15385; see also Local Guidelines Sections 8.02 and 11.73.) Tiering is proper "when it helps a public agency to focus upon the issues ripe for decision at each level of environmental review and in order to exclude duplicative analysis of environmental effects examined in previous environmental impact reports." (Pub. Res. Code, § 21093(a).) For example, the California Supreme Court has ruled that "CEQA does not mandate that a first -tier program EIR identify with certainty particular sources of water for second -tier projects that will be further analyzed before implementation during later stages of the program. Rather, identification of specific sources is required only at the second -tier stage when specific projects are considered." (In re Bay -Delta etc. (2008) 43 Cal. 4th 1143.) Subsequent activities in the program must be examined in light of the Program EIR to determine whether additional environmental documents must be prepared. Additional environmental review documents must be prepared if the proposed later project may arguably cause significant adverse effects on the environment. (Reference: State CEQA Guidelines, § 15168.) 8.09 USE OF A PROGRAM EIR WITH SUBSEQUENT EIRS AND NEGATIVE DECLARATIONS. A Program EIR can be used to simplify the task of preparing environmental documents on later activities in the program. The Program EIR can: 2023(&tot ot OUnCI ca ur a mes 22 — 143 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) TYPES OF EIRS (a) Provide the basis for an Initial Study to determine whether the later activity may have any significant effects; (b) Be incorporated by reference to deal with regional influences, secondary effects, cumulative impacts, broad alternatives and other factors that apply to the program as a whole; or (c) Focus an EIR on a later activity to permit discussion solely of new effects which had not been considered before. If a Program EIR is prepared for a redevelopment plan, subsequent activities in the redevelopment program will be subject to review if they would have effects that were not examined in the Program EIR. Where the later activities involve site -specific operations, the City should use a written checklist or similar device to document the evaluation of the site and the proposed activity to determine whether the environmental effects of the operation were within the scope of the Program EIR. If a later activity would have effects that were not examined in the Program EIR, a new Initial Study would need to be prepared leading to an EIR, Negative Declaration, or Mitigated Negative Declaration. That later analysis may tier from the Program EIR as provided in State CEQA Guidelines section 15152. If the City finds that no Subsequent EIR would be required, the City can approve the activity as being within the scope of the project covered by the Program EIR, and no new environmental document is required. (See Local Guidelines Section 8.04.) Whether a later activity is within the scope of a Program EIR is a factual question that the Lead Agency determines based on substantial evidence in the record. Factors that the Lead Agency may consider in making that determination include, but are not limited to, consistency of the later activity with the type of allowable land use, overall planned density and building intensity, geographic area analyzed for environmental impacts, and covered infrastructure, as described in the Program EIR. (Reference: State CEQA Guidelines, § 15168.) 8.10 USE OF AN EIR FROM AN EARLIER PROJECT. A single EIR may be used to describe more than one project when the projects involve substantially identical environmental impacts. Any environmental impacts peculiar to one of the projects must be separately set forth and explained. (Reference: State CEQA Guidelines, § 15165.) 8.11 MASTER EIR. A Master EIR is an EIR which may be prepared for: (a) A general plan (including elements and amendments); (b) A specific plan; (c) A project consisting of smaller individual projects to be phased; (d) A regulation to be implemented by subsequent projects; (e) A project to be carried out pursuant to a development agreement; (f) A project pursuant to or furthering a redevelopment plan; (g) A state highway or mass transit project subject to multiple reviews or approvals; or 2023 dtot OUf1Cl ca ur a mes 22 — 144 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) TYPES OF EIRS (h) A regional transportation plan or congestion management plan. A Master EIR must do both of the following: (a) Describe and present sufficient information about anticipated subsequent projects within its scope, including their size, location, intensity, and scheduling; and (b) Preliminarily describe potential impacts of anticipated subsequent projects for which insufficient information is available to support a full impact assessment. The City and Responsible Agencies identified in the Master EIR may use the Master EIR to limit environmental review of subsequent projects. However, the Lead Agency for the subsequent project must prepare an Initial Study to determine whether the subsequent project and its significant environmental effects were included in the Master EIR. If the Lead Agency for the subsequent project finds that the subsequent project will have no additional significant environmental effect and that no new mitigation measures or alternatives may be required, it may prepare written findings to that effect without preparing a new environmental document. When the Lead Agency makes this finding, it must provide public notice of the availability of its proposed finding for public review and comment in the same manner as if it were providing public notice of the availability of a draft EIR. (See Sections 15177(d) and 15087 of the State CEQA Guidelines and Section 7.25 of these Local Guidelines.) A previously certified Master EIR cannot be relied upon to limit review of a subsequent project if: (a) A project not identified in the certified Master EIR has been approved and that project may affect the adequacy of the Master EIR for the subsequent project now under consideration; or (b) The Master EIR was certified more than five (5) years before the filing of an application for the subsequent project, unless the City reviews the adequacy of the Master EIR and: (1) Finds that, since the Master EIR was certified, no substantial changes have occurred that would cause the subsequent project to have significant environmental impacts, and there is no new information that the subsequent project would have significant environmental impacts; or (2) Prepares an Initial Study and either certifies a Subsequent or Supplemental EIR or adopts a Mitigated Negative Declaration that addresses any substantial changes or new information that would cause the subsequent project to have potentially significant environmental impacts. The certified subsequent or supplemental EIR must either be incorporated into the previously certified Master EIR or the City must identify any deletions, additions or other modifications to the previously certified Master EIR in the new document. The City may include a section in the subsequent or supplemental EIR that identifies these changes to the previously certified Master EIR. 2023 dtot OU Ina ca ur a mes 22 — 145 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) TYPES OF EIRS When the Lead Agency cannot find that the subsequent project will have no additional significant environmental effect and no new mitigation measures or alternatives will be required, it must prepare either a Mitigated Negative Declaration or an EIR for the subsequent project. (Reference: State CEQA Guidelines, § 15175.) 8.12 FOCUSED EIR. A Focused EIR is an EIR for a subsequent project identified in a Master EIR. It may be used only if the City finds that the Master EIR's analysis of cumulative, growth -inducing, and irreversible significant environmental effects is adequate for the subsequent project. The Focused EIR must incorporate by reference the Master EIR. The Focused EIR must analyze additional significant environmental effects not addressed in the Master EIR and any new mitigation measures or alternatives not included in the Master EIR. "Additional significant effects on the environment" means those project -specific effects on the environment that were not addressed as significant effects on the environment in the Master EIR. The Focused EIR must also examine the following: (a) Significant effects discussed in the Master EIR for which substantial new information exists that shows those effects may be more significant than described in the Master EIR; (b) Those mitigation measures found to be infeasible in the Master EIR for which substantial new information exists that shows the effects may be more significant than described in the Master EIR; and (c) Those mitigation measures found to be infeasible in the Master EIR for which substantial new information exists that shows those measures may now be feasible. The Focused EIR need not examine the following effects: (a) Those that were mitigated through Master EIR mitigation measures; or (b) Those that were examined in the Master EIR in sufficient detail to allow project -specific mitigation or for which mitigation was found to be the responsibility of another agency. A Focused EIR may be prepared for a multifamily residential project not exceeding 100 units or a mixed use residential project not exceeding 100,000 square feet even though the project was not identified in a Master EIR, if the following conditions are met: (a) The project is consistent with a general plan, specific plan, community plan, or zoning ordinance for which an EIR was prepared within five (5) years of the Focused EIR's certification; (b) The project does not require the preparation of a Subsequent or Supplemental EIR; and (c) The parcel is surrounded by immediately contiguous urban development, was previously developed with urban uses, or is within one-half mile of a rail transit station. A Focused EIR for these projects should be limited to potentially significant effects that are project -specific and/or which substantial new information shows will be more significant than 2023 dtot OU Ina ca ur a mes 22 — 146 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) TYPES OF EIRS described in the Master EIR. No discussion shall be required of alternatives to the project, cumulative impacts of the project, or the growth -inducing impacts of the project. (Reference: State CEQA Guidelines, § 15179.5.) 8.13 SPECIAL REQUIREMENTS FOR REDEVELOPMENT PROJECTS. An EIR for a redevelopment plan may be a Master EIR, Program EIR or Project EIR. An EIR for a redevelopment plan must specify whether it is a Master EIR, a Program EIR or a Project EIR. Normally, the City will not be a Lead Agency for a redevelopment plan. However, if the City is a Responsible Agency on such a project, the City should endeavor to ensure that the county and/or applicable city as the case may be, as Lead Agency, analyzes these impacts in accordance with CEQA. If a Program EIR is prepared for a redevelopment plan, subsequent activities in the redevelopment program will be subject to review if they would have effects that were not examined in the Program EIR. The Lead Agency should use a written checklist or similar device to document the evaluation of the site and the proposed activity to determine whether the environmental effects of the operation were indeed covered in the Program EIR. If the Lead Agency finds that no new effects could occur, no new mitigation measures would be required or that State CEQA Guidelines sections 15162 and 15163 do not otherwise apply, the Lead Agency can approve the activity as being within the scope of the project covered by the Program EIR, and no new environmental document is required. If the EIR for a redevelopment plan is a Project EIR, all public and private activities or undertakings pursuant to or in furtherance of the Redevelopment Plan shall constitute a single project, which shall be deemed approved at the time of the adoption of the Redevelopment Plan. Once certified, no subsequent EIRs will be needed unless required by State CEQA Guidelines sections 15162 or 15163. If a Master EIR is prepared for a redevelopment plan, subsequent projects will be subject to review if they would have effects that were not examined in the Master EIR. If no new effects could occur or no new mitigation measures would be required, the Lead Agency can approve the activity as being within the scope of the project covered by the Master EIR, and no new environmental document is required. (Reference: State CEQA Guidelines, § 15180.) 2023 tot OU Ina Wealur a mes - 22 — 47 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING 9. AFFORDABLE HOUSING 9.01 STREAMLINED, MINISTERIAL APPROVAL PROCESS FOR AFFORDABLE HOUSING PROJECTS The legislature has provided reforms and incentives to facilitate and expedite the approval and construction of affordable housing. (a) An applicant may submit an application for a development that is subject to the streamlined, ministerial approval process and is not subject to a conditional use permit or any other non -legislative discretionary approval if the development satisfies all of the following objective planning standards: (i) The development is a multifamily housing development that contains two or more residential units. (ii) The development is located on a site that satisfies the following: (A) A site that is a legal parcel or parcels located in a city if, and only if, the city boundaries include some portion of either an urbanized area or urban cluster, as designated by the United States Census Bureau, or, for unincorporated areas, a legal parcel or parcels wholly within the boundaries of an urbanized area or urban cluster, as designated by the United States Census Bureau. (B) A site in which at least 75 percent of the perimeter of the site adjoins parcels that are developed with urban uses. For the purposes of this section, parcels that are only separated by a street or highway shall be considered to be adjoined. (C))(1) A site that meets the requirements of clause (2) and satisfies any of the following: (I) The site is zoned for residential use or residential mixed -use development. (II) The site has a general plan designation that allows residential use or a mix of residential and nonresidential uses. (III) The site is zoned for office or retail commercial use and meets the requirements of Gov. Code section 65852.24. (2) At least two-thirds of the square footage of the development designated for residential use. Additional density, floor area, and units, and any other concession, incentive, or waiver of development standards granted pursuant to the Density Bonus Law in Government Code section 65915 shall be included in the square footage calculation. The square footage of the development shall not include underground space, such as basements or underground parking garages. 2023 dtot OU Ina ca ur a mes - 22 — 4H es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING (iii) If the development contains units that are subsidized, the development proponent already has recorded, or is required by law to record, a land use restriction or covenant providing that any lower or moderate income housing units required pursuant to subparagraph B of Paragraph (iv) of this Subsection shall remain available at affordable housing costs or rent to persons and families of lower or moderate income for the following applicable minimum durations: (A) Fifty-five years for units that are rented. (B) Forty-five years for units that are owned. (iv) The development satisfies subparagraphs (A) and (B) below: (A) The development is located in a locality that the department has determined is subject to this subparagraph on the basis that the number of units that have been issued building permits, as shown on the most recent production report received by the department, is less than the locality's share of the regional housing needs, by income category, for that reporting period. A locality shall remain eligible under this subparagraph until the department's determination for the next reporting period. A locality shall be subject to this subparagraph if it has not submitted an annual housing element report to the department pursuant to paragraph (2) of subdivision (a) of Section 65400 for at least two consecutive years before the development submitted an application for approval under this section. (B) The development is subject to a requirement mandating a minimum percentage of below market rate housing based on one of the following: (1) The locality did not submit its latest production report to the department by the time period required by Government Code section 65400, or that production report reflects that there were fewer units of above moderate -income housing approved than were required for the regional housing needs assessment cycle for that reporting period. In addition, if the project contains more than 10 units of housing, the project does either of the following: A. The project dedicates a minimum of 10 percent of the total number of units, before calculating any density bonus, to housing affordable to households making at or below 80 percent of the area median income. However, if the locality has adopted a local ordinance that requires that greater than 10 percent of the units be dedicated to housing affordable to households making below 80 percent of the area median income, that local ordinance applies. B. If the project is located within the San Francisco Bay area, the project, in lieu of complying with subclause (A), dedicates 20 percent of the total number of units, before calculating any density bonus, to 2023 dtot OU Ina ca ur a mes - Z2 — 49 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING housing affordable to households making below 120 percent of the area median income with the average income of the units at or below 100 percent of the area median income. However, a local ordinance adopted by the locality applies if it requires greater than 20 percent of the units be dedicated to housing affordable to households making at or below 120 percent of the area median income, or requires that any of the units be dedicated at a level deeper than 120 percent. In order to comply with this subclause, the rent or sale price charged for units that are dedicated to housing affordable to households between 80 percent and 120 percent of the area median income shall not exceed 30 percent of the gross income of the household. For purposes of this subclause, "San Francisco Bay area" means the entire area within the territorial boundaries of the Counties of Alameda, Contra Costa, Marin, Napa, San Mateo, Santa Clara, Solano, and Sonoma, and the City and County of San Francisco. (2) The locality did not submit its latest production report to the department by the time period required by Government Code section 65400, or that production report reflects that there were fewer units of housing affordable to households making at or below 80 percent of the area median income that were issued building permits than were required for the regional housing needs assessment cycle for that reporting period, and the project seeking approval dedicates 50 percent of the total number of units, before calculating any density bonus, to housing affordable to households making at or below 80 percent of the area median income. However, if the locality has adopted a local ordinance that requires that greater than 50 percent of the units be dedicated to housing affordable to households making at or below 80 percent of the area median income, that ordinance applies. (3) The locality did not submit its latest production report to the department by the time period required by Government Code section 65400, or if the production report reflects that there were fewer units of housing affordable to any income level described in clause (i) or (ii) that were issued building permits than were required for the regional housing needs assessment cycle for that reporting period, the project seeking approval may choose between utilizing clause (i) or (ii). (C)(i) A development proponent that uses a unit of affordable housing to satisfy the requirements of subparagraph (B) may also satisfy any other local or state requirement for affordable housing, including local ordinances or the Density Bonus Law in Government Code section 65915, provided that the development proponent complies with the applicable requirements in the state or local law. (C)(ii) A development proponent that uses a unit of affordable housing to satisfy any other state or local affordability requirement may also 2023 tAna es gfr LLP uot OUI22-150 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING satisfy the requirements of subparagraph (B), provided that the development proponent complies with applicable requirements of subparagraph (B). (C)(iii) A development proponent may satisfy the affordability requirements of subparagraph (B) with a unit that is restricted to households with incomes lower than the applicable income limits required in subparagraph (B). (v) The development, excluding any additional density or any other concessions, incentives, or waivers of development standards granted pursuant to the Density Bonus Law in Government Code section 65915, is consistent with objective zoning standards and objective design review standards in effect at the time that the development is submitted to the local government pursuant to this section. For purposes of this paragraph, "objective zoning standards" and "objective design review standards" mean standards that involve no personal or subjective judgment by a public official and are uniformly verifiable by reference to an external and uniform benchmark or criterion available and knowable by both the development applicant or proponent and the public official prior to submittal. These standards may be embodied in alternative objective land use specifications adopted by a city or county, and may include, but are not limited to, housing overlay zones, specific plans, inclusionary zoning ordinances, and density bonus ordinances, subject to the following: (A) A development shall be deemed consistent with the objective zoning standards related to housing density, as applicable, if the density proposed is compliant with the maximum density allowed within that land use designation, notwithstanding any specified maximum unit allocation that may result in fewer units of housing being permitted. (B) In the event that objective zoning, general plan, or design review standards are mutually inconsistent, a development shall be deemed consistent with the objective zoning standards pursuant to this section if the development is consistent with the standards set forth in the general plan. (C) A project that satisfies the requirements of Government Code section 65852.24 shall be deemed consistent with objective zoning standards, objective design standards, and objective subdivision standards if the project is consistent with the provisions of subdivision (b) of Government Code section 65852.24 and if none of the square footage in the project is designated for hotel, motel, bed and breakfast inn, or other transient lodging use, except for a residential hotel. For purposes of this subdivision, "residential hotel" shall have the same meaning as defined in Section 50519 of the Health and Safety Code. (vi) The development is not located on a site that is any of the following: 2023 dtot ounce ca ur a mes - 22 — 5 es �S r LLr Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING (A) A coastal zone, as defined in Division 20 (commencing with Section 30000) of the Public Resources Code. (B) Either prime farmland or farmland of statewide importance, as defined pursuant to United States Department of Agriculture land inventory and monitoring criteria, as modified for California, and designated on the maps prepared by the Farmland Mapping and Monitoring Program of the Department of Conservation, or land zoned or designated for agricultural protection or preservation by a local ballot measure that was approved by the voters of that jurisdiction. (C) Wetlands, as defined in the United States Fish and Wildlife Service Manual. (D) Within a very high fire hazard severity zone, as determined by the Department of Forestry and Fire Protection pursuant to Section 51178, or within a high or very high fire hazard severity zone as indicated on maps adopted by the Department of Forestry and Fire Protection pursuant to Section 4202 of the Public Resources Code. This subparagraph does not apply to sites excluded from the specified hazard zones by a local agency, pursuant to subdivision (b) of Government Code section 51179, or sites that have adopted fire hazard mitigation measures pursuant to existing building standards or state fire mitigation measures applicable to the development. (E) A hazardous waste site that is listed pursuant to Government Code section 65962.5 or a hazardous waste site designated by the Department of Toxic Substances Control pursuant to Section 25356 of the Health and Safety Code, unless either of the following apply: (i) The site is an underground storage tank site that received a uniform closure letter issued pursuant to subdivision (g) of Section 25296.10 of the Health and Safety Code based on closure criteria established by the State Water Resources Control Board for residential use or residential mixed uses. This section does not alter or change the conditions to remove a site from the list of hazardous waste sites listed pursuant to Government Code section 65962.5; or (ii) The State Department of Public Health, State Water Resources Control Board, Department of Toxic Substances Control, or a local agency making a determination pursuant to subdivision (c) of Section 25296.10 of the Health and Safety Code, has otherwise determined that the site is suitable for residential use or residential mixed uses. (F) Within a delineated earthquake fault zone as determined by the State Geologist in any official maps published by the State Geologist, unless the development complies with applicable seismic protection building code standards 2023 tot tVotaunAna ca ur a mes - 22 — rJ2 es e�s gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING adopted by the California Building Standards Commission under the California Building Standards Law, Health and Safety Code section 18901, and by any local building department under Chapter 12.2 (commencing with Section 8875) of Division 1 of Title 2 of the Government Code. (G) Within a flood plain as determined by maps promulgated by the Federal Emergency Management Agency, unless the development has been issued a flood plain development permit pursuant to Code of Federal Regulations section 59.1. (H) Within a floodway as determined by maps promulgated by the Federal Emergency Management Agency, unless the development has received a no -rise certification in accordance with Code of Federal Regulations section 60.3(d)(3). (I) Lands identified for conservation in an adopted natural community conservation plan pursuant to the Natural Community Conservation Planning Act, Fish and Game Code section 2800, habitat conservation plan pursuant to the federal Endangered Species Act of 1973 (16 U.S.C. Sec. 1531 et seq.), or other adopted natural resource protection plan. (J) Habitat for protected species identified as candidate, sensitive, or species of special status by state or federal agencies, fully protected species, or species protected by the federal Endangered Species Act of 1973 (16 U.S.C. Sec. 1531 et seq.), the California Endangered Species Act, Fish and Game Code section 2050, or the Native Plant Protection Act, Fish and Game Code section 1900. (K) Lands under conservation easement. (vii) The development is not located on a site where any of the following apply: (A) The development would require the demolition of the following types of housing: (1) Housing that is subject to a recorded covenant, ordinance, or law that restricts rents to levels affordable to persons and families of moderate, low, or very low income. (2) Housing that is subject to any form of rent or price control through a public entity's valid exercise of its police power. (3) Housing that has been occupied by tenants within the past 10 years. 2023 dtot OU Ina ca ur a mes 22 — 153 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING (B) The site was previously used for housing that was occupied by tenants that was demolished within 10 years before the development proponent submits an application under this section. (C) The development would require the demolition of a historic structure that was placed on a national, state, or local historic register. (D) The property contains housing units that are occupied by tenants, and units at the property are, or were, subsequently offered for sale to the general public by the subdivider or subsequent owner of the property. (viii) The applicant has done both of the following, as applicable: (A) Certified to the locality that either of the following is true, as applicable: (1) The entirety of the development is a public work for purposes of Labor Code section 1720. (2) If the development is not in its entirety a public work, that all construction workers employed in the execution of the development will be paid at least the general prevailing rate of per diem wages for the type of work and geographic area, as determined by the Director of Industrial Relations pursuant to Labor Code sections 1773 and 1773.9, except that apprentices registered in programs approved by the Chief of the Division of Apprenticeship Standards may be paid at least the applicable apprentice prevailing rate. If the development is subject to this subparagraph, then for those portions of the development that are not a public work all of the following shall apply: (I) The development proponent shall ensure that the prevailing wage requirement is included in all contracts for the performance of the work. (II) All contractors and subcontractors shall pay to all construction workers employed in the execution of the work at least the general prevailing rate of per diem wages, except that apprentices registered in programs approved by the Chief of the Division of Apprenticeship Standards may be paid at least the applicable apprentice prevailing rate. (III) Except as provided in subsection (V), all contractors and subcontractors shall maintain and verify payroll records pursuant to Labor Code section 1776 and make those records available for inspection and copying as provided in therein. 2023 dtot ounce ca ur a mes - 22 — 54 es �S r LLr Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING (IV) Except as provided in subsection (V), the obligation of the contractors and subcontractors to pay prevailing wages may be enforced by the Labor Commissioner through the issuance of a civil wage and penalty assessment pursuant to Labor Code section 1741, which may be reviewed pursuant to Labor Code section 1742, within 18 months after the completion of the development, by an underpaid worker through an administrative complaint or civil action, or by a joint labor-management committee through a civil action under Labor Code section 1771.2. If a civil wage and penalty assessment is issued, the contractor, subcontractor, and surety on a bond or bonds issued to secure the payment of wages covered by the assessment shall be liable for liquidated damages pursuant to Labor Code section 1742.1. (V) Subsections (III) and (IV) shall not apply if all contractors and subcontractors performing work on the development are subject to a project labor agreement that requires the payment of prevailing wages to all construction workers employed in the execution of the development and provides for enforcement of that obligation through an arbitration procedure. For purposes of this clause, "project labor agreement" has the same meaning as set forth in Public Contract Code section 2500(b)(1). (VI) Notwithstanding Labor Code section 1773.1, subdivision (c), the requirement that employer payments not reduce the obligation to pay the hourly straight time or overtime wages found to be prevailing shall not apply if otherwise provided in a bona fide collective bargaining agreement covering the worker. The requirement to pay at least the general prevailing rate of per diem wages does not preclude use of an alternative workweek schedule adopted pursuant to Labor Code section 511 or 514. (13)(1) For developments for which any of the following conditions apply, certified that a skilled and trained workforce shall be used to complete the development if the application is approved: (I) On and after January 1, 2018, until December 31, 2021, the development consists of 75 or more units that are not 100 percent subsidized affordable housing and will be located within a jurisdiction located in a coastal or bay county with a population of 225,000 or more. (II) On and after January 1, 2023, until December 31, 2025, the development consists of 50 or more units that are not 100 percent subsidized affordable housing and will be located within a jurisdiction located in a coastal or bay county with a population of 225,000 or more. 2023 tot OU Ina ca ur a mes 22 — 155 es es g r LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING (III) On and after January 1, 2018, until December 31, 2019, the development consists of 75 or more units that are not 100 percent subsidized affordable housing and will be located within a jurisdiction with a population of fewer than 550,000 and that is not located in a coastal or bay county. (IV) On and after January 1, 2020, until December 31, 2021, the development consists of more than 50 units and will be located within a jurisdiction with a population of fewer than 550,000 and that is not located in a coastal or bay county. (V) On and after January 1, 2023, until December 31, 2025, the development consists of more than 25 units and will be located within a jurisdiction with a population of fewer than 550,000 and that is not located in a coastal bay county. (2) For purposes of this section, "skilled and trained workforce" has the same meaning as provided in the Public Contract Code section 2600. (3) If the development proponent has certified that a skilled and trained workforce will be used to complete the development and the application is approved, the following shall apply: (I) The applicant shall require in all contracts for the performance of work that every contractor and subcontractor at every tier will individually use a skilled and trained workforce to complete the development. (II) Every contractor and subcontractor shall use a skilled and trained workforce to complete the development. (III) Except as provided in subdivision (IV), the applicant shall provide to the locality, on a monthly basis while the development or contract is being performed, a report demonstrating compliance with Public Contract Code section 2600. A monthly report provided to the locality pursuant to this subclause shall be a public record under the California Public Records Act. (Government Code section 7920.000, et seq.) and shall be open to public inspection. An applicant that fails to provide a monthly report demonstrating compliance with Public Contract Code section 2600 shall be subject to a civil penalty of ten thousand dollars ($10,000) per month for each month for which the report has not been provided. Any contractor or subcontractor that fails to use a skilled and trained workforce shall be subject to a civil penalty of two hundred dollars ($200) per day for each worker employed in contravention of the skilled and trained workforce requirement. Penalties may be assessed by the Labor Commissioner within 18 months of completion of the development using the same procedures for 2023 dtot ounce ca ur a mes - Z2 — 5G es �S r LLr Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING issuance of civil wage and penalty assessments pursuant to Labor Code section 1741, and may be reviewed pursuant to the same procedures in Labor Code section 1742. Penalties shall be paid to the State Public Works Enforcement Fund. (IV) Subdivision (III) shall not apply if all contractors and subcontractors performing work on the development are subject to a project labor agreement that requires compliance with the skilled and trained workforce requirement and provides for enforcement of that obligation through an arbitration procedure. For purposes of this subparagraph, "project labor agreement" has the same meaning as set forth in Public Contract Code section 2500(b)(1). (C) Notwithstanding subparagraphs (A) and (B) above, a development that is subject to approval pursuant to this section is exempt from any requirement to pay prevailing wages or use a skilled and trained workforce if it meets both of the following: (1) The project includes 10 or fewer units. (2) The project is not a public work for purposes of Labor Code section 1720. (ix) The development did not or does not involve a subdivision of a parcel that is, or, notwithstanding this section, would otherwise be, subject to the Subdivision Map Act (Government Code section 66410, et seq.) or any other applicable law authorizing the subdivision of land, unless either of the following apply: (A) The development has received or will receive financing or funding by means of a low-income housing tax credit and is subject to the requirement that prevailing wages be paid pursuant to subparagraph (A) of paragraph (viii). (B) The development is subject to the requirement that prevailing wages be paid, and a skilled and trained workforce used, pursuant to paragraph (h). (x) The development shall not be upon an existing parcel of land or site that is governed under the Mobilehome Residency Law, Civil Code section 798, the Recreational Vehicle Park Occupancy Law, Civil Code section 799.20, the Mobilehome Parks Act, Health and Safety Code section 18200, or the Special Occupancy Parks Act, Health and Safety Code section 18860. (b)(i)(A)(1) Before submitting an application for a development subject to the streamlined, ministerial approval process described in this section, the development proponent shall submit to the local government a notice of its intent to submit an application. The notice of intent shall be in the form of a preliminary application that includes all of the information described in Section 65941.1 of the Government Code, as that section read on January 1, 2020. 2023 ty OUIICI ea ur a mes - Z2 — 57 es es gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING (2) Upon receipt of a notice of intent to submit an application, the local government shall engage in a scoping consultation regarding the proposed development with any California Native American tribe that is traditionally and culturally affiliated with the geographic area, as described in Section 21080.3.1 of the Public Resources Code, of the proposed development. In order to expedite compliance with this subdivision, the local government shall contact the Native American Heritage Commission for assistance in identifying any California Native American tribe that is traditionally and culturally affiliated with the geographic area of the proposed development. (3) The timeline for noticing and commencing a scoping consultation in accordance with this subdivision shall be as follows: A. The local government shall provide a formal notice of a development proponent's notice of intent to submit an application to each California Native American tribe that is traditionally and culturally affiliated with the geographic area of the proposed development within 30 days of receiving that notice of intent. The formal notice provided pursuant to this subclause shall include all of the following: 1. A description of the proposed development. 2. The location of the proposed development. 3. An invitation to engage in a scoping consultation in accordance with this subdivision. B. Each California Native American tribe that receives a formal notice pursuant to this clause shall have 30 days from the receipt of that notice to accept the invitation to engage in a scoping consultation. C. If the local government receives a response accepting an invitation to engage in a scoping consultation pursuant to this subdivision, the local government shall commence the scoping consultation within 30 days of receiving that response. (B) The scoping consultation shall recognize that California Native American tribes traditionally and culturally affiliated with a geographic area have knowledge and expertise concerning the resources at issue and shall take into account the cultural significance of the resource to the culturally affiliated California Native American tribe. (C) The parties to a scoping consultation conducted pursuant to this subdivision shall be the local government and any California Native American tribe traditionally and culturally affiliated with the geographic area of the proposed development. More than one California Native American tribe traditionally and culturally affiliated with the geographic area of the proposed development may participate in the scoping consultation. However, the local government, upon the request of any California Native American tribe 2023 ty OUIICI ea ur a mes - Z2 — 5H es es gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING traditionally and culturally affiliated with the geographic area of the proposed development, shall engage in a separate scoping consultation with that California Native American tribe. The development proponent and its consultants may participate in a scoping consultation process conducted pursuant to this subdivision if all of the following conditions are met: (1) The development proponent and its consultants agree to respect the principles set forth in this subdivision. (2) The development proponent and its consultants engage in the scoping consultation in good faith. (3) The California Native American tribe participating in the scoping consultation approves the participation of the development proponent and its consultants. The California Native American tribe may rescind its approval at any time during the scoping consultation, either for the duration of the scoping consultation or with respect to any particular meeting or discussion held as part of the scoping consultation. (D) The participants to a scoping consultation pursuant to this subdivision shall comply with all of the following confidentiality requirements: (1) Government Code section 7927.000; Government Code section 7927.005; Public Resources Code section 21083.3, subdivision (c); (4) State CEQA Guidelines section 15120, subdivision (d); and any additional confidentiality standards adopted by the California Native American tribe participating in the scoping consultation. (E) CEQA does not apply to the scoping consultation conducted pursuant to this subdivision. (b)(ii)(A) If, after concluding the scoping consultation, the parties find that no potential tribal cultural resource would be affected by the proposed development, the development proponent may submit an application for the proposed development that is subject to the streamlined, ministerial approval process described in this section (B) If, after concluding the scoping consultation, the parties find that a potential tribal cultural resource could be affected by the proposed development and an enforceable agreement is documented between the California Native American tribe and the local government on methods, measures, and conditions for tribal cultural resource treatment, the development proponent may submit the application for a development subject to the streamlined, ministerial approval process described in this section. The local government shall ensure that the enforceable agreement is included in the requirements and conditions for the proposed development. (C) If, after concluding the scoping consultation, the parties find that a potential tribal cultural resource could be affected by the proposed development and an enforceable agreement is not documented between the California Native American tribe and the local 2023(&tot uraes - es gfr LLP y OUICZ2— 59 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING government regarding methods, measures, and conditions for tribal cultural resource treatment, the development shall not be eligible for the streamlined, ministerial approval process described in this section. (D) For purposes of this paragraph, a scoping consultation shall be deemed to be concluded if either of the following occur: (1) The parties to the scoping consultation document an enforceable agreement concerning methods, measures, and conditions to avoid or address potential impacts to tribal cultural resources that are or may be present. (2) One or more parties to the scoping consultation, acting in good faith and after reasonable effort, conclude that a mutual agreement on methods, measures, and conditions to avoid or address impacts to tribal cultural resources that are or may be present cannot be reached. (E) If the development or environmental setting substantially changes after the completion of the scoping consultation, the local government shall notify the California Native American tribe of the changes and engage in a subsequent scoping consultation if requested by the California Native American tribe. (b)(iii) A local government may only accept an application for streamlined, ministerial approval pursuant to this section if one of the following applies: (A) A California Native American tribe that received a formal notice of the development proponent's notice of intent to submit an application pursuant to this section did not accept the invitation to engage in a scoping consultation. (B) The California Native American tribe accepted an invitation to engage in a scoping consultation pursuant to this section but substantially failed to engage in the scoping consultation after repeated documented attempts by the local government to engage the California Native American tribe. (C) The parties to a scoping consultation pursuant to this subdivision find that no potential tribal cultural resource will be affected by the proposed development. (D) A scoping consultation between a California Native American tribe and the local government has occurred and resulted in an agreement. (b)(iv) A project shall not be eligible for the streamlined, ministerial process described in this section if any of the following apply: (A) There is a tribal cultural resource that is on a national, state, tribal, or local historic register list located on the site of the project. 2023 t°a uraes - es S fr LLr y ounc22— GO � Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING (B) There is a potential tribal cultural resource that could be affected by the proposed development and the parties to a scoping consultation conducted pursuant to this subdivision do not document an enforceable agreement on methods, measures, and conditions for tribal cultural resource treatment, as described in this section. (C) The parties to a scoping consultation conducted pursuant to this subdivision do not agree as to whether a potential tribal cultural resource will be affected by the proposed development. (b)(v)(A) If, after a scoping consultation conducted pursuant to this subdivision, a project is not eligible for the streamlined, ministerial process described in this section for any or all of the following reasons, the local government shall provide written documentation of that fact, and an explanation of the reason for which the project is not eligible, to the development proponent and to any California Native American tribe that is a party to that scoping consultation: (1) There is a tribal cultural resource that is on a national, state, tribal, or local historic register list located on the site of the project. (2) The parties to the scoping consultation have not documented an enforceable agreement on methods, measures, and conditions for tribal cultural resource treatment. (3) The parties to the scoping consultation do not agree as to whether a potential tribal cultural resource will be affected by the proposed development. (b)(v)(B) The written documentation provided to a development proponent pursuant to this paragraph shall include information on how the development proponent may seek a conditional use permit or other discretionary approval of the development from the local government. (b)(vi) This section is not intended, and shall not be construed, to limit consultation and discussion between a local government and a California Native American tribe pursuant to other applicable law, confidentiality provisions under other applicable law, the protection of religious exercise to the fullest extent permitted under state and federal law, or the ability of a California Native American tribe to submit information to the local government or participate in any process of the local government. (b)(vii) For purposes of this subdivision: (A) "Consultation" means the meaningful and timely process of seeking, discussing, and considering carefully the views of others, in a manner that is cognizant of all parties' cultural values and, where feasible, seeking agreement. Consultation between local governments and Native American tribes shall be conducted in a way that is mutually respectful of each party's sovereignty. 2023(&tot y OUIICI ea ur a mes 22 — 161 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING Consultation shall also recognize the tribes' potential needs for confidentiality with respect to places that have traditional tribal cultural importance. A lead agency shall consult the tribal consultation best practices described in the "State of California Tribal Consultation Guidelines: Supplement to the General Plan Guidelines" prepared by the Office of Planning and Research. (B) "Scoping" means the act of participating in early discussions or investigations between the local government and California Native American tribe, and the development proponent if authorized by the California Native American tribe, regarding the potential effects a proposed development could have on a potential tribal cultural resource, as defined in Section 21074 of the Public Resources Code, or California Native American tribe, as defined in Section 21073 of the Public Resources Code. (b) (viii) This subdivision (b) shall not apply to any project that has been approved under the streamlined, ministerial approval process provided under this section before September 25, 2020. (c) (i) If a local government determines that a development submitted pursuant to this section is consistent with the objective planning standards specified in subdivision (a) and pursuant to paragraph (iii) of this subdivision, it shall approve the development. If a local government determines that a development submitted pursuant to this section is in conflict with any of the objective planning standards specified in subdivision (a), it shall provide the development proponent written documentation of which standard or standards the development conflicts with, and an explanation for the reason or reasons the development conflicts with that standard or standards, as follows: (A) Within 60 days of submittal of the development to the local government pursuant to this section if the development contains 150 or fewer housing units. (B) Within 90 days of submittal of the development to the local government pursuant to this section if the development contains more than 150 housing units. (ii) If the local government fails to provide the required documentation pursuant to paragraph (1), the development shall be deemed to satisfy the objective planning standards specified in subdivision (a). (iii) For purposes of this section, a development is consistent with the objective planning standards specified in subdivision (a) if there is substantial evidence that would allow a reasonable person to conclude that the development is consistent with the objective planning standards. The local government shall not determine that a development, including an application for a modification under subdivision (g), is in conflict with the objective planning standards on the basis that application materials are not included, if the application contains substantial evidence that would allow a reasonable person to conclude that the development is consistent with the objective planning standards. 2023 t°y ounce ea ur a mes - 22 — G2 es �S fr LLr Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING (d) (i) Any design review or public oversight of the development may be conducted by the local government's planning commission or any equivalent board or commission responsible for review and approval of development projects, or the city council or board of supervisors, as appropriate. That design review or public oversight shall be objective and be strictly focused on assessing compliance with criteria required for streamlined projects, as well as any reasonable objective design standards published and adopted by ordinance or resolution by a local jurisdiction before submission of a development application, and shall be broadly applicable to development within the jurisdiction. That design review or public oversight shall be completed, and if the development is consistent with all objective standards, the local government shall approve the development as follows and shall not in any way inhibit, chill, or preclude the ministerial approval provided by this section or its effect, as applicable: (A) Within 90 days of submittal of the development to the local government pursuant to this section if the development contains 150 or fewer housing units. (B) Within 180 days of submittal of the development to the local government pursuant to this section if the development contains more than 150 housing units. (ii) If the development is consistent with the requirements of subparagraph (A) or (B) of paragraph (ix) of subdivision (a) and is consistent with all objective subdivision standards in the local subdivision ordinance, an application for a subdivision pursuant to the Subdivision Map Act (Division 2 (commencing with Government Code section 66410)) shall be exempt from the requirements of CEQA and shall be subject to the public oversight timelines set forth in paragraph (i). (iii) If a local government determines that a development submitted pursuant to this section is in conflict with any of the standards imposed pursuant to paragraph (i), it shall provide the development proponent written documentation of which objective standard or standards the development conflicts with, and an explanation for the reason or reasons the development conflicts with that objective standard or standards consistent with the timelines described in paragraph (i) of subdivision (c). (e) (i) Notwithstanding any other law, a local government, whether or not it has adopted an ordinance governing parking requirements in multifamily developments, shall not impose parking standards for a streamlined development that was approved pursuant to this section in any of the following instances: (A) The development is located within one-half mile of public transit. (B) The development is located within an architecturally and historically significant historic district. (C) When on -street parking permits are required but not offered to the occupants of the development. 2023 t°y ounce ea ur a mes - 22 — G3 es �S fr LLr Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING (D) When there is a car share vehicle located within one block of the development. (ii) If the development does not fall within any of the categories described in paragraph (1), the local government shall not impose parking requirements for streamlined developments approved pursuant to this section that exceed one parking space per unit. (f) (i) If a local government approves a development pursuant to this section, then, notwithstanding any other law, that approval shall not expire if the project satisfies both of the following requirements: (A) The project includes public investment in housing affordability, beyond tax credits. (B) At least 50 percent of the units are affordable to households making at or below 80 percent of the area median income. (ii) If a local government approves a development pursuant to this section and the project does not satisfy the requirements of subparagraphs (A) and (B) of paragraph (f)(i), that approval shall remain valid for three years from the date of the final action establishing that approval, or if litigation is filed challenging that approval, from the date of the final judgment upholding that approval. Approval shall remain valid for a project provided construction activity, including demolition and grading activity, on the development site has begun pursuant to a permit issued by the local jurisdiction and is in progress. For purposes of this subdivision, "in progress" means one of the following: (A) The construction has begun and has not ceased for more than 180 days. (B) If the development requires multiple building permits, an initial phase has been completed, and the project proponent has applied for and is diligently pursuing a building permit for a subsequent phase, provided that once it has been issued, the building permit for the subsequent phase does not lapse. (C) Notwithstanding subparagraph (ii), a local government may grant a project a one-time, one-year extension if the project proponent can provide documentation that there has been significant progress toward getting the development construction ready, such as filing a building permit application. 2023(&tot uraes es gfr LLP y OUIC22-164 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING (iii) If the development proponent requests a modification pursuant to subdivision (g), then the time during which the approval shall remain valid shall be extended for the number of days between the submittal of a modification request and the date of its final approval, plus an additional 180 days to allow time to obtain a building permit. If litigation is filed relating to the modification request, the time shall be further extended during the pendency of the litigation. The extension required by this paragraph shall only apply to the first request for a modification submitted by the development proponent. (g) (i)(A) A development proponent may request a modification to a development that has been approved under the streamlined, ministerial approval process provided in subdivision (b) if that request is submitted to the local government before the issuance of the final building permit required for construction of the development. (i)(B) Except as provided in paragraph (g)(iiii), the local government shall approve a modification if it determines that the modification is consistent with the objective planning standards specified in subdivision (a) that were in effect when the original development application was first submitted. (i)(C) The local government shall evaluate any modifications requested pursuant to this subdivision for consistency with the objective planning standards using the same assumptions and analytical methodology that the local government originally used to assess consistency for the development that was approved for streamlined, ministerial approval pursuant to subdivision (b). (i)(D) A guideline that is adopted or amended by the Department of Housing and Community Development after a development is approved through the streamlined, ministerial approval process described in subdivision (b) shall not be used as a basis to deny proposed modifications. (ii) Upon receipt of the development proponent's application requesting a modification, the local government shall determine if the requested modification is consistent with the objective planning standard and either approve or deny the modification request within 60 days after submission of the modification, or within 90 days if design review is required. (iii) Notwithstanding paragraph (g)(i), the local government may apply objective planning standards adopted after the development application was first submitted to the requested modification in any of the following instances: (A) The development is revised such that the total number of residential units or total square footage of construction changes by 15 percent 2023(&tot y OUIICI ea ur a mes 22 — 165 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING or more. The calculation of the square footage of construction changes shall not include underground space. (B) The development is revised such that the total number of residential units or total square footage of construction changes by 5 percent or more and it is necessary to subject the development to an objective standard beyond those in effect when the development application was submitted in order to mitigate or avoid a specific, adverse impact as that term is defined in subparagraph (A) of paragraph (1) of subdivision 0) of Government Code section 65589.5, upon the public health or safety and there is no feasible alternative method to satisfactorily mitigate or avoid the adverse impact. The calculation of the square footage of construction changes shall not include underground space. (C) Objective building standards contained in the California Building Standards Code (Title 24 of the California Code of Regulations), including, but not limited to, building plumbing, electrical fire, and grading codes, may be applied to all modification applications that are submitted prior to the first building permit application. Those standards may be applied to modification applications submitted after first building permit application if agreed to by the development proponent. (iv) The local government's review of a modification request pursuant to this subdivision shall be strictly limited to determining whether the modification, including any modification to previously approved density bonus concessions or waivers, modify the development's consistency with the objective planning standards and shall not reconsider prior determinations that are not affected by the modification. (h) (i) A local government shall not adopt or impose any requirement, including, but not limited to, increased fees or inclusionary housing requirements, that applies to a project solely or partially on the basis that the project is eligible to receive ministerial or streamlined approval pursuant to this section. (ii) A local government shall issue a subsequent permit required for a development approved under this section if the application substantially complies with the development as it was approved pursuant to subdivision (b). Upon receipt of an application for a subsequent permit, the local government shall process the permit without unreasonable delay and shall not impose any procedure or requirement that is not imposed on projects that are not approved pursuant to this section. The local government shall consider the application for subsequent permits based upon the objective standards specified in any state or local laws that were in effect when the original development application was submitted, unless the development 2023(&tot uraes es gfr LLP y OUIC22-166 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING proponent agrees to a change in objective standards. Issuance of subsequent permits shall implement the approved development, and review of the permit application shall not inhibit, chill, or preclude the development. For purposes of this paragraph, a "subsequent permit" means a permit required subsequent to receiving approval under subdivision (b), and includes, but is not limited to, demolition, grading, and building permits and final maps, if necessary. (i) (i) This section shall not affect a development proponent's ability to use any alternative streamlined by right permit processing adopted by a local government, including the provisions of Government Code section 65583.2(i). (ii) This section shall not prevent a development from also qualifying as a housing development project entitled to the protections of Government Code section 65589.5. This paragraph does not constitute a change in, but is declaratory of, existing law. 0) CEQA does not apply to actions taken by a state agency, local government, or the San Francisco Bay Area Rapid Transit District to: (i) Lease, convey, or encumber land owned by the local government or the San Francisco Bay Area Rapid Transit District or to facilitate the lease, conveyance, or encumbrance of land owned by the local government, or for the lease of land owned by the San Francisco Bay Area Rapid Transit District in association with an eligible TOD project, as defined pursuant to Section 29010.1 of the Public Utilities Code, nor to any decisions associated with that lease, or to provide financial assistance to a development that receives streamlined approval pursuant to this section that is to be used for housing for persons and families of very low, low, or moderate income, as defined in Section 50093 of the Health and Safety Code. (ii) Approve improvements located on land owned by the local government or the San Francisco Bay Area Rapid Transit District that are necessary to implement a development that receives streamlined approval pursuant to this section that is to be used for housing for persons and families of very low, low, or moderate income, as defined in Section 50093 of the Health and Safety Code. (k) For purposes of this section the following definitions shall apply: (1) "Affordable housing cost" has the same meaning as set forth in section 50052.5 of the Health and Safety Code. (2) (A) Subject to the qualification provided by subparagraph (B), 2023 t°y ounce ea ur a mes - 22 — G7 es �S fr LLr Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING "affordable rent" has the same meaning as set forth in Section 50063 of the Health and Safety Code. (B) For a development for which an application pursuant to this section was submitted prior to January 1, 2019, that includes 500 units or more of housing, and that dedicates 50 percent of the total number of units to housing affordable to households making at, or below, 80 percent of the area median income, affordable rent for at least 30 percent of these units shall be set at an affordable rent as defined in subparagraph (k)(1), and "affordable rent" for the remainder of these units shall mean a rent that is consistent with the maximum rent levels for a housing development that receives an allocation of state or federal low-income housing tax credits from the California Tax Credit Allocation Committee. (3) "Department" means the Department of Housing and Community Development. (4) "Development proponent" means the developer who submits an application for streamlined approval pursuant to this section. (5) "Completed entitlements" means a housing development that has received all the required land use approvals or entitlements necessary for the issuance of a building permit. (6) "Locality" or "local government" means a city, including a charter city, a county, including a charter county, or a city and county, including a charter city and county. (7) "Moderate income housing units" means housing units with an affordable housing cost or affordable rent for persons and families of moderate income, as that term is defined in Section 50093 of the Health and Safety Code. (8) "Production report" means the information reported pursuant to 'subparagraph (D) of paragraph (2) of subdivision (a) of Government Code section 65400. (9) "State agency" includes every state office, officer, department, division, bureau, board, and commission, but does not include the California State University or the University of California. (10) "Subsidized" means units that are price or rent restricted such that the units are affordable to households meeting the definitions of very low and lower income, as defined in Sections 50079.5 and 50105 of the Health and Safety Code. 2023 t°y ounce ea ur a mes - 22 — GH es �S fr LLr Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING (11) "Reporting period" means either of the following: (A) The first half of the regional housing needs assessment cycle. (B) The last half of the regional housing needs assessment cycle. (12) "Urban uses" means any current or former residential, commercial, public institutional, transit or transportation passenger facility, or retail use, or any combination of those uses. (1) The determination of whether an application for a development is subject to the streamlined ministerial approval process provided by subdivision (b) is not a "project" under CEQA. (m) This section shall remain in effect until January 1, 2026. (Reference: Gov. Code, § 65913.4.) 9.02 MINISTERIAL APPROVAL PROCESS FOR URBAN LOT SPLITS AND HOUSING DEVELOPMENTS WITH NO MORE THAN TWO RESIDENTIAL UNITS WITHIN A SINGLE-FAMILY RESIDENTIAL ZONE (SB 9) (a) A proposed housing development containing no more than two residential units within a single-family residential zone shall be considered ministerially, without discretionary review or a hearing, and shall therefore not be subject to CEQA, if the proposed housing development meets all of the following requirements: (1) The parcel subject to the proposed housing development is located within a city, the boundaries of which include some portion of either an urbanized area or urban cluster, as designated by the United States Census Bureau, or for unincorporated areas, a legal parcel wholly within the boundaries of an urbanized area or urban cluster, as designated by the United States Census Bureau. (2) The parcel is not located on a site that is any of the following: (A) Either prime farmland or farmland of statewide importance, as defined pursuant to United States Department of Agriculture land inventory and monitoring criteria, as modified for California, and designated on the maps prepared by the Farmland Mapping and Monitoring Program of the Department of Conservation, or land zoned or designated for agricultural protection or preservation by a local ballot measure that was approved by the voters of that jurisdiction; (B) Wetlands, as defined in the United States Fish and Wildlife Service Manual, Part 660 FW 2 (June 21, 1993); 2023 t°y ounce ea ur a mes - 22 — G9 es �S fr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING (C) Within a very high fire hazard severity zone, as determined by the Department of Forestry and Fire Protection pursuant to Government Code section 51178, or within a high or very high fire hazard severity zone as indicated on maps adopted by the Department of Forestry and Fire Protection pursuant to Section 4202 of the Public Resources Code —unless the parcel is a site excluded from the specified hazard zone by a local agency, or is a site that has adopted fire hazard mitigation measures pursuant to existing building standards or state fire mitigation measures applicable to the development; (D) A hazardous waste site that is listed pursuant to Government Code section 65962.5 or a hazardous waste site designated by the Department of Toxic Substances Control pursuant to Section 25356 of the Health and Safety Code, unless the State Department of Public Health, State Water Resources Control Board, or Department of Toxic Substances Control has cleared the site for residential use or residential mixed uses; (E) Within a delineated earthquake fault zone as determined by the State Geologist in any official maps published by the State Geologist, unless the development complies with applicable seismic protection building code standards adopted by the California Building Standards Commission under the California Building Standards Law, and by any local building department; (F) Within a special flood hazard area subject to inundation by the 1 percent annual chance flood (100-year flood) as determined by the Federal Emergency Management Agency in any official maps published by the Federal Emergency Management Agency; (G) Within a regulatory floodway as determined by the Federal Emergency Management Agency in any official maps published by the Federal Emergency Management Agency, unless the development has received a no -rise certification; (H) Lands identified for conservation in an adopted natural community conservation plan pursuant to the Natural Community Conservation Planning Act, habitat conservation plan pursuant to the federal Endangered Species Act of 1973, or other adopted natural resources protection plan; (I) Habitat for protected species identified as candidate, sensitive, or species of special status by state or federal agencies, fully protected species, or species protected by the federal Endangered Species Act of 1973, the California Endangered Species Act, or the Native Plant Protection Act; or lands under conservation easement; or 2023(&tot uraes - es gfr LLP y OUIC22— TO Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING (J) Lands under conservation easement. (3) Notwithstanding any provision of this section or any local law, the proposed housing development would not require demolition or alteration of any of the following types of housing: (A) Housing that is subject to a recorded covenant, ordinance, or law that restricts rents to levels affordable to persons and families of moderate, low, or very low income; (B) Housing that is subject to any form of rent or price control through a public entity's valid exercise of its police power; (C) Housing that has been occupied by a tenant in the last three years. (4) The parcel subject to the proposed housing development is not a parcel on which an owner of residential real property has exercised the owner's rights to withdraw accommodations from rent or lease within 15 years before the date that the development proponent submits an application. (5) The proposed housing development does not allow the demolition of more than 25 percent of the existing exterior structural walls, unless the housing development meets at least one of the following conditions: (A) If a local ordinance so allows; or (B) The site has not been occupied by a tenant in the last three years (6) The development is not located within a historic district or property included on the State Historic Resources Inventory, as defined in Section 5020.1 of the Public Resources Code, or within a site that is designated or listed as a city or county landmark or historic property or district pursuant to a city or county ordinance. Other regulations governing the approval of a housing development under this section are set forth in Government Code section 65852.21(a). (b) Notwithstanding any other provision of local law, a local agency shall ministerially approve, as set forth in this section, a parcel map for an urban lot split —and such urban lot split shall therefore not be subject to CEQA—only if the local agency determines that the parcel map for the urban lot split meets all of the following requirements: (1) The parcel map subdivides an existing parcel to create no more than two new parcels of approximately equal lot area provided that one parcel shall not be smaller than 40 percent of the lot area of the original parcel proposed for subdivision. 2023 t°y ounce ea ur a mes - 22 — 7 (OBest�S fr LLr Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING (2) Both newly created parcels are no smaller than 1,200 square feet, except that a local agency may by ordinance adopt a smaller minimum lot size subject to ministerial approval. (3) The parcel being subdivided meets all of the following requirements: (A) The parcel is located within a single-family residential zone. (B) The parcel subject to the proposed urban lot split is located within a city, the boundaries of which include some portion of either an urbanized area or urban cluster, as designated by the United States Census Bureau, or, for unincorporated areas, a legal parcel wholly within the boundaries of an urbanized area or urban cluster, as designated by the United States Census Bureau. (C) The parcel is not located on a site enumerated in Paragraph (a)(2) above. (D) The proposed urban lot split would not require demolition or alteration of any of the following types of housing: (i) Housing that is subject to a recorded covenant, ordinance, or law that restricts rents to levels affordable to persons and families of moderate, low, or very low income. (ii) Housing that is subject to any form of rent or price control through a public entity's valid exercise of its police power. (iii) A parcel or parcels on which an owner of residential real property has exercised the owner's rights to withdraw accommodations from rent or lease within 15 years before the date that the development proponent submits an application. (iv) Housing that has been occupied by a tenant in the last three years. (E) The parcel is not located within a historic district or property included on the State Historic Resources Inventory, as defined in Section 5020.1 of the Public Resources Code, or within a site that is designated or listed as a city or county landmark or historic property or district pursuant to a city or county ordinance. (F) The parcel has not been established through prior exercise of an urban lot split as provided for in this section. (G) Neither the owner of the parcel being subdivided nor any person acting in concert with the owner has previously subdivided an 2023(&tot y OUIICI ea ur a mes - 22 — 72 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING adjacent parcel using an urban lot split as provided for in this section. Other regulations governing the approval of an urban lot split under this section are set forth in Government Code section 65852.21(b). 9.03 APPROVAL OF ORDINANCE TO ZONE ANY PARCEL FOR UP TO 10 UNITS OF RESIDENTIAL DENSITY PER PARCEL IN CERTAIN CIRCUMSTANCES (SB 10) (a) A local government may adopt an ordinance to zone a parcel for up to 10 units of residential density per parcel, at a height specified by the local government in the ordinance, if the parcel is located in a transit -rich area or an urban infill site. This subsection shall not apply to either of the following: (1) Parcels located within a very high fire hazard severity zone, as determined by the Department of Forestry and Fire Protection pursuant to Government Code section 51178, or within a high or very high fire hazard severity zone as indicated on maps adopted by the Department of Forestry and Fire Protection pursuant to Section 4202 of the Public Resources Code. This paragraph does not apply to sites that have adopted fire hazard mitigation measures pursuant to existing building standards or state fire mitigation measures applicable to the development. (2) Any local restriction enacted or approved by a local initiative that designates publicly owned land as open -space land, as defined in subdivision (h) of Section 65560, or for park or recreational purposes. (b) An ordinance adopted in accordance with this section, and any resolution to amend the jurisdiction's General Plan, ordinance, or other local regulation adopted to be consistent with that zoning ordinance, shall not constitute a "project" under CEQA. (c) Notwithstanding any other law that allows ministerial or by right approval of a development project or that grants an exemption from CEQA, a residential or mixed -use residential project consisting of more than 10 new residential units on one or more parcels that are zoned pursuant to an ordinance adopted under this section shall not be approved ministerially or by right and shall not be exempt from CEQA. This subdivision, however, shall not apply to a project located on a parcel or parcels that are zoned pursuant to an ordinance adopted under this section, but subsequently rezoned without regard to this section. A subsequent ordinance adopted to rezone the parcel or parcels shall not be exempt from CEQA. Any environmental review conducted to adopt the subsequent ordinance shall consider the change in the zoning applicable to the parcel or parcels before they were zoned or rezoned pursuant to the ordinance adopted under this section. Other regulations governing the approval of an ordinance under this section are set forth in Government Code section 65913.5. 2023 t°y ounce ea ur a mes - 22 — 73 es �S fr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING 9.04 HOUSING SUSTAINABILITY DISTRICTS. The Planning and Zoning Law requires a city or county to adopt a general plan for land use development within its boundaries. The general plan must contain seven mandatory elements, including a housing element. Existing law provides for various reforms and incentives intended to facilitate and expedite the construction of affordable housing. Senate Bill 73 authorizes a city, county, or city and county, including a charter agency, to establish by ordinance a housing sustainability district that meets specified requirements, including authorizing residential use within the district through the ministerial issuance of a permit. The agency is authorized to apply to the Department of Housing and Community Development for approval of a zoning incentive payment and requires the agency to provide specified information about the proposed housing sustainability district ordinance. The department is required to approve a zoning incentive payment if the ordinance meets the above -described requirements and the agency's housing element is in compliance with specified law. A city, county, or city and county with a housing sustainability district would be entitled to a zoning incentive payment, subject to appropriation of funds for that purpose, and require that one-half of the amount be paid when the department approves the zone and one-half of the amount be paid when the department verifies that permits for the construction of the units have issued within the zone, provided that the city, county, or city and county has received a certificate of compliance for the applicable year. If the agency reduces the density of sites within the district from specified levels set forth in the Senate Bill 73, the agency would be required to return the full amount of zoning incentive payments it has received to the department. The bill also authorizes a developer to develop a project in a housing sustainability district in accordance with the already existing land use approval procedures that would otherwise apply to the parcel in the absence of the establishment of the housing sustainability district pursuant to its provisions, as provided. As it relates specifically to CEQA, a Lead Agency designating a housing sustainability district is required to prepare an EIR pursuant to Government Code section 66201 to identify and mitigate, to the extent feasible, environmental impacts resulting from the designation. The EIR shall identify mitigation measures that may be undertaken by housing projects in the housing sustainability district to mitigate the environmental impacts identified in the EIR. Housing projects undertaken in the housing sustainability districts that meet specified requirements, including if the project satisfies certain design review standards applicable to development projects within the district provided the project is "complementary to adjacent buildings and structures and is consistent with the [agency's] general plan," are exempt under CEQA. 9.05 INTERIM MOTEL HOUSING PROJECTS. "Interim motel housing projects" are statutorily exempt from CEQA. A project is exempt from CEQA as an "interim motel housing project" where the project consists of the conversion of a structure with a certificate of occupancy as a motel, hotel, residential hotel, or hostel to supportive or transitional housing and the conversion meets at least one of the following conditions: (1) the conversion does not result in the expansion of more than 10 percent of the floor area of any individual living unit in the structure; and (2) the conversion does not result in any significant effects relating to traffic, noise, air quality, or water quality. 2023 t°y ounce ea ur a mes - 22 — 74 es �S fr LLr Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING If the City determines that a project is exempt from CEQA as an interim motel housing project, it must file a Notice of Exemption with the State Clearinghouse. (Reference: Pub. Resources Code, § 21080.50 [in effect until January 1, 2025].) 9.06 SUPPORTIVE HOUSING AND "NO PLACE LIKE HOME" PROJECTS. A decision by the City to seek funding from, or the Department of Housing and Community Development's awarding of funds pursuant to, the "No Place Like Home Program" (set forth in Part 3.9 of Division 5 of the Welfare and Institutions Code, commencing with Section 5849.1) does not constitute a "project" under CEQA. "Supportive housing" in areas where multifamily and mixed uses are permitted may be a "use by right" and thus exempt from CEQA if the supportive housing project meets certain criteria set forth in Government Code section 65651. A "supportive housing" project is a project that provides housing with no limit on length of stay, that is occupied by persons within the target populationi.e., persons with disabilities, families who are homeless, or homeless youth —and that is linked to onsite or offsite services that assist the supportive housing resident to retain housing, improve their health status, and maximize their ability to live and, when possible, work in the community. A policy by a city or county to approve as a use by right proposed housing developments with a limit higher than 50 units does not constitute a "project" under CEQA. To see the requirements of the exemptions relating to supportive housing, please see Government Code section 65651. If a No Place Like Home project is not exempt from CEQA under Government Code section 65651, the development applicant may request, within 10 days after the City determines the type of environmental documentation required for the project under CEQA, that the City prepare and certify the record of proceeding for the environmental review of the No Place Like Home project in accordance with Public Resources Code section 21186. If the City approves or determines to carry out a No Place Like Home project that is subject to CEQA, the City shall file a notice of that approval or determination in accordance with the requirements of Public Resources Code section 21151, subdivision (a), except that the Notice of Determination shall be filed within two working days after the approval or determination becomes final. Likewise, if the City approves or determines to carry out a No Place Like Home project that is not subject to CEQA, the City shall file a Notice of Exemption in accordance with the requirements of Public Resources Code section 21152, subdivision (b), except that the Notice of Exemption shall be filed within two working days after the approval or determination becomes final. (Reference: Pub. Resources Code, § 21163, et seq.; Gov. Code, § 65651; Health & Safety Code, § 50675.14.) 9.07 SHELTER CRISIS AND EMERGENCY HOUSING. An action taken by certain cities, counties, or state agencies to lease, convey, or encumber land owned by a city or county —or an action to facilitate the lease, conveyance, or encumbrance of land owned by the local government —for, or to provide financial assistance to, a homeless 2023 tauraes - es gfr LLPy OUIC22— 7J 01/2 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING shelter constructed pursuant to the provisions of Government Code section 8698.4 is statutorily exempt from CEQA. This narrow exception applies to specified efforts to assist specified cities or counties that have declared a shelter crisis and seek to build a homeless shelter. To see all the requirements of this exemption, please see Government Code section 8698.4. (Reference: Gov. Code, § 8698.4 [in effect until January 1, 2023].) 9.08 AFFORDABLE HOUSING DEVELOPMENTS IN COMMERCIAL ZONES. A proposed affordable multifamily housing development project is subject to streamlined, ministerial review and is not subject to CEQA if it meets the following requirements: 1. One hundred percent of the units within the development project, excluding managers' units, must be dedicated to lower income households at an affordable cost, as defined by Section 50052.5 of the Health and Safety Code, or an affordable rent set in an amount consistent with the rent limits established by the California Tax Credit Allocation Committee. The units must be subject to a recorded deed restriction for a period of 55 years for rental units and 45 years for owner -occupied units. 2. The proposed development must meet applicable objective zoning standards, objective subdivision standards, and objective design review standards as further defined in Government Code section 65912.113(f) & (g). 3. The proposed housing development must meet certain density requirements set forth in Government Code section 65583.2(c)(3). 4. The project must be located in a zone where office, retail, or parking are a principally permitted use. 5. At least 75 percent of the perimeter of the project site must adjoin parcels that are developed with urban uses. Parcels that are only separated by a street or highway shall be considered adjoined. 6. The project may not be located on a site or adjoined to any site where more than one-third of the square footage on the site is dedicated to industrial use. 7. The project site must be located on a legal parcel or parcels that are either (a) in a city where the city boundaries include some portion of either an urbanized area or urban cluster, as designated by the United States Census Bureau; or (b) in an unincorporated area, and the legal parcel or parcels are wholly within the boundaries of an urbanized area or urban cluster, as designated by the United States Census Bureau. 8. None of the proposed housing may be located within 500 feet of a freeway. 9. None of the proposed housing may be located within 3,200 feet of a facility that actively extracts or refines oil or natural gas. 2023(&tot y OUIICI ea ur a mes - 22 — 7G es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING 10. The project may not be located on a site that qualifies as either prime farmland or farmland of statewide importance. 11. The project site may not be located in wetlands. 12. The project site may not be located in a very high fire hazard severity zone. 13. The project site may not be located on a hazardous waste site, with limited exceptions as set forth in Government Code section 65913.4(a)(6)(E). 14. The project site may not be located within a delineated earthquake fault zone, unless the development complies with applicable seismic protection building code standards as set forth in Government Code section 65913.4(a)(6)(F). 15. The project may not be located within a special flood hazard area subject to inundation by the 1 percent annual chance flood (100-year flood) as determined by the Federal Emergency Management Agency ("FEMA"). 16. The project site may not be located within a regulatory floodway as determined by FEMA, with limited exceptions as set forth in Government Code section 65913.4(a)(6)(H). 17. The project site may not be located on lands identified for conservation in an adopted natural community conservation plan pursuant to the Natural Community Conservation Planning Act, habitat conservation plan pursuant to the federal Endangered Species Act, or other adopted natural resource protection plan. 18. The project site may not be located on habitat for protected species identified as candidate, sensitive, or species of special status by state or federal agencies, fully protected species, or species protected by the federal Endangered Species Act, the California Endangered Species Act, or the Native Plant Protection Act. 19. The project site may not be located on lands under conservation easement. 20. The project site may not be located on an existing parcel of land or site that is governed under the Mobilehome Residency Law, the Recreational Vehicle Park Occupancy Law, the Mobilehome Parks Act, or the Special Occupancy Parks Act. 21. For a project proposed on a site within a neighborhood plan area, the applicable neighborhood plan must permit multifamily housing development on the site. Additional requirements apply to projects within a neighborhood plan area as of January 1, 2024, as set forth in Government Code section 65912.113(i). 22. For a project proposed on a vacant site, the project may not result in significant and unavoidable impacts to tribal cultural resources on the site. 23. The development proponent must complete a Phase I Environmental Site Assessment, and the proponent must undertake additional measures if a 2023(&tot uraes - es gfr LLP y OUICZ2— 77 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING recognized environmental condition is found as set forth in Government Code section 65912.113(c). A project approved under this section must meet certain labor standards, as set forth in Government Code section 65912.130, et seq. For example, a private housing development project under this section is subject to a requirement that all construction workers employed in the execution of the development be paid at least the general prevailing rate of per diem wages for the type of work and geographic area, as determined by the Director of Industrial Relations. (Reference: Gov. Code, § 65912.110, et seq.) 9.09 MIXED -INCOME HOUSING DEVELOPMENTS ALONG COMMERCIAL CORRIDORS. A proposed multifamily housing development project is subject to streamlined, ministerial review and is not subject to CEQA if it meets the following requirements: 1. The proposed development project must meet all of the following affordability criteria, as set forth in greater detail in Government Code section 65912.122: (a)(1) A rental housing development shall include either of the following: (A) Eight percent of the units for very low income households and 5 percent of the units for extremely low income households; or (B) Fifteen percent of the units for lower income households. (2) The development proponent must agree to, and the local government must ensure, the continued affordability of all affordable rental units included pursuant to this section for 55 years. (b)(1) An owner -occupied housing development shall include either of the following: (A) Thirty percent of the units must be offered at an affordable housing cost, as defined in Section 50052.5 of the Health and Safety Code, to moderate -income households; or (B) Fifteen percent of the units must be offered at an affordable housing cost, as defined in Section 50052.5 of the Health and Safety Code, to lower income households. (2) The development proponent must agree to, and the local government must ensure, the continued affordability of all affordable rental units included pursuant to this section for 45 years. (c) If the local government has a local affordable housing requirement, the housing development project shall comply with all of the following: 2023(&tot uraes es gfr LLP y OUIC22— 7H Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING (1) The development project shall include the percentage of affordable units required by this section or the local requirement, whichever is higher. (2) The development project shall meet the lowest income targeting in either policy. (3) If the local affordable housing requirement requires greater than 15 percent of the units to be dedicated for lower income households and does not require the inclusion of units affordable to very low and extremely low income households, then the rental housing development shall do both of the following: (A) Include 8 percent of the units for very low income households and 5 percent of the units for extremely low income households; and (B) Fifteen percent of units affordable to lower income households shall be subtracted from the percentage of units required by the local policy at the highest required affordability level. (d) Affordable units in the development project shall have the same bedroom and bathroom count ratio as the market rate units, be equitably distributed within the project, and have the same type or quality of appliances, fixtures, and finishes. 2. The project site must abut a commercial corridor and have frontage along the commercial corridor of at least 50 feet. 3. The project site may not be greater than 20 acres. 4. The project must be located in a zone where office, retail, or parking are a principally permitted use. 5. At least 75 percent of the perimeter of the project site must adjoin parcels that are developed with urban uses. Parcels that are only separated by a street or highway shall be considered adjoined. 6. The project may not be located on a site or adjoined to any site where more than one-third of the square footage on the site is dedicated to industrial use. 7. The project site must be located on a legal parcel or parcels that are either (a) in a city where the city boundaries include some portion of either an urbanized area or urban cluster, as designated by the United States Census Bureau; or (b) in an unincorporated area, and the legal parcel or parcels are wholly within the boundaries of an urbanized area or urban cluster, as designated by the United States Census Bureau. 2023(&tot uraes - es gfr LLP y OUIC22— 79 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING 8. The proposed development must meet applicable objective zoning standards, objective subdivision standards, and objective design review standards as further explained in Government Code section 65912.1230). 9. The proposed housing development must meet certain density requirements set forth in Government Code section 65912.123(b). 10. The proposed housing development must meet certain height and setback requirements set forth in Government Code section 65912.123(c)-(d). 11. The project may not be located on a site where any of the following would apply: (a) The development would require the demolition of the following types of housing: (i) housing that is subject to a recorded covenant, ordinance, or law that restricts rents to levels affordable to persons and families of moderate, low, or very low income; (ii) housing that is subject to any form of rent or price control through a public entity's valid exercise of its police power; (iii) or housing that has been occupied by tenants within the past 10 years, excluding any manager's units. (b) The site was previously used for permanent housing that was occupied by tenants, excluding any manager's units, that was demolished within 10 years before the development proponent submitted its application for the development. (c) The site would require the demolition of a historic structure that was placed on a national, state, or local historic register. (d) The property contains one to four dwelling units. (e) The property is vacant and zoned for housing but not for multifamily residential use. (f) The existing parcel of land or site is governed under the Mobilehome Residency Law, the Recreational Vehicle Park Occupancy Law, the Mobilehome Parks Act, or the Special Occupancy Parks Act 12. None of the proposed housing may be located within 500 feet of a freeway. 13. None of the proposed housing may be located within 3,200 feet of a facility that actively extracts or refines oil or natural gas. 14. The project may not be located on a site that qualifies as either prime farmland or farmland of statewide importance. 15. The project site may not be located in wetlands. 16. The project site may not be located in a very high fire hazard severity zone. 2023 ty OUIICI ea ur a mesH go - 22 _ 180 es ers gar LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) AFFORDABLE HOUSING 17. The project site may not be located on a hazardous waste site, with limited exceptions as set forth in Government Code section 65913.4(a)(6)(E). 18. The project site may not be located within a delineated earthquake fault zone, unless the development complies with applicable seismic protection building code standards as set forth in Government Code section 65913.4(a)(6)(F). 19. The project may not be located within a special flood hazard area subject to inundation by the 1 percent annual chance flood (100-year flood) as determined by the Federal Emergency Management Agency ("FEMA"). 20. The project site may not be located within a regulatory floodway as determined by FEMA, with limited exceptions as set forth in Government Code section 65913.4(a)(6)(H). 21. The project site may not be located on lands identified for conservation in an adopted natural community conservation plan pursuant to the Natural Community Conservation Planning Act, habitat conservation plan pursuant to the federal Endangered Species Act, or other adopted natural resource protection plan. 22. The project site may not be located on habitat for protected species identified as candidate, sensitive, or species of special status by state or federal agencies, fully protected species, or species protected by the federal Endangered Species Act, the California Endangered Species Act, or the Native Plant Protection Act. 23. The project site may not be located on lands under conservation easement. 24. For a project proposed on a site within a neighborhood plan area, the applicable neighborhood plan must permit multifamily housing development on the site. Additional requirements apply to projects within a neighborhood plan area as of January 1, 2024, as set forth in Government Code section 65912.121(i). 25. For a project proposed on a vacant site, the project may not result in significant and unavoidable impacts to tribal cultural resources on the site. 26. The development proponent must complete a Phase I Environmental Site Assessment, and the proponent must undertake additional measures if a recognized environmental condition is found as set forth in Government Code section 65912.123(f). A project approved under this section must meet certain labor standards, as set forth in Government Code section 65912.130, et seq. For example, a private housing development project under this section is subject to a requirement that all construction workers employed in the execution of the development be paid at least the general prevailing rate of per diem wages for the type of work and geographic area, as determined by the Director of Industrial Relations. (Reference: Gov. Code, § 65912.120, et seq.) 2023 t°y ounce ea ur a mes -ilt Z2 — H1 es t2fr LLr Local Guidelines for Irnplementing the California Environmental Quality Act (2023) CEQA LITIGATION 10. CEOA LITIGATION 10.01 TIMELINES. When a CEQA lawsuit is filed, there are numerous and complex time requirements that must be met. Pressing deadlines begin to run in the days immediately after a CEQA lawsuit has been filed with the Court. For example, within ten (10) business days of the public agency being served with a petition or complaint alleging a violation of CEQA, the City, if it was the Lead Agency, must provide the petitioner with a list of Responsible Agencies and public agencies with jurisdiction by law over any natural resource affected by the project at issue. There are a variety of other deadlines that apply in CEQA litigation. If a CEQA lawsuit is filed, CEQA counsel should be contacted immediately in order to ensure that all the applicable deadlines are met. 10.02 MEDIATION AND SETTLEMENT. After Litigation Has Been Filed. The parties in a CEQA lawsuit are required to meet and discuss settlement. Within twenty (20) days of being served with a CEQA legal challenge, the public agency named in the lawsuit must file a notice with the court setting forth the time and place for a settlement meeting. The meeting must be scheduled and held not later than forty-five (45) days from the date of service of the petition or complaint upon the public agency. Usually the main parties to the litigation (such as the Lead Agency, the developer of the project if there is one, and those challenging the project and their respective attorneys) meet to discuss settlement; there is no requirement to hire a professional mediator. The settlement meeting is usually subject to a confidentiality agreement. If the parties in a CEQA lawsuit are in settlement or mediation, that attempt is intended to occur concurrently with the litigation. This means that the respondent public agency will be required to comply with all existing litigation timelines and requirements (for example, preparing and lodging the administrative record discussed below) while simultaneously conducting settlement or mediation, unless the parties enter into an alternate agreement to stay the litigation and that agreement is approved by the court. 10.03 ADMINISTRATIVE RECORD. A. Contents of Administrative Record. When the Lead Agency's CEQA finding(s) and/or action is challenged in a lawsuit, the Lead Agency must certify the administrative record that formed the basis of the Lead Agency's decision. To the extent the documents listed below exist and are not subject to a privilege that exempts them from disclosure, the following items should be included in the administrative record: (1) All project application materials; (2) All staff reports and related documents prepared by the public agency with respect to its compliance with the substantive and procedural requirements of CEQA and with respect to the action on the project; 2023(&tot uraes - es gfr LLP y OUICZ2— H2 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) CEQA LITIGATION (3) All staff reports and related documents prepared by the public agency and written testimony or documents submitted by any person relevant to any findings or statement of overriding considerations adopted by the public agency pursuant to CEQA or these Local Guidelines; (4) Any transcript or minutes of the proceedings at which the decision -making body of the public agency heard testimony on or considered any environmental document on the project, and any transcript or minutes of proceedings before any advisory body to the respondent public agency that were presented to the decision -making body prior to action on the environmental documents or on the project; (5) All notices issued by the public agency to comply with CEQA or with any other law governing the processing and approval of the project; (6) All written comments received in response to, or in connection with, environmental documents prepared for the project, including responses to the notice of preparation; (7) All written evidence or correspondence submitted to, or transferred from, the public agency with respect to compliance with CEQA or with respect to the project; (8) Any proposed decisions or findings submitted to the decision -making body of the public agency by its staff or the project proponent, project opponents, or other persons, to the extent such documents are subject to public disclosure; (9) The documentation of the final public agency decision, including the final environmental impact report, mitigated negative declaration, or negative declaration, and all documents, in addition to those referenced in paragraph (3) above, cited or relied on in the findings or in a statement of overriding considerations adopted pursuant to CEQA; (10) Any other written materials relevant to the respondent public agency's compliance with CEQA or to its decision on the merits of the project, including the initial study; any drafts of any environmental document, or portions thereof, that were released for public review; copies of studies or other documents relied upon in any environmental document prepared for the project and either made available to the public during the public review period or included in the public agency's files on the project; and internal agency communications related to the project or to compliance with CEQA, to the extent such documents are subject to public disclosure; and (11) The full written record before any inferior administrative decision -making body whose decision was appealed prior to the filing of the lawsuit. B. Organization of Administrative Record. The administrative record should be organized as follows: 2023 t°y ounce ea ur a mes - Z2 — H3 es �S fr LLr Local Guidelines for Irnplementing the California Environmental Quality Act (2023) CEOA LITIGATION (1) Index. A detailed index must be included at the beginning of the administrative record listing each document in the order presented. Each entry must include the document's title, date, brief description, and the volume and page where the document begins; (2) The Notice of Determination; (3) The resolutions or ordinances adopted by the Lead Agency approving the project; (4) The findings required by Public Resources Code section 21081, including any statement of overriding considerations; (5) The Final EIR, including the Draft EIR or a revision of the draft, all other matters included in the Final EIR (such as traffic studies and air quality studies), or other types of environmental documents prepared under CEQA, such as a negative declaration, mitigated negative declaration, or addenda; (6) The initial study; (7) Staff reports prepared for the administrative bodies providing subordinate approvals or recommendations to the Lead Agency, in chronological order; (8) Transcripts and minutes of hearings, in chronological order; and (9) All other documents appropriate for inclusion in the administrative record, in chronological order. Each section listed above must be separated by tabs or marked with electronic bookmarks. Oversized documents (such as building plans and maps) must be presented in a manner that allows them to be easily unfolded and viewed. The court may issue an order allowing the documents to be organized in a different manner. C. Preparation of Administrative Record. The administrative record can be prepared: (1) by the petitioner, if the petitioner elects to do so, or (2) by the Lead Agency. The petitioner and the Lead Agency can also agree on any alternative method of preparing the record. However, when a third party such as the project applicant prepares or assists with the preparation of the administrative record, the Lead Agency may not be able to recover fees incurred by the third party unless petitioner has agreed to this method of preparation. Notwithstanding the above, upon the written request of a project applicant received no later than 30 days after the date that the Lead Agency makes a determination pursuant to Public Resources Code section 21080.1, 21094.5, or Chapter 4.2 (commencing with Public Resources Code section 21155) and with the written consent of the Lead Agency sent within 10 business days from receipt of the written request, the Lead Agency may prepare the administrative record concurrently with the administrative process. Should the Lead Agency and the project applicant 2023(&tot uraes - es gfr LLP y OUICZ2— H4 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) CEOA LITIGATION so desire to pursue concurrent record preparation, the parties must comply with the provisions of Public Resources Code section 21167.6.2. D. Special Circumstances For Environmental Leadership Projects. Special timing considerations and requirements apply if the Project is certified by the Governor as an Environmental Leadership Project pursuant to the "Jobs and Economic Improvement Through Environmental Leadership Act of 2021." For example, the administrative record must be finished and certified within five (5) days of project approval. See Public Resources Code section 21186 for a complete discussion of the special requirements related to the preparation of an administrative record for an Environmental Leadership Project. 2023 ty OUIICI ea ur a mes - Z2 — H5 es es gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS 11. DEFINITIONS Whenever the following terms are used in these Local Guidelines, they shall have the following meaning unless otherwise expressly defined: 11.01 "Agricultural Employee" means a person engaged in agriculture, which includes farming in all its branches, and, among other things, includes: (1) the cultivation and tillage of the soil, (2) dairying, (3) the production, cultivation, growing, and harvesting of any agricultural or horticultural commodities, (4) the raising of livestock, bees, furbearing animals, or poultry, and (5) any practices (including any forestry or lumbering operations) performed by a farmer or on a farm as an incident to or in conjunction with such farming operations, including preparation for market and delivery to storage or to market or to carriers for transportation to market. This definition does not include any person covered by the National Labor Relations Act as agricultural employees pursuant to Section 2(3) of the Labor Management Relations Act (Section 152(3), Title 29, United States Code) and Section 3(f) of the Fair Labor Standards Act (Section 203(f), Title 29, United States Code). This definition does not apply to employees who perform work to be done at the site of the construction, alteration, painting, or repair of a building, structure, or other work (as these terms have been construed under Section 8(e) of the Labor Management Relations Act, 29 United States Code section 158(e)) or logging or timber -clearing operations in initial preparation of land for farming, or who does land leveling or only land surveying for any of the above. As used in this definition, "land leveling" shall include only major land moving operations changing the contour of the land, but shall not include annual or seasonal tillage or preparation of land for cultivation. (State CEQA Guidelines section 15191(a).) 11.02 "Applicant" means a person who proposes to carry out a project that requires a lease, permit, license, certificate, or other entitlement for use, or requires financial aid from one or more public agencies when applying for governmental approval or assistance. 11.03 "Approval" means a decision by the decision -making body or other authorized body or officer of the City which commits the City to a definite course of action with regard to a particular project. With regard to any project to be undertaken directly by the City, approval shall be deemed to occur on the date when the decision -making body adopts a motion or resolution determining to proceed with the project, which in no event shall be later than the date of adoption of plans and specifications. As to private projects, approval shall be deemed to have occurred upon the earliest commitment to provide service or the issuance by the City of a discretionary contract, subsidy, or other form of financial assistance, lease, permit, license, certificate, or other entitlement for use of the project. The mere acquisition of land by the City shall not, in and of itself, be deemed to constitute approval of a project. For purposes of these Local Guidelines, all environmental documents must be completed as of the time of project approval. 2023(&tot uraes - es gfr LLP y OUICZ2— HG Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS 11.04 "Baseline" refers to the pre -project environmental conditions. By comparing the project's potential impacts to the baseline, the Lead Agency determines whether the project's impacts are substantial enough to be significant under the relevant thresholds of significance. Generally, the baseline is the environmental conditions existing on the date the environmental analysis begins, such as the date the Notice of Preparation is published for an EIR or the date the Notice of Intent to Adopt a Negative Declaration is published. However, in certain circumstances, an earlier or later date may provide a more accurate environmental analysis. The City may establish any baseline that is appropriate, including an earlier or later date, as long as the choice of baseline can be supported by substantial evidence. 11.05 "California Native American Tribe" means a Native American tribe located in California that is on the contact list maintained by the Native American Heritage Commission for the purposes of Chapter 905 of the Statutes of 2004. 11.06 "Categorical Exemption" means an exemption from CEQA for a class of projects based on a finding by the Secretary of the Resources Agency that the class of projects does not have a significant effect on the environment. 11.07 "Census -Defined Place" means a specific unincorporated land area within boundaries determined by the United States Census Bureau in the most recent decennial census. 11.08 "CEQA" means the California Environmental Quality Act, codified at California Public Resources Code sections 21000, et seq. 11.09 "City" means the City of Santa Ana. 11.10 "Clerk" means either the "Clerk of the Board" or the "County Clerk" depending upon the county. Please refer to the "Index to Environmental Filing by County" in the Staff Summary to determine which applies. 11.11 "Community -Level Environmental Review" means either (1) or (2) below: (1) An EIR certified for any of the following: (a) A general plan; (b) A revision or update to the general plan that includes at least the land use and circulation elements; (c) An applicable community plan; (d) An applicable specific plan; or (e) A housing element of the general plan, if the Environmental Impact Report analyzed the environmental effects of the density of the proposed project; (2) A Negative Declaration or Mitigated Negative Declaration adopted as a subsequent environmental review document, following and based upon an EIR on a general plan, an applicable community plan or specific plan, provided that the subsequent environmental review document is allowed by CEQA following 2023(&tot uraes - es gfr LLP y OUICZ2— H7 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS a Master EIR or a Program EIR or is required pursuant to Public Resource Section 21166. 11.12 "Consultation" means the meaningful and timely process of seeking, discussing, and considering carefully the views of others, in a manner that is cognizant of all parties' cultural values and, where feasible, seeking agreement. Consultation between government agencies and Native American tribes shall be conducted in a way that is mutually respectful of each party's sovereignty. Consultation shall also recognize the tribes' potential needs for confidentiality with respect to places that have traditional tribal cultural significance. 11.13 "Cumulative Impacts" means two or more individual effects which, when considered together, are considerable or which compound or increase other environmental impacts. The individual effects may be changes resulting from a single project or a number of separate projects, whether past, present or future. The cumulative impact from several projects is the change in the environment which results from the incremental impact of the project when added to other closely related past, present and reasonably foreseeable future projects. Cumulative impacts can result from individually minor but collectively significant projects taking place over a period of time. 11.14 "Cumulatively Considerable" means that the incremental effects of an individual project are significant when viewed in connection with the effects of past projects, the effects of other current projects, and the effects of probable future projects. 11.15 "Decision -Making Body" means the body within the City, e.g. the City Council, which has final approval authority over the particular project. 11.16 "Developed Open Space" means land that meets each of the following three criteria: (1) Is publicly owned, or financed in whole or in part by public funds; (2) Is generally open to, and available for use by, the public; and (3) Is predominantly lacking in structural development other than structures associated with open spaces, including, but not limited to, playgrounds, swimming pools, ball fields, enclosed child play areas, and picnic facilities. Developed Open Space may include land that has been designated for acquisition by a public agency for developed open space purposes, but does not include lands acquired by public funds dedicated to the acquisition of land for housing purposes. 11.17 "Development Project" means any project undertaken for the purpose of development, including any project involving the issuance of a permit for construction or reconstruction but not a permit to operate. It does not include any ministerial projects proposed to be carried out or approved by public agencies. (Government Code section 65928.) 2023(&tot uraes - es gfr LLP y OUIC22_188 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS 11.18 "Discretionary Project" means a project for which approval requires the exercise of independent judgment, deliberation, or decision -making on the part of the City. To determine whether a project is discretionary, the key question is whether the public agency can use its subjective judgment to decide whether and how to carry out or approve a project. 11.19 "EIR" means Environmental Impact Report, a detailed written statement setting forth the environmental effects and considerations pertaining to a project. EIR may mean a Draft or a Final version of an EIR, a Project EIR, a Subsequent EIR, a Supplemental EIR, a Tiered EIR, a Staged EIR, a Program EIR, a Redevelopment EIR, a Master EIR, or a Focused EIR. 11.20 "Emergency" means a sudden, unexpected occurrence, involving a clear and imminent danger, demanding immediate action to prevent or mitigate loss of, or damage to, life, health, property, or essential public services. Emergency includes such occurrences as fire, flood, earthquake, landslide or other natural disaster, as well as such occurrences as riot, war, terrorist incident, accident or sabotage. 11.21 "Endangered, Rare or Threatened Species" means certain species or subspecies of animals or plants. A species or subspecies of animal or plant is "Endangered" when its survival and reproduction in the wild are in immediate jeopardy from one or more causes, including loss of habitat, change in habitat, overexploitation, predation, competition, disease, or other factors. A species or subspecies of animal or plant is "Threatened" when it is listed as a threatened species pursuant to the California Endangered Species Act or the Federal Endangered Species Act. A species or subspecies of animal or plant is "Rare" when either: (1) Although not presently threatened with extinction, the species is existing in such small numbers throughout all or a significant portion of its range that it may become endangered if its environment worsens; or (2) The species is likely to become endangered within the foreseeable future throughout all or a significant portion of its range and many be considered "threatened" as that term is used in the Federal Endangered Species Act. For purposes of analyzing impacts to biological resources, a species of animal or plant shall be presumed to be endangered, rare or threatened if it is listed under the California Endangered Species Act or the Federal Endangered Species Act. This definition shall not include any species of the Class Insecta which is a pest whose protection under the provisions of CEQA would present an overwhelming and overriding risk to man as determined by the Director of Food and Agriculture (with regard to economic pests) or the Director of Health Services (with regard to health risks). 11.22 "Environment" means the physical conditions which exist in the area which will be affected by a proposed project, including land, air, water, minerals, flora, fauna, ambient noise, and objects of historic or aesthetic significance. The area involved shall 2023(&tot y OUIICI ea ur a mes - 22 _ 189 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS be the area in which significant effects would occur either directly or indirectly as a result of the project. The "environment" includes both natural and man-made conditions. 11.23 "Feasible" means capable of being accomplished in a successful manner within a reasonable period of time, taking into account economic, environmental, social and technological factors. 11.24 "Final EIR" means an EIR containing the information contained in the Draft EIR, comments either verbatim or in summary received in the review process, a list of persons commenting, and the response of the City to the comments received. 11.25 "Greenhouse Gases" include, but are not limited to, carbon dioxide, methane, nitrous oxide, hydrofluorocarbons, perfluorocarbons, and sulfur hexafluoride. 11.26 "Guidelines" or "Local Guidelines" means the City's Local Guidelines for implementing the California Environmental Quality Act. 11.27 "Highway" shall have the same meaning as defined in Section 360 of the Vehicle Code. 11.28 "Historical Resources" include: Resources listed in, or eligible for listing in, the California Register of Historical Resources shall be considered historical resources. A resource may be listed in the California Register if it meets any of the following National Register of Historic Places criteria: (a) Is associated with events that have made a significant contribution to the broad patterns of California's history and cultural heritage; (b) Is associated with the lives of persons important in our past; (c) Embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of an important creative individual, or possesses high artistic values; or (d) Has yielded, or may be likely to yield, information important in prehistory or history. A resource may also be listed in the California Register if it is identified as significant in an historical resource survey that meets all of the following criteria: (a) The survey has been or will be included in the State Historic Resources Inventory; (b) The survey and the survey documentation were prepared in accordance with office procedures and requirements; and (c) The resource is evaluated and determined by the office to have a significance rating of Category 1 to 5 on DPR Form 523. 2023(&tot uraes - es gfr LLP y OUIC22_190 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS Resources included on a list of properties officially designated or recognized as historically significant by a local government pursuant to a local ordinance or resolution, or identified as significant in a historical resource survey (as described above) are presumed to be historically or culturally significant, unless a preponderance of evidence demonstrates that they are not historically or culturally significant. Any of the following may be considered historically significant: any object, building, structure, site, area, place, record or manuscript which a Lead Agency determines, based upon substantial evidence in light of the whole record, to be historically significant or significant in the architectural, engineering, scientific, economic, agricultural, educational, social, political, military or cultural annals of California. The Lead Agency is not precluded from determining that a resource is a historical resource, as defined in Public Resources Code sections 5020.10) or 5024.1, even if it is: (a) not listed in, or is not determined to be eligible for listing in, the California Register of Historical Resources; (b) not included in a local register of historical resources; or (c) not identified in a historical resources survey. 11.29 "Infill Site" means a site in an urbanized area that meets either of the following criteria: (1) The site has been previously developed for qualified urban uses; or (2) The site has not been previously developed for qualified urban uses and both (a) and (b) are met: (a) the site is immediately adjacent to parcels that are developed with qualified urban uses, or 1. at least 75 percent of the perimeter of the site adjoins, or is separated only by an improved public right-of-way from, parcels that are developed with existing qualified urban uses at the time the Lead Agency receives an application for an approval; and 2. the remaining 25 percent of the perimeter of the site adjoins parcels that had been previously developed for qualified urban uses; (b) No parcel within the site has been created within the past 10 years unless the parcel was created as a result of the plan of a redevelopment agency. (Public Resources Code section 21061.3.) 11.30 "Initial Study" means a preliminary analysis conducted by the City to determine whether an EIR, a Negative Declaration, or a Mitigated Negative Declaration must be prepared or to identify the significant environmental effects to be analyzed in an EIR. 11.31 "Jurisdiction by Law" means the authority of any public agency to grant a permit or other entitlement for use, to provide funding for the project in question or to exercise authority over resources which maybe affected by the project. 2023 t°y ounce ea ur a mes - 22 — 191 es �S fr LLr Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS The City will have jurisdiction by law over a project when the City has primary and exclusive jurisdiction over the site of the project, the area in which the major environmental effects will occur, or the area in which reside those citizens most directly concerned by any such environmental effects. 11.32 "Land Disposal Facility" means a hazardous waste facility where hazardous waste is disposed in, on, or under land. (Health and Safety Code section 25199.1(d).) 11.33 "Large Treatment Facility" means a treatment facility which treats or recycles one thousand (1,000) or more tons of hazardous waste during any one month of the current reporting period commencing on or after July 1, 1991. (Health and Safety Code section 25205.1(d).) 11.34 "Lead Agency" means the public agency which has the principal responsibility for preparing environmental documents and for carrying out or approving a project when more than one public agency is involved with the same underlying activity. 11.35 "Low- and Moderate -Income Households" means persons and families of low or moderate income as defined in Section 50093 of the Health and Safety Codei.e., persons and families whose income does not exceed 120% of area median income, adjusted for family size by the Department of Housing and Community Development, in accordance with adjustment factors adopted and amended from time to time by the United States Department of Housing and Urban Development pursuant to Section 8 of the United States Housing Act of 1937. (Public Resources Code section 21159.20(d); State CEQA Guidelines section 15191(f).) 11.36 "Low -Income Households" means households of persons and families of very low and low income. Low-income persons or families are those eligible for financial assistance from governmental agencies for occupants of state -funded housing. Very low income persons are those whose incomes do not exceed the qualifying limits for very low income families as established and amended pursuant to Section 8 of the United States Housing Act of 1937. Such limits are published and updated in the California Code of Regulations. (Public Resources Code section 21159.20(c); Health and Safety Code sections 50105 and 50106; State CEQA Guidelines section 15191(g).) 11.37 "Low -Level Flight Path" means any flight path for any aircraft owned, maintained, or under the jurisdiction of the United States Department of Defense that flies lower than 1,500 feet above ground level, as indicated in the United States Department of Defense Flight Information Publication, "Area Planning Military Training Routes: North and South America (AP/113)" published by the United States National Imagery and Mapping Agency or its successor. 11.38 "Lower Income Households" is defined in Health and Safety Code section 50079.5 to mean any of the following: (1) "Lower income households" means persons and families whose income does not exceed the qualifying limits for lower income families as established and 2023 t°a uraes - es S fr LLr y ounc22- 92 0 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS amended from time to time pursuant to Section 8 of the United States Housing Act of 1937; (2) "Very low income households" means persons and families whose incomes do not exceed the qualifying limits for very low income families as defined in Health and Safety Code 50105; or (3) "Extremely low income households" means persons and families whose incomes do not exceed the qualifying limits for extremely low income families as defined in Health and Safety Code section 50106. 11.39 "Major Transit Stop" means a site containing an existing rail or bus rapit transit station, a ferry terminal served by either a bus or rail transit service, or the intersection of two or more major bus routes with a frequency of service interval of fifteen (15) minutes or less during the morning and afternoon peak commute periods. (Pub. Resources Code, § 21064.3; see also Pub. Resources Code, § 21060.2; State CEQA Guidelines section 15191(i).) 11.40 "Metropolitan Planning Organization" or "MPO" means a federally -designated agency that provides transportation planning and programming in metropolitan areas. A MPO is designated for each urban area that has been defined in the most recent federal census as having a population of more than 50,000 people. There are 18 federally -designated MPOs in California. Non -urbanized (rural) areas do not have a designated MPO. 11.41 "Military Impact Zone" means any area, including airspace, that meets both of the following criteria: (1) Is located within two miles of a military installation, including, but not limited to, any base, military airport, camp, post, station, yard, center, homeport facility for a ship, or any other military activity center that is under the jurisdiction of the United States Department of Defense; and (2) Covers greater than 500 acres of unincorporated land, or greater than 100 acres of city incorporated land. 11.42 "Military Service" means the United States Department of Defense or any branch of the United States Armed Forces. 11.43 "Ministerial" describes a governmental decision involving little or no personal judgment by the public official as to the wisdom or manner of carrying out the project. The public official merely applies the law to the facts as presented but uses no special discretion or standards or objective measurements, and the public official cannot use personal, subjective judgment in deciding whether or how the project should be carried out. Common examples of ministerial permits include automobile registrations, dog licenses, and marriage licenses. A building permit is ministerial if the ordinance requiring the permit limits the public official to determining whether the zoning allows the structure to be built in the requested location, the structure would meet the strength 2023 t°y ounce ea ur a mes - Z2 — 93 es �S fr LLr Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS requirements in the Uniform Building Code, and the applicant has paid his fee. (Public Resources Code section 21080(b)(1).) 11.44 "Mitigated Negative Declaration" or "MND" means a Negative Declaration prepared for a Project when the Initial Study has identified potentially significant effects on the environment, but: (1) revisions in the project plans or proposals made, or agreed to, by the applicant before the proposed Negative Declaration and Initial Study are released for public review would avoid the effects or mitigate the effects to a point where clearly no significant effect on the environment would occur, and (2) there is no substantial evidence in light of the whole record before the public agency that the project, as revised, may have a significant effect on the environment. 11.45 "Mitigation" includes avoiding the environmental impact altogether by not taking a certain action or parts of an action, minimizing impacts by limiting the degree or magnitude of the action and its implementation, rectifying the impact by repairing, rehabilitating or restoring the impacted environment, reducing or eliminating the impact over time by preservation and maintenance operations during the life of the action, or compensating for the impact by replacing or providing substitute resources or environments, including through permanent protection of such resources in the form of conservation easements. 11.46 "Negative Declaration" or "ND" means a written statement by the City briefly describing the reasons that a proposed project, not exempt from CEQA, will not have a significant effect on the environment and, therefore, does not require the preparation of an EIR. 11.47 "Notice of Completion" means a brief report filed with the Office of Planning and Research by the City when it is the Lead Agency as soon as it has completed a Draft EIR and is prepared to send out copies for review. 11.48 "Notice of Determination" means a brief notice to be filed by the City when it approves or determines to carry out a project which is subject to the requirements of CEQA. 11.49 "Notice of Exemption" means a brief notice which may be filed by the City when it has approved or determined to carry out a project, and it has determined that the project is exempt from the requirements of CEQA. Such a notice may also be filed by an applicant where such a determination has been made by a public agency which must approve the project. 11.50 "Notice of Preparation" means a brief notice sent by a Lead Agency to notify the Responsible Agencies, Trustee Agencies, the Office of Planning and Research, and involved federal agencies that the Lead Agency plans to prepare an EIR for a project. The purpose of this notice is to solicit guidance from those agencies as to the scope and content of the environmental information to be included in the EIR. Public agencies are free to develop their own formats for this notice. 11.51 "Oak" means a native tree species in the genus Quercus, not designated as Group A or Group B commercial species pursuant to regulations adopted by the State Board of 2023(&tot y OU IICI ea ur a mes - Z2 — 94 es ers gfr LLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS Forestry and Fire Protection pursuant to Public Resources Code section 4526, and that is five (5) inches or more in diameter at breast height. (Public Resources Code section 21083.4(a).) 11.52 "Oak Woodlands" means an oak stand with a greater than 10 percent canopy cover or that may have historically supported greater than 10 percent canopy cover. (Fish & Game Code section 1361(h).) 11.53 "Offsite Facility" means a facility that serves more than one generator of hazardous waste. (Public Resources Code section 21151.1(h).) 11.54 "Person" includes any person, firm, association, organization, partnership, business, trust, corporation, company, city, county, city and county, town, the state, and any of the agencies which may be political subdivisions of such entities, and, to the extent permitted by federal law, the United States, or any of its agencies or political subdivisions. 11.55 "Pipeline" as defined in these Local Guidelines depends on the context. Please see Local Guidelines Sections 3.10 and 3.11 for specific definitions. 11.56 "Private Project" means a project which will be carried out by a person other than a governmental agency, but which will need a discretionary approval from the City. Private projects will normally be those listed in subsections (2) and (3) of Local Guidelines Section 11.57. 11.57 "Project" means the whole of an action or activity which may cause either a direct physical change in the environment, or a reasonably foreseeable indirect change in the environment, and is any of the following: (1) A discretionary activity directly undertaken by the City including but not limited to public works construction and related activities, clearing or grading of land, or improvements to existing public structures; (2) A discretionary activity which involves a public agency's issuance to a person of a lease, permit, license, certificate, or other entitlement for use, or which is supported, in whole or in part, through contracts, grants, subsidies, loans or other forms of assistance by the City; or (3) A discretionary project proposed to be carried out or approved by public agencies, including but not limited to the enactment and amendment of local General Plans or elements thereof, the enactment of zoning ordinances, the issuance of zoning variances, the issuance of conditional use permits and the approval of tentative subdivision maps. The presence of any real degree of control over the manner in which a project is completed makes it a discretionary project. 2023(&tot uraes - es gfr LLP y OUICZ2— 95 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS The term "project" refers to the activity which is being approved and which may be subject to several discretionary approvals by governmental agencies. The term "project" does not mean each separate governmental approval. 11.58 "Project -Specific Effects" means all the direct or indirect environmental effects of a project other than cumulative effects and growth -inducing effects. (Public Resources Code section 21065.3; State CEQA Guidelines section 151910).) 11.59 "Public Water System" means a system for the provision of piped water to the public for human consumption that has 3,000 or more service connections. A public water system includes all of the following: (A) Any collection, treatment, storage, and distribution facility under control of the operator of the system which is used primarily in connection with the system; (B) Any collection or pretreatment storage facility not under the control of the operator that is used primarily in connection with the system; (C) Any person who treats water on behalf of one or more public water systems for the purpose of rendering it safe for human consumption. (State CEQA Guidelines section 15155.) 11.60 "Qualified Urban Use" means any residential, commercial, public institutional, transit or transportation passenger facility, or retail use, or any combination of those uses. (Public Resources Code section 21072; State CEQA Guidelines section 15191(k).) 11.61 "Residential" means a use consisting of either residential units only or residential units and primarily neighborhood -serving goods, services, or retail uses that do not exceed 15% of the total floor area of the project. (State CEQA Guidelines section 15191(1).) Residential, pursuant to Public Resources Code section 21159.24, shall mean a use consisting of either of the following: (1) Residential units only. (2) Residential units and primarily neighborhood -serving goods, services, or retail uses that do not exceed 25 percent of the total building square footage of the project. 11.62 "Responsible Agency" means a public agency which proposes to carry out or approve a project for which a Lead Agency has prepared the environmental documents. For the purposes of CEQA, the term "Responsible Agency" includes all federal, state, regional and local public agencies other than the Lead Agency which have discretionary approval power over the project. 11.63 "Riparian areas" mean those areas transitional between terrestrial and aquatic ecosystems and that are distinguished by gradients in biophysical conditions, ecological processes, and biota. A riparian area is an area through which surface and subsurface hydrology connect waterbodies with their adjacent uplands. A riparian area includes those portions of terrestrial ecosystems that significantly influence exchanges of energy and matter with aquatic ecosystems. A riparian area is adjacent to perennial, intermittent, and ephemeral streams, lakes, and estuarine -marine shorelines. 2023 t°a uraes - es S fr LLr y ouncZ2— 9G � Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS 11.64 "Roadway" means a roadway as defined pursuant to Section 530 of the Vehicle Code and the previously graded and maintained shoulder that is within a roadway right-of- way of no more than five feet from the edge of the roadway. 11.65 "Significant Effect" means a substantial, or potentially substantial, adverse change in any of the physical conditions within the area affected by the activity including land, air, water, minerals, flora, fauna, ambient noise, and objects of historic or aesthetic significance. A social or economic change related to a physical change may be considered in determining whether the physical change is significant. 11.66 "Significant Value as a Wildlife Habitat" includes wildlife habitat of national, statewide, regional, or local importance; habitat for species protected by the federal Endangered Species Act of 1973 (16 U.S.C. Sec. 1531, et seq.), the California Endangered Species Act (Chapter 1.5 (commencing with Section 2050) of Division 3 of the Fish and Game Code), or the Native Plant Protection Act (Chapter 10 (commencing with Section 1900) of Division 2 of the Fish and Game Code); habitat identified as candidate, fully protected, sensitive, or species of special status by local, state, or federal agencies; or habitat essential to the movement of resident or migratory wildlife. 11.67 "Special Use Airspace" means the land area underlying the airspace that is designated for training, research, development, or evaluation for a military service, as that land area is established by the United States Department of Defense Flight Information Publication, "Area Planning: Special Use Airspace: North and South America (AP/IA)" published by the United States National Imagery and Mapping Agency or its successor. 11.68 "Staff' means the City Manager or his or her designee. 11.69 "Standard" means a standard of general application that is all of the following: (1) A quantitative, qualitative or performance requirement found in a statute, ordinance, resolution, rule, regulation, order, or other standard of general application; (2) Adopted for the purpose of environmental protection; (3) Adopted by a public agency through a public review process; (4) Governs the same environmental effect which the change in the environment is impacting; and (5) Governs the jurisdiction where the project is located. The definition of "standard" includes any thresholds of significance adopted by the City which meet the requirements of this Section. 2023 t°y ounce ea ur a mes - 22 — 97 es �S fr LLr Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS If there is a conflict between standards, the City shall determine which standard is appropriate based upon substantial evidence in light of the whole record. 11.70 "State CEQA Guidelines" means the Guidelines for Implementation of the California Environmental Quality Act as adopted by the Secretary of the California Natural Resources Agency as they now exist or hereafter may be amended. (California Administrative Code, Title 14, Sections 15000, et seq.) 11.71 "Substantial Evidence" means reliable information on which a fair argument can be based to support an inference or conclusion, even though another conclusion could be drawn from that information. "Substantial evidence" includes facts, reasonable assumptions predicated upon facts, and expert opinion supported by facts. "Substantial evidence" does not include argument, speculation, unsubstantiated opinion or narrative, evidence which is clearly inaccurate or erroneous, or evidence of social or economic impacts which do not contribute to, or are not caused by, physical impacts on the environment. 11.72 "Sustainable Communities Strategy" is an element of a Regional Transportation Plan, which must be adopted by the Metropolitan Planning Organization for the region. (See Local Guidelines Section 11.40.) The Sustainable Communities Strategy is an integrated land use and transportation plan intended to reduce greenhouse gases. The Sustainable Communities Strategy includes various components such as: consideration of existing densities and uses within the region, identification of areas within the region that can accommodate an eight -year projection of the region's housing needs, development of projections for growth in the region, identification of existing transportation networks, and preparation of a forecast for development pattern for the region that can be integrated with transportation networks. 11.73 "Tiering" means the coverage of general matters in broader EIRs (such as on general plans or policy statements) with subsequent narrower EIRs or ultimately site -specific EIRs incorporating by reference the general discussions and concentrating solely on the issues specific to the EIR subsequently prepared. Tiering is appropriate when the sequence of EIRs is: (a) From a general plan, policy, or Program EIR to a program, plan, or policy EIR of lesser scope or to a site -specific EIR; or (b) From an EIR on a specific action at an early stage to a subsequent EIR or a supplement to an EIR at a later stage. Tiering in such cases is appropriate when it helps the Lead Agency to focus on the issues which are ripe for decision and exclude from consideration issues already decided or not yet ripe. (Public Resources Code sections 21003, 21061 and 21100.) 11.74 "Transit Priority Area" means an area within one-half mile of a major transit stop that is existing or planned, if the planned stop is scheduled to be completed within the 2023 t°y ounce ea ur a mes - 22 — 9H es �S fr LLr Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS planning horizon included in a Transportation Improvement Program adopted pursuant to Section 450.216 or 450.322 of Title 23 of the Code of Federal Regulations. 11.75 "Transit Priority Project" means a mixed use project that is consistent with the general use designation, density, building intensity, and applicable policies specified for the project area in either a sustainable communities strategy or an alternative planning strategy for which the California Air Resources Board has accepted a Metropolitan Planning Organization's determination that the sustainable communities strategy or the alternative planning strategy would, if implemented, achieve the greenhouse gas emission reduction targets. Such a project may be exempt from CEQA if a detailed laundry list of requirements is met. To qualify for the exemption, the Transit Priority Project must: (1) contain at least 50 percent residential use based on total building square footage; (2) if the project contains between 26 percent and 50 percent non-residential uses, the floor -to -area ratio (FAR) must be at least 0.75; (3) have a minimum net density of 20 dwelling units per acre; (4) be located within a half mile of a major transit stop or high -quality transit corridor included in a regional transportation plan; and (5) meet all the requirements of Public Resources Code section 21155.1. 11.76 "Transportation Facilities" includes major local arterials and public transit within five (5) miles of the project site, and freeways, highways, and rail transit service within ten (10) miles of the project site. 11.77 "Tribal Cultural Resources" are either of the following: (1) Sites, features, places, cultural landscapes, sacred places, and objects with cultural value to a California Native American tribe that are either of the following: (a) Included or determined to be eligible for inclusion in the California Register of Historical Resources. (b) Included in a local register of historic resources as defined in subdivision (k) of Public Resources Code section 5020.1. (2) A resource determined by the Lead Agency, in its discretion and supported by substantial evidence, to be significant pursuant to criteria set forth in subdivision (c) of Public Resources Code section 5024.1. In applying the criteria set forth in subdivision (c) of Section 5024.1 for the purposes of this definition, the Lead Agency shall consider the significance of the resource to a California Native American tribe. 2023 t°y ounce ea ur a mes - 22 — 199 es �S fr LLr Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS A cultural landscape that meets the criteria set forth above is a tribal cultural resource to the extent that the landscape is geographically defined in terms of the size and scope of the landscape. A historic resource described in Public Resources Code section 21084.1, a unique archaeological resource as defined in subdivision (g) of Public Resources Code section 21083.2, or a "nonunique archaeological resource" as defined in subdivision (h) of Public Resources Code section 21083.2 may also be a tribal cultural resource if it conforms with the criteria of Tribal cultural resources. 11.78 "Trustee Agency" means a State agency having jurisdiction by law over natural resources affected by a project which are held in trust for the people of the State of California. Trustee Agencies may include, but are not limited to, the following: (a) The California Department of Fish and Wildlife ("DFW") with regard to the fish and wildlife of the state, designated rare or endangered native plants, and game refuges, ecological reserves, and other areas administered by DFW; (b) The State Lands Commission with regard to state owned "sovereign" lands such as the beds of navigable waters and state school lands; (c) The State Department of Parks and Recreation with regard to units of the State Park System; (d) The University of California with regard to sites within the Natural Land and Water Reserve System; and/or (e) The State Water Resources Control Board with respect to surface waters. 11.79 "Urban Growth Boundary" means a provision of a locally adopted general plan that allows urban uses on one side of the boundary and prohibits urban uses on the other side of the boundary. 11.80 "Urbanized Area" means either of the following: (1) An incorporated city that either by itself or in combination with two contiguous incorporated cities has a population of at least one hundred thousand (100,000) persons; (2) An unincorporated area that meets both of the following requirements: (a) The unincorporated area is either: (i) completely surrounded by one or more incorporated cities, has a population of at least 100,000 persons either by itself or in combination with the surrounding incorporated city or cities, and has a population density that at least equals the population density of the surrounding city or cities; or (ii) located within an urban growth boundary and has an existing residential population of at least five thousand (5,000) persons per square mile. An "urban growth boundary" means a 2023(&tot uraes - es gfr LLP y OUIC22—ZOO Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS provision of a locally adopted general plan that allows urban uses on one side of the boundary and prohibits urban uses on the other side. (b) The board of supervisors with jurisdiction over the unincorporated area has taken all three of the following steps: 1. Prepared a draft document by which the board would find that the general plan, zoning ordinance, and related policies and programs applicable to the unincorporated area are consistent with principles that encourage compact development in a manner that promotes efficient transportation systems, economic growth, affordable housing, energy efficiency, and an appropriate balance of jobs and housing, and protects the environment, open space and agricultural areas; 2. Submitted the draft document to the Office of Planning and Research and allowed OPR thirty (30) days to submit comments on the draft finding to the board; and 3. At least thirty (30) days after submitting the draft document to OPR, the board has adopted a final finding in substantial conformity with the draft finding described in the draft document. (Public Resources Code sections 21083, 21159.20-21159.24; State CEQA Guidelines section 15191(m).) 11.81 "Water Acquisition Plans" means any plans for acquiring additional water supplies prepared by the public water system or a city or county Lead Agency pursuant to subdivision (a) of section 10911 of the Water Code. 11.82 "Water Assessment" or "Water Supply Assessment" means the water supply assessment that must be prepared by the governing body of a public water system, or a city or county, pursuant to and in compliance with sections 10910 to 10915 of the Water Code, and that includes, without limitation, the elements of the assessment required to comply with subdivisions (d), (e), (f), and (g) of section 10910 of the Water Code. 11.83 "Water Demand Project" means any one of the following: (A) A residential development of more than 500 dwelling units; (B) A shopping center or business establishment employing more than 1,000 persons or having more than 500,000 square feet of floor space; (C) A commercial office building employing more than 1,000 persons or having more than 250,000 square feet of floor space; (D) A hotel or motel, or both, having more than 500 rooms; 2023(&tot y OUIICI ea ur ernes - Z2 — ZO� es ers gfrLLP Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS (E) An industrial, manufacturing, or processing plant, or industrial park planned to house more than 1,000 persons, occupying more than 40 acres of land, or having more than 650,000 square feet of floor area; Except, a proposed photovoltaic or wind energy generation facility approved on or after October 8, 2011, is not a Water Demand Project if the facility would demand no more than 75 acre-feet of water annually. (F) A mixed -use project that includes one or more of the projects specified in subdivisions (A); (B), (C), (D), (E), or (G) of this section; (G) A project that would demand an amount of water equivalent to, or greater than, the amount of water required by a 500 dwelling unit project; or (H) For public water systems with fewer than 5,000 service connections, a project that meets the following criteria: (1) A proposed residential, business, commercial, hotel or motel, or industrial development that would account for an increase of 10 percent or more in the number of a public water system's existing service connections; or (2) A mixed -use project that would demand an amount of water equivalent to, or greater than, the amount of water required by residential development that would represent an increase of 10 percent or more in the number of the public water system's existing service connections. (State CEQA Guidelines section 15155.) 11.84 "Waterway" means a bay, estuary, lake, pond, river, slough, or a perennial, intermittent, or ephemeral stream, lake, or estuarine -marine shoreline. 11.85 "Wetlands" has the same meaning as that term is construed in the regulations issued by the United States Army Corps of Engineers pursuant to the Clean Water Act. Thus, "wetlands" means areas that are inundated or saturated by surface or ground water at a frequency and duration sufficient to support, and that under normal circumstances do support, a prevalence of vegetation typically adapted for life in saturated soil conditions. Wetlands generally include swamps, marshes, bogs, and similar areas. (Public Resources Code section 21159.21(d), incorporating Title 33, Code of Federal Regulations, Section 328.3.) 11.86 "Wildlife Habitat" means the ecological communities upon which wild animals, birds, plants, fish, amphibians, and invertebrates depend for their conservation and protection. (Public Resources Code section 21159.21.) 11.87 "Zoning Approval" means any enactment, amendment, or appeal of a zoning ordinance; granting of a conditional use permit or variance; or any other form of land 2023(&tot uraes - es gfr LLP y OUIC22—ZO2 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) DEFINITIONS use, subdivision, tract, or development approval required from the city or county having jurisdiction to permit the particular use of the property. 2023 t°y tVtaunca uraes - es S fr LLr Z2—ZO3 � Local Guidelines for Irnplementing the California Environmental Quality Act (2023) FORMS 12. FORMS See forms A — S which accompany these Guidelines. 2023(&tot y OUIIuraes - es gfr LLP CZ2—ZO4 Local Guidelines for Irnplementing the California Environmental Quality Act (2023) Common ACRONYMS 13. COMMON ACRONYMS A. ************************************************** ADEIR — Administrative Draft Environmental Impact Report AQMD — Air Quality Management District AQMP — Air Quality Management Plan AR — Administrative Record ARB — Air Resources Board B.************************************************ BMP — Best Management Practices BO — Biological Opinion C.************************************************** Cal EPA — California Environmental Protection Agency CAP — Climate Action Plan CCAA — California Clean Air Act CCR — California Code of Regulations (Title 14 Sections 15000 et seq. are also known as the State CEQA Guidelines.) CE — Categorical Exclusion (NEPA) CESA — California Endangered Species Act CEQA — California Environmental Quality Act CFR — Code of Federal Regulations CMP — Congestion Management Plan CRWQCB — California Regional Water Quality Control Board D.************************************************** DEIR — Draft Environmental Impact Report DFW — Department of Fish and Wildlife E.************************************************** EA — Environmental Assessment (NEPA term) EIR — Environmental Impact Report EIS — Environmental Impact Statement (NEPA term) EPA — Environmental Protection Agency ESA — Endangered Species Act; Environmental Site Assessment F.************************************************** FCAA — Federal Clean Air Act FEIR — Final Environmental Impact Report FOIA — Freedom of Information Act (Federal) FONSI — Finding of No Significant Impact (NEPA term) FWS — Fish and Wildlife Service 2023 turaes - es gfr LLPy OUICZ2-2O5 Local Guidelines for Implementing the California Environmental Quality Act (2023) Common ACRONYMS G. GHG — Greenhouse Gas GW — Ground Water H.************************************************** HH&E — Human Health and Environment HRA — Health Risk Assessment HS — Hazardous Substance IS — Initial Study J.************************************************** K. LADD — Lifetime Average Daily Dose; Lowest Acceptable Daily Dose LEA — Local Enforcement Agency LESA — Land Evaluation and Site Assessment LUFT — Leaking Underground Fuel Tank LUST — Leaking Underground Storage Tanks. Reference Part 213 of Public Act 451 of 1994. M.************************************************** MEIR — Master Environmental Impact Report MMRP — Mitigation Monitoring and Reporting Plan MPO — Metropolitan Planning Organization MND — Mitigated Negative Declaration N.************************************************** ND — Negative Declaration NEPA — National Environmental Policy Act NOA — Notice of Availability NOC — Notice of Completion NOD — Notice of Determination NOE — Notice of Exemption NOI — Notice of Intent NOP — Notice of Preparation NOV — Notice of Violation O.************************************************** OPR — Office of Planning and Research 2023(&tot y OUIIuiaes - es gfr LLP CZ2—ZOG Local Guidelines for Implementing the California Environmental Quality Act (2023) Common ACRONYMS P. PEIR — Program Environmental Impact Report. Sometimes also used to describe a Project Environmental Impact Report PM — Particulate Matter PRA — Public Records Act PSA — Permit Streamlining Act RCRA — Resource Conservation and Recovery Act (1976) Governs definition, handling, and disposal of hazardous waste. S.************************************************** SCH — State Clearinghouse SEIR — Supplemental or Subsequent Environmental Impact Report SMARA — Surface Mining and Reclamation Act SWMP — Stormwater Monitoring Program SWPPP — Stormwater Pollution Prevention Program T.************************************************** TCM — Transportation Control Measure TCP — Transportation Control Plan TDS — Total Dissolved Solids TMP — Transportation Management Plan Title V — refers to Title V of the Clean Air Act related to ambient air quality provisions TLV — Threshold Limit Value U.*******x****************************************** UBC — Uniform Building Code UFC — Uniform Fire Code UGST — Underground Storage Tank USDW — Underground Source of Drinking Water UWMP — Urban Water Management Plan V.************************************************** VOC — Volatile Organic Compounds (Health & Safety Code, Section 25123.6.) VOS — Vehicle Operating Survey W.************************************************** WQS — Water Quality Standard WSA — Water Supply Assessment WTP —Water Treatment Plant. A facility designed to provide treatment to water. WWTP — Wastewater Treatment Plan 2023(&tot y OUIIui a es - es gar LLP CZ2—ZO7 Local Guidelines for Implementing the California Environmental Quality Act (2023) Common ACRONYMS 2023 itot ta, Ana ca ui e mes - �� _ ��$ c est �s 1ejr LLP Police Department www.santa-ana.org/pol ice Item # 23 or City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: Resolution and Agreement for Police Department K-9 Program AGENDA TITLE Adopt a Resolution and Approve an Agreement Authorizing Police Corporal Joshua Gripentrog to Purchase a Retired Santa Ana Police Department K-9, and Accepting the Donation of a Police K-9 from Johanna Scillieri for the Santa Ana Police Department K- 9 Program RECOMMENDED ACTION 1. Adopt a resolution authorizing the purchase agreement between Santa Ana Police Corporal Joshua Gripentrog and the City of Santa Ana for the sale of a retired Santa Ana Police Department K-9, and accepting the donation of a Police K-9, equipment, and supplies from Johanna Scillieri for the Santa Ana Police Department's K-9 Program. 2. Authorize the City Manager to execute a purchase agreement with Santa Ana Police Corporal Joshua Gripentrog for the sale of a retired Police Department K-9 in the amount of $1, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The Santa Ana Police Department Canine Unit utilizes police service dogs trained specifically to assist with different patrol functions. The police service dogs serve as a valuable officer safety resource during tactical and high -risk situations. The police service dogs are used to find and apprehend violent suspects, providing officers with additional safety options when apprehending a suspect. In addition to enforcement duties, canine handlers perform public relations activities with their K-9s that enhance the crucial bond between the Police Department and community members. During public demonstrations, community members are able to "meet and greet" the police service dogs and observe live bite and detection demonstrations. From time to time, community members contribute funding and supplies to enhance Department programs. Santa Ana Police Department Volunteer Johanna Scillieri, who City Council 23 — 1 8/1/2023 Resolution and Agreement for Police Department K-9 Program August 1, 2023 Page 2 volunteers in the Investigations Division, has a passion for animals and the Santa Ana Police Department's K-9 Program in particular. Volunteer Scillieri wishes to donate new K-9 "Wick" to the program. The total value of new K-9 Wick, equipment, and supplies is approximately $12,930. Currently, the Santa Ana Police Department Canine Unit has six apprehension canines, a bloodhound, a therapeutic dog, and a narcotics detection dog. Approval of this resolution will enhance the Canine Unit's operational status in assisting other Department bureaus in continuing a 7-day/week coverage for the City of Santa Ana. The Santa Ana Police Department appreciates the partnership it has with its volunteers and recommends approval of this resolution. Police Corporal Gripentrog has worked alongside his K-9 partner Marko since 2016. His assigned K-9, Marko, is ten years old, the average retirement age for police service dogs. At his age and physical condition, it would be impractical to keep him in service as a K-9 team with Police Corporal Gripentrog. During their assignment as a K-9 team, Marko has lived with Police Corporal Gripentrog for seven years. As Marko retires, Police Corporal Gripentrog wishes to purchase Marko for the standard fee of $1 (one dollar). Police Corporal Gripentrog will assume ownership and full responsibility for the care, maintenance, food, housing, medical, and any other expenses that arise out of Police Corporal Gripentrog's ownership of Marko. In order to provide a consistent home and care for K-9 Marko, it is recommended that the agreement between Police Corporal Gripentrog and the City of Santa Ana be approved. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The $1 (one dollar) payment from Corporal Gripentrog from the purchase of K-9 Marko will be deposited into the Police Department Miscellaneous Reimbursement revenue account (no. 01114002-57402) EXHIBIT(S) 1. Resolution 2. Agreement with Corporal Gripentrog Submitted By: David Valentin, Police Chief Approved By: Kristine Ridge, City Manager City Council 23 — 2 8/1/2023 Exhibit 1 IN [12111141PAI RESOLUTION NO. 2023-xxx A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE AGREEMENT BETWEEN POLICE OFFICER GRIPENTROG AND THE CITY OF SANTA ANA RELATING TO THE PURCHASE OF A POLICE K-9 AND ACCEPTING THE DONATION OF A POLICE K-9, EQUIPMENT AND SUPPLIES FROM JOHANNA SCILLIERI FOR THE SANTA ANA POLICE DEPARTMENT K-9 PROGRAM BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. WHEREAS, Corporal Joshua Gripentrog ("Officer") is a police officer with the Santa Ana Police Department ("SAPD") and was assigned to the Canine Unit as a K-9 officer; and B. WHEREAS, the City assigned a dog named Marko to be used in the K-9 Unit and Marko was assigned to Officer; and C. WHEREAS, Marko has served SAPD for several years and is 9 years old, a normal retirement age for police service dogs. Based on his age and current physical condition, it would be impractical to reassign Marko to a new K-9 handler to attend Basic Handlers Course and to put Marko back in service; and D. WHEREAS, Officer has requested permission to purchase Marko; and the City is agreeable to selling Marko to Officer due to their relationship; and E. WHEREAS, SAPD's Canine Unit is replacing Marko with a newly donated K-9 named Wick; and F. WHEREAS, community members contribute funding and supplies to enhance the K-9 program, Police Volunteer Johanna Scillieri, who volunteers in SAPD's Investigations Bureau, and who has a passion for animals, and SAPD's K-9 program, wishes to donate to the City one (1) Police K-9 named Wick, to be assigned to SAPD's K-9 Program; and H. WHEREAS, the total value if Wick was purchased, including of equipment and supplies, which is being is being donated by Ms. Scillieri, is approximately $12,930. Resolution 2023-xxx PagCjjPUuncil 23 — 3 8/1/2023 Section 2. The City has declared Marko to be surplus property and due to the nature of Officer's relationship with Marko, the City Council authorizes the City Manager to enter into an Agreement with Officer on behalf of the City to sell Marko for $1.00 (one - dollar) under terms and conditions acceptable to the City Attorney. Section 3. The City hereby accepts the donation of Wick, to its ranks, and the equipment and supplies for this K-9. Section 4. If any surcharge or fee, section, subsection, sentence, clause, phrase or word of this Resolution is for any reason held to be invalid by a court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this Resolution. The City Council hereby declares that it would have passed and adopted this Resolution, and each and all provisions hereof, irrespective of the fact that one or more provisions may be declared invalid. Section 5. 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 August, 2023. Valerie Amezcua Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney B:_ iu&L�,___ Y Tamara Bogosian Senior Assistant City Attorney AYES: NOES Councilmembers Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Resolution 2023-xxx PagCRPUuncil 23 — 4 8/1/2023 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Jennifer L. Hall, City Clerk, do hereby attest to and certify the attached Resolution No. 2023-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: City Clerk City of Santa Ana Resolution 2023-xxx PagCPPUuncil 23 — 5 8/1/2023 Exhibit 2 PURCHASE AGREEMENT THIS PURCHASE AGREEMENT, made and entered into this 1 st day of August, 2023 by and between Santa Ana Police Department Corporal Joshua Gripentrog ("Officer") 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. Officer is a member of the Santa Ana Police Department and was assigned as a K-9 Handler in the K9 Unit. B. Officer was, in connection with his assignment as a K9 Handler, given the care, custody, and control of a police dog named "Marko" (Dog). C. Dog has been specially trained to assist officers in law enforcement tasks and to respond to commands issued specifically by the Officer. D. Dog is over 9 years old, a normal retirement age for police dogs. Based on his age and current physical condition, it would be impractical to reassign Dog to a new canine handler to attend Basic Handlers Course before being put back in service. E. Dog is considered "surplus" property and the Director of Finance has agreed to sell Dog to Officer for the total sum of $1.00. F. Officer wishes to purchase and adopt Dog. It is the City's intent to sell Dog to Officer subject to the conditions specified in this agreement. 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. City hereby sells Dog to Officer for the total sum of $1.00, payable at the time this contract is executed. Officer shall be the owner of the Dog upon execution of this contract and payment of $1.00. 2. Officer agrees and hereby assumes ownership and full responsibility for the care, maintenance, food, housing, medical and any and all other expenses that result from or arise out of Officer's ownership of Dog. 3. Officer agrees that the City shall have no further responsibility of liability for Dog or Dog's care after the date of this Agreement. 4. Officer agrees to defend, indemnify and hold harmless the City and its officers, employees, representatives, and agents with respect to any loss, damage, claim, injury, or liability that arises out of, or is in any way related to, Dog or Officer's actions with Dog after the effective date of this Agreement. City Council 23 — 6 8/1/2023 5. Officer gives up and waives any right he may have on behalf of himself and his heirs, assigns, and successors for any loss, injury, damage, claim, or liability arising out of or in any way related to Officer's ownership and possession of Dog. 6. This Agreement contains the entire agreement between the parties and no representations have been made by any of the parties or their representative, except as is contained herein and any representations not expressed herein are invalid and unenforceable. This agreement is valid on the effective date and may not be modified thereafter, except in writing signed by the parties. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. OSHU TROG Police Corporal RECOMMENDED FOR APPROVAL: DAVID VALENTIN Chief of Police APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney ABy: ---- Tamara Bogosian Sr. Assistant City Attorney CITY OF SANTA ANA KRISTINE RIDGE City Manager ATTEST: JENNIFER L. HALL City Clerk City Council 23 — 7 8/1/2023 Recall Petition for Councilmember Jessie Lopez August 1, 2023 Page 2 DISCUSSION A petition to recall Councilmember Jessie Lopez, Ward 3, was approved for signature collection by the City Clerk on April 7, 2023. Proponents delivered the completed petition to the City Clerk on June 12, 2023. Following a prima facie examination of the petition as required by law, the City Clerk determined the petition contained the requisite number of signatures of electors of the City, accepted the petition for filing on June 13, 2023, and forwarded the petition to the Orange County Registrar of Voters (ROV) for signature verification. The ROV has determined that the petition contains the requisite number of valid signatures of electors of Santa Ana's Ward 3 to qualify the petition for certification to the City Council and has certified the results as of July 17, 2023. Exhibit 1 is a resolution accepting the ROV's certification, with the certification attached as Exhibit "A" to the resolution. In order for this recall petition to qualify for an election, the petition must contain signatures equal to 20% of the registered voters of Ward 3. The required number of signatures for this recall petition was 5,274. After examination of the petition by the ROV, the ROV determined the following: Number of signatures filed 6,617 Number of signatures required 5,274 Number of signatures verified 6,617 Number of signatures found valid 5,284 Number of signatures found invalid 1,333 Invalid because of duplicate 395 Based upon the certification as to verification of signatures on petition, the City Clerk has prepared the certificate of sufficiency (Exhibit "B" to the Resolution). Pursuant to California Elections Code §11240, the City Council is required to issue an order within 14 days of receiving the certificate of sufficiency stating that an election shall be held to determine whether or not Councilmember Lopez shall be recalled. Such election shall be held not less than 88, nor more than 125, days after the issuance of the order. Elections may only be held on a Tuesday that is not the day before, the day of, or the day after a State holiday. If City Council selects Option 2 above and approves the resolution ordering the Special Election on August 1, 2023, the possible dates for a special election are: October 31, November 7, November 14, November 21, or November 28. If City Council selects Option 3 above and approves the resolution ordering the Special Election on August 15, 2023, the possible dates for a special election are: November 14, November 21, November 28, December 5, or December 12. City Council 24 — 2 8/1/2023 City Clerk Office _ www.santa-ana.org/departments/city-clerks-office/ Item # 24 o`er City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: Recall Petition for Councilmember Jessie Lopez AGENDA TITLE Accept the Certificate of Sufficiency for Petition to Recall Councilmember Jessie Lopez, City Council, Ward 3, and Either Adopt Resolutions Calling a Special Election and Adopting a Regulation for Officer's Statement or Direct Staff to Prepare Resolutions Calling a Special Election and Adopting a Regulation for Officer's Statement for Consideration at the August 15, 2023 City Council Meeting RECOMMENDED ACTION 1. Approve resolution accepting the certification of the Orange County Registrar of Voters as to the verification of signatures and the City Clerk's Certificate of Sufficiency for petition seeking to recall Councilmember Jessie Lopez, City Council, Ward 3; Following acceptance of the certification, take one of the following actions: 2. Approve two resolutions: 1) calling and giving notice of a Special Municipal Election for the submission of the question of the recall of Councilmember Jessie Lopez to a vote by the electorate of Ward 3 of the City of Santa Ana and requesting specified services from the County of Orange to conduct said election, and 2) adopting a regulation for officer's statement and establishing a system for payment of the cost of inclusion of the statement in the voter information guide. •M 3. Direct staff to prepare a resolution for approval at the August 15, 2023 Council meeting, submitting the question of the recall of Councilmember Jessie Lopez to a vote by the electorate of Ward 3 of the City of Santa Ana at a special election, and a resolution adopting a regulation for officer's statement. City Council 24 — 1 8/1/2023 Recall Petition for Councilmember Jessie Lopez August 1, 2023 Page 3 Additionally, Elections Code §11327 provides that an officer whose recall is being sought may file a statement with the elections official in accordance with Section 13307, to be sent to each voter, together with the voter information guide/pamphlet. Exhibit 3 sets forth a regulation for the officer's statement and establishes a system for payment of the cost of inclusion of the officer's statement in the voter information guide/pamphlet. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Costs to cover the verification of signatures and certification of the recall petition by the ROV were $22,936.40. Estimated costs for the Ward 3 Special Election are $607,403 - $666,990. Sufficient funds are available in the City Clerk's Office's FY23/24 budget, Administration, Contract Services -Professional (no. 01107031 62300). There is no fiscal impact related to the officer's statement. All costs will be borne by the officer. EXHIBIT(S) 1. Resolution - Accepting Certificate of Signature Verification and Certificate of Sufficiency 2. Resolution - Calling a Special Municipal Election 3. Resolution - Adopting Regulation for Officer's Statement Submitted By: Jennifer Hall, City Clerk Approved By: Kristine Ridge, City Manager City Council 24 — 3 8/1/2023 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ACCEPTING THE CERTIFICATE AS TO VERIFICATION OF SIGNATURES ON PETITION AND CERTIFICATE OF SUFFICIENCY FOR PETITION TO RECALL COUNCILMEMBER JESSIE LOPEZ WHEREAS, on February 8, 2023, the City Clerk received a copy of Notice of Intention to Circulate Recall Petition for Jessie Lopez, Councilmember, Ward 3; and WHEREAS, on April 7, 2023, the Petition for Recall form was determined to meet the statutory requirements and, therefore, was approved for signature gathering; and WHEREAS, pursuant to Elections Code Section 11221(a)(3), the number of signatures required on the petition to qualify and trigger a recall election must be equal in number to not less than the following percent of registered voters in the electoral district: twenty percent (20%) if the registration is less than 50,000 but at least 10,000; and WHEREAS, according to the current Secretary of State report (dated February 10, 2023) at the time the Notice of Intention was filed, Ward 3 in the City of Santa Ana had 26,370 registered voters, and therefore, the number of verified signatures required was 5,274 for the petition; and WHEREAS, on June 12, 2023, the proponents of a recall election submitted the petition with the C i ty Clerk's Office in accordance with Elections Code Sections 11220 and 1 1222 and prior to the established deadline of August7, 2023; and WHEREAS, after completing a prima facie review of signatures, the City Clerk determined that the petition did, in fact, contain the minimum number of signatures, and, thereafter, provided the petitions to the County of Orange Registrar of Voters for examination and verification of signatures; and WHEREAS, on July 17, 2023, the County of Orange Registrar of Voters provided a certificate as to verification of signatures on petition for the petition to recall Council Member Jessie Lopez, indicating the requisite number of signatures affixed to the petition, and attached as Exhibit A; and WHEREAS, based upon the certificate as to verification of signatures from the County of Orange Registrar of Voters, the City Clerk issued a certificate of sufficiency for the petition to recall Council Member Jessie Lopez attached as Exhibit B. #293993v2 Resolution No. 2023-XXX Page 1 of 3 City Council 24 — 4 8/1/2023 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 that the City Council hereby accepts the certificate as to verification of signatures on petition from the Orange County Registrar of Voters on the petition to recall Jessie Lopez, Councilmember, Ward 3, and also accepts the City Clerk's certificate of sufficiency. Section 2. This Resolution shall take effect immediately upon its adoption by the City Council, and the City Clerk shall attest to and certify the vote adopting this Resolution. ADOPTED this 1st day of August, 2023. Valerie Amezcua Mayor APPROVED AS TO FORM: Sonia R. Carvalho City X Atorney By. 0.Q,,,, Laura A. Rossini Chief Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Resolution No. 2020-XXX Pag ity ouncil 24 — 5 8/1/2023 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Jennifer L. Hall, City Clerk, do hereby attest to and certify the attached Resolution No. 2023-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on August 1 st, 2023. Date #293993v2 Jennifer L. Hall City Clerk City of Santa Ana Resolution No. 2023-XXX Page 3 of 3 City Council 24 — 6 8/1/2023 CERTIFICATE AS TO VERIFICATION OF SIGNATURES ON PETITION State of California) )ss. County of Orange) I, Bob Page, Registrar of Voters of the County of Orange, do hereby certify that I am the county officer having charge of the registration of voters in the County of Orange, and I have examined, or caused to be examined, the signatures contained on the initiative petition submitted to the City of Santa Ana, entitled, "Petition for Recall of Jessie Lopez, City Council Member, Ward 3." I further certify that from said examination I have determined the following facts regarding this document: Number of signatures filed: 6,617 Number of signatures required: 5,274 Number of signatures verified: 6,617 Number of signatures found valid: 5,284 Number of signatures found invalid: 1,333 Invalid because of Duplicate: 395 WITNESS my hand and Official Seal this 17th day of July, 2023. I BOB PAGE Registrar of Voters Orange County City Council 24 — 7 8/1/2023 Exhibit B CERTIFICATE OF SUFFICIENCY OF RECALL PETITION I, Jennifer L. Hall, City Clerk for the City of Santa Ana, County of Orange, State of California, do hereby certify: That proponents submitted to my office on June 12, 2023 a petition to recall Jessie Lopez holding the office of Councilmember, Ward 3 in the City of Santa Ana, California. The petition was accepted for filing and delivered to the Orange County Registrar of Voters on June 13, 2023 to verify the signatures. That said petition consisted of 1,098 sections, and that each section contained signatures purporting to be 6,582 signatures of qualified electors of the City of Santa Ana, California. The petition is considered sufficient to qualify if signed by at least 20% of the 26,370 registered voters in Ward 3 in the City of Santa Ana. That attached to said petition at the time it was filed, was an affidavit purporting to be the affidavit of the person who solicited the signatures, and containing the dates between which the purported qualified electors signed this petition. That the affiant stated his or her own qualification, that he or she had solicited the signatures upon that section, that all of the signatures were made in his or her presence, and that to the best of his or her own information and belief, each signature to that section was the genuine signature of the person whose name it purports to be. That the Registrar of Voters of the County of Orange has certified the results attached hereto as Exhibit 1 and incorporated by reference the signature verification of the following facts regarding this petition: 1. Recall sought Jessie Lopez as the named officer. 2. Holding the Office of Councilmember, Ward 3. 3. Total number of signatures required by law: 5,274 4. Total number of signatures on the petition: 6,617 5. Total number of valid signatures on the petition: 5,284 6. Number of signatures which were disqualified: 1,333 Based on this examination and in accordance with Elections Code Sections 11222, 11224, and 11227, the recall petition is hereby acknowledged as sufficient to be submitted to the voters at a special election not less than 88, nor more than 125, days after the issuance of the order. IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of th City of Santa Ana this 1711 day of July, 2023. r oa* L.(:ennifer ity Cle y of Santa An City Council 24 — 8 8/1/2023 » to] IL11I[ML1►Is] rZol0% :kV0 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, CALLING AND GIVING NOTICE OF THE HOLDING OF A SPECIAL MUNICIPAL ELECTION TO BE HELD I N C O U N C I L W A R D 3 ON TUESDAY, , 2023 FOR SUBMISSION OF THE QUESTION OF THE RECALL OF CERTAIN OFFICERS AND REQUESTING SPECIFIED SERVICES FROM THE COUNTY OF ORANGE TO CONDUCT SAID ELECTION WHEREAS, under the provisions of the law relating to charter cities in the State of California, a petition seeking the recall of City Councilmember Jessie Lopez was circulated for qualified voter signatures and timely filed with the City Clerk for the City of Santa Ana on June 13, 2023; WHEREAS, the City Clerk for the City of Santa Ana retained the services of the Orange County Registrar of Voters to verify the number of valid signatures contained in the recall petition; WHEREAS, on July 17, 2023, the Orange County Registrar of Voters issued a certificate verifying that the recall petition contains enough valid signatures to qualify the recall for the ballot (20% of the registered voters in Ward 3); WHEREAS, based upon the data provided by the Registrar of Voters, the City Clerk for the City of Santa Ana issued a certificate of sufficiency for the petition. WHEREAS, the Orange County Registrar of Voters' verification certificate along with the City Clerk's certificate of sufficiency were presented to the Santa Ana City Council on August 1, 2023; WHEREAS, Elections Code Section 11240 requires that the Santa Ana City Council issue an order stating that an election shall be held to determine whether or not the officer named in the petition shall be recalled not later than fourteen (14) days after the meeting at which it received the certificate of sufficiency; and WHEREAS, the election shall be held not less than 88, nor more than 125, days after the issuance of the order pursuant to Elections Code Section 11242. NOW, THEREFORE, 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 herby finds, determines, and declares as follows that pursuant to the requirements of the laws of the State of California relating to charter cities, that there is called and ordered to be held in C o u n c i I W a rd 3 of the City of Santa Ana, California, on Tuesday, , 2023 Resolution No. 2023-XXX Pag ity ouncil 24 — 9 8/1/2023 a Special Municipal Election for the purpose of submitting the question of the recall of City Councilmember Jessie Lopez. SECTION 2: On the ballots to be used at the Special Municipal Election, in addition to any other matters required by law, there shall be printed substantially the following ballot question: Shall Jessie Lopez be recalled (removed) YES from the office of Councilmember for Ward 3, City of Santa Ana? NO SECTION 3: That, pursuant to California Elections Code Section 11327, Councilmember Lopez may file a statement of not more than two hundred (200) words with the elections official in accordance with Elections Code Section 13307, to be sent to each voter, together with the voter information guide. SECTION 4: The ballots to be used at the election shall be in form and content as required by law. SECTION 5: The precincts, ballot drop box locations and hours of operations, vote center locations and hours of operations, vote -by -mail procedures and timing, and election officers, and all other persons and procedures for the Special Municipal Election shall be those utilized by the County of Orange. SECTION 6: In all particulars not recited in this resolution, the election shall be held and conducted as provided by law for holding municipal elections. SECTION 7: Notice of the time and place of holding the election is given and the City Clerk is authorized and instructed to give further or additional notice of the election, in time, form, and manner as required by law. SECTION 8: That pursuant to the requirements of Section 10002 of the Elections Code, the Board of Supervisors of the County of Orange is hereby requested to consent and agree to permit the Orange County Registrar of Voters to render specific services to the City relating to the conduct of the Special Municipal Election. The specific election services which the City of Santa Ana requests the Registrar of Voters, or such other official as may be appropriate, to perform, and which such officer is hereby authorized and directed to perform, if said Board of Supervisors consents, include: the preparation, printing and mailing of sample ballots/voter information guides; making such publications as are required by law in connection therewith; the preparation, printing, mailing and Resolution No. 2023-XXX Page 2 of 4 City Council 24 — 10 8/1/2023 furnishing of vote -by -mail ballots and other necessary supplies or materials to conduct the election; the canvassing of the returns of the election and the furnishing of the results of such canvassing to the City Clerk of the City of Santa Ana; and the performance of such other election services as may be requested by the City Clerk. SECTION 9: Furthermore, pursuant to Elections Code Section 10002, the City of Santa Ana recognizes that additional costs will be incurred by the County due to providing election services and canvassing returns for this Special Municipal Election and agrees to reimburse the County of Orange for any such costs. SECTION 10: That the City Clerk is authorized, instructed, and directed to coordinate with the County of Orange Registrar of Voters to procure and furnish any and all official ballots, notices, printed matter, and all supplies, equipment, and paraphernalia that may be necessary in order to properly and lawfully conduct the election. SECTION 11: The City Council directs the C i t y Clerk to file a certified copy of this Resolution with the Orange County Registrar of Voters and the Orange County Board of Supervisors. SECTION 12: This Resolution shall take effect immediately upon its adoption by the City Council, and the City Clerk shall attest to and certify the vote adopting this Resolution. ADOPTED this 1 st day of August, 2023. Valerie Amezcua Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Laura A. Rossini Chief Assistant City Attorney Resolution No. 2023-XXX Pag ity ouncil 24 —11 8/1/2023 AYES Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Jennifer L. Hall, City Clerk, do hereby attest to and certify the attached Resolution No. 2023-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on August 1, 2023. Date Jennifer L. Hall City Clerk City of Santa Ana Resolution No. 2023-XXX Page 4 of 4 City Council 24 — 12 8/1/2023 RESOLUTION NO. 2023-OXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING A REGULATION FOR AN OFFICER WHOSE RECALL IS BEING SOUGHT PERTAINING TO A STATEMENT SUBMITTED TO THE VOTERS AT A SPECIAL ELECTION ON TUESDAY , 2023 AND ESTABLISHING A SYSTEM FOR PAYMENT OF THE COST OF INCLUSION OF THE OFFICER'S STATEMENT IN VOTER INFORMATION GUIDE/PAMPHLET AND/OR ELECTRONIC COPY WHEREAS, on August 1, 2023, by adoption of Resolution No. , the City Council called a special municipal election pursuant to the California Elections Code, to be held on , 2023, whereby the voters of Santa Ana Ward 3 will consider whether Councilmember Jessie Lopez shall be recalled from elective office. WHEREAS, Section 11327 of the Elections Code of the State of California provides that an officer whose recall is being sought may file a statement with the elections official in accordance with Section 13307, to be sent to each voter, together with the voter information guide/pamphlet. WHEREAS, Section 13307 of the Elections Code of the State of California provides that the governing body of any local agency may adopt regulations pertaining to a statement prepared by any officer whose recall is being sought for a special municipal election, including costs of the statement. WHEREAS, Section 13307(d) of the Elections Code of the State of California authorizes the governing body of any local agency to require the officer whose recall is being sought and filing a statement to pay in advance to the local agency the estimated cost as a condition of having his or her statement included in the voter information guide/pamphlet or electronically distributed. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: That pursuant to Sections 13307 and 11327 of the Elections Code of the State of California, an officer whose recall is being sought at a special election to be held in the City of Santa Ana on , 2023 may prepare a statement on an appropriate form provided by the City Clerk and in compliance with the requirements of the Elections Code for the State of California. The statement shall not exceed 200 words. Resolution No. 2023-XXX Page 1 of 3 City Council 24 — 13 8/1/2023 Section 2. Foreign Language Policy. Pursuant to the Federal Voting Rights Act, the officer's statement will be translated into all languages required by the County of Orange. Section 3. Payment. A. The Orange County Registrar of Voters Office has estimated the total cost of translating, posting an electronic copy on the Registrar of Voters website, printing, handling, and/or mailing the statement of the officer whose recall is being sought and has determined the approximate cost of the officer filing a statement, based upon such estimate, as follows: Print in voter information guide/pamphlet and electronic copy of Statement in Registrar of Voter's Office website in English, Spanish, Vietnamese, Korean and Chinese: 200 Words $1,102.45 Electronic copy of Statement in Registrar of Voter's Office website in English, Spanish, Vietnamese, Korean and Chinese: • 200 Words $431.56 B. Payment in advance by the officer whose recall is being sought of the statement costs shall be a condition of having his or her statement included in the voter's pamphlet, and/or electronic posting. Section 4. Notice of Requirement to Pay Statement Costs; Obligation to Pay Actual Costs. A. Prior to the period in which the statements may be filed, the City Clerk shall prepare a written notice distributed to the officer whose recall is being sought, informing him or her that payment of the amount must be made no later than 88 days before the special election, as prescribed by the California Elections Code. B. The City Clerk's receipt for the payment shall include a written notice that the estimate is just an approximation of the actual cost that varies from one election to another election and may be significantly more or less than the estimate. Accordingly, the City Clerk shall not be bound by the estimate and shall, as applicable, bill the officer for the additional amount necessary to cover the actual expense or refund any excess monies paid by the officer, depending on the final actual cost. In the event of underpayment, the City Clerk shall require the officer to pay the balance of the cost incurred. In the event of overpayment, the City Clerk shall refund the excess amount paid. Page plocrf uoici 24 — 14 8/1 /2023 Section 5. The City Clerk shall provide the officer or the officer's representative a copy of this Resolution at the time the officer files his or her statement with the City Clerk. Section 6. This Resolution shall take effect immediately upon its adoption by the City Council, and the City Clerk shall attest to and certify the vote adopting this Resolution. ADOPTED this 1st day of August, 2023. Valerie Amezcua Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By f ax,,, N. Q,,,, Laura A. Rossini Chief Assistant City Attorney /A'1 �:nIiT.11I I - IIi1STW NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATION OF ATTESTATION AND ORIGINALITY I, Jennifer Hall, City Clerk, do hereby attest to and certify the attached Resolution No. 2023-OXX to be the original resolution adopted by the City Council of the City of Santa Ana on August 1, 2023. Date: Jennifer Hall City Clerk City of Santa Ana Resolution No. 2023-XXX Page 3 of 3 City Council 24 — 15 8/1/2023 Ok 9AN�,q y go CITY OF 1 1 ANA UUE U „„ III �INN���mIII * q 1�III�NIIIINIIV r City Council Meeting Date August 15Y, 2023 Subject Reservation and Facilities Fees Discussion Councilmember-Reauested Item Title Discuss and Re -consider Fees for registering events and reserving facilities to create a community - friendly atmosphere. Discussion The focus area is waiving fees for neighborhood associations that partner up with non -profits and or Council Members within their ward to reserve Santa Ana Community Facilities to provide Santa Ana residents with their services. (Ex: TKO boxing club contribution of 30+ years community involvement- waived rent to continue to provide services for Santa Ana Residents, 200+ youth participating.) Street closure fees: Consider waiving fees as businesses unite to agree on street closures for designated times and days for purposeful community events. Decrease fees for Santa Ana field reservations per youth sporting events. If reservations consist of personal use of facilities the fee will remain unchanged. Likewise, if facilities are reserved for private use or personal occupancy fees should not be waived. Submitted By • Councilmember Johnathan Ryan Hernandez CITY ATTORNEY CITY MANAGER CITY CLERK Cnnia R (:a rvaIhn Kri&ino PHf Ionnifor I Hall M-31 City Council 20 CIVIC CENTER PLAZA - P.O. BOX 1988, - UTA ANA, CALIFORNIA 92702 8/1/2023 TELEPHONE (714) 647-6900 - FAX (714) 647-6954 - www.santa-ana.org Santa Ana City Council Resolution in Support of the HOME Act (Carrillo - AB 1306) Whereas, refugees and immigrants are a vital part of California's heart and identity, and we recognize the humanity of all people who call our community home, Whereas, California's criminal justice system unjustly and disproportionately harms Black, Latinx, Indigenous, and Asian and Pacific Islander American communities. Whereas, in recent years, the Legislature and California voters have demonstrated a strong commitment to reforming our criminal system and ending mass incarceration by enacting the following landmark reforms. Through these reforms, certain incarcerated individuals have the opportunity to be considered for resentencing or release. Whereas, despite these reforms, when California's prisons voluntarily and unnecessarily transfer immigrant and refugee community members eligible for release from state custody to Immigration and Customs Enforcement (ICE) for immigration detention and deportation purposes, they subject these community members to double punishment and further trauma. This double -punishment devastates families and deprives our communities of beloved leaders who are eager to positively contribute to society. If not because of where they were born, these community members would be allowed to return home to their families and communities. Whereas, immigrant community members can be incarcerated by ICE, often for prolonged periods and with no right to bail, and deported, permanently banishing them from the country, from their families, their homes, their livelihoods and "all that makes life worth living." Ng Fung Ho v. White, 259 U.S. 276, 284 (1922). The Supreme Court has repeatedly acknowledged that for many people deportation is a more severe penalty than any jail sentence. See, e.g., Lee v. U.S., 137 S.Ct. 1958, 1968 (2017); Padilla v. Kentucky, 559 U.S. 356, 364 (2010). Whereas, data shows that Black and Brown immigrants are disproportionately targeted by arrest, detention, and deportation. Whereas, when the California legislature passed criminal justice reforms that are included in the HOME Act (AB 1306), these existing reforms were expected to save the state millions by reducing the length of draconian sentences. However, when Californians who are immigrants earn release through these reforms, CDCR expends additional funding unnecessarily to coordinate with and hand these community members over to ICE for a second, double punishment. The full intent, benefits, and cost savings from these reforms cannot be fully realized if CDCR continues to waste resources on assisting ICE with deportations. City Council 26 — 1 8/1/2023 Whereas, our immigration policies should be driven by our values: equality, fairness, compassion, and common humanity. Immigrants are part of our families, communities and workplaces. Every person who calls the U.S. home, including our neighbors who are immigrants, should be safe from profiling and harm by the government. Whereas, California has an important opportunity to reunite families and strengthen communities by passing the HOME Act (Harmonizing Our Measures for Equality, AB 1306 by Assembly Member Wendy Carrillo) this year — and supporting our movement's fight for justice. Whereas, the HOME Act is a simple fix that will harmonize state policy with broadly -supported, existing criminal justice reforms that have already been enacted into law. These laws are reducing mass incarceration and addressing racism in our legal systems. Whereas, community members who have earned release under existing laws included in the HOME Act should be able to return home, reunite with their families, and rebuild their lives instead of being cruelly transferred to ICE. This is an issue of equality and fairness. Whereas, Oregon, Illinois, and Washington DC have already enacted laws that stop all ICE transfers from jails and prisons, and it's time for California to start to catch up. Additionally, many counties within California have already stopped all ICE transfers including Los Angeles, San Joaquin, Santa Cruz, Humboldt, San Francisco, Santa Clara, and Contra Costa. Whereas, the City of Santa Ana values all members of our community, embraces compassion, equality, and inclusion, and proudly defends the rights of all residents, including refugees and immigrants; now, therefore, be it Resolved, that the City of Santa Ana is in strong supports California Assembly Bill No. 1306 and urges the California State Legislature to pass this bill in order to harmonize state policy with broadly -supported, existing criminal justice reforms that have already been enacted into law; and be it Further resolved, that the City of Santa Ana hereby directs the Clerk of the Board to transmit a copy of this Resolution to the California Assembly Speaker Anthony Rendon, California Assembly Appropriations Committee Chair Chris Holden, California State President Pro Tempore Toni Atkins, California Senate Public Safety Committee Chair Aisha Wahab, California Senate Judiciary Committee Chair Thomas Umberg, California Senate Appropriations Committee Chair Anthony Portantino, and the Bill's author, Assembly Member Wendy Carrillo. City Council 26 — 2 8/1/2023 DRAFT Minutes of the Special Meeting of the Housing Authority Santa Ana, California �'li�..-- July 18, 2023 CALL TO ORDER MINUTES: Chair Amezcua called the Regular Housing Authority Meeting of July 18, 2023 to order at 12:04 A.M. on July 19, 2023. ATTENDANCE Authority Members Vice Chair Chair City Manager City Attorney Recording Secretary ROLL CALL Phil Bacerra Johnathan Ryan Hernandez David Penaloza Thai Viet Phan Benjamin Vazquez Jessie Lopez Valerie Amezcua Kristine Ridge Sonia R. Carvalho Jennifer L. Hall MINUTES: Secretary Jennifer Hall conducted Roll Call. MEMBERS PRESENT: Chair Amezcua and Authority Members Lopez, Bacerra, Hernandez, Penaloza, Phan, and Vazquez. ADDITIONS\DELETIONS TO THE HOUSING AUTHORITY AGENDA MINUTES: None HOUSING AUTHORITY 1 July 18, 2023 City Council 2-1 8/1/2023 PUBLIC COMMENTS - Members of the public may address Housing Authority on items on the Housing Authority agenda. MINUTES: No public comments were received regarding the Housing Authority agenda. CONSENT CALENDAR RECOMMENDED ACTION: Approve staff recommendations on the following Consent Calendar Items: 1 - 3. Moved by Authority Member Hernandez, seconded by Chair Amezcua to Approve Consent Calendar Items 1 through 3. MINUTES: Authority Member Phan reported a recusal on Item No. 3 as Illumination Foundation is a client of her employer. Chair Amezcua and Authority Member Bacerra recorded "no" votes on Item No. 3. YES: 7 - Authority Member Bacerra, - Authority Member Hernandez, - Authority Member Penaloza, - Authority Member Phan, - Authority Member Vazquez, - Vice Chair Lopez, - Chair Amezcua NO: 0 ABSTAIN: 0 ABSENT:0 Status: 7-0-0-0- Pass 1. Excused Absences Department(s): City Clerk's Office Recommended Action: Excuse the absent members. 2. Approve minutes of the Housing Authority regular meeting of September 6, 2022, the special meeting of November 15, 2022, and the regular meetings of February 7, 2023, May 2, 2023, and June 6, 2023. Department(s): City Clerk's Office Recommended Action: Approve minutes. 3. Approve a pre -commitment of $2,021,319 in Homeless Housing, Assistance and Prevention funds, and eight (8) project -based vouchers for Illumination Foundation for the development of the Intergenerational Housing Project located at 918 N. Bewley Street (Contingent upon approval of City Council agenda item no. 14) Legal Notice published in the Orange County Register, La Opinion, and Nguoi Viet on April 7, 2023. HOUSING AUTHORITY 2 July 18, 2023 City Council 2-2 8/1/2023 Department(s): Community Development Agency Recommended Action: Approve an award of eight (8) project -based vouchers and authorize the Executive Director of the Housing Authority to execute an Agreement to Enter into a Project -Based Vouchers Housing Assistance Payments Contract with Illumination Foundation for the development of the Intergenerational Housing project located at 918 N. Bewley, Santa Ana, CA 92703, (APN 198-231-10), subject to non - substantive changes approved by the Executive Director of the Housing Authority and Authority General Counsel (includes determination that recommended action is exempt from review under the California Environmental Quality Act (CEQA) pursuant to Section 15194 (Affordable Housing Exemption), as this project meets all the required criteria as a 100-percent affordable/permanent supportive housing development). MINUTES: Authority Member Phan reported a recusal on Item No. 3 as Illumination Foundation is a client of her employer. Chair Amezcua and Authority Member Bacerra recorded "no" votes on Item No. 3. YES: 4 — Authority Member Hernandez, — Authority Member Penaloza, — Authority Member Vazquez, — Vice Chair Lopez NO: 2 — Authority Member Bacerra, - Chair Amezcua ABSTAIN: 1 — Authority Member Phan ABSENT: 0 Status: 4-2— 1 — 0 — Pass HOUSING AUTHORITY MEMBER COMMENTS MINUTES: None ADJOURNMENT — Adjourn the Housing Authority meeting. MINUTES: Chair Amezcua adjourned the Housing Authority Meeting at 12. 06 A.M. on July 19, 2023. Respectfully submitted, Jennifer L. Hall, CMC Secretary HOUSING AUTHORITY 3 July 18, 2023 City Council 2-3 8/1/2023 Community Development Agency santa-ana.org/community-development Item # 3 or City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 1, 2023 TOPIC: Quarterly Report for Housing Choice Voucher Program AGENDA TITLE Quarterly Report for the Housing Choice Voucher Program for the Period of April 1, 2023 to June 30, 2023 RECOMMENDED ACTION Receive and file the Quarterly Report for the Housing Choice Voucher Program for the period of April 1, 2023 to June 30, 2023 DISCUSSION The April 1, 2023 to June 30, 2023 Quarterly Report for the Housing Choice Voucher (HCV) Program provides information on the day-to-day activities of the Santa Ana Housing Authority. The report is divided into three (3) sections: Applicants, Participants, and Production. Applicants The Santa Ana Housing Authority accepted applications from May 2, 2022 through May 31, 2022 and received a total of 20,759 applications. A random lottery procedure was applied and the Santa Ana Housing Authority accepted 7,500 of the 20,759 applications to establish a 2022 HCV Waiting List. Charts 1 and 2 depict the characteristics of those applicants currently on the Waiting List. As of June 30, 2023, the Housing Authority has selected 587 applicants from the 2022 HCV Waiting List. Chart 1 1. Residency Preference Veteran s Live or Work in —� Santa Ana ' 595 Live or Work in Santa Ana 95% illustrates the percentage of applicants on the 2022 HCV Waiting List who Santa Ana. These applicants are given a preference on the Waiting List U.S. Military Veterans. live or work in together with City Council 3-1 8/1/2023 Quarterly Report for Housing Choice Voucher Program August 1, 2023 Page 2 Chart 2 illustrates the number of applicants by total household size. The majority of applicants on the Waiting List consist of only one (1) or two (2) household members. Over half of all applicants (4,685 of the 7,500 applicants or 62%) have one (1) or two (2) member households and would qualify for a one -bedroom voucher. The Santa Ana Housing Authority's occupancy standard is one (1) bedroom for every two (2) family members. Participants At the end of the reporting period, there were 3,043 households receiving rental assistance from the Housing Authority. Chart 3 illustrates participating families, sorted by number of family members. Over three -fourths (87%) of families receiving assistance have three (3) or fewer members. Chart 4 illustrates the family type for program participants. Over two-thirds (69%) of participating households have elderly and/or disabled members. ["Other" consists of households that are non -elderly, non -disabled, with no minor children.] 2. Household Size 3500 2888 3000 2500 - a 2000 - 1797 0 `w 1500 - 906 E 1000 - Z 5000 - — — I —' 490 , 11 9 1 2 3 4 5 6 7 8 9 10+ People per Houshold 5 People l 3. Family Size 5% l fi People \\\ 3% 4 People 6% AI3 People �F 1 Person 13% 49% 2 People f 25% 4. Family Type Other 15%414) \ Disabled 43% Family 4"% 16% � Elderly�� 26% City Council 3-2 8/1/2023 Quarterly Report for Housing Choice Voucher Program August 1, 2023 Page 3 Chart 5 depicts participants by percentage of Orange County median income. As of June 30, 2023, the County's median income is $127,800 per year for a family of four. Approximately 90% of families on the program earn less than 30% of the area median income, which is $43,050 per year for a family of four (4). Participants' incomes come from a variety of sources, as illustrated in Chart 6. A total of 36% of participating families have income from employment. Participating families pay a portion of their monthly rent based upon their income and the payment standard for their unit. The Housing Authority pays the difference between the tenant's portion and the contract rent. This payment is the Housing Assistance Payment (HAP). The average HAP for April 1, 2023 to June 30, 2023 was $1,420. Production HQS Inspections: At least once every two (2) years, the Housing Authority must inspect each assisted -unit to ensure it meets HUD's Housing Quality Standards (HQS) in compliance with the federal regulations. From April 1, 2023 to June 30, 2023, a total of 410 inspections and re -inspections of our assisted -units were performed, of which 110 inspections failed. Chart 7 illustrates the number of inspections performed on a monthly basis during the reporting period. 5. Income as Percentage of Median Below 50% Below 80% Median of Median 9% _ 1% 41 Below 30% of Median 90% 6. Source of Income 70% 62% 60 % 50% 36% 40 % 30% 16% 20% 9% — - 10% ■ 0% T With Any With any With any With any Wages Welfare SSI/SS other Income 7. HQS Inspections 200 121 137 152 100 t 0 J April May June Inspection Months City Council 3-3 8/1/2023 Quarterly Report for Housing Choice Voucher Program August 1, 2023 Page 4 Recertifications / Interims: Each year, the Housing Authority must re -certify every assisted -family to verify the family is still eligible for assistance. In addition, when a participant's income changes, an interim examination must be performed. During the reporting period, a total of 841 recertifi cations and interims were conducted. Chart 8 illustrates the number of recertifications and interims performed. 8. Re -exams and Interims 400 200 0 ■ ■ April May June • Re -exams • Interims Other Change of Unit: These actions are completed when a family moves to a different rental unit. Nineteen (19) change of unit actions were processed during the reporting period. New Admissions: This action is completed when a family is admitted to the HCV Program. Sixty-eight (68) new admissions were processed during the reporting period. End of Participation: This action is completed when the family is no longer interested in participating in the program, the family becomes deceased, the family is no longer eligible for the program, or the family is terminated from the program due to program violations. Thirty-five (35) end of participation actions were processed during the reporting period. Expired Vouchers: This action is completed when an applicant is unable to locate a unit within the time frame of their voucher and all extensions have been exhausted or no extension is requested. There were nineteen (19) expired vouchers processed during the reporting period. FISCAL IMPACT There is no fiscal impact associated with this action. Submitted By: Michael L. Garcia, Executive Director of Community Development Approved By: Kristine Ridge, City Manager City Council 3-4 8/1/2023