The URL can be used to link to this page

Home My WebLink About FULL PACKET_2015-08-04MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA JULY 7, 2015 CLOSED SESSION MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA 5:13 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor VINCENT F. SARMIENTO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ SAL TINAJERO COUNCILMEMBERS Absent: ROMAN A. REYNA STAFF Present: DAVID CAVAZOS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council PUBLIC COMMENTS - None COUNCIL RECESSED to Room 147 for Closed Session discussion at 5:14 p.m. CLOSED SESSION ITEMS - The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: CONFERENCE WITH LEGAL COUNSEL -- EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: Jesus De La Barcena v. City of Santa Ana; Workers' Compensation Appeals Board Case No. ADJ8423148 CITY COUNCIL MINUTES 1 0A -1 JULY 7, 2015 • Victor Romo vs. City of Santa Ana; Workers' Compensation Appeals Board Case No: 1.) ADJ8375059; 2.) ADJ8226990; 3.) ADJ7721885; 4.) ADJ9436625 • Melissa Cortez et al. v. City of Santa Ana, Orange County Superior Court Case #30- 2014 - 00712370 • Tarune Dillion et al. v. City of Santa Ana, Orange County Superior Court Case #30- 2015 - 00786940 *Mayor Pulido and Councilmember Tinajero reported a conflict of Interest, left the Conference Room and did not participate in deliberation of said item. 2. CONFERENCE WITH LEGAL COUNSEL -- POTENTIAL LITIGATION Significant exposure to litigation pursuant to paragraph (2) or (3) of subdivision (d) of Section 54956.9 of the Government Code: (Business Improvement District) *Mayor Pulido and Councilmember Martinez reported a conflict of Interest, left the Conference Room and did not participate in deliberation of said item. 3. CONFERENCE WITH REAL PROPERTY NEGOTIATOR pursuant to Government Code Section 54956.8: Address of Property: Centennial Education Center 2900 W. Edinger Avenue Santa Ana, CA 92704 Negotiators: City Manager David Cavazos, Parks, Recreation & CoMartinezunity Services Agency Director Gerado Mouet and Chancellor of the Rancho Santiago Community College District (RSCCD) Raul Rodriguez Terms: Price and Terms of Lease 4. CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6(a): Agency Negotiators: Employee Organizations: CITY COUNCIL MINUTES Personnel Services Executive Director, Ed Raya Santa Ana Police Officers Association (POA) Santa Ana Police Management Association (PMA) Service Employees' International Union (SEIU) Full -Time Employees Service Employees' International Union (SEIU) Part -time Civil Service Employees 2 JULY 7, 2015 1 0A -2 Confidential Association of Santa Ana (CASA) Santa Ana Management Association (SAMA) Agency Negotiator: City Manager, David Cavazos Employee Organizations: Executive Management (EM) CLOSED SESSION REPORT - See Item 19A for any reportable actions. ADJOURNED THE CLOSED SESSION MEETING AT 6:14 P.M. AND CONVENED TO THE REGULAR OPEN MEETING. CITY COUNCIL MINUTES 3 JULY 7, 2015 1 0A -3 REGULAR OPEN MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 6:16 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor VINCENT F. SARMIENTO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ SAL TINAJERO PLEDGE OF ALLEGIANCE INVOCATION PRESENTATIONS COUNCILMEMBERS Absent: ROMAN A. REYNA STAFF Present: DAVID CAVAZOS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council MAYOR PULIDO DAVE MITCHELL, POLICE CHAPLAIN EXCEPTIONAL SERVICE AWARD presented by MAYOR PULIDO to Luis Fernandez for his outstanding contributions to the City of Santa Ana's Artists Village. PROCLAMATION presented by MAYOR PULIDO to Glen and Julie Stroud for their outstanding contributions to the City of Santa Ana and CERTIFICATES OF RECOGNITION to the following Com -Link Neighborhood Hero Winners for their commitment to improving the quality of life in their neighborhoods. Rosa Maria Pizano; Jesus Oropeza; Bill Mann; Alice Duran; Oscar Martinez; Selica Diaz; Trisha Torres Morales; Andree L. Weger; Tere Parker; Alex Rivas; Rom Lozares; Mike Ekstrom; Hector Espinoza; Orlando Quintana; Susan van der Roest; Mika Denny; Patricia Michel. CITY COUNCIL MINUTES 4 JULY 7, 2015 1 0A -4 PROCLAMATION presented by MAYOR PULIDO, MAYOR PRO TEM SARMIENTO AND COUNCILMEMBERS AMEZCUA, BENAVIDES, MARTINEZ AND TINAJERO to the Lesbian, Gay, Bisexual and Transgender (LGBT) Center of Orange County in recognition of the U.S. Supreme Court's landmark ruling on marriage equality in America. CERTIFICATES OF RECOGNITION presented by COUNCILMEMBER MARTINEZ to Emily Tavares and Cesar Pompa, Winners of the City of Santa Ana and Santa Ana Unified School District's Pedestrian and Bicycle Safety Contest. CERTIFICATES OF RECOGNITION presented by COUNCILMEMBER MARTINEZ to Santa Ana students who participated in the California State University of Fullerton's Upward Bound Program. Santiago Alva; Abigail Alvarado; Daniel Alvarado; Brisa Amigon; Jennifer Antunez; Cristian Araujo; Cesar Baranda; Esmeralda Bucio; Amanda Chhouk; Alize Corrales; Starr Corrales; Bryan Duran; Aitxa Fuentes; Victor Garcia; Verenice Gomez; Daisy Gonzalez; Hailey Guerrero - Pineda; Joseph Hernandez; Karinna Hernandez; Luis Jimenez; Polett Juarez; Diego Martinez; Patricia Morales; Andrea Moran; Sophia Narro; Melany Noyola; Melissa Palmerin; Monserratt Pena; Breanna Perez; Daniel Perez; Andrea Picazo; Itzel Rivas; Diana Salgado; Karen Salgado; Erik Sanchez; Milene Sil. CLOSED SESSION REPORT - See Agenda Item 19A for Closed Session Report. PUBLIC COMMENT • David Tingler and Clarence Turner, spoke on Agenda Item 12A, thanked staff for supporting efforts. CONSENT CALENDAR ITEMS MOTION: Approve staff recommendations on Consent Calendar items 10A through 29B, with the following modifications: • Councilmember Martinez pulled Agenda Items 25B, 25C, 25D, and 29B for separate action; • Councilmember Amezcua pulled Agenda Item 23C for separate action; • Councilmember Benavides pulled Agenda Items 19C and 19D for separate action; CITY COUNCIL MINUTES 5 JULY 7, 2015 1 0A -5 • Mayor Pro Tern Sarmiento reported a potential conflict of interest due to proximity of family property and abstained on Agenda Item 25C; and • Mayor Pulido reported that out of an abundance of caution will abstain on Agenda Item 256. MOTION: Tinajero SECOND: Sarmiento VOTE: AYES: Amezcua, Benavides, Pulido, Martinez, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Reyna(1) ADMINISTRATIVE MATTERS MINUTES 10A. MINUTES FROM THE REGULAR MEETING OF JUNE 16, 2015 {STRATEGIC PLAN NO. 5, 11 - Clerk of the Council Office MOTION: Approve Minutes. ORDINANCES /SECOND READING - In the event a Councilmember recorded an .,abstention" before consideration of the following ordinance(s) on first reading, such abstention will also be reflected in the minutes for second reading. 11A. ORDINANCE SECOND READING: APPROVAL OF CITY BUDGET FOR FISCAL YEAR 2015 -2016 {STRATEGIC PLAN NO. 5, 11 - Finance Management Services Agency Placed on first reading at the June 16, 2015 City Council meeting and approved by a vote of 7 -0 *. (Mayor Pulido and Councilmember Martinez voted "No" on specified sections of the budget as noted in discussion held June 16, 2015). Published in The Notice on June 26, 2015. MOTION: Place ordinance on second reading and adopt. ORDINANCE NO. NS -2878 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROPRIATING MONIES TO THE CITY COUNCIL MINUTES 6 JULY 7, 2015 1 0A -6 SEVERAL OFFICES, AGENCIES AND DEPARTMENTS OF THE CITY FOR FISCAL YEAR BUDGET PERIOD COMMENCING JULY 1, 2015 NOTICE OF PUBLIC HEARINGS 12A. RESOLUTION OF INTENTION TO FORM THE WARNER INDUSTRIAL COMARTINEZUNITY ASSESSMENT DISTRICT AND AGREEMENT WITH FIELDMAN, ROLAPP & ASSOCIATES FOR FINANCIAL ADVISORY SERVICES (NON - GENERAL FUND) {STRATEGIC PLAN NO. 6, 1G }- Public Works Agency MOTION: 1. Adopt a resolution. RESOLUTION NO. 2015 -030 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA DECLARING INTENTION TO ORDER THE ACQUISITION OR CONSTRUCTION OF CERTAIN IMPROVEMENTS IN PROPOSED ASSESSMENT DISTRICT NO. 2015 -01 (WARNER INDUSTRIAL COMMUNITY); DECLARING THE IMPROVEMENTS TO BE OF SPECIAL BENEFIT; DESCRIBING THE DISTRICT TO BE ASSESSED TO PAY THE COSTS AND EXPENSES THEREOF; AND PROVIDING FOR THE ISSUANCE OF BONDS 2. AGMT NO. 2015 -123- Authorize the City Manager and Clerk of the Council to execute an agreement with Fieldman, Rolapp & Associates, subject to non - substantive changes approved by the City Manager and City Attorney, to provide professional financial advisory services to facilitate assessment district formation, for a period expiring on December 31, 2016, with provision for one, one -year extension exercisable by written authorization of the City Manager and City Attorney, in an amount not to exceed $36,000. BOARDS / COMMISSIONS / COMMITTEES 13A. COUNCIL COMARTINEZITTEES — AGENDA MINUTES {STRATEGIC PLAN NO. 5, 1) - Clerk of the Council Office MOTION: Receive and file NAME MEETING DATE Legislative (Cancelled) 06/24/2015 Development and Transportation 06/25/2015 Code Conduct and Ethics (Cancelled) 06/30/2015 CITY COUNCIL MINUTES 7 JULY 7, 2015 1 0A -7 Development and Transportation (Cancelled) 07/02/2015 MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — City Attorney's Office MOTION: Approve settlement agreements, as follow: CONFERENCE WITH LEGAL COUNSEL -- EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: Jesus De La Barcena v. City of Santa Ana; Workers' Compensation Appeals Board Case No. ADJ8423148 — Settlement in the amount of $32,827 (approved by 5 -0 vote with Tinajero and Reyna absent) Victor Romo vs. City of Santa Ana; Workers' Compensation Appeals Board Case No: 1.) ADJ8375059; 2.) ADJ8226990; 3.) ADJ7721885; 4.) ADJ9436625 - Settlement in the amount of $15,000 (approved by 5 -0 vote with Tinajero and Reyna absent) • AGMT NO. 2015 -132 - Melissa Cortez et al., v. City of Santa Ana, Orange County Superior Court Case #30- 2014 - 00712370 - Settlement in the amount of $100,000 (approved by 5 -0 vote with Tinajero and Reyna absent) 19B. EXCUSED ABSENCES — Clerk of the Council Office MOTION: Excuse the absence of Councilmember Reyna from the July 7, 2015 City Council Meeting. 19C. AUTHORIZE PHASE TWO OF THE PILOT UTILITY CABINET PROGRAM {STRATEGIC PLAN NO. 5, 5B} - CoMartinezunity Development Agency Arts and Culture Commission approved recommended action on June 18, 2015, by a vote of 5 -0 (Alvarado and Gomez absent). MOTION: Authorize Community Development Agency staff to release Phase Two of the Pilot Utility Cabinet Program application, subject to non - substantive changes. MOTION: Benavides SECOND: Martinez CITY COUNCIL MINUTES 8 JULY 7, 2015 1 0A -8 VOTE: AYES: NOES: ABSTAIN ABSENT: 19D. SHOP LOCAL SA - CoMartinezunity' Amezcua, Benavides, Sarmiento, Tinajero (6) None (0) None (0) Reyna (1) MOTION: Receive and file. MOTION: Benavides SECOND: Martinez VOTE: AYES: Amezcua, Benavides, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Reyna (1) BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS Martinez, Pulido, 1, F; Martinez, Pulido, 20A. ACCEPTING SUPPLEMENTAL LAW ENFORCEMENT SERVICES ACCOUNT (SLESA) FUNDS {STRATEGIC PLAN NO. 1, 313} - Police Department MOTION: Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2016 -02 - Recognizing $306,172.45 in the FY 2014 -15 Supplemental Law Enforcement Services revenue account and appropriate same to the grant expenditure account for special enforcement and gang detail overtime. CITY COUNCIL MINUTES 9 JULY 7, 2015 1 0A -9 20B. APPROPRIATION ADJUSTMENT AND AGREEMENT ACCEPTING OFFICE OF TRAFFIC SAFETY, SELECTIVE TRAFFIC ENFORCEMENT PROGRAM (STEP) PROGRAM GRANT FUNDS {STRATEGIC PLAN NO. 1, 3131 - Police Department MOTION: 1. AGMT NO. 2015 -124 - Authorize the City Manager and Clerk of the Council to execute a one -year agreement with the State Office of Traffic Safety, for the period of October 1, 2015 through September 30, 2016, in an amount not to exceed $343,480 subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2016 -03 - Recognizing State of California, Office of Traffic Safety, STEP Grant funds in an amount of $343,480 (Grant No. PT16124) in the Office of Traffic Safety revenue account and appropriate same to expenditure accounts. SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES 22A. SPEC. NO. 15 -035 - ACQUISITION AND INSTALLATION OF WORKSHOP BENCHES AND LOCKERS {STRATEGIC PLAN NO. 6,213) (Public Works Agency) - Finance & Management Services MOTION: Authorize a one -time purchase and payment of purchase order to LeDoux Industries Inc. in an amount not to exceed $72,207, subject to non - substantive changes approved by the City Manager and City Attorney. PROJECTS /CHANGE ORDERS 23A. AWARD CONTRACT FOR CONSTRUCTION OF EL SALVADOR PARK IMPROVEMENTS (PROJECT 14 -7540) {STRATEGIC PLAN NO. 6, 1B & G} - Public Works Agency; Parks, Recreation & CoMartinezunity Services Agency; and CoMartinezunity Development Agency MOTION: 1. Authorize the City Manager and the Clerk of the Council to execute a contract awarded to ACE CD, Inc., the lowest responsible bidder, in accordance with the unit bid prices, totaling $318,344.98, for construction of El Salvador Park CITY COUNCIL MINUTES 10 JULY 7, 2015 1 0A -10 Improvements, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $410,172. 23B. AWARD CONTRACT FOR CONSTRUCTION OF MEMORIAL PARK SECURITY LIGHTING (PROJECT 14 -7515) {STRATEGIC PLAN NO. 6, 1B, 1G} - Public Works Agency; Parks, Recreation & CoMartinezunity Services Agency; and CoMartinezunity Development Agency MOTION: 1. Authorize the City Manager and the Clerk of the Council to execute a contract awarded to Green Giant Landscape Inc., the lowest responsible bidder, in accordance with the unit bid prices, totaling $334,500, for construction of the Memorial Park Security Lighting Project, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $430,415. Mayor Pro Tern Sarmiento, would like staff to conduct thorough inspection of street work and warranty period. MOTION: 1. Authorize the City Manager and the Clerk of the Council to execute a contract awarded to All American Asphalt, the lowest responsible bidder, in accordance with the Base Bid totaling $2,150,000, for construction of the Local Street Slurry Seal 2014- 15 Project, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $2,902,500. MOTION: Amezcua VOTE: AYES SECOND: Benavides Amezcua, Benavides, Martinez, Pulido, Sarmiento, Tinajero (6) CITY COUNCIL MINUTES 11 JULY 7, 2015 1 0A -11 NOES: None (0) ABSTAIN: None (0) ABSENT: Reyna (1) AGREEMENTS 25A. AGMT NO. 2015 -125 - ANIMAL LICENSE FEE COLLECTION PROGRAM OF NEW AND DELINQUENT LICENSE FEES AND PENALTIES {STRATEGIC PLAN NO. 7, 5F) — Finance & Management Services 25B. MOTION: Authorize the City Manager and the Clerk of the Council to execute an agreement with Civic Collection, Inc. (CCI), subject to non - substantive changes approved by the City Manager and City Attorney, for collection for a one year period (July 1, 2015 to June 30, 2016) with provisions to extend an additional year (July 1, 2016 to June 30, 2017) upon a written request executed by the City Manager. MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with West Coast Arborists, Inc., subject to non - substantive changes approved by the City Manager and City Attorney, for a two -year period expiring June 30, 2017, with provisions for two, two -year renewal options exercisable by the City Manager and City Attorney, in an amount not to exceed $1,082,516 annually. MOTION: Martinez SECOND: Benavides VOTE: AYES: NOES: ABSTAIN: ABSENT: *Mayor Pulido abstain Amezcua, Benavides, Martinez, Sarmiento Tinajero (5) None (0) Pulido (1) Reyna (1) E)d due to potential conflict of interest CITY COUNCIL MINUTES 12 JULY 7, 2015 1 0A -12 25t. Councilmember Martinez, staff to monitor and update OC Streetcar related websites to keep the public informed with the latest progress of the project. MOTION: Authorize the City Manager to execute a Memorandum of Understanding between the Orange County Transportation Authority and the City of Santa Ana that defines the understanding of the general terms, conditions, and funding responsibilities for the design, right -of -way acquisition, construction, and operations and maintenance of the Santa Ana /Garden Grove Streetcar Project. MOTION: Martinez SECOND: Benavides VOTE: AYES: NOES: ABSTAIN: ABSENT: *Mayor Pro Tern Sarn Amezcua, Benavides, Martinez, Pulido Tinajero (5) None (0) Sarmiento (1) Reyna (1) iiento abstained due to potential conflict of interest MOTION: Authorize the City Manager and the Clerk of the Council to execute an agreement with Cole & Associates, Inc., subject to non - substantive changes approved by the City Manager and City Attorney, for a one -year period beginning July 8, 2015, and expiring June 30, 2016, with provision for one, one -year extension exercisable by the City Manager and City Attorney, in a total amount not to exceed $531,594, including the renewal period. MOTION: Martinez VOTE: AYES SECOND: Benavides Amezcua, Benavides, Sarmiento, Tinajero (6) Martinez, Pulido, CITY COUNCIL MINUTES 13 JULY 7, 2015 1 0A -13 NOES: None (0) ABSTAIN: None (0) ABSENT: Reyna (1) MISCELLANEOUS.- BUDGET 29A. INSURANCE RENEWALS {STRATEGIC PLAN NO. 4, 11 - Personnel Services Agency MOTION: 1. Approve the City's continued membership in the Big Independent Cities Excess Pool from July 1, 2015 to July 1, 2016 at an estimated premium cost not to exceed $1,530,000. 2. Approve the City's continued participation in the Public Entity Property Insurance Program from July 1, 2015 to July 1, 2016 at an estimated premium cost not to exceed $320,000. 3. Approve the City's continued participation in the California State Association of Counties — Excess Insurance Authority's Crime Bond Program from July 1, 2015 to July 1, 2016 at an estimated premium cost not to exceed $11,400. 4. Approve the City's continued participation in the California State Association of Counties — Excess Insurance Authority's Pollution Insurance Program from July 1, 2015 to July 1, 2018 for an estimated three -year premium not to exceed $15,000. 29B REQUEST FOR PROPOSALS FORA CITY WIDE CREDIT RATING MOTION: Authorize release of proposal for an assessment and citywide credit rating. MOTION: Martinez VOTE: AYES CITY COUNCIL MINUTES SECOND: Benavides Amezcua, Benavides, Martinez, Pulido, Sarmiento, Tinajero (6) NOES: None (0) 14 1 OA -14 JULY 7, 2015 ABSTAIN: ABSENT: =ff Reyna (1) * *END OF CONSENT CALENDAR ** BUSINESS CALENDAR ITEMS ORDINANCESIFIRST READING 50A. ORDINANCE AMENDING CHAPTER 10 OF THE SPECIAL EVENT REIMBURSEMENT AND SPONSORSHIP SECTION TO INCLUDE CO- SPONSORSHIPS {STRATEGIC PLAN NO. 5,41 — City Manager's Office MOTION: Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS -2879 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 10- 22.13 OF CHAPTER 10 REGARDING SPECIAL EVENT REIMBURSEMENT AND SPONSORSHIP MOTION: Martinez SECOND: Tinajero VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Reyna (1) RESOLUTIONS 55A. APPROPRIATION ADJUSTMENT ACCEPTING DEPARTMENT OF ALCOHOLIC BEVERAGE. CONTROL (ABC) FUNDS {STRATEGIC PLAN NO. 1, 3B} - Police Department MOTION: CITY COUNCIL MINUTES 15 JULY 7, 2015 1 0A -15 1. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2016 -04 - Approve an appropriation adjustment recognizing $99,500 in Department of Alcoholic Beverage Control Grant funds in the grant revenue account and appropriate same to the grant expenditure account. 2. Adopt a resolution. RESOLUTION NO. 2015 -031 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER, AND THE CHIEF OF POLICE OR HIS DESIGNEE TO OBTAIN CALIFORNIA DEPARTMENT OF ALCOHOLIC BEVERAGE CONTROL GRANT FUNDS IN THE AMOUNT OF $99,500 AND TO EXECUTE AN AGREEMENT WITH THE DEPARTMENT OF ALCOHOLIC BEVERAGE CONTROL FOR USE OF THOSE FUNDS AND EXECUTE ANY DOCUMENTS OR ASSURANCES NECESSARY FOR OBTAINING THE GRANT FUNDS 3. AGMT NO. 2015 -129 - Authorize the City Manager and Clerk of the Council to execute a one -year agreement with the Department of Alcoholic Beverage Control to fund the ABC Grant program, for the period of July 1, 2015 through June 30, 2016, for an amount not exceed $99,500 (State agreement no. 15G- LA38), subject to non - substantive changes approved by the City Manager and City Attorney. MOTION: Benavides VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Sarmiento Amezcua, Benavides, Sarmiento, Tinajero (6) None (0) None (0) Reyna (1) Martinez, Pulido, 55B. ACCEPT PRINTED MATERIALS USED IN COMMUNITY EMERGENCY RESPONSE TEAM (CERT) PROGRAMS PROVIDED THROUGH FY2014 HOMELAND SECURITY GRANT PROGRAM (HSGP) {STRATEGIC PLAN NO. 1, 2F) - Police Department MOTION; 1. Adopt a resolution. CITY COUNCIL MINUTES 16 1 0A -16 JULY 7, 2015 RESOLUTION NO. 2015 -032 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER, AND THE CHIEF OF POLICE OR HIS DESIGNEE TO OBTAIN 2014 HOMELAND SECURITY GRANT PROGRAM FINANCIAL ASSISTANCE THROUGH THE COUNTY OF ORANGE, AND EXECUTE A TRANSFER AGREEMENT WITH THE COUNTY, DOCUMENTS, AND ASSURANCES THAT MAY BE NECESSARY FOR THE HSGP 2. AGMT NO. 2015 -130 - Authorize the City Manager and Clerk of the Council to execute an agreement with the County of Orange for the period of July 1, 2015 through August 31, 2016, for financial assistance by providing printed materials, for an amount not to exceed $5,400, subject to non - substantive changes approved by the City Manager and City Attorney. MOTION: Benavides VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Tinajero Amezcua, Benavides, Sarmiento, Tinajero (6) None (0) None (0) Reyna (1) Martinez, Pulido, 55C. DESIGNATE THE CITY OF SANTA ANA AS A RECYCLING MARKET DEVELOPMENT ZONE (RMDZ) {STRATEGIC PLAN NO. 3, 3, C) - Community Development Agency MOTION: 1. Adopt a resolution. RESOLUTION NO. 2015 -033 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO DESIGNATE THE CITY OF SANTA ANA AS A RECYCLING MARKET DEVELOPMENT ZONE (RMDZ) 2. Authorize the City Manager to forward the Resolution to the City of Huntington Beach for inclusion in the regional Recycling Market Development Zone application to CalRecycle. MOTION: Martinez SECOND: Benavides CITY COUNCIL MINUTES 17 JULY 7, 2015 1 0A -17 VOTE: AYES: Amezcua, Benavides, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Reyna (1) Martinez, Pulido, 55D. ESTABLISH THE APPROPRIATION LIMIT OF THE CITY OF SANTA ANA FOR FY 2015 -16 {STRATEGIC PLAN NO. 4, 1 D} - Finance & Management Services MOTION: Adopt a resolution. RESOLUTION NO. 2015 -034 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING THE APPROPRIATION LIMIT OF THE CITY OF SANTA ANA FOR FISCAL YEAR 2015 2016 MOTION: Sarmiento VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Martinez Amezcua, Benavides, Sarmiento, Tinajero (6) None (0) None (0) Reyna (1) Martinez, Pulido, 55E. DISCUSSION AND CONSIDERATION OF A RESOLUTION RELATED TO THE THIRD AMENDMENT TO THE ORANGE COUNTY FIRE AUTHORITY (OCFA) JOINT POWERS AUTHORITY AGREEMENT {STRATEGIC PLAN NO. 1, 5) MOTION: Per Orange County Fire Authority Board of Directors' recommendation, approve the following: 1. Adopt a resolution. RESOLUTION NO. 2015 -035 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE THIRD AMENDMENT TO THE ORANGE COUNTY FIRE AUTHORITY CITY COUNCIL MINUTES 18 1 0A -18 JULY 7, 2015 AMENDED JOINT POWERS AUTHORITY AGREEMENT, AND AUTHORIZING ITS EXECUTION 2. AGMT NO. 2015 -131 - Authorize the City Manager and Clerk of the Council to execute a third amendment to the Joint Powers agreement with Orange County Fire Authority (OCFA), subject to non - substantive changes approved by the City Manager and City Attorney. MOTION: Amezcua VOTE: AYES: NOES: ABSTAIN ABSENT: REPORTS SECOND: Pulido Amezcua, Benavides, Sarmiento, Tinajero (6) None (0) None (0) Reyna (1) Martinez, Pulido, 65A. COUNCIL APPOINTMENT OF A VOTING DELEGATE TO THE LEAGUE OF CALIFORNIA CITIES - Clerk of the Council Office MOTION: Designate Councilmember Martinez as the voting delegate for the League of California Cities' Annual Business Meeting scheduled for October 2, 2015. MOTION: Sarmiento SECOND: Tinajero VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Sarmiento, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Reyna (1) PUBLIC HEARINGS CITY COUNCIL MINUTES 19 JULY 7, 2015 1 0A -19 75A. RECOVERY OF UNCOLLECTED COSTS FOR ABATEMENT OF DANGEROUS AND ABANDONED BUILDINGS {STRATEGIC PLAN NO. 5, 4) - Planning and Building Agency Legal Notice published in the Orange County Reporter June 19, 2014 and notices mailed on June 18, 2014. Mayor Pulido opened the Hearing Hearing closed. MOTION: Adopt a resolution. There were no speakers and the RESOLUTION NO. 2015 -036 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA OVERRULING OBJECTIONS TO AND CONFIRMING THE COSTS OF SECURING AND DEMOLITION OF VARIOUS STRUCTURES DECLARED TO BE PUBLIC NUISANCES; MAKING, CONFIRMING AND LEVYING ASSESSMENTS FOR SUCH COSTS; AND ORDERING SUCH COSTS TO BE RECORDED WITH THE ORANGE COUNTY RECORDER MOTION: Martinez VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Tinajero Amezcua, Benavides, Sarmiento, Tinajero (6) None (0) None (0) Reyna (1) Martinez, Pulido, 75B. AFFIRM THE WEED ABATEMENT PUBLIC NUISANCE REPORT FISCAL YEAR 2014 -2015 (STRATEGIC PLAN NO. 5, 4E) - Public Works Agency Legal Notice published in the Orange County Reporter June 19, 2014 and notices mailed on June 18, 2014. Mayor Pulido opened the Hearing Hearing closed. MOTION: Adopt a resolution. There were no speakers and the RESOLUTION NO. 2015 -037 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CONFIRMING THE COSTS OF WEED, RUBBISH AND GARBAGE ABATEMENT: MAKING, CONFIRMING AND CITY COUNCIL MINUTES 20 JULY 7, 2015 1 OA -20 LEVYING ASSESSMENTS FOR SUCH COSTS; AND ORDERING A COPY THEREOF TO BE FILED MOTION: Tinajero VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Martinez Amezcua, Benavides, Sarmiento, Tinajero (6) None (0) None (0) Reyna (1) Martinez, Pulido, CITY COUNCIL RECESSED AT 8:01 P.M. TO THE HOUSING AUTHORITY MEETING AND RECONVENED AT 8:06 P.M. WITH SAME MEMBERS PRESENT. *Councilmember Benavides left the meeting at 8:40 p.m. and did not return. COMMENTS PUBLIC COMMENTS • Vicente Perez, representing The Academy Charter High, presented recent school project by biology students on negative effects of vaporizers. • Jesus Oropeza, requested "No Parking" signs reinstalled on Sullivan between McFadden and Willits. o Councilmember Benavides, staff to follow up on parking concerns. • Michelle Lee, representing the Wellness Center, spoke against police brutality of mentally ill and African Americans; commented on recent incident. • Arturo Garcia, representing Orange County Board of Supervisor, Andrew Do, extended invitation to attend health fair co- sponsored by Mexican Consulate. • Tish Leon, invited all to upcoming Shakespeare by the Sea's production at Birch Park; requested consideration for banning fireworks in light of activity over the weekend; also, requested formal approval if City Council permanently reducing public comment time limit from 3 to 2 minutes. • Jeannette Zook, employee of Santa Ana Unified School District, supports upcoming joint venture, pleased to have more open fields and library services. • Robert Tseglin, concerned with Orange County mental health services. • Illya Tseglin, concurred with Robert Tseglin's comments. • Joshawn Moore, supports additional personal community services. • Michelle Lee for Michelle Montero, advocate for mentally ill. CITY COUNCIL MINUTES 21 JULY 7, 2015 1 OA -21 • Madeleine Spencer, urged City Council and staff to be accountable and ethical; spoke on medical marijuana regulations — opined that City should focus on city affairs and not on federal issues. • Ryan Smolar, consultant for Downtown Inc. and resident, stated need to work together to overcome challenges and continue to build momentum. • Deloise Moore, opined that police officers not trained to deal with people with mental disabilities. • Rob Cook, requested consideration for dignified services for homeless such as showers. • Dylan Thompson, spoke of recent police raid on medical marijuana dispensary; need to be accountable to community by conducting swift and thorough investigation. • Garnet Fiordalish, opposed to proposed cell tower at Portola Park. o City Manager Cavazos noted that staff has tabled consideration of said location indefinitely. • Carl Mark, saddened by untimely passing of Ed Branch — lived up to Comlink motto of improving neighborhood block by block. • Rick Niedermeyer, concerned with slow improvements at Dan Young Soccer complex; would like to be introduced to park ranger staff. 90A. CITY MANAGER'S COMMENTS • City Manager Cavazos reported that City water has met all of the water measurements and standards. • Saturday, July 11th at 10 a.m. will hold a commemoration event for Bike Trail Completion Project and Public Art Sculpture. 90B. CITY COLINCILMEMBER COMMENTS Councilmember Amezcua: • Orange County Fire Authority Battalion Chief Devin Leonard provided update on Drowning Prevention month — Authority working with private foundation to offer free swim classes; • Thanked Police Chief and staff for 4th of July enforcement of illegal fireworks; and • Requested consideration for banning safe and sane fireworks. Councilmember Martinez: • As required by Assembly BiII1234, reported that she attended Annual NALEO Conference in Las Vegas, City paid for airfare and balance by organization; • Humbled to be elected President of NALEO at their annual conference held June 23ra; CITY COUNCIL MINUTES 22 JULY 7, 2015 1 OA -22 • League of California Cities considering transportation bill for voter approval — hearing underway at the Senate level; important for local municipalities to get fair share; • Reported that City experiencing high volume of Section 8 voucher application requests; residents spending high percentage on transportation and housing - affordable housing and reliable transportation needs; and • Noted that she does not support safe and sane fireworks; City committed to providing City sponsored fireworks event; cost of overtime have increased; encouraged colleagues to develop better solutions to assist non - profits. Councilmember Tinajero: • Welcomed Dunkin Donuts to the City of Santa Ana; • Noted that non - profits make about $15- 20,000 in firework sales; City Council will consider fireworks at the Public Safety Council Committee; need to review non - profit fundraising needs while providing quality of life for residents; and • Commented on rainbow flag that symbolizing marriage equality; staff to review cost to add poll to permanently display at City Hall. Mayor Pro Tern Sarmiento: • Commented on fireworks — need to quantify cost of law enforcement; supports consideration of matter by the Public Safety Council Committee; • Congratulated Councilmember Martinez on being elected President of NALEO — places City on the map at the National level; • Staff to follow up with LA Based hair stylist Vidal Sassoon to arrange for them to provide free haircuts to our homeless population in the Civic Center area; • Reported that Plaza of the Flags in the Civic Center flies the flags of all states in the country including the State of Mississippi - said flag includes Confederate Flag which is offensive symbol of prejudice and division; need to consider removal and possibly replace with flags of cities in the County of Orange; for the record noted that he does not support flying the State of Mississippi's flag; and • Requested adjournment in memory of Conrado Gomez, Mayor Pulido: • Public Safety Committee to re- consider current enforcement and fine cost of illegal fireworks; suggested middle ground approach including use of increased enforcement and technology to address issue — what are other communities doing to address issue? • Adjourned in Memory of James E. Ward — served as City Councilmember and Mayor from 1973 -1981. CITY COUNCIL MINUTES 23 JULY 7, 2015 1 OA -23 ADJOURNED- 9:16 p.m. — The July 21, 2015 City Council meeting is cancelled. The next regular meeting of the City Council is scheduled for Tuesday, August 4, 2015 at 5:00 p.m. for the Closed Session Meeting immediately followed by the Regular Open Business Meeting at 5:45 p.m. in the Council Chamber, 22 Civic Center Plaza, Santa Ana, California. Adjourn in Memory of James E. Ward (former City Councilmember) Conrado Gomez and William Edward "Ed" Branch III Maria Huizar, Clerk of the Council FUTURE AGENDA ITEMS • Mater Del High School Parking Structure and School Expansion Project • Community Engagement Plan • Conflict and Interest Code Review CITY COUNCIL MINUTES 24 JULY 7, 2015 1 OA -24 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: ORDINANCE SECOND READING: AMENDING CHAPTER 10 OF THE SPECIAL EVENT REIMBURSEMENT AND SPONSORSHIP SECTION TO INCLUDE CO- SPONSORSHIPS (STRATEGIC PLAN NO. 5, 1) �• Yi924S CITY MANAGER Place ordinance on second reading and adopt. CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER On July 7, 2015, the following Ordinance was introduced for first reading and City Council authorized publication of title by a vote of 6 -0 (Reyna absent): ORDINANCE NO. NS -2879 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 10 -22.13 OF CHAPTER 10 REGARDING SPECIAL EVENT REIMBURSEMENT AND SPONSORSHIP STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #1 (Establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities). FISCAL IMPACT There is no fiscal impact associated with this action. Maria D. Huizar, Clerk of the Council ATTACHMENT: Ordinance No. NS -2879 11 A -1 11 A -2 SRC 7102/15 ORDINANCE NO. 2015 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 10 -22.13 OF CHAPTER 10 REGARDING SPECIAL EVENT REIMBURSEMENT AND SPONSORSHIP WHEREAS, the City of Santa Ana has a rich history of both private and public special events for its community; and WHEREAS, special events have enormous benefits and costs associated with planning, traffic and safety services; and WHEREAS, the Municipal Code requires reimbursement for City costs associated with special events; and WHEREAS, the.Council desires to offer City assistance and sponsorship of certain special events and thereby offset some of the related expenses NOW THEREFORE, THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES HEREBY ORDAIN AS FOLLOWS: Section 1. Section 10 -22.13 of the Santa Ana Municipal Code is hereby amended to add a new subsection (b) to read as follows: "Sec. 10- 22,13. City costs to be paid by person or organization responsible for special event and sponsorship exemption. (a) A. permittee under the provisions of this chapter shall reimburse the city for all city department service charges incurred in connection with or due to the permittee's activities under the permit. These costs shall be established by the city council by resolution from time -to -time. (b) A permittee that is co- sponsoring an event with the city or is selected to receive assistance for a special event pursuant to a special event policy adopted by resolution of the city council, may be wholly or partially exempt from subsection (a) above, as provided for by the adopted policy. Section 2. If any section, subsection, sentence, clause, phase, or portion of this Ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this Ordinance. The City Council hereby declares that it would have adopted this Ordinance, and each section, subsection, subdivision, sentence, clause, phrase or portion thereof, irrespective of the fact that any one or more sections, Resolution No. 2015 -XXX Page 1 of 3 11 A -3 subsections, subdivisions, sentences, clauses, phrases or portions might subsequently be declared invalid or unconstitutional. Section 3. This Ordinance shall become effective thirty (30) days after its adoption. Section 4. The City Clerk shall certify the adoption of this Ordinance and shall cause the same to be posted as required by law. PASSED, APPROVED, AND ADOPTED this day of 2015. ATTEST: City Clerk ADOPTED this 7th day of July, 2015. AS TO FORM: City Attorney AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers: Resolution No, 2015 -XXX Page 2 of 3 Mayor Miguel A. Pulido Mayor 11 A -4 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2015_XXX to be the original resolution adopted by the City Council of the Clty of Santa Ana on July 7. 2015. Date: Clerk of the Council City of Santa Ana Resolution No. 2015 -XXX Page 3 of 3 11 A -5 11 A -6 CITY OF SANTA ANA SPECIAL COUNCIL COMMITTEE MEETING AGENDA FINANCE, ECONOMIC DEVELOPMENT, & TECHNOLOGY July 22, 2015 5:30 PM CALL TO ORDER City Hall, Ross Annex Room 1600 20 Civic Center Plaza, Santa Ana, California Committee Members: Michele Martinez, Chairperson Vincent Sarmiento, Vice - Chairperson Vacant — Councilmember #3 Recording Secretary: Teresa Ramirez, Executive Secretary PUBLIC COMMENTS - Members of the public are allowed three minutes to speak on agenda items or matters within the jurisdiction of the Committee. AGENDA ITEMS Approval of Minutes for May 18, 2015, Meeting IT Assessment Update (Strategic Plan No. 6, 1 i) (Robert Cortez, CMO) 3. Overview of the upcoming implementation of the Workforce Innovation Opportunity Act (Strategic Plan No. 2,4) (Deborah Sanchez, CDA) 4. Update on potential Transportation or Infrastructure Bond Measure(s); timeline and next steps (Strategic Plan No. 4) 5. Participatory Budgeting (Strategic Plan No. 4) Pilot Program CDBG Funds for Non - profits {Strategic Plan No. 4, 3e) If you need special assistance to participate in this meeting, please contact Michael Ortiz, City ADA Program Coordinator, at (714) 647 -5624. Please call prior to the meeting date, to allow the City enough time to make reasonable arrangements for accessibility to this meeting. [Americans With Disabilities Act, Title Il, 28 CFR 35.102] Santa Ana City Council Miguel A. Pulido, Vincent F. Sarmiento. Michele Martinez, Angelica Amezcua, P. David Benavides, Roman Reyna, Sal Tnajero, Mayor Mayor Pro Tern Ward 2 Ward 3 Ward 4 Ward 5 Ward 6 MPUI da @son -re Ward MMaNnwffi- nbanaora M1V,rezcua@san aan a f)6�,av desffisa" o Ry' ysannemobamrIAMM City Hall, 20 Civic Center Plaza . P.O. Box 1988 . Santa Ana, California 92702 Mayor & Council Telephone: 714 -647 -6900 . Agenda Item Inquiries: 714 - 647-6520 . Website: Www.santa-2na.org 13A -1 FE_DT Agenda 2 Julv 22 2015 7. CDBG Funding and Timeline {Strategic Plan No. 4, 3e} (Sylvia Vasquez, CDA) 8. Procurement process {Strategic Plan No. 5, 1 b} 9. Reserve policy for deferred maintenance for city infrastructure (Newport Beach Model) {Strategic Plan No. 6, 2a} 10. RFP Process for Housing Funds {Strategic Plan No. 5, 3} 11. Grant Funding Update {Strategic Plan No. 4, 3e} (Jorge Garcia, CMO) STAFF MEMBER COMMENTS: COMMITTEE MEMBER COMMENTS: ADJOURNMENT — Next regularly scheduled meeting is Monday, September 14, 2015 13A -2 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON FINANCE, ECONOMIC DEVELOPMENT, & TECHNOLOGY RESCHEDULED REGULAR MEETING MINUTES MAY 18, 2015 CALL TO ORDER: City Hall 20 Civic Center Plaza, Room 1600 Santa Ana, CA 5:39 p.m. ATTENDANCE: Council Committee members: Michele Martinez, Chairperson Vincent Sarmiento, Vice - Chairperson Vacant, Committee Member #3 MEMBERS ABSENT STAFF PRESENT: None Francisco Gutierrez, FMSA Sergio Vidal, FMSA Waldo Barela, FMSA Teresa Ramirez, FMSA Nabil Saba, PWA Natalie Verlinich, CDA Gabby Lomeli, CDA Deborah Sanchez, CDA Jorge Garcia, CMO Robert Cortez, CMO Fred Mousavipour, PWA Carlos Rojas, SAPID Vince Fregoso, PBA Marc Morley, CDA Ryan Hodge, CDA Susan Gorospe, CDA Alma Flores, CMO GUESTS PRESENT: Peter Katz, Cam -Link; Greg R. Uttecht, Fabrica Intl.; Francisco Colon, MGOICPA; Jim Simon, RSG- EconDev; Adela Montanez, Latino Health Access; Tad Springer, T &S Inc.; Paul Deibel, Latino Health Access. PUBLIC COMMENTS Greg Uttecht, VP of Operations, Fabrica Int'I., spoke on concerns of water restrictions and how they may affect his employees and business. Peter Katz, Com -Link, spoke in support of water conservation measures due to severe drought. Paul Deibel, Latino Health Access, spoke on affordable housing and in support of wayfinding signs. Would like to see marker signs for walkers and to promote fitness. May 18, 2015 1 Finance, Economic Development, & Technology Minutes 13A -3 • Tad Springer, TES Inc., spoke on affordable housing units • Adela Montanez, Latino Health Access, will reserve comment until after presentation for Downtown Wayfinding. AGENDA DISCUSSION ITEMS 1. Approval of Minutes from the Special Meeting of March 18, 2015. MOTION: Martinez SECOND: Sarmiento VOTE: AYES: Martinez, Sarmiento (2) NOES: None (0) ABSENT: None (0) (Items taken out of order.) 4. The Governor's Executive Order and Water Drought Action Plan: Water Conservation Ordinance (Strategic Plan No. 5, 2) - (PWA) Nabil Saba, Water Resources Manager, provided presentation on Emergency Ordinance Amending SAMC Chapter 39, Article VI, Conservation of Public Water Supply. Statewide water use reduction should be 25% over the next nine months (February 29, 2016). Santa Ana must reduce consumption by 12 %. As compared to 2013, Santa Ana has reduced consumption by 4% in the period between June 2014 and February 2015. Committee Chair Michele Martinez would like to see the City take the lead in water cutbacks along with districts and help residents find ways to reduce consumption. Executive Director Fred Mousavipour stated that PWA is aware of businesses dependence on water for growth and this will be taken into consideration. The overall mandate reduction is to reach 12% and will vary by consumer. The conversion of old water meters to smart meters will be a useful enforcement tool. Vice -Chair Vince Sarmiento would like all to do their fair share in conservation. Is glad PWA is flexible with enforcement. Santa Ana is a densely populated community and we need to make sure we look into any health issues and environmental impacts. In agreement that it is important for the City to take the lead and to show our efforts. Committee Chair would like us to move forward with plan, be prepared, and take the lead and the next steps. Communications outreach could possibly include utilizing Channel 3 and live stream, video to youth showing what needs to be done to reach goal. Work with water districts and agencies to help meet goals. May 18, 2015 1 Finance, Economic Development, & Technology Minutes - 13A -4 7. Housing Opportunity Ordinance Review {Strategic Plan No. 5, 5b) - (CDA) Natalie Verlinich, Housing Programs Analyst, provided presentation on current rulings in the Housing Opportunity Ordinance and issues related, such as confusing and difficult calculations for developers of the in -lieu payment and authority to waive requirements of the Ordinance should not be with Executive Director of Community Development Agency. Committee Member Vince Sarmiento agrees that waiver authority should be considered with city council not at EMT level (CDA/PBA) and should be reviewed with planning commission. Possibly review in -lieu fees of other cities such as Huntington Beach model for developer fees. Committee Chair Martinez in agreement. 5. Update on Downtown Wayfinding (Strategic Plan No. 5, 4a) — (CDA) Marc Morley, Economic Development Specialist, reviewed presentation of signage for various City locations including pedestrian, vehicles, and parking I.D. panels. Additional funding of $150,000 is needed to complete. Locations are currently being evaluated and RTKL will be fine tuning the plan. 6. Update on Economic Development Strategic Plan (Strategic Plan No. 3, 1a) — (CDA) Economic Development Specialist, Marc Morley, presented current progress and next steps for Economic Development Strategic Plan. Input sessions, data analysis, and evaluation on schedule with draft report to Council November / December 2015. 2. FY 2013 -14 Audit Update and FY 2014 -15 Audit Plan (Strategic Plan No. 4, 1c) — (FMSA) Francisco Colon, CPA with Macias Gini O'Connell, (MGO) has concluded opinion of CAFR (Comprehensive Annual Financial Report) for City and is glad to report no financial findings. Only reportable item was CDBG property acquisition transaction noted that written letter to owner did not include market value of property as required. MGO spot tests City controls for risk assessment and has training available to ensure best practices are maintained. May 18, 2015 1 Finance, Economic Development, & Technology Minutes 13A -5 10. Grant Funding Update (Strategic Plan No. 4, 3e) — (CMO) Jorge Garcia, Senior Management Assistant reported that City has been successful in obtaining $14M in competitive grants. Teams have been working together for combined total portfolio of $125M that comprises CDA, PWA, FMSA, and PBA. ITEMS MOVED TO NEXT COMMITTEE MEETING Due to time constraints, the following items will be placed on the next meeting's agenda. • Overview of the upcoming implementation of the Workforce InnovationOpportunity Act COMMITTEE MEMBER COMMENTS: STAFF MEMBER COMMENTS: Adjournment — 7:29 p.m. Teresa Rami z, CAI Recording Secretary, May 18, 2015 i Finance, Economic Development, & Technology Minutes 13A -6 0 CITY OF SANTA ANA PUBLIC SAFETY AND NEIGHBORHOOD IMPROVEMENT CITY COUNCIL COMMITTEE CANCELLATION NOTICE The City Council Public Safety and Neighborhood Improvement Meeting scheduled for Tuesday, July 28, 2015 has been cancelled. 13A -7 13A -8 CITY OF SANTA ANA PARKS, RECREATION EDUCATION AND YOUTH COMMITTEE (PREY) CANCELLATION NOTICE The regular meeting of the Parks, Recreation and Youth Committee scheduled for July 27, 2015 at 5:30 p.m. has been cancelled. The next regularly scheduled meeting will be held on August 17, 2015 at 5:30 p.m. City Hall Ross Annex Room 1600 20 Civic Center Plaza Santa Ana, California 1 ;5A -U 13A -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: STRATEGIC PLAN MONTHLY REPORT FOR JUNE 2015 (STRATEGIC PLAN NO. 5, 1) 1�4l4AZJ!S7 CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the Strategic Plan Monthly Report for June 2015. DISCUSSION The June 2015 monthly report provides departmental activity in alignment with the stated goals of the Strategic Plan. The report includes tasks, next steps, outcomes and percentage completed for each strategy. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #1 (Establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities). FISCAL IMPACT There is no fiscal impact associated with this item. The Strategic Plan Monthly Reports are available on the City's website at: http://www.santa-ana.or-a/strateoic-t)lannina / 19C -1 19C -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: GRANT PROGRAM UPDATE FOR FISCAL YEAR 2014 -15 (STRATEGIC PLAN NO. 4, 3E) 1. CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: r_1=10MAs; ❑ As Recommended ❑ As Amended ❑ Ordinance on I" Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the Grant Program Update for Fiscal Year 2014 -15. The City actively pursues grant funding from various sources that include Federal, State, Regional, and philanthropic organizations. Grant funds received by the City are either annual allocations, such as the Community Development Block Grant (CDBG), HOME Investment Partnerships Program (HOME); others are competitive grants such as the Active Transportation Program (ATP) administered by California Department of Transportation. The attached spreadsheet (Exhibit 1) provides an overview of all grant applications that were submitted by the City or reflective of annual allocations provided to the City. Note that some grant funds are not appropriated until funding agreements have been completed, which is not always in the same fiscal year or are multi -year allocations. The estimated funding received based on Exhibit 1 for FY 2014115 was $58,027,570. STRATEGIC PLAN ALIGNMENT The activities covered by this report support the City's efforts to meet Goal #4 City Financial Stability, Objective #3 (Achieve a balanced budget with appropriate reserve levels), Strategy E (Ensure a citywide coordinated effort to seek grant funding through the establishment of a Grant Coordinator). FISCAL IMPACT There is no fiscal impact associated with this action. Exhibit: 1. Grant Program Update FY 2014 -15 19D -1 19D-2 7 R E E N c N .�i a 0 N W g o o a o 0 0 u v o my om � a s v v o N � L p w 2 E o v v p t o E p m E ai i m$ n c a v v N v o « m E v v m T > n c o E OT L - N iO V. u o • so v =' E O w 'c E 3 •« o m v v >L' c c+ c w '� n '> u m c c o n'N '� y c v E a w 9 o c c M o O> 3 c c c v a+ o c c m = E a c c w x v q 14 xn p= ti v u p .c x n o w M E> w 0 3 °1 2' c s E m° .3 0> c 0 °c° a v N a >� a a c v v °' o a o= `o w m `o -vo =_ A m c 3 c m n 'E Q r � VI N M C E a N N N N N N N n pp l�0 W O O N w d c m vi mI C O E a a d O j w D y uN O W C D Ea 'ot px5 .n p2u px.. 3 O m O v O O q 0 O Z c 3 2 C O J o O c n 2 O O V S C y 2 O O mO E C O a q_ T d O t N O O t: �v N O a m O a A C C n C C n d d 6 C 3 C C n n 1 T C 6 Q C C n n n 0_ y O y l 0 1 0 g v O l -p cry E t0 E v v E w v E E E> ;; E v vdi E E a+ .d„ LL C w r y a n A E r d E C i i C y a c r v w n E M'` a o. E ao E v_ v c v c d o p v ?+ w N w c o m d o w e a o a '� om y E A >> u >> w U U o M w 5 m 7 w u O¢ >> Ury 7 7 w u m C ¢ N T O m x c a E 7 � m o n ° L C C L d J C U O O F' > 0 o c 3 0 (J V c C C .J E E o o ? 0 0 a m w H m w 19 D -4 w 6 d m d N m w d < < < � a n u� u° a n d a a a a a c O V m m H _ C N C d V � 2 a O w o O n 0 m w "O j C v 3 o O V d d °` O N c_ E Y c o N v N .E u E L a v 0 a v E O O V O O C p V a m O 6 N o. N V =O O O L c 'N v m E °> v n 'E o ° a a E "> N r `v E o° c c crv' T 6 m C d L o p u v W o d C C 7 41 n u o p ° v v E 01 m v u v o a m w a o o a a m g Y w L L C A T O n d '� ` O o w d `a U o m m o v £ o u 0 0 m Cc "o n` 9 m y$ `v m o u b v E u `o v c E '� o v v . a E c o a `o w ° ° '° 0 0 n v m a �° m ao `uo E a u`o E eo f0 c a ?+ c ¢ c c v c c E A° u° m° vvi LL LL LL °m 0 c vri c y 0 o it a N o 0 0 d au fi y O C Z O E a N Vf N V! N h V! N V! d 0 O O O O a0 V b O O O O N y W p� O O1 O O O O O O V O� V vi O O vi O vi Q d' CO N N M M N d K C 3 O E a H H N N N V1 VY H V1 V1 N V1 C = T N n N C L m e o E c o f C ° n n d° e1 L C m E m .o E w o o C 0 0 o>° a o o c v m E n < v c n v c O£ O u O ° O m >> r n< 0 m m vi m D m 2 0 c m m E c m E Y ? i v < Y o c t o «O C 0 u >' E m m u E a E a D y< o w o c 0 0 /= n v m n w y v a E E LL E £ m °o E E o '°. m E< v' o u E w v w < u° m u E 2 m vvi n< NN s 19 D -4 w 6 d m d N m w a m a m w N d III 0 0 d d d C Q C G Q p .0 O O .0 p V L L u C C 000 .0 m O C v Lr� cm o `o `o t 3 d m �' a Y o- m m o. L m c o 3 m a w o w j C > > a N o Y 'dam a> C n C vwi 6 ` O N a Y L v> O O T M C w tv N o— E Y a 3« 3 E 0 o a yO o m n ° n `m co n o 3 n« c ww m On E E a n o y c c E a oo Q C t 'a^ Ye m A $ f- .`-- n Q ° w a a ry o. m N p T V n m a � m� y 6 vi -- � p Vy m LL p W m q a N C p O 00 C v1 v O vi U 0 N M- m E ^ m" °- V! M M N m O V Q m y N rl M C O E Q C C ° T a p Y m C O Q c cyEj w� L c° ' m E E E u° o c 0 v o o E 'c ab c 7. LL > w O a u o o ° 0 U° ^ m > w A U vwi m �n N V w w 0 a �n O D a N 00 m > O � n E o m tj L c v ° z ~ m o U Cf O C C n N V m CO i C p 0 C y O O D O N N C " ° A A 3 ° a E ¢ m m E E S c E i w ou ,� p ¢ o ° m 19D -5 a m a m w wI I V `O v m n .r m X w N d u a a O a n o w w° u 3 t E m o°> y o V. o m o E a � z c c m E E 0 —° c n u E '� � i °c n n w m CE ° z E° -? 1 c w -a n 3 � a° " m c c E a -O > o ° o o o 3 c a c c7 .°r ..m. u a a 3 n v c o v o o N m y 9 W N o udi O v Yv w z« m a a arui 'u �; N g m s 3 N H m m° w w s a L N « 6 c n c L Q a 2 a p Z' c m "O 0 0 E z m> c O L E O C m d ° c m o m o o t m m d m .r w oo G N Q O O iO v Ca 0 Lr v O m E e E E Q z N y V1 O O C C 0 E a V1 V! N O C m u O Q O � o d ° E m U >3 0 a ° L C ° O c _ Q ° T C C ° V T \ y C Y s m C O Tm 0 0 S a H C C m WE C � v V - y m A c A o � m F- a N y ry C O � m m E m� a iO p wI I V `O v m n .r m X w 19D-7 `o m q a -m w a u O � N c _ Z' a m J °- a ° 3 � a � •°. E c .0 9 c � m � °N c °- o .q`. -LO � w, u 7 0« V m iv N L N Y m a Y n yc m o m a a u v i o •'- °o T E 0 �J, 5 o a w a o z E c ' a `c V _ v a c o o° c o c A v o H« n l°J 3 D° v v c v v v> O A c o w v N o > w c n 'o = u d w c w y v o o c 6.7 C c m q a o E o E is Nv q£ 3 q y ._ d J N._ ' i'O E 9 m a o 0 d°J 0 a °J a a Lo E M E L o n J o O o J 1O vii E o E pi oo m ry It q O O v c v ¢ c a n 0 o 'o a a E ¢ o o S M y d p C 6 g 6 q OR N vi vi vi LL q N d m c o. o n e o• d v a q v y g N T C p 2 O O O ¢ Q E H Vf V! N O v a m > d C C m y T 1Nay 'O N (0 L m q q o f a E o q i o N c m u E LL pp v m O LL N p r c o u p a o a ° n o q 0 T N d Y N 4`O C m LL .� q O VC d d J q U Q Q V Q w V V 1- n T v c c c m H o d a E V W U q N O U J O ° O q d 3 c a E ,2 v q q o f H U' W l7 IV u N 3 VI d O LL O 0 > O> a b d O O W y C O O C N C Q y C Z - V N T g A 2 C d 00 W ip N d p C p C �' •" V N q d W O C V1 C 1p Cm W g 6 « 19D-7 `o m q a -m w a 0 3 3 3 3 3 3 3 3 3 3 3 3 3 a a a a a a a a n a a a a m o c a d FJ LL a� 3 a v m J m J n 0 v a m m m N o r -o w 1O m v d o v v c a E E v E a a m o d o N C O D O W O a O w o n Y d 0 0 d m o a m m o n m 9 m m m m n m e m m m m d C C C C 01 C Ol C C c C_ O d C _ Q N N rl M C O 2 O E a N VY H y 0 O O O h O N O O O a0 �D O « O O O O a• O Oi O O O O n O 0 0 0 o vn o ry a o o v m o y vi < ai v e a o ai r vi V C I� N w W V M rl O Vf O C N tvt N rl O O b Q d N 1!1 rtl (II N N N 'i fi f-I e4 Y C J O E N N V1 V1 N H iM1 M1 N Vf Vf V1 yF E E E E o ° E E o co E « m m A m y _ _ d m m o 0 0 o w o = o o i J Y 3 0 d LL a a a L m v c a v m a o. 0 m v On n v a p o 0 0 0 `p_ a o o- an d o o o N - `a >+ m a r r q Y o 0 0 c a o a ❑ m m o o > n a n Q ¢ ¢ 6 r a a u U' z a a a u v a 0 0 m c d ? d v m 1; c C 'op o r a J Y O C m L H an L m N m � a m a r �0 m « f d LL E> 'm d L C« C o m m d C p C d 2 > C C N L O d LL adi dI C W N w> adi Y udi a0 N cV-r w v m w c c o l%I c v c c« N c m c pp LL m -F 00 N m W i W C W y W W VI m W W W 3 W d W d W C C W r C d v vi y m y u v vi o r " m m a m w Y O m N ._ c o c v 3 A r LL m r N d m> r U O It L' d ❑ !1] 3 r-O.+ ❑ 1' ❑ m r U r J r 3 N r a r U MI MI `o v m 6 m X w n 0 3 3 3 3 3 3 3 3 3 3 3 d d d d d a d d d d d � m � � p « c m d m T ~ W O t Q C m � O C n U m U y U N m m n a c A o n o v o m E E E E F m O a m L y a a E> y C d y C > W y C > N m a VC > a Y Y~ p N N a OV a c w E °' E °' E C p v v t o R n o o a o 'c S v a c a cs vi Q N a C Z Z Z O E 9 0 O O O O ° O O S O O Cz C C O E a t/� tR H �A V1 a/1 N �A V1 N Vf E E E E E a E ? E v d d N d L OCO E E c o n E h- tt o x« n E v n ry � C c > > > v c zi O y L � E � C C> N C a m p a E E E m M aw °- E E u w o d L m E c m > m m u c c m m 3 0 ¢> v N y o U C E a C L m w � a yCj W C lL n > Z E c w> ¢`w o f v ` a a °1 m° -p `y y E 3 e y a ^+ y v m v n w e w a w .� t' v c C m w N m '.t > -a m w m H¢_ H d V 1- w 0 W s &] m 0 m m d m w a 0 3 3 3 a a a m a n v E n � a c > m o > v y n a E E o w L 10 m Q l7 u O L o A Z m d v Uj C v J C a C 6 � u > m C Q ` N V a N J � a a o T E v E v � c m q N = a a a a c o d a a a a m ` Q Y o c z 0 0 E a N °o °o N W O C d ry 0 p � N O' N C Y C O E a N N N o � m v � VI LL N o0 H p c E 9 1 V V 10 N O � V L C O N 6 q � � dl c � V L q C C d � C Y q 00 C Op N pp V F C 0_p C N J C a � v W d V N i W T m F an d C N V V Q j V d N o > 19D -10 w r•7 v m a REQUEST FOR COUNCIL ACTION ^urvn CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: QUARTERLY REPORT FOR HOUSING DIVISION PROJECTS AND ACTIVITIES APRIL 2015 —JUNE 2015 (STRATEGIC /'4� �NO. 5,3) W �. &Yt}2p5• C ITY MANAGER RECOMMENDED ACTION Receive and file. CLERK OF COUNCIL USE ONLY: 011000: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on a Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION ACTION At its regular meeting on July 8, 2015, by a vote of 4:0 (Sandoval absent), the Community Redevelopment and Housing Commission approved the recommended action. DISCUSSION The status report for the quarter ending on June 30, 2015 provides statistics for the day -to -day affordable housing activities. The report is divided into three sections: Loan Activity, Loan Portfolio Management and Monitoring, and Development Projects. Loan Activity Applications The Housing Division offers several different programs including homebuyer down payment assistance and rehabilitation loans for historic single - family, single - family and mobile homes. Inquiries are received from the public and applications are mailed out and received for these programs on a continuing basis. During this quarter, staff reviewed and processed four Loan Subordination requests. Table 1 shows the number of inquiries, applications sent out, received and approved by type for the quarter and the total fiscal year. Table 1: Applications Sent Out, Received & Approved Program Inquiries Applications Sent Out Applications Received Applications App roved 04 Total FY 04 Total FY Q4 Total FY Q4 Total FY Single-Family Rehabilitation 28 147 21 85 8 18 2 9 Mobile Home Rehabilitation 4 14 4 8 3 5 2 4 Homeownershl 52 374 38 201 4 18 31 12 19E -1 Quarterly Report Housing Division Projects and Activities (April — June 2015) Page 2 Rehabilitation Loan Underwriting and Approval Process Staff reviews applicant eligibility, verifies income and assets, and oversees underwriting to ensure compliance with program guidelines and requirements established by the funding source. In addition, staff conducts an inspection of the property, prepares a work write up to determine rehabilitation work to be performed, and develops a budget for the work. Due to the complex funding requirements, applicants may be in underwriting several months. The length of time in underwriting is largely determined by the applicant's timely submittal of the necessary paperwork. Once approved, staff prepares all necessary loan documents, makes arrangements for execution, and reserves the required loan funds. Construction Process During this phase, homeowners receiving rehabilitation to selection of contractors to complete the work on their homes. contractors that have been screened by staff for license and homeowners are allowed to select any contractor that meet assists the homeowners in selection of a contractor, monito payments to contractors, and tracks expenditures to ensure t At the end of this quarter, there were three homeowner ret under construction, and two were completed. Homeownership Marketing and Approval Process ans are guided through an open Each homeowner is given a list of insurance requirements. However, s these same requirements. Staff rs the construction work, approves hey do not exceed available funds. iabilltation projects out to .bid, four During this quarter, staff represented the City of Santa Ana at the HOPE Now Homebuyer Fair and presented and Mobile Home rehabilitation loan informational session at the Quiet Village Mobile Home Park which was attended by 27 residents. Staff evaluates applicant eligibility and oversees underwriting to ensure compliance with program guidelines and requirements established by the U.S Department of Housing and Urban Development (HUD). Applicants must meet established income requirements, complete an eight - hour pre - purchase counseling program from a HUD - approved agency, be pre - qualified for a first mortgage and have a minimum of three percent of the purchase price from their own savings. Other HUD requirements apply, Including a current maximum sales price of $466,000 for a single family home or condo or $560,000 for a newly constructed condo or home. The updated maximum sales price became effective in April 13, 2015. Additionally, the property needs to be in good condition and pass an inspection by staff. Loan Portfolio Management & Monitoring The Housing Division is responsible for ensuring the integrity of the residential loan portfolio. As of the end of this quarter, the principal balance was $112,534,247. This is comprised of 439 19E -2 Quarterly Report Housing Division Projects and Activities (April — June 2015) Page 3 loans of which 417 are deferred or residual receipt payment loans. As shown In Table 2, the loan portfolio generated $457,029 in payments of principal and interest during the quarter. Table 2: Portfolio Revenue Monitoring As part of the requirements for these funds, staff must monitor the owner- occupancy for single family homes that have received loans, and the code compliance of units in rental projects with long -term affordability covenants. During this quarter, 45 owner occupancy recertification letters were mailed; 38 were returned and processed. Staff also audited files for 17 units in 5 projects, and conducted code compliance inspections for 57 units in 17 projects. Regulations require that only a sample be selected for inspection. Staff also inspects the grounds and common areas such as laundry rooms to ensure they also meet municipal code requirements. The majority of the inspected units as well as the grounds and common areas were found to be in compliance at the time of initial inspection. Some of the units had observable deficiencies, including loose toilets, inoperative burners, faulty GFCI outlets, inoperative smoke alarms, and carbon monoxide detectors. All of the deficiencies were repaired and the units were found to be in compliance at the time of the subsequent re- inspection. Development Projects NSP 1, 2 and 3 Programs The City's intermediaries, ANR Industries, Orange Housing Development Corporation, and C &C Development, continue to look for eligible properties. The acquisition of a single- family home located at 1235 S. Cypress closed escrow in August 2014 and the rehabilitation was completed in March 2015. The home is currently on for sale for qualified homebuyers whose income is at or below 120% of the area median income. Multi- Family Acquisition /Rehabilitation Projects 940 Minnie, LP completed the acquisition of a multl- family property located at 940 S. Minnie Street. The developer has completed the process of relocating their tenants and the construction bid. Rehabilitation work started during this quarter and is currently underway. Once the 19E -3 4 Quarter Total FY Loan Payoffs $32,977 $429,049 Residual Receipts Payments $390,809 $529,469 Amortized Loan Payments $33,243 $140,685 Total $457,029 $1,089,203 Monitoring As part of the requirements for these funds, staff must monitor the owner- occupancy for single family homes that have received loans, and the code compliance of units in rental projects with long -term affordability covenants. During this quarter, 45 owner occupancy recertification letters were mailed; 38 were returned and processed. Staff also audited files for 17 units in 5 projects, and conducted code compliance inspections for 57 units in 17 projects. Regulations require that only a sample be selected for inspection. Staff also inspects the grounds and common areas such as laundry rooms to ensure they also meet municipal code requirements. The majority of the inspected units as well as the grounds and common areas were found to be in compliance at the time of initial inspection. Some of the units had observable deficiencies, including loose toilets, inoperative burners, faulty GFCI outlets, inoperative smoke alarms, and carbon monoxide detectors. All of the deficiencies were repaired and the units were found to be in compliance at the time of the subsequent re- inspection. Development Projects NSP 1, 2 and 3 Programs The City's intermediaries, ANR Industries, Orange Housing Development Corporation, and C &C Development, continue to look for eligible properties. The acquisition of a single- family home located at 1235 S. Cypress closed escrow in August 2014 and the rehabilitation was completed in March 2015. The home is currently on for sale for qualified homebuyers whose income is at or below 120% of the area median income. Multi- Family Acquisition /Rehabilitation Projects 940 Minnie, LP completed the acquisition of a multl- family property located at 940 S. Minnie Street. The developer has completed the process of relocating their tenants and the construction bid. Rehabilitation work started during this quarter and is currently underway. Once the 19E -3 Quarterly Report Housing Division Projects and Activities (April — June 2015) Page 4 rehabilitation is complete, the property will yield eight affordable rental units consisting of 4 one - bedroom units, 2 two- bedroom units and 2 three - bedroom units. In -Fill Development Projects Habitat for Humanity of Orange County completed the construction of one single - family dwelling located at 1314 N. Eastwood Avenue. The property is currently for sale for a qualified homebuyer whose income is at or below 120% of the area median income. 793 Concord Street was sold to a qualified homebuyer at the end of the quarter. Habitat for Humanity of Orange County continues the construction of two single - family homes located at 4106 and 4110 W. McFadden Street. Depot at Santiago (70 -Unit Affordable Rental Housing Development) The Developer and the City was successful in receiving funds from the Strategic Growth Council's Affordable Housing and Sustainable Communities (AHSC), otherwise known as Cap & Trade funds. These funds are a result of the first round of applications for affordable housing projects and active transportation. The Developer has applied for the second round of 9% Tax Credits on July 1, 2015. 815 N. Harbor (70 -Unit Affordable Rental Housing Development) The Developer was successful in obtaining 4% Tax Credits. Construction is anticipated to begin in the next quarter. STRATEGIC PLAN ALIGNMENT The activities covered by this report allow the City to meet Goal #5 (Community Health, Livability, Engagement & Sustainability) Objective #3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). FISCAL IMPACT There is no fiscal impact associated with this action. Executive Director /) k--' Community Develoopent Agency 19E -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: QUARTERLY REPORT OF INVESTMENTS AS OF JUNE 30, 2015 {STRATEGIC PLAN NO. 4, 1} CITY MANAGER RECOMMENDED ACTION Receive and file. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER In 1995, the State of California enacted legislation revising the reporting requirements relative to investment of funds by governmental agencies. State statutes require that a quarterly report be submitted within 30 days following the end of the quarter covered by the report; however, our office continues to provide this information to the City Council monthly. Quarter- ending reports continue to be presented at a City Council meeting. The legislation dictates that this quarterly report contain the seven major elements listed below: 1. Type of investments, 2. Date of maturity, 3. Par and dollar amounts invested in each security, 4. Weighted average maturity of the investments, 5. Market value as of the date of the report, 6. Source of the market value information, and 7. Any funds, investments or programs, including loans, under the management of contracted parties. These requirements, which became effective on January 1, 1996, mandate that a statement outlining the ability of the City to meet the budgeted expenditures for the subsequent six months be submitted to the City Council on a quarterly basis. Staff performs an end -of -month expenditure analysis to comply with the expenditure requirement and a statement confirming the ability to meet this requirement in the monthly -and quarter- ending Treasurer's Report. The information is in compliance with State law and the City's Investment Policy. 19F -1 Quarterly Report of Investments August 4, 2015 Page 2 The attached report (Exhibit 1) accurately reflects all pooled investments held on behalf of the City as of June 30, 2015. The following table represents percentage policy limits set by the City's Investment Policy and State Law and respective types, amounts and percentages, as of June 30, 2015. Type of Investment in $ in % COSA Policy Limits State Law Limits Certificate of Deposit (CD) $0.00 0.00` ✓0 30% 30% Federal Farm Credit Bank (FFCB) $79,906,220.00 25.43% None None Federal Home Loan Bank (FHLB) $68,977,200.00 21.94% None None Federal Home Loan Mortgage Corp. (FHLMC) $66,939,725.00 21.30% None None Federal National Mortgage Association (FNMA) $58,868,920.00 18.73% None None Overnight Sweep (CP) $25,000,000.00 7.95% 25% 25% Local Agency Investment Fund (LAIF) $14,628,137.69 4.65% None None Sub -Total $314,320,102.69 100.00% None None Cash $16,210,651.44 Total $330,530,854.13 Restricted Cash In $ Restricted Cash $16,791,777.81 Total $16,791,777.81 t Restricted cash is held by Trustee, Bank of New York Mellon and is segregated from cash used for daily operations. The following graph represents percentages within the respective investment types, as of June 30, 2015. City of Santa Ana Investment Portfolio Asset Allocation June 30, 2015 Sweep(CP) 8% (FFCB) _25% (FNMA)- ��I�II 19% ■ Federal Farm Credit Bank (FFCB) Federal Home Loan Mortgage Corp. (FHLMC) Overnight Sweep (CP) • Federal Home Loan Bank (FHLB) Federal National Mortgage Association (FNMA) • Local Agency Investment Fund (LAIF) Effective Rate of Return Month To Date (MTD) 0.92% Year To Date (YTD) 0.72% 19F -2 Quarterly Report of Investments August 4, 2015 Page 3 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #4 City Financial Stability, Objective #1 (Maintain a stable, efficient and transparent financial environment). FISCAL IMPACT There is no fiscal impact associated with this action. Francisco Gutierrez Executive Director Finance and Management Services Agency rp Exhibit 1 Treasurer's Report 19F -3 CITY OF SANTA ANA TREASURER'S REPORT as of June 30, 2015 EXHIBIT 1 19F -4 m 2 ;0; \/0 0IL { /\ |;l.; >k; #" � / \ \\ . \/\ � \\ / k § \ \ \f , ! �§ k $ � t! )| /k 1§F.S \� § fi �} kk§ . !!; )#\ _ !} �. ® D \) \ \\ ,!!! 2;�5lL! °� \ \ \.~ ^ \\! §\f . \\ , ! ,!0 k'} ( ) \! | . )E . \ _ 1§F.S m a M C t d d E Q y N N c o O C d r d a° 8 U� I o d d m o $ 19F -6 rc � � ` ` ` � � ' ` a N � to U p8pry888 ,p8p8.p8pp8p8s8g888888p88op88o8o888 S N o Nm N N m NP N (i O P ° m om Q n� ............. ....... y q&q 5 y $mgm8mm8 m,�g'°_B S.m,�°m'mm_AA.2 80HR N i ? a 888SSS88888885,88.88858 088 PK ° SS_ N O o o m tmO 8 N m m N n P t0 O m �O O N Nm MMMm mePP%222 �m2 N 2 t7 YI �D 10 Y) P R ri .X e82 ovi, p 'YJ Im0 N p s ppp QQ ryory p p p 0 0 0 P m N� N mm W^ S OO Imp P S m N r N O O o � . . °0 ° .N . 0 0 0 O . . 0 88 o � W j n S 88.8.8.8g.e.o88.8.8. g888aSas m � e gg8888888md8°N'888N 8m&8'8m8_e Ly L N Y P Y N N N y P m P N m VI m P 4 (V 1h Q m N H N N N N N rl � N o U a N y = wr Q N N m X F i P 2 1Y b LL 2 w Nl ZZZ Z d S H 2 Z m 2 Z O LL o 0 0 0 0 0 0 0 0 o w w w w w v w w w w¢ a b4 0 OGn= U N IL t7 m m m m m � n M M e] C1 m an m M n t7 m M M N+ C1 m � p N V >W 6 d � e P O a' N F 1Y E C m e o c q, W g (� W p x c 9 N N c E LL U n � 5 a u C T q d N U J S U X05 19F -6 rc � � ` ` ` � � ' ` a N � to U p8pry888 ,p8p8.p8pp8p8s8g888888p88op88o8o888 S N o Nm N N m NP N (i O P ° m om Q n� ............. ....... y q&q 5 y $mgm8mm8 m,�g'°_B S.m,�°m'mm_AA.2 80HR N i ? a 888SSS88888885,88.88858 088 N � b s a mm mm a SS_ N ry N N N VI N t� N M ty N P N N N O o o m tmO 8 N m m N n P t0 O m �O O N Nm MMMm mePP%222 �m2 N 2 t7 YI �D 10 Y) P R ri .X e82 ovi, 8 6 0 o o 8 p s ppp QQ ryory p p p 0 0 0 P m N� N mm W^ S OO Imp P S m N r N N N N W N N m 0O mm m9 mV GOOl m m 0 m m m (� lY m m99 0 0 m Vl m 0 my O . . °0 ° .N . 0 0 0 O . . 0 88 ° °88882,8588882,8888888888 � W j 88 S 88.8.8.8g.e.o88.8.8. g888aSas 88 1 q gg8888888md8°N'888N 8m&8'8m8_e Ly L N Y NI Y N N N y P m P N m VI m P 4 (V 19F -6 rc 8 p8pry888 ,p8p8.p8pp8p8s8g888888p88op88o8o888 S N o Nm N N m NP N (i O P ° m om Q n� Q$ 8 8 y q&q 5 y $mgm8mm8 m,�g'°_B S.m,�°m'mm_AA.2 80HR N M 888SSS88888885,88.88858 088 SS_ 88888888808_8.E8.8,8.8888888 V� N ry N N N VI N t� N M ty N P N N N Nm MMMm mePP%222 �m2 N 2 R aaooa'a'aS �aS°a° ° o 0 0 � o ° S 8 o yy yy yy YY y y C C NY R C C= C C C C C C C b w N N N W N N m 0O mm m9 mV GOOl m m 0 m m m (� lY m m99 0 0 m Vl m 0 my a O y V q Om'O $ N d N Y N 0 U U U U U U U U U U U U U U U � W j W u LL � W W u LL Y LL LL IL IY 1Y LL LL LL LL LL 1Y LL LL LL IL IY _ 2 S S N Wy Nm a 0 W$ a yy J, NN y NN N N0N m NN yy 1 q LL LL IL IL IY LL ILL IL LL Y 11 lL LL LL Ly L N Y 1h Q m N H N N N N N rl � N o U a N y = wr Q N N m X F i P 2 1Y b LL 2 w Nl ZZZ Z d S H 2 Z m 2 Z O LL o 0 0 0 0 0 0 0 0 o w w w w w v w w w w¢ a b4 0 OGn= U N IL t7 m m m m m � n M M e] C1 m an m M n t7 m M M N+ C1 m � 19F -6 rc N L' _ m a a s° 0 U_e �pM �n m yl C E d E Q 0 c cc o C C N m cc N C A 0 0 t1 0 0 $ a 0 Y 0 a a m �1 a[ r H m a m N m m m a N m m m m m m m r m r m m m m m r r r m N a s o. o `o f 'o a 0 0 0 0 a m U Q. N N E N N O (NV O N N 0 0 0 Zi r N N 0 VNI m N N N P, N �.8 . 0 VOI r '— O N � N � N — — � N O N �� N O—- o. O..... . 0 0 0 0 0 . . N P b O �qD, O N e... P N N O O O O O O O 08 8 �8S §2s8 - -8.9 888 §888sssF, 53 88s8s 88 $8.s8° °s 9 8 §8$ 5,§0�_ 88O 8 O 8�. §8_ 88s 08 9 5N 58 88 o8 S8 8o . $8$888 o8 880_ 8$8_ $8_ 88. 858 O O O O O 9 s § 8 0 ry N fJ N N N N P N M N N M N N 8 8 8 5 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 8 5 8 8 8 8 8 8 8 5 8 8�, 8 8 �gggF�sggasgs §g6mgggg.�s „�s�_o_� -g_m N 55588885555888SSSo888SS5588888555885 ry VI M M N N N N N N N N M VI N N N N N N N h N M N Q Q N N N N N N N YI YI N N N N M Q Q o a Q N N V' N N N N N N N N N M O M O O` f' o 0 `O ry f f f f' O O O f O O O f f f0 f f 'O f O o �s 'a_S°amSa °aa goo soo 0 00 00 000oo$'�F 6 6 a 6 6 o 0 6 6 6 6 6 6 0 U U U U U U U U U U U U U U U U U i$ g q c c c. '. W A m mmmmmm "mmmmmm m "$E�EESSSEffE�ss�� qq qq c c c c c c c c c J. J m J J J J J. J J J J J J J. J J J. m.. E E v v v v J v v v E v v v E v E v v E E �F F v E E E E 0 0 0 E 0 0 E E E 0 0 E E E E 0 0 0 0 0 0 0 0 fi Kg 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 Z 2 2 2 2 2 2 2 2 2 2 2 2 2 z z z zo z m w m m a 'm m LL Il LL IL LL LL LL LL ILL IL LL LL LL LL LL LL IL IY LL LL IL IL IL 1Y LL LL LL lL IL 1L LL LL N 1 Y N M p N gf m tNl m M M m tNl 1� f'� t'I N N m I� t l t� M M oN,� M CNi tml t�! cr N N N N U u c d M `mYM 'm5 i p 3 i 3 o x m 9 m a K o E cm�i o o m c u x �1Zamid oauc�i��c��c�u�.5 w��c�u 0. 79 56 v S S 5 5 8 8 5 S 5 m 19F -7 o' rc f .2E 5 ■(© 2( /} � ■_- %2!@ CL / § §) §§ §§\)§ § § §) §§ §§ § §! § ! 9 9 49 !!K9 9 ; K | ( \}$ ® §! §7ƒ ƒ • ;B;l,m.!&@ n \7 \ §f! \\\7 7 ) §§ §]! §«§) || K # I# •■ \\\(((zzz | _ ;! | ; ; ;!!! ! !| § } \ \ § \(\ \ \\ 1§F- k { ! i | ae�k X00 CL .9 ! §� §® ■ § § §§ § § §§ !f!■ ■ » � !!r# R §!E: # = m !!K# \ (( | \ /))\ ( \ \: >� !, §! )0 )0w �( c ! � ) 1§F- ) ( � ! ) Y� tC U Z r� Ui o ai H d z .� co N LU f > co W « n v m F m c v f� T Y� tC U Z 19F -10 r r a' c E r � U K 2 o p ai > o u C a o d orc 3 Ui o e �u vii H d z .� N LU O > co W « n v m F m c v W > en = a' co f N r Q U 19F -10 r r a' c E r � U K 2 o p ai > o u C a o d orc 3 e �u vii .- f N r V N vi o 'o o °° °c_ °cc�cm c a a 000a SS °oo ^oo �'� .-o oo�NO 0 0 `n a H w w w' U U LL LL Z Z U d U 3 E rn a n d a o a c c m V C7 O V O z z o z o LL LL o y��wr >;�� WLLwLLmWm Z W Z J J o fi ELL g LL E E LL LL LL LL E a E 0 U N � P O pp VV m v b uNi C R N m m ] N m O 3 ° ° a � v m q¢¢¢¢ 6 n x O 0 0 m ip m d 19F -10 r r a' c E r � U K 2 o p ai > o u C a o d orc 3 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: PARK RANGER PROGRAM UPDATE {STRATEGIC PLAN NO. 1, 1} Cr b9CM/rt2as CITY MANAGER RECOMMENDED ACTION Receive and file. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER The Police Department assumed responsibility for the Park Ranger Program on April 18, 2015. During this time, the department has focused on developing the newly adopted program, patrolling the parks, and building relationships with stakeholders. Park Rangers are meeting with Parks and Rec supervisors and staff and providing training on key issues such as the preferred process for reporting incidents, safety awareness, and the importance of reporting incidents in a timely manner. Park Rangers are also attending Neighborhood Association meetings, and attending City park events. On June 24, 2015 the Police Department hired its first part-time Park Ranger, Claire Baltodano. Ranger Baltodano is a graduate of Golden West police academy, is fluent in Spanish, and possesses an AA degree from Golden West College. Ranger Baltodano also served in the United States Navy and was honorably discharged in 2013. Ranger Baltodano is progressing through her Park Ranger training program, and upon completion of the training program, she will resume regular Park Ranger duties. The program is currently staffed with one full -time Park Liaison Officer (40 hours), a 20 hour part- time Park Ranger, and 40 hours of police officer overtime, for a total of 100 hours per week. Due to POST requirements, the City Attorney's Office determined that the one existing PT Park Ranger is unable to legally carry a firearm on duty. The Police Department has been assisting this Park Ranger to achieve POST recertification. There are currently two remaining part-time Park Ranger vacancies. To date, the Personnel Services Department has received 169 applications for the Park Ranger positions. 38 applicants possessed the minimum qualifications required by the job description. Of the 38 applicants that 19G -1 Park Ranger Program Update August 4, 2015 Page 2 met the minimum qualifications, 27 have failed a testing component or withdrew from the process. Eleven applicants remain in various stages of the hiring process (2 are in backgrounds and 3 recently passed the oral interview). Six applicants will be contacted for oral interviews tentatively scheduled the week of August 10, 2015. Police Department Human Resources is working closely with City Personnel Services to get the two remaining Park Ranger positions filled as soon as possible. STRATEGIC PLAN ALIGNMENT This item supports the City's efforts to achieve Goal #1 - Community Safety, Objective #1, Modernize the Community Policing Philosophy to improve customer service, crime prevention and traffic / pedestrian /bicycle safety. FISCAL IMPACT There is no fiscal impact associated with this item. a/! �;-_ Carlos Rojas Chief of Police Santa Ana Police Department 19G -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: AGREEMENT WITH RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT FOR REIMBURSEMENT OF A LAND CONVERSION EVALUATION CRITERIA STU {S IC PLAN NO. 5,4A) —O �. �Vfi�2vs CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended [J Ordinance on 1" Reading C] Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Rancho Santiago Community College District for reimbursement of a land conversion evaluation criteria study in the amount of $334,000, for a term to expire when the City is fully reimbursed for the expenses or mutually agreed upon by both parties, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve an appropriation adjustment recognizing funds in the amount of $334,000 in the Recreation /Community Services Acquisition & Development revenue account and appropriating the same amount to the Recreation /Community Services Acquisition & Development expenditure accounts. DISCUSSION Centennial Park was obtained from the United States government with certain use restrictions, which require the land to be used for public recreational purposes. The National Park Service (NPS) is charged with interpreting and enforcing the use restrictions. Through a license agreement in 1979, the City licensed approximately 1.76 acres within the Park to the Rancho Santiago Community College District (District) to build and operate an educational facility that was approved by the NPS, The district was later allowed to expand its Daycare area east of the facility to Include a total of approximately 2.6 acres. The entire facility is known as Centennial Career Education Center. The 30 year license agreement was set to expire on November 2009, but has been extended twice, to allow time for the District to vacate the site or work with the city on a possible land conversion plan. The current amended license agreement expires in November 2019. 20A -1 Agreement with Rancho Santiago Community College District August 4, 2015 Page 2 The District has expressed interest to convert the license agreement into a long -term lease in order to make improvements to its facilities. This request was initially denied by the NPS because it did not satisfy the public recreational use restrictions. A land conversion approved by NPS would effectively release the License Area from the use restrictions and transfer the use restrictions to a new park site of equal size and value. Only then can the city negotiate any type of land license for this area. The NPS has established a protocol for land conversion approval which is identified as an Evaluation Criteria Study. Under this process, the NPS has approved a City -owned parcel of 1.4 acres (McFadden /Orange site). NPS indicated the 1.4 acre parcel is not of equal value to the 2.6 acres occupied by the district. Two additional sites of 1.51 acres are being proposed by the City to NPS to fulfill the equal land and recreational value requirement for the land conversion. The District has previously reimbursed the City for costs associated with the earlier Evaluation Criteria Study and wishes to reimburse the City for additional costs to be incurred in the Evaluation Criteria Studies for the additional sites. The City will proceed to work with the College District to submit the required park planning documents for the land exchange to the National Park Service. In addition, City staff will discuss with the District an alternative opportunity for the College District to move the Centennial Career Education Center from their current location to the 3.5 acre undeveloped lot owned by the City within the Centennial Park boundary. This lot has a federal deed restriction in that it can only be used for educational purposes. In addition, staff will begin discussing with the College District the concept of them using the Godinez High parking structure when available for adult education student parking and providing a student shuttle from the structure to the campus site. The purpose of this is to relieve parking congestion to help park users wishing to use the north side of the park. The city is requesting to enter into a reimbursement agreement with Rancho Santiago Community College District in an amount not to exceed $334,000 for costs associated to the Evaluation Criteria Study. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #4 (Support neighborhood vitality and livability), Strategy A (Support the design and construction of parks to provide increased open space and opportunities for recreation throughout the city, construct the Roosevelt Walker Park and Community Center, and develop concepts and proposals for the Library Park in the Civic Center and Centennial Santa Ana River Eco- Park). 20A -2 Agreement with Rancho Santiago Community College District August 4, 2015 Page 3 FISCAL IMPACT The appropriation adjustment will recognize anticipated Rancho Santiago Community College District Reimbursement revenue in the amount of $334,000 in the Recreation /Community Services Acquisition & Development revenue account (no. 30113002 57304) and appropriating the same amount to the Recreation /Community Services Acquisition & Development expenditure accounts (no. 30113260 62300 )for the following fiscal year: FY 2015 -2016 - $334,000. - A - r, � 4"' '." V , I �' Gerardo Mou Executive Dir for Parks, Recre I tion and Community Services Agency EXHIBIT: Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gu errez, Executive Director Finance and Management Services Agency 20A -3 20A -4 REIMBURSEMENT AGREEMENT FOR COMPLETION OF LAND CONVERSION APPROVAL FOR CENTENNIAL EDUCATION CENTER This Reimbursement Agreement for Completion of Land Conversion Approval for Centennial Education Center ( "Agreement ") is made and entered into on August 4, 2015, by and between Rancho Santiago Community College District ( "District ") 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 owns Centennial Park in the City of Santa Ana. B. The City obtained the land for Centennial Park from the United States government subject to certain use restrictions imposed in the grant deed by which title to the land was conveyed to the City ("Use Restrictions "). The Use Restrictions require the land to be used for public recreational purposes. The National Park Service ( "NPS ") is charged with interpreting and enforcing the Use Restrictions. C. By License Agreement in 1979, the City licensed approximately 1.76 acres within the Park to the District ( "License Area ") to build and operate an educational facility that was approved by the NPS. The District was later allowed to expand the License Area to include a total of approximately 2.6 acres. The entire facility is known as Centennial Education Center. D. The License Agreement original expiration date was November 2009 and has been extended twice, to allow time for the District to vacate the site or work with the City on a possible land conversion plan. The License Agreement presently expires in November 2019. E. The District has expressed its interest to convert the License Agreement into a long -term lease in order to permit the District to make improvements to its facilities. This request was initially denied by the NPS because it did not satisfy the Use Restrictions. F, A long -tern lease may only be negotiated if a land conversion is approved by NPS, which would effectively release the License Area from the Use Restrictions and transfer the Use Restrictions to one or more new park sites of equal size and value. The NPS has established requirements for land conversion approval under Section 6(f)(3) of the Land and Water Conservation Fund Act that are more specifically delineated at 36 C.F.R. § 59.3 ( "Land Conversion Requirements "). G. One City -owned parcel of 1.4 acres has already been identified and approved by NPS under this process, and it is expected that two additional sites ( "Replacement Properties ") will be proposed by the City to NPS for consideration in order to complete the land conversion. The Replacement Properties are identified as follows: Raiff and Myrtle Parcel 1.09 acres Lacy Neighborhood Parcels .42 acres Total 1.51 acres H. The District has previously reimbursed the City for costs associated with the earlier land conversion and wishes to reimburse the City for additional costs to be incurred to fulfill the Land Conversion Requirements for the Replacement Properties. 20A -5 The parties therefore agree: 1. In consideration for the District's obligations in this Agreement, the City agrees to initiate and pursue the Land Conversion Requirements and take all other actions necessary to obtain the NPS's approval of the Replacement Properties and removal of the Use Restrictions from the License Area in order to allow the City and the District to enter into negotiations for a long -term lease of the License Area. 2. The District agrees to cooperate with the City in fulfilling the Land Conversion Requirements and to reimburse the City in an amount not to exceed Three Hundred Thirty -Four Thousand Dollars ($334,000) for its costs at such times and in such amounts set forth in this Agreement. 3. The scope of the Land Conversion Requirements shall conform with those requirements found at 36 C.F.R. § 59.3, which are incorporated by reference, and any other applicable requirements hereafter established by the NPS. 4. The estimated costs of the Land Conversion Requirements are set forth in Exhibit A and are based on the City's prior experience in the earlier land conversion. Notwithstanding the foregoing, the District shall reimburse the City for the actual costs for the tasks described in Exhibit A and any others required by the Land Conversion Requirements. Additionally, the Executive Director of the City's Parks, Recreation and Community Services Agency ( "Executive Director ") and the District's Vice Chancellor of Business Operations/Fiscal Services ( "District Official ") are hereby authorized to add any additional categories of expense if so required by the NPS, provided that the total reimbursement obligation of the District shall not exceed $334,000 without written approval by the City Council and the District's governing board, which approval must be granted by both the City and the District before such additional expenses are incurred. a. City shall ensure that the scope of work and deliverable(s) of each consultant utilized will comply with the scope of the Land Conversion Requirements. b. City shall formally bid and award contracts in accordance with City's rules and regulations for the procurement of materials, supplies, labor, and equipment. 5. Payment by the District shall be made within thirty (30) days of the District's receipt of (a) the City's payment request based on invoices received by the City from its consultants for the required tasks and services described on Exhibit A, (b) copies of those invoices, and (c) copies of any other supporting documentation reasonably requested by the District to evidence that the work invoiced by the consultant has actually been performed. 6. This Agreement shall commence on the date fist written above and expire on the latter of the dates when (a) the City has been reimbursed in full for the expenses that are the subject of this Agreement or (b) the NPS has rendered its final decision as to whether the Replacement Properties are acceptable to cause the Use Restrictions to be removed from the License Area. This Agreement may be terminated earlier by mutual agreement of the parties, provided that the City is paid in full for all expenses it has incurred at the time of the effective date of termination. 7. The City acknowledges that the District is providing the funding which is the subject of this Agreement with the understanding that if and when the Use Restrictions are removed from the License Area by the NPS, the City and the District will enter into negotiations for a long -term lease agreement for the District's use of the License Area on terms and conditions mutually acceptable to the City and the District. If, within thirty -six months following the removal of the Use Restrictions, the 20A -6 parties do not enter into a mutually acceptable lease, and the City enters into a lease for the License Area with a different party, the City shall require as a term of that lease the payment by the lessee to the District of the sum of all amounts paid by the District to the City under this Agreement. 8. The City and the District shall indemnify, defend, and hold harmless each other, their respective officers, agents, and employees from any expense, liability, or claim for death, injury, loss, damage or expense to person or property that may arise or is claimed to have arisen pursuant to this Agreement to the extent that such expenses, liability, or claim is proximately caused by any act or omission of the other, or its officers, agents, or employees. 9. Any notice to be given in connection with this Agreement shall be in writing and directed to the addresses below or such other addresses as either party may later specify in writing. Notice is deemed effective on the date it is given if hand - delivered that same day and on the day delivered by over- night mail. Notice given by U.S. mail shall be deemed effective three (3) days after it is deposited in the U.S. mail, postage prepaid and addressed as follows: DISTRICT: Rancho Santiago Community College District Vice Chancellor Business Operations/Fiscal Services 2323 N. Broadway Santa Ana, CA 92706 -1640 CITY: City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 Attn: Clerk of the Council 10. This Agreement constitutes the entire agreement between the City and District regarding the subject matter herein, and supersedes all other agreements, oral or written, between the parties. This Agreement may only be modified in a writing signed by authorized representatives of both parties. 11. This Agreement and all questions relating to its validity, interpretation, performance, and enforcement shall be governed by and construed in accordance with the laws of the State of California. The 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. WHEREFORE, the parties have entered into this Agreement on the date fast written above. -- signature blocks follow on next page -- 20A -7 ATTEST MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney B nH M. ^ k . AYsistant City Attorney 20A -8 CITY OF SANTA ANA DAVID CAVAZOS City Manager RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT PETER HARDASH Assistant Vice Chancellor EXHIBIT A Tasks Ordinarily Associated with Land Conversion Requirements Task Documents from city evidencing desire to substitute land of equivalent fair market and recreational value. Appraisal report of substitute parcels. Replacement property must be of at least equal fair market value and of reasonably equivalent usefulness and location. Justification and assessment of public recreational value In land exchange. Phase 1 Environmental Site Assessment of substitute property, indicating it is environmentally safe and not latently contaminated. National Environmental Policy Act Assessment (NEPA) of proposed release of park /recreation use of former property and assessment of potential Impact of new park development. A copy of the state, city or county recreation map showing present park land in relationship to proposed substitute land. A copy of the legal description for the proposed replacement property and proposed property to be converted. SUBTOTAL Contingency (10%) TOTAL 20A -9 Estimated Cost Actual costs by city $ 30,000 $ 64,000 $ 14,400 $ 187,050 Actual costs by city $ 8,000 $ 303,450 30,345 $333,795 20A -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: APPROPRIATION ADJUSTMENT ACCEPTING EDWARD BYRNE MEMORIAL JUSTICE ASSISTANCE GRANT FUNDS (STRATEGIC PLAN NO 1 3B) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2 n Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve an appropriation adjustment recognizing supplemental Edward Byrne Memorial Justice Assistance Grant funding for the following fiscal year(s) 2011 - 2012 - $12,687, 2012 - 2013 - $11,543, and 2013 - 2014 - $11,358; totaling $35,588 into the Byrne Justice Assistance revenue account and appropriate same to expenditure account. DISCUSSION The Edward Byrne Memorial Justice Assistance Grant (JAG) program provides federal criminal justice funding to state and local jurisdictions. It is a formula grant that blends the previous Byrne Formula and Local Law Enforcement Block Grant (LLEBG) programs. JAG requires a single unit of county government to function as the applicant/fiscal agent to apply for, receive, and administer the funds on behalf of the entire County. A memorandum of understanding designated the County of Orange, Sheriff - Coroner Department as the lead agency for this program. JAG allows the fiscal agent for each county to use a portion of the award for costs associated with administering the funds, and, as a result, the Orange County Sheriff - Coroner Department retains 9% for administrative costs. For the 2011 -2012, 2012 -2013, and 2013 -2014 grant years, 10% was allocated to support the Anti - Drug Abuse Enforcement Team Program to supplement their resources. The County recently informed the City that this program is no longer a priority funded program through the Federal Justice Assistance Grants (JAG) and that the funds would be redistributed to the City to further enhance JAG program operations. These funds in the amount of $35,588 will be utilized by the Police Department for overtime to augment gang enforcement, enhance educational opportunities, and enhance community policing efforts consistent with our 2011 -2012, 2012 -2013, and 2013 -2014 grant applications. 20B -1 Appropriation Adjustment — Justice Assistance Grants (JAG) August 4, 2015 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy B (promote ongoing efforts to obtain grant funding for activities that will assist in preventing and reducing criminal activity and traffic collisions). FISCAL IMPACT The appropriation adjustment will recognize Edward Byrne Memorial Justice Assistance Grant funding in the amount of $35,588 into the Byrne Justice Assistance revenue account (no. 12814002- 52001) and appropriate same to expenditure account (no. 12814409 61040) in the following fiscal year(s): Fiscal Year Fundino Allocation Year Amount 2015 -16 2011 -12 $12,687 2016 -17 2012 -13 $11,543 2016 -17 2013 -14 $11,358 fl If" Carlos Rojas Chief of Police Police Department APPROVED AS TO FUNDS AND ACCOUNTS: �V- " Francisco GOWrrez IJaL Executive Director Finance & Mgmt. Services Agency 20B -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: INCREASE CONTINGENCY FOR GRAND AVENUE ROADWAY AND STORM DRAIN IMPROVEMENTS PROJECT (PROJECT NOS. 081732 & 126604) (STR pi EGIC PLAKNOS. 6, 1B, 1C, 1G) n CA1ss�� CITY MANAGER CLERK OF COUNCIL USE ONLY: APPROVED As Recommended As Amended ❑ Ordinance on to Reading ❑ Ordinance on a Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Increase the contingency for construction of the Grand Avenue Roadway and Storm Drain Improvements from First Street to Fourth Street by $250,000, which increases the total estimated construction delivery to $4,183,432.39. 2. Approve an appropriation adjustment to recognize expense reimbursement from Southern California Edison in the amount of $42,961.27 into the Measure M Street Construction revenue account and appropriate the funds in the Measure M2 Local Fairshare expenditure account. 3. Approve an appropriation adjustment to appropriate $50,000 from the Public Works Storm Drain Construction revenue account to the Public Works Storm Drain Construction expenditure account. DISCUSSION On June 17, 2014, the City Council awarded a contract to Excel Paving Company In the amount of $3,179,058.24 to construct the Grand Avenue Improvements, Included in the scope of work is the installation of Class 2 bike lanes, landscaped parkways, sidewalks, bus turnouts, raised landscaped median, and the relocation of existing utilities along the project, The project also includes constructing a 78 -Inch storm drain to provide additional drainage capacity to minimize the potentlal for flooding in this area. The approved total project delivery cost of $3,933,432.39 Includes $367,421 in construction management and inspection costs, as well as a $386,953.15 contingency to cover construction quantity adjustments and miscellaneous cost extras. During construction of the 78 -inch, 13- foot -deep storm drain, significant unforeseen conditions were encountered In Grand Avenue from the south side of First Street to the centerline of Fourth Street. Several utility lines needed to be adjusted and rerouted because they Interfered with the 20C -1 Increase Contingency for Grand Avenue Roadway and Storm Drain Improvements August 4, 2015 Page 2 storm drain placement. These utility lines included water and sewer main lines; two, large communication duct banks; and two, high - pressure gas mains. Also approved by Council on June 17, 2014, was a $49,000 payment to Southern California Edison (SCE) to prepare engineering drawings and install the street light poles and lights. Subsequently, the City began the process to purchase all SCE -owned street lights within the City limits. Because it would be more expensive to purchase the newly installed street lights back from SCE, it was determined to be more cost effective for the City to use the engineering drawings prepared by SCE, purchase the poles and lights, and have the Excel Paving Company install them with the required conduit. As a result, SCE will be reimbursing the City $42,961.27 for the initial payment less the cost of the engineering work. Presently, the Grand Avenue project is approximately 68 percent complete. Total amount of the change orders to date for the utility adjustments and the street light installation is $259,115.41. It is anticipated that additional change orders will be needed before the project is completed. Job site conditions have been significantly different from the information provided in the plans, primarily related to interfering underground utilities associated with the storm drain improvements. Therefore, staff is recommending a contingency increase of $250,000 to ensure that if expenditures continue to exceed the Council authorized construction contract amount awarded in 2014, construction may proceed uninterrupted, until completed. With the increased contingency, the new total delivery cost will be $4,183,432.39, including the construction contract, construction administration, inspection, testing, and survey (Exhibit 1). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. STRATEGIC PLAN ALIGNMENT Approval of this Item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy B (equitably maintain existing streets and associated assets in a state of good repair so they are clean, safe and aesthetically pleasing for all users), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard), and Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans FISCAL IMPACT $250,000 will be added to the Grand Avenue Roadway and Storm Drain Improvements project contingency budget for expenditure in Fiscal Year 2015/2016 from the following sources: 20Ci-2 Increase Contingency for Grand Avenue Roadway and Storm Drain Improvements August 4, 2015 Page 3 An appropriation adjustment will be prepared to recognize expense reimbursement from Southern California Edison in the amount of $42;961.27 into the Measure M Street Construction revenue account (No. 03217002-57000) and appropriate the funds in the Measure M2 Local Fairshare expenditure account (No. 03217662- 66220) for Project 08 -1732. 2. $157,038.73 in Measure M2 Local Fairshare Funds already appropriated to the project in prior fiscal years will be reallocated to the project contingency (Account No. 03217662- 66220, Project 08- 1732). 3. A second appropriation adjustment will appropriate $25,000 from Fund 224 Local Drainage Area IV revenue account (No. 22417002- 50001) and $25,000 from Fund 225 Local Drainage Area V revenue account (No. 22517002 - 50001) to the respective expenditure accounts (Nos. 22417660 -66220 and 22517660- 66220) for Project 12 -6604. J' re Mousavipour Executive Director Public Works Agency FMIEWG/KW APPROVED AS TO FUNDS AND ACCOUNTS: Fro ' isco Gutierr z Executive Director Finance & Management Services Agency Exhibit 1: Cost Analysis 2: Grand Avenue Widening Location Map 3: Request for Council Action dated June 17, 2014 20C -3 20C -4 COST ANALYSIS INCREASE CONTINGENCY FOR GRAND AVENUE IMPROVEMENTS AND WIDENING FROM FIRST STREET TO FOURTH STREET AND GRAND AVENUE STORM DRAIN FROM FIRST STREET TO FOURTH STREET (PROJECT NOS. 081732 & 126604) Construction Contract $3,179,058.24 Contract Administration $103,207.00 Inspection and Testing $208,654.00 Survey Staking & Street Light Design $12,599.00 Southern California Edison Reimbursement $42,961.00 Original Contingencies $386,953.15 Increased Contingencies $250,000.00 TOTAL ESTIMATED CONSTRUCTION COSTS $4,183.432.39 Exhibit 1 20C -5 20C -6 4 (NTS) Z a FOURTH STREET THIRD STREET 1 , , i SECOND STREET FIRST STREET LEGEND PROJECT LIMITS Exhibit 2 SANTA ANA .. . - Lo 410 200-7 20C -8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: CONTRACTS AMENDMENT FOR MISCELLANEOUS PLUMBING SUPPLIES (SPEC. NO. 12 -011) (STRA GI P NO. 6, 2) c�TiiArzos CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Amend the contracts for miscellaneous plumbing supplies by $35,000 for an annual aggregate amount not to exceed $125,000 with the following vendors, subject to non - substantive changes approved by the City Manager and City Attorney. Vendor: Location: Ferguson Enterprises, Inc. Pomona Irvine Pipe & Supply, Inc. Santa Ana DISCUSSION The City maintains in excess of 30 buildings, including City Hall, Corporate Yard, the Police Administration and Holding Facility, recreation and senior centers, and park facilities, as well as water production facilities. Various departments require a wide range of materials for repair or improvement projects. Plumbing supplies such as pipes, valves, couplings and tools are used extensively in the maintenance of City facilities. The contracts are designed to provide quality products at significant savings based on quantity pricing. To ensure that necessary materials are available when required, staff recommends awarding contracts to both local suppliers. On May 7, 2012 the City awarded contracts to Ferguson Enterprises, Inc. and Irvine Pipe & Supply, a Santa Ana vendor, for a one -year period with provisions for four, one -year renewals. Due to budget constraints the original budgeted amount was reduced to $90,000. As a result of increasing deferred maintenance, staff is requesting additional funds totaling $35,000; increasing the aggregate contract amount to $125,000. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City of meet Goal #6 Community Facilities & Infrastructure, Objective #2 (address deferred maintenance on City buildings and equipment). 22A -1 Contracts Amendment for Miscellaneous Plumbing Supplies August 4, 2015 Page 2 FISCAL IMPACT Funds are available in FY 2015 -16, and if annual option is renewed in FY 2016 -17, in the following accounts: $60,000 in the F &MS Building Maintenance account (07310100- 63001) $10,000 in the F &MS Stores & Property Control account (07601001- 12531) $10,000 in the Police Building & Facility account (01114403- 63001) $15,000 in the Public Works Water Utility Water Production & Supply account (06017640- 63001) $15,000 in the Public Works Water System Maintenance account (06017641- 63001) $15,000 in the Recreation and Community Services Park Maintenance account (01113250- 63200) APPROVED AS TO FUNDS AND ACCOUNTS: Gerardo Mouet Francisco Gutierrez Executive Director Executive Director Parks, Recreation & Community Services Finance and Management. Services Agency Public Works Agency sp Carlos Rojas Chief of Police Santa Ana Police Department 22A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: CONTRACT AWARD TO GUARANTY CHEVROLET FOR THE PURCHASE OF CHEVROLET SPARK AUTOMOBILES (SPEC. NO. 15 -049) (STRATEGIC PLAN NO. 6,2) al,e < rot CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 0 91 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize a one -time purchase and payment of purchase order to Guaranty Chevrolet for the acquisition of three Chevrolet Spark Automobiles, in an amount not to exceed $50,500 subject to non - substantive changes approved by the City Manager and City Attorney. The Finance and Management Services Agency Facilities, Fleet Maintenance, and Central Stores Division is responsible for the acquisition, maintenance, repair, and replacement of vehicles, trucks, and maintenance equipment. The City's Vehicle Replacement Policy provides guidelines and criteria for determining when vehicles need replacement. This criteria includes vehicle age, mileage, maintenance costs, and safety history. As a result of reviewing the City's replacement criteria, three (3) E -Z Go electric golf carts purchased in 2000, have been identified for replacement with gas powered compact vehicles. These vehicles will be utilized by the Police Department's Downtown Parking Enforcement program. The vehicles will enhance working conditions for employees along with improving their mobility while conducting their job duties. The notice inviting bids was advertised on May 18, 2015, on the City's online bid management and publication system. A summary of the bid invitations and bids received is as follows: 30 Vendors were notified 1 Vendor downloaded the IFB packet 0 Bids received from Santa Ana Vendors 0 Bids received Santa Ana Municipal Code Sec 2- 807(c) authorizes the City to purchase from any vendor in situations where no bids are received. Two regional vendors were contacted and submitted bids. The bid received from Guaranty Chevrolet, a Santa Ana vendor, is responsive to the 22B -1 Contract Award for Chevrolet Spark Cars August 4 2015 Page 2 specifications and meets the City's requirements. To allow for unanticipated charges, an additional $1,000 contingency has been included in the award amount. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #6 Community Facilities & Infrastructure, Objective #2 (address deferred maintenance on City buildings and equipment). FISCAL IMPACT Funds are available in FY 2015 -16 Finance and Management Services Fleet Maintenance Equipment Replacement account (07510101- 66400). APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency CuuS _p 228 -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: CONTRACT AWARD FOR REPLACEMENT AERIAL TRUCK (SPEC NO. 15 -068) (STRATEGIC PLAN NO. 6,2) d- GSG�?Z6S CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: _---• o ❑ As Recommended ❑ As Amended ❑ Ordinance onls'Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO 13WA2ttiL84l:lq:7 Award a contract to Altec Industries, Inc. for the purchase of a Ford F -550 Aerial Truck in an amount not to exceed $140,512, subject to non - substantive changes approved by the City Manager and City Attorney. The Finance and Management Services Agency Facilities, Fleet Maintenance, and Central Stores Division is responsible for the acquisition, maintenance, repair, and replacement of vehicles, trucks, and maintenance equipment. The City's Vehicle Replacement Policy provides guidelines and criteria for determining when vehicles need replacement. This criteria includes vehicle age, mileage, maintenance costs, and safety history. As a result of reviewing the City's replacement criteria, a 1998 Ford F -450 Aerial Truck with 114,775 miles, has been identified for replacement. This vehicle is used by Public Works Construction Engineering for the street lighting program. To ensure standardization and consistency of ongoing maintenance needs Fleet Maintenance utilizes the Ford F -550 chassis for like vehicles and this vehicle will be built to run on Liquid Propane Fuel (LPG). Santa Ana Ordinance No. NS -2312 authorizes the City to purchase against contracts from any public agency utilizing a competitive bid process. The National Joint Powers Alliance has a contract with Altec Industries Inc. (NJPA contract #31014) for procurement of fleet vehicles and the contract is authorized through 2018. NJPA authorized this contract was awarded as a result of open competitive bidding on behalf of its members which includes government entities and meets the City's purchasing requirements. Due to the complexity of the specifications of such a multi- faceted vehicle, the use of a Cooperative Purchasing Agreement such as NJPA provides for a timely and cost effective vehicle purchase. To allow for unanticipated charges, an additional 5% or $6,691 has been included in the award amount. 22C -1 Contracts Award for Replacement Aerial Truck August 4, 2015 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #6 Community Facilities & Infrastructure, Objective #2, (Address deferred maintenance on City buildings and equipment.) FISCAL IMPACT Funds in the amount of $140,512 are available in the FY 2015 -16 Fleet Maintenance Equipment Replacement account (07510101- 66400). F Mousavlpour, P.E. Executive Director Public Works Agency CUSP APPROVED AS TO FUNDS AND ACCOUNTS: hit i-�� L a Francisco Gutierrez Executive Director Finance and Management Services Agency 22C -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: CONTRACTS AWARD FOR AMMUNITION (SPEC. NO. 15 -050) (STRATEGIC PLAN N0.1, 5) 611A�7-7s-, vot-Z 4$ CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2n' Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize a one -time purchase and payment of purchase order for ammunition to Dooley Enterprises, Inc. in the amount of $102,115 and San Diego Police Equipment in the amount of $96,385 for a total aggregate amount not to exceed $198,500, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Santa Ana Police Department provides ammunition to its sworn officers, primarily for use during training and range qualification testing. Officers are required to re- qualify regularly to maintain proficiency in the use of firearms. The annual order for training and duty ammunition is designed to provide quality products at a significant savings based on quantity pricing. The notice inviting bids was advertised on June 8, 2015, and offers were solicited. A summary of the bids and offers received is as follows: 4 Vendors were notified 10 Vendors downloaded the bid 0 Bids received from a Santa Ana vendor 4 Bids received Bids were received and opened on June 26, 2015. The bids received from Dooley Enterprises, Inc. and San Diego Police Equipment are responsive to the specifications and meets the City's requirements — Exhibit 1. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #1 Community Safety; Objective #5 (provide high quality Police and Fire /Emergency Medical Services response within the City of Santa Ana). 22D -1 Contract Award for Ammunition August 4, 2015 Page 2 FISCAL IMPACT Funds are available in FY 2015 -16 Police Department Training Services account (01114410- 63001) in the amount of $159,000; and the Police Department Criminal Activities — D.O.J. account (02614450- 63001) in the amount of $39,500. APPROVED AS TO FUNDS AND ACCOUNTS: Carlos Rojas Francisco Gutierrez Chief of Police Executive Director Police Department Finance and Management Services Agency% EG 22D -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: CONTRACT AWARD FOR PATROL RIFLES AND ACCESSORIES (SPEC. NO. 15 -059) {STRATEGIC AN NO.1, 5) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 0»G16MAD, ❑ As Recommended ❑ As Amended ❑ Ordinance on 1° Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize a one -time purchase and payment of purchase order to RifleGear for patrol rifles and accessories in an amount not to exceed $145,000, subject to non - substantive changes approved by the City Manager and City Attorney. The Santa Ana Police Department issues patrol rifles to each of its patrol vehicles assigned to duty. Patrol rifles provide trained law enforcement personnel with a more effective means in which to protect the community as well as themselves in high risk patrol encounters. The current authorized department issued rifle is no longer being manufactured and has been discontinued. After extensive testing and research over the past year with the department's range master, the weapons committee has recommended the Daniel Defense Systems rifle as the replacement weapon system to be utilized. This purchased will replace and equip all 85 patrol vehicles in the department. The notice inviting bids was advertised on June 30, 2015, and offers were solicited. A summary of the bids and offers received is as follows: 4 Vendors were notified 8 Vendors downloaded the bid 0 Bids received from a Santa Ana vendor 7 Bids received Bids were received and opened on July 14, 2015. The bid received from RifleGear is responsive to the specifications and meets the City's requirements — Exhibit 1. 22E -1 Contract Award for Patrol Rifle August 4, 2015 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #1 Community Safety; Objective #5 (provide high quality Police and Fire /Emergency Medical Services response within the City of Santa Ana). FISCAL IMPACT Funds are available in FY 2015 -16 Police Department Criminal Activities — D.O.J. account (02614450- 63001) in the amount of $145,000. 6�4 - Carlos Rojas Chief of Police Police Department EG APPROVED AS TO FUNDS AND ACCOUNTS: Fr ncisco Gu errez Executive Director Finance and Management Services Agency 22E -2 Contract Award for Patrol Rifle August 4, 2015 Page 3 ABSTRACT OF BIDS CONTRACT AWARD FOR PATROL RIFLES AND ACCESSORIES SPEC 15 -059 Vendor RifleGear Location Fountain Valley, CA Total Offer $144,860.40 Vendor Location Total Offer *Offered alternate product than specified in the Bid. Vendor Location Total Offer Adamson Police Products Los Alamitos, CA $163,101.06 *Botach Inc Los Angeles, CA *$136,601.15 Exhibit 1 22E -3 Clyde Armory Inc Athens, GA $147,163.66 Lawmen's & Shooters Supply Inc Vero Beach, FL $150,123.29 Proforce Law Personal Protection Enforcement Group, LLC Prescott, AZ Orange, CT $163,777.63 $205,843,14 22E -4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: CONTRACT AWARD FOR TASER ELECTRONIC CONTROL DEVICES & ACCESSORIES (SPEC. NO. 15 -066) (STRATEGI PLAN N0.1, 5} � GA✓it2sas CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Award a contract to Taser International, Inc. for the purchase of Taser electronic control devices and accessories for a two -year period expiring July 31, 2017, in an amount not to exceed $228,700, with provision for three, one -year renewals exercisable by the City Manager, subject to non - substantive changes approved by the City Manager and City Attorney. The Santa Ana Police Department utilizes electronic control devices to gain control over violently resisting subjects. The new X26P will replace, supplement and upgrade the department's current inventory of X26E Taser electronic control devices. The X26P incorporates smart technology details including "charge metering" that measures and delivers the amount of electric charge to maximize safety and effectiveness and event logs that records every user action such as; safety activation; trigger duration with times, dates and battery life. The manufacture's recommended replacement schedule is every five years. This contract will replace 150 Tasers and accessories that were purchased in 2010, and replace 60 Tasers in year two; ultimately replacing all Tasers in subsequent years at an approximate rate of 50 Tasers annually. The notice inviting bids was advertised on July 1, 2015, and offers were solicited. A summary of the bids and offers received is as follows: 20 Vendors were notified 4 Vendors downloaded the bid 0 Proposals received from a Santa Ana vendor 2 Proposals received Bids were received and opened on July 14, 2015. The bid received from Taser International, Inc. is responsive to the specifications and meets the City's requirements. 22F -1 Contract Award for Tasers & Accessories August 4, 2015 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #1 Community Safety; Objective #5 (provide high quality Police and Fire /Emergency Medical Services response within the City of Santa Ana). FISCAL IMPACT Funds in the amount of $228,700 are available in the following fiscal years: FY 2015 -16 ($163,300); FY 2016 -17 ($60,369) and FY 2017 -18 ($5,031); in the Police Department Criminal Activities — D.O.J. account (no. 02614450- 63001). Upon exercise of the one -year renewals, funds will be budgeted and made available in the applicable fiscal year in the above referenced account. Carlos Rojas Chief of Police Police Department EG APPROVED AS TO FUNDS AND ACCOUNTS f Fr�a Ycisco Gutierrez ��, Executive Director Finance and Management Services Agency 22F -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: AWARD CONTRACT FOR CONSTRUCTION OF SANTA ANNTA PATIO IMPROVEMENTS (PROJECT 147514) (STRATEGIC PLAN NO. 6,2B) CITY MANAGER CLERK OF COUNCIL USE ONLY: APPROVED As Recommended As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 20' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Authorize the City Manager and the Clerk of the Council to execute a contract awarded to Green Giant Landscape, Inc., the lowest responsible bidder, in accordance with the unit bid prices for the base bid of $98,500 and the additive alternate of $48,500, totaling $147,000, for construction of the Santa Anita Patio Improvements, subject to nonsubstantive changes approved by the City Manager and City Attorney, 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $183,750. Santa Anita Park is a 4.47 -acre community park that Includes a community center, swimming pool, soccer field, picnic facilities, tot lot, basketball court, and handball court. The park receives heavy use. The existing patio and walkway concrete has lifted due to tree roots, causing an unsafe condition for park users. This action will allow construction of patio improvements that include replacing the existing concrete patios and walkways with new sidewalks and decorative concrete patios. Some trees will be removed and the broken and lifted concrete will be replaced with a combination of new concrete and decomposed granite. A Notice Inviting Bids was advertised on May 27 and 28, 2015, and bids were opened on June 24, 2015. The following tables summarize the bid Invitatlons made and the bids received: Santa Ana contractors receiving notices 14 Contractors requesting bidding documents 24 Bids received 8 Bids received from Santa Ana contractors 0 23A -1 Award Contract for Santa Anita Patio Improvements August 4, 2015 Page 2 Bid Results Summary RANK BIDDER'S NAME LOCATION BASE BID 1 Green Giant Landscape, Inc, La Habra $98,500.00 2 Pacific Builder Laguna Niguel $103,421.00 3 Act I Construction, Inc. Norco $117,037.65 4 Mariposa Landscapes, Inc. Irwindale $137,018.00 5 Prime Performance Contractors, Inc. Corona $147,700.00 6 Kass Construction, Inc. Chino $169,800.00 7 Fleming Environmental Inc. Fullerton $179,525.00 8 Unique Performance Construction, Inc. Anaheim $189,660A0 A total of eight bids were received and all were deemed responsive. Green Giant Landscape, Inc., submitted the lowest responsive base bid in the amount of $98,500, which is 21 percent lower than the engineer's estimate of $125,000. Therefore, staff recommends award of this contract to Green Giant Landscape, Inc. The plans and bid package was divided to provide bids for the most essential area with an additive alternate bid that, when combined with the base bid, would result in improving the entire patio and tot lot area. Since there Is sufficient project funding for the entire scope of work, staff recommends awarding a construction contract for the base bid of $98,500 plus the additive alternate bid of $48,500, for a total contract amount of $147,000, STRATEGIC PLAN ALIGNMENT Approval of this Item supports the City's efforts to meet Goal #8 Community Facilities & Infrastructure, Objective #2 (address deferred maintenance on City buildings and equipment), Strategy B (utilize a five -year Deferred Maintenance Plan to strategize and finance funded and unfunded needs). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review ER 2015 -60 has been filed for this project. In addition, a Certification of Categorical Exclusion and Statutory Worksheet have been prepared In accordance with the National Environmental Policy Act. 23A -2 Award Contract for Santa Anita Patio Improvements August 4, 2015 Page 3 FISCAL IMPACT The Project Cost Analysis estimates a total project delivery cost of $183,750, which includes the construction contract, construction administration and inspection, as well as contingencies (Exhibit 2). Approval of this action will increase the project budget by $78,685 for a total of $197,685. Community Development Block Grant Funds will be carried forward from Fiscal Year 2014115 to Fiscal Year 2015116 for Project 147514 in Account No. 13518783 -66220 for expenditure in Fiscal Year 2015/16. v9 Fr d Mousavipour Executive Director Public Works Agency Gerardo Mouet Executive Director Parks, Recreation & Community Services Agency h i as I Kel nd s Executive Directo Community Development Agency FM /EWG /KW Exhibits: 1. Cost Analysis 2. Location Map 3. Construction Contract APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez a Executive Director Finance & Management Services Agency 23A -3 23A -4 -i L-i L--j L--:1 CAMILLE ST PROJECT AREA SANTA ANA CITY COUNCIL PROJECT NO. 14 -7514 p 'VV A AGENDA DATE SANTA ANITA PARK PATIO IMPROVEMENTS u AUGUST 4, 2015 300 SOUTH FIGUEROA STREET PUBLIC WORMS AGENCY Exhibit 1 23A -5 PAGE 1OF1 1ST ST (BOLSA AV) o m m ui O u- m � = PARKING LOT RECREATION CENTER CAMILLE ST PROJECT AREA SANTA ANA CITY COUNCIL PROJECT NO. 14 -7514 p 'VV A AGENDA DATE SANTA ANITA PARK PATIO IMPROVEMENTS u AUGUST 4, 2015 300 SOUTH FIGUEROA STREET PUBLIC WORMS AGENCY Exhibit 1 23A -5 PAGE 1OF1 23A -6 COST ANALYSIS PROJECT 147514; SANTA ANITA PATIO IMPROVEMENTS Exhibit 2 23A -7 23A -8 CITY OF SANTA ANA APPENDIX B Construction Contract PROJECT NO. 14-7S14 SANTA ANITA PARK IMPROVEMENTS This CONSTRUCTION CONTRACT is made and entered into this 4th day of August, by and between the CITY OF SANTA ANA, CALIFORNIA, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California, hereinafter referred to as "CITY" and, Green Giant Landscape Inc. hereinafter referred to as "CONTRACTOR ". WITNESSETH: The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: 1. CONTRACTOR agrees to perform all the work and furnish all the materials at its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the City Engineer of the CITY, the "Santa Anita Park Improvements Project" identified in and in accordance with the Contract Documents prepared by the City's Public Works Agency and approved by the City Council 2. The complete Construction Contract consists of the "Contract Documents," as defined by the Standard Specifications for Public Works Construction and which include the following: *...Notice Inviting Bids • ...Instructions to Bidders • ...Bid Proposal • ...Bid Bond • ...Contract Forms • ...Contract Bonds • ...General Provisions • ...Special Provisions • ...Technical Provisions • ...Project Plans • ...Appendices In case of conflict between the Contract Documents, the precedence of documents shall be as established in the Standard Specifications for Public Works Construction. 3. CITY agrees to pay and CONTRACTOR agrees to accept in full payment to complete "Santa Anita Park Improvements Project" the sum total amount not to exceed $147,000, as set forth and identified in the BID PROPOSAL. Page 1 of 3 Exhibit 3 23A -9 CITY OF SANTA ANA APPENDIX B Construction Contract PROJECT NO. 14 -7514 SANTA ANITA PARK IMPROVEMENTS 4. CONTRACTOR agrees to complete the "Santa Anita Park Improvements Project" within the time specified in the Time for Completion of Improvements section of the BID PROPOSAL including commencing construction within the timeframe therein specified after issuance of a Notice to Proceed. 5. The CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the "Santa Anita Park Improvements Project" a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law. 6. CONTRACTOR shall, after award of this Contract, furnish two bonds to be approved by the CITY, one in the amount of One Hundred Percent (100 %) of the Contract price, to guarantee the faithful performance of the work (Performance Bond), and one in the amount of One Hundred Percent (100 %) of the Contract price to guarantee payment of all claims for labor and materials furnished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond equal to at least ten (10 %) percent of the final Contract price or $1,000, whichever is greater (Warranty Bond). 7. CONTRACTOR shall, upon project completion as a condition of project acceptance, furnish a Warranty Payment and Performance bond to be approved by the CITY, in the amount of Twenty -Five Percent (25 %) of the Contract price, to warrant the work done under said Contract Agreement against material or quality defects for a period of one year after acceptance by the AGENCY. s. CONTRACTOR shall, after award of this Contract, furnish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY. // Page 2 of 3 23A -10 CITY OF SANTA ANA APPENDIX B Construction Contract PROJECT NO. 14 -7514 SANTA ANITA PARK IMPROVEMENTS IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR DAVID CAVAZOS Clerk of the Council City Manager APPROVED AS TO FORM: RECOMMENDED FOR APPROVAL: SONIA R. CARVALHO City Attorney B Aie Sandoval---, Fred Mousavipour, P.E. ef Assistant City Attorney Executive Director, Public Works Agency CONTRACTOR: en Giant Landscape Inc. Page 3 of 3 23A -11 23A -12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: AWARD CONTRACT FOR CONSTRUCTION OF PORTOLA PARK IMPROVEMENTS (PROJECT 132638) (STRATEGIC PLAN NO. 6, 1C) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute a contract awarded to Ben's Asphalt, the lowest responsible bidder, in accordance with the unit bid prices, totaling $187,146, for construction of the Portola Park Improvements Project, subject to nonsubstantive changes approved by the City Manager and the City Attorney, 2. Approve the Project Cost Analysis for a total estimated project delivery cost of $254,123. DISCUSSION Portola Park is a 9.2 -acre community park that includes a ball field, a tennis court, a basketball court, picnic facilities, and a tot lot. Approval of this recommended action will allow for the construction of park improvements that include replacing damaged and deteriorated curbs, sidewalks, and parking lot asphalt pavement; resurfacing the tennis court; new surface treatment to the basketball court; new chain link fences and gates; and basketball and tennis accessories. Once completed, these improvements will enhance the appearance and usability of the park. A Notice Inviting Bids was advertised on May 9 and 11, 2015, and bids were opened on June 16, 2015. The following tables summarize the bid invitations made and the bids received: Contractor Participation Data Santa Ana contractors receiving notices 4 Contractors requesting bidding documents 7 Bids received 4 Bids received from Santa Ana contractors 1 23B -1 Award Contract for Portola Park Improvements August 4, 2015 Page 2 Bid Results Summary RANK BIDDER'S NAME LOCATION BID 1 Ben's Asphalt, Inc. Santa Ana $187,146.00 2 Horizons Construction Co. Int'I Orange $191,220.00 3 Excel Paving Co. Long Beach $258,180.00 A total of four bids were received and three were deemed responsive. Ben's Asphalt, Inc., submitted the lowest responsive bid in the amount of $187,146, which is 2.5 percent lower than the engineer's estimate of $192,000. Therefore, staff recommends award of this contract to Ben's Asphalt, Inc. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review ER 2015 -67 has been filed for this project. In addition, a Certification of Categorical Exclusion and Statutory Worksheet have been prepared in accordance with the National Environmental Policy Act. FISCAL IMPACT The Project Cost Analysis estimates project expenditures of $254,123, which include the construction contract, construction administration and inspection, as well as contingencies (Exhibit 1). Funds are budgeted in the Capital Outlay Fund (Account No. 05113263- 66220, Project 132638) for expenditure in Fiscal Year 2015 -16. Fred Mousavipbur Executive Director Public Works Agency i f Gerardo Mouet Executive Director Parks, Recreation & Community Services Agency FMIEWGIKW Exhibits: 1. Cost Analysis 2. Location Map APPROVED AS TO FUNDS AND ACCOUNTS: a Francisco Gutierrez Executive Director Finance & Management Services Agency 23B -2 COST ANALYSIS PROJECT 132638; PORTOLA PARK IMPROVEMENTS Construction Contract -- — .._ Contract Administration Inspection and Testing 87,146 $20,714 $38,000 TOTAL ESTIMATED CONSTRUCTION COSTS 1 $254,123 Exhibit 1 23B -3 23B -4 SANTA CLARA AVENUE oo��lN1�u�.YJNINlu1ul��o o � J 0 Ioo- �� OI o (D O o 0 0/� °II a °I I.� � O I Ia J l l PORTOLA AV (22ND ST) l m 0 m ¢ f rpme T LOCATM Exhibit 2 r w w r N w J r Z f SANTA ANA �A� CITY COUNCIL PROJECT NO. 13 -2638 P Y� Q AUGUST 4,, 2015 PORLOT, BASKETBALL, TENNIS COURT KING K. RENOVATION) 23B -5 PAGE 1 OF 1 PWEW CITY OF SANTA ANA Construction Contract PROJECT NO. 13.2638 Portola Park Improvements Parking Lot, Basketball, Tennis Court Renovation This CONSTRUCTION CONTRACT is made and entered into this 4th day of August, 2015, by and between the CITY OF SANTA ANA, CALIFORNIA, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California, hereinafter referred to as "CITY" and BEN'S ASPHALT, INC. hereinafter referred to as "CONTRACTOR ". WITNESSETH: The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: 1. CONTRACTOR agrees to perform all the work and furnish all the materials at Its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the City Engineer of the CITY, the "Portola Park Improvements Parking Lot, Basketball, Tennis Court Renovation" identified In and in accordance with the Contract Documents prepared by the City's Public Works Agency and approved by the City Council. 2. The complete Construction Contract consists of the "Contract Documents," as defined by the Standard Specifications for Public Works Construction and which include the following: • ...Notice Inviting Bids ...Instructionsto Bidders • —Bid Proposal • ...Bid Bond • ...Contract Forms • ...Contract Bonds • ...General Provisions • ...Special Provisions • ...Technical Provisions • ...Project Plans • ...Appendices in case of conflict between the Contract Documents, the precedence of documents shall be as established in the Standard Specifications for Public Works Construction. 3. CITY agrees to pay and CONTRACTOR agrees to accept in full payment to complete "Portola Park Improvements Parking Lot, Basketball, Tennis Court Renovation" the sum total amount not to exceed $187,146, as setforth and identified inthe BID PROPOSAL Page 1 of 3 Exhibit 3 23B -7 CITY OF SANTA ANA Construction Contract PROJECT NO. 13-2638 PORTOLA PARK IMPROVEMENTS Parking Lot, Basketball, Tennis Court Renovation 4. CONTRACTOR agrees to complete the "Portola Park Improvements Parking Lot, Basketball, Tennis Court Renovation" within the time specified in the Time for Completion of Improvements section of the BID PROPOSAL including commencing construction within the timeframe therein specified after issuance of a Noticeto Proceed. 5. The CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the "Portola Park Improvements Project Parking Lot, Basketball, Tennis Court Renovation" a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law. 6. CONTRACTOR shall, after award of this Contract, furnish two bonds to be approved by the CITY, one in the amount of One Hundred Percent (100 1/o) of the Contract price, to guarantee the faithful performance of the work (Performance Bond), and one in the amount of One Hundred Percent (100 %) of the Contract price to guarantee payment of all claims for labor and materials furnished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond equal to at least ten (10 %) percent of the final Contract price or $1,000, whichever is greater (Warranty Bond). 7. CONTRACTOR shall, upon project completion as a condition of project acceptance, furnish a Warranty Payment and Performance bond to be approved by the CITY, in the amount of Twenty -Five Percent (25 %) of the Contract price, to warrant the work done under said Contract Agreement against material or quality defects for a period of one year after acceptance by the AGENCY. 8. CONTRACTOR shall, after award of this Contract, furnish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY. Page 2 of 3 r CITY OF SANTA ANA Construction Contract PROJECT NO. 13-2638 PORTOLA PARK IMPROVEMENTS Parking Lot, Basketball, Tennis Court Renovation IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: MARIAD. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO CFhief e SandovaAssistant City Attorn CITY OF SANTA ANA DAVID CAVAZOS City Manager RECOMMENDEDFORAPPROVAL: Fred Mousavipour, P.E. Executive Director, Public Works Agency CONTRACTOR: Ben's Asphalt Inc. Palac 3 of 23B -9 23B -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: ARTS AND CULTURE ARTIST GRANT PROGRAM FISCAL YEAR 2015 -2016 (STRATEGIC PLAN NO. 5, 513) YJ_ C 9G�os CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve the Arts and Culture recommendations for fiscal year 2015 -2016 Investing in the Artist Grant Opportunity in the amount of $80,000; 2. Approve staffs recommendation for fiscal year 2015 -2016 Investing in the Artist Grant Opportunity to add one additional project in the amount of $5,000; 3. Direct the City Attorney to prepare and authorize the City Manager and the Clerk of the Council to execute agreements with artists and art organizations awarded funds as part of the approved program, subject to non- substantive changes approved by the City Manager and City Attorney. ARTS AND CULTURE COMMISSION At Its regular meeting on July 16, 2015, the Arts and Culture Commission (ACC) directed staff to transmit funding recommendations for the Investing in the Artist Grant Opportunity for fiscal year 2015 -2016 to the City Council by a vote of 5:0 (Cribb abstained, Rubio absent) for the Orange County Center for Contemporary Art, 5:0 (McGee abstained, Rubio absent) for Downtown Incorporated, and 6:0 (Rubio absent) for all other recommendations. The ACC reviewed and rated a total of 48 completed applications. Artist applications were evaluated on the following criteria: (1) Project Merit- 40 %; (2) Artist Portfolio- 30 %; Potential Community Impact- 20 %; Individual Need- 10 %. Art organization applications were evaluated on the following criteria: (1) Project Merit- 50 %; (2) Organization Need- 25 %; (3) Potential Community Impact- 25 %. The rating results for both Individual artists and art organizations have been combined and are summarized below. 25A -1 Arts and Culture Artist Grant Program August 4, 2015 Page 2 Applicant Score Project Requested Funding Date Downtown Inc. 70,g Hire live local artists to help increase $10,000 $10,000 08/0312016 free Artwalk activities Host a mobile series of free art, ceramic & craft workshops for Nancy Alcala 70.7 children and adults in $5,000 $5,000 08/03/2016 underprivileged neighborhoods throw hout the city Free arts & crafts for children and Maria Rayne* 673 adults at Artwalk for a period of two $5,000 $5,000 08/03/2017 ears Albert Lopez, Jr. 67.4 Free solo exhibit of a series of oil paintings at location in Santa Ana $5,000 $5,000 08/03!2016 Santa Ana Strings Program: Provide Pacific Symphony 67.1 music training to Santa Ana children $10,000 $10,000 08/03/2016 at the Boys & Girls Club Free series of live painting Joseph Hawa "" 66.6 demonstrations at ArtBrunch. Free $10,000 $5,000 08/0312016 collective exhibit at ArtWalk. Free playwriting & theatre - making Sarah Guerrero 66.1 workshops for children and adults $5,000 $5,000 08/03/2016 throughout the city. Orange County Host three music related film Children's 6S.7 viewings for children and adults at $10,000 $10,000 08/03/2016 Therapeutic Arts Frida Cinema Center Mural in Downtown Santa Ana located between N. Main St. & N. Alicia Rojas 64.7 Bush St. behind 4th St. created $10,000 $10,000 08/03/2016 through a community survey process to form the foundation of the mural concept Orange County Free solo exhibit of artist George Center for 64.2 Herms & jazz musical performance $5,000 $5,000 08/03/2016 Contemporary Art at OCCA Host a series of free art workshops Carlos Kalim Carlos 61.7 and exhibitions for children and $10,000 $10,000 08/03/2016 Q in adults at a location in Santa Ana. TOTAL: $80,000 'Applicant requested $5,000 to complete a one -year project; however, the budget worksheet submitted only indicates a need for $2407. Staff recommended applicant continue the project for one additional year. ACC approved the recommendation. "Applicant requested $10,000 to complete the project; however, the budget worksheet submitted only indicates a need for $6,000. Staff recommended grant amount be reduced to $5,000. ACC approved the recommendation. 25A -2 Arts and Culture Artist Grant Program August 4, 2015 Page 3 DISCUSSION The Investing in the Artist Grant Opportunity is an effort to aid emerging and established artists and art organizations in Santa Ana to further their artistic creativity while residing and /or working In Santa Ana's vibrant local art scene. The goal of the grant is to distribute small but impactful funds to artist and art organizations in Santa Ana. A total of $85,000 is available to be awarded to selected artists and art organizations. Awardees will receive grants in the amounts of either $5,000 or $10, 000. Grant funding for artists may be applied towards artist project (including time, travel and research), equipment and supplies. Grant funding for art organizations may be applied towards special events, special projects, equipment and supplies. At Its regular meeting on April 21, 2015, City Council authorized staff to release the Investing in the Artist Grant Opportunity application to solicit project proposals to emerging and established artists and arts organizations. The application was released on April 23, 2015 and available until May 26, 2015. Submissions were accepted online via submittable.com, by mail, or hand delivery. Outreach included a Nixie press release, as well as contact with community partners. The application was posted on the City s website and a direct e-mail announcing the grant opportunity was sent to artists and art organizations who had expressed interest in receiving such notices. Staff also presented an informational workshop which was attended by 25 individuals. Grantees will be required to submit an interim and final report on outcomes achieved. The first payment will be disbursed at the commencement of the grant period and the second payment will be disbursed after completion of an interim report. Interim and final reports will require documentation for expenses paid, such as receipts, to support grant expenditures. If receipts are not available for certain expenses, a certification from the awardee certifying the expense may be accepted on a case by case basis. Grantees will also be required to submit a worksheet detailing the date, time, and location of the workshop /event. Staff will provide the details of the workshops /events to City Council as they become available. Staff recommends approval of the ACC recommendations in the amount of $80,000. After reviewing the ACC recommended funding amount, staff identified an available balance of $5,000. As a result, staff also recommends including one additional project that was rated next highest on the ranking list (exhibit 1) in the amount of $5,000 for a total $85,000, The rating results for the project are summarized below, 25A -3 Arts and Culture Artist Grant Program August 4, 2015 Page 4 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #5 (Promote a strong arts and culture infrastructure), Strategy B (Generate public and private support and resources to strengthen, expand and stabilize finding for the arts). FISCAL IMPACT Funds in the amount of $85,000 are available in the FY 2015 -2016 Community Development Agengcy Strategic Plan Projects Loans and Grants account (no. 05218018 - 69152). APPROVED TO FUNDS AND ACCOUNTS: -- " V Kelly Reen rs Francisco Gutierrez SAC Executive irector Executive Director Community Development Agency Finance and Management Services Agency KR/SB Exhibits: 1. Ranking List 2. Project Descriptions 3. Draft Agreement 25A -4 Arts & Culture Commission Artist Grant Recommendations Artist Grant 2015.2016 Rank Score Applicant Project Funding Re nested Recommended Funding 1 70.8 Downtown Inc Local Entertainment for Art Walk $10,000 $ 10,000 2 70.8 Nancy Alcala Home & Mobile Studio that offers free workshops $5,000 $ 5,000 3 67.7 Maria Reyna Free art and crafts at Art walk $5,000 $ 5,000 4 67.4 Albert Lopez, Jr "Popsicle's" Series of oil painting $10,000 $ 10,000 5 67.1 Pacific Symphony Support for Santa Ana Strings program $10,000 $ 10,000 6 66.6 Joseph Hawa Live painting demonstrations in downtown on Sundays $10,000 $ 5,000 7 1 66.1 1 Sara Guerrero Free playwriting & theatre- making workshops $5,000 $ 5,000 8 65.7 Orange County Children's Therapeutic Arts Center Host a series of music realted films at Frida Theater $10,000 $ 10,000 10 64.7 Santa Ana Community Artist(a) Coalition Mural in downtown $10,000 $ 10,000 11 64.2 Orange County Center for Contemporary Art Solo exhibition of George Harms $5,000 $ 5,000 12 61.7 ICados Kalim Quevedo Series of workshops $10,000 $ 10,000 13 W 61.4 65.1 The Wooden Floor Roper Eyes R. Sculpture Dance Free Weeks program Sculpture in downtown $5,000 $5,000 $ 5,000 0 14 60.2 Matthew B Southgate Mural in downtown $5,000 0 15 60.0 Give Art with Your Heart Workshops at OCEAA $10,0001 0 16 59.9 Relam a o del Cielo, Inc. 40th anniversary celebration concert $10,000 0 17 59.6 Mancela Pena Murals at the Lorin Griset Academy $10,000 0 18 59.3 Emi dio "Hi " Vaz uez Mural Restoration $10,000 0 19 59.3 Orange County Children's Thera utic Art Center Establish "Discovering Santa Ana Gifted Youth Artists" $10,000 20 59.3 Delhi Center Support Mariachi School $5,000 0 21 57.6 Joseph Linnert Beautify Santa Ana with plants $5,000 0 22 1 57.6 lSoIArI Media Production Write and produce documenta $10,000 0 23 1 57.6 Tweena's Tumes Music Studio Create more perforamce oppo�for students $10,000 0 *Based upon the project location proposed by the applicant, the project was deemed non - feasibl and removed from the ranking* * *Applicants with 0 in the recommended funding column are not recommended for funding ** 1AXI 6 Rank Score Applicant Project Funding Re uested Recommended Funding 24 56.7 Jul! Leo o Photographer Encourage and Empower domestic violence victims through a photographic medium $10,000 0 25 55.7 Arts Oren a County Free communtly dance workshop and erformace $10,000 0 26 1 55.1 1 Manuel Cortez Open an Art Center $10,000 0 28 54.0 Faces Santa Ana Underprivliged youth to create a unique portrait $10,000 0 29 52.9 Abram Mo a Jr. Curate and art exhibition $5,000 0 30 52.9 Carlos Calle'o Youth Art Education $10,000 0 31 52.9 Arts & Learninq Conservatory Develop the artistic avilities of 75 students $10,000 0 32 51.4 Relam a o de Cielo, Inc. Support annual student dance concert $10,000 0 33 51.0 Jennifer Delson Coach 25 students to improve writing skills $10,000 0 34 50.0 Orange County Children's Thera utic Art Center Produce event "International Day of the Child" $10,000 0 35 49.1 Embark Dance Theatre 4 new works of dance from Embark Dance $5,000 0 36 48.7 Marina C. A uilera Permeanent public art collection $10,000 0 37 48.7 Firouzeh Karamlou Sculpture Creat new metal sculptures $10,000 0 38 47.0 Annabelle Pritchard Portaits and biographies of Santa Ana's unique and talented individuals $5,000 0 39 46.9 Xavier Robles Armes Conversation, workshops, lectures and film screening of the Santa Ana Riverbed $5,000 0 41 44.9 Pierre Es ino = Everyoneexist Create a prefiessional camera media kit $10,000 0 42 41.9 Carlos Rodriguez Aguilar Mural in Bishop Manor $10,000 0 43 39.7 Jeffrey Frisch Create artist's website $5,000 0 44 38.4 Shelli Merrill Literary 'The Mission Walk" memoir on walking the California mission Vail $5,000 0 45 37.6 Shell Merrill Film Documentary on winners of the artist grant $10,000 0 46 37.0 Kristi Melton Dance workshops for children with special needs, adults with mental Illnesses and older adults. $10,000 0 47 35.7 Skieth Dewine Preservation of Bees $10,000 0 48 35.0 Charitable Ventures of Orange County Gardening to improve the community $10,000 0 "Applicants with 0 in the recommended funding column are not recommended for funding. 25A -6 Name of Applicant: Amount Requested: Category: Score: Downtown Inc. $10,000 Organization 70.8 Brief Description of Project: Artwalk has been the monthly heartbeat of the Santa Ana art scene since 1999. Since late last year, Downtown Inc. has been meeting with stakeholders to understand how to make Artwalk more open, collaborative and more effective for its goal of showcasing local talent as well as providing a venue for arts and culture as the cultural center of the County. Community Benefit: Artwalk provides a platform for artists of all levels to interact with each other and an ecstatic, willing local audience. Much of the local arts economy relies on Artwalk as a night of sharing and building audiences. Artwalk directly impacts artists as businesses hire promoters and musicians and galleries and unconventional spaces showcase art for sale. Many emerging artists have received high - paying commissions through their exposure at Artwalk and Local artisans' crafts and prints are sold on the 2nd Street Promenade as a micro - enterprise for many Santaneros and OC creatives. Despite the critical part Artwalk plays in developing and showcasing our arts downtown, an injection of funds would help it expand to the next level by hiring more artists, providing more spaces for art and enticing the community to enjoy their biggest, free monthly event. Portfolio: Organizations not required to submit a portfolio. Name of Applicant: Amount Requested Nancy Alcala $5,000 Brief Description of Project: Category: Score: Artist 70.7 Over the past year, what began as a "side job" developed into an a project that I would like to expand into a home and mobile studio that offers free once a month workshops to underprivileged communities as a way to enrich Santa Ana's art and culture. This grant offers the opportunity to expand my project into a sustainable business where I can provide studio services at the convenience of the customer while using a portion to give back to the community. Community Benefit: I would like to focus on disadvantaged neighborhoods because exposure to the arts enriches the quality of life for people across socio- economic levels. Research shows that children from low- income families are less likely to be steadily involved in arts activities or education than children from high - income families. Santa Ana has a large distribution of low- income families represented by a poverty rate of 21.5 %. There is a correlation between low- income and lack of arts education in Santa Ana's neighborhoods. As I've taught the last year I see children and adults, specifically in low- income communities, having their first artistic experience. A large body of research has strongly identified arts education to contribute to academic, basic, and comprehensive learning. There are various existing art schools in Santa Ana that provide arts education; however, they are not accessible to low- income families. Investment in art education provides sources for expression as well as academic, basic, and comprehensive learning. Including underprivileged communities in Santa Ana's arts and culture is a way to enhance and invest in the lives of all members of society. 1'•i .to See pages 3 -7 25A -8 tA '4 j f A I 1 14 5. 25A -11 V IL PIT- 25A-1 3 Name of Applicant: Amount Requested Maria Reyna $5,000 Category: Score: Artist 67.7 Brief Description of Project: Provide free arts and crafts at the monthly Downtown Santa Ana Art Walk for a period of one year. Community Benefit: 1 believe that the art and crafts will greatly enrich the art walk experience of the participants at this event. Portfolio: Seepages 9 -13 25A -14 6% m Ln m > c- ell • m its I ,� _ -_/ � � � > 11 -� �� , .\ �� , �. .W .. _�,,� .- ,.� � ,� ,� -_� "a N Q1 (n >13 Name of Applicant: Amount Requested Albert Lopez, Jr. $10,000 Brief Description of Project: Category: Score: Artist 67.4 In a Popsicle's Space will be a series of paintings in various sizes spanning 4'x6'- 6'x8', oil on canvas that will deconstruct a variety of popsicles by viewing them in unfamiliar places. Popsicles are iconic in many communities and they create dialogue with their need to please others through what they have to offer or what they lack. Community Benefit: This project will bring to the Santa Ana arts and culture community the invitation to conquer one's aspirations and to do so without restraint. It will bring forth a dialogue in Santa Ana that is everlasting because of the social inconsistencies that exist due to fear of diversity or change. This series will consist of visuals that resonate with the population, challenge thought, and encourage thinking more critically about how we have fulfilled our desires of space and contributed to our own lives and the lives of others. Portfolio: See pages 15 -19 25A -20 r� 25A -21 M C. Y III E :sk 0 W 17 25A -23 / ro 18 9 I A, may.. 9 25A-25 Name of Applicant: Amount Requested: Category: Pacific Symphony $10,000 Organization Brief Description of Project: Score: 67.1 Funds are respectfully requested to help support Pacific Symphony's Santa Ana Strings program providing music instruction for under - resourced elementary school -aged children in partnership with the Boys & Girls Club of Santa Ana. Specifically funds will help support artists fees, educational supplies needed to successfully implement the program, as well as costs related to the repair and purchase of violins, bows and supplies. Community Benefit: Santa Ana Strings enriches the Santa Ana arts and culture community by engaging its young residents in music, performing arts and creative expression. Learning to play a musical instrument and participating in group music - making enhances a child's life -long skills to create a foundation for success, not only for their academic careers, but throughout their lives. Portfolio: Organizations not required to submit portfolio. 25A -26 Name of Applicant: Amount Requested Joseph Hawa $10,000 Brief Description of Project: Category: Score: Artist 66.6 Elder artist Joseph Hawa proposes a series of live painting demonstrations in DTSA on Sundays as part of the new ArtBrunch program offerings. Additionally, a group of local Santa Ana artists will be selected to apprentice with Mr. Hawa in the en plein air tradition. To ensure a healthy turnout, ads will be purchased in art journals, gallery guides, event listings and culture blogs. To celebrate the end of the series, a collective exhibit of program participants will be exhibited at the Santora Arts Building during ArtWalk. Community Benefit: I am a longtime downtown Santa Ana artist and would like to provide demonstrations for the public free of charge. Portfolio: See pages 22 -25 25A -27 IN win- Nrogress n a L J 22 v e(ISObmI331bnW4U l41e3!:= b&t= i44blbenzd) a Vsuomissionw4uaizb u11= e&1= 14sbfbenz.f) <(isubmissionrd4090865 ?i -7 &= 1435763823 &fid= 5422525&n =1) 2._Pacific_6urter- X ) %( /submissions/4090865 ?I =72 25A -28 W i v in- Progress p i J �eaa v c psuomissionst4ut4ru3 (r- b6t= 143brb3b<3) v psubmssionst4u »1zbb Iwbst- 143b /b3b23) ((/submissions/ 4090865 ?i =7 &t= 7435783823 &fid = 5422528 &n =2) 3.-San-Clemente $ ; %( /submissions1409086PmV 23 25A -29 p vm- rrogress a s v t( /SUDm15S10n5/4W41 UJ b= b61= 14JSlbJt3ZJJ Pvsumm15sioml /4U81 Zbt1!1= C61= 14JSlDJOLJf 'q L <( /submissions/ 4090865? i =7 &t =1435763823 &fid =5422527&n =3) '5 _Hot Summer_ X f x( /submissions /4090865 ?i =72 e 24 �AP 0. (hepaP/ images .submit!able.comhLsubmilt able .plan /ege49e5e 20d4 fd4f81- 25A -30 No i vm- rrogress I • v %(I SUDmISSIOnS /4U /41U3!1= b8[= 14JblbJbZJ) PV SUDmISSIOnSl4U91Zbb ll= n61=14Jb /bJbZJ) Za 3 C (/ submissions / 4090865 ?i =781= 1435763823 &fd= 5422528&n =41 6._Field_Pickors_ $ � X ( /submissions /4090865 ?i =72 J +� r 25 25A -31 Name of Applicant: Amount Requested Sarah Guerro $5,000 Brief Description of Project: Category: Score: Artist 66.1 A free playwriting and theatre - making workshop series in the city of Santa Ana. To be held June 2015 through April 2016. There are a total of 3 workshop series; each up to 10 weeks. Workshops will be hosted by local Santa Ana arts and non -art- making organizations and businesses. Participant will be given tools on how to strengthen their innate story- telling abilities through the use of playwriting. It will cover basic elements of dramatic writing, fundamentals of playwriting, discussion and reading of work of contemporary playwrights, revising writing and theatre exercises all taught by professional playwrights and theatre artists associated with Breath of Fire Latina Theater Ensemble. Series is process based and no experience necessary. Each session will culminate in a supportive free public reading of pieces generated by participants. Community Benefit: • Participants leave program with an introductory playwriting and theatre making tools taught by professional theatre makers and playwrights working in American Theatre locally and nationally. • Participants will see themselves as creative story- tellers / playwrights. Participants will have participated in constructive and devising discussions regarding their work and others. • Participants will have engaged and participated in collaborative rehearsal process to prepare for their public reading. • Participants will share their new work read aloud with their audience of families, friends, supporters at a free public reading. • Participants stories will be reflective of themselves and of their community. • Participants will be exposed to the many intricate aspects of Santa Ana with the series hosted at various Santa Ana organizations and locations associated with the project. • Participants will leave with an introspective understanding of story - telling, a relationship to theatre and to community building. The desire for live theatre and theatre - making opportunities has a home in the Santa Ana Community.This project and process reaffirms the support of programming for arts and culture in the community and validates that Santa Ana is a community of thriving, emerging and soon to be arts and artists. See pages 27 -31 25A -32 m� Q 7 h 27 25A -33 ro c 0 'N U1 W 4� d d yOJ N N .0 H v 6 v t0 L t0 p ri GG _ k p u gEj 28 25A -34 0 u z z 7� a U f0 C w O a` Q v m O1 H O 0! N v N i Q Ga 00 pp O G O L L v° LO U N9 b L N 28 25A -34 0 u z z 7� a U f0 C w O a` Q v m O1 H O 0! N W, a Tort, ,srt .rte gp ji -Ti 25A-35 ro O O CL a, �P? w tc n i El s L a °q 5 a h �c E .5' E r� 'eo o? E E e" x w z u ` 3F p MI U m�" 2 8 { ~YY li S O .y C � c � p a w rt c 2Yi � ,y `� 'd ST•. •.0 m .G ti G .o aF. � it m � '[�`' ,�x ,y1 6C ,( � h .9 Lb-u v JI V. 30 25A -36 m O N w 0 d N a v v t H I O v C1 31 a m 9 $ •°r, °, 5 .n ono u � k, d °' � .Z ° .°- n `N . < y !erz y °p' no Y°, °�P p�' -c 'jj �i 5 `Y.' -d �'i $ A •� "c .q il y Y A m .k . r 25A -37 c! a zd J �d u a 0 a t 4 v .c I O W L ti N to 12 w Name of Applicant: Amount Requested: Category: Score: Orange County $10,000 Organization 65.7 Children's Therapeutic Arts Center Brief Description of Project: OCCTAC proposes to host a series of three music related films at the Frida Theater in Santa Ana as a means of educating the public about the value of music education. The films will be promoted I conjunction with OCCTAC's efforts to expand its current music classes and to create a youth orchestra in partnership with Chamber Music OC. Community Benefit: OCCTAC intends to put on this film series as a means of education current OCCTAC students and their families about the power of orchestral music and training to change lives, and to expose Santa Ana residents to classical music in a way that will make it more accessible and relatable to them by relating it through Latino culture. Portfolio: Organizations not required to submit a portfolio. 25A -38 Name of Applicant: Amount Requested: Category: Score: Alicia Rojas for the $10,000 Organization 64.7 Santa Ana Community Artist(s) Coalition Brief Description of Project: The Santa Ana Community Artist(a) Coalition (aka "the Coalition ") proposes to undertake the creation of a 60 feet wide by 19 feet high community mural located at the "Art Alley ". A public street alley between N. Bush St. and N. Main St. Behind 4th St. in downtown Santa Ana; to engage local artists, youth, business, and residents in a collaborative and transformational art- making process. The mural itself will be composed of images gathered through and inspired by a wide - reaching community interview process, with the final work of art representing the dreams and aspirations of the Santa Ana Community. Community Benefit: For the mural, a Core Team is selected; many team members have in the past considered themselves "just" an artist and not a leader, "just" someone who volunteers and not an artist, etc. The Core Team has the responsibility of facilitating, listening, having conversations, and then serving as a catalyst for a community vision. They are well - supported by a team who can consult on matters of muralism, history, art administration, organizational skills, budgeting and financial issues, youth involvement, and other topics that may come up. By investing in new leadership and empowering them to lead each effort, we nurture emerging arts and community leaders who might not otherwise have had the opportunity to shine. We actively recruit new participants for the new Community Mural at the "Art Alley ", and participation is open to all interested community members in all phases of the project. We have already reached out and plan to connect with a wide range of community groups in order to increase community participation. These include the Santa Ana Business Council, the Mexican Consulate, TeenSpace at the Santa Ana Public Library, and Santa Ana College Upward Bound, among many others. In the end, the City of Santa Ana will have new public art project to celebrate- a new community mural to enhance our downtown, and a symbol of pride and collaboration for all those that participated in the project. Portfolio: See pages 34 -37 25A -39 m rv� I vil 14f, ir- 10 I C: , ,li E147q ,\ illv� *,14; , 06, I J 1 CIO N ro O r •�: Sk,` J / Oki LL i �i�,, • W e' _$, c! (� �'_._ Name of Applicant: Orange County Center for Contemporary Art - Exhibition & Performance Amount Requested: Category: $5,000 Organization Brief Description of Project: Score: 69.3 Solo exhibition of internationally recognized assemblage artist George Herms. The exhibition, free to the public, will include a performance, also free to the public, presenting a music style called `Jassemblage' which is heavily influenced by Mr. Herms' assemblage art. Mr. Harms' art is in many national and international permanent collections, both public and private. Community Benefit: The exhibition of this particular artist of international reputation in the art world has the potential to bring additional regional and /or national and /or international cultural focus, attention, viability, and credibility to both OCCCA and the Santa Ana Artists Village with this professional level high quality contemporary art and music. Portfolio: Organizations not required to submit a portfolio. 25A -44 Name of Applicant: Amount Requested: Category: Score: Carlos Kalim $10,000 Artist 61.7 Quevedo- Prastein Brief Description of Project: The project is to conduct a series of workshops in the arts, including drawing, sculpting, painting, and sewing. Media used will include pencil, oil, acrylic, paper mache, ceramic, wood, textiles, and recycled materials such as newspaper and cardboard. The object will be to train people in specific skills in art, to get them involved in creating art and expressing their creativity. The target age range is from 8 years old up to adults. Community Benefit: This project will benefit the Santa Ana arts and culture community by providing members of the public -la gente- the opportunity to gain skills to develop a better life, to enrich their lives and to preserve their culture through artistic expression. The City of Santa Ana benefits in having a populace that is trained and can participate directly in art, rather than only as spectators and admirers. By spreading these concrete art and craft skills in a fun environment, we encourage the development of new artists who will further contribute to the social and economic development of Santa Ana's art community. Portfolio: See pages 40 -41 25A -45 40 25A-46 41 25A-47 AN Name of Applicant: Amount Requested: Category: Score: The Wooden Floor $5,000 Organization 61.4 for Youth Movement Brief Description of Project: Dance Free Weeks is a free, community engagement program of the Wooden Floor, an after - school, creative youth development organization that serves low- income children in central Orange County. Dance Free Weeks targets students in grades 3 -5 in Title I elementary schools primarily the Santa Ana School District as well as schools in Tustin and Garden Grove. The program occurs on approximately 20 school campuses, during the school day. Community Benefit: Dance Free Weeks creates a sense of community and fosters learning in a team environment. It provides a safe space for children to explore and express artistic expression through dance. For many, this is a first exposure to dance that launces a child's engagement in and appreciation of this art form. This contributes to cultural literacy that enriches the Santa Ana community. Portfolio: Organizations not required to submit portfolio. 25A -48 Note: Same agreement will be used for art organizations and /or artists approved for the ACC grant. ARTS AND CULTURE ARTIST GRANT PROGRAM AGREEMENT BETWEEN THE CITY OF SANTA ANA AND This Artist Grant Agreement ( "Agreement ") made and entered this __ day of 2015, by and between the City of Santa Ana, a charter City and municipal corporation organized and existing under the Constitution and laws of the State of California ( "City"), and Individual Artist/Oraanization Name ( "Grantee ") and, collectively with City, the "Parties ", is for the purpose of providing grant funding pursuant to the Arts and Culture Artist Grant Program. RECITALS: A. On March 17, 2015, the City Council authorized the release of the "Investing in the Artist Grant Opportunity Application," finding that it serves a legitimate public purpose to enrich and invigorate the Santa Ana arts and culture landscape. B. On July 16, 2015, the Arts and Culture Commission reviewed all applicants and determined that Grantee is hereby awarded an artist grant based on its Application for its artwork ( "Project ") attached hereto and incorporated herein as Exhibit A. C. On August 4, 2015, the City Council approved the grant funding for Grantee and authorized the execution of this Agreement. D. In undertaking the performance pursuant to this Agreement, Grantee represents that it is skilled and knowledgeable in the arts and culture arena and that any Project created or performed hereunder will be created or performed in compliance with such standards as may reasonably be expected from an artist. 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. Term. This Agreement shall be effective upon signature by both Parties and shall expire one year from the date first written above, unless terminated earlier in accordance with this Agreement. 2. Funding. 2.1. Subject to provide funding, not to exceed "Grant"). Grantee's performance of all required actions under this in one or more disbursements, as reasonably determined Thousand Dollars ($ Agreement, City shall by City, of an amount .) ( "Grant Amount" or 2.2. Appropriate performance of the Grantee will be determined by City in its sole discretion. City reserves the right to cease funding after each disbursement. 2.3. City represents that there is no correlation or connection between its selection of institutions for grant awards and an institution's business relationship or potential business relationship with City. a. Grant Activities. Grantee agrees: BIT- 3.1. To perform the activities described in the Grant Application and Timeline submitted to City for consideration dated , 2015, a copy of which is attached as Exhibit A and incorporated into this Agreement as if set out in full. 3.2. To submit all reports (each, a "Report ") which shall include, at a minimum, the items set forth as required by the Application. No personally identifiable information shall be included in any of the Reports, except where specifically requested. The Reports shall be in a format that is reasonably acceptable to City. City may request additional information as City, in its sole discretion, determines necessary to monitor performance of this Agreement. City shall have the right to use any Reports submitted by Grantee, or any portion thereof, for any reason. 3.3. To facilitate site visits, conference calls and audits of Grantee, as reasonably requested by City. 3.4. Grantee shall ensure that any areas utilized for the Project are maintained and restored to a well- maintained, safe, sanitary, and clean condition, and kept free of any hazardous waste at all times. All equipment associated with the installation of the artwork, trash and debris shall be removed and cleaned up on a daily basis. Grantee shall place a drop cloth or similar barrier on the ground below the artwork while installation is underway, which barrier shall be removed each day upon completion of an installation session. 3.5. The Project may not contain advertising, religious art, sexual content, negative or violent imagery, convey political partisanship or include any hidden, subliminal or camouflaged messages or statements of any kind or nature. 3.6. The Project may not include any breach of intellectual property, trademarks, brands, or images of illegal activity. 4. Termination. 4.1. City may immediately terminate this Agreement upon one or more of the following: 4.1.1. Grantee's violation of any federal, state or local law or regulation, 4.1.2. Grantee's breach of any of the terms or conditions of this Agreement, including the Application and Timeline, or any unapproved deviation from said documents which has not been cured within 30 days of written notice of such breach. 4.2. In the event the Agreement is terminated under Section 4.1, City reserves the right to require Grantee to refund any or all grant funds awarded to Grantee under this Agreement, and Grantee agrees to refund to City any or all grant funds awarded under this Agreement. 5. Limitation of Liability. 5.1. IN NO EVENT SHALL CITY BE LIABLE FOR ANY INDIRECT, SPECIAL, INCIDENTAL OR CONSEQUENTIAL DAMAGES OR EXPENSES FOR ANY NEGLIGENCE, BREACH OF CONTRACT OR ANY OTHER ACT ARISING OUT OF OR RELATING TO THIS AGREEMENT OR THE ACTIVITIES COVERED HEREUNDER 5.2. Section 5 and Section 6 do not limit Grantee's rights, including its ability to seek recovery, against anyone other than City, its directors, officers, employees, agents, successors and assigns. 25A -50 6. Indemnification 6.1. Grantee shall defend, indemnify, protect and hold harmless the City, or its elected and appointed officers, employees, members or agents from and against all claims for damages, liability, cost and expense (including without limitation attorney's fees) arising out of or alleged by third parties to be the result of the negligent acts, errors or omissions or the willful misconduct of the Grantee, and Grantee's employees, subcontractors or other persons, agencies or firms for whom Grantee is legally responsible in connection with the execution of the work covered by this Agreement. Grantee shall have no duty to indemnify or hold harmless the City If claims, damages, liability, costs, expenses (including without limitation, attorney's fees) arise from the sole negligence or sole willful misconduct of the City subsequent to declaration by the Grantee. Grantee's obligations shall survive the termination of this Agreement. 6.2. Grantee agrees to hereby fully release and forever discharge the City from any and all claims, demands, damages, losses, and liabilities (hereinafter collectively referred to as "claims "), which are or may be related to or In any way connected with the negligence or willful misconduct of its officers, officials, employees, or agents in connection with the creation, painting, performance or installation of the Project hereunder. 6.3. Grantee further agrees that City may in good faith and on reasonable terms settle any such claims and that City's right to indemnification shall extend to any such settlement, provided City has given notice of such claim and its intent to settle. City's right to indemnification is in addition to, and may be exercised independently of, any remedy held by City under this Agreement, at law or in equity. The indemnity provision set forth in this Agreement shall survive the termination or expiration of this Agreement indefinitely. 7. General Provisions. 7.1. Grantee shall acquire prior written permission from City for any use of the City name or logo in association with its Project. 7.2. If any parts of this Agreement are held to be invalid or unenforceable, the remaining parts of the Agreement shall continue to be valid and enforceable. 73. This Agreement shall be construed and the rights and obligations of the Parties shall be determined in accordance with the laws of the State of California, with venue of any action arising out of this Agreement in Orange County, California. 7.4. Grantee shall comply with all governmental requirements which may now or in the future become applicable to its activities under this Agreement. 7.5. This Agreement, including Exhibit A, Application, and any amendments or schedules hereto, contain the full understanding and agreement of the Parties with respect to its subject matter, and no waiver, alteration or modification of any of the provisions to this Agreement shall be binding unless in writing and signed by an authorized officer of both Parties. 7.6. No waiver by either party or any breach, default, or series of breaches or defaults, and no failure, refusal, or neglect of either party to exercise any right, power, or option given to it under this Agreement or to insist upon strict compliance with the terms of this Agreement shall constitute a waiver of these provisions with respect to any subsequent breach or waiver by 25A -51 either party or its right at any time thereafter to require exact and strict compliance with provisions of this Agreement. 7.7. Any notice or other communication required or permitted to be made or given by either party pursuant to this Agreement will be in writing and will be deemed to have been duly given: (1) five business days after the date of mailing if sent by registered or certified U.S. mail, postage prepaid, with return receipt requested; (ii) when transmitted if sent by facsimile, provided a confirmation of transmission is produced by the sending machine; or (iii) when delivered if delivered personally or sent by express courier service. All notices to City shall include a reference to the Project title. All notices will be sent to the other party at its address as set forth below or at such other address as such party will have specified in a notice given in accordance with this section: Grantee: City: City of Santa Ana Clerk of the Council (M -30) 20 Civic Center Plaza P.C. Box 1988 Santa Ana, CA 92702 FAX (714) 647 -6956 7.8. This Agreement is subject to all applicable local, State and Federal laws. 7.9. Grantee agrees to comply with all applicable equal opportunity and affirmative action laws as appropriate, Grantee shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Grantee affirms that it is an equal opportunity employer (if applicable) and shall comply with all applicable federal, state and local laws and regulations. 7.10. Any funds provided under this Agreement that are not expended, obligated or otherwise committed by the termination or expiration of this Agreement shall be immediately returned to City. 7.11. Grantee shall maintain all pertinent financial and accounting records pertaining to this Agreement in accordance with generally accepted accounting principles and other procedures reasonably specified by City. Upon termination or expiration of this Agreement or request by City, Grantee shall provide, at its expense, copies of all financial and accounting records produced by it arising out of this Agreement. 7.12. Grantee shall allow audits, compliance or special reviews and inspections, including on- site inspection, with or without prior notice, of Grantee's facilities by City or by third parties 25A -52 designated by City, or their authorized representatives. Grantee shall provide its full cooperation for any such audit, review or inspection, including providing timely access, for examination and copying of records (Including computerized records) pertinent books, documents, papers, computer programs and records and reasonable access to its personnel. 7.13. Grantee grants to City a non- exclusive, irrevocable, transferable, royalty free, worldwide license to use, reproduce, display, distribute, and prepare derivative works for the Project conceived, performed or created as a result of this Agreement. 7.14. Grantee and any of the Grantee's agents, employees or representatives are, for all purposes under this Agreement, an independent contractor and shall not be deemed to be an employee of the City, and none of them shall be entitled to any benefits to which City employees are entitled including but not limited to, overtime, retirement benefits, work's compensation benefits, injury leave or other leave benefits. 7.15. Neither party shall assign any rights or obligations under this Agreement. 7.16. Each party 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. 7.17. Each party warrants that they have executed this Agreement knowingly, freely and voluntarily and with full knowledge of its legal consequences. All parties involved warrant and represent that, prior to executing this Agreement, each party has had the opportunity to review and consider this matter with legal counsel, and that the terms of this Agreement, and its consequences, are fully understood by each party. 7.18. This Agreement represents the entire agreement and understanding between the parties, and supersedes any and all prior agreements and understandings between the parties, whether oral or written. 7.19. 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. 25A -53 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Sonia arvalho cftyxt9fpqy h City RECOMMEND APPROVAL: Kelly Reenders, Executive Director Community Development Agency CITY OF SANTA ANA David Cavazos City Manager GRANTEE: Name: Title: 25A -54 EXHIBIT A ARTS AND CULTURE ARTIST GRANT PROGRAM APPLICATION 25A -55 25A -56 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: SECOND AMENDMENT TO BUSINESS IMPROVEMENT DISTRICT (BID) OPERATING AGREEMENTS (STRATEGIC PLAN NO. 3,4) CITY MANAGER RECOMMENDED ACTION NNEEME CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 10 Reading ❑ Ordinance on a Reading ❑ implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute the attached Second Amendment to the operating agreements with Downtown Inc. and the Santa Ana Business Council Inc., to increase the revolving fund account to a total amount of $40,000 for each entity, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION On September 16, 2013, the City executed agreements with Downtown Inc. (DTI) and the Santa Ana Business Council Inc. (SABC), for the programming and distribution of the Downtown Santa Ana Business Improvement District (BID) assessment funds. The agreements contained provisions to ensure proper administration and distribution of the funds, such as those pertaining to the annual budget, financial record keeping, fund distribution, board composition and meeting requirements. The term of those agreements are set to terminate on September 16, 2016. On January 7, 2014, the City executed an amendment to the operating agreement to establish a revolving fund account in the amount of $20,000 in order to finance the organizations' day to day operations. This revolving fund provided upfront BID funds to each group for the administration of their marketing and promotional activities. On June 18, 2015, the City received a letter (Exhibit 3) from the University of California, Irvine School of Law, indicating that they were representing both the SABC and DTI. The letter requested that the revolving fund be increased to $40,000 to allow additional flexibility for both organizations' budgets. This will allow both organizations to pay vendors and consultants upfront as they are waiting for the City to reimburse their accounts for past events and promotional activities. 25B -1 2nd Amendment to BID Operating Agreements August 4, 2015 Page 2 As of June 30, 2015, DTI has approximately $91,518 and SABC has $155,991 left in their BID accounts to expend. The 2016 BID renewal process will begin in the Fall of the current year. New operating agreements for both business associations will be taken to City Council for approval in mid -2016 if all parties wish to continue with the BID. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 Economic Development, Objective #4, (Continue to pursue objectives that shape downtown Santa Ana into a thriving, culturally diverse, shopping, dining, and entertainment destination). FISCAL IMPACT There is no direct fiscal impact to the City associated with this action as the BID assessment revenues are held in trust on behalf of the two organizations. However, if the amendments are approved, funds for the increase in the revolving funds are available in the Trust and Agency Fund in the current FY 2015116; $20,000 in 09301001 -24036 for DTI and $20,000 in 09301001- 24043 for SABC. Kelly Reenli,. ,% Executive Director Community Development Agency KR/MM /sb APPROVED AS TO FUNDS AND ACCOUNTS: l/ Fr ncisco G errez 5R Executive Director Finance & Management Services Agency Exhibit: 1. 2nd Amendment to Operating Agreement — DTI 2 2nd Amendment to Operating Agreement — SABC 3. Letter from UCI School of Law requesting $40,000 in revolving fund 25B -2 SECOND AMENDMENT TO OPERATING AGREEMENT THIS SECOND AMENDMENT TO OPERATING AGREEMENT, made and entered into on , 2015, by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California, hereinafter referred to as "City," and Downtown Incorporated, Inc., a California non - profit corporation, hereinafter referred to as "DTI." RECITALS A. City and DTI entered into Operating Agreement #A- 2013 -150, dated September 17, 2013, to (1) confirm that DTI will receive 50% of the assessments collected each calendar year for which an assessment is levied, (2) to provide that DTI's use of the assessment funds will be consistent with the requirements of NS -1715, generally, and the approved calendar year's assessment report specifically, (3) to provide for auditing of DTI BID Funds, and (4) ensure that DTI meetings are compliant with the Ralph M. Brown Act [Government Code Sections 54950, et seq.]. B. City and DTI entered into Amended and Restated Operating Agreement #A -2014- 019, dated January 9, 2014, hereinafter referred to as "said Agreement ". C. In accordance with the terms and conditions of said Agreement, the Parties desire to increase the amount of and add funds to the `revolving fund" and address the reimbursement process. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions of said Agreement, except as herein modified, the parties agree as follows: Section 2.01(f) shall be deleted in its entirety since the applicable timeframe has expired. 2. Section 2.01(g) shall be amended to increase the maximum amount of the `revolving fund" account from $20,000 to $40,000. Consistent with the increase in the maximum amount of this fund, the City shall add an additional $20,000 to the `revolving fund" for a maximum total of $40,000. 3. Section 2.01(m) shall be amended to provide the City with three (3) weeks to process reimbursement requests from DTI, which shall commence upon the City's receipt of notice and all required documentation. 4. Except as hereinabove modified, all terms and conditions of said Agreement shall remain in full force and effect. EXHIBIT 1 25B -3 IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to Operating Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: I Ryan CITY OF SANTA ANA DAVID CAVAZOS City Manager DOWNTOWN INC. 25B -4 SECOND AMENDMENT TO OPERATING AGREEMENT THIS SECOND AMENDMENT TO OPERATING AGREEMENT, made and entered into on , 2015, by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California, hereinafter referred to as "City," and Santa Ana Business Council Inc., a California non - profit corporation, hereinafter referred to as "SABC." RECITALS A. City and SABC entered into Operating Agreement #A- 2013 -151, dated September 17, 2013, to (1) confirm that SABC will receive 50% of the assessments collected each calendar year for which an assessment is levied, (2) to provide that SABC's use of the assessment fimds will be consistent with the requirements of NS -1715, generally, and the approved calendar year's assessment report specifically, (3) to provide for auditing of SABC BID Funds, and (4) ensure that SABC meetings are compliant with the Ralph M. Brown Act [Government Code Sections 54950, et seq.]. B. City and SABC entered into Amended and Restated Operating Agreement #A -2014- 020, dated January 9, 2014, hereinafter referred to as "said Agreement ". C. In accordance with the terms and conditions of said Agreement, the Parties desire to increase the amount of and add fonds to the "revolving fund" and address the reimbursement process. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions of said Agreement, except as herein modified, the parties agree as follows: 1. Section 2.01(f) shall be deleted in its entirety since the applicable timeframe has expired. 2. Section 2.01(g) shall be amended to increase the maximum amount of the "revolving fund" account from $20,000 to $40,000. Consistent with the increase in the maximum amount of this fund, the City shall add an additional $20,000 to the `revolving fund" for a maximum total of $40,000. Section 2.01(m) shall be amended to provide the City with three (3) weeks to process reimbursement requests from SABC, which shall commence upon the City's receipt of notice and all required documentation. 4. Except as hereinabove modified, all terms and conditions of said Agreement shall remain in full force and effect. EXHIBIT 2 25B -5 IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to Operating Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City AttSWy. By: Ryan r CITY OF SANTA ANA DAVID CAVAZOS City Manager SANTA ANA BUSINESS COUNCIL, INC. Cy #V- tPIII - Uht -A1 Ii IMM'v IM 1ti I Ar aSf i -•: av - ♦R�.:fla�NiRCFU.u141- PV16e. SiV Plf.ru�Sih Community & Economic Development Clinic University of California, Irvine School of Law June 24, 2015 Marc Morley Economic Development Specialist The City of Santa Ana 20 Civic Center Plaza M -25 Santa Ana, CA 92701 Re: SABC and Downtown, Inc. Revolving Accounts Dear Mr. Morley: eati:'t fl�kf \N a�Yl51 >t E't PO Box 5479 Irvine, CA 92616 -5479 (949) 824 -9660 We represent the Santa Ana Business Council, Inc. ( "SABC ") in its legal matters. We are writing you on behalf of both SABC and Downtown, Inc. ( "Downtown "). Both SABC and Downtown have been working closely with City Manager David Cavazos. Both organizations are pleased with their partnership with the City, axe excited about the great things happening in Santa Ana. As you know, both SABC and Downtown currently receive a revolving $20,000 advance. However, both organizations have continued to have problems with using their allotted funds because of the City's reimbursement policy. In particular, the City's policy is that SABC and Downtown must pay vendors before present the invoice to the City for reimbursement. However, reimbursement from the City often takes weeks. This leaves' both SABC and Downtown without any funds in their account for long periods while they are waiting for the reimbursement of funds. During these times both SABC and Downtown effectively must shut down until they receive sufficient funds to continue operation. To solve this serious issue, SABC and Downtown respectfully request that their respective revolvine accounts be increased to $40.000. The total annual amount allotted to each organization would remain the same, however, increasing the advance amount would give both organizations the flexibility to function how they need to and still comply with the City's reimbursement protocol. Sincerely, Bob Solomon, Esq. Professor At Law Beau Walker Certified Law Student Darlene Gonzalez Masters in Urban Planning Student EXHIBIT 3 25B -7 r -oo REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: AGREEMENT WITH TTG ENGINEERS FOR PROFESSIONAL ENGINEERING SERVICES FOR THE BRIDGE PREVENTATIVE MAINTENANCE PROGRAM (PROJECT 15.6847) (ST TE IC NO. 6, 1G) Yom- lliF.2[tJ CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with TTG Engineers, subject to nonsubstantive changes approved by the City Manager and City Attorney, to provide engineering services for a one -year period expiring August 3, 2016, with provision for a one -year extension exercisable by the City Manager, for a total amount not to exceed $23,900. DISCUSSION Approval of this recommended action will enable development of a Bridge Preventative Maintenance Program (BPMP) for City bridge structures. The BPMP involves identifying the various structures that are owned and maintained by the City of Santa Ana and developing a preventative maintenance strategy to extend the life of these structures. In addition, the BPMP will provide a priority ranking for maintenance and will also facilitate applying for grants for future design and construction of bridge improvements. On May 28, 2015, the Public Works Agency released a Request for Proposals (RFP) on the City's website and advertised in the Orange County Register. On June 11, 2015, three proposals were received by the submission deadline. They were evaluated and ranked by a review committee comprised of personnel from varlous PWA Divisions. Ranking criteria Included firm and personnel experience, understanding of need, relevant project experience, schedule, references, and fees. The table below is a summary of the ratings for the three firms submitting proposals: NAME OF FIRM RATING TTG Engineers 94 Psomas 91 Wildan Engineering 89 The proposal by TTG Engineers contains adequate man -hour effort to complete the required services. The firm's rates are reasonable and within Industry standards. Together with the total fee schedule in the amount of $21,728, the proposal was found to provide the best value, best 25C -1 Agreement with TTG Engineers for Bridge Maintenance Program August 4, 2015 Page 2 qualifications, and is appropriate for the project. Staff recommends that TTG Engineers be retained to provide these professional engineering services. The recommended award amount includes a 10 percent contingency for a total not -to- exceed contract of $23,900. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are available for expenditure in Fiscal Year 15/16 in the Select Street Construction account (05917660- 66220, Project 15 -6847) in the amount $21,158.67 and Measure M2 Local Fairshare Street Fund account (03217662- 66220, Project 15 -6847) in the amount of $2,741.33 for a total of $23,900. Fred ousavipou Executive Director Public Works Agency MF /EWG /ML Exhibit 1. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Francisc Guti ez Executive Director Finance & Management Services Agency 25C -2 CONSULTANT AGREEMENT THIS AGREEMENT is made and entered into this , 2015 by and between TTG Engineers, a sole ownership entity, (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of professional engineering services. 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: I. SCOPE OF SERVICES Consultant shall perform those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for fee of $21,728, at the rates and charges identified in Exhibit B attached hereto and incorporated by reference. A contingency of ten percent (10 %) shall be available, at the discretion of the Executive Director of Public Works, for services that are currently not anticipated, but may be required to complete the Project. The total sum to be expended under this Agreement shall not exceed $23,900 during the term of this Agreement. b. Payment by City shall be made within thirty (60) 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. Exhibit 1 25C -3 3. TERM This Agreement shall commence on the date first written above and terminate one year from date of agreement execution, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) E 25C -4 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 52,000,000 in the aggregate. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. (iv) Consultant shall supply City with a fully executed additional insured endorsement. 3 25C -5 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. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section l of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 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. ll 25C -6 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 infonnation 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. 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 in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. 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 5 25C -7 persons: To City: Clerk of the City Council City of Santa Ana Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Fax 714- 647 -6956 With courtesy copies to: Fred Mousavipour Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -) P.O. Box 198 Santa Ana, California 92702 Fax 714- 647- City Attorney City Attorney's Office City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -6515 To Consultant: 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. 25C -8 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 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. 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 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. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is 7 25C -9 an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 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 tern of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. 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. MISCELLANEOUS PROVISIONS a. Additional provisions, if any are identified as Additional Provisions, Exhibit D, attached hereto and incorporated into this Agreement by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25C -10 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: _ Jose Sandoval Chief Assistant City Attorney RECOMMENDED FOR APPROVAL: Fred Mousavipour Executive Director Public Works Agency W 25C -11 CITY OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT: Tax (Name) (Title) EXH BIT A SCOPE OF SERVICES 25C -12 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR BRIDGE PREVENTIVE MAINTENANCE PROGRAM RFP NO.: 15 -047 Introduction and Background: The City of Santa Ana is issuing this Request for Proposals (RFP) from qualified professional engineering consulting firm to prepare a development of the Bridge Preventative Maintenance Program listing for the City of Santa Ana Public Works Agency. The purpose of the BPMP is to extend the life of local agency bridges by performing certain qualifying items of work approved by the Federal Highway Administration (FHWA) classified as preventative maintenance. Our goal is to utilize the BPMP to extend the life of City bridges and identify those that are within and/or beyond preventative maintenance countermeasures. The City of Santa Ana has applied for and received Federal HBRR funding to develop a BPMP for City owned structure bridges. Description of Work: 1. Purpose and Project Overview The City of Santa Ana is inviting qualified consulting civil and structure engineering firms to submit a proposal to provide engineering services for the preparation and development of a BPMP listing along with a cost estimate for all City maintained bridges (see location map and listing on Appendix 4). This project is funded by the Highway Bridge Program (HBP) and administered by Caltrans Local Assistance. The objective of the BPMP is to identify which of City bridges qualify for bridge maintenance countermeasures. Consultant must be familiar with the guidelines and requirements of the HBP as administered by Caltrans. The City reserves the right to adjust the scope of services as deemed appropriate and necessary. The City's consultant is expected to scope the project based on descriptions provided herein, as well as its team's subsequent site inspections and required tasks associated with maintenance countermeasures. 2. Bridge Preventative Maintenance Program (BPMP) Bridge Preventative Maintenance Program (BPMP) shall commence with a preliminary assessment of all City's maintained bridge structures. The assessment shall determine which structures require work items eligible for HBP reimbursement under preventative maintenance. The following is an abbreviated list of specific qualifying maintenance work items as defined by FHWA: 1. Expansion joint seal and assembly replacement. 2. Methacrylate deck treatment. City of Santa Ana RFP 15 -047 25113 3. Polyester concrete overlay or similar protective deck overlays. 4. Deck AC replacement/new installation. 5. Restore or replace existing bearings and repair or rehabilitate bearing supports. 6. Repair, restoration, and strengthening of major structural elements. 7. Repair, supplement, or replace timber structural elements, timber railings, timber deck runners, excluding timber piles. S. Movable bridge mechanical /electrical components may be repaired or replaced. 9. Retrofit repairs to fatigue prone details of steel girders 10. Spot painting of structural steel elements, including bridge railing where the Paint Condition Index (PCI) is greater than 65. 11. Rehabilitation/new installation of deck drainage elements. 12. Replacement and upgrade of bridge railing which has deteriorated due to environmental conditions. 13. Hydraulically engineered embankment erosion control and the repair of existing scour countermeasures related to protecting the structural integrity of the bridge. 14. Approach Slab rehabilitation/replacement and new installations. 15. Alkali- silica - reactive aggregate mitigation, corrosion management systems, and fracture critical element replacement/rehabilitation (case by case basis). 16. Development of Bridge Preventive Maintenance Plans (BPMP). 17. The Department, on a case -by -case basis, can review other scopes of work that meet Preventive Maintenance (PM) objectives. 3. Requirements and Execution Development of BPMP - Consultant shall develop objective procedures that prioritize preventative maintenance projects for all City- owned bridge structures. These procedures must be included in the project files in the form of a BPMP for review in future Caltrans audits. With this task the consultant will prepare and submit an updated BPMP that follows all Caltrans requirements for the following twenty -six (26) City bridges. Research Existing Records - The Consultant shall perform research of records held by the City that pertains to this project. They include, but are not limited to, as -built bridge plans, expansion joint retrofit plans, photographs of the site, and bridge inspection reports, which majority of the reports will be avaialbe by June 2015. It is the Consultant's responsibility to request any documents that were not readily available from the City that may prove to be useful in the evaluation of the existing bridge condition. Site Visit and Documentation - The Consultant shall perform a site visit documenting the existing bridge. This shall be performed by means and methods that will provide the Consultant with enough information to perform the bridge evaluation. If the Consultant feels that an inspection from within the interior of the bridge at the location is necessary, it shall be identified in the proposal stage, so the City can make provisions to gain access. Documentation can be made by, but not limited to, photography, video, physical measurements, and sketches. City of Santa Ana RFP 15 -047 PaGe 11 25 14 Evaluation of Existing Bridge Hinge - The Consultant shall provide an evaluation of the condition of the existing bridge by means and methods that provide for a clear understanding of the problems and issues associated with the potential damage. The Consultant shall provide details that reflect this condition on plan sheets that give the City a clear understanding of the issues. Proposed Repair Work (If Any) of the Existing Bridge - The Consultant shall provide recommendations for the repair of the existing bridge by means and methods that provide for a clear understanding of the proposed work to be done to bring the bridge up to current and acceptable standards. Preliminary Engineer's Estimate for Repair Work - If repair work is necessary, the Consultant shall provide detail cost estimate that reflect this proposed work, the Consultant shall prepare a quantity takeoff of repair work to be done to restore the bridge to current and acceptable standards. This includes, but is not limited to, bridge hinge repair, potential shoring of bridge during construction, traffic control, hazardous waste containment and disposal, and restriping. Summary Report of Findings and Recommendations - The Consultant shall prepare a report summarizing all the task items listed above in a report that clearly outlines and identifies the required work presented in this proposal. The consultant shall also submit electronic spreadsheet that will included as a minimum for each bridge the priority for funding(lowest number is highest priority), county geographic location, name of implementing agency, bridge number, facility carried, feature intersected, location, sufficiency rating, SD/FO status, all Preventive Maintenance (PM) treatment for each bridge, unit cost of PM (total deck area basis), federal funds, running summary of federal funds, local funds, and running summary of local funds (See sample spreadsheet in Appendix 4). The Consultant shall include any and all attachments that allows for this report to be a "stand alone" document. Address City Comments and Provide Final Report - The City will review the draft report and provide comments, where appropriate, with recommendations, if required. The Consultant shall address City comments and prepare a final report to the City. The Consultant shall provide the City with the following final deliverables: • Two (2) hard copies of the final report (by September 21, 2015) • One (1) electronic copy ; all documents shall be submitted in MS Word and PDF, exhibits shall be submitted in Microstation format. Additional program requirements and constraints are available at the following website: htW://www.dot.ca.govihq/LocalProgmms/ City of Santa Ana RFP 15 -047 2015 EXHIBIT B CONSULTANT PROPOSAL AND FEE SCHEDUL 25C -16 1. STATEMENT OF QUALIFICATIONS d. Understanding of Need It is our understanding that the City needs assistance to develop Bridge Preventive Maintenance Program (BPMP) for their local bridges which is an FHWA funded program to support extending bridge life by performing preventative maintenance. It is also our understanding that the scope of work is development of a BPMP which includes prioritization matrix for the bridges and cost estimate for eligible bridges. Through the study and scoping phase of BPMP determination is made to include or exclude some of the City's bridges in BPMP program and determine HBP candidate bridges in need of major rehabilitation/ replacement/widening. It is our understanding that E -76 authorization to proceed with PE phase for BPMP has been issued by Caltrans. We are familiar with the City's bridges. The table below shows the entire bridge inventory including 26 local bridges that needs to be maintained. It is our understanding that three of these bridges are not highway bridges, thus can be excluded from scope of BPMP study. In addition, one bridge (Fairview Street over Santa Ana River) is already HBP - programmed and due for widening /replacement. Therefore a total of 22 bridges in the City can be considered for inspections, study, scoping and prioritization under BPMP. The table also shows that six highlighted bridges are also eligible (as -is) for HBP rehabilitation funding. These bridges have SR less than 80 and Functionally Obsolete (FO). During the scoping phase and inspection of BPMP, determination will be made to include these as candidate for HBP funding forwidening/ rehabilitation /replacement. No. Bridge Number Facility Carried Feature Intersected Location SO /FO Sufgclerlc V Rating YEAR BUILT ADT LANES Width(ft) Length(ft) 1 55CO047 FLOWER ST SANTIAGO CREEK CHANNEL 0.3 MI N SANTA CLARA AVE SD 90.5 1930 5000 2 39.37 147.64 2 55CO055 MAIN ST SANTIAGO CREEK CHANNEL 0.2MINOROUTESFWY SO 90.8 191843000 6 87.60 203AI 3 55CO073 FIRSTST EGARDEN GRV-WINTRBRG CH 0.2 MI E EUCLID ST 87.2 1960 22000 7 98.75 22.97 455CO083M BRISTOL ST SANTA ANA GARDENS CH 0.1 MS /O MC ARTHUR BLVD 69.8 196160000 9 49.21 5 SSC0100 EUCLID AVE E GARDEN GROVE W'BURG CH 0.1 MIN 0 MCFADDEN AVE 77.7 1960 38000 5 22.97 6 55CO115 BRISTOL ST SANTIAGO CREEK CHANNEL 0.3 MI MEMORY LANE 84.8 194748000 5 84.32 101.71 7 55CO132L METROUNK BNSF 1ST STREET 0.71 MI W/O 1-5 1962 72.18 81 55CO132R IMETROLINK, BNSF I IST STREET 10.7 MI W /01 -5 1962 62.34 9 55[0133 PEDESTRIAN WALKWA EAST IST SREET 0.1 MI. W/O ROUTE 5 FWY 1972 144.36 10 55CO163 MCFADDEN AVENUE ISANTA ANA RIVER 0.4 MI W/O FAIRVIEW ST 78.9 1964 18000 4 54.46 351.05 12 55C0363 DYER ROAD ISANTA ANA DELHI CHANNEL 100' E/0 FLOWER ST 71.8 1971 21000 5 32.81 13 26 55C0364 55C0367 ALTON AVENUE ISANTA ANA DELHI CHANNEL STEVENS AVE ISANTA ANA DELHI CHANNEL 100' E/0 FLOWER ST 300'N OSUNFLOWERAVE 72.9 19701 5000 82.9 1973 2000 3 2 43.64 25.92 36.09 52.49 I8 SSCD372 5TH STREET SANTA ANA RIVER CHANNEL 0.6 MI E/0 HARBOR BLVD 79.5 1962 13000 4 51.84 1 321.52 20 55CO423 17TH STREET SANTA ANA RIVER CHANNEL 0.2 MI E/0 FAIRVIEW ST 81.3 1977 33000 6 79.72 357.61 21 SSCD429 DEMING STREET E GRDN GRVE WINTRBG CHA 200' N/0 TAMPION AVE 89.3 1951 2000 2 22.97 2255CD446MHAZARDAVE EAST GG•WIMERSBURG CHA AT NEWHOPE STREET 70.4 195032000 5 26.25 231 55CO447 15TH ST EAST GG- WINTERSBURG CHA D.2 MI W 0 NEWHOPE Si 95.6 1250,1 40DOI 2 34.45 19.69 241 5500452 IRITCHEYSTREET SANTA ANA -SANTA FE CHANL 0.1 MI5 /O MCFADDEN AVE 87.8 1965 7000 2 39.37 22.97 251 5500513 IFAIRVIEW STREET ISANTA ANA RIVER CHANNEL 0.2 MI O- WESTMINSTERA SD 71.7 196334000 4 50.85 495.41 Total Bridges: 26 lNot in use:3 1 HBPRe Wlden:l sm, 25C -17 1. STATEMENT OF QUALIFICATIONS d. Understanding of Need TTG has in -depth knowledge of Caltrans inspection procedures, BPMP guidelines as well as LAPM and LAPG. We have performed inspections of over 1,000 highway bridges, performed similar bridge maintenance scoping, bridge load- rating and HBP eligibility determination. Additionally, we have completed the development of BPMP for several other cities and counties and successfully obtained HBP funding for major rehabilitation of their bridges resulting in more than $200M in HBP funding for replacement/ rehabilitation projects. We have FHWA - certified bridge inspectors. This allows us to perform visual inspection of bridges, verify Caltrans reports on their noted conditions and take action on behalf of the agency to make necessary corrections. This capability also provides us to advantageously change the bridge inspection report in favor of a City if warranted. We have developed a unique in -house program to perform Sufficiency Rating (SR) calculations to verify, and if necessary, correct a Caltrans- reported condition rating which is a basis for determination of bridge funding eligibility. Our proposed approach and tasks necessary for successful completion of BPMP is as following: Task #1: Research Existing Records As we have been very successful in the past, we will be able to obtain Caltrans Bridge Inspection Reports (BIRIS) and the latest Condition Appraisal sheet from Structures Maintenance and Investigation (SM &I). We will also perform necessary research to find traffic data (ADT), record drawings and as -built of a bridge structure, rehabilitation /retrofit plans, roadway and channel from Caltrans, City, OCFCD and OCTA. We will review the latest inspection reports and note the important deficiencies as reported by Caltrans for planning inspections and reports of prior accidents on the bridge and their approaches. Mon TTG ... .r, 25C -18 4/ CerfijcateOfTraining A. ' Majid Sarraf We have developed a unique in -house program to perform Sufficiency Rating (SR) calculations to verify, and if necessary, correct a Caltrans- reported condition rating which is a basis for determination of bridge funding eligibility. Our proposed approach and tasks necessary for successful completion of BPMP is as following: Task #1: Research Existing Records As we have been very successful in the past, we will be able to obtain Caltrans Bridge Inspection Reports (BIRIS) and the latest Condition Appraisal sheet from Structures Maintenance and Investigation (SM &I). We will also perform necessary research to find traffic data (ADT), record drawings and as -built of a bridge structure, rehabilitation /retrofit plans, roadway and channel from Caltrans, City, OCFCD and OCTA. We will review the latest inspection reports and note the important deficiencies as reported by Caltrans for planning inspections and reports of prior accidents on the bridge and their approaches. Mon TTG ... .r, 25C -18 1. STATEMENT OF QUALIFICATIONS d. Understanding of Need Task #2• Site Visit and Documentation As we have FHWA- certified bridge inspection, we will perform visual inspections and document the existing bridge condition as necessary for FHWA- National Bridge Inventory(NBI) system as well as Caltrans and AASHTO- Element Level Inspection system. The method of inspection and certification we have expertise in is primarily for inspections needed in -line with condition assessment and damage investigation of in- service bridges which is significantly different from new bridge construction inspection. In certain cases such as extensive concrete deck cracking or potential delamination, we may choose to perform non - destructive testing using advanced equipment or chain- dragging to confirm extent of deterioration. We will coordinate with the City traffic and maintenance division as well as OCFCD to obtain necessary encroachment permit and access the bridges their approach roadway, channels. Our inspection work will be performed with exercising full safety precautions and no anticipation of impact to traffic. If special inspection is necessary using non - destruction testing equipment, it will be performed during very low traffic volumes and under advanced permit for partial lane closures. We have developed several field inspection forms and templates to be able to document bridge condition and easily itemize and quantify the extent of damage /deteriorations. We will take necessary field measurements, photo and videos if necessary to map/ sketch the bridge with extent of deterioration /damages to be able to quantify the repairs /rehabilitation needs. We use laser devices or other advance measuring equipment for reinforced concrete and steel sections. We will obtain sufficient field inspection data to be able to verify Caltrans report, perform structural and service condition assessments, and quantity estimates needed for BPMP. Task #3: Evaluation of Existing Bridge We will perform condition evaluation of the existing bridge regarding both structural and service /geometric conditions, based on our field inspection of noted deficiencies as well as in -depth review of Caltrans reports, field measurements of damaged joints, concrete deck cracking, section losses, corrosions, etc. as well as geometric considerations such as roadway, median and shoulder width, and traffic congestions, traffic accidents and damages to railings, flooding situations. We will a clear understanding of the problems and issues associated with the damages/ deficiencies determination of the causes and establish need to correct it. We will use our own developed Mathcad programs or special spreadsheet program to re- evaluate /confirm Sufficiency Rating (SR) for bridges that have significantly different condition than reported earlier by Caltrans, found to be "SD" or "FO" based on our inspection have SR closer to 50 that may render them eligible for major rehabilitation or replacement, as SR combined with condition flag "SD" or "FO" is a basis for eligibility for HBP funding. Our assessment will determine if maintenance work is eligible for HBP reimbursement under BPMP such as expansion joint seal and assembly replacement, methacrylate deck treatment, concrete overlays, deck AC replacement/new installation, rehab or replace existing bearings, repair, restoration and strengthening non I ... , , , , "' 25C -19 1. STATEMENT OF QUALIFICATIONS d. Understanding of Need of major structural elements, retrofit repairs to fatigue prone details of steel girders, spot painting of structural steel elements, rehabilitation /new installation of deck drainage elements, replacement and upgrade of deteriorated bridge railing, embankment erosion control and the repair of existing scour countermeasures related to protecting the structural integrity of the bridge and install new approach slab or rehabilitation/ replacement of the existing one, alkali - silica- reactive aggregate mitigation, corrosion management systems, and fracture critical element replacement/rehabilitation. Task #4: Propose Repair Work TTG will provide recommendations for the type of maintenance counter measures and minor repairs of the existing bridge as per BPMP guidelines to extend the life of the bridge and eliminate deficiencies per current and acceptable Caltrans standards. We will prepare draft spreadsheet of summary of the conditions and proposed repairs /maintenance work for sharing with the City to seek input before proceeding with estimates. When the extent of damages and deficiency are found to be severe, we will make recommendations regarding detailed analysis of a bridge using load rating and seismic analysis, updating and re- evaluation of SR, and preliminary recommending major rehabilitation/ replacement/ widening of a bridge using HBP funding. In case of severe structural damage or instability, we will advise the City of the issue and provide recommendations for temporary shoring and weight -limit posting, if necessary. Task #F: Preliminary Engineer's Estimate Upon confirmation of our propose solution for necessary repair /maintenance with the City, we proceed with performing detailed cost estimate. Our quantity estimates will be consistent with our propose solutions meet current standards and objectives of BPMP. The quantity estimates will include construction cost associated with bridge expansion joint or hinge repairs, deck rehabilitation and overlays, railing repairs, potential shoring of bridge during construction, traffic control, hazardous waste containment and disposal, and re- striping of the existing lanes after deck treatments. Task #6: Draft BPMP Report TTG will prepare a draft BPMP report to include: • Summary of field inspections with photos and sketches • Proposed maintenance /repairs • Proposed bridge candidates HBP funding with major retrofit/widening /replacement needs with revisions/ corrections of Sufficiency Rating "SR" using our special program for re- calculation of rating which is conforming to ASSHTO -NBI rating system. • Spreadsheet showing detailed calculations of quantities and estimates for each bridge including a score of each bridge. TTG's equation used for calculation of priority ranking score developed based on important factors such as bridge age, ADT SR, SD /FO, quantity of damages and cost to repair. • Attachments including field forms, notes, sketches, original inspection reports as part of stand -alone documents BPMP Sheet (Standard BPMP Sheet) which will be submitted to Caltrans and will include bridge priority ranking for maintenance and funding, county geographic location, name of implementing agency, bridge number, facility carried, feature intersected, location, sufficiency rating, SD /FO status, all Preventive :::TTG 25C -20 1. STATEMENT OF QUALIFICATIONS d. Understanding of Need BPMP Sheet (Standard BPMP Sheet) which will be submitted to Caltrans and include bridge priority ranking for maintenance and funding, county geographic location, name of implementing agency, bridge number, facility carried, feature intersected, location, sufficiency rating. SD /FO status, all Preventive Maintenance work for each bridge, unit cost of PM (total deck area basis), federal funds, running summary of federal funds, local funds, running summary of local funds, PE, Construction Management and contingencies. An example is shown below of this BPMP which our team developed for a similar BPMP project. The first 15 priority ranking of BPMP is shown below as an example. Upon submitting TTG's draft BPMP report and sheet, the City can review and provide comments to us. We will address and incorporate these comments and finalize the report including updates to the BPMP sheets that can be submitted to Caltrans for programming purposes. Our final submittal will include: Two (2) hard copies of the final report by September 21, 2015 One (1) electronic copy All documents will be submitted in MS Word and PDF, exhibits will be provided in Microstation format. eeerrG 1. , 4'''25C -21 mY w ar TWI CwiRl N4nnWq 6NY kuwY FMYtyRMVE F.Ern lnbru[bC IWUn suMWM CFO YbrXRUfpbn LpIF' r.A R.F M1Hty. Wl Rfl wGN Runlro FfeBArH Rinnp F11MIy lmiW gMmy Huibr BMq R.tlro � 9 IW M.00 CW IBHr) W. Hunmry LxY8AVn 1 d1eY �. D.�*" � � Rwppnp BAIF. A.8W00 3 r,eN S rHN i aeW l 4 bn[mNby ParcM1 rapfFm[YmwilvE� l[pakfpk. NS Ht 135A I,9L lWL4 '514 St,ra339 S I,F. m $ 218211 f EM814 2 Cry WC Wfeb BAed UM 5DT6b Ff ae %5 Krtm IbavCAmWLir R✓[- IamS�NMi,IMnSW. M? HW Sp9 itla%OAD BeH9 11%O,Sr i 9,T0,%H i Yr,rO S W.i91 3 Ry 5&RIB KM 021iFAtrvib rH Wnm �,� N-Y b's. Iowftk .— &3 npv[ncb aNap4,[gRI3Nrefhr 159 299 14,,M 9$6' Z &AS $ N2W $ 1,X;838 S IM2W $ 5f M 4 Nlq' Ca, Y.LN4 _ C'CC..A WecWa/,abl my Apm90[avYA Yqi ikt4. NA Vw YpY.ul[[e. [(�' S Cry bM ft wY Ybb"H W2 mMfM. MbAbKlAmMrl IUD V im 1.rO1W.W 1MLm 51;151,W 4 5,WM4 1191 %3 Mir SC.AV6 94H/ v- iµakuatlo enwbaMfa51, repYfpb, 6 Nw Cfy S6CN13 1kuvMm BW SPW Wq %2 SC la[YU Uyalv.Mryxfi pSevaeWWe. 119 W 1119 ISt,OW* WA 3 1LB,[(9 $ 8,113892 f S,rl 3 191119 Ffhl m[Af9b aWY�e M' W., rH 290 9p3 1R01HA0 1696 S WIM f HHr3B1 f r,1M3 $ W.M 1 Cry NMI, M1 m WatlO WKI1bo- KY.Im1im/0T<[AAfYA CvL[Wmue IYCAp50M 'FMM" 835 Sp npaFCxlo Wfpi,[p0/{eKuln 125 235 8162 231 M.M nW $ Wf f 6,MMS 4,1%3 x9.M 8 Ciy SSCDIp1 cm.=-b W.1 [v�MecwRY. A[Yl AewuWef[AYtl 0 Cry SW0905 K1YHabrW UHU.MMa 981 u� u 811 N aT31 SW,WAW 6.6 S W^ S 7NI%2 S ®5r $ MM 6W l KIM 56c03it JFR pr kia`inA59ert W WkIR1K'9T 872 w rgak crshonuhlelwW[ercrob 12 r2 1.110 359,MM BIS5 S 31842 $ ]SIA.M S 41.M $ 418.155 10 Uy CIenM LMM a'eM1 Nblmw MabE 11 CJB rCRII CuSVWKnB AW Wpb NH fmMnikYex.w'I..YUYb.lapk 1 V.? 9x1 1XMX CA 3119x15 7MB 1 16$10$ MM Clairw B RKSM Krzlo C4 56CM18 KffelWC &p Sum,metl 8bmi LNwmck8Eeel rl nPkentb nlwBUN WN'IepL'fpb' 79 45 3� 123,MA 31W $ 1W4d. f IM131 f 1(191 S I,WI,r9 12 - Cwn .B 9rlh Yoram SmOM -88bm arbb rH uWw[tlowwb NatlB.MrWYV, 85 r 2310 N,Sr.W WA s %.40 $ 1,811,511 $ 5,110 i 1H199A 19 CRY 5 16 Y,Ibn SAW CMn s C9b & umkr 11 Aa�em Cry XCWi1 g u.O FMercHSAx1 OcI MFIC Mbrin r Ip0[rsb aow aWfob, mwsa 16 914 1,T NMb.W 1059 f 4116 3 1.x R7 $ 9W f I.. ygry CAfnM LMT W., kM1vv SiNi9 AY1 K1m CWWI 024MOK % �iW[bmtlbM Wb, papb, 1H l23 8,1% 20D,1 %M ilH1 f M.8 S VIOX 9 %.r2 S 1%IHr 16 WW Ch -Pr[Ap F Upon submitting TTG's draft BPMP report and sheet, the City can review and provide comments to us. We will address and incorporate these comments and finalize the report including updates to the BPMP sheets that can be submitted to Caltrans for programming purposes. Our final submittal will include: Two (2) hard copies of the final report by September 21, 2015 One (1) electronic copy All documents will be submitted in MS Word and PDF, exhibits will be provided in Microstation format. eeerrG 1. , 4'''25C -21 2. I SCOPE OF SERVICES &SCHEDULE As project manager and lead inspector, Dr. Majid Sarraf will be managing the team assignment and coordinating all inspections, estimating, planning and reporting activities. He will also provide coordination with the City regarding scope, schedule and budget. We have formulated our proposed schedule to successfully complete this project on time and on budget (included at the end of this section). The management plan we are proposing for this project has worked extremely well for our team and clients on similar projects. We refer to our approach as the "Project Manager /Multiple Team Approach." The approach involves three main components: Employing this approach allows us to undertake the inspection and reporting in the most efficient way. This approach has proven successful on many projects, including up to 12 simultaneous project tasks as part of even larger project. Working with the Project Manager, our Principal -In- Charge begins by preparing a critical task schedule to be used by the team. The schedule indicates key time frames when all participants must exchange information and reach decisions that affect others on the project team. It includes recommendations from all members of the team including the Owner, facility user groups and any other team consultants. This tool maps out a plan that is used by TTG's senior management team to efficiently direct and monitor project progress. In addition, the project teams assemble and review weekly progress, new assignments and target dates for next completion milestones and assignments. The Project Manager is the focal point for project information. This includes reports, correspondence, shop drawings, Owner decisions and requests for information. All will be received by this leader who distributes /delegates to appropriate team members. Chronological files on all correspondence are kept for efficient reference and tracking. We take a proactive approach in communication with the entire team to communicate all project issues. We encourage bi- weekly meetings to monitor progress, confirm scope and goals and resolve any conflicts. Our approach in expediting the construction process and simplifying conflicts include: ➢ Providing timely progress reporting and budget, to ensure timely completion of tasks and on budget. ➢ Adherence to contract documents by identifying alternatives that avoid changes to the original scope. ➢ Open communication with all parties involved in inspection and continuous communication on any scope, schedule issues /items internally and with the City. ➢ Arrange immediate bridge site visit to resolve any inspection, safety concerns. Providing updated and timely schedule :::TTG 25C -22 2. I SCOPE OF SERVICES &SCHEDULE Communication is the keyto conflict resolution. Ourteam's problem - solving abilities come from knowing what questions to ask, how to listen and how to document the information received. Achievement of solutions that are responsive to the project context and budget requires members with experience relevant to the project scope and bring an understanding of how to address the issues of continued use, budgetary limitations, integration and design effectiveness. We strive for our client's to not only be pleased with the solution, but how we arrive at it. Through the process of implementing the design, we continue to clarify data received and communicate it in a manner that allows easy understanding and ability to effectively respond. We will accomplish this through a logical, orderly Project Approach and a series of document distributions during the design and construction document process. Our practice of methodology is based upon an interactive problem - solving process. All parties come together, well prepared to tackle the problems to be solved, for a continuum of intense problem - solving sessions focused on the project issues. With team members jointly creating solutions, all project aspects are addressed, ensuring detailed documents that are 100% complete. The process facilitates error -free documents, effective teamwork, timely decision making and provides a forum for the broadest participation in conflict resolution. Upon submitting TTG's draft BPMP report and sheet, the City can review and provide comments to us. We will address and incorporate these comments and finalize the report including updates to the BPMP sheets that can be submitted to Caltrans for programming purposes. Our final submittal will include: Two (2) hard copies of the final report by September 21, 2015 One (1) electronic copy • All documents will be submitted in MS Word and PDF, exhibits will be provided in Microstation format. Provided on the following page is our proposed project schedule indicating a completion date of September 21, 2015. TTG is comitted to developing the necessary time and resources to complete the City of Santa Ana's BPMP project. We have estimated approximately 135 hours and are within the allocated HBP funding budget. Based on our current workload, if awarded, we will be able to dedicate a minimum of 40% staff time (192 hrs) for the next three months ito complete the work related to this project. :C.TTG ... 25C -23 2. SCOPE OF SERVICES & SCHEDULE moo saw TTO '25C-24 ^ . �^ 'D F mom \ \ \\ (§ { {); !£)!!/ ` 9 .: 2 - . /\ \)k\2\ L: 1\ \ \)\ \/ � w � . 9 o �` - -a 0 ] CL /, =�E . k _]E ) _ ; \,!/! ) / Lu § { ! ) ■ tof 0 ! w _ / { \ ! \ § ) 2 k - - tt ca co w 5 / k \ \ - _ moo saw TTO '25C-24 ^ . �^ Q N O a V- O� CL a Z wa W LL LL CC L J son MEN En F 25C -25 h 1 N N LL .. .. .. .. .. .. T r LL L r ID O W � O G R u C 2 Q U W a cli O m o E LL w m o 0 LOO) v a � m �m U N m I a N � 25C -25 Exhibit C CERTIFICATIONS 25C -26 ' ?h 9 -1 `F pod D R x l, NON COLLUSTONAFFMAl If' I! I,RJU,q9 oN,,.N'rca; NS IR VP N l.s 65.q9µ'7 0 Ne l II W, I YMI I IJ-dIf 'Ic( I),m I 'If I' l"IbIjIl { Tom AIr I. oii 71061 I, ¢114 II r 111 Y S O I •, A rl- I A /I IN I I I l 1 - PA '1 '4 1 � t", V l I : N, 0 1 1 I I Y, i I I a 1 1, S, I (r, f, ca e� iif To., ^6 j 11, 1 4 If I -' 3 L ;, i I, d '3 & I C', ( I-, ..,I v S, I I I) I I I 12 f f, I I " 11) 1 T." 1 ., I If 611, 1 C 0'.kir P [ i T4, 71 t l ! I G1 , I I I r, , I: , I I j A L I I ,, I I I I l 1', 5 KM I I III I I CA' If I III I IT I VI I ",I r, - ''I I'll I'diffIl of. 'ITI" I I I Ti I I v ,,I , I Fm If III r"T I IT IT: I Ih 11 p , of I I I V I I :�m I fo , ON"Ail i "m I'm, eiI I P Il. In I f f I E I L Itr, 1,i,9 i w g.- i I f I ti I Aral I, i w L .,,IV I I,, I ^. c ) r nIenr, 1; II1 1 4 I I b I ) I- lI 11, 1, 11, /1 , I I I I ulltlr, kr @a I I I It x , , � I v,I "? I (" ! III I I I: I li CAI �r I R , IT l""I I l I " If I � T ,v " I " I , I "i 'l, ("I I a I',a,,r, It vI I IT ( i II I i r I�,, v k wo VVI,II J I; I I o If t i i , I% L uIr a v I nv( I eo d l I, I T y I v I IC ) r U I l t V I T I w [ I , pu I lrvI I hall I hvn I u I I I l a I I I I T; +lf1& flunllrvt I j ;I I IT ftof rl hif. 0 I!g,: I I url lne L 14 A I I- R I vms I A,I, iIl atfr;f mml I Liel Lhvc[ I, Y7 lI LA I%�k I I Y. %(fuKlfi h Im I ull m I A- col I u I I lul fc,uf 0' 11 COT; II I CKIL'O If, III 1 110, (W11' IT If ILI le hi A I I [Ile art rfm IbVd:NIII R IT r .airy ii ilUly Id f , I O f r ` I I T n � l , , ? r h " , a. 1 , pj 1-, 1 1 t , I f I' , I I , 1 , C IT " VI I I I f I ,, b I Ii : , i . ; , , I I r f ( J I I R I I Y II I r , I VIII f I S I IY L , 01 r r r, k L N , i f 1 ) 1 1 1 , , I t [ , , 1• I , i j , r if II ( I T, r I 1 0 ': I I I I I I I I , l a i n ) I.LMYTI12 41, IT,pI ,I Tli tIjC rj,)Ip0,,C,,j I'Wrx,f; IhM 1411 vIaLmycnh c)"ItAIRIC'i III II L. 'I 'l t,Iv i,fe ITO. I)Tfll '11A '.hrl B11 HA R If I, wl. A ffl,],N,11b, �Ud'- I IT VI, hr Irr Im r I, if I p I ), ., I gr II If , , , 11 [1 T,, III rlf' [111' J11'WIIJ Ily j"rx"I'llo'IFf of TUTI1 a fmim, rI •"", , " jh+j,'I , IH,[ , 4 I L r If q p),,, Illy L I x R, OTIT Tl P o", I ,i,l rm "i I p x, I t PIP i6' A on :II ',j :I I rL m ITT . N(l Hepwilun., ol, T If a It II H-1 r 1h II of Im-1 )I d cuo+ Lo �1 kk I TLAKU o co I wiwc I fl �homi I I Id. 'I I K, ilik I V u,IMiumn al Ww"IR r'; PAII (11 117r P1117"I'Ill rum! IlIT'l orl T Igmllwe poftm JAIIaLJY � IIII's P,rl volkv.ipun fI. U11 11 )1 VS wlit,lTe'l 11�,[ Hullang iI loke Inomr),,�rww ay, 1d,pCI i'll" "i p , I rfr ,wl, vf ( flifopnlo :ollwv ff n00 "!,t lltj�,,,C,9 I, I,j ,0"Il WfM III k„ x. i,wur, PuIAI Cikyol SafnLaAnri I IF, 11,17 2.2 n MIKE 25C-27 o RK an T T G :' , '� "( �, ;, ;, ;, - �' ;, � ;, �, � :�: '' I . . . .. . . . . . ............................. . ... . ..... . .... ... I I ii,blic ri nn-Mir ,ff c.,.7r :.r.mp I c."ire ir: cn.i ri I icm x: i!HfirN iijily I lic Id nluay ;ir II indl iI who munvT I I Ic d -x. i i n vr to ik-ii i -h Thi ci n 1I I and I I ) i k . , nLh fulri-.,, w fin, fln,11. J uuklul.e I r- CALINIFOIRINILA JURK"Ir VVIT"WAFFIiI S"W"ATIEMEMY I ' Sae kt.nsnEl D cjm 0 rl* to- cf!I nut, I I le.., a 6 3•.0-I E Fee Statement Eelmw ; fir ps '--b to to = pletad iii ly b docu -izr it &;gr: L. [s not Mao. I V `' Ao of Ca i rnia C� Alil,4 0 OnninG 3 Sit oscr. oed an J g•m to (v 9f firmcd) Iffy L nip on :h:3 Tnu,sd a V, June 04. 2'115, by Proved to me. on the basis of sat iEfau.0 i -f evidar i�H id Le J:a pei so 'I Q.•ho ap 3&areo kipflona re., And Prcfve-,,ltc- rneonthe ;Dcsi5 TD to tl c peron whD apoctl cc Dclom nu.,' 11 it !II 1, 21111, I 9 � � I N I .:Sl -12:�1 a Ur uviu f Pub FuiI D-pricripfinn of Any Atta r hpd Dmrctimerlg; iflA°vn Do�krn�-t DXP, jij-ie. 4,221F. Rummer 2f p�qe2: 1 Np. Dir rape Int Joo .. meni Non-COIL�50-Alda•dt'-ertificiTficris SynE,isl otheII-han named abcw3 Nona I "1 o.1 I'll Ao elmm I n 11, 1� 4. R 11 U 11 A. lll� Ill I'd "I I AIAI 0 IT 11, on . . .... n MIKE 25C-28 III RK an T T G :' , '� "( �, ;, ;, ;, - �, ;, � ;, �, � :�: '' I X1111111111 APPENDIX ATTACHMENT 3 -2: NON - LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR BRIDGE PREVENTIVE MAINTENANCE PROGRAM RFP NO.: 15 -047 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 giant, 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 TTG Engineers Signed and Printed Name: Majid Sarraf, PE, Ph.D. Title Director of Bridge Engineering Date .June 11, 2015 City of Santa Ana RFP 15 -047 Pace 23 C'Ia T T G L: QiY OF SANTA ANA RF]QUFST PCIM EgROPIML&ES PaOR 1m) -4 1 1:� DI W -4 WA M 'NOVA 96 The immimmagped oombracbmr o cmparmbe EdB a the porrwmmoe of flzis c� certffins ma EmEk.l - I Thm C� shall n clscon�e aBw t mny vmmjdcp3jm err wq3 h fa cmr%Dloym bye of aaa>•, color xefilpEm, s&3,, or dal axLg=L Thm CA=xkzcti3r shall bKIm allimmxzbv action to ®sac that mpphxzuxbt are mzmployod, and that ammpluyems are trembed -I-, g eniploymmmut. mrAlmout xegmxd to ihaa ma. color. ..Lqg.,. s�, . izbonal .qp. SL,.h j.U. vJ,-YI ...Ides but .t be b..dd b% ff. to llvmo= -pg-d-r_ d---U-.L. - aamdfi- -d-b&-qp_ bT.W . b ..... h...; rates of pry er elder fuom.s of cccupenmmtmm; and seloctmm fur tnKummLF_ xnciL•clmg mpFffmmtwogbzp- The Cuukmdbmr xffeea to post m omuVicouus pbmM awmilmlile m ernpg3yeot and applicamd:s fa cmqduymmut, entices to be provided setmag fizib am Provie:om of this mDn&bmm=mffbm dame. 2 Tho dm]X m all sohodmbms � adveffbAmnmats far cmqAayers phm d by ar m bi*mff of the CAmtractor, Stub! chat an cpulvEwd mFphmmuft will receive commademmtum far empanjmnEnt withoot mesKrd in race colow. ffooff— Set. — -ab—LE, Owav- 3 Th. Vcdk. 96.11 send 6. each Ib. F wn.I er wth —6—h h-&b- has c,Alimt V barfpLmmmg zgpeonmmt ar otimm czed3umt o mmwlorAbumdhnF_ a notice to be provided advasang the said labor rariom on -mPrukeW xrFffvSzoxbdtiRS of the Ccoibmm:bow I � mmhde this fiectLcm, mind Shall lonat =pmna of the nubm m vmmspcowat plamea mwmLdile Lo omvkm and UPPIDOMAR rUF OMWIOYMBem 4 Tho Gomtrza� Shull cumply with all provisions or Fmnmrftvo Ckdas 11245 of Svpbwnber 24. 1965. and of the nAm rewminuomm. mind wauvmxlt mda of the semmbixy ufxabor 5 Th. C..kk. 91,11 fm,gh all and eFcwts z.q.a d by H ..> tin mod. 11246 �Spu-d- 24, 1965, and byrroles. MEBMbffbEnr, XUAl Ordma oftle ge=wlmy Dfl-abur. o<l - thomiq and will pommt access m hisTher beets .creeds, and aaxamds by the ad�:etaiag .peg mind the 9e=mburyofIAhurfor purposes ofmmwwsbMpdKm. to asczmta ccmmplimmum vmdflbL Such rm&5ik., ffemml;mbnma.. and codas_ 6 In the eveot cKribe CI=Kbmcbw's n�eamphaeee . the mwmuliscrnmmmmbm cfioses of this ccmhmct ur . say of the said nml Y, regmiaboma, or ad� the cxmob3u± mmy be cmuorled, tmnomomated. Q suspended m whole o m pmt and the CAndractuor may be declared moligRalle far R 0 Oovemmmumut DoEtnmts ur federally at&Lmrd cczutftmmhm ccEdmm:La m zcouvdaoce wlith pmomdm mx6xm2Eed ma Fw5mmbmm Ordw 11246 uF Sophmuber 24 1965 und maw other sunchmns mnuy he imposed and rrmnmdm xmvE&md as provided m Fmmcoftr cOxder 11246 of ScFtexnber 24, I965, o 1pyrole, xrgphdnomm, err older uflho as mflaae�e Fwovmlftd by Inw- -7- Thm CkmMrmctmw shall mmchLdo the pmtmm of the mmtm= mounumbatay pffem5dmg pmmwmph Cl) and the pmvitims uf pwragrapbA (1) d-Fu& C.?) in —v maboomWCt o< purchume order -mlms examptod by xuleS, was of the S...rty of Lab. iemad to F..b. 204 t� 11246 F Pape 2• g.phm.l. 24. 1965. so each Fvvram will ]me boacluM upon each gubcxuxbruct ea FmErKh c order a the A,hmmmmhmxnE JLEPMCY mmy dunact as misma of EmLfcwcxng Such FrEruzaamna, xnckmdmg sans air nunmmxF&=x_ pwowded_ however that in the event the CA3xdroctor be involved xu. or is flurontimed vvjjbr litifftim w a subcunhmckw or vnmclow as a xwmult LEE anKdb dumcbmm by the udEmmmab==C agency, the CAHZbMCtnr IMMY XeqMOSt thMt the IJAMbMd mxk* muA bbgmb to Frahmmt the mmummus of the UmIrd st.trs- H- PLwammotto Culif® I-mborGode Secb- 1735. asxddodby C3mmptmrG43 Stabs_ 1939, mid m ammomdxxL PTO dmcrnnmmmbm Shun be nmacle m the onzpluymmmt of Perseme mpim pubbe m lu m of xue_ relqgums crowd• color mmhomml owif7m, am mm" phymmul hundivalM moubal ccndmbnn, nLmrWzA wbtmuL er � or Such persona, ezoqd as provided ma Section 1420, and any ccmdffmctow of public vmxks vmAabng this Sec mm is suffiToct to all the prnmltma unFmord fur a vmlzbm ofthe C3Lvp&w Signed III.R. E3WEK:kw cpF Bridge Engj a Fmig Fins TTG El`kgateels Jute 11. 2015 n MIKE 25C-30 o RK an T T G :' , '� "( �, ;, ;, ;, - �, ;, � ;, �, � :�: '' I REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: APPROVE A COOPERATIVE AGREEMENT WITH OCTA TO COMPLETE CLOSEOUT OF THE AT -GRADE RAILROAD SAFETY ENHANCEMENT PROJECT (NON - GENERAL FUND) {STRATE C LAN NO. 6, 1G} CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute Cooperative Agreement Number C -5 -3312 in the amount of $206,208.53 with the Orange County Transportation Authority for completion and closeout of the At -Grade Railroad Safety Enhancement Project, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION Approval of the Cooperative Agreement with the Orange County Transportation Authority (OCTA) will enable the closeout of the At -Grade Railroad Safety Enhancement Project that improved ten Metrolink railroad crossings. OCTA has been the lead agency on this project in which costs are being shared at 88 percent for OCTA and 12 percent for the City. The safety enhancements were completed in 2011. However, OCTA and their contractor had various contractual items that required some time to resolve, such that the prior agreements have expired. To properly close out the project and enable the City to make the final payment on the remaining invoice of $206,208.53, a new cooperative agreement is required. This new Cooperative Agreement No C -5 -3312 (Exhibit 1) stipulates the terms, conditions, and responsibilities for payment of funds for work already completed. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). 25D -1 Cooperative Agreement with OCTA August 4, 2015 Page 2 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funding for closeout of the At -Grade Railroad Safety Enhancement Project is available in Measure M2 Local Fairshare Fund (Account No. 03217662 - 66220, Project 091745) already appropriated to the project in prior fiscal years and Select Street Construction Fund, (Account No. 05917663- 66220, Project 091745). Account I Descrl tion Amount 03217662 -66220 Measure M2 Local Fairshare $153,428.75 05917663 -66220 _ Select Street Construction Fund $52,779.78 Total $206,208.53 Fred Mous6vip6ur Executive Director Public Works Agency FM /EWG /MS Exhibit: 1. Cooperative Agreement with OCTA AS TO FUNDS & ACCOUNTS: Executive Director Finance & Management Services Agency 25D -2 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 COOPERATIVE AGREEMENT NO. C-5 -3312 BETWEEN ORANGE COUNTY TRANSPORTATION AUTHORITY AND CITY OF SANTA ANA FOR RAIL - HIGHWAY GRADE CROSSING SAFETY ENHANCEMENTS AND SAFETY MEASURES RELATED TO QUIET ZONE IMPLEMENTATION FOR CITIES THIS COOPERATIVE AGREEMENT (Agreement), is effective this day of 2015, by and between the Orange County Transportation Authority, 550 South Main Street, P.O. Box 14184, Orange California 92663 -1584, a public corporation of the State of California (herein referred to as "AUTHORITY") and the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, CA (hereinafter referred to as "CITY') each individually known as "Party" and collectively known as the "Parties". RECITALS: WHEREAS, AUTHORITY and CITY entered into Cooperative Agreement No. C -8 -0862 dated October 20, 2008 for the rail highway grade crossing safety enhancements and safety measures related to quiet zone implementation (Project); and WHEREAS, AUTHORITY and the CITY agreed to a cost saving formula of 88 percent by the AUTHORITY and 12 percent by the CITY for the Project under the original Agreement (C- 8- 0862); and WHEREAS, said Agreement (C -8 -0862) expired following completion of the scope of work but prior to determination and invoicing of final project costs by the AUTHORITY; and WHEREAS, AUTHORITY and CITY agree to enter into this cooperative agreement to allow AUTHORITY for final invoicing to the CITY for the outstanding portion of its twelve percent (12 %) share of costs related to the rail highway grade crossing safety enhancements and safety measures related to Exhibit 1 2 �g� 1 S 7 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 quiet zone implementation. follows: AGREEMENT NO. C -5 -3312 NOW, THEREFORE, it is mutually understood and agreed by AUTHORITY and CITY as ARTICLE 1. COMPLETE AGREEMENT A. This Agreement, including any attachments incorporated herein and made applicable by reference, constitutes the complete and exclusive statement of the term(s) and conditions(s) of this Agreement between AUTHORITY and CITY and it supersedes all prior representations, understandings, and communications. The invalidity in whole or in part of any term or condition of this Agreement shall not affect the validity of other term(s) or conditions(s) of this Agreement. The above referenced recitals are true and correct and are incorporated by reference herein. B. AUTHORITY'S failure to insist on any instance(s) of CITY's performance of any term(s) or condition(s) of this Agreement shall not be construed as a waiver or relinquishment of AUTHORITY s right to such performance or to future performance of such term(s) or condition(s), and CITY's obligation in respect thereto shall continue in full force and effect. Changes to any portion of this Agreement shall not be binding upon AUTHORITY except when specifically confirmed in writing by an authorized representative of AUTHORITY by way of a written amendment to this Agreement and issued in accordance with the provisions of this Agreement. C. CITY's failure to insist on any instance(s) of AUTHORITY's performance of any term(s) or condition(s) of this Agreement shall not be construed as a waiver or relinquishment of CITY's right to such performance or to future performance of such term(s) or condition(s), and AUTHORITY's obligation in respect thereto shall continue in full force and effect. Changes to any portion of this Agreement shall not be binding upon CITY except when specifically confirmed in writing by an authorized representative of CITY by way of a written amendment to this Agreement and issued in accordance with the provisions of this Agreement. ARTICLE 2. SCOPE OF AGREEMENT This Agreement specifies the roles and responsibilities of the Parties as they pertain to the 25aU_4 AGREEMENT NO. C-5 -3312 1 subjects and projects addressed herein. Both AUTHORITY and CITY agree that each will cooperate 2 and coordinate with the other in all activities covered by this Agreement and any other supplemental 3 agreements that may be required to facilitate purposes thereof. 4 ARTICLE 3. RESPONSIBILITY OF AUTHORITY 5 AUTHORITY agrees to the following responsibility: 6 A. AUTHORITY will invoice CITY in the amount of $206,208.53 for final invoice for the 7 outstanding payment of its portion of the local matching funds for the Project. 8 ARTICLE 4. RESPONSIBILITY OF CITY 9 CITY agrees to the following responsibility: 10 A. CITY is obligated to reimburse AUTHORITY for $206,208.53 as final invoice for the 11 outstanding payment of its portion of the local matching funds for the Project. 12 ARTICLE S. DELEGATED AUTHORITY 13 The actions required to be taken by CITY in the implementation of this Agreement are 14 delegated to its City Manager, or designee, and the actions required to be taken by AUTHORITY in the 15 implementation of this Agreement are delegated to AUTHORITY's Chief Executive Officer or designee. 16 ARTICLE 6. AUDIT AND INSPECTION 17 AUTHORITY and CITY shall maintain a complete set of records in accordance with generally 18 accepted accounting principles. Upon reasonable notice, CITY shall permit the authorized 19 representatives of the AUTHORITY to inspect and audit all work, materials, payroll, books, accounts, 20 and other data and records of CITY for a period of four (4) years after final payment, or until any on- 21 going audit is completed. For purposes of audit, the date of completion of this Agreement shall be the 22 date of CITY's payment of AUTHORITY's final billing (so noted on the invoice) under this Agreement. 23 AUTHORITY shall have the right to reproduce any such books, records, and accounts. The above 24 provision with respect to audits shall extend to and /or be included in contracts with CITY's contractor. 25 ARTICLE 7. INDEMNIFICATION 26 A. To the fullest extent permitted by law, AUTHORITY shall defend indemnify, protect, and Page 3 of 7 25D -5 AGREEMENT NO, C- 5-3312 1 hold harmless CITY, its officers, directors, employees, and agents (collectively the "Indemnified 2 Parties "), from and against any and all liabilities, actions, suits, claims, demands, losses, costs, 3 judgments, arbitration awards, settlements, damages, demands, orders, penalties, and expenses 4 including legal costs and attorney fees (collectively "Claims "), including but not limited to Claims arising 5 from injuries to or death of persons ( AUTHORITY's employees included), for damage to property, 6 including property owned by AUTHORITY, or from any violation of any federal, state, or local law or 7 ordinance, alleged to be caused by the negligent acts, omissions or willful misconduct of CITY, its 8 officers, directors, employees or agents in connection with or arising out of the performance of this 9 Agreement. 10 B. To the fullest extent permitted by law, CITY shall defend, indemnify, protect, and hold 11 harmless AUTHORITY, its officers, directors, employees, and agents (collectively the "Indemnified 12 Parties "), from and against any and all liabilities, actions, suits, claims, demands, losses, costs, 13 judgments, arbitration awards, settlements, damages, demands, orders, penalties, and expenses 14 including legal costs and attorney fees (collectively "Claims "), including but not limited to claims arising 15 from injuries to or death of persons (CITY's employees included), for damage to property, including 16 property awned by CITY, or from any violation of any federal, state, or local law or ordinance, alleged to 17 be caused by the negligent acts, omissions or willful misconduct of AUTHORITY, its officers, directors, 18 employees or agents in connection with or arising out of the performance of this Agreement. 19 C. The indemnification and defense obligations of this Agreement shall survive its 20 expiration or termination. 21 ARTICLE 8. ADDITIONAL PROVISIONS 22 A. Term of Agreement: This Agreement shall be effective in full force through September 23 30, 2015, or upon AUTHORITY'S receipt of payment from CITY, whichever is first. 24 B. Termination: In the event either Party defaults in the performance of their obligations 25 under this Agreement or breaches any of the provisions of this Agreement, the non - defaulting Party 26 / Pa e4of7 256 -6 AGREEMENT NO. C-6-3312 1 shall have the option to terminate this Agreement upon thirty (30) days' prior written notice to the other 2 Party. 3 C. Termination for Convenience: Either Party may terminate this Agreement for its 4 convenience by providing thirty (30) days' prior written notice of its intent to terminate for convenience to 5 the other Party. 6 D. AUTHORITY and CITY shall comply with all applicable federal, state, and local laws, 7 statues, ordinances and regulations of any governmental authority having jurisdiction over the 8 PROJECT. 9 E. Legal Authority: AUTHORITY and CITY hereto consent that they are authorized to 10 execute this Agreement on behalf of said Parties and that, by so executing this Agreement, the Parties 11 hereto are formally bound to the provisions of this Agreement. 12 F. Severability: If any term, provision, covenant or condition of this Agreement is held to be 13 invalid, void or otherwise unenforceable, to any extent, by any court of competent jurisdiction, the 14 remainder of this Agreement shall not be affected thereby, and each term, provision, covenant or 15 condition of this Agreement shall be valid and enforceable to the fullest extent permitted by law. 16 G. Counterparts of Agreement: This Agreement may be executed and delivered in any 17 number of counterparts, each of which, when executed and delivered shall be deemed an original and 18 all of which together shall constitute the same agreement. Facsimile signatures will be permitted. 19 H. Force Maieure: Either Party shall be excused from performing its obligations under this 20 Agreement during the time and to the extent that it is prevented from performing by an unforeseeable 21 cause beyond its control, including but not limited to; any incidence of fire, flood; acts of God; 22 commandeering of material, products, plants or facilities by the federal, state or local government; 23 national fuel shortage; or a material act or omission by the other Party; when satisfactory evidence of 24 such cause is presented to the other Party, and provided further that such nonperformance is 25 unforeseeable, beyond the control and is not due to the fault or negligence of the Party not performing. 26 Page 5 of 7 2501-7 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 AGREEMENT NO. C- 5-3312 I. Assignment: Neither this Agreement, nor any of the Parties' rights, obligations, duties, or authority hereunder may be assigned in whole or in part by either Party without the prior written consent of the other Party in its sole and absolute discretion. Any such attempt of assignment shall be deemed void and of no force and effect. Consent to one assignment shall not be deemed consent to any subsequent assignment, nor the waiver of any right to consent to such subsequent assignment. J. Governing Law: The laws of the State of California and applicable local and federal laws, regulations and guidelines shall govern this Agreement. K. Litigation fees: Should litigation arise out of this Agreement for the performance thereof, the court shall award costs and expenses, including attorney's fees, to the prevailing party. L. Notices: Any notices, requests, or demands made between the Parties pursuant to this Agreement are to be directed as follows: To CITY (City of Santa Ana) To AUTHORITY: City of Santa Ana Orange County Transportation Authority P.O. Box 1988 (M21) 550 South Main Street Santa Ana, CA 92702 P. O. Box 14184 Orange, CA 92863 -1584 Attention: Attention: Mr. William (Edwin) Galvez Mr. Michael Le City Engineer Associate Contract Administrator (714) 647 -5653 Tel: (714) 560 -5314 WGalvez @santa - ana.org E -mail: mle1 @octa.net Page 6 of 7 25D -8 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 �*j25 26 a AGREEMENT NO. C -5 -3312 This Agreement shall be made effective upon execution by both Parties. IN WITNESS WHEREOF, the parties hereto have caused this Agreement No, C -5 -3312 to be executed as first written above. CITY OF SANTA ANA ORANGE COUNTY TRANSPORTATION AUTHORITY By By David Cavazos Meena Katakia City Manager Manager, Capital Projects ATTEST: By Maria D. Huizar Clerk of the Council ia la R. Po Dated AP ROVED AS F By mes ral l C Donich Geneounsel Page 7 of 7 25D -9 25D -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: AGREEMENT WITH BOBBY NAVA ENTERTAINMENT FOR ENTERTAINMENT SERVICES FOR FIESTAS SANTA ANA {STRATEGIC PLAN NO. 5,5C) //_iz� T22 CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Bobby Nava Advertising and Entertainment Agency for advertising and entertainment services for Fiestas Santa Ana in the amount of $44,000, for a term to end on September 30, 2015, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Fiestas Santa Ana event has been a positive event for the downtown businesses and surrounding neighborhoods. This event not only attracts thousands of Santa Ana residents, but also visitors from all over Orange County. The purpose of this event is to celebrate Fiestas Santa Ana through a safe family friendly event to include: live entertainment, food booths, informational booths, merchandise /service booths, cultural exhibits and carnival rides /games over a three -day weekend. The 37th Annual Fiestas Santa Ana will take place on September 12 — September 13, 2015. In recognizing the great value of the event, City of Santa Ana, Parks, Recreation, and Community Services Agency (PRCSA) recommended that the City host Fiestas Santa Ana and act as Event Manager. The Event Manager will be responsible for providing all the necessary equipment, stages, electricity, carnival rides, vendor booths, entertainment, and insurance for the event. City staff has been working to bring together all the elements necessary to operate a successful event. As part of managing the event and in an effort to retain A -list talent, city staff is requesting an agreement with Bobby Nava to retain event performers for the event. The City expects that the inclusion of A -list talent will draw additional people to the City of Santa Ana for the event. Staff reached out to Bobby Nava Entertainment and the firm was able to secure Maribel Guardia and Fidel Rueda to perform at the 2015 Fiestas Santa Ana event. 25E -1 Agreement with Bobby Nava for Entertainment Services August 4, 2015 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #5 (Promote a strong arts and culture infrastructure), Strategy C (Promote arts and culture by partnering with artist groups and merchants to hold events celebrating art in public plazas, parks and other City- controlled open space). FISCAL IMPACT Funds in the amount of $44,000 are available in the FY 2015 -2016 Recreation Community Services Contract Services - Professional account (no. 01113230 62300). Gerardo Mouet, Executive Director Parks, Recreation and Community Services Agency APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez, Executive Director Finance and Management Services Agency 25E -2 CONSULTANT AGREEMENT WITH BOBBY NAVA ADVERTISING AND ENTERTAINMENT AGENCY THIS AGREEMENT is made and entered into this 4h day of August, 2015 by and between Bobby Nava Advertising and Entertainment Agency, a sole proprietorship (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of providing advertising and entertainment services. 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 provide advertising and entertainment services for the Fiestas Santa Ana ( "Event ") to be held in downtown Santa Ana with performers on Saturday, September 12, 2015 and Sunday, September 13, 2015 with the names of the performers (Maribel Guardia and Fidel Rueda) and timeframes for their performances as set forth in the Consultant's schedule, attached hereto and incorporated herein as Exhibit A. 2. DELIVERY OF WORK PRODUCT Consultant shall deliver to City all work product which results from the services provided. Said work product shall be submitted in a hard copy and produced in a form compatible with City's computer system, as agreed between the City's Project Manager and Consultant. In regard to material produced as a deliverable under the Agreement, including but not limited to books, reports, plans, photographs, drawings, videotapes, and computer programs, Consultant agrees, for itself and its affected officers, employees, agents, contractors, and volunteer workers, that the authors of all such material, whether copyrighted or not, award to the City, and to its officers, agents and employees acting within the scope of their official duties, as a condition of payment to the Consultant, a royalty -free, nonexclusive, irrevocable license throughout the world to disclose, publish, translate, reproduce, and use such materials. 25E -3 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit A. The total sum to be expended under this Agreement shall not exceed Forty -Four Thousand Dollars ($44,000.00) during the term of this Agreement. b. City shall pay half of the compensation upon execution of this Agreement ($22,000.00), and the other half ($22,000.00) shall be paid upon completion of the final performance on September 13, 2015. c. The second half of the payment shall not be paid if the Consultant fails to provide the entertainment performances that are the subject of this Agreement, in which event Consultant shall also refund all prior payments made by the City to Consultant under the Agreement. 4. TERM This Agreement shall commence on the date stated above and terminate on September 30, 2015, unless terminated earlier in accordance with Section 13, below. 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. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which 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, and $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 and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. 25E -4 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 California State Law, 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 S 1,000,000 per accident. d. 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 fiunished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. e. 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 effect 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. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement, to the extent that the injury, damages, just compensation, restitution, judicial or equitable relief is caused by the negligence of the Consultant. 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. City may make all reasonable decisions with respect to its representation in any legal proceeding. In no case will Consultant be required to indemnify or hold harmless the City from injury, damages, just compensation, restitution, judicial or equitable relief caused by the negligence of the City. 25E -5 8. 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. 9. 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. 10. 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 facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Cleric of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Facsimile: 714- 647 -6956 Copies to: Executive Director of Parks, Recreation and Community Services City of Santa Ana 20 Civic Center Plaza (M -23) P.O. Box 1988 Santa Ana, California 92702 Fax (714) 571 -4211 25E -6 and City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Facsimile: 714- 647 -6515 To Consultant: Bobby Nava Advertising & Entertainment Agency Attn: Bobby Nava 4959 Palo Verde St., Bldg. 203B, Montclair CA 91763 Mailing Address: P.O. Box 828, Pomona, CA 91769 Phone: 909 - 629 -5252/ FAX: 909 - 629 -1818 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 facsimile, 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. 11. 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 nor 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. 12. 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. 25E -7 13. 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. 14. NON - DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations, 15. 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 farther 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. 16. 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. 17. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terns 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. [SIGNATURES TO FOLLOW] 25E -8 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: rN M.FUNK ssistant City Attorney RECOMMENDED FOR APPROVAL: GERARDO MOUET Executive Director Parks, Recreation & Community Services Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT: Bobby Nava Advertising & Entertainment BOBBY NAVA Owner 25E -9 EXHIBIT "A" lAy; tGI"fA, Event Mavketlog � to, 35yean .. 1 Date. 7'8 2015 Glinbatt4 11524_ 12alinji :"&W CRY n, Saata A a P.0 6o• 298zB c3-:a Arta. 3A 92 0': 7 1-41 51a 42" Cu5t0'ner 10 222 Bobby Nava Booking Agent Check 09/12/15 Maribel Guardia Will Perform from 8:00- 9:OOPM Where: 4th St. Downtown Santa Ana, CA _ i C $8.750.00 i . _. $8.750.00 217.500.00 25E -10 EXHIBIT "A" Event marketing for 35 years Bobby Nava Booking Agent Fidel Rucda Will Perform from 7:00-8:OOPM Where: 4th St. Downtown Santa Ana, CA 25E -11 Check 7 3 f " o` Salts Ana C,-, : "e, ID' 222 09/13/15 $13,250.00 $13,250.00 $26.500.00 25E -12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: LICENSE AGREEMENT AMENDMENT WITH ORANGE COUNTY TRANSPORTATION AUTHORITY FOR PROPERTY ADJACENT TO SANTIAGO PARK WATER RESERVOIR {STRATEGIC P NO. 6 1C} a. Z plllrk� CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on Is1 Reading Ordinance on 2ntl Reading Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an amendment to a license agreement with Orange County Transportation Authority for 11,000 square feet of property adjacent to Santiago Park Water Reservoir for $796 plus a CPI increase each year for a one - year term with automatic renewals until terminated, subject to non - substantive changes approved by the City Manager and City Attorney. On October 14, 1997, the City of Santa Ana entered into a month -to -month license agreement with the Orange County Transportation Authority (OCTA) for 18,000 square feet of property adjacent to Santiago Park Water Reservoir for use as a Santa Ana Police Department (SAPD) Canine Training facility, SAPD no longer requires use of the property and transferred use of the property to Parks, Recreation and Community Services Agency ( PRCSA). PRCSA is proposing to use the property for holding and propagating native plant material as landscape replacement for Santa Ana parks. OCTA has agreed with the change in use, The amendment to the license agreement will modify the term from month -to -month to a one -year term with automatic renewals and a 30 -day notice to terminate by either parry. OCTA requires the City to notify and obtain OCTA approval of any constructioNimprovements on the property. Upon termination any improvements shall be removed and the site returned back to its original condition. City shall maintain the site during the term of the license. The City paid OCTA $796 for the 2014- 2015 year. As CPI information becomes available for the 2015 -2016 year the annual amount will be adjusted accordingly. 25F -1 License Amendment with OCTA for property at Santiago Park August 4, 2015 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #6 Community Facilities and Infrastructure, Objective #1 (Establish and maintain a Community Investment Plan for all City assets), Strategy C (Invest resources and technology to extend the service life of existing infrastructure to protect the city's investment and support a high quality of life standard). FISCAL IMPACT Funding in the amount of $796 plus a CPI increase each year for license of property is available beginning in the FY 2015 -2016 Parks, Recreation and Community Services expenditure account (no. 01113200 62300). Gerardo Mouet, Executive Director Parks, Recreation and Community Services Agency EXHIBIT: Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez, Executive Director Finance and Management Services Agency (� 25F -2 File: OC -87 -A FIRST AMENDMENT TO LICENSE AGREEMENT BETWEEN THE ORANGE COUNTY TRANSPORTATION AUTHORITY AND THE CITY OF SANTA ANA This FIRST AMENDMENT to the above - referenced agreement is made and entered into as of August 4, 2015, by and between THE ORANGE COUNTY TRANSPORTATION AUTHORITY ( "OCTA ") and the City of Santa Ana ( "Licensee "), and designated #OC -87 -A to License Agreement #OC -87 dated October 14, 1997. RECITALS A. On October 14, 1997, the parties entered into License Agreement # OC -87 ( "Agreement "), by which OCTA granted Licensee a non - exclusive license in certain property owned by OCTA as described in the Agreement for purposes of a canine training facility ( "License Property'). B. The term of the Agreement is presently month -to -month and remains in effect. C. The parties now wish to amend the Agreement to reflect a changed use of the License Property. The parties therefore agree: Part 1, Section 2 of the Agreement, Use of License Property, is amended to read in its entirety as follows: "Landscape nursery to replenish native and riparian planting in City of Santa Ana parks, as operated by Licensee or a third party under a separate operating agreement with Licensee." 2. Part 1, Section 4 of the Agreement, Term, is amended to read in its entirety as follows: "One (1) year from the date of this First Amendment, with 30 day notice to terminate, to be automatically renewed thereafter for the same term on an annual basis until either parry terminates with 30 days' notice." 3. Part 1, Section 6 of the Agreement, Insurance Amount, is amended to read in its entirety as follows: "Insurance requirements are amended as shown on Exhibit "A ", attached and made part herein." 4. Part 1, Section 8 of the Agreement, Licensee's Address, Is amended to read in its entirety as follows: City Of Santa Ana Parks, Recreation and Community Services Agency 20 Civic Center Plaza (M -23) P.O. Box 1988 Santa Ana, Ca. 92702 5. Part 1, Section 9 of the Agreement, Facility, is deleted in its entirety. Page 1 of 3 25F -3 File: OC -87 -A 6. Except as modified by this First Amendment, all terms and conditions of the Agreement shall remain in full force and effect. AGREED AND ACCEPTED: CITY OF SANTA ANA David Cavazos City Manager APPROVED AS TO FORM: BY 17b 5L,fL Jo . Funk Ass taut City Attorney ATTEST Maria D. Huizar Clerk of the Council ORANGE COUNTY TRANSPORTATION AUTHORITY By Jim Bell Executive Director, Capital Programs APPROVED AS TO FORM: By James M. Donich General Counsel Page 2 of 3 25F -4 File: OC -87 -A EXHIBIT "A" Insurance. A. Licensee shall procure and maintain insurance coverage or evidence of self - insurance during the entire term of this Agreement. Licensee shall provide the following coverage: 1. Commercial General Liability [CGL], to include Products/Completed Operations, Independent Contractors', Contractual Liability, and Personal Injury Liability with a minimum of $2.000,000.00 of coverage. , with: • Removal of the CGL exclusion for pollution liability, or • A Pollution Liability policy with minimum limits of $1,000,000.00; and 2. Automobile Liability Insurance with combined single limits of a minimum of $1,000.004.00 3. Workers' Compensation with limits as required by the State of California; with a waiver of subrogation rights; 4. Employers' Liability with limits of a minimum of $1,000,000.00; and B. Subject to prior approval by OCTA, Licensee may meet the requirements through (i) sell- insurance, (ii) coverage through a joint powers insurance authority (JPIA) which is duly formed under the laws of the State of California, or (iii) utilize a combination of self - insurance and JPIA coverage, or (iiii) commercial insurance policies. C. OCTA, its officers, directors, employees and agents must be designated as additional insured on the Licensee's Comprehensive General and Automobile Liability Insurance policies. Licensee shall furnish OCTA with insurance endorsements and certificates, evidencing the existence, amounts and coverages of the insurance required to be maintained hereunder. D. The coverage shall be primary and any insurance or self - insurance maintained by OCTA shall be excess of the Licensee's insurance and shall not contribute to it. E. Each insurance policy required by this clause shall be endorsed to state that coverage shall not be suspended, voided, cancelled or reduced in coverage or in limits, except only after thirty (30) days prior written notice has been given to OCTA. In the event OCTA learns that Licensee's insurance coverage is terminated and Licensee fails to provide adequate assurances that continuous coverage is being provided, OCTA, at its sole discretion, may obtain such coverage at Licensee's expense. F. OCTA retains the right to increase the amounts of coverage required by this Agreement as it determines are reasonably necessary to protect itself against potential liability caused by entering into this Agreement. OCTA shall give licensee 60 days' notice of the need for it to increase its coverage. By the end of the 60 days, Licensee shall provide proof of such coverage in the manner set forth above. Page 3 of 3 25F -5 25F -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: MEMORANDUM OF UNDERSTANDING WITH THE CONFIDENTIAL ASSOCIATION OF SANTA ANA (STRATEGIC PLAN NO. 7,6) a0 CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: '=• ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 r Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a Memorandum of Understanding with the Confidential Association of Santa Ana, subject to non - substantive changes approved by the City Manager and City Attorney, regarding wages and other terms and conditions of employment for a two -year period beginning on July 1, 2015 and ending June 30, 2017. DISCUSSION The City and the Confidential Association of Santa Ana (CASA) recently completed contract negotiations, resulting in a new Memorandum of Understanding. The provisions of this agreement include: 1) Term: A two -year term, from July 1, 2015 through June 30, 2017. 2) Salary Increase: A 2.5% increase on both July 1, 2015 and July 1, 2016 with a "me too" guarantee to receive a higher salary increase if any other bargaining unit negotiates a greater increase. 3) Contract Reopener: Either City or CASA may request discussion on alternative options for health care coverage should there be a change in the law (i.e., the Affordable Care Act) that impacts future medical plan offerings. 4) Vacation: Effective January 1, 2016, regular and longevity vacation shall be combined into one bank of leave time. 5) Vacation Cash Out: Maximum cash out shall be increased from 60 hours to 80 hours. 25G -1 MOU with the Confidential Association of Santa Ana August 4, 2015 Page 2 6) Salary Administration: Time required to move from Step D to Step E of a salary range will be reduced from 18 months to 12 months. In addition, new employees may be hired at Step E, the top step of the salary range (current starting maximum is Step D). 7) Joint Labor Management Team (JLMT): A JLMT shall be formed to discuss the bargaining unit's proposal for additional responsibilities pay. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #7 — Team Santa Ana, Objective #6 - (Provide a positive workplace environment that supports the health of its employees and celebrates its success and Goals). FISCAL IMPACT This Memorandum of Understanding will result in a cost of $116,000 during fiscal year 2015 -16 and a cost of $232,000 during fiscal year 2016 -17 for a total cost to the City of $348,000 during the term of the Memorandum. Funds are available in the salary accounts of the various agencies with CASA employees. J��J � �(CA.J_ E and S. Rays Executive Director Personnel Services Department Exhibit 1: Memorandum of Understanding, CASA APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Sf2 Executive Director Finance & Management Services Agency 25G -2 JULY 1, 2015 THROUGH JUNE 30, 2017 MEMORANDUM OF UNDERSTANDING BETWEEN CITY OF SANTA ANA AND CONFIDENTIAL ASSOCIATION OF THE CITY OF SANTA ANA 25G -3 TABLE OF CONTENTS ARTICLE SUBJECT PAGE ARTICLE I RECOGNITION 4 ARTICLE II NON - DISCRIMINATION CLAUSE 5 ARTICLE III IMPLEMENTATION 6 ARTICLE IV ATTENDANCE, WORKDAY & WORKWEEK 7 ARTICLE V SALARIES 12 ARTICLE VI ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES 19 ARTICLE VII OVERTIME 26 ARTICLE VIII TRAINING & EDUCATIONAL ASSISTANCE PROGRAM 31 ARTICLE IX HOLIDAYS 34 ARTICLE X VACATION 37 ARTICLE XI OTHER LEAVES OF ABSENCE 43 ARTICLE XII EMPLOYEE INSURANCE 52 ARTICLE XIII RETIREMENT 55 ARTICLE XIV SAFETY 59 ARTICLE XV GRIEVANCE REVIEW PROCEDURE 60 ARTICLE XVI ASSOCIATION RIGHTS 63 ARTICLE XVII DUES DEDUCTION & INDEMNIFICATION 66 ARTICLE XVIII CITY RIGHTS 67 ARTICLE XIX STRIKES & WORK STOPPAGES 69 ARTICLE XX LAYOFFS 70 ARTICLE XXI MISCELLANEOUS PROVISIONS 72 ARTICLE XXII SOLE & ENTIRE AGREEMENT 75 ARTICLE XXIII WAIVER OF BARGAINING DURING THE TERM OF THIS MOU 76 ARTICLE XXIV EMERGENCY WAIVER PROVISION 77 ARTICLE XXV SEPARABILITY PROVISION 78 ARTICLE XXVI TERM OF MOU 79 ARTICLE XXVII RATIFICATION & EXECUTION 80 EXHIBITS EXHIBIT A BASIC SALARY & WAGE SCHEDULE 82 EXHIBIT B ASSIGNMENT OF CONFIDENTIAL ASSOCIATION OF SANTA ANA FULL TIME CLASSIFICATIONS TO SALARY RATE RANGES 83 EXHIBIT C RESOLUTION NO, 81 -75 85 EXHIBIT D 9/80 HARDSHIP CLAIM FORM 98 CONFIDENTIAL ASSOCIATION OF SANTA ANA ICASA� MOU, 2015 -2017 Page 25G -4 TABLE OF CONTENTS (Alphabetical Order) SUBJECT ARTICLE PAGE ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES ARTICLE VI 19 ASSOCIATION RIGHTS ARTICLE XVI 63 ATTENDANCE, WORKDAY & WORKWEEK ARTICLE IV 7 CITY RIGHTS ARTICLE XVIII 67 DUES DEDUCTION & INDEMNIFICATION ARTICLE XVII 66 EMERGENCY WAIVER PROVISION ARTICLE XXIV 77 EMPLOYEE INSURANCE ARTICLE XII 52 GRIEVANCE REVIEW PROCEDURE ARTICLE XV 60 HOLIDAYS ARTICLE IX 34 IMPLEMENTATION ARTICLE III 6 LAYOFFS ARTICLE XX 70 MISCELLANEOUS PROVISIONS ARTICLE XXI 72 NON - DISCRIMINATION CLAUSE ARTICLE II 5 OTHER LEAVES OF ABSENCE ARTICLE XI 43 OVERTIME ARTICLE VII 26 RATIFICATION & EXECUTION ARTICLE XXVII 80 RECOGNITION ARTICLE 1 4 RETIREMENT ARTICLE XIII 55 SAFETY ARTICLE XIV 59 SALARIES ARTICLE V 12 SEPARABILITY PROVISION ARTICLE XXV 78 SOLE & ENTIRE AGREEMENT ARTICLE XXII 75 STRIKES & WORK STOPPAGES ARTICLE XIX 69 TERM OF MOU ARTICLE XXVI 79 TRAINING & EDUCATIONAL ASSISTANCE PROGRAM ARTICLE Vlll 31 VACATION ARTICLE X 37 WAIVER OF BARGAINING DURING THE TERM OF THIS MOU ARTICLE XXIII 76 EXHIBITS: ASSIGNMENT OF FULL TIME CLASSES REPRESENTED BY CONFIDENTIAL ASSOCIATION OF SANTA ANA EXHIBIT B 83 BASIC SALARY & WAGE SCHEDULE EXHIBIT A 82 RESOLUTION NO. 81.75 EXHIBIT C 85 9/80 HARDSHIP CLAIM FORM EXHIBIT D 98 CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 Page 3 25G -5 ARTICLE I 1.0 RECOGNITION 1.1 Pursuant to the provisions of the Meyers - Milias -Brown Act, Government Code Section 3500, et sea., the City of Santa Ana (hereinafter called "the City ") has recognized the Confidential Association of Santa Ana (hereinafter called "CASA ") as the majority representative of the bargaining unit which includes all full -time employees employed by the City of Santa Ana in classifications heretofore designated as "confidential" and which are listed in Exhibit B of this Memorandum of Understanding ( "MOU "). 1.2 Notwithstanding the following provisions of this MOU, the parties agree that they have intended nothing herein to entitle, alter or award Civil Service rights or privileges to any employee represented by CASA who is in the Excepted (Exempt) Service of the City of Santa Ana. 1.3 During the term of this MOU, no substantive issue of representation shall be raised contrary to this MOU except as provided in this MOU or in Resolution No. 81 -75, the Employer - Employee Relations Resolution of the City of Santa Ana (refer to Exhibit C). 1.4 The term "employee" or "employees" as used herein shall refer only to full time CASA employees of the City, in the employee classifications listed in Exhibit B of this MOU, as well as such classifications as may be added hereinafter by resolution of the City Council. 1.5 It is the purpose of this MOU to promote and provide for harmonious relations, cooperation and understanding between the City and employees covered by this MOU. It sets forth the full and entire understanding reached in good faith negotiations regarding the wages, hours, terms and conditions of employment of employees covered by this MOU, which the parties intend to submitjointly and recommend for approval to the City Council of the City of Santa Ana, CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASH MOU: 2015 -2017 25G -6 Page 4 ARTICLE II 2,0 NON - DISCRIMINATION CLAUSE 2,1 The City and CASA agree that they shall not discriminate against any employee because of race, color, gender, sexual orientation /association or perception, age, national origin, ancestry, disability, medical condition, marital status, pregnancy, childbirth or related medical conditions, genetic information, political orreligious opinions oraffiliations, orCASA membership. The City and CASA shall reopen any provision of this MOU for the purpose of complying with any order of a Federal or State agency or court of competent jurisdiction requiring a modification orchange in any provision or provisions of this MOU in compliance with State or Federal anti - discrimination laws. 2.2 Whenever reference is made to the masculine gender, it shall be understood to Include the feminine gender, unless expressly stated otherwise. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 25G -7 Page 5 ARTICLE III 3.0 IMPLEMENTATION 3.1 The parties agree that this MOU shall not be binding upon the parties until the City Council: A. Acts, by majority vote, to formally approve this MOU; and B. Acts to appropriate the necessary funds required to implement the provisions of this MOU that require funding. 3.2 Notwithstanding the foregoing, in the event the City Council fails to take all actions necessary to implement this MOU in a timely manner, the parties understand that they may mutually agree to implement appropriate provisions of this MOU that do not require specific approval by the City Council. 3.3 Implementation shall be effective as of the date the MOU is formally approved by the City Council. If the parties fail to agree to implement provisions of this MOU not requiring City Council approval, then negotiations shall resume upon the request of either party. CONFIDCNTIAL ASSOCIATION OFSANTAANA (CASA) MOU; 2015 -2017 25G -8 Page 6 ARTICLE IV 4.0 ATTENDANCE, WORKDAY & WORKWEEK 4.1 Attendance. Employees covered by this MOU shall be in attendance at their work during hours prescribed by the Department Head or his or her designee(s) and shall not absent themselves without approval of the Department Head or his or her designee(s). 4.2 Hours of Work. Eight (8) hours of work shall constitute a normal workday and forty (40) hours of work shall constitute a minimum workweek, except for employees for whom special schedules have been approved by the City Manager. A. 4/10 Work Schedule. The Department Head, with the approval of the City Manager, may assign employees to a workweek consisting of four (4) ten -hour (10 -hour) days with an additional one -half (1/2) or one (1) hour for unpaid lunch, as negotiated with CASA. The assigned employee shall work four (4) ten (10) hour days and shall have three (3) consecutive days off in a workweek. Upon mutual agreement between the supervisor and employee, the employee may waive his or her right to three (3) consecutive days off in a workweek. The regular workweek shall consist of forty (40) hours. A regular day off shall consist of ten (10) hours. 9/80 Work Schedule. The work schedule described below is known as the "9/80" work schedule. The "9180" work schedule is designed to be in compliance with the requirements of the Fair Labor Standards Act (FLSA). In the event that there is a conflict with the current rules, practices and /or procedures regarding work schedules and leave plans, then the rules listed below shall govern. Employees shall be permitted to work a "9/80" work schedule when authorized by the Department Head and approved by the City Manager. A departmental work unit shall not be permitted to work this schedule if in the discretion of the Department Head and City Manager, the °9/80" work schedule may reduce service to the public. "9180" Work Schedule Defined. The "9/80" work schedule shall be defined as working eighty hours (80) over nine (9) days in a two -week period. An employee shall work eight (8) days for nine (9) hours per day and one day for eight (8) hours, excluding CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOIL: 2015 - 2017 Page 7 25l a one -hour lunch during each work shift, totaling forty (40) working hours in each FLSA work week. a. The Work Week Period. The forty (40) hour FLSA work week period shall be defined as the work period starting from Friday at mid -shift to Friday at mid - shift. No employee working the "9/80" work schedule shall be able to flex their Friday start time nor the time they fake their lunch break, which shall occur in the middle of the day on Fridays. b. The 9/80 Work Period. The "9/80" two -week work period for employees starts Friday mid -shift and continues for fourteen (14) days until Friday mid - shift. During this period, each week is made up of four (4) nine -hour work days (thirty -six hours) and one (1) four -hour Friday for a total of forty (40) work hours in each workweek (e.g., the Friday is split into four (4) hours for the first shift, which is charged to work week one, and four hours (4) for the second shift, which is charged to work week two). C. Work Schedule Changes. Employees shall not be permitted to change their work schedules without prior approval of their supervisor and Department Head. d. Modifications of the FLSA Work Week. Modifications of the FLSA work week period are not permitted unless authorized by the Executive Director of Personnel Services and the City Manager. e. Emergencies. All employees on the "9/80" work schedule are subject to be called to work any time to meet any and all emergencies or unusual conditions that, in the opinion of the City Manager, Department Head or designee, may require such service from any of said employees. 4,3 9/80 Schedule Hardship Claims. Any employee having been authorized to work the "9/80" work schedule who subsequently encounters a personal hardship with his or herwork hours may request an accommodation from his or her Department Head. A "hardship request" shall be limited to an employee's authorized hours of work. An accommodation shall be CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 Pages 25G -10 considered only after the employee has exhausted all other personal options to resolve the hardship. If the employee is unable to resolve his or her problem, the employee may request an accommodation from their Department Head by submitting a hardship claim. The Department Head may authorize an accommodation after reviewing the claim or assign a manager to investigate and recommend a resolution of the hardship claim. The manager may recommend one of the following: A. Approve an appropriate flex schedule that does not disrupt the department's ability to deliver its services or that does not create disruption in the work unit; or Disapprove the employee's proposed solution to resolve the hardship; or C. Reassign the employee to a 5/40 work schedule. The Department Head may accept any one of the manager's recommendations or advance his own to resolve the hardship. D. Hardshir) Claims. The following process shall apply to CASA employees on a 9/80 schedule with hardship concerns: Employees shall be required to explore and exhaust all personal options to resolve the hardship. The employee's efforts to resolve his or her personal situation must be explained on the form. 2. An employee claiming an ongoing hardship due to the 9/80 work schedule should submit a hardship claim form (Exhibit D of this MOU) to the Department Head through his or her manager, The Department Head may authorize an accommodation after reviewing the claim or may assign a manager to investigate and recommend a resolution. 3. If, according to the employee, the hardship claim was not resolved through the Department Head's recommendation, the employee may submit the claim form to the Personnel Services Department, M -24. A Hardship Committee shall be established to assist in the resolution of hardship claims and meets on an as- CONFIDENTIAL ASSOCIATION OF SANTA ANA ICASAI MOU: 2015 -2017 Page 25G -11 needed basis. The Hardship Committee will review the claim and make a recommendation to the Department Head. 4. Hardship claims due'to health reasons, either the employee's or a dependent's, must be supported by medical verification signed by the employee's or dependent's private physician. 5. In cases where a hardship exists, as determined by the Hardship Committee, efforts will be made to identify alternatives with due regard to the employee's request but, with particular concern to the needs of the department. The Department Head has final approval on any work schedule adjustment, If transferred or reassigned to a different department and a hardship continues, a new hardship claim must be filed with the new Department Head. It is the employee's responsibility to notify his or her supervisor if the hardship terminates and return 'to the normal 9/80 work schedule. Inconvenience or preference does not constitute a hardship. 4.4 Overtime Defined. All FLSA nonexempt employees working under the "9/80" work schedule shall earn overtime for all hours worked after the first forty (40) hours in an FLSA workweek as required under FLSA. Employees are required to obtain supervisor authorization before working any overtime. A. Overtime Combensation.Overtimework, and compensation for same, shall follow the provisions stated in Article VII - Overtime. Compensatory Time. Terms and compensation for Compensatory Time shall follow the provisions stated in Article VII - Overtime. 4.5 Leave Benefits. When an employee is off on a scheduled workday under the 119/80" work schedule, nine (9) hours of eligible leave per workday shall be charged against the employee's leave balance; if the day off is a Friday, then eight (8) hours shall be charged. When an employee is off on a scheduled workday under the "4/10" work schedule, ten (10) hours of eligible leave per workday shall be charged against the employee's leave balance. All leaves shall continue under the current accrual, eligibility, request and approval requirements. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 Page 10 25G -12 A. Vacation Leave. Provisions for vacation leave are found in Article X of this MOU, B. Sick Leave, Provisions for sick leave are found in Article XI of this MOU. C. Bereavement Leave. Provisions for bereavement leave are found in Article XI of this MOU. D. Holidays, Provisions for holiday leave are found in Article IX of this MOu. E. Jury Duty Leave. If an employee is called to serve on jury duty during a normal Friday off, or a Saturday, or Sunday, or on a City holiday, then the jury duty shall be considered the same as having occurred during the employee's day off work; therefore, the employee shall receive no added compensation. See Article XI, Section 11.4, Jury and Witness, Leave. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 25G -13 Page 11 ARTICLE V 5.0 SALARIES 5.1 Basic Compensation Plan. There is hereby established a basic compensation plan for all full -time personnel who are now employed or shall in the future be employed in any of the designated classifications of employment represented by CASA as listed in this MOU and its attachments. 5.2 Salary Schedule. The basic salary schedule, attached as Exhibit "B," and made a part hereof as though set forth in full herein, provides numerous salary rate ranges, each comprised of six (6) steps or rates of pay. The steps within each rate range are identified by the letters "AA" through "E" inclusive, with Step "AA" being the lowest step in the range. The purpose of each step and the length of service required for advancement to the next higher step within a particular salary rate range are set forth in Exhibit "A." The assignment of classifications to salary rate ranges far full time personnel is listed in Exhibit B, which is attached and made a part hereof as though set forth herein. 53 Salaries. A. Effective July 1, 2015 CASA members' base salaries for the classifications listed in Exhibit B shall be increased by two and one -half percent (2.5 %). Effective July], 2016 CASA members' base salaries for the classifications listed In Exhibit "B" shall be increased by an additional two and one -half percent (2.5%). Should any other employee bargaining unit of the City obtain a salary rate raise in excess of that set forth in Subsection "A" above, for any period prior to the expiration of this MOU, CASA members shall be granted that higher salary rate raise for the same period as applicable to the granting of that raise to the relevant bargaining unit, except that higher salary rate raise is scheduled to take effect after the expiration of this MOU. 5.4 Application of Basic Compensation Plan. The salary rate ranges discussed in Section 5.2 and attached hereto as Exhibit "B" are monthly salary rate ranges. All full -time employees working in classifications of employment covered by this MOU shall be compensated at a monthly rate, except that CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 Page 12 25G -14 an employee hired for temporary work in a position which has an anticipated duration of less than six (6) months shall be paid at a rate per hour for actual time spent in the performance of the duties of his or her employment. The regular rate of pay shall be computed as provided for by the FLSA, Any hourly rate of pay, defined as the regular hourly rate of pay, shall be computed by dividing the monthly salary rate by 173,33. In determining the hourly rate as herein provided, computation shall be made to the nearest whole cent and a computation resulting in an even one -half cent shall fix the rate at the next higher whole cent. 5.5 Probation. Except for employees in the Excepted Service as defined by the City Charter, and employees re- employed from re- employment lists, the probationary period shall be one (1) yearfrom the date of appointment from an open eligible list (new hire) or a reappointment eligible list (rehire) and six (6) months from the date of appointment from a promotional eligible list. 5.6 Beninning Rates. A new employee of the City of Santa Ana shall be paid the rate shown as Step "AA" in the salary rate range allocated to the classification of employment for which he or she has been hired. In special instances where such new employee possesses unique and exceptional educational training and /or experience qualifications, the Department Head, under whom the employee will serve, may submit a written request and justification to the City Manager for authorization to place such new employee on Step "A," "B," "C," "D" or "E" within the allocated salary rate range, provided that such employee shall be assigned such salary step upon the commencement of his or her service in the classification of employment to which the salary rate range applies and such assignment having once been made shall remain in effect until the employee shall be entitled to advance to the next salary step in accordance with the provisions of this Article. 5.7 Service, The word "service" as used in this MOU shall be deemed to mean continuous, full -time service in the classification in which the employee is being considered for salary advancement, service in a higher classification, or service in a classification allocated to the same salary rate range and having generally similar duties and requirements. Employees hired after the first (1St) working day of the month shall not be credited with "Time in service" for than month when determining the length of service required for salary step advancement. A lapse of service by an employee for a period of time longer than thirty (30) calendar days by reason of resignation, quit, or CONFIDENTIAL ASSOCIATION of SANTA ANA (CASA) MOU: 2015 -2017 Page 13 25G -15 discharge, shall serve to eliminate the accumulated length of service time of such employee for the purposes of this MOU, and such employee reentering the service of the City shall be considered as a new employee, except when he or she is being or will be reappointed as provided in the Santa Ana Municipal Code Section 9 -114 within one (1) year and placed in the same salary step in the appropriate salary rate as he or she was at the time of termination of employment. "Resignation, quit, or discharge" for purposes of this section shall mean separating from full -time City employment altogether, not leaving one position to accept appointment to another position in an unrelated classification outside the career ladder. 5.8 Advancement within Ranges. A. Length of Service Advancements. Afterthe salary of an employee has been first established and fixed under this plan, such employee shall be advanced from Step "AA" to Step "A," from Step "A" to Step "B," from Step "B" to Step "C," or from Step "C" to Step "D," whichever is the next higher step to that on which the employee has been previously paid, effective the first day of the month following the date of completion of the length of service required for such advancement as provided in Section 5.2 and Exhibit A hereof. B. Merit Advances. An employee shall be considered for advancement from Step "D" to Step "E" upon the completion of the required length of service as provided in Section 5.2 and Exhibit A; the effective date of such merit increase, if granted, shall be on the first (Ist) day of the month following the completion of such required length of service. Advancement to Step "E" may be granted only for continued meritorious and efficient service and continued improvement by the employee in the effective performance of the duties of his or her position. Such merit advancement shall require the following: There shall be on file in the office of the Executive Director of Personnel Services a copy of each periodic performance appraisal report required to be made on the employee by the Civil Service Rules and Regulations and /or the City Manager during the period of service time of such employee subsequent 'to his or her last salary advancement. 2. The Department Head, at least twenty (20) calendar days, prior to the anticipated completion of such employee's required length of service, shall file with the City Manager a statement CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 Page 14 25G -16 recommending the granting or denial of the merit increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified by the Department Head as to such recommendations and of the reasons therefore. 3. No advancement in salary above Step "D" shall become effective until approved by the City Manager, except when placement on a salary step above Step "D" results from promotion under the provisions of Section 5.8 of this Article. C. Length of Service Required When Advancement Denied. When an employee has not been approved for advancement to merit Step "E," he or she may be reconsidered for such advancement after the completion of three (3) months of additional service and shall be reconsidered for such advancement after the completion of six (b) months of additional service. This reconsideration shall follow the same steps and shall be subject to the same actions as provided in subparagraphs 13.2 and B.3 of this section. 5.9 Reduction in Salary Steps. Any employee who is being paid at merit Step "E" may be reduced to Step "D" of the appropriate salary range, upon the recommendation of the Department Head, and the approval of the City Manager. Procedure for such reduction shall follow the some procedure as outlined for merit advancements in Section 5.8 above, and such employee may be considered for readvancement under the same provisions as contained in Subsection C of Section 5.8 above. 5.10 Promotional Salary Advancement. When an employee is promoted to a position in a higher classification from a position in a lower classification in the same occupational career ladder, he or she shall be reassigned to Step "AA" in the appropriate salary rate range for the higher classification; provided, however, that if the base salary step currently being paid such employee is already equal to or higher than Step "AA," he or she shall be placed in the lowest step in the appropriate salary rate range as will grant that employee a minimum increase of 5% over his or her current base salary step, inclusive of lead pay, and exclusive of any other assignment or special pay additive or additives such as bilingual pay, shift differential, special skill pay or the like, except when placement at "E" step will not be sufficient to provide a 5% increase. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 25G -17 Page 15 5.11 Demotion. When an employee is demoted to a position in a lower classification, his or her salary rate shall be fixed in the appropriate salary rate range for the lower classification in accordance with the following provisions: A. The salary rate shall be reduced by at least one (1) salary step (approximately 5 %). B. The new salary rate must be within the appropriate salary rate range. C. The new salary rate shall not be higher than the salary step to which the employee would have been entitled had his or her service time in the higher classification been spent in the lower classification. D, If the salary rate recommended by the Department Head is lower than the maximum step permissible under Subsection C above, such recommendation shall be considered a reduction in payin addition to the demotion and shall be handled in accordance with the provisions for salary reductions in Section 5.9 above. 5.12 Reallocation of Salary Rate Ranges. Any employee who is employed in a classification which is reallocated to a different salary rate range from that previously assigned shall be retained in the same salary step in the new salary rate range as he or she had previously held in the prior rate range and shall retain credit for length of service in such step towards advancement to the next higher step. 5.13 Request for Classification Review. Any employee who, for a continuous period exceeding six (6) months, believes he or she is regularly and consistently performing duties and /or responsibilities not in conformance with their classification concept or, duties and /or responsibilities of another classification, may request a classification review of their position through their supervisor to the Department Head. The employee must submit their request on a form specified by the Executive Director of Personnel Services, outlining in writing how they believe their current duties and /or responsibilities differ from their classification concept. A. The Department Head shall review the employee's submitted request and within sixty (60) days shall make one of the following determinations: Will support the employee's request. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASAI MOU: 2015 -2017 Page 16 25G -18 a. If the Department Head supports the employee's request for a classification review, he or she shall forward the request to the Executive Director of Personnel Services along with justification for support of the employee's request. b. The Department Head shall notify the employee that his or her request has been submitted to the Executive Director of Personnel Services. 2. Will not support the employee's request. a. If the Department Head does not support the employee's request for a classification review, he or she shall notify the employee of this decision in writing and set forth the basis for the decision. b. If the Department Head does not support the employee's request, but agrees that some of the duties and /or responsibilities being performed by the employee are those of a higher level City classification, he or she can do the following: Return the employee to performance of the duties and /or responsibilities of their proper classification. Eliminate the higher duties and /or responsibilities being performed by the employee, for which the City has agreed are those for which it shall provide higher compensation. Any employee request for classification review approved by the Department Head shall be forwarded to the Executive Director of Personnel Services. The Executive Director of Personnel Services shall confirm receipt of the request in writing to the employee. Within sixty (60) days of receipt of the request, the Executive Director of Personnel Services shall notify the employee and Department Head of the decision as to whether a study will be conducted. If the Executive Director of Personnel Services determines that a study is appropricPe, the Executive Director of Personnel Services shall so notify the employee and the Department Head in writing and shall provide the CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASAI MOU; 2015 -2017 Page 17 25G -19 employee and Department Head with an approximate start date for fhe study. C. All determinations of the Department Head and the Executive Director of Personnel Services are final. D. All studies and study findings shall require City Manager approval before proceeding. E. All recommendations resulting from study findings require the approval of the City Council and shall be implemented in accordance to the City's Civil Service rules. CONFIDENTIAL ASSOCIATION OF SANTA ANA ICASAI MOU: 2015 - 2017 25G -20 Page 18 ARTICLE Vl 6.0 ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES 6.1 Assignment Pay Differential. Assignment pay differentials, as listed herein and throughout the MOU, shall, in each case, be added individually and separately to the employee's base salary. In no event shall one assignment pay differential be added to the employee's base salary as a basis for fhe calculation of an additional pay differential. A. Employees who are assigned by a Department Head, with the prior approval of the City Manager, to a position requiring the ability to take dictation at a rate of 70 words per minute or better on a regular basis or as an essential or integral element of the work of the position, shall be paid a monthly differential of sixty dollars ($60) above his or her then current base monthly salary step for each full month of such assignment. Full -time incumbents in any classification listed in this MOU who are required by a Department Head or their designee to perform the duties of a Notary Public for the City, in addition to regular duties, shall be paid a monthly pay premium of forty dollars ($40) above his or her then current base monthly salary step. 6.2 Lead Pa v. Incumbents in any classification listed in this MOU who are regularly and continuously assigned to lead a functional unit which includes two (2) or more positions in the some or lower classifications as the incumbent may be compensated forsuch duties upon mutual agreement of the City and CASA and approval of the Department Head and the Executive Director of Personnel Services. This compensation shall be referred to as "lead pay" and shall be calculated at a rate 5% above the employee's then current base salary step. In addition, incumbents in any classification listed in this MOU who are regularly and continuously assigned to perform lead supervisory responsibilities shall receive lead pay compensation at a rate 5% above his or her then current base monthly salary step. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 25G -21 Page 19 6.3 Bilingual Pay. An employee who is assigned by a Department Head or his or her designee to a position requiring bilingual capability in both English and either Spanish, Samoan, Vietnamese or other languages designated by the City Manager, shall be paid a monthly assignment pay differential in accordance with the criteria and amounts set forth below: A. The employee must be certified by the Executive Directorof Personnel Services, or his or her designee, as having satisfactorily demonstrated conversational fluency in both English and the second language for any position requiring bilingual capacity, Positions where it has been determined by the Department Head that bilingual proficiency is essential to carry out duties and responsibilities of a critical and /or emergency nature without ready access to backup assistance, or positions where bilingual public contact is a major, essential or integral element of the work being performed, shall be designated as Primary Bilingual Assignments. A qualified incumbent of such position shall be paid a monthly differential of one hundred seventy -five dollars ($175) above his /her then - current base monthly salary step. C. Positions where it has been determined by a Department Head that regular and frequent bilingual usage is necessary to the performance of duties, but not a major, essential or integral element of the work, shall be designated as Secondary Bilingual Assignments. A qualified incumbent of such position shall be paid a monthly differential of forty dollars ($40) above his or her base monthly salary step for each full month of such assignment, D, The number of such Primary and /or Secondary Bilingual Assignments shall be no larger than the requirements of the department as determined by the Department Head and the City Manager. E. There shall be periodic recertification of such bilingual capability. All assignments to positions set forth in this Article shall be made or revoked at the discretion of the Department Head. G. If the City modifies the amount of bilingual pay for any other bargaining unit during the term of this MOU, CASA agrees to form a Joint Labor Management Team with the City to review bilingual pay provisions and assignments (see also Article XX1, Section 21.3). CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015-2017 Page 20 25G -22 6.4 Shift Differential, A. Generally. An employee in a classification represented by CASA who is continuously and regularly assigned to a schedule of work which requires that he or she actually work a minimum of four and one -half (4'/2) hours between the hours of 5:00 p.m. and 7:00 a,m., shall be paid a shift differential for his or her entire work shift at a rate set 5% higher than his or her then - current base monthly salary step. B. Standby Pay. Employees who are released from active duty but who are required by their department to leave notice where they can be reached and be available to return to active duty when required by the department at any time ocher than their regularly scheduled working hours, shall be said to be on standby duty. Effective no later than the first (1st) day of the second (2nd) payroll period following City Council approval of this MOU, such employees shall receive two hundred dollars ($200) per week when assigned to be on standby duty. 6.5 Temporary Upgrade Assignment Pay. In order to provide an equitable method of compensating employees who are assigned temporarily to a vacant, full -time, budgeted, higher -level position the following shall apply: A. General Guidelines Temporary Upgrade Assignments shall be limited to the temporary filling of vacant, full -time, budgeted positions due to the termination, promotion or authorized long -term absence of the incumbent. A temporarily vacant position need not be a position without an incumbent. 2. Each such assignment may be terminated at anytime, but in no event shall such assignment continue beyond one hundred eighty (180) days of such assignment. 3. Prior to recommending to the City Manager that a pay differential for a Temporary Upgrade Assignment be granted, the Department Head shall make the following determinations: a. The duties and responsibilities of the position to be filled are of such nature that they cannot remain unassigned CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 Pgye 21 25G -23 pending the return to duty of the absent incumbent or preparation of an eligible list, whichever is applicable. b. It is not practical to assign the duties of the vacant position to any other employee or employees in the same or higher classification. 4. The City Manager or his or her designee must give written approval of all Temporary Upgrade Assignments involving an increase in pay for the appointee. B. Eligibility. Regular, full -time employees shall be eligible to receive Temporary Upgrade Assignment Pay if the work assumed encompasses the majority of the typical duties and responsibilities of the vacated higher -level position, and the employee meets the qualifications outlined in B.2, below. a. Employees in the following categories shall not be assigned to Temporary Upgrade work unless specifically authorized by the City Manager: i. Non - permanent employees (Probationary, Part - time, Seasonal, etc.). ii. Employees performing work above their regular classification in a training capacity. 2. To qualify for temporary upgrade assignment pay, employees must serve in an acting capacity in the higher -level classification as follows: o ten (10) consecutive working days of eight (8) hours each; or o eight (8) consecutive working days of ten (10) hours each for employees working an alternative work schedule; or o any combination of consecutive working days consisting of nine (9) hours each and one (1) working day consisting of eight (8) hours, for a CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 - 2017 Page 22 25G -24 total of 80 hours of work for employees working the "4/80" work schedule. a. A permitted absence of two working (2) days or less during such ten (10) day period shall not be deemed to void such consecutive service; however, the days of absence shall not be counted in the computation of eligibility to qualify for the temporary upgrade assignment Pay. b. In computing qualifying service rendered, only full days of actual duty shall be included, and partial days shall not be combined to make full days unless they are normally granted holiday hours. Normally granted holidays will be included in computing actual duty days. C. Employees must requalify for a Temporary Upgrade Assignment if the employee has not worked in this specific upgrade assignment for a period of eighteen (18) consecutive months or longer. The employee shall only be considered to work in a higher classification if such work is duly and specifically authorized by the employee's Department Head. 3. Whenever practicable, the appointing authority shall rotate Temporary Upgrade Assignments among all qualified employees. C. Payment. On the next consecutive working day following the qualification period for temporary upgrade that an employee has been serving in a Temporary Upgrade Assignment, and for each additional consecutive working day the employee so serves, he or she shall receive the beginning rate (Step "AA ") assigned to the higher classification or the lowest rate in that range which is at least 570 higher than the current base salary rate he or she normally receives (inclusive of lead pay and exclusive of any other assignment or special pay additive or additives), whichever is greater, except when placement at "E" step shall not be sufficient to provide the 5% increase. CONFIDENTIAL ASSOCIATION OF SANTA ANA ICASAI MOU', 2015— 2017 Page 23 25G -25 During the term of this MOU, if an employee has worked in a higher classification for the required minimum number of consecutive work days to qualify for temporary upgrade assignment pay, the employee shall thereafter receive upgrade pay for each day the employee is assigned to work in the higher classification during the term of this MOU. 2. Assignment or special pay additives, such as bilingual pay, shift differential, special skill pay, etc., paid to an employee prior to becoming eligible for Temporary Upgrade Assignment Pay, shall not be considered in computing the amount of higher pay to which he or she is entitled in Subparagraph 6.5C above. If the special circumstances upon which the additive is based are also applicable to the Temporary Upgrade Assignment and the employee remains eligible for such pay while in the temporary upgrade position, this amount shall be added to the new salary rate range. 3. Temporary Upgrade Assignments which entail moving on employee into a classification represented byan employee unit other than that which represents his or her permanent classification shall not include any change in fringe benefits for the affected employee, 4. While working in a Temporary Upgrade Assignment, an employee shall continue to accrue, and have recorded, general, special or normal salary step increases in the employee's permanent position; however, such salary increases shall be paid only to maintain the minimum five percent (5 %) differential above the salary to which an employee is entitled in his or her permanent position. 6.6 Confidential Premium - An employee who is routinely and consistently assigned to sensitive positions by a Department Head, involving labor negotiations which require trust and discretion, in accordance with Government Code section 3507.5, will be paid of a rate set 2.5% above his or her then current base monthly salary step. 6.7 All assignments of personnel to positions set forth in Sections 6,1 through 6.6 above shall be made or revoked at the discretion of the Department Head. CONFIDENTIAL ASSOCIATION OF SANTA ANA ICASAI MOU: 2015 -2017 25G -26 Page 24 6.8 Career Development Incentives. Employees hired in a classification which requires a specialized certificate as a prerequisite to hiring, either upon appointment or by the time of the employee's passage of probation ( "regular appointment "), shall not be eligible for career incentive pay forthat prerequisite certificate. However, they shall be eligible for career incentive pay for any other certificates approved for their classification. In no event shall the application of this Career Development Incentive provision result in an individual being eligible to earn more than 12.5% above his or her current monthly base salary step. 6.9 Joint Labor Management Team /Additional Responsibilities Pay. The Parties hereto agree that upon request made after October 1, 2015 by CASA to the Executive Director of Personnel Services that the Parties shall meet and form a Joint Labor Management Team (JLM) for the purpose of exploring the feasibility, specifics and administration of an "additional responsibilities pay" additive as outlined by CASA during the negotiations of this MOU. The parties agree that the final decision on the recommendation of the adoption of this additive shall be made by the Executive Director of Personnel Services, and that there is no guarantee that the efforts of the JLM will result in a recommendation for adoption. The JLM shall cease to exist as of June 30, 2017, and this section 6.9 shall be deemed to be removed from this MOU as of that date. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 - 2017 25G -27 Page 25 ARTICLE VII 7.0 OVERTIME 7.1 General Policy for Overtime Work. When it shall be determined to be in the public interest for employees to perform overtime work, or in an emergency situation, the City Manager, the Department Head, or a duly authorized representative of the City Manager or the Department Head, may require an employee to perform overtime work. 7.2 Definition. Overtime work for those on a 5/40 work schedule is defined as: A. That authorized or required time worked in excess of the normal workday, tour of duty, or workweek schedule for the particular classifica lion and organizational unit of an employee. A workweek is a fixed and regularly recurring period of 168 consecutive hours - 7 consecutive 24 -hour periods - as designated by the appointing authority. An employee's work schedule within the workweek shall not be changed to avoid payment of overtime; provided, however, nothing shall abridge management's right to establish and change work schedules and assignments in accordance with the rights of management contained in Article XVIII. B. Work on observed holidays or work on any regularly scheduled non - work day of which there shall be two (2) per week, if work on any regularly scheduled non -work day is worked at management's direction. 7.3 Computation of Forty (40) Hour Workweek. In computing the forty (40) hour workweek, the following type of work hours shall be included in the computation: actual work time, jury /witness leave, and bereavement leave. Any combination of these work hours in excess of eight (8) hours per day (except for employees on a 4/10 or the 9/80 work schedule) or forty (40) hours per week shall entitle the employee to overtime compensation. Paid time off for vacation leave, all unpaid leave, Association release time and compensatory time off shall not be credited towards the forty (40) hour workweek. No employee shall work overtime hours unless authorized by the department head or his /her designee. CONFIDENTIAL ASSOCIATION OF SANTA ANA iCASAI MOU: 2015 -2017 25G -28 Page 26 7.4 All FLSA nonexempt employees working under the "9/80" work schedule shall earn overtime for all hours worked after the first forty (40) hours in a FLSA work week as required under FLSA. Should the City modify the manner bywhich it pays overtime (FLSA) to members of other miscellaneous bargaining units, CASA agrees to reopen this topic for discussion. 7.5 Compensation for Overtime. A. The preferable method by which overtime shall be compensated is by monetary payment, at one and one -half (1.5) times the employee's regular rate of pay, subject to the provisions of Subsection C below. B. Should the Department Head determine that the best interests of the City will be served thereby, he or his designee may permit an employee to be compensated for overtime work by taking paid compensatory time off in lieu of monetary compensation. C. Employees shall have the option with Department Head approval to convert a maximum of eighty (80) hours of time and one -half paid overtime (in compensation for 53 1/3 [fifty -three and one - third] overtime hours worked) to time and one -half compensatory time off benefits. Such compensatory time off shall be taken at the discretion of the employee when requested at least 72 hours in advance, provided it does not unduly disrupt the operations of the agency. If the Department Head or his or her designee subsequently denies the requested compensatory time off, the employee and department shall mutually agree on a future date within one year when the employee can use the paid compensatory time off, If the requested compensatory time off is not used within that one year, such compensatory overtime will be paid off in cash. D. The compensatory time bank for employees covered by this MOU has a maximum accrual limit of one hundred and sixty (160) hours, E. Because each hour of overtime worked is accrued on a time and one - half basis, compensatory time off shall be taken, and monetary payment shall be paid, on a straight -time basis. Also, upon termination, any earned, unused compensatory time off ( "time- on -the- books") shall be paid on a straight -time basis. F. Time off with pay to compensate for overtime worked may be taken in increments as small as a half (1/2) hour. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 page 27 25G -29 G. If compensatory time off is used in excess of that available, such excess compensatory time off shall first be deducted from any available vacation benefits, after which it shall finally be deducted from the next scheduled wage or salary payment. H. Time off with pay as compensation for overtime may not be granted or taken in advance of the overtime work for which the time off compensates. Before compensatory time off with pay may betaken, as herein provided, the overtime worked must have been recorded on official payroll records at or about the time the overtime work was performed. In the absence of such recording, no compensatory time off with pay will be permitted. Upon an employee's appointment to a position in which overtime may not be earned or upon an employee's separation from employment with the City by resignation, retirement, layoff or otherwise, he or she shall forthwith be compensated for any overtime accumulated to the time immediately preceding such promotion or separation. 7.6 No Effect on Other Benefits. Overtime work shall not apply to the earning of employee benefits (retirement, holidays, vacation accrual, sick leave accrual and employee insurance benefits), toward the completion of probationary period, or to progression within salary rate range. 7.7 Overtime Work to be Minimized. To the extent that he or she is reasonably able to do so, the Department Head or his or her designee shall arrange work programs to minimize overtime work. Necessary overtime work shall be apportioned among employees of like classification and assignment, 7.8 Call -Back Duty. Any employee covered by this MOU who is recalled to active duty from off -duty, shall be entitled to overtime pay at the rate of one and one -half )1 1/2) times the normal hourly pay rate for such employee for time actually worked after reporting to the place of duty, or three (3) hours pay at the normal rate of pay, whichever is greater. 7.9 Declaration of State of Emergency. Upon the occurrence of fire, flood, earthquake, strike, riot, or other catastrophe or emergency which directly affects city operations or the welfare of the City's citizens, the City Manager may declare a state of emergency to exist. Upon the declaration of a state of emergency, the City Manager may require any or all regular full -time CONFIDENTIAL ASSOCIATION OF SANTA ANA ICASAI MOU: 2015 -2017 Page 28 25G -30 employees of the City to work overtime or off -shift as he or she shall determine, to protect life and property within the City. 7.10 Applicability of Fair Labor Standards Act. The parties agree that if the applicability of the Fair Labor Standards Act to local governmental entities is eliminated by either legislative orjudicial action, they shall meet and confer regarding any proposed changes to this MOU; however, no such changes shall be made except on mutual agreement. 7.11 Reopener. If, during the term of this MOU, the City modifies the manner in which it pays overtime (pursuant to the Fair Labor Standards Act), the City and CASA agree to reopen this provision of the MOU and commence discussions regarding the City's modifications to overtime payments. 7.12 Court Appearance. Compensation for court appearance by employees covered by this MOU shall be as follows: A. For each required court appearance made by an employee during his or her off -duty time in regard to City business, the employee shall be paid overtime for the period of time from their arrival at court until they are released from court or the court session closes for that day, However, in no case shall an employee receive less than two (2) hours overtime for a court appearance during his or her off -duty hours. If separate court appearances are made both in the morning and afternoon of a particular day, a minimum of two (2) hours overtime shall be allowed for each session attended. If the employee is not released from a morning session and must remain available for afternoon court, the employee shall be paid overtime for all hours the court is in session that day. The employee must provide a copy of the subpoena requiring his or her attendance to initiate payroll procedures. B. A subpoenaed employee scheduled to appear in court on City business during off -duty time may be placed on standby status by the Department Head or his or her authorized representative if the employee can respond to the court, if called, within 60 minutes of the employee's notification. In the event such off -duty employee is on standby status during any court session and is not required to appear in court, such employee shall be compensated two (2) hours on a straight time basis, for each court session. Such employee may elect, in lieu of paid time, two (2) hours of compensatory time off for standby CONFIDENTIAL. ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 Page 29 25G -31 time and not appearing in court, with the approval of the Department Head. If such off -duty employee on standby actually appears in court, he or she shall be compensated as provided in Subsection A. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 25G -32 Page 30 ARTICLE VIII 8.0 TRAINING & EDUCATIONAL ASSISTANCE PROGRAM 8.1 Purpose. A. To encourage the employees of the City of Santa Ana to take college courses and special training courses which will better enable them to perform their present duties and prepare them for increased responsibilities. B, To provide financial assistance to eligible employees for education and training. C. To establish eligibility requirements, conditions and procedures whereby such assistance may be provided. 8.2 Eligibility. A. Applications for tuition reimbursement shall be considered only from full -time, permanent City employees who have completed the probationary work test period. B. Reimbursement is not authorized for courses for which the employee is receiving financial assistance from other sources such as G.I. Bill, scholarships, etc, C. Applications shall be approved only for courses directly related to the employee's job or directly related to a promotional position in the employee's occupational specialty, D, Courses not ostensibly related to the employee's job, but which are required to qualify for a degree that is directly related to his or herjob, may be reimbursable only after all required occupationally related courses have been completed, E. Prior to receiving tuition reimbursement, employees must submit documentary proof of having received a grade of not less than "C" for the course, If objective ratings are not rendered for a specific course, then a certificate of successful completion must be submitted. CONFIDFNTIAL ASSOCIATION Or SANTA ANA(CASA) MOU: 2015 -2017 25G -33 Page 31 Approval shall be limited to courses given by accredited colleges and universities, city colleges or adult education courses under the sponsorship of a Board of Education. Workshops, seminars, conferences and similar activities not identifiable as a formal course of insiruclion within the curriculum of a recognized educational institution, do not fall within the purview of this program but may be authorized and funded by the interested department without coordination with the Personnel Services Department, . G. When an employee is required by his or her Department Head to attend a particular course or seminar, the expense shall be borne entirely by the department. 8.3 Reimbursement. A. Reimbursement shall be based on the cost of tuition, required enrollment /registration fees, miscellaneous fees (health, parking, student union fees, etc.) and all required texts, eBooks and related material for each course. Additional expenses such as meals are not reimbursable. Costs for required texts are eligible for one hundred percent (100 %) reimbursement subject to the following conditions: A duplicate of the required text(s) and eBooks was unavailable for loan from the departmental libraries prior to the commencement of course work; or 2. Any textbooks) purchased by the City shall be submitted to the employee's respective departmental library in order that such text(s) may be made available to all employees. C. Maximum tuition reimbursement is two thousand five hundred dollars ($2,500) per fiscal year, which the employee may claim either as costs are incurred during the year or as one lump sum. D. Employees shall be limited, for purposes of tuition reimbursement, to a maximum of two (2) collegiate level courses of not more than a total number of units which is equivalenf to six (6) "semester" units per semester. One (1) "quarter" unit shall equal two - thirds (2/3) of one (1) "semester" unit, CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 Page 32 25G -34 8.4 Procedures. A. An employee who desires to seek tuition reimbursement under the provisions of this Article must complete, in duplicate, an Application for Training and Educational Assistance form and submit it to his or her Department Head prior to the commencement of class(es) or the payment of fees for regisfration /tuition. B. The Department Head shall recommend approval or disapproval based on established criteria and budgetary constraints, and then shall forward the application to the Executive Director of Personnel Services. C. The Executive Director of Personnel Services or his or her designee shall approve or disapprove the application for the City Manager. One copy shall be returned to the employee and the duplicate shall be retained by the Personnel Services Department. It is advisable that the applicant accomplish the procedure so for described in order to ascertain the eligibility of the intended course of instruction for reimbursement under the provisions of this policy prior to the inception of the course or disbursement of personal funds. D. The employee shall submit his or her copy of the approved application to the Personnel Services Department within three (3) months after he or she has completed the course and received his or her final grade. Such employee must include official verification of his or her final grade with appropriate receipts for tuition and textbook costs. These shall be returned to the employee upon request. Applications not submitted to the Personnel Services Department within three (3) months following completion of the course become void. Upon receipt of the application and required documentation, the Personnel Services Department shall determine whether the completed course of instruction is compatible with the provisions of this Article and shall compute the amount of reimbursement, authenticate the application and forward it to the employee's Department Head. The Department Head shall then authorize the Finance & Management Services Department to reimburse the employee the approved arnount out of the budget of the department concerned. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU; 2015 - 2017 25G -35 Page 33 ARTICLE IX 9.0 HOLIDAYS 9.1 Legal holidays observed by full -time permanent and probationary employees of the City of Santa Ana are as follows: o January 1 - New Year's Day. o Third (3rd) Monday in January - In observance of Martin Luther King, Jr.'s Birthday. a Third (3rd) Monday in February - In commemoration of President's Day. o Last Monday in May - In commemoration of Memorial Day. c July 4th - In observance of Independence Day. o First (1 st) Monday in September - In observance of Labor Day. o November 11 th - In observance of Veterans' Day. c Fourth (4th) Thursday in November - In observance of Thanksgiving Day. o The Friday immediately following Thanksgiving Day. o Last working day before Christmas Day, unless Christmas Day falls on Thursday, in which instance, the day following Christmas Day shall be observed in lieu thereof. o December 25th -In observance of Christmas Day. o One (1) Floating Holiday - Any workday selected by the employee with prior permission of the employee's supervisor. o Every day proclaimed by the Mayor of the City as a holiday for City employees. o Any holiday which falls on a Sunday shall be observed on the following Monday. CONFIDENTIAL ASSOCIATION OF SANTA ANA ICASAI MOU: 2015 -2017 25G -36 Page 34 o Any holiday which falls on a Saturday shall be observed on the Friday preceding the holiday. 9.2 Holidays - Shift Personnel and Employees on Alternate Work Schedules, A. Full -time employees whose regularly scheduled days off are other than Saturday and Sunday shall be entitled to receive twelve (12) eight - hour working days off during the year in lieu of the holiday benefits specified in Section 9.1 above. However, employees on a 9/80 work schedule shall be credited with 96 hours of Holiday Time at the beginning of every calendar year in lieu of twelve (12) holidays in the year. Holiday time for employees on a 9/80 work schedule shall be posted as follows: If a holidayfalls on a regularly - scheduled nine (9) hour workday (Monday, Tuesday, Wednesday or Thursday), nine (9) hours of holiday time shall be posted. c If a holiday falls on a regularly - scheduled eight (8) hour workday (Friday), eight (8) hours of holiday time shall be posted. o If a holiday falls on an employee's regularly - scheduled day off work, the employee shall receive credit for eight (8) hours of holiday time. If any employee on a 9/80 or 4/10 work schedule separates from employment prior to December 31 of any year and has already exhausted 96 hours of holiday time, the value of hours not yet accrued but used shall be deducted from the final paycheck. B. Substitute holidays may be scheduled by the Department Head or his or her designee, normally during the same month that the holiday is observed by other City employees. An employee entitled to time off in lieu of holidays shall receive that time off in proportion to his or her service at full pay in such capacity during the year. 9.3 Modified Holiday Schedule -- Employees Assigned to the Library. Employees assigned to the Library shall, during the term of this MOU, observe holidays on the dates specified in Section 9.1 above. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 25G -37 Page 35 9.4 A newly appointed employee must actually work at least one (1) day preceding the day a holiday listed in Section 9.1 actually occurs in order to receive credit for such holiday during the month in which it occurs, An employee separating from the service of the City must actually work of least one (1) day following the day a holiday listed in Section 9,1 actually occurs in order to receive compensation for the holiday. A newly appointed employee must complete six (6) months of continuous full -time service in order to receive credit for the Floating Holiday listed in Section 9.1 above. 9.5 Holiday time off may only be taken in increments of eight (8) hours, unless the employee is assigned to a 4/10 or9 /80 work schedule. Employees assigned to the 4/10 work schedule must use their holidays in ten (10) hour increments. Employees assigned to a 9/80 work schedule must use their holidays in nine (9) hour increments. 9.6 If a holiday falls on an employee's Friday off, the employee must then take their holiday off before or after the regular holiday as their holiday off with supervisor and Department Head approval. If the employee cannot take their holiday off before or after the regular scheduled holiday off, the employee shall bank eight (8) hours of holiday leave to be used at a later date with the supervisor's approval. 9,7 Holiday benefits may not be carried over from one (1) calendar year to the next. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 25G -38 Page 36 ARTICLE X 10.0 VACATION 10.1 Purpose. It is the policy of the City to grant employees vacation leave in order to provide them with a break in their regular work schedule and this purpose shall be used as a guide in the administration of the provisions of this Article. 10.2 Vacation Period. A. Effective January 1, 2016, the regular and longevity vacation accruals of bargaining unit members shall be combined into one single vacation bank. The accrual rates will remain the same. However, after January 1, 2016 there will no longer be a reference to longevity vacation. Longevity vacation earned but not advanced in 2015 will be credited to the employee's vacation bank effective January 1, 2016. Thereafter, members shall accrue the combined vacation with pay on a monthly basis as set forth in the following table. Completed Years Annual Vacation Hours Accrued Monthly Accrual Rate 1 80 6.67 2 80 6.67 3 120 10.00 4 120 10.00 5 120 10.00 6 124 10.33 7 128 10.67 6 132 11.00 9 136 11.33 10 140 11.67 11 144 12.00 12 148 12.33 13 152 12.67 14 156 13.00 15 160 13,33 CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 25G -39 Page 37 16 168 14.00 17 176 14.67 18 184 15.33 19 192 16.00 20 or more 200 16.67 B. An employee who has completed less than one year's service during the calendar year shall receive a proportionate fraction in accordance with the amount of service to his or her credit during the year; provided, however, no employee shall be entitled to, or receive payment for, any vacation until he or she has completed six (6) months of continuous service. C. On or after the first (1 sf) day of the month following completion of six (6) months of continuous full -time service, an employee may be allowed to take all or a proportionate fraction of his or her earned vacation, subject to scheduling approval of the employee's supervisor. D. Vacation time off may be taken in increments as small as one -half ('/2) hour, with fractional usage rounded upward to the next higher multiple of one -half ('/2). E. Computation of Vacation. In computing vacation, each municipal holiday that occurs during the vacation, and that falls on a day which the employee would have worked had he or she not been on vacation, shall be deducted from the computation so that one (1) additional day of vacation shall be allowed to the employee unless departmental practice provides some other manner of compensating for municipal holidays. Should an employee be confined to a hospital for sickness or injury while on authorized vacation, each full day of such confinement, when confirmed by a physician's statement and approved by the Department Head, may be deducted from the computation of vacation expended and charged against the employee's accumulated sick leave. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 25G -40 Page M 2. No employee shall have a right to accumulate or split his or her vacations, but the same may be allowed or required by the Department Head. The time at which an employee shall take his or her vacation shall be determined by the Department Head, with due regard for the wishes of the employee and particular regard for the needs of the service. 3. A period of earlier service does not apply toward vacation accumulation when an employee has had a break in continuous service, unless the break in service is concluded by reappointment, as provided in Section 9-114 of the Civil Service Rules and Regulations, or by reemployment from layoff within one (1) year, Leave of absence without pay, as provided in Article Xl, Section 11.1E (Sick Leave - Extended), Article XI, Section 11.8 (Aufhorized Absence Without Pay - Long Term) and Article XXI, Section 21.2 (Catastrophic Leave Donation) herein, does not constitute a break in continuous service as used in this section; however, the leave of absence period shall not be applied toward the accumulation of vacation. Absence on military leave followed by reinstatement, as provided in Section 9 -143 of the Civil Service Rules and Regulations, does not constitute a break in service, and the period of absence on such military leave shall be applied toward the accumulation of vacation. Vacation Buy -Back. Employees covered by this agreement are eligible to require the City to buy -back up to eighty (80) hours of their banked vacation per calendar year. 10.3 Longevity Vacation. A. Longevity vacation accrual shall be operative only through December 31, 2015. Effective January 1, 2016, vacation accrual shall be governed solely by Section 10.2 B. Each permanent employee is granted additional work days of vacation leave with pay for each completed year of full -time, continuous city service as set forth in the following table. This additional vacation shall be designated longevity vacation. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 25G -41 Page 39 C. No employee becomes eligible for longevity vacation until completion of the sixth (6th) year of continuous service, and each employee continues to earn the maximum of ten (10) working days (80 hours) of longevity vacation for each completed year of service in excess of twenty (20) years. 10.4 Limitation on Vacation. A. With the exception of a retiring employee, no employee is granted, and no employee shall be allowed to take any vacation leave with pay in excess of 'fifty (50) working days (400 hours) in any one year. 10.5 Vacation Carry -Over A. No employee may carry over from one (1) calendar year to the next, more than the maximum vacation carryover as set forth in the following table. Any vacation not used beyond the maximum carryover amount from year to year is forfeited, meaning that no pay shall be received for such unused vacation at any time. With respect to any vacation forfeited in 'this manner, this provision constitutes a waiver of any rights to vested vacation benefits under California Labor Code section 227.3, CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 25G -42 Faye 40 Hourly Eauivalent Completed Years Additional Days of Additional Days 6 /2 4 7 1 8 8 1 '/2 12 9 2 16 10 21/2 20 11 3 24 12 31/2 28 13 4 32 14 41/2 36 15 5 40 16 6 48 17 7 56 18 8 64 19 9 72 20 10 80 C. No employee becomes eligible for longevity vacation until completion of the sixth (6th) year of continuous service, and each employee continues to earn the maximum of ten (10) working days (80 hours) of longevity vacation for each completed year of service in excess of twenty (20) years. 10.4 Limitation on Vacation. A. With the exception of a retiring employee, no employee is granted, and no employee shall be allowed to take any vacation leave with pay in excess of 'fifty (50) working days (400 hours) in any one year. 10.5 Vacation Carry -Over A. No employee may carry over from one (1) calendar year to the next, more than the maximum vacation carryover as set forth in the following table. Any vacation not used beyond the maximum carryover amount from year to year is forfeited, meaning that no pay shall be received for such unused vacation at any time. With respect to any vacation forfeited in 'this manner, this provision constitutes a waiver of any rights to vested vacation benefits under California Labor Code section 227.3, CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 25G -42 Faye 40 B. In noway is the maximum vacation carryover for each calendar year as set forth in the table below meant to be considered a cap on hours an employee can accrue throughout the calendar year. Completed Years 2014 Carryover Extended Into 2015 Revised Max Carryover into 2016 Max Carryover into 2017 Max Carryover into 2018 Max Carryover into 2019 and for all years forward 1 80 80 80 80 80 2 160 160 160 1 160 160 3 280 260 240 220 200 4 320 300 280 260 240 5 360 330 300 270 240 6 364 334 304 274 244 7 372 342 312 282 252 8 384 353 322 291 260 9 396 364 332 300 268 10 408 375 342 309 276 11 420 386 352 318 284 12 432 397 362 327 292 13 444 408 372 336 300 14 456 419 382 345 308 15 468 430 392 354 316 16 484 445 406 367 328 17 504 464 424 384 344 18 528 486 444 402 360 19 552 508 464 420 376 20 576 530 484 438 392 21 592 544 496 448 400 22 .600 550 500 450 400 23 600 550 500 450 400 24 600 550 500 450 400 25 600 550 500 450 400 10,6 Excess Usaae. If vacation time off is used in excess of that available, such excess vacation time off will, first, be deducted from any available compensatory time off accrual and if none, then from the next scheduled salary payment. cONnDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOIJ: 2015 -2017 25G -43 Page 41 10.7 Effect of Extended Sick Leave on Vacation Accrual. Absence on sick leave for a period in excess of fifteen (15) consecutive calendar days shall not be considered as service time for vacation accrual purposes. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU; 2015 -2017 25G -44 Page 42 ARTICLE XI 11.0 OTHER LEAVES OF ABSENCE 11.1 Sick Leave. A. Definition. Except as otherwise provided below, sick leave shall be deemed to mean absence from duty of an employee because of illness, injury, medical, or dental appointment that prevents the employee from performing the duties of his or her position, and shall be deemed to include time in quarantine resulting from exposure to a contagious disease. Accrual. Each employee shall be entitled to, and shall earn, one (1), eight (8) hour working day of sick leave for each full calendar month of service in which he is employed by the Citywith full pay; provided, however, any absence on sick leave for a period of time greater than fifteen (15) consecutive calendardays in any one (1) calendar month shall not be considered to be service entitling an employee to earn sick leave as aforesaid. Subject to the other provisions in this Article, sick leave shall accrue to the credit of each employee to the extent that it is not used, C. Authorized Only When Necessary. Use of sick leave by City employees shall be authorized as follows; 1. Sick leave is not a right which an employee may use at his or her discretion, but shall be allowed only in cases of necessity and actual sickness or disability, or as authorized in Subsection J below. 2. When an accepted industrial illness or injury has caused an employee's absence, for which benefits are required under the State Workers' Compensation Insurance and Safety Act, paid sick leave shall be allowed such employee during the first three (3) days of the statutory waiting period. If the workers' compensation related illness or injury continues past the initial three (3) consecutive days, the employee shall have the three (3) used sick days recredited to his or her account if the employee remains off work longer than fourteen (14) days. Paid sick leave shall continue until the fourth (41h) day when the City pays the employee workers' compensation benefits for such CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 Page 43 25G -45 illness or injury. If the employee does not have sufficient accumulated sick leave at the commencement of such industrial illness or injury, they shall be advanced sick leave for this purpose. Subsequently, the City shall deduct an equal amount previously advanced from any sick leave accrued by the employee until the total amount is recovered. If the employee terminates before recovery of all advanced sick leave, the City shall deduct the unrecovered cost of sick leave from such terminated employee's final paycheck, to the extent possible. The City may authorize employees to use sick leave, vacation, or compensatory time for approved workers' compensation medical appointments as specified herein. The City may authorize use of such leave for City approved medical appointments wheneversuch appointments cannot be secured outside the employee's regular workday, and salary continuation or workers' compensation benefits are not available. D. Limit. The maximum total accumulation of sick leave with pay shall be two hundred (200), eight (8) hour working days. Sick leave usage of less than a full day shall be charged in minimum increments of one - half ('/2) hour, with fractional usage rounded upward to the next higher multiple of one -half ('/2), E, Extended. The City Manager may grant leave up to six (6) months without pay to an employee who has exhausted all of his or her accrued sick leave if a licensed physician designated by the City Manager indicates that the employee shall be sufficiently recovered to return to his or her employment within a six (6) month period. Prior to the expiration of the additional time, the employee may return to his or her position provided that the employee has a certificate from a licensed physician stating that the employee is able to perform all the duties of his or her position without qualification. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year without pay. F. Extension by Use of Accrued Compensatory Time Off and /or Vacation. After an employee's sick leave has been exhausted, he or she maybe granted permission to use, first, any unused compensatory time off CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA MOU: 2015 -2017 Page 44 25G -46 benefits, then, any unused vacation leave benefits he or she may have accrued. G. Notice. The employee taking sick leave shall notify his or her immediate supervisor either prior to or within four (4) hours after the time he or she is scheduled to report for duty, or as otherwise established by departmental regulations. When the absence is more than three (3) consecutive working days, the employee must present to his or her Department Head a physician's certificate stating that, in the physician's opinion, the employee could not report to work because of such illness or injury and that the employee is sufficiently recovered to safely return to work. A physician's certificate or other satisfactory written evidence of actual illness or injury may be required after an absence of any duration less than three (3) days. H. Denial. No employee shall be entitled to sick leave with pay while absent from duty because of sickness or injury purposely self - inflicted or caused by willful misconduct; or, sickness or disabilily sustained while engaged in employment other than employment by the City, for monetary gain or other compensation, or by reason of engaging in business or activity for monetary gain or other compensation. I. Excess Usage. If sick leave is used in excess of that due and available an employee, such excess sick leave will, first, be deducted from any available compensatory time off benefit; second, from any available vacation leave benefit; finally, deducted from the next scheduled salary payment. J. Necessify Leave. Each employee shall be afforded the opportunity to use up to 48 hours of sick leave per calendar year, on a non- cumulative basis, as personal necessity leave. All of this personal necessity leave may be used to attend to an illness of a child, parent, or spouse of the employee. As used in this section, "child" means a biological, foster, or adopted child, a stepchild, a legal ward, or a child of a person standing in loco parentis; "parent" means a biological, foster, adoptive parent, a stepparent, or a legal guardian; and "immediate family" means any member of the employee's household related by blood or marriage, a parent, parent -in -law, spouse, child, brother, sister, grandparent, or grandchild of the employee, regardless of residence, or any other relative of the CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU; 2015 -2017 Page 45 25G -47 employee by blood or marriage, where it can be established by the employee that the employee's presence is required to handle emergency arrangements and /or other matters. Up to three (3) days of fhis personal necessity leave may be used: 1. To attend to a serious accident to members of the employee's immediate family; 2. For childbirth; 3. To cope with imminent danger to the employee's family, home, or of her valuable property; 4. When the existence of external circumstances beyond the employee's control make it impossible for him or her to report for duty; or 5. To attend to medical or dental appointments for members of the employee's household. For the purposes of this section only, a "day" shall be defined as the number of hours of work that an employee is required to work according to his or her specific workday schedule. K. Payment for Unused Sick Leave. Except in cases of disability retirement, upon nondisciplinary termination of employment after ten (10) years of cumulative full -time service with the City, each qualified employee shall be entitled to payment for one -third (1/3) of the total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum limit of 427 hours (53.3 eight -hour days), at the rate of pay effective on the date of such termination. Payment of all unused sick leave shall be included in the employee's final paycheck, and is subject to payroll taxes. A lump sum payment shall be made to the beneficiaries of any eligible employee whose death occurs while such employee is an active employee of the City, such payment to be in the amount of one -third (1/3) of the total sick leave benefit credited to the employee's account at the time of his or her death, and at the rate of pay effective on the date of death. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 Page 46 25G -48 2. At his or her option, an employee may convert any lump sum payment provided herein into health insurance premiums, to the extent necessary to provide the employee and his or her designated eligible dependents, if any, with benefits under the health insurance program maintained by the City. The City's obligation to pay such premium shall terminate upon the happening of any of the following events: a. Premiums have been paid on behalf of the former employee until all monies are exhausted; or b. The sum of premiums paid equals one hundred fifty percent (150 %) of the amount of the lump sum payment that the employee would have received for unused sick leave benefits had this option not been elected. C. Except in cases of disability retirement, upon non - disciplinary termination of employment after fifteen (15) years of cumulative full -time service with the City, each qualified employee shall be entitled to payment for two - thirds (2/3) of the total sick leave benefit credited to his or her account upon the effective date of such termination to be applied toward health insurance premiums only as specified in Section 1 l .l .K.2 above, excluding Subsections a and b. 3. Payment after 15 Years., Affected employees shall be granted payment for unused sick leave on the some basis above, with the exception that such affected employees who have completed fifteen (15) years of cumulative service with the city shall be entitled to payment for one -half (1 /2) of the total sick leave benefit credited to his or her account upon the effective date of his or her termination, not to exceed a maximum limit of 800 hours, at the rate of base pay effective on the date of such termination. 4. Payment after 20 years. Affected employees shall be granted payment for unused sick leave on the same basis above, with the exception that such affected employees who have completed twenty (20) years of cumulative service with the city shall be entitled to payment for two - thirds (2/3) of the total sick leave benefit credited to his or her account upon the effective CONFIDENTIAL ASSOCIATION OF SANTA ANA ICASAI MOU; 2015 - -2017 Page 47 25G -49 date of his or her termination, not to exceed a maximum limit of 1066 hours, at the rate of base pay effective on the date of such termination. 5. CASA members who notify the City, in writing, of Iheir intent to retire within 12 calendar months from the date of retirement shall be allowed to cash out any eligible sick leave bank balances (K.1, K.3 and K.3.), upon request. Employees shall receive payment as soon as practical, and no longer than 30 days after the request has been made. If the employee cashes out his or her eligible sick leave bank balances prior to retirement and subsequently does not retire from the City, all future sick leave accrual for the employee shall be subject to the some cash out provision elected and will be processed on the final paycheck. All combined cash outs cannot exceed what the employee would have been entitled to if the cash out was processed on the final paycheck only. 11.2 Bereavement Leave. A. An employee covered under this MOU shall be granted up to three (3) working days leave without loss of pay in the case of a death of a member of the employee's immediate family. Such leave is designated as bereavement leave. "Immediate family" as used in this section is limited to: Any member of the employee's household related by blood or marriage; A parent, parent -in -law, stepparent, spouse, child, brother, sister, stepbrother, stepsister, grandparent or grandchild of the employee, regardless of residence; 3. Any other relative of the employee by blood or by marriage where it can be established by the employee that as a result of such relative's death, the employee's presence is required to handle funeral arrangements and /or matters of estate. Whenever an employee is required to travel one way more than 500 miles to attend to the death of a member of the employee's immediate family, an employee may use up to sixteen (16) hours of CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 Page 48 25G -50 additional leave charged to their Personal Necessity Leave balance when authorized by the Department Head. 11.3 Military Leave. A. Proof of Orders and Reinstatements. An employee shall be granted military leave if he or she furnishes the Executive Director of Personnel Services satisfactory proof of his or her order to report for duty. Upon return and upon showing of proof of actual service pursuant to such orders, he or she shall be reinstated as provided in Section 143 of the Civil Service Rules and Regulations of the City of Santa Ana. B. Temporary. Members of the reserve forces of the United States, or the National Guard, granted temporary leave when ordered to duty, in accordance with the Military and Veterans Code, shall be granted leave with pay not to exceed thirty (30) calendar days in each calendar year after one (1) year's service with the City upon presenting satisfactory proof of orders to and from such temporary active duties. 11.4 Jury and Witness Leave. When an on -duty employee is called to serve as a juror or non -party witness in any court action, he or she shall be allowed to leave for the time actually required for such service without loss of pay. Each on -duty employee called for such service shall present to his or her Department Head for examination the subpoena calling him or her to such service and shall pay into the City Treasury the fees collected for such service, with the exception of reimbursement for transportation expenses, if any. 11.5 Examination Leave. Employees participating in examinations conducted during their normal working hours for positions in the competitive service of the City of Santa Ana shall be granted leave with pay for the time actually required without loss of any accrued vacation time off benefits. 11.6 Unauthorized Absence. Unauthorized absence from duty for any duration of time may be considered cause for dismissal. Unauthorized absence from duty for a consecutive number of working hours equal to the number of working hours in the employee's normal workweek (five (5) consecutive working days) may be deemed a resignation from City service; provided, however, if upon return to duty the person so absenting himself or herself makes an explanation satisfactory to the Department Head regarding the CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU 2015 -2017 Poge 49 25G -51 cause of his or her absence, the Department Head may restore him or her to his or her position, with the City Manager's approval, 11.7 Authorized Absence Without Pay - Short Term. Absence without pay not to exceed five (5) consecutive working days may be authorized by the employee's Department Head. Absence without pay not to exceed fifteen (15) calendar days may be authorized by the Department Head with the approval of the City Manager. Such an absence may be authorized only if in the judgment of the Department Head it serves the best Interest of the City. 11.8 Authorized Absence Without Pay - Long Term. Upon receipt of a written request from an employee having permanent status, plus action by the Department Head recommending approval of the request, the City Manager may grant a leave of absence without pay for up to six (6) months. An employee returning to duty with the City shall inform the Department Head and the Executive Director of Personnel Services of his or her intention at least thirty (30) calendar days prior to the expiration of the six (6) month period, or shorter period if the full six (6) months is not taken. Upon receipt of such notice, the Department Head shall take steps necessary to restore the employee to his or her former position. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year leave of absence without pay. 11.9 Industrial Leave. Any period of time during which an employee is required to be absent from his or her position by reason of an industrial injury or industrial illness for which he or she is entitled to receive compensation shall not be considered a break in continuous service for the purpose of his or her right to salary adjustments or to fhe accrual of vacation and seniority. 11.10 Preanancv Disability Leave. A pregnant employee is entitled to a reasonable leave of absence without pay for any temporary disability resulting from pregnancy, miscarriage, childbirth or recovery therefrom, Such reasonable leave of absence shall not exceed four (4) months. However, an employee may be granted up to an additional two (2) months of leave, at the discretion of the City Manager, for a total of up to six (6) months in which to recover from the disability if substantiated by a physician's certificate. Employees may take an unpaid leave of absence during pregnancy disability consistent with the law. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 Page50 25G -52 As with all other temporary disabilities, a physician's certificate is required to verify the extent and duration of the temporary disability. An employee who plans to take a pregnancy leave must give a reasonable notice (not less than four (4) weeks) before the date she shall take the leave and the estimated duration of the leave. Health and welfare insurance coverage shall be continued only if the employee pays a cash premium to continue coverage while on a leave of absence without pay or is covered under the Family Medical Leave Act (FMLA) or California Family Rights Act (CFRA} provisions. CC NFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 25G -53 Page ,51 ARTICLE XII 12,0 EMPLOYEE INSURANCE 12.1 Health Insurance. The City shall contribute the following amounts toward the payment of premiums for affected employees and their dependents under the existing health insurance programs or new program or programs providing substantially similar or improved coverage and benefits selected in accordance with procedures in effect on fhe effective date of this MOU: A. For each such employee who is covered under a spouse's non -City sponsored health plan, the City shall pay the employee a cash payment each month in an amount equal to 50% of the monthly premium amount for the City's lowest "employee- only" coverage, if the employee waives, in writing, City -paid coverage. B, The City shall contribute toward medical premiums for each employee covered by this MOU that amount equal to the premium in effect for each tier of the COWERS Kaiser Permanente HMO Other Southern California plan, as determined by the employee's coverage selection. C. Any contribution necessary to maintain benefits under City- sponsored medical plans in excess of the amount set forth above shall be borne entirely by the employee. I The parties recognize that certain State and Federal laws, programs and regulations, including the Affordable Care Act, may tmpacl future medical plan offerings, In the event that reform measures enacted during the term of this MOU alter healthcare options, cost or other elements of healthcare services, thereby materially altering the provisions of this MOU, the parties agree that upon the request of either party the parties shall re -open Section 12.1 hereof regarding medical insurance for the purpose of discussing alternative approaches and proposals to providing healthcare benefits hereunder. In addition, should State or Federal laws concerning the taxation of healthcare benefits change, the parties agree to meet and discuss the impact of such change. 12.2 Dental Insurance. The City agrees to contribute a maximum of up to ninety ($90) dollars per month per employee toward the payment of premiums for dental insurance plans provided by the City for employees covered by this MOU and their eligible dependents. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOIL: 2015 -2017 Page 52 25G -54 A. Any contribution necessary to maintain benefits under City - sponsored dental plans in excess of the amount set forth above shall be borne entirely by the employee. 12.3 Vision Plan. The City shall maintain in effect its existing vision plan, for employees covered by this MOU. All costs of the premium shall be paid by the employee. 12.4 Long -Term Disability_(L.T.D.) Insurance, The City shall continue to pay one hundred percent (100 %) of the premium cost for a 60 -day elimination period long -term disability insurance plan for employees covered by this MOU. 12.5 Life Insurance. The City shall maintain in effect its existing life insurance plans covering employees covered by this MOU, including term life insurance coverage for each affected employee in the amount of twenty thousand dollars ($20,000) plus twenty thousand dollars ($20,000) Accidental Death and Dismemberment (AD &D) coverage at no cost to the employee. 12.6 The City shall retain the right to change health, dental and life insurance carriers, administer the insurance benefits provided thereunder, and select and /or change any excess or supplemental insurance carriers as a part of any self- insurance plan during the term of this MOU, provided that employees covered by this MOU continue to receive equivalent benefits and provided that the parties have met and conferred before the benefits changes are made. 12.7 When there is a need to discuss matters relating to employee insurance and the City believes it would be beneficial tc involve an Insurance Committee, CASA shall have an equal number of representatives as the City on such a committee, and the Committee shall meet as necessary. 12.8 Medical Retirement Subsidy Plan. A. Effective June 30, 2015, CASA dissolved the City's Medical Retirement Subsidy Plan for employees covered under this MOU. Prior to that date, all existing CASA Medical Retirement Subsidy Plan funds were distributed among CASA membership and, if applicable, its retired members. CASA agrees to defend the City against, and indemnify the City for, any liability and damages incurred by the City as a result of the dissolution of the CASA Medical Retirement Subsidy Plan. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 Page 53 25G -55 B. Effective October 1, 2014, employees covered under this MOU began participating in the "Vantage Care" Retirement Health Savings Plan (RHS), as earlier implemented by the City, which designated ICMA -RC as the administrator of the plan. At that time, employees covered under this MOU received a one -time increase of 1.25% in their base pay, which amount was deposited into their individual RHS accounts each pay period going forward. C. Employees covered under this MOU shall continue to contribute 1,25% of their base pay each pay period to the RHS plan, which amount shall be deposited into the employee's individual RHS account, CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA� MOU: 2015 -2017 25G -56 Page 54 ARTICLE XIII 13.0 RETIREMENT 13.1 General. The terms of the existing contract between the City and the California Public Employees' Retirement System (CaIPERS) governing the City retirement benefits for affected employees are incorporated by reference herein. The City shall continue to make contributions to CaIPERS in accordance with its contract with CaIPERS for affected employees covered by such contract as amended. 13.2 Deferred Retirement. The City shall continue to make payment to CaIPERS on behalf of each affected employee, as defined in Sections 13,3,A and 13.13 (below), in an amount necessary to pay one hundred percent (100 %) of his or her Individual retirement contribution which is equal to eight percent (8 %) of base salary. Such payments shall be credited to the individual employee's CaIPERS account. Such payments are not increases in base salary and no salary rate range applicable to any of the employees covered by this MOU shall be changed or deemed to have been changed by reason thereof. As a result, the City shall not treat these payments as ordinary income and, thus shall not withhold Federal or State income tax from these payments. The City has received an opinion or ruling from the Internal Revenue Service confirming that these payments are deferred compensation, and not ordinary income. In the event that the City receives a ruling from the Internal Revenue Service that such payments are ordinary income of the employees instead of deferred compensation, the City's obligation to make such payments shall discontinue and in place thereof the base salary of each employee shall forthwith be increased by 87.. For the purpose of reporting an employee's compensation to CaIPERS, the City shall include these payments as if they were a part of the employee's base salary. 13.3 2.7% at 55 Service Retirement Benefit for Miscellaneous Members. A. The City agrees to continue to provide Miscellaneous employees covered by this MOU who were appointed to their Classification on or before December 31, 2012 with the 2.7% at 55 Service Retirement benefit. Pursuant to CaIPERS regulations, this formula shall apply only to CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA] MOU: 2015 -2017 Page 55 25G -57 the aforementioned CASA employees that are in an active status. This formula shall apply to each year of eligible service credited with the City of Santa Ana. B. The City agrees to provide Miscellaneous employees covered by this MOU who are appointed to their classification on or after January 1, 2013 and are not new members as defined by the California Public Employees' Pension Reform Act of 2013 (AB340), with the 2.7% at 55 Service Retirement benefit. Pursuant to CoIPERS, this formula shall apply only to the aforementioned CASA employees that are in an active status. This formula shall apply to each year of eligible service credited with the City of Santa Ana. C. Payment toward the 2.7 %4 at 55 Service Retirement Benefit. Employees defined in Section 13.3.A (above) covered by this MOU contribute 8% of their salary to the employer's share of the cost of the 2.7% at 55 enhanced retirement formula. All employee contributions to the employer's cost of the CaIPERS retirement benefits shall be implemented as cost- sharing pursuant to Government Code Section 20516(f). To the extent permitted by ColPERS and the Internal Revenue Service, this 8% contribution shall be implemented through payroll deductions on a pre -tax basis. Effective the first full pay period following City Council adoption of this MOU, employees defined in Section 13.3.13 (above) shall contribute 87o of their salary toward the employer contribution of the 2.7% at 55 retirement benefit. All employee contributions to CaIPERS for their retirement benefits shall be implemented as cost- sharing pursuant to Government Code Section 20516(f). Pre - Taxable Benefit. To the extent permitted by CaIPERS and Internal Revenue Service regulations, the City shall make the above employee deductions pre -tax contributions. 13.4 2.0% at 62 Service Retirement Benefit for Miscellaneous Members. A. The City agrees to provide Miscellaneous employees covered by this MOU who were appointed to their classification on orafterianuary 1, 2013, and who are defined as new members under the California Public Employees' Pension Reform Act of 2013 (AB340), with the 2.0% at 62 Service Retirement benefit. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 Page 56 25G -58 Pursuant to CalPERS regulations, this formula shall apply only to the aforementioned CASA employees that are in an active status, This formula shall apply to each year of eligible service credited with the City of Santa Ana. Payment towards the 2.07o at 62 Service Retirement Benefit Employees defined in 13.4.A (above) covered by this MOU shall contribute at least 50% of normal cost of the 2.0% at 62 retirement benefit. Pre - Taxable Benefit. To the extent permitted by ColPERS and Internal Revenue Service regulations, the City shall make the above employee deductions pre -tax contributions. 13.5 Credit for Unused Sick Leave. An employee covered by this MOU shall be permitted to have unused accumulated sick leave at the time of retirement converted tc additional service credit at the rate of 0.004 years of service credit for each eight -hour day of unused sick leave (i.e., 200 days of sick leave equals .80 additional year of service credit). The City must report only those days of unused sick leave that were accrued by the employee during the normal course of employment. This section applies to members whose effective date of retirement is within four (4) months of separation from employment. 13.6 Military Service Credit as Public Service. An employee covered by this MOU shall be permitted to purchase up to four (4) years of service credit for any continuous active military or merchant marine service prior to employment. The employee must contribute an amount equal to the contribution for current and prior service that the employee and the employer would have made with respect f that period of service, 13.7 Deferred Compensation. A. Background. Prior to July 1, 1991, the City authorized an amount equal to one percent (1.07o) of base pay for a deferred compensation benefit for full lime "confidential" employees. This benefit was treated separately from salary, and was not included in the City's salary and wage schedule. Effective July 1, 1991, to comply with CaIPERS wage reporting requirements, this benefit was added to the pay rate assigned to each "confidential" classification and reported as "salary" to CaIPERS. Thereafter, pay levels for "confidential" classifications CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015- 2017 Page 57 25G -59 included this additional one percent (1 %) deferred compensation benefit. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 25G -60 Page 58 ARTICLE XIV 14.0 SAFETY 14.1 General. The City and the employees of the City agree to comply with all applicable Federal, State and local laws, and the City of Santa Ana regulations, which relate to health and safely. 14.2 Central Safety Committee. CASA may designate two (2) representatives and two (2) alternates to serve on the City's Central Safety Committee. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 25G -61 Page 59 ARTICLE XV 15.0 GRIEVANCE REVIEW PROCEDURE 15.1 Definition of a Grievance. A grievance shall be defined as a timely complaint by an employee or group of employees or CASA concerning the interpretation or application of specific provisions of this MOU, or of the rules and regulations governing personnel practices or working conditions of the City, except, however, those matters specifically assigned to the jurisdiction of the City Personnel Board by those provisions of the City Charter and the Civil Service Rules and Regulations. 15.2 Informal Process -j First Step A. An employee and /or his or her designated representative must first attempt to resolve the grievance on an informal basis through discussion with his or her immediate supervisor without undue delay, but in no case, beyond a period of fifteen (15) business days after the occurrence of the alleged incident giving rise to the grievance, or when the grievant knew or should have reasonably become aware of the facts giving rise to the grievance. B. Every effort shall be made to find an acceptable solution to the grievance through this informal means a t the most immediate level of supervision, C. In order that this informal procedure may be responsive, both parties involved shall expedite this process. If, within fifteen (15) business days, a mutually acceptable solution has not been reached at the informal level, the employee and /or the employee's designated representative shall then set forth the grievance in writing, indicate the nature of the action desired, sign it, and submit it in duplicate to the employee's Department Head. If the Department Head is the immediate supervisor, the employee may proceed directly to the City Manager or his or her designee. At this point, the grievance review process becomes formal. Should the grievant fail to file a written grievance, and in the manner specified above, within fifteen (15) business days after first discussing the grievance with the employee's immediate supervisor, the grievance shall be barred and waived. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOIL: 2015 -2017 25G -62 Page 60 D. Any resolution of the grievance at the informal stage by any person other than a middle manager or above shall not become precedent or be used to establish past practice regarding implementation, interpretation, or application of this MOU. 15.3 Formal Process. A. Second Step. The Department Head or his or her designated representative shall meet with the employee and /or the employee's designated representative within fifteen (15) business days after the grievance has been submitted to the Department Head. The Department Head, or his or her designated representative, shall review the grievance and may affirm, reverse or modify the disposition made at the First Step and shall deliver his or her answer to the employee and /or the employee's designated representative within ten (10) business days after this meeting. Third Step, If the grievance is not satisfactorily resolved at the Second Step, the employee and /orthe employee's representative may submit the grievance in writing to the City Manager or his or her designated representative within thirty (30) days of being informed of the disposition made at i he Second Step. Failure of the grievant and /or his or her designated representative to take this action shall constitute a waiver and bar to the grievance, and the grievance shall be considered settled on the basis of the disposition made at the Second Step. The City Manager or his or her designated representative shall meet with the employee and /or the employee's designated representative within fifteen (15) business days after submission of the grievance. The City Manager, or his or her designated representative, after careful review, may affirm, reverse, or modify the disposition mode at the Second Step and his or her decision, which shall be final and binding, shall be delivered in writing, to the employee and /or the employee's designated representative within fifteen (15) business days after this meeting. A copy of the written grievance to the City Manager, or his or her duly authorized representative, and of the City Manager's or his or her representative's written decision, shall be filed in the personnel records of the department and maintained in the City Personnel Services Department. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU; 2015 -2017 Page 61 25G -63 15.4 Reservation of Rights. After the procedure set forth in this Article has been exhausted, the grievant, CASA, and the City shall have all rights and remedies to pursue the grievance under the law. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 25G -64 Page 62 ARTICLE XVI 16,0 ASSOCIATION RIGHTS 16.1 Release Time for Association Representatives, CASA shall have the right to appoint /elect a reasonable number of representatives who are recognized by the City as officers or work site leaders /stewards. A. Such reasonable number of work site leaders /stewards recognized by the City shall be limited to six (6). The City's Executive Director of Personnel Services shall be provided with a list of names and classification titles of CASA's officers as set forth in Exhibit B of the Confidential Association of Santa Ana City MOU, as well as the names and classification titles of all work site leaders /stewards and other Association representatives. The Association agrees to inform the City in writing of any changes in this list within ten (10) calendar days. C. During fhe term of this MOU, the City agrees to allow reasonable time off without loss of compensation to enable the officers and worksite leaders /stewards to assist other CASA unit employees in processing grievances under the Grievance Review Procedure and other CASA business activities; provided, however, that such officers and worksite leaders /stewards shall make advance arrangement with their supervisors prior fo absenting themselves for such purpose. The officers and worksite leaders /stewards shall be required by the City to record and report to their supervisors the work time spent in assisting other bargaining unit employees pursuant to this provision of the MOU. Time spent by the Association President, officers or worksite leaders /stewards on Association Release time, under this MOU, shall not be considered time worked for computation of overtime according to the Fair Labor Standards Act, 16.2 Worksite Access. A. Officers, worksite leaders /stewards and /or Association representatives shall be permitted to visit break and lunch areas designated by the City, before or after work or during designated lunch periods, for the purpose of discussing Association business, provided that CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 Page 69 25G -65 arrangements are made in advance with the manager responsible for the worksite. B. Such visits shall not disrupt the work of City employees, interfere with the normal operations of the department or with established safety and security requirements. Where any such problems arise, CASA and the City will agree on an alternate meeting /conference facility for the purpose of providing a place for CASA to hold a meeting before or afterwork or during lunch periods. If the City facility provided CASA as an alternate meeting site during non - working hours is a public meeting room, its scheduling and use shall be governed in accordance with regulations pertaining to the use of public meeting rooms at City facilities. C. Solicitations of membership and all activities concerned with the internal management of CASA, such as collecting dues, holding membership meetings, preparation of petitions, campaigning for office, conducting elections and distributing literature, shall not be conducted during working hours. D. Officers and employees may perform those duties assigned to them by CASA, but in no event shall they have the right to interfere with the performance of work of any other employee or interfere with City operations or to call a strike, slowdown, work stoppage, sympathy strike or take any economic action against the City. 16.3 Release Time for Employee Representatives. A. In the event that CASA is formally meeting and conferring with representatives of the City on matters within the scope of representation during regular City business hours, a reasonable number of officers, employee representatives or otherofficials of CASA shall be allowed reasonable time off without loss of compensation or other benefits. B. Such officers and employee representatives shall not leave their duty or work station or assignment without the prior knowledge of their supervisor or such supervisor's supervisor. C. Such meetings are subject to scheduling in a manner consistent with City operating needs and work schedules. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 Page 64 25G -66 16.4 Use of Bulletin Boards. Space shall be made available to CASA on the City's existing employee bulletin boards for the purpose of posting notices pertaining to Association business, subject to the following conditions: A. Material posted by CASA shall not include campaign material on municipal election matters, including elections for City Council, other City positions, or other municipal political matters. B. Material posted is not derogatory to the City, City employees or other employee organizations. C. All materials are dated, identify CASA and bear the signature of the authorized representatives) of CASA responsible for their issuance. D. The City reserves the right to determine what reasonable portion of employee bulletin boards are to be allocated to Association materials. If CASA does not abide by these provisions, it will forfeit its right to have materials posted on the City's employee bulletin boards. CASA shall not be permitted to post any material that is prohibited by State law or the City Charter. 16.5 Use of City Facilities. The City shall allow CASA to conduct meetings in the City's public meeting rooms during non - working hours provided such meetings are scheduled in accordance with regulations governing the use of public meeting rooms at City facilities; provided, however, CASA shall not be permitted to use City facilities to discuss or present any matter that is prohibited by State law or the City Charier. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 25G -67 Page 65 ARTICLE XVII 17.0 DUES DEDUCTION & INDEMNIFICATION 17.1 Dues Deduction. Upon ratification and approval of dues collection by Association membership, the City shall deduct dues, on a regular basis, from the pay of all employees recognized to be represented by CASA, who voluntarily authorize such deduction, in writing, on a form to be provided for this purpose by the City. The City shall remit such funds to CASA within thirty (30) calendar days following their deduction. Provisions for such dues deduction shall be included in future MOUs should CASA members elect to authorize the deduction. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 25G -68 Page 66 ARTICLE XVIII 18.0 CITY RIGHTS 18,1 The City reserves, retains, and is vested with, solely and exclusively, all rights of management which have not been expressly abridged by specific provision of this MOU or by law to manage the City, as such rights existed prior to the execution of this MOU. The sole and exclusive rights of Management, as they are not abridged by this MOU or by law, shall include but not be limited tc the following rights: A. To manage the City generally and to determine the issues of policy. B. To determine the existence or nonexistence of facts which are the basis of the Management decision. C. To determine the necessity of organization of any service or activity conducted by the City and expand or diminish services. D. To determine the nature, manner, means, and technology, and extent of services to be provided to the public. E. To determine methods of financing. F. To determine types of equipment or technology to be used. G. To determine and /or change the facilities, methods, technology, means, and size of the workforce by which the City operations are to be conducted. H. To determine and change the number of locations, relocations, and types of operations, processes, and materials to be used in carrying out all City funclions, including but not limited to the right to contract for or subcontract any work or operation of the City. To assign work to and schedule employees in accordance with requirements as determined by the City, and to establish and change work schedules and assignments. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 25G -69 Page 67 To relieve employees from duties for lack of work or similar non - disciplinary reason, subject to the provisions of the City Charter, Municipal Code, Federal and State law and this MOU. K. To establish and modify productivity and performance programs and standards. L. To discharge, suspend, demote, or otherwise discipline employees for proper cause in accordance with the provisions set forth in the City Charter and Santa Ana Municipal Code. M. To determine job classifications and to reclassify employees. N. To hire, transfer, promote and demote employees for non - disciplinary reasons in accordance with this MOU. O. To determine policies, procedures, and standards for selection, training and promotion of employees. To establish employee performance standards including but not limited to qualify and quantity standards and to require compliance therewith. Q. To maintain order and efficiency in its facilities and operations. To establish and promulgate and /or modify rules and regulations to maintain order and safety in the City which are not in contravention with this MOU. To take any and all necessary action to carry out the mission of the City in emergencies. 18.2 Except in emergencies, or where the City is required to make changes in its operations because of the requirements of law, whenever the contemplated exercise of Management's rights shall impact on a significant number of employees of the bargaining unit, the City agrees to meet and confer in good faith with representatives of CASA regarding the impact of the contemplated exercise of such rights priorto exercising such rights, unless the matter of the exercise of such rights is provided for in this MOU. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA( MOU: 2015 -2017 Page 68 25G -70 ARTICLE XIX 19.0 STRIKES & WORK STOPPAGES 19.1 Prohibited Conduct. A. Any employee of the City covered by this MOU who engages in any strike, sickout, or other partial or total stoppage of work shall be subject to suspension, demotion or dismissal by the appointing authority without right of appeal to the Personnel Board in accordance with City Charter Section 1014. CON PI DENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 25G -71 Page 69 ARTICLE XX 20.0 LAYOFFS 20.1 It is the hope of the City not to separate any employee(s) from employment because of a reduction in the work force or work week during the term of this MOU, However, circumstances arising during this MOU may require such separation (s). In that event, the City shall notify CASA in writing of the layoff at least 30 days prior to the occurrence of the layoff of the employee and, if requested by CASA, schedule a meeting to discuss the same. Only the written notice is required to occur 30 days before the proposed layoff. This provision in not intended to be a waiver of any other rights the parties may have under this MOU. 20.2 If it is decided to contract out work currently being performed by employees of this bargaining unit and it is projected that no employee covered by this MOU is to be laid off, receive a reduction in hours worked, or receive a loss in pay due to such contracting out, the City shall provide CASA reasonable notice of the decision to contract out, shall meet with CASA upon CASA's request over the impact of the decision to contract out and shall consider reasonable alternatives provided by CASA. 20.3 If the City determines to contemporaneously replace employees covered by this MOU with contract workers to perform the some work under similar circumstances, it shall expeditiously notify CASA of its intentions. Upon request by CASA, the City shall schedule meetings with CASA leadership to discuss this objective and give CASA the opportunity to present information before any final decision. The City and Association leadership agree to commence meeting when practicable for a period not to exceed forty-five days, unless mutually agreed to meet longer. At the end of the agreed upon time and if the parties have not achieved satisfactory resolution, the issues shall be resolved according to the City's Employer - Employee Relations Resolution (Resolution No. 81 -75 - Exhibit C of this MOU). 20.4 Notwithstanding Section 20.2 and /or Section 20.3 hereof, if any bargaining unit member is laid off as a result of a decision by the City to contract out work, the City shall make a reasonable effort to cause the affected employee(s) to become employed by the company or entity with which the City contracted for the applicable services. 20.5 The principles of seniority (length of service) shall govern layoffs as described herein, except in the event that more than one employee has the same CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 Page 70 25G -72 seniority date, in which case performance also shall be considered. The City's determination of performance shall not be arbitrary or capricious in nature. Any dispute over the application of the principles outlined in this Article XX shall be subject to the grievance procedure, A. Classification seniority is defined as length of service in the classification, and shall begin on the first date worked by the employee in that classification. Whenever a position within a classification is to be eliminated, resulting in the layoff of an employee, seniority shall govern the order of layoff. The employee with the lowest seniority in the affected classification shall be laid off first. B. In lieu of layoff, an employee may elect to work in a lower classification, in which he or she has served, providing that a vacancy exists and the classification is within fhe some job family /career ladder. In that event, the employee's length of service in the next lower classification shall be added to his or her length of service in the affected classification, and the combined seniority shall be used to bump down into the next lower classification. This method of combining seniority shall be applied to subsequent lower classifications, C. The reemployment list shall be valid for one year from the date of its establishment. Reemployment shall be in reverse order of layoffs, The Joint Labor Management Team as outlined in Article XXI shall determine Job Family /Career Ladder for purposes of layoff. See Article XXI, Section 21.3, Joint Labor Management Teams. 20.6 A bargaining unit employee who is laid off from full time City employment pursuant to this Article, may be granted a temporary appointment to a vacant position in any classification for which there is no eligible list and for which the employee meets the minimum qualifications established for the classification and possesses the requisite knowledge, skills and abilities to satisfactorily perform the work of the classification. Such temporary appointment shall be terminated upon the establishment of a new eligible list for the classification or on the one hundred eightieth (180111) day following the initial day of such temporary appointment, whichever occurs first. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 25G -73 Page 71 ARTICLE XXI 21.0 MISCELLANEOUS PROVISIONS 21.1 The City agrees to distribute Association membership pamphlets to bargaining unit employees at the new employee orientation sessions conducted by the City. 21.2 Catastrophic Leave Donation. In order to assist employees otherwise granted leave of absence without pay by the City Manager because of a catastrophic, non- industrial medical condition or injury, the City and Association agree to implement a Catastrophic Leave Donation Program. Nothing herein shall be construed to alter City policies and procedures as provided in the Charter or ordinances of the City of Santa Ana or other provisions of this MOU with regard to granting unpaid leaves of absence. The Catastrophic Leave benefit will be provided for non - industrial injury or sickness only. The leave shall cover the uncompensated time prior to the employee's becoming eligible for Long Term Disability (L.T.D.) benefits. Any remaining Catastrophic Leave benefit will be used to supplement L.T.D. benefit payments to ensure an employee continues to receive his or her full salary continuation between both benefits. A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. Employees may donate vacation or compensatory time or one in lieu holiday to the eligible employee. In no event shall sick leave be donated. 2. Employees shall be provided a two -week period to submit donations. Donations received after this two -week period shall not be processed. The two -week period for each case shall be designated by the Department Head or his or her designee as provided herein below. All donations must be made in two (2) hour increments and a maximum of eight (8) hours per donor, except in lieu holidays must be for eight (8) hours. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU; 2015 -2017 Page 72 25G -74 Any authorization of donations not made in accordance with the procedures outlined in Section C, Subparagraph 2 below, will not be processed. All donations shall be irrevocable. In the event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accrued by the recipient and designated as sick leave and may be used pursuant to Article XI, Section 11.1. B. Eli ibilit . Regular, full -time employees shall be eligible for Catastrophic Leave Donations if the following criteria are met: When it is reasonably foreseeable that all accrued time on the books, such as sick leave, compensatory time and vacation, will be exhausted and the employee's illness will continue past the time when the employee will be on paid status. 2. The employee's Department Head, or his or her designee, has approved a written request for donations accompanied by a medical statement from the employee's attending physician, The attending physician's statement must verifythe employee's need for an extended medical leave and an estimate of the time the employee will be unable to work, C. Procedure. Upon receipt of a valid request for donations from an eligible employee, the Department Head or his or her designee shall post a notice of the eligible employee's need for donations on bulletin boards accessible to employees. No confidential medical information shall be included in the posted notice, 2. Employees wishing to donate time to an eligible employee must sign his or her authorization of the transfer of such donated time and provide: a. His or her name, department name, and employee number; CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 25G -75 Page 73 b. The number of hours of compensatory or vacation time of the donation within the limitations of Section A, subparagraph 3 above; C. The name, department and employee number of the recipient; and d. A statement indicating that the donor understands such donation of time is irrevocable. 3. At the close of the donation period, the department shall verify that each donating employee has accrued vacation and /or compensatory time balances sufficient to cover the designated donation. 4. The department shall submit all approved donation authorizations for an eligible employee a1 one time for processing. No donation authorizations for the eligible employee will be processed after this period. However, employees who receive donations under this procedure and who exhaust all donated hours may request an additional donation period subject to the provisions of Section A, herein. The City shall add the donated time to the recipient's sick leave account. 21.3 Joint Labor Management Teams, The City and CASA agree to form Joint Labor Management Teams for the purpose of exploring issues of mutual concern. Each team shall be comprised of an equal number of labor and management employees and shall be chaired by the Executive Director of Personnel, or his or her designee. In no case shall the activity of a team create a delay or hindrance to the ongoing operation of the City. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 25G -76 Page 74 ARTICLE XXII 22.0 SOLE & ENTIRE AGREEMENT 22.1 It is understood and agreed that the parties to this MOU are subject to all current and fulure applicable Federal and California laws, the City of Santa Ana Charter and Municipal Code, as well as the City's Employer - Employee Relations Resolution number 81 -75 (Exhibit C). It is the intent of the parties hereto that the provisions of this MOU shall supersede all prior agreements and memoranda of agreement, or memoranda of understanding, or contrary salary and /or personnel rules and regulations or administrative codes, provisions of the City, oral or written, express or implied between the parties, and shall govern the entire relationship and shall be the sole source of any and all rights which may be asserted hereunder. This MOU is not intended to conflict with Federal or State law or the City Charter, The City shall provide employees covered by this MOU a copy of this MOU and its attachments, including a section containing the Employer - Employee Relations Resolution of the City of Santa Ana, 22.2 Notwithstanding the foregoing, there exists within the City personnel rules and regulations and departmental rules and regulations. These rules and regulations shall be continued to the extent they do not contravene specific provisions of this MOU. Such rules and regulations may, from time to time, be changed by the City. If these changes affect wages, hours, and /or other terms and conditions of employment, the City shall meet and confer with CASA; provided, further, however, no provision of the rules and regulations shall be changed to contravene specific provisions of this MOU. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 25G -77 Page 75 ARTICLE XXIII 23.0 WAIVER OF BARGAINING DURING THE TERM OF THIS MOU 23.1 During the term of this MOU, the parties mutually agree that theywill not seek to negotiate or bargain with regard to wages, hours and terms and conditions of employment, whether or not covered by the MOU or in the negotiations leading thereto, and irrespective of whether or not such matters were discussed or were even within fhe contemplation of the parties hereto during the negotiations leading to this MOU. Regardless of the waiver contained in this Article, the parties may, however, by mutual agreement, in writing, agree to meet and confer about any matter during the term of this MOU. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU; 2015 -2017 25G -78 Page 76 ARTICLE XXIV 24,0 EMERGENCY WAIVER PROVISION 24.1 In the event of circumstances beyond the control of the City, such as acts of God, fire, flood, insurrection, civil disorder, national emergency, or similar circumstances, provisions of this MOU or the Personnel Rules or Resolutions of the City, which restrict the City's ability to respond to these emergencies, shall be suspended for the duration of such emergency. After the emergency is declared over, this MOU will be reinstated immediately. CASA shall have the right to meet and conferwith the City regarding the impact on employees of the suspension of the provisions in the MOU during the course of the emergency. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 25G -79 Page 77 ARTICLE XXV 25.0 SEPARABILITY PROVISION 25.1 Should any provision of this MOU be found to be inoperative, void, or invalid by a court of competent jurisdiction, all other provisions of this MOU shall remain in full force and effect for the duration of this MOU, provided that if any such affected provisions invalidate or void any benefits of employees covered hereunder, the parties shall forthwith commence negotiations to replace the invalidated benefits with benefits of comparable value, CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 - 2017 25G -80 Page 78 ARTICLE XXVI 26.0 TERM OF MOU 26.1 The term of this MOU shall be from July 1, 2015 to June 30, 2017. 26.2 If this MOU is not replaced by a new mutually- agreed upon MOU between the City of Santa Ana and CASA before June 30, 2017, then it is agreed that all provisions of this MOU shall remain in effect until mutual agreement is reached on a new MOU. CONFIDENTIAL ASSOCIATION or SANTA ANA (CASA) MOU: 20T5-2017 25G -81 Page 79 ARTICLE XXVII 27.0 RATIFICATION & EXECUTION 27.1 The City and CASA have reached an understanding as to certain recommendations to be made to the City Council for the City of Santa Ana and have agreed that the parties hereto will jointly urge the City Council to adopt a new wage and salary resolution which will provide for the changes contained in the joint recommendations. The City and CASA acknowledge that this MOU shall not be in full force and effect until ratified by the membership of CASA and adopted by the City Council of the City of Santa Ana. Subject to the foregoing, this MOU is hereby executed by the authorized representatives of the City and CASA and entered into this day of , 2015. Dated: CITY OF SANTA ANA, a Municipal Corporation of the State of California 0 Dated: By:, Dated: ATTEST: Maria D. Huizar, Clerk of the Council APPROVED AS TO FORM: n M. Funk Assistant City Attorney M Mayor City Manager Executive Director, Personnel Services CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 25G -82 Page W This MOU has been ratified by the membership of the Confidential Association of Santa Ana (CASA). Dated: CASA: M Jamie Newton Orange County Employees Association Chief Negotiator CONFIDENTIAL ASSOCIATION OF SANTA ANA fCASA MOU: 2015- 2017 25G -83 Donna Slupik CASA President Page 81 CASA BASIC SALARY & WAGE SCHEDULE EXHIBIT A The City's Basic Salary and Wage Schedule provides for salary rote ranges appearing as Exhibit B, each comprised of six pay steps, for full -time employees in CASA classifications. The salary steps are identified by letters AA, A to E inclusive, For CASA employees covered by this MOU, the purpose of each step and the length of service required for advancement within the rate range are summarized as follows: Purpose: AA Step - Normal beginning pay rate, A Slep - Automatic Increase. Also, optional hiring rate. B Step - Automatic Increase. Also, optional hiring rate. C Step - Automatic Increase, Also, optional hiring rate. D Step - Automatic Increase. Also, optional hiring rate. E Step - Merit Rate Increase. Also, optional hiring rate, Required Leith of Service: AA to A - After six months' completed service. A to B - After one year's completed service. B to C - After one year's completed service. C to D - After one year's completed service. D to E - After one year's completed service. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MCU: 2015 -2017 25G -84 Page 92 EXHIBIT B CONFIDENTIAL ASSOCIATION OF SANTA ANA ASSIGNMENT OF CLASSIFICATIONS TO SALARY RATE RANGES SALARY STEPS 7/1/15 JOB TITLE AA A B C D E BUDGET AIDE (UC) 4968 5216 5478 5751 6038 6341 BUDGET ANALYST (UC) 5640 5921 6219 6529 6856 7200 COUNCIL SERVICES SECRETARY (UC) 3835 4027 4228 4439 4663 4896 EXECUTIVE ASSISTANT (UC) 5042 5294 5559 5835 6128 6435 EXECUTIVE SECRETARY TO THE POLICE CHIEF (UC) 4459 4681 4920 5166 5423 5696 FINANCE EXECUTIVE SECRETARY (UC) 4375 4593 4824 5067 5320 5585 FINANCIAL ANALYST (UC) 5504 5780 6068 6372 6690 7024 LEGAL OFFICE ASSISTANT (UC) 3077 3231 3393 3562 3740 3927 LEGAL SECRETARY (UC) 3815 4007 4208 4418 4639 4872 LIABILITY CLAIMS PROCESSOR (UC) 3907 4103 4309 4525 4752 4992 LOSS CONTROL ANALYST (UC) 5504 5780 6068 6372 6690 7024 LOSS CONTROL TECHNICIAN (UC) 4968 5216 5478 5751 6038 6341 MANAGEMENT AlDE(UC) 4968 5216 5478 5751 6038 6341 MANAGEMENT ANALYST (UC) 5640 5921 6219 6529 6856 7200 MANAGEMENT ASSISTANT (EXEMPT) (UC) 5640 5921 6219 6529 6856 7200 PARALEGAL (EXEMPT) (UC) 4,525 4752 4992 5242 5504 5780 PAYROLL SYSTEMS ANALYST (UC) 6856 7200 7558 7937 8332 8749 PAYROLL TECHNICIAN (UC) 4503 4728 4968 529.6 5478 5751 PERSONNEL ANALYST (UC) 5504 5780 6068 6372 6690 7024 PERSONNEL EXECUTIVE SECRETARY (UC) 4246 4459 4681 4920 5166 5423 PERSONNEL SECRETARY (UC) 3835 4027 4228 4439 4663 4896 PERSONNEL SERVICES RECEPTIONIST (UC) 3509 3684 3869 4063 4266 4480 PERSONNEL SERVICES SPECIALIST (UC) 3684 3869 4063 4266 4480 4705 PERSONNEL TECHNICIAN (UC) 4503 4728 4968 5216 5478 5751 POLICE PERSONNEL SERVICES SPECIALIST (UC) 4084 4289 4503 4728 4968 5216 RISK MANAGEMENT COORDINATOR (UC) 5117 5372 5640 5921 6219 6529 RISK MANAGEMENT TECHNICIAN (UC) 4503 4728 4968 5216 5478 5751 SECRETARY TO THE CITY MANAGER (UC) 5585 5864 6158 6466 6790 7129 SENIOR BUDGET ANALYST (UC) 6496 6822 7164 7521 7897 8291 SENIOR FINANCIAL ANALYST (UC) 6822 7164 7521 7897 8291 8706 SENIOR LEGAL MANAGEMENT ASSISTANT (EXEMPT) (UC) 6496 6822 7164 7521 7897 8291 SENIOR LEGAL OFFICE ASSISTANT (UC) 3509 3684 3869 4063 4266 4480 SENIOR LEGAL SECRETARY (UC) 4246 4459 4681 4920 5166 5423 SENIOR MANAGEMENT ANALYST (UC) 6496 6822 7164 7521 7897 8291 SENIOR MANAGEMENT ASSISTANT (EXEMPT) (UC) 6496 6822 7164 7521 7897 8291 CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 Page 83 25G -85 SENIOR PARALEGAL (EXEMPT) (UC) 5504 5780 6068 6372 6690 7024 SENIOR PAYROLL TECHNICIAN (UC) 4968 5216 5478 5751 6038 6341 SENIOR PERSONNEL ANALYST (UC) 6822 7164 7521 7897 8291 8706 SENIOR PERSONNEL RECEPTIONIST (UC) 3835 4027 4228 4439 4663 4896 SENIOR PERSONNEL SERVICES SPECIALIST (UC) 4084 4289 4503 4728 4968 5216 SENIOR PERSONNEL TECHNICIAN (UC) 4968 5216 5478 5751 6038 6341 SENIOR RISK MANAGEMENT TECHNICIAN (UC) 4968 5216 5478 5751 6038 6341 SENIOR WORKERS' COMP. CLAIMS ASSISTANT (UC) 4.396 4617 4847 5091 5345 5613 SENIOR WORKERS' COMP. CLAIMS EXAM. (UC) 6038 6341 6657 6989 7340 7708 SENIOR WORKERS' COMPENSATION SYSTEMS TECH (UC) 4617 4847 5091 5345 5613 5893 TRAINING COORDINATOR (UC) 6822 7164 7521 7897 8291 8706 WORKERS' COMPENSATION CLAIMS ASSISTANT (UC) 3907 4103 4309 4525 4752 4992 WORKERS' COMPENSATION CLAIMS EXAMINER (UC) 5216 5478 5751 6038 6341 6657 WORKERS' COMPENSATION SYSTEMS TECHNICIAN (UC) 4103 4309 4525 4752 4992 5242 CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 25G -86 Page 84 Exhibit C RESOLUTION NO, 81.75 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA RELATING TO EMPLOYER - EMPLOYEE RELATIONS IN THE PUBLIC SERVICE OF THE CITY OF SANTA ANA WHEREAS, the Council of the City of Santa Ana declares that it is the public policy of the City to maintain and enhance its administration of employer - employee relations and to protect the public by assuring at all times the orderly and uninterrupted operations and services of City government; and WHEREAS, the City of Santa Ana desires to establish uniform and orderly methods of communication between the City and its employees, including provisions for [a) recognizing the rights of employees to join organizations of their own choosing for the purpose of representation on matters affecting employee relations or to represent themselves individually in dealing with the City; and (b) establishing equitable and uniform rules and procedures to provide for the orderly and systematic presentation, consideration and resolution of employer - employee relations matters; and WHEREAS, the City of Santa Ana has met and conferred in good faith with representatives of the Santa Ana City Employees' Association; Santa Ana Police Benevolent Association; Santa Ana Firemen's Benevolent Association; and the American Federation of State, County and Municipal Employees, AFL -CIO, which are the only employee organizations known to the City to have among their members employees of the City, concerning the rules and regulations for the administration of employer - employee relations set forth herein; and NOW, THEREFORE, the City Council of the City of Santa Ana does hereby resolve as follows: Section 1: Title of Resolution This Resolution shall be known as the "Employer- Employee Relations Resolution of the City of Santo Ana ". Section 2: Definitions As used in this Resolution, the following terms shall have the meanings indicated: APPROPRIATE UNIT - means a unit of employee classifications or positions established pursuant to Section 11 of this Resolution. CITY - means the City of Santa Ana, a municipal corporation, and where appropriate herein, "City" refers to the City Council or any duly authorized management employee as herein defined. DAY - means calendar day unless expressly stated otherwise. EMPLOYEE - means any person regularly employed by the City on a full time basis except those persons elecled by popular vote. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 25G -87 Page M EXHIBIT C(Continued) EMPLOYEE, CONFIDENTIAL- means an employee who is assigned to perform work directly involved in the development, preparation or presentation of management positions with respect to employer - employee relations. EMPLOYEE, MANAGEMENT- means any employee having responsibility for formulating, administering or managing the implementation of City policies or programs, including but not limited to, department and assistant department heads, division heads, and professional administrative staff employees employed to render advice and assistance pertaining to the conduct of legal, fiscal, budgetary, personnel management and employer- employee relations affairs of the City. EMPLOYEE, PROFESSIONAL - means a classification of employees engaged in work (a) predominantly intellectual and varied In character as opposed to routine mental, manual, mechanical or physical work; (b) involving the constant exercise of discretion and judgment in its performance; and (c) requiring knowledge in a field of science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study in an institution of higher learning, as distinguished from a general academic education, or from an apprenticeship or from training in the performance of routine, mental, manual or physical processes. EMPLOYEE, SUPERVISORY - rneans any employee, regardless of job description or title, having authority, in the interest of the employer, to hire, transfer, suspend, layoff, recall, promote, discharge, assign, reward, or discipline other employees, or the responsibility to assign work to and direct them, or to evaluate or review their grievances, or effectively to recommend such actions, If in connection with any of the foregoing, the exercise of such responsibility is not of merely routine orclerical nature, but requires the use of independent judgment. EMPLOYEE ORGANIZATION - means any lawful organization which includes employees of the City and which has as one of its primary purposes representing such employees in their employment relations with the City; provided, however, that said organization has no restrictions on membership based on race, color, creed, sex or national origin. EMPLOYEE RELATIONS OFFICER - means the City's principal representative in all matters of employer - employee relations designated pursuant to Section 3 hereof, or his duly authorized representative. EMPLOYER - EMPLOYEE RELATIONS - means the relationship between the City and its employees and their employee organization, or when used in a general sense, the relationship between City management and individual employees or employee organizations. GRIEVANCE - means a dispute, claimed by an employee, group of employees or a recognized employee organization concerning the meaning, application, or enforcement of any of the provisions of the City's Employer- Employee Relations Policy or of a memorandum of understanding; and for which specific hearing or appeal procedure is not otherwise provided, or is not specifically withheld, by civil service rule, ordinance, resolution, charter provision, or memorandum of understanding. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 25G -88 Page M EXHIBIT C (Continued) IMPASSE - means that the representatives of the City and a Recognized Employee Organization have reached a point In their meeting and conferring in good faith where their differences concerning matters on which they are required to meet and confer, remain so substantial that further meeting and conferring would not be likely to result in an agreement. MEDIATION OR CONCILIATION - means the efforts of an impartial third person or persons, functioning as intermediaries, to assist the parties in reaching a voluntary resolution to an impasse, through interpretation, suggestion and advice. Mediation and conciliation are interchangeable terms. MEET AND CONFER IN GOOD FAITH - (sometimes referred to herein as "meet and confer" or "meeting and conferring ") - means the performance by duly authorized City representatives and duly authorized representatives of a recognized employee organization of their mutual obligation personally to meet and confer in good faith promptly upon the request of either party and continue for a reasonable period of time in orderto exchange freely information, opinions and proposals, and to endeavor to reach agreement on matters within the scope of representation prior to the adoption by the City of its final budget for the ensuing year. This does not require either party to agree to a proposal or to make a concession. MEMORANDUM OF UNDERSTANDING - means a written memorandum of the agreement between the City and a recognized employee organization reached through meeting and conferring. PEACE OFFICER - means an employee of the Santa Ana Police Department whose principal duties consist of active law enforcement and who is designated as a "peace officer" as that term is defined In Section 830, California Penal Code, except that, for purposes of this Resolution only, "peace officer" does not mean a park patrolman, security guard or a member of the fire department, whether the latter be serving as a member of an arson investigating unit, as a deputy or assistant state fire marshal, or in any capacity wherein the member would have the status of peace officer for purposes other than that of this Resolution. RECOGNIZED EMPLOYEE ORGANIZATION - means an employee organization which has been granted formal recognition by the Employee Relations Officer as the employee organization which has the right to meet and confer in good faith as the majority representative of all members of an appropriate representation unit pursuant to Section 1 1 hereof, except those employees in such unit who have exercised their right not join an employee organization and who choose to represent themselves individually with the City, or has been designated through a secret ballot election as the exclusive representative of the employees in an appropriate representation unit pursuant to Section I I of this Resolution. SCOPE OF REPRESENTATION - means those matters relating to employment conditions and employer - employee relations including, but not limited to, wages, hours, and other terms and conditions of employment except, however, that the scope of representation shall not include consideration of the merits, necessity, or organization of any service or activity provided by law or executive order. Section 3: Designation of the City's Emploype Relations Officer The City Council hereby designates the City Manager as the Employee Relations Officerwho shall be the City's principal representative on all matters of employer - employee relations, with authority to meet and confer in good faith on matters within the scope of representation, and to administer CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 Page 87 25G -89 EXHIBIT C (Continued) all provisions of this Resolution and the employee relations rule and procedures adopted pursuant thereto. The Employee Relations Officer is authorized to delegate his duties and responsibilities. Section Q: Meet and Confer in Good Faith - Scope City representatives and representatives of formally recognized employee organizations having exclusive representation rights, have the mutual obligation personally to meet and confer in good faith in order to exchange freely information, opinions and proposals and to endeavor to reach agreement on matters within the scope of representation prior to the adoption by the City of its final budget for the ensuring year. The City shall not be required to meet and confer in good faith on a subject preempted by Federal or State law or by the City Charter. Section 5; Notice The City will give reasonable written notice to each recognized employee organization affected by any ordinance, rule, resolution, or regulation relating to matters within the scope of representation proposed to be adopted by the City, and each such organization shall be given the opportunity to meet and confer with the Employee Relations Officer prior to such adoption, In cases of emergency when 'the City determines that an ordinance, rule, resolution, or regulation relating to matters within the scope of representation must be adopted immediately without prior notice or meeting with recognized employee organization, the Employee Relations Officer shall provide such notice and opportunity to meet at the earliest practicable time following the adoption of such ordinance, rule, resolution or regulation. Section 6: Petition for Recognition An employee organization that seeks to be formally acknowledged as the Recognized Employee Organization representing the employees in an appropriate unit shall file a petition with the Employee Relations Officer containing the following information and documentation: Name and address of 'the employee organization, Names and titles of its officers. Names and titles of employee organization representatives who are authorized to speak on behalf of the organization. A statement that the employee organization has, as one of its primary purposes, representing the employees in their employment relations with the City. A statement whether the employee organization is a chapter or local of, or affiliated directly or indirectly in any manner with, a regional or state, or national or international organization, and, if so, the name and address of each such regional, state or international organization. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 Page 88 25G -90 EXHIBIT C (Continued) Certified copies of the employee organization's constitution and bylaws, including all amendments thereof, A designai'ion of those persons, not exceeding three in number, and their addresses, to whom sent by first class or certified United Stares mail will be deemed sufficient notice on the employee organization. A statement that the employee organization is cognizant of the provisions of Section 3509 of the Meyer- Milias -Brown Act. A statement that the employee organization has no restriction on membership based on race, color, creed, sex, or national origin. A description of the composition of the unit or units claimed to be appropriate, including the job classifications of employees and the number of member employees therein, as well as a statement of reasons why the unit or units is or are considered to be appropriate. A statement that the employee organization has in its possession written proof, dated by the signer within six (6) months of the date upon which the petition is filed, to establish that a majority of the employees in the unit claimed to be appropriate have designated the employee organization to represent them in their employment relations with the City. Such written proof shall be made in such language and form as the Employee Relations Officer shall prescribe and shall be submitted for confirmation to the Employee Relations Officer to a mutually agreed upon disinterested third party. Notwithstanding the above, the Employee Relations Officer, in his sole discretion, may accept employee dues deduction authorization, using the payroll register for the period immediately preceding the date of filing of a Petition of Recognition, as proof of employee support for the petitioning organization, except that dues deduction authorizations for more than one employee organization for the account of any one employee shall not be considered as proof of employee support for any employee organization, unless it can otherwise be shown that the dues deduction for the petitioning organization is the only one which provides full membership rights and privileges, including the right to vote. A request that the Employee Relations Officer recognize the petitioning employee organization as the Recognized Employee Organization representing the employees in the unit(s) claimed to be appropriate forthe purpose of meeting and conferring in good faith on all matters within the scope of representation. The Petition, including all accompanying documents, shall be declared to be true, correct and complete, under penalty of perjury, by the duly authorized officer(s) of the employee organization executing it. The Employee Relations Officer may require additional information as required by this Resolution to be included in the Petition. The Employee Relations Officer shall give prompt written notice of the filing of a Petition to any recognized employee organization affected thereby. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 - 2017 25G -91 Page 89 EXHIBIT C (Continued) Section 7: CCU Response to Recognition Petition Upon receipt of the Petition, the Employee Relations Officer shall within ten (10) days determine whether: There has been compliance with the requirements of the Recognition Petition; and The proposed representation unit is an appropriate unit in accordance with Section 11 of this Resolution. If an affirmative determination is made by the Employee Relations Officer on the foregoing two matters, he shall within ten (10) days after making said determination, inform the petitioning employee organization, shall give written notice of such request for recognition to the employees in the unit and shall take no action on said request for thirty (301 days thereafter. If either of the foregoing matters are not affirmatively determined, the Employee Relations Officershall meet and discuss the matter with such petitioning employee organization, and, If such determination thereafter remains unchanged, shall inform that organization of the reasons therefore in writing. The petitioning employee organization may appeal such determination in accordance with Section 13 of this Resolution. Section 8: Open Period for Filing Challenaina Petition(s) Within thirty (30) days of the date written notice was given to affected employees that a valid Recognition Petition (s) for an appropriate unit has been filed, any other employee organization may file a competing request to be formally acknowledged as the recognized employee organization of the employees in the same or in an overlapping unit (one which corresponds with respect to some but not all the classifications or positions set forth in the Recognition Petition being challenged), by filing a petitionls) evidencing proof of employee support in the unit claimed to be appropriate of at least thirty (30) percent and otherwise in the some form and manner as set forth in Section b of this Resolution. If such challenging petition(s) seeks establishment of an overlapping unit, the Employee Relations Officer shall call for a hearing on such overlapping petitions for the purpose of ascertaining the more appropriate unit, at which time the petitioning employee organizations shall be heard. Thereafter, the Employee Relations Officer shall determine the appropriate unit or units in accordance with the standards in Section I of this Resolution. The petitioning employee organizations shall have fifteen (15) days from the date notice of such unit determination is communicated to them by the Employee Relations Officer to amend their petitions to conform to such determination or to appeal such determination pursuant to Section 13 of this Resolution. Section 9: Election Procedure The Employee Relations Officer shall arrange fora secret ballot election to be conducted by a party agreed to by the Employee Relations Officer and the concerned employee organization(s) in accordance with its rules and procedures subject to the provisions of this Resolution. All employee organizations who have duly submitted petitions which have been determined to be in conformance with this Resolution shall be included on the ballot. The choice of "no organization" shall also be included on the ballot. Employees entitled to vote in such election shall be those persons employed full time in regular, permanent positions within the designated appropriate unit who were employed during the pay period immediately prior to the date which ended at least CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 - 2017 Page 90 25G -92 EXHIBIT C (Continued) fifteen (15) days before the date the election commences, including those who did not work during such period because of illness, vacation or other authorized leaves of absence, and who are employed by the City in the some unit on the date of election. An employee organization shall be formally acknowledged as the Recognized Employee Organization for the designated appropriate unit following an election or runoff election if it received a numerical majority of all valid votes cast In the election. If an election involving three or more choices, where none of the choices receives a majority of the valid votes cast, a runoff election shall be conducted between the two choices receiving the largest number of valid votes cast (that is, either between two employee organizations, or one employee organization and no representation); the rules governing an initial election being applicable to a runoff election, except that the runoff election shall be held within fifteen (15) days following the certification of the initial election results. There shall be no more than one valid election under this Resolution pursuant to any petition in a 12 month period affecting the same unit. In the event that the parties are unable to agree on a third party to conduct an election, the election shall be conducted by the California State Conciliation Service. Costs of conducting elections shall be borne In equal shares by the City and by each employee organization appearing on the ballot. In cases where a Memorandum of Understanding between the City and an employee organization is in effect on the effective date of this Resolution, it shall be presumed for the duration of the Memorandum of Understanding that the unit set forth in the Memorandum of Understanding is appropriate and that the employee organization is the majority representative of the employees covered therein. Unless a petition is filed pursuant to Section 12 below, if shall be presumed that when said Memorandum of Understanding terminates the employee organization shall continue to be a majority representative of employees covered by said Memorandum of Understanding for the purposes of meeting and conferring regarding matterswithin the scope of representation; provided, however, the employee organization files with the City the information required by Section 6(a), 1 through 13 of this Resolution. Nothing contained herein shall preclude an employee organization from filing a petition for recognition pursuant to Section 6 or Section 10 of this Resolution at the expiration of Memoranda of Understanding which expire on June 30, 1981. Section 10: Procedure for Decertification of Recognized nize Employee Organization A Decertification Petition alleging that the incumbent Recognized Employee Organization no longer represents a majority of the employees in an established appropriate unit may be filed with the Employee Relations Officer only during the month of January of any year following the first full year of recognition or during the thirty (30) day period commencing one hundred eighty (180) days prior to the termination date of a Memorandum of Understanding then having been in effect less than three P) years, whichever occurs later. A Decertification Petition may be filed by employees or their representative, or an employee organization, and shall contain the following information and documentation declared by the duly authorized signatory under penalty of perjury to be true, correct and complete: The name, address and telephone number of the petitioner and a designated representative authorized to receive notices of requests for further information. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 25G -93 Page 91 EXHIBIT C (Continued) The name of the established appropriate unit and of the incumbent Recognized Employee Organization sought to be decertified as the representative of that unit. An allegation that the incumbent Recognized Employee Organization no longer represents a majority of the employees in the appropriate unit, and any other relevant and material facts relating thereto. Proof of employee support that a majority of the employees in the established appropriate unit no longer desires to be represented by the incumbent Recognized Employee Organization, Such proof shall be submitted for confirmation to tho Employee Relations Officer or to a mutually agreed upon disinterested third party. The Employee Relations Officer can only accept those petitions which 1) request decertification of the current formally recognized employee organization and 2) do not request to carve out another unit from the already established appropriate unit, An employee organization may file a Petition under this Section in the form of a Recognition Petition that conforms to the requirements of Section G of this Resolution in satisfaction of the Decertification Petition requirements hereunder. The Employee Relations Officer shall initially determine whether the Decertification Petition or Recognition Petition, if any, have been filed in compliance with the applicable provisions of this Resolution. If his determination is in the negative, he shall offer to consult thereof with the represen[ative(s) of such petitioning employees or employee organization, and if such determination thereafter remains unchanged, shall return such Petition(s) to the employees or employee organization with a statement of the reasons therefore in writing. The petitioning employees or employee organization may appeal such determination in accordance with Section 13 of this Resolution, If the determination of the Employee Relations Officer is in the affirmative, or if his negative determination is reversed on appeal, he shall give written notice of such Decertification of Recognition Petition to the incumbent Recognized Employee Organization and to unit employees. The Employee Relations Officer shall thereupon arrange for a secret ballot election to be held on or about fifteen (15) days offer such notice to determine the wishes of unit employees as to the question of decertification, and if an accompanying Recognition Petition was duly filed, and, in the event decertification of the incumbent Recognized Employee Organization is voted, the question of representation. Such election shall be conducted in conformance with Section 9 of this Resolution. The cost of any election proceeding under the provisions of this Section shall be borne entirely by the employee organization(s) challenging the incumbent recognized employee organization. An employee organization which displaces another employee organization as a formally recognized employee organization following an election conducted pursuant to this Section shall assume any existing Memorandum of Understanding then in effect as a condition of recognition and said Memorandum of Understanding shall remain in full force and effect forthe balance of the term thereof. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2019 -2017 Page 92 25G -94 EXHIBIT C (Continued) Section 11: Policy and Standards for Determination of Appropriate Units The basic policy objectives in determining the appropriateness of units shall be the effect of a proposed unit on 1) the efficient operations of the City and its compatibility with the primary responsibility of the City and its employees to effectively and economically serve the public and 2) providing employees with effective representation based on recognized community of interest considerations. These policy objectives require that the appropriate unit shall be the broadest feasible grouping of positions that share an Identifiable community of interest. Factors to be considered shall be: Similarity of the general kinds of work performed, types of qualifications required, and the general working conditions, History of representation in the City and similar employment; except however, that no unit shall be deemed to be an appropriate unit solely on the basis of the extent to which employees in the proposed unit hove organized. The effect of the proposed unit on efficient operations of the City and the compatibility of the unit with the responsibility of the City and its employees to serve the public. The effect on the administration of employer - employee relations created by the fragmentation of classifications and proliferation of units. Effect on the classification structure and impact on the stability of the employee relationship of dividing a single or related classification among two or more units. Notwithstanding the foregoing, management employees shall only be included in a unit consisting solely of management employees and confidential employees shall be included in a unit consisting solely of confidential employees. When the City establishes new classifications or positions, or modifies the job content of an existing classification or position, the Employee Relations Officer shall, after notice to and consul lotion with all affected employee organizations, determine which, if any, representation unit shall include such new or modified classifica [ion (s) or posifion(s). Section 12: Procedure for Modification of Established Appropriate Units Requests by employee organizations for modifications of established appropriate units may be considered by the Employee Relations Officer only during the period specified in Section 10 of Phis Resolution. Such requests shall be submitted in the form of a Recognition Petition, and, in addition to the requirements set forth In Section 6 of this Resolution, shall contain a complete statement of all relevant facts and citations in support of the proposed modified unit in terms of the policies and standards set forth in Section 1 1 hereof. The Employee Relations Officer shall process such petitions as other Recognition petitions under this Resolution. The Employee Relations Officer may on his motion propose, during the period specified in Section 10 of this Resolution, that an established unit be modified. The Employee Relations Officer shall give writ fen notice of the proposed modification(s) to any affected employee organization and shall CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2015 -2017 Page 93 25G -95 EXHIBIT C (Continued) hold a meeting concerning the proposed modification(s), at which time all affected employee organizations shall be heard. Thereafter the Employee Relations Officer shall determine the composition of the appropriate unit or units in accordance with Section 11 of this Resolution, and shall give written notice of such determination to the affected employee organizations. The Employee Relations Officer =s deten°ninaticn may be appealed as provided in Section 13 of this Resolution. If a unit is modified pursuant to the motion of the Employee Relations Officer hereunder, employee organizations may thereafter file Recognition Petitions seeking to become the Recognized Employee Organization for such new appropriate unit or units pursuant to Section 6 hereof. Section 13. Appeals An employee organization aggrieved by an appropriate unit determination of the Employee Relations Officer under this Resolution may, within ten (10) days of notice thereof, appeal such determination to the City Council for final decision. An employee organization aggrieved by a determination of the Employee Relations Officer that a Recognition Petition (Section 6); Challenging Petition (Section 8) or Decertification Petition (Section 10) or employees aggrieved by a determination of the Employee Relations Officer that a Decertification Petition (Section 10) has not been filed in compliance with the applicable provisions of this Resolution, may, within fifteen (15) days of notice of such determination, appeal the determination to the City Council for final decision. Appeal to the City Council shall be filed in writing with the City Clerk, and a copy thereof served on the Employee Relations Officer. The City Council shall commence to consider the matter within thirty (30) days of the filing of the appeal, and shall rendera final and binding decision regarding the resolution of the disputed issue(s) raised by the appeal after each party involved has been given an opportunity, during a public meeting, to present written and oral arguments in support of their respective positions and, if the City Council so desires, after any future investigation or review of the matter as it may deem appropriate. The City Council, may, in its discretion, refer the dispute to a third party hearing process for the purpose of seeking an advisory determination prior to making its final decision regarding the resolution of the dispute. Section 14: Submission of Current Information by Recognized Emolovee Organizations All changes in the information filed with the City by a Recognized Employee Organization under Items 1 through 13 of its Recognition Petition under Section 6 of this Resolution shall be submitted in writing to the Employee Relations Officer within fifteen (15) days of such change. Section 15: Pavroll Deductions on Behalf of Employee Oraanizations Upon formal acknowledgment by the City of a Recognized Employee Organization under this Resolution, only such Recognized Employee Organization may be provided payroll deductions of membership dues and insurance premiums for plans sponsored by such organization upon the written authorization of employees in the unit represented by Recognized Employee Organization on forms provided therefore by the City. The providing of such service to the Recognized Employee Organization by the City shall be contingent upon and in accordance with the provisions of Memorandum of Understanding and /or applicable administrative procedures. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 --2017 Page 94 25G -96 EXHIBIT C (Continued) Section 16: Employee Organization Activities - Use of CCU Resources Access to City work locations and the use of City paid time, facilities, equipment and other resources by employee organizations and those representing them shall be authorized only to the extent provided for in Memorandum of Understanding and /or administrative procedures; shall be limited to activities pertaining directly to the employer - employee relationship and not such internal employee organization business as soliciting membership, campaigning for office, and organization meetings and elections; and shall not interfere with the efficiency, safety and security of City operations. Section 17: Administrative Rules and Procedures The Employee Relations Officer is hereby authorized to establish such rules and procedures as appropriate to implement and administer the provisions of this Resolution after consultation with affected employee organizations. Section 18; Initiation of Impasse Procedures If the meet and confer process has reached impasse as defined in this Resolution, either party may initiate the impasse procedures by filing with the other party a written request for an impasse meeting, together with a statement of its position on all disputed issues. An impasse meeting shall then be scheduled promptly by the Employee Relations Officer. The purpose of such impasse meeting shall be; To identify and specify in writing the issue or issues that remain in dispute; To review the position of the parties in a final effort to resolve such disputed issue or issues; and If the dispute is not resolved, to discuss arrangement for the utilization of the impasse procedures provided herein. Section 19: Impasse Procedures Impasse procedures are as follows: If the parties so agree, the issue or issues at impasse shall be submitted directly to the City Council for determination. If they do not agree within seven (7) days following the conclusion of the impasse meeting set forth in Section 18 above, either party may submit the impasse to mediation. All mediation proceeding shall be private and the mediatorshall make no public recommendation, nor take any public position at any time concerning the issues. If the parties are unable to agree on a mediator after a reasonable period of time, they shall select the mediator from a list of three names to be provided by the State Conciliation Service, or if that agency for any reason shall fail to provide such list, by the American Arbitration Association. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 Page 95 25G -97 EXHIBIT C (Continued) Upon receipt of such list, the parties shall alternately strike names from the list until a single name remains who shall become the mediator. The priority of striking names shall alternate from one parry to the other each time impasse procedures are invoked by the same parties. The employee organization or the City shall commence this process in an order determined by lot striking the first name from such list of names in any initial mediation. The cost of the mediator, if any, shall be shared equally by both parties. If the parties have failed to resolve all their disputes through mediation within fifteen (15) days of the mediator commenced meetings with the parties, the parties may agree to submit the issues in dispute directly to the City Council. In that event, the City Council shall finally determine the issues after conducting a public hearing thereon and after such further investigation of the relevant facts as it may deem appropriate. If the parties have exhausted the mediation process, the matter shall be submitted to the City Council for resolution. Section 20: Construction This Resolution shall be administered and construed as follows: Nothing in this Resolution shall be construed to deny to any person, employee, organization, the City, or any authorized officer, body or other representative of the City, the rights, powers and authority granted by Federal or State law or City Charter provisions, Nothing in this Resolution shall be construed as making the provisions of California Labor Code Section 923 applicable to City employees or employee organizations, or of giving employees or employee organizations the right to participate in, support, cooperate or encourage, directly or indirectly, any strike, slckout, other total or partial stoppage or slowdown of work or any other interference with the conduct of the City's operations. Nothing contained in this Resolution shall abrogate any written Memorandum of Understanding between any employee organization and the City in effect on the effective date of this Resolution. All such agreements shall continue in effect for the duration of the term specified therein unless modified or rescinded by mutual agreement of the parties thereto. Whenever written notice is required by this Resolution, such notice shall deem to have been received on the day immediately following the day on which it was mailed (excluding Saturdays, Sundays, and holidays on which the offices of the City are closed) provided the same was sent by first class or certified mail, postage prepaid to the City at 20 Civic Center Plaza, Santa Ana, California 92701, or to any employee organization of its last address furnished to the City. Section 21: Severobility In any section, subsection, sentence, clause or phrase of this Resolution, or the application of such portion to any person or circumstance, shall be held invalid by a decision of any court of competent jurisdiction, the remainder of this Resolution, or the application of such portion to persons or circumsfances other than those as to which it is held invalid, shall not be affected thereby. The City CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU'. 2016-2017 Page 96 25G -98 EXHIBIT C (Continued) Council hereby declares that it would have passed this Resolution and each section, subsection, sentence, clause and phrase thereof, irrespective of the fact that any or more sections, subsections, sentences, clauses or phrases be declared invalid. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Ana: that this Resolution shall be operative from and after May 18, 1981. ADOPTED this 18th day of May, 1981, by the following vote: AYES: Acosta, Bricken, Griset, Luxembourger, Markel, McGuigan, Serrat CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2015 -2017 25G -99 Page 97 EXHIBIT D 9/80 HARDSHIP CLAIM FORM Name: Division /Section: Position: Work Telephone Number: Supervisor Name and Telephone: Work Hours: Proposed Work H Basis for Hardship Claim: Options explored by employee to resolve the hardship: _ Employee's proposed solution: Supervisor's needs /concerns /comments: Hardship Committee Recommendation to Department Head: CONFIDENTIAL ASSOCIATION OF SANTA ANA ICASAI MOU: 2015 -2017 Page 98 25G -100 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: MEMORANDUM OF UNDERSTANDING WITH THE SANTA ANA MANAGEMENT ASSOCIATION {STRATEGIC PLAN NO. 7,6} CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a Memorandum of Understanding with the Santa Ana Management Association, subject to non - substantive changes approved by the City Manager and City Attorney, regarding wages and other terms and conditions of employment for a two -year period from July 1, 2015 to June 30, 2017. DISCUSSION The City and the Santa Ana Management Association (SAMA) recently completed contract negotiations, resulting in a new Memorandum of Understanding. The provisions of this Memorandum of Understanding include: 1) Term: A two -year term, from July 1, 2015 through June 30, 2017. 2) Salary Increase: A 2.5% increase on both July 1, 2015 and July 1, 2016 with a "me too" guarantee to receive a higher salary increase if any other bargaining unit negotiates a greater increase. 3) Sick Leave payout language: SAMA members who notify the City of their intent to retire within twelve months from the date of retirement shall have the option of cashing out eligible sick leave balances. Currently, these monies are deposited into the employee's health savings account for later use to defray health insurance premium costs. 4) Vacation: Regular and longevity vacation shall be combined into one bank of leave time effective January 1, 2016. 5) Vacation Cash Out: Maximum cash out shall be increased from 60 hours to 80 hours. 25H -1 MOU with the Santa Ana Management Association August 4, 2015 Page 2 6) Personal Necessity: Conditions for the use of three days of personal necessity time shall be expanded to include specific personal emergencies In addition to illness of a family member. 7) Dental Insurance: Effective January 1, 2016, the City's dental insurance contribution shall increase from $90 per month to $110 per month. 6) Joint Labor Management Team (JLMT): A JLMT shall be formed to discuss alternative providers of deferred compensation plans and options that could Include 401(k)a plans. STRATEGIC PLAN ALIGNMENT Approval of this Item allows the City to meet Goal #7 — Team Santa Ana, Objective #6 - (Provide a positive workplace environment that supports the health of its employees and celebrates its success and Goals). FISCAL IMPACT This Memorandum of Understanding will result in a cost of $170,000 during fiscal year 2015 -16 and a cost of $325,000 during fiscal year 2016 -17 for a total cost to the City of $495,000 during the term of the Memorandum. Funds are available in the salary accounts of the various agencies with SAMA employees. Edward S. Rays - Executive Director Personnel Services Department Exhibit 1: Memorandum of Understanding, SAMA APPROVED AS TO FUNDS AND ACCO NTS: Francisco G ' rrez C Executive Director S� Finance & Management Services Agency 25H -2 MEMORANDUM OF UNDERSTANDING BETWEEN CITY OF SANTA ANA SANTA ANA MANAGEMENT ASSOCIATION July 1, 2015 -- June 30, 2017 55394.00000 \13081631.1 25H -3 MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SANTA ANA MANAGEMENT ASSOCIATION FOR FISCAL YEARS 2015 -17 TABLE OF CONTENTS ARTICLE I RECOGNITION ARTICLE II PURPOSE AND INTENT ARTICLE III IMPLEMENTATION ARTICLE IV ATTENDANCE, WORKDAY, WORKWEEK & WORK SCHEDULE ARTICLE V SALARIES ARTICLE VI ADDITIONAL COMPENSATION ARTICLE VII OVERTIME PAY ARTICLE VIII HOLIDAYS ARTICLE IX VACATION ARTICLE X OTHER LEAVES OF ABSENCE ARTICLE XI EMPLOYEE INSURANCE ARTICLE XII DEFERRED COMPENSATION ARTICLE XIII RETIREMENT ARTICLE XIV TUITION REIMBURSEMENT ARTICLE XV ELECTRONIC DEVICE STIPEND ARTICLE XVI STRIKES AND WORK STOPPAGES ARTICLE XVII SOLE AND ENTIRE MOU ARTICLE XVIII SEPARABILITY PROVISION ARTICLE XIX GRIEVANCE REVIEW PROCEDURE ARTICLE XX WAIVER OF BARGAINING DURING THE TERM OF THIS MOU ARTICLE XXI EMERGENCY WAIVER PROVISION ARTICLE XXI TERM ARTICLE XXIII NON - DISCRIMINATION ARTICLE XXIV RATIFICATION AND EXECUTION EXHIBIT A SCHEDULE OF SALARY RATE RANGES - MM EXHIBIT B SCHEDULE OF SALARY RATE RANGES - AM EXHIBIT C JOB TITLES 55394.00000\1 3081 6 31.1 25H -4 4 18 19 20 22 27 38 41 42 44 45 46. 47 48 49 51 52 53 54 55 56 59 60 ARTICLE I 1.0 RECOGNITION 1.1 Pursuant to the Employee Relations Resolution of the City of Santa Ana (Resolution Number 81 -075) and applicable State law, the City of Santa Ana (hereinafter called "the City ") certified the Santa Ana Management Association (herein after called "SAMA ") on September 25, 2002, as the majority of the Middle Management and Administrative Management Representation Unit (hereinafter called the "Unit') previously found appropriate by the Employee Relations Officer. The City hereby recognizes SAMA as the certified majority representative of the full time employees in said Unit. The term "employee" or "employees" as used herein shall refer only to full-time employees employed by the City in said Unit in the employee classifications comprising said Unit as listed in the attachments shown as listed "Exhibit C," as well as such classifications as may be added hereafter by the employee designated as the employee relations officer pursuant to Resolution No. 81 -75. 55394.00000 \13081631.1 3 25H -5 ARTICLE iI 2.0 PURPOSE AND INTENT 2.1 It is the purpose of this Memorandum of Understanding MOU (hereinafter referred to as MOU) to promote and provide for harmonious relations, cooperation and understanding between the City and employees covered by this MOU. It sets forth the full and entire understanding reached in good faith negotiations regarding the wages, hours, terms and conditions of employment of employees covered by this MOU. 2.2 Notwithstanding the following provisions of this MOU, the parties agree that they have intended nothing herein to entitle, alter, or award Civil Service rights or privileges to any employee represented by SAMA who is in the Excepted Service of the City. 55394.00000113081631.1 4 25H -6 ARTICLE III 3.0 IMPLEMENTATION 3,1 This MOU constitutes a recommendation j ointly submitted to the City Council of the City of Santa Ana. The parties agree that this MOU shall not be binding upon the parties until said City Council: A. Acts, by majority vote, formally to approve said MOU and, B. Acts to appropriate the necessary funds required to implement the provisions of this MOU that require funding. 3.2 Implementation shall be effective as of the date the MOU is both approved by the City Council and the funding has been appropriated pursuant to Section 3.1 above. If the parties fail to agree to implement provisions of this Memorandum not requiring City Council approval, then negotiations shall resume upon the request of either party. 55394.00000 \13081631.1 5 25H -7 ARTICLE IV 4.0 ATTENDANCE, WORKDAY, WORKWEEK, & WORK SCHEDULE 4.1 Attendance. All full time SAMA employees covered by this MOUMOU shall be in attendance at their work during hours prescribed by the Executive Director or his designee(s)and shall not absent themselves during prescribed hours without authorization. SAMA employees shall not be required to submit Leave of Absence Requests for absences of two (2) hours or less. 4.2 Ilours of Work. Eight (8) hours of work shall constitute a normal day and forty (40) hours of work shall constitute a minimum workweek, except for employees for whom special regulations have been approved by the City Manager. A. 4/10 Work Schedule. The Executive Director, with the approval of the City Manager, may assign SAMA employees to a workweek consisting of four (4) ten (10) hour day with an additional one -half (1/2) or one (1) hour for unpaid lunch periods. The regular workweek shall consist of forty (40) hours. A regular day off shall consist often (10) hours. B. 9/80 Work Schedule. All SAMA employees shall be permitted to work a 9/80 work schedule when authorized by the Executive Director and approved by the City Manager. A SAMA employee will not be permitted to work this schedule if in the discretion of the Executive Director and City Manager, the 9/80 work schedule may reduce service to the public. 1. 9/80 Work Schedule Defined. The 9/80 work schedule shall be defined as working eighty hours over nine days in a two -week period. An employee shall work eight days for nine hours per day and one day for eight hours, excluding a one -hour lunch break during each work shift, totaling forty (40) working hours in each work week. a. The Work Week Period. The forty (40) hour work week period shall be defined as the work period starting from Friday at mid -shift to Friday at mid -shift. No employee working the 9/80 work schedule will be able to flex their Friday start time nor the time they take their lunch break, which will occur in the middle of the day on Fridays. b. The 9/80 Work Period. The 9/80 two -week work period for employees starts Friday mid -shift and continues for fourteen (14) days until Friday mid- shift. During this period, each week is made 56394.00000113081631.1 6 25H -8 up of four nine -hour work days (thirty -six hours) and one four -hour Friday and those hours equal forty work hours in each work week (e.g., the Friday is split into four hours for the first shift, which is charged to work week one and four hours for the second shift, which is charged to work week two). C. SAMA employees cannot change schedules without prior approval of their Executive Director. The purpose of this authorization is to review the impact on supervision, staffing and workload. Employees may change schedules at the beginning of any work period with approval of their Executive Director. d. Modification of the 9/80 work week period are not permitted unless authorized by the Executive Director of Personnel Services and the City Manager. e. Emergencies. All SAMA employees on the 9/80 work schedule are subject to be called to work any time to meet any and all emergencies or unusual conditions that, in the opinion of the City Manager, Executive Director or designee, may require such service Rom any of said employees. 2. Leave Benefits, When a SAMA employee is off on a scheduled workday under the 9/80 work schedule, then nine (9) hours of eligible leave per workday shall be charged against the employee's leave balance or eight (8) hours shall be charged if the day off is a Friday. All leaves shall continue under the current accrual, eligibility, request and approval requirements. 3. Holidays. Provisions for holiday leave are found in Article VIII of this MOU. 4. Jury Duty Leave. The provisions of the MOU shall continue to apply; however, if an employee is called to serve on jury duty during a normal Friday off, Saturday, or Sunday, or on a City holiday, then the jury duty shall be considered the same as having occurred during employee's day off work. 55394.000ON 5081051.1 7 25H -9 4.3 It is Intent of the parties that no additional paid time off shall be gained or lost as a result of implementing any alternate work schedules, The City and SAMA agree to meet and confer to discuss abandoning any work schedule and implementing an alternate work schedule if the current schedule has not achieved the desired results. 5539400000 \13081631.1 25H -10 ARTICLE V 5.0 SALARIES 5.1 Basic Compensation Plan. There is hereby established a basic compensation plan for all full -time personnel who are now employed or will in the fixture be employed in any of the designated classifications of employment represented by SAMA as listed in this MOUMOU and its attachments. 5.2 Schedule of Salaries. A. Two separate schedules of salary rate ranges, one for classifications of employment designated as SAMA Middle Management (MM) assigned to 17 -step monthly salary rate ranges, and one for classifications of employment designated as SAMA Administrative Management (AM) assigned to 5 -step monthly salary rate ranges, are attached hereto in matrix format as though set forth herein. The schedules for SAMA Middle Management (MM) classifications and SAMA Administrative Management (AM) classifications and their effective dates are attached to this MOU as Exhibit A and Exhibit B, respectively, and are listed as follows: Category of Employme Salary Effective Schedule No. Date SAMA Middle Management (MM) Refer to Exhibit A 7 -1 -15 (Classification assigned to 17 -step salary rate ranges) SAMA Administrative Management (AM) Refer to Exhibit B 7 -1 -15 (Classification assigned to 5 -step salary rate ranges) B. The basic salary schedule for SAMA Middle Management classifications contains numerous salary rate ranges, each range comprised of seventeen (17) separate rates of pay shown in mond-Ay amounts. The respective rate ranges are identified by a two -digit number preceded by the capital letters "MM." The separate rates of pay or steps within each salary rate range are identified by the numbers "I" through "17" inclusive, with Step "1" being the lowest or minimum rate of the range, Step "9" the middle or midpoint rate of the range, and Step "17" being the highest or maximum rate. The purpose of each step and criteria for advancement are set forth in Subsection 5.8(A) below. 56384.00000 \13081631.1 9 25H -11 C. The basic salary schedule for SAMA Administrative Management contains salary rate ranges comprised of five (5) steps or rates of pay shown in monthly amounts, identified by the letters "A" through "E" inclusive, with Step "A" being the lowest step in the range. The purpose of each step and criteria for advancement to the next higher step within a particular salary rate range are set forth in Exhibit B and in Subsection 5,8(B) below. D. The assignment of SAMA Middle Management classifications to salary rate ranges is listed in Exhibit C, which is attached and made a part hereof as though set forth herein. 5.3 Salaries A. Effective July 1, 2015 the base salaries of classifications covered by this MOUMOU shall be increased by two and one -half percent (2.5 %). Effective July 1, 2016 the base salaries of classifications covered by this MOUMOU shall be increased by two and one -half percent (2.5 %). B. During the term of this MOU, should any other employee bargaining uri t of the City receive any base salary rate increase that exceeds those set forth in Subsection "A" above, SAMA employees shall receive the same base salary increase or equivalent retroactive to the date such increase went into effect for the other bargaining unit. 5.4 Application of Basic Compensation Plan. The salary rate ranges contained in Subsection 5.2 and Exhibits A and B are monthly salary rate ranges. All employees working in classifications of employment covered by this MOU shall be compensated at a monthly rate. 5.5 Probation. Except for employees in the Excepted Service as defined by the City Charter and employees re- employed from re- employment eligible lists, the probationary period shall be one (1) year from the date of appointment from an open eligible list (new hire) or a reappointment eligible list (rehire) or appointment from a promotional eligible list. 5.6 Beginning Rates, A. SAMA Middle Management Classifications. An employee appointed to a Middle Management classification shall be compensated at any rate within the lower third of the 17 step salary rate range (Steps "1" through "6 ") for their job classification 55394.00000 \13081831.1 10 25H -12 as authorized by the Appointing Authority. When economic conditions, unusual employment conditions, or exceptional qualifications of a candidate for employment indicate a higher rate would be in the City's best interest, the City Manager may authorize hiring at a higher rate in the salary rate range but this higher rate generally shall not be above the midpoint. B. SAMA Administrative Management Classifications. An employee appointed to an Administrative Management classification may be placed by the Appointing Authority at any step within the applicable five (5) step salary rate range (Steps "A" through "E ") in the schedule to which the classification has been assigned through adoption of this MOU, provided that such employee shall be assigned such salary step upon the commencement of his or her service in said classification and such assignment having once been made shall remain in effect until the said employee shall be entitled to advance to the next salary step in accordance with the further provisions of this Article as set forth below. 5.7 Service. The word "service" as used in this MOU shall be deemed to mean continuous, full -time service in the classification in which the employee is being considered for salary advancement, service in the higher classification or service in a classification allocated to the same salary rate range and having generally similar duties and requirements. Notwithstanding the above, employees in classifications represented by SAMA who are hired after the first (0) working day of the month shall not be credited with time in service for that month when determining the length of service for salary advancement. A lapse of service by an employee for a period of time longer than ten (10) calendar days, by reason of resignation, quit, or discharge, shall serve to eliminate the accumulated length of service time of such employee for the purpose of this MOU, and any such employee reentering the service of the City shall be considered. as a new employee, except that he or she may be reappointed as provided in Santa Ana Municipal Code (SAMC) Chapter 9 -114 and may be placed in the same salary step in the appropriate salary rate range as he or she was at the time of termination of employment. 55304.00000 \13081631.1 11 25H -13 5.8 Advancement Within Ranges. A, SAMA Middle Management Classes: The following provisions shall govern salary advancement within rate ranges for employees employed in SAMA Middle Management classes: Steps "1" through "15" Advancement: For any employee in a SAMA Middle Management classification covered by this MOU who has been initially appointed to a step lower than Step "15 ", advancement in the SAMA Middle Management schedule of salary rate ranges may be granted only for continued meritorious and efficient service by said employee in the effective performance of the duties of his or her position. Such advancement shall be in two -step increments, each step being equivalent to 2.5 %, for a total annual increase of 5% per year, until Step "15" is achieved, For example, an employee covered by this MOU shall advance from Step 1 to Step 3, Step 3 to Step 5, Step 5 to Step 7, Step 7 to Step 9, Step 9 to Step 11, Step 11 to Step 1.3, or Step 13 to Step 15. The effective date of such merit step increase, if granted, shall be the first (151) day of the month following the completion of one (1) year of service at the step from which said employee is being advanced. 2. Advancement to Steps "16" and "17 ": Any employee in a SAMA Middle Management classification covered by this MOU, who has reached Step "15" or Step "16" in the SAMA Middle Management schedule of salary rate ranges, may advance to the next higher step in the SAMA Middle Management schedule of salary rate ranges only for continued meritorious and efficient service by said employee in the effective performance of the duties of his or her position. Such advancement shall be in one -step increments, each step being equivalent to 2.5% per year until Step "17" is achieved. For example, an employee covered by this MOU shall advance from Step "15" to Step "16 ", and Step "16" to Step "17 ", respectively, 3. Any current SAMA Middle Management employee who previously advanced through the steps of each salary rate range using his or her initial date of hire into a middle management class shall retain that date as the anniversary date for purposes of advancing through the steps of each salary rate range while in his or her current class and for any subsequent promotions to a SAMA Middle Management class. The effective date of such merit step increase, if granted, shall be the first (P) day of the month following the anniversary date. 55394.00000 \13061631.1 12 25H -14 Such merit advancement shall require the following: a. There shall be on file in the office of the Executive Director of Personnel Services a copy of each periodic performance appraisal required to be made on the employee by the Civil Service Rules and Regulations and/or the City Manager during the period of service time of such employee subsequent to his or her last salary advancement. b. The Appointing Authority, at least twenty (20) calendar days prior to the anticipated completion of such employee's required length of service, shall file with the City Manager a statement recommending the granting or denial of the merit increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified by the Appointing Authority as to such recommendations and shall be informed of the reasons. C. No advancement in salary shall become effective until approved by the City Manager, except when placement on a salary step above Step "1" results from promotion under the provisions of Section 5.9 (A) of this MOU, d. Notwithstanding the foregoing provisions of this subsection to the contrary, a merit step advance shall be automatically granted ninety (90) days after the due date if no performance appraisal is completed. The effective date of such merit step advance shall be retroactive to the first (P) day of the month following the completion of the required length of service. 4. When an employee in a SAMA Middle Management classification has not been approved for advancement to the next higher salary step, he or she may be reconsidered for such advancement after the completion of three (3) months of additional continued service in the classification and shall be reconsidered for advancement to the next higher step above his or her then current step after the completion of six (6) months of additional continued service in the classification, 5. An employee in a SAMA Middle Management classification who is being paid at any salary step above Step "1" may be reduced to the next lower step 65394,00000\1 3081631.1 13 25H -15 in the appropriate salary rate range upon the recommendation of the Appointing Authority and the approval of the City Manager. Procedure for such reduction shall follow the same procedure for merit advancement in Subsection 5.8 Paragraph (A) (4) above, and such officer or employee may be considered for readvancement Linder the same provisions as contained in Subsection 5.8 Paragraph (A) (4) above. B. SAMA Administrative Management Classifications: The following conditions shall govern salary advancement within 5 -step rate ranges for employees employed in SAMA Administrative Management classifications: 1, For any employee in a Administrative Management classification covered .by this MOU who has been initially appointed to a step lower than Step "E," advancement to the next higher step (Step "B" from Step "A" or Step "C" from Step "B," etc.) may be granted only for continued meritorious and efficient service by said employee in the effective performance of the duties of his or her position. The effective date of such merit step increase, if granted, shall be the first day of the month following the completion of one year of service at the step from which said employee is being advanced. Such merit advancement shall require the following: a. There shall be on file in the Office of the Executive Director of Personnel . Services a copy of each periodic ef&kTiey—ar performance appraisal required to be made on the employee by the Civil Service Rules and Regulations and /or the City Manager during the period of service time of such employee subsequent to his or her last salary advancement. b. The Appointing Authority, at least twenty (20) calendar days prior to the anticipated completion of such employee's required length of service, shall file with the City Manager a statement recommending the granting or denial of the merit increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified by the Appointing Authority as to such recommendations and shall be informed of the reasons. C. No advancement in salary shall become effective until approved by the City Manager, except when placement on a salary step above 55394.00000 \13081631.1 14 25H -16 Step "A" results from promotion under the provisions of Section 5.9(B) of this MOU. I Notwithstanding the foregoing provisions of this subsection to the contrary, a merit step increase shall be automatically granted ninety (90) days after the due date if no performance appraisal is completed. The effective date of such merit step increase shall be retroactive to the first (1st) day of the month following the completion of the required length of service, 2. When any such employee in a classification designated as Administrative Management (AM) has not been approved for advancement to the next higher salary step, he or she may be reconsidered for such advancement after the completion of three (3) months of additional service and shall be reconsidered for advancement to the next higher step above his or her then current step after the completion of six (6) months of additional service, This reconsideration shall follow the same steps and shall be subject to the same actions as provided in Subsection 5.8(B)(1) above. 3. Any employee in an Administrative Management classification who is being paid at any salary step above "A" may be reduced to the next lower step in the appropriate salary rate range upon the recommendation of the Executive Director and the approval of the City Manager. Procedure for such reduction shall follow the same procedure for merit advancement provided in Subsection 5.8(B)(1) above, and such employee may be considered for re- advancement under the same provisions as contained in Subsection 5.8(B)(2) above. 5.9 Promotional Salary Advancement. A. SAMA Middle Management Classifications: When an employee in a non - management classification of the City service is promoted to a SAMA Middle Management classification, they shall be placed at a salary rate in the appropriate salary rate range that will provide at least a five percent (5 %) pay increase, B. SAMA Administrative Management Classifications; 1. Promotion from a Non - Management Classification. An employee who is promoted to a SAMA Administrative Management classification from a non - management classification of the City service shall be placed at a salary 55394.00000 \13081631.1 15 25H -17 rate in the appropriate Administrative Management monthly salary rate range that provides a pay increase of at least five percent (5 %). Promotional Salaa Advancement. When an employee in a classification designated as Administrative Management (AM) is promoted to a higher classification from a position in a lower classification in the same occupational career ladder, he or she shall be reassigned to the beginning step in the appropriate monthly salary range for the higher classification; provided, however, that if the base salary currently being paid such employee is already equal to or higher than such beginning step, he or she shall be placed in the lowest step in the appropriate monthly salary rate range as will grant the employee a pay increase of at least five percent (5 %) over his or her current base salary step exclusive of pay premiums such as bilingual pay, special skills or the like. 5.10 Demotion. A. SAMA Middle Management Classifications: When an employee in a, Middle Management classification is demoted to a position in a lower classification, he or she shall be placed at a rate in the lower salary rate range which provides at least a five percent (5 %) reduction in pay. B. SAMA Administrative Management Classifications: When an employee in a SAMA Administrative Management Classification is demoted to a position in a lower classification, his or her salary rate shall be fixed in the appropriate salary rate range for the lower classification accordance with the following provisions: The salary rate shall be reduced by five percent (5 %). 2. The new salary rate must be within the appropriate salary rate range. 3. The new salary rate shall not be higher than the salary step to which the employee would have been entitled had his or her service time in the higher classification been spent in the lower classification. 5.11 Probationary Rejection. A promotional employee who is rejected during the probationary period from a SAMA classification shall be returned to the classification in which he or she holds regular status and at his or her former salary step, unless the reasons for failure to complete probation would also be cause for dismissal from City service. 55394.00000 \13081631.1 16 25H -18 5,12 Reallocation of Salary Rate Ranges. An employee who is employed in a classification covered by this MOU which is reallocated to a different salary rate range from that previously assigned shall be retained in the same salary step in the new salary rate range as he or she had previously held in the prior rate range and shall retain credit for length of service in such step towards advancement to the next higher step. 5.13 Acting Pay. An employee in a classification covered by this MOU may be appointed by the Executive Director to serve in an acting capacity during an unplanned absence from work of thirty (30) calendar days or more of another employee represented by SAMA. Represented SAMA employees who are granted "acting pay " shall receive a five percent (5 %) increase or the minimum rate of the higher salary range while serving in an "acting" capacity. 55394.00000 \13061631.1 17 25H -19 ARTICLE VI 6.0 ADDITIONAL COMPENSATION 6.1 Bilingual Pay. An employee whom the Executive Director or his designee assigns to a position requiring bilingual capability in both English and either Samoan, Spanish, Vietnamese or other .languages designated by the City Manager, will be paid a monthly premium in accordance Mth the criteria and amounts set forth below: A. Certification by the Executive Director of Personnel Services as having satisfactorily demonstrated conversational fluency in both languages for any position requiring bilingual capability. B. Positions for which the Executive Director has determined that bilingual proficiency is essential to carry out duties and responsibilities of a critical and/or emergency nature without ready access to backup assistance, or positions where bilingual public contact is a major and essential element of the work being performed, will be designated as Primary Bilingual Assignments. A qualified incumbent of such position will be paid a monthly premium of one hundred seventy -five dollars ($175) above his or her then current base monthly salary step. C. Positions where it has been determined by the Executive Director that regular and frequent bilingual usage is necessary to the performance of duties, but not a major, essential or integral element of the work, will be designated as Secondary Bilingual Assignments. A qualified incumbent of such position will be paid a monthly differential of forty dollars ($40.00) above his or her monthly salary step for each of such assignment. D. The number of such Primary and/or Secondary Bilingual Assignment shall be no larger than the requirements of the department as determined by the Executive Director and the City Manager. E. There may be annual re- certification of such bilingual capability. 6.2 All assignments to positions providing for bilingual pay as set forth in this Article shall be made or revolted at the sole discretion of the Executive Director. 5539400000 \13081631.1 18 25H -20 ARTICLE VII 7.0 OVERTIME PAX 7.1 Compensation for Overtime. Employees in any of the designated classifications of employment listed in this MOU are not eligible for monetary compensation for overtime work or for compensatory time off with pay for overtime work, unless so required by the Fair Labor Standards Act, or any other State or Federal laws. 55394.0000M1 3081631.1 19 25H -21 ARTICLE VIII 8.0 HOLIDAYS 8.1 Employees covered by this MOU who work a regular forty (40) hour workweek schedule shall be entitled to receive the following days off during the calendar year as paid holidays: • January I st - New Year's Day • Third (3rd) Monday in January - In observance of Martin Luther King's Birthday • Third (3rd) Monday in February - In memory of George Washington's Birthday • Last Monday in May - In commemoration of Memorial Day • July 4th - In observance of Independence Day • First (1st) Monday in September - In observance of Labor Day • November 11th - In observance of Veteran's Day • Fourth (4th) Thursday in November - In observance of Thanksgiving Day • The Friday immediately following Thanksgiving Day • Last working day before Christmas Day, unless Christmas Day falls on a Thursday, in which instance, the day following Christmas Day shall be observed in lieu thereof • December 25th - In observance of Christmas Day • One (1) Floating Holiday - Any workday selected by the employee with prior permission of the employee's supervisor • Every day proclaimed by the Mayor of the City as a holiday for City employees • Any holiday which falls on a Sunday will be observed on the following Monday. Any holiday which falls on a Saturday will be observed on the Friday preceding the holiday. 8.2 Holidays — Employees on Alternate Work Schedules. A. Full -time employees whose regular scheduled days off are other than Saturday and Sunday shall be entitled to receive twelve (12) eight (8) hour working days off during the year in lieu of the holiday benefits specified in Section 8.1 above. However, employees with alternative work schedules and employees on a 9/80 work schedule shall be credited with 96 hours of Holiday Time at the beginning of every calendar year in lieu of twelve (12) holidays in the year. If any employee working in the above referenced categories separates from employment prior to December 31 of any year and has exhausted 96 hours of holiday time, the value of 55394.00000 \13081831.1 20 25H -22 hours not yet accrued but used shall be deducted from the final paycheck. B. Said substitute holidays may be scheduled by the Executive Director or his or her designee, normal during the same month that the holiday is observed by other City employees. An employee entitled to time off in lieu of holidays shall receive that time off in proportions to his or her service at full pay in such capacity during the year. 8.3 A newly employee must actually work at least one (1) day preceding the day a. holiday listed in Section 8.1, supra, actually occurs in order to receive credit for such holidays during the month in which it occurs. An employee separating from the service of the City must actually work at least one (1) day following the day a holiday listed in Section 8.1, supra, actually occurs in order to receive compensation for the holiday. A newly appointed employee must complete six (6) months of continuous full -time service in order to receive credit for the Floating Holiday listed in Section 8.1 above. 8.4 Holiday time off may only be taken in incumbents of eight (8) hours. Employees assigned to the 4/10 must use their holiday in ten (10) hour increments. Effective with the date of approval of this MOU by the City Council, employees assigned to a 9/80 work schedule must use their holidays in nine (9) hour increments. 8.5 If a, holiday falls on an employee's Friday off, the employee must then take their holiday off before or after the regular holiday as their holiday off with supervisor and/ or Executive Director approval. If the SAMA employee cannot take their holiday off before or after the regular scheduled holiday off the employee will bank eight hours of holiday leave to be used at a later date with the supervisor's approval. 8.6 Holiday benefits may not be carried over from one (1) calendar year to the next. 55394,00000\1 3081631.1 21 25H -23 ARTICLE IX 9.0 VACATION 9.1 Purpose. It is the policy of the City to grant employees vacation leave in order to provide them with a break in their regular work schedule and this purpose will be used as a guide in the administration of the provisions of tWs Article. 9.2 Vacation. A. Effective January 1, 2016, the regular and longevity vacation accruals of bargaining unit members shall be combined into one single vacation bank. The accrual rates will remain the same, However, after January 1, 2016 there will no longer be a reference to longevity vacation. Longevity vacation earned but not advanced in 2015 will be credited to the employee's vacation bank effective January 1, 2016. Thereafter, members shall accrue the combined vacation with pay on a monthly basis as set forth in the following table. Beginning Years Annual Vacation Hours Accrued Monthly Accrual Rate 1 120 I0.00 2 120 10.00 3 120 10,00 4 120 10.00 5 120 10,00 6 1 124 10.33 7 128 10.67 8 132 11.00 9 136 11.33 10 140 11.67 11 144 12.00 12 148 12.33 13 152 12.67 14 156 13.00 15 160 13.33 16 168 14.00 17 176 14.67 18 184 15.33 19 192 16.00 20 or more 200 16.67 55394.00000113081631.1 22 25H -24 B. No employee shall be entitled to, or receive payment for, any vacation until he or she has completed six (6) months of continuous service. C. On or after the first (1St) day of the month following completion of six (6) months of continuous full -time service, an employee may be allowed to take all or a proportionate fraction of his or her earned vacation, subject to scheduling approval of the employee's supervisor. D. Vacation time off may be taken in increments as small as one -half (1/2) hour, with fractional usage rounded upward to the next higher multiple of one -half (1/2). E. The time at which an employee shall take his or her vacation shall be determined by the Department Head, with due regard for the wishes of the employee and particular regard for the needs of the City. F. Computation of Vacation. In computing vacation, each municipal holiday that occurs during the vacation, and that falls on a day which the employee would have worked had he or she not been on vacation, shall be deducted from the computation so that one (1) additional day of vacation shall be allowed to the employee unless departmental practice provides some other manner of compensating for municipal holidays. Should an employee be confined to a hospital for sickness or injury while on authorized vacation, each full day of such confinement, when confirmed by a physician's statement and approved by the Executive Director, may be deducted from the computation of vacation expended and charged against the employee's accumulated sick leave. 2. A period of earlier service does not apply toward the calculation of the completed years of service factor for vacation accrual when an employee has had a break in continuous service, unless the break in service is concluded by reappointment, as provided in Section 9 -114 of the Civil Service Rules and Regulations, or by reemployment from layoff within one (1) year. Leave of absence without pay, as provided in Article X, Subsection 10.1 (E) (Sick Leave - Extended), Article X, Subsection 10.8 (Authorized Absence Without Pay - Long Term) and Article X, Subsection 10.12 (Catastrophic Leave) herein, does not constitute a break in continuous service as used in this section, however, the leave of absence period shall not be applied toward the accumulation of vacation. Absence on military leave followed by reinstatement, as provided in Chapter 9 -143 of the Civil 66304.00000 \13081631.1 23 25H -25 9,3 Service Rules and Regulations, does not constitute a break in service, and the period of absence on such military leave shall be applied toward the accumulation of vacation. 3. Vacation Buy -Back. Employees covered by this MOU are eligible to require the city to buy back up to eighty (80) hours of their banked vacation per fiscal year. Longevity Vacation. A. Longevity vacation accrual shall be operative only through December 31, 2015. Effective January 1, 2016, vacation accrual shall be governed solely by Section 9.2. B. Each permanent employee is granted additional work days of vacation leave with pay for each completed year of frill -time, continuous city service as set forth in the following table. This additional vacation shall be designated longevity vacation, Hourly Equivalent Cornnleted Years Additional Days of Additional Days 6 1/2 4 7 1 8 8 1 1/2 12 9 2 16 10 21/2 20 11 3 24 12 3 1/2 28 13 4 32 14 41/2 36 15 5 40 16 6 48 17 7 56 18 8 64 19 9 72 20 to 80 C. No employee becomes eligible for longevity vacation until completion of the sixth (6") year of continuous service, and each employee continues to earn the maximum of ten (10) working days (80 hours) of longevity vacation for each completed year of service in excess of twenty (20) years. D. A period of earlier services does not apply toward longevity vacation accumulation 55394.00 0 0 011 30 81 631.1 24 25H -26 when an employee has had a break in continuous service, unless the break in service is concluded by reappointment, as provided in Section 9 -114 of the Civil Service Rules and Regulations, or by reemployment from layoff within one (1) year. Leave of absence without pay, as provided in Article X, Subsection 10.1 (E) (Sick Leave - Extended), Article X, Subsection 10.8 (Authorized Absence Without Pay - Long Term) and Article X, Subsection 10.12 (Catastrophic Leave) herein, does not constitute a break in continuous service as used in this section; however, the leave of absence period shall not be applied toward the accumulation of longevity vacation, Absence on military leave followed by reinstatement, as provided in Chapter 9 -143 of the Civil Service Rules and Regulations, does not constitute a break in service, and the period of absence on such military leave shall be applied toward the accumulation of longevity vacation. 9.4 Vacation Carr A. No employee may carry over from one (1) calendar year to the next, more than the maximum vacation carryover as set forth in the following table. Any vacation not used beyond the maximum carryover amount from year to year is forfeited, meaning that no pay shall be received for such unused vacation at any time. With respect to any vacation forfeited in this mannex, this provision constitutes a waiver of any rights to vested vacation benefits under California Labor Code section 227.3. Comp leted Years Maximum Hours of Vacation Carry Over 1 120 2 240 3 360 4 360 5 360 6 364 7 372 8 384 9 396 10 408 11 420 12 432 13 444 14 456 15 468 16 484 17 504 18 528 55394.00000 \13081631.9 25 25H -27 19 552 20 576 21 592 22 600 23 600 24 600 25 or more 600 9.5 Effect of Extended Sick Leave on Vacation Accrual. Absence on sick leave for a period in excess of fifteen (15) consecutive calendar days, in any one (1) calendar month, shall not be considered as service time for vacation accrual purposes. 9.6 Management Vacation Benefit. A. SAMA employees covered by this MOU will be granted an additional five (5) working days [five (5), eight (8) -hour days for forty (40) hour employees] per calendar year of Management Vacation in addition to the vacation accrual table in Section 9.2.A. above subject to a maximum accrual of thirty (30) days (240 hours) of such additional Management Vacation.. 9.7 Management Vacation Pay Option. A. SAMA employees shall be given once each calendar year the option to receive cash compensation, computed on a straight time basis, in lieu of up to five (5) 8 -hour working days of earned, unused Management Vacation benefits. . 55394.00000 \13081831,1 26 25H -28 ARTICLE X 10.0 OTHER LEAVES OF ABSENCE 10.1 Sick Leave, A. Definition. Except as otherwise provided below, sick leave shall be deemed to mean absence from duty of an employee because of illness, injury, medical, or dental appointment that prevents the employee from performing the duties of his or her position, and shall be deemed to include time in quarantine resulting from exposure to a contagious disease. B. Accrual. Each employee shall be entitled to, and shall earn, one (1), eight (8) hour working day of sick leave for each full calendar month of service in which he is employed by the City with full pay; provided, however, any absence on sick leave for a period of time greater than fifteen (15) consecutive calendar days in any one (1) calendar month shall not be considered to be service entitling an employee to earn sick leave as aforesaid. Subject to the other provisions in this Article, sick leave shall accrue to the credit of each employee to the extent that it is not used. C. Authorized Only When Necessary. Use of sick leave by City employees shall be authorized as follows: 1, Sick leave is not a right which an employee may use at his or her discretion, but shall be allowed only in cases of necessity and actual sickness or disability, or as authorized in Subsection J below, 2. When an accepted industrial illness or injury has caused an employee's absence, for which benefits are required under the State Workers' Compensation Insurance and Safety Act, paid sick leave will be allowed such employee during the first three (3) days of the statutory waiting period. I£ the workers' compensation related illness or injury continues past the initial three (3) consecutive days, the employee will have the three (3) used sick days recredited to his or her account, if the employee remains off work longer than 14 days. Paid sick leave will continue until the fourth (4t ") day when the City pays the employee workers' compensation benefits for such illness or injury. If the employee does not have sufficient accumulated sick leave at the commencement of such industrial illness or injury, they will be advanced sick leave for this purpose, Subsequently, the City will deduct an equal amount previously advanced from any sick leave accrued by the 55394,00000 \13081631.1 27 25H -29 employee until the total amount is recovered. If the employee terminates before recovery of all advanced sick leave, the City will deduct the unrecovered cost of sick leave from such terminated employee's final paycheck, to the extent possible. Commencing with Council approval of this MOU, the City may authorize employees to use sick leave or vacation time for approved workers' compensation medical appointments as specified herein. The City may authorize use of such leave for City approved medical appointments whenever such appointments cannot be secured outside the employee's regular workday, and salary continuation or workers' compensation benefits are not available. D. Limit. 1. The maximum total accumulation of sick leave with pay shall be two hundred (200), eight (8) hour working days (1600 hours). Sick leave usage of less than a full day shall be charged in minimum increments of one -half (1/2) hour, with fractional usage rounded upward to the next higher multiple of one -half (1/2) hour. 2. Effective January 1, 2005, the maximum total accumulation of sick leave with pay will be increased by 400 hours to a maximum of 2,000 hours. These additional 400 hours of accumulated sick leave will not be permitted to be compensated or converted to health insurance premiums as specified herein under Subsection 10.1 (K) of this Article at the time of non- disciplinary termination, E. Extended. The City Manager may grant leave up to six (6) months without pay to an employee who has exhausted all of his or her accrued sick leave if a licensed physician designated by the City Manager indicates that the employee will be sufficiently recovered to return to his or her employment within a six (6) month period. Prior to the expiration of the additional time, the employee may return to his or her position provided that the employee has a certificate from the designated physician stating that the employee is able to perform all the duties of his or her position without qualification. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year without pay. F. Extension by Use of Vacation. After an employee's sick leave has been exhausted, he or she may be granted permission to take any lmused vacation leave benefits he 55394.000OOk13081631.1 28 25H -30 or she may have accrued. G. Notice. The employee taking sick leave shall notify his or her immediate supervisor either prior to or within four (4) houus after the time he or she is scheduled to report for duty, or as otherwise established by departmental regulations, When the absence is more than three (3) consecutive working days, the employee must present to his or her Executive Director a physician's certificate stating the cause of illness and that, in the physician's opinion, the employee could not report to work because of such illness or injury and that the employee is sufficiently recovered to safely return to work. Such certificate shall be transmitted to the Executive Director of Personnel Services with the report of the employee's return to work. A physician's certificate or other satisfactory written evidence of actual illness or injury may be required after an absence of any duration less than three (3) days. H. Denial. No employee shall be entitled to sick leave with pay while absent from duty because of sickness or injury purposely self - inflicted or caused by willful misconduct; or, sickness or disability sustained while engaged in employment other than employment by the City, for monetary gain or other compensation, or by reason of engaging in business or activity for monetary gain or other compensation. Excess Usage. If sick leave is used in excess of that due and available an employee, such excess sick leave will, first, be deducted from any available vacation leave benefit; second, from the next scheduled salary payment. Necessity Leave. Each employee shall be afforded the opportunity to use up to 48 hours of sick leave per calendar year, on a non - cumulative basis, as personal necessity leave. All of this personal necessity leave may be used to attend to an illness of a child, parent, or spouse of the employee or as further specified below. As used in this section, "child" means a biological, foster, or adopted child, a stepchild, a legal ward, or a child of a person standing in loco parentis; "parent" means a biological, foster, adoptive parent, a stepparent, or a legal guardian; and "immediate family" means any member of the employee's household related by blood or marriage; a parent, parent -in -law, spouse, child, brother, sister, grandparent, or grandchild of the employee, regardless of residence; any other relative of the employee by blood or marriage, where it can be established by the employee that the employee's presence is required to handle emergency arrangements and /or other matters. 55394.00000 \13081631.1 _ 29 25H -31 Up to 48 hours of this personal necessity leave may be used: a) to attend to a serious accident to members of the employee's immediate family; b) childbirth; c) to cope with imminent danger to the employee's family, home, or other valuable property; d) when the existence of external circumstances beyond the employee's control make it impossible for him or her to report for duty; or e) attend to medical or dental appointments for members of the employee's household. For the purposes of this section only, a "day" shall be defined as the number of hours of work that an employee is required to work according to his or her specific workday schedule. K. Payment for Unused Sick Leave. Except in cases of disability retirement, upon non - disciplinary termination of employment after ten (10) years of cumulative full -time service with the City, each qualified employee shall be entitled to payment for one -third (1/3) of the total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum limit of fifty - three and one -third (53.33) eight (8) hour working days, at the rate of pay effective on the date of such termination. Maximum sick leave cash -out after ten (10) years of service shall be equal to 427 hours (53.33 x 8). At the employee's election, payment of unused sick leave may be received in either a hump sum of money, or in equal monthly payments for a period of up to five (5) years. A lump sum payment shall be made to the beneficiaries of any eligible employee whose death occurs while such employee is an active employee of the City, such payment to be in the amount of one -third (1/3) of the total sick leave benefit credited to the employee's account at the time of his or her death, and at the rate of pay effective on the date of death. 2. At his or her option, an employee may convert any lump sum payment provided herein into health insurance premiums, to the extent necessary to provide the employee and his or her designated eligible dependents, if any, with benefits under the health insurance program maintained by the City. The City's obligation to pay such premiurn shall terminate upon the happening of any of the following events; a. Premiums have been paid on behalf of the former employee lmtil all 55394.00000 \13081831.9 30 25H -32 monies are exhausted; or b. The sum of premiums paid equals one hundred fifty percent (150 %) of the amount of the lump sum payment that the employee would have received for unused sick leave benefits had this option not been elected. C. Except in cases of disability retirement, upon non - disciplinary termination of employment after fifteen (15) years of cumulative full -time service with the City, each qualified employee shall be entitled to payment for two - thirds (2/3) of the total sick leave benefit credited to his or her account upon the effective date of such termination to be applied toward health insurance premiums only as specified in Subsection K(2) above excluding Subsections a and b 3. Payment After Twenty-Five Years. Affected employees shall be granted payment for unpaid sick leave on the same basis above, with the exception that such affected employees who have completed twenty -five (25) years or more of cumulative service with the City shall be entitled to payment for two - thirds (2/3) of the total sick leave benefit credited to his or her account upon the effective date of his or her termination, not to exceed a maximum limit of 1066 hours, at the rate of base pay effective on the date of such termination. 4. SAMA members who notify the City, in writing, of their intent to retire within 12 calendar months shall be allowed to cash out any eligible sick leave bank balances (K.I and K.3.), upon request. Employees shall receive payment as soon as practical, and no longer than 30 days after the request has been made. If said employee cashes out his /her eligible sick leave bank balances prior to retirement and subsequently does not retire from City, all future sick leave accrual for said employee shall be subject to the same cash out provision elected and will be processed on the final paycheck. All combined cash outs cannot exceed what the said employee would have been entitled to if the cash out was processed on the final paycheck only. The City Manager is authorized to grant a newly appointed incumbent of a SAMA classification sick leave credits up to an amount equal to any earned but unused sick leave credits available to such appointee at the time of his or her separation from his or her most recent previous employer, 55304.00000 \13081631.1 31 25H -33 10.2 Bereavement Leave. A. An employee shall be granted up to three (3) days leave without loss of pay in case of death of a member of the employee's immediate family. Such leave is designated as bereavement leave. "Immediate family" as used in this section is limited to: Any member of the employee's household related by blood or marriage; 2. A parent, parent -in -law, spouse, child, brother, sister, grandparent or grandchild of the employee, regardless of residence; 3. Any other relative of the employee by blood or by marriage where it can be established by the employee that as a result of such relative's death, the employee's presence is required to handle funeral arrangements and /or matters of estate. B. Whenever an employee is required to travel one way more than 500 miles to attend to the death of a member of the employee's immediate family, an employee may use up to sixteen (16) hours of additional leave charged to their Personal Necessity Leave balance when authorized by the Executive Director. 10.3 Military Leave. A. Proof of Orders and Reinstatements. An employee shall be granted military leave if he or she furnishes the Executive Director of Personnel Services satisfactory proof of his or her order to report for duty. Upon return and upon showing of proof of actual service pursuant to such orders, he or she will be reinstated as provided in Chapter 9 -143 of the Civil Service Rules and Regulations of the City of Santa Ana. B. Temporary. Members of the reserve forces of the United States, or the National Guard, granted temporary leave when ordered to duty, in accordance with the Military and Veterans Code, will be granted leave with pay not to exceed thirty (30) calendar days in each calendar year after one (1) year's service with the City upon presenting satisfactory proof of orders to and from such temporary active duties. 10.4 Jgry and Witness Leave. When an on -duty employee is called to serve as a juror or non- party witness in any court action, he or she shall be allowed to leave for the time actually required for such service without loss of pay. Each on -duty employee called for such service shall present to his or her Executive Director for examination the subpoena calling him or her, to such service and shall pay into the City Treasury the fees collected for such 55394.00000 \130816311 32 25H -34 service, with the exception of reimbursement for transportation expenses, if any, 10.5 Unauthorized Absence, Unauthorized absence from duty for any duration of time may be considered cause for dismissal, Absence from duty without leave for five (5) consecutive working days shall be deemed a resignation from the service; provided, however, if upon return to duty the person so absenting himself or herself makes an explanation satisfactory to the Executive Director regarding the cause of his or her absence, the Executive Director may restore him or her to his or her position, with the City Manager's approval. 10.6 Authorized Absence Without Pay - Short Term. Absence without pay not to exceed five (5) consecutive working days, may be authorized by the Executive Director. Absence without pay not to exceed fifteen (15) calendar days may be authorized by the Executive Director with the approval of the City Manager. Such an absence may be authorized only if in the judgment of the Executive Director it serves the best interest of the City. 10.7 Authorized Absence Without Pay - Long Term. Upon receipt of a written request from an employee having permanent status, plus action by the Executive Director recommending approval of the request, the City Manager may grant a leave of absence without pay for up to six (6) months. An employee returning to duty with the City shall inform the Executive Director and the Executive Director of Personnel Services of his or her intention at least thirty (30) calendar days prior to the expiration of the six (6) month period, or shorter period if the full six (6) months is not taken. Upon receipt of such notice, the Executive Director will take steps necessary to restore the employee to his or her former position. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year leave of absence without pay. 10.8 Industrial Leave. Any period of time during which an employee is required to be absent from his or her position by reason of an industrial injury or industrial illness for which be or she is entitled to receive compensation shall not be considered a break in continuous service for the purpose of his or her right to salary adjustments or to the accrual of vacation and seniority. 1.0.9 Pregnancy ability Leave. A pregnant employee is entitled to a reasonable leave of absence without pay for any temporary disability resulting from pregnancy, miscarriage, childbirth or recovery therefrom. Such reasonable leave of absence shall not exceed four (4) months. However, an employee may be granted up to an additional two (2) months of leave, at the discretion of the City Manager, for a total of up to six (6) months in which to 55384,00000 \13081631.1 33 25H -35 recover from the disability if substantiated by a physician's certificate. Employees may take an unpaid leave of absence during pregnancy disability consistent with the law. As with all other temporary disabilities, a physician's certificate is required to verify the extent and duration of the temporary disability. An employee who plans to take a pregnancy leave must give a reasonable notice (not less than four (4) weeks) before the date she will take the leave and the estimated duration of the leave. Health and welfare insurance coverage will be continued only if the employee pays a cash premium to continue coverage while on a leave of absence without pay or is covered under the Family Medical Leave Act (FMLA) or California Family Rights Act (CFRA) provisions. 10.10 Administrative Leave. The City Manager is authorized to grant, at his or her discretion, paid or unpaid leave for full time SAMA employees. 10.11 Catastrophic Leave. In order to assist employees otherwise granted leave of absence without pay by the City Manager because of a catastrophic, non - industrial medical condition or injury, the City and. SAMA agree to implement a Catastrophic Leave Donation Program. Nothing herein shall be construed to alter City policies and procedures as provided in the Charter or ordinance of the City of Santa Ana or other provisions of this MOU with regard to granting unpaid leaves of absence. The Catastrophic Leave benefit will be provided for non - industrial injury or sickness only. The leave shall cover the uncompensated time prior to the employee's becoming eligible for the Long Term Disability benefits. A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. Employees may donate vacation time or one in lieu holiday to the eligible employee. In no event shall sick leave be donated, 2. Employees shall be provided a two -week periods to submit donations. Donations received after this two -week period shall not be processed. The two -week period for each case shall be designed by the Executive Director 55384.00000 \13081631.1 34 25H -36 or his or her designee as provided herein below. 3. All donations must be made in two (2) hour increments and a maximum of eight (8) hotius per donor, except in lieu holidays must be for eight (8) hours. 4, Any authorization of donations not made in accordance with the procedures outlined in Subsection 10.12(C)(2) below, will not be processed. All donations shall be irrevocable. 6. In event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accrued by the recipient and designated as sick leave and way be used pursuant to Subsection 10.1 (A) through 10.1(K). Donations shall be limited to employees of this bargaining unit or any other unrepresented unit. B. Eli ig b�X. SAMA employees shall be eligible for Catastrophic Leave Donations if the following criteria are met: 1. When it is reasonably foreseeable that all accrued time on the books, such as sick leave and vacation, will be exhausted and the employee's illness will continue past the time when the employee will be on paid status. 2. The employee's Executive Director, or his or her designee, has approved a written request for donation accompanied by a medical statement from the employee's attending physician. The attending physician's statement must verify the employee's need for an extended medical leave and an estimate of the time the employee will be unable to work, C. Procedure. 1. Upon receipt of a valid request for donations from an eligible employee, the Executive Director or his or her designee shall post a notice of the eligible employee's need for donation on bulletin boards accessible to employees. No confidential medical information shall be included in the posted notice. 2. Employee wishing to donate time to an eligible employee must sign his or her authorization of the transfer of such donated time and provide: 55394.00000 \13081631.1 35 25H -37 a. His or her name, department name, and employee number. b. The number of hours of vacation time of the donation within the limitation of Subsection 10.12(A)(3) above; C. The name, department and employee number of the recipient; d. A statement indicating that the donor understands such donation of time is irrevocable. 3. At the close of the donation period, the department shall verify that each donating employee has accrued vacation time balances sufficient to cover the designated donation. 4. The department shall submit all approved donation authorizations for an eligible employee at one time for processing. No donation authorizations for the eligible employee will be processed after this period. However, employees who receive donations under this procedure and who exhaust all donated hours may request an additional donation period subject to the provisions of Subsection 10.12(A) herein. 5. The City shall add the donated time to the recipient's sick leave account. 55394.00000 \13081631.1 36 25H -38 ARTICLE XI 11.0 EMPLOYEE INSURANCE 11.1 Health Insurance, The City shall contribute toward medical premiums for each employee covered by this MOU that amount equal to the premium in effect for each tier of the CalPERS Kaiser Permanente HMO Other Southern California plan, as determined by the employee's coverage selection. Any contribution necessary to maintain benefits under said medical plans in excess of the amount set forth above shall be borne entirely by the employee. 11.2 Dental Insurance. A. The City shall continue to contribute the current maximum amount of $90 per month per SAMA employee for employee dental insurance premiums. Effective January 1, 2016, the City contribution amount will be increased to a maximum of one hundred ten dollars ($110) per month per employee. B. Any contribution necessary to maintain benefits under said dental plans in excess of the amount set forth above shall be borne entirely by the employee. 11.3 Long -Term Disability- &T,D,) Insurance. The City shall continue to pay one hundred percent (100 %) of the premium cost for a 60 -day elimination period long term disability insurance plan for employee covered by this MOU. 11A Life Insurance. The City shall continue to pay one hundred percent (100 %) of the premium cost for term life insurance coverage under the policy it maintains on behalf of employees in order to provide employees covered by this MOU with life insurance coverage in an amount equal to twice such employee's annual rate of salary to a maximum of three hundred thousand ($300,000) provided said employees can provide evidence of insurability of coverage, if so required by the terms and conditions of said term life insurance policy. In the event any such employee is determined to be ineligible for said insurance coverage, the City will attempt to provide as much coverage as may be obtained at reasonable cost not to exceed the actual monthly premium amount allotted for said coverage without having to provide evidence of insurability. 11.5 The City shall retain the right to change health, dental and life insurance carriers, 55394.00000 \13081031.9 37 25H -39 administer the insurance benefits provided thereunder, and select and /or change any excess or supplemental insurance carriers as a part of any self - insurance plan during the term of this MOU, provided that employees covered by this MOU continue to receive equivalent benefits and provided that the parties have met and conferred before the benefits changes are made. 11.6 SAMA employees shall have the option of waiving coverage under any City sponsored group insurance plan, such as medical, and dental, and receiving a cash payment (subject to taxation as wages) each month in an amount equal to the City contribution for the "employee- only" coverage for medical and the City contribution for family dental. The above specified amounts of City contributions towards each such coverage waived, will be applied to earned income. 11.7 Medical Retirement Subsidy Plan. A. Effective June 30, 2015, SAMA dissolved the City's Medical Retirement Subsidy Plan for employees covered under this MOU. Prior to that date, all existing SAMA Medical Retirement Subsidy Plan funds were distributed among SAMA membership and, if applicable, its retired members. SAMA agrees to defend the City against, and indemnify the City for, any liability and damages incurred by the City as a result of the dissolution of the SAMA Medical Retirement Subsidy Plan, B. Effective October 1, 2014, employees covered under this MOU began participating in the "Vantage Care" Retirement Health Savings Plan (RHS), as earlier implemented by the City, which designated ICMA -RC as the administrator of the plan. At that time, employees covered under this MOU received a one -time increase of 1.25% in their base pay, which amount was deposited into their individual RHS accounts each pay period going forward. C. Employees covered under this MOU shall continue to contribute 1.25% of their base pay each pay period to the RHS plan, which amount shall be deposited into the employee's individual RHS account. 11.8 Vision Plan. The City shall maintain in effect its existing vision care plan through EyeMed, for employees covered by this MOU, This plan is voluntary on behalf of the employee and shall be fully funded by the participating employee. . 55394.00000\13081631.1 38 25H -40 ARTICLE XII 12.0 RESERVED 55394.00000 \13081631.1 39 25H -41 ARTICLE XIII 13.0 RETIREMENT 13.1 General. The terms of the existing contract between the City and California Public Employees' Retirement System (CalPERS) governing the City retirement benefits for affected employees are incorporated by reference herein. The City shall continue to make contributions to CalPERS in accordance with its contract with CalPERS for SAMA employees covered by said contract as amended. 13.2 Deferred Retirement. The City will continue to make payment to CaIPERS on behalf of each SAMA employee, in an amount necessary to pay one hundred percent (100 %) of his or her individual retirement contribution which is currently equal to eight percent (8 %) of base salary, effective January 1, 2009. Such payments shall be credited to the individual employee's CaIPERS account. Such payments are not increases in base salary and no salary rate range applicable to any of the employees covered by this MOU shall be changed or deemed to have been changed by reason thereof. As a result, the City will not treat these payments as ordinary income and, thus will not withhold Federal or State income tax from said payments. The City has received an opinion or ruling from the Internal Revenue Service confirming that these payments are deferred compensation, and not ordinary income. In the event that the City receives a ruling from the Internal Revenue Service that such payments are ordinary income of the employees instead of deferred, compensation, the City's obligation to make such payments shall discontinue and in place thereof the base salary of each said employee shall forthwith be increased by eight percent (8 %) after January 1, 2009. For the purpose of reporting an employee's compensation to CaIPERS, the City shall include these payments as if they were a part of the employee's base salary. 13.3 Credit for Unused Sick Leave. An employee covered by this MOU, can have unused accumulated sick leave at the time of retirement converted to additional service credit at the rate of 0.004 years of service credit for each day of unused sick leave (i.e., 200 days of sick leave equals .80 additional years of service credit). The City must report only those days of unused sick leave that were accrued by the employee during the normal course of employment. This section applies to members whose effective date of retirement is within four (4) months of separation from employment. 55394.00000 \13081631.1 40 25H -42 13.4 Military Service Credit as Public Service, An employee covered by this MOU may elect to purchase up to four (4) years of service credit for any continuous active military or merchant marine service prior to employment. The employee must contribute an amount equal to the contribution for current and prior service that the employee and the employer would have made with respect to that period of service. 13,5 2.7°% at 55 Service Retirement Benefit for Classic Miscellaneous Members. The City agrees to provide Miscellaneous employees covered by this MOU with the 2.7% at 55 Service Retirement benefit. pursuant to Ca1PERS regulations. This formula will apply to each year of eligible service credited with the City of Santa Ana. Employee Contribution for Retirement Benefit. The employee's contribution rate will be 8 %. All employee contributions for retirement benefits are paid to the employer cost (i.e., employer contribution) in accordance with Government Code section 20516(f). The parties acknowledge that this provision has been mutually negotiated and incorporated as an essential element of the parties' MOU, In the event that either party wishes to modify this provision in a successor MOU, the parties intend for this provision to remain unchanged until a successor MOU is ratified or impasse procedures have been concluded. Pre - Taxable Benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations, the City shall make the above employee deductions pre -tax contributions. 13.6 For "New Members" within the meaning of the California Public Employees' Pension Reform Act ( PEPRA) of 2013 The PEPRA went into effect on January 1, 2013. The parties agree that if there is any other clean up or other retirement legislation which goes into effect during this MOU and if there are provisions of that legislation which, bylaw, automatically goes into effect, either party may request to negotiate over the legislation, including over the impact. Retirement Formula: Per Government Code Section 7522.20(a), the 2 %@ 62 retirement formula for non, sworn. Final compensation will be based on the highest annual average compensation earnable during the 36 consecutive months immediately preceding the effective date of his or her retirement, or some other 36 consecutive month period designated by the member. Employees shall pay one half of the normal cost rate, as established by CaIPERS. 55394.00000 \13081631.1 41 25H -43 ARTICLE XIV 14.0 TUITION REIMBURSTMENT 14.1 SAMA employees shall continue to be eligible to participate in the existing Training and Education Assistance Program provided for all regular, full -time employees of the City; except, however, reimbursement for eligible employees shall be one hundred percent (100 %) of tuition and registration costs up to a maximum of two thousand dollars ($2,000), per year in accordance with the provisions of that program. 55394.00000 \13061631.1 42 25H -44 ARTICLE XV 15.0 ELECTRONIC DEVICE STIPEND 15.1 Electronic Device Stipend All full -time SAMA employees covered under this MOU, whose supervisor determines are required to have a cellphone or tablet will be given the option to choose one of the following: A. Be provided a City paid phone or tablet, or B. Be compensated a maximum $75.00 monthly to cover costs related to the use of personal electronic devices (phone and/or tablet) for City business. Employees who use their own devices will comply with the City's policy. 55394.00000\1 3081631.1 43 25H -45 ARTICLE XVI 16.0 STRIKES AND WORK STOPPAGES 16.1 Prohibited Conduct. A. SAMA, its officers, agents, representatives, and members agree that during the term of this MOU, they will not cause or condone any unlawful strike, walkout, slowdown, sickout, or any other unlawful job action by withholding or refusing to work. 13. According to City Charter Section 1014, any employee who participates in any conduct prohibited in Subsection A above shall be subject to suspension, demotion or dismissal by the Appointing Authority. 16.2 SAMA Responsibility. Whenever SAMA, its officers, agents, representatives, or members engage in any of the conduct prohibited in Subsection 14.1(A) above of this Article, SAMA will immediately instruct any persons engaging in such conduct that their conduct is violating this MOU and unlawful, and they must immediately cease engaging in the conduct prohibited in said Subsection 14.1(A) above, and return to work. 55394 00000 \13061631.1 44 25H -46 ARTICLE XVII 17.0 SOLE & ENTIRE MOU 17.1 It is understood and agreed that the parties to this MOU are subject to all current and future applicable Federal and California laws, The City of Santa Ana Charter, its Municipal Code, and its City's Employer- Employee Relations Resolution Number 81.75. It is the intent of the parties hereto that the provisions of this MOU will supersede all prior MOUs, memoranda of MOU, memoranda of understanding, or contrary salary, and /or personnel rules and regulations, Municipal Code provisions of the City, oral or written MOUs expressed or implied between the parties. This MOU will govern the entire relationship and will be the sole source of any rights that they may assert hereunder. This MOU is not intended to conflict with Federal or State law or the City Charter. 17.2 Notwithstanding the above, there exists within the City personnel rules and regulations and departmental rules and regulations. The City shall continue these rules and regulations to the extent that they do not contravene specific provisions of this MOU. Such rules and regulations may, from time to time, be changed by the City. If these changes affect wages, hours, or other terms and conditions of employment, the City shall meet and confer with SAMA; provided further, the parties shall change no provision of the rules and regulations to contravene specific provisions of this MOU, 68394.00000 \13081631.1 45 25H -47 ARTICLE XVIII 18.0 SEPARABILITY PROVISION 18.1 Should any provisions of this MOU be found to be inoperative, void, or invalid by a court competent jurisdiction, all other provisions of this MOU shall remain in full force and effect for the duration of this MOU, provided that if any such affected provisions invalidate or void any benefits of employees covered hereunder, the parties shall forthwith commence negotiations to replace the invalidated benefits with benefits of comparable value, 55394.00000 \13081631.1 46 25H -48 ARTICLE XIX 19.0 GRIEVANCE REVIEW PROCEDURE 19.1 Definition of a Grievance. A grievance shall be defined as a timely complaint by an employee or group of employees or the Association concerning the interpretation or application of specific provisions of this MOU, or of the rules and regulations governing personnel practices or working conditions of the City, except, however, those matters specifically assigned to the jurisdiction of the City Personnel Hoard by those provisions of the City Charter and the Civil Service Rules and Regulations. No employee shall suffer any reprisal because of filing or processing of a grievance or participation in the Grievance Review Procedure, 19.2 Informal Process. A. An employee must first attempt to resolve the grievance on an informal basis through discussion with his or her immediate supervisor without undue delay, but in no case, beyond a period of ten (10) calendar days after the occurrence of the alleged incident giving rise to the grievance, or when the grievant knew or should have reasonably become aware of the facts giving rise to the grievance. H. Every effort shall be made to find an acceptable solution to the grievance through this informal means at the most immediate level of supervision. C. In order that this informal procedure may be responsive, both parties involved shall expedite this process. If, within five (S) working days, a mutually acceptable solution has not been reached at the informal level, the employee shall then set forth the grievance in writing, indicate the nature of the action desired, sign it, and submit it in duplicate to his or her immediate supervisor. At this point, the grievance review process becomes formal. Should the grievant fail to file a written grievance, and in the manner specified above, within ten (10) working days after first discussing the grievance with the employee's immediate supervisor, the grievance shall be barred and waived. 19.3 Formal Process. A. If a grievance is not resolved through the informal process, and a written grievance is filed within the time limits set forth above, the grievant's immediate supervisor shall add his or her comments and any justification he or she considers proper, sign 55394.00000 \13081631.1 47 25H -49 it, and forward it to the Department Head without undue delay or, in no case, more than ten (10) calendar days. B. If the grievant files a written grievance with the Department Head in the mariner and within the time limits specified, then a conference shall be held at the request of the employee or the Department Head. C. The Department Head shall inform the employee of his or her action within ten (10) calendar days after receipt of the request of the settlement. The original of the grievance form and the Department Head's decision shall be filed in the personnel records of the department. D. If no satisfactory settlement has been reached at the departmental level, the employee may, within ten (10) calendar days after being informed by the Department Head of his or her decision on the matter, and the reasons thereof, submit the grievance in writing to the City Manager, or his or her duly authorized representative, for determination. Failure of the grievant to take this action will constitute a waiver and bar to the grievance, and the grievance will be considered settled on the basis of the Department Head's response. E. The City Manager or his duly authorized representative, after a careful review, shall render a final decision on the merits of the grievance, in writing, and return it to the grievant within fifteen (15) calendar days after receiving the grievance. A copy of the written grievance to the City Manager, or his or her duly authorized representative, and of the City Manager's or his or her representative's written decision shall be filed in the personnel records of the department and the grievant's personnel jacket maintained in the Personnel Services Department, F. After the procedures set forth in this Article have been exhausted, the grievant, the Association, and the City shall have all rights and remedies to pursue said grievance under the law, 55394.00000 \13081831.1 48 25H -50 ARTICLE XX 20.0 WAIVER OF BARGAINING DURING THE TERM OF THIS MOU 20.1 During the term of this MOU, the parties mutually agree that they will not seek to negotiate or bargain concerning wages, hours, or terms and conditions of employment, whether or not covered by the MOU, or in the negotiations leading thereto, and whether or not such matters were discussed, or were even within the contemplation of the parties during the negotiations leading to this MOU. Regardless of the waiver contained in this Article, the parties may, however, by mutual MOU, in writing, agree to meet and confer about any matter not covered by this MOU, or to carry out any provision of salary or benefit tied to another bargaining unit during the term of this MOU. 20,2 RE- OPENER REGARDING THE POSSIBLE MERGER OF MIDDLE AND ADMINISTRATIVE MANAGEMENT CATEGORIES OF EMPLOYMENT During FY 2010 -11, the City and SAMA agree to re -open the MOU for the purpose of discussing the feasibility of merging Middle and Administrative Management categories of employment. 55394.00600 \13081631.1 49 25H -51 ARTICLE XM 21.0 EMERGENCY WAIVER PROVISION 21.1 In case of circumstances beyond the control of the City, such as acts of God, fire, flood, insurrection, civil disorder, national emergency, or similar circumstances, provisions of this MOU or the Santa Ana Municipal Code or Resolutions, which restrict the City's ability to respond to these emergencies, shall be suspended for the duration of such emergencies. After the City declares the emergency over, this MOU will be reinstated immediately. SAMA shall have the right to meet and confer with the City regarding the impact of the suspension of the provisions in the MOU during the emergency. 65394.00000\1 3081631.1 50 25H -52 ARTICLE XXII MKIMMI ail 22.1 The term of this MOU shall commence on the date when the terms and conditions for its effectiveness, as set forth in Article III, Implementation, are fully met, but in no event shall said MOU become effective prior to 12:01 a.m. on July 1, 2015. This MOU shall expire and otherwise be fully terminated at 12:00 midnight on June 30, 2017. 55394.00000 \13081631.1 51 25H -53 ARTICLE XXIII 23.0 NON - DISCRIMINATION 23.1 The parties mutually recognize and agree fully to protect the rights of all employees covered hereby to join and participate in the activities of SAMA and all other rights in the Employee Relations Resolution (Resolution Number 81 -075) and Government Code, Sections 3500 through 3511. 23.2 The provisions of this MOU shall be applied equally to all employees covered hereby without favor or discrimination because of race, color, sex, sexual orientation, age, national origin, political or religious opinions or affiliations, or disability status or other factors not directly related to the successful performance of the job. 55394.00000\1 3081631.1 52 25H -54 ARTICLE XXIV 24.0 RATIFICATION & EXECUTION 243 The City and SAMA have reached an understanding as to certain recommendations to be made to the City Council of the City of Santa Ana and have agreed that the parties hereto will jointly urge said Council to adopt a new wage and salary resolution which will provide for the changes contained in said joint recommendations. The City and SAMA acknowledge that this MOU shall not be in full force and effect until ratified by the membership of SAMA and adopted by the City Council of the City of Santa Ana. Subject to the foregoing, this MOU is hereby executed by the authorized representatives of the City and SAMA and entered into 4th day of August, 2015. CITY OF SANTA ANA, a Municipal Corporation of the State of California Dated: By: Mayor Dated: By: City Manager Dated: _ By: Executive Director of Personnel Services ATTEST: APPROVED AS TO FORM: Clerk of the Council Sonia R. Carvalho, City Attorney 55394.00000113061631.1 53 25H -55 This MOU has been ratified by the membership of the Santa Ana Management Association, Dated: SAMA: President Vice President By: 5 5394. 0000017 308163 1.1 54 25H -56 Exhibit A Schedule of Salary Rate Ranges for Represented Middle Management Classes of Employment Effective 7/01/15 F 01F 02r 03' 04' 05r 06F 07r 08r 09v 10F 11r 12r 13' 14F 15r 16F 17 MM -10 6328 6485 6646 6814 6987 7159 7337 7521 7710 7901 8098 8300 8511 8721 8938 9164 9393 MM-11 6485 6646 6814 6987 7159 7337 7521 7710 7901 8098 8300 8511 8721 8938 9164 9393 9628 MM-12 6646 6814 6987 7159 7337 7521 7710 7901 8098 8300 8511 8721 8938 9164 9393 9628 9868 MM -13 6814 6987 7159 7337 7521 7710 7901 8098 8300 8511 8721 8938 9164 9393 9628 9868 10117 MM -14 6987 7159 7337 7521 7710 7901 8098 8300 8511 8721 8938 9164 9393 9628 9868 10117 10368 MM-15 7159 7337 7521 7710 7901 8098 8300 8511 8721 8938 9164 9393 9628 9868 10117 10368 10626 MM -16 7337 7521 7710 7901 8098 8300 8511 8721 8938 9164 9393 9628 9868 10117 10368 10626 10893 MM -17 7521 7710 7901 8098 8300 8511 8721 8938 9164 9393 9628 9868 10117 10368 10626 10893 11165 MM-18 7710 7901 8098 8300 8511 8721 8938 9164 9393 9628 9868 10117 10368 10526 10893 11165 11443 MM -19 7901 8098 8300 8511 8721 8938 9164 9393 9628 9868 10117 10368 10626 10893 11165 11443 11729 MM -20 8098 8300 8511 8721 8938 9164 9393 9628 9868 10117 10368 10626 10893 11165 11443 11729 12023 MM -21 8300 8511 8721 8938 9164 9393 9628 9868 10117 10368 10626 10893 11165 11443 11729 12023 12323 MM -22 8511 8721 8938 9164 9393 9628 9868 10117 10368 10626 10893 11165 11443 11729 12023 12323 12532 MM -23 8721 8938 9164 9393 9628 9868 10117 10368 10626 10893 11165 11443 11729 12023 12323 12632 12949 MM -24 8938 9164 9393 9628 9868 10117 10368 10626 10893 11165 11443 11729 12023 12323 12632 12949 13271 MM -25 9164 9393 9628 9868 10117 10368 10626 10893 11165 11443 11729 12023 12323 12632 12949 13271 13604 MM -26 9393 9628 9868 10117 10368 10626 10893 11165 1144311729 12023 12323 12632 12949 13271 13604 13941 MM -27 9628 9868 10117 10368 10626 10893 11165 11443 1172912023 12323 12632 12949 13271 13604 13941 14292 MM -28 9868 10117 10368 10626 10893 11165 11443 11729 12023 12323 12632 12949 13271 13604 13941 14292 14649 MM-29 10117 10368 10626 10893 11165 11443 11729 12023 12323 12632 12949 13271 13604 13941 14292 14649 15014 MM -30 10368 10626 10893 .11165 11443 11729 12023 12323 12632 12949 13271 13604 13941 14292 14649 15014 15390 MM-31 10626 10893 11165 11443 11729 12023 12323 12632 12949 13271 13604 13941 14292 14649 15014 15390 15773 MM-32 10893 11165 11443 11729 12023 12323 12632 12949 13271 13604 13941 14292 14649 15014 15390 15773 16169 MM-33 11165 11443 11729 12023 12323 12632 12949 13271 13604 13941 14292 14649 15014 15390 15773 16169 16572 MM-34 11443 11729 12023 12323 12632 12949 13271 13604 13941 14292 14649 15014 15390 15773 16169 16572 16986 MM -35 11729 12023 12323 12632 12949 13271 13604 13941 14292 14649 15014 15390 15773 16169 16572 16986 17411 MM-36 12023 12323 12632 12949 13271 13604 13941 14292 14649 15014 15390 15773 16169 16572 16986 17411 17845 MM-37 12323 12632 12949 13271 13604 13941 14292 14649 15014 15390 15773 16169 16572 16986 17411 17845 18291 MM-38 12632 12949 13271 13604 13941 14292 14649 15014 15390 15773 16169 16572 16986 17411 17845 18291 18749 MM-39 12949 13271 13604 13941 14292 .14649 15014 15390 15773 16169 16572 16986 17411 17845 18291 18749 19217 MM-40 13271 13604 13941 14292 14649 15014 15390 15773 16169 16572 16986 17411 17845 18291 18749 19217 19697 55304.00000\13081031.1 251 -57 EXHIBIT B SCHEDULE OF SALARY RATE RANGES FOR ADMINISTRATIVE MANAGEMENT CLASSES OF EMPLOYMENT CURRRENT AS OF 7/01/15 55394.00000 \13081631.1 56 25H -58 SALARY STEPS JOB TITLE A B _ C D E_ APPLICATIONS SYSTEMS MANAGER (AM) 9462 9939 10436 10957 11506 APPLICATIONS /TECH SUPPORT MANAGER (AM) 9939 10436 10957 11506 12081 BENEFITS AND COMPENSATION SUPERVISOR (AM) 7783 8172 8581 9012 9462 BENEFITS SUPERVISOR (AM) 7376 7745 8133 8540 8968 BUDGET AND RESEARCH MANAGER (AM) 9012 9462 9939 10436 10957 BUDGET SUPERVISOR (AM) 8172 8581 9012 9462 9939 CODE ENFORCEMENT COORDINATOR (AM) 7448 7820 8212 8623 9055 CORRECTIONAL MANAGER (AM) 7897 8291 8706 9142 9600 MAINTENANCE ENTERPRISE ADMINISTRATOR (AM) 8837 9279 9743 10230 10741 PRINCIPAL MANAGEMENT ANALYST (AM) 7783 8172 8581 9012 9462 PRINCIPAL PLANNER (AM) 8837 9279 9743 10230 10741 PROJECT MANAGEMENT OFFICER (AM) 9939 10436 10957 11506 12081 SUPERVISOR OF INSPECTIONS (AM) 8212 8623 9055 9508 9989 WORKERS' COMPENSATION SUPERVISOR (AM) 7376 7745 8133 8540 8968 55394.00000 \13081631.1 56 25H -58 EXHIBIT C JOB TITLES 7/1/2015 RANGE NO. ACCOUNTING MANAGER (MM) MM -25 ADMINISTRATIVE SERVICES MANAGER (MM) MM -22 ASSISTANT CITY ATTORNEY (MM) MM -22 ASSISTANT DIR OF COMMUNITY DEVELOPMENT (MM) MM -26 ASSISTANT DIR OF FINANCE AND MANAGEMENT SVCS (MM) MM -28 ASSISTANT DIR OF PARKS, REC, AND CMTY SVCS (MM) MM -26 ASSISTANT DIR OF PERSONNEL SERVICES (MM) MM -26 ASSISTANT DIR OF PLANNING AND BUILDING (MM) M1M -28 ASSISTANT TO THE CITY MANAGER (MM) MM -22 BUILDING SAFETY MANAGER (MM) MM -26 CHIEF ASSISTANT CITY ATTORNEY (MM) MM -30 CITY ENGINEER (MM) MM -28 CITY TRAFFIC ENGINEER (MM) MM -25 *CODE ENFORCEMENT MANAGER (MM) MM -26 COMMUNITY DEVELOPMENT MANAGER (MM) MM -26 COMMUNITY SERVICES MANAGER (MM) MM -22 CORPORATE YARD FACILITIES /FLEET SVCS MGR (MM) MM -22 COUNCIL SERVICES MANAGER (MM) MM -22 DEPUTY BUILDING OFFICIAL/NEW CONSTRUCTION (MM) MM -22 DEPUTY BUILDING OFFICIAL/PLAN CHECK (MM) MM -25 DEPUTY CITY ATTORNEY (MM) MM -12 DEPUTY CITY ENGINEER (MM) MM -25 ECONOMIC DEVELOPMENT MANAGER (MM) MM -26 FACILITIES MAINTENANCE SUPERINTENDENT (MM) MM -18 HOUSING DIVISION MANAGER (MM) MM -26 *INFORMATION SERVICES AND NETWORK MANAGER (MM) MM -25 LIBRARY OPERATIONS MANAGER (MM) MM -17 PLANNING MANAGER (MM) MM -26 PRINCIPAL CIVIL ENGINEER (MM) MM -25 PUBLIC WORKS MAINTENANCE MANAGER (MM) MM -24 REDEVELOPMENT PROGRAM MANAGER (MM) MM -26 RISK MANAGER (MM) MM -23 SENIOR ASSISTANT CITY ATTORNEY (MM) MM -28 STRATEGIC COMMUNICATIONS MANAGER (MM) MM -19 TRANSIT PROGRAM MANAGER (MM) MM -25 TRANSPORTATION MANAGER (MM) MM -25 TREASURY AND CUSTOMER SERVICES MANAGER (MM) MM-22 WATER RESOURCES MANAGER (MM) MM -26 ZOO MANAGER (MM) MM -22 Title changes pending City Council approval. 55394.00000 \13081631.1 29H -59 55394.00000 \13091631.1 58 25H -60 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: MEMORANDUM OF UNDERSTANDING WITH THE POLICE MANAGEMENT ASSOCIATION (STRATEGIC PLAN NO. 7,6) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1e1 Reading ❑ Ordinance on 20' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a Memorandum of Understanding with the Police Management Association, subject to non - substantive changes approved by the City Manager and City Attorney, regarding wages and other terms and conditions of employment for a two -year period ending June 30, 2017. DISCUSSION The City and the Police Management Association (PMA) recently completed contract negotiations, resulting in a new Memorandum of Understanding. The provisions of this agreement include: 1) Term: A two -year term, from July 1, 2015 through June 30, 2017. 2) Salary Increase: An approximately 2.5% increase on both July 1, 2015 and July 1, 2016 with a "me too" guarantee to receive a higher salary increase if any other bargaining unit negotiates a greater increase. 3) Job Classification Title Changes: The "working' titles of Commander and Deputy Chief will become official job titles and replace Police Lieutenant and Police Captain, respectively. 4) Performance Based Salary: Members who do not receive a "Significantly Exceeds Expectations" rating in their annual performance appraisal shall receive a description of objectives they must meet in order to receive such rating, which is required in order to receive a 5% bonus. 5) Contract Reopener: Either City or PMA may request discussion on options to allow members to staff the Watch Commander position on an overtime basis. 251 -1 MOU with the Police Management Association August 4, 2015 Page 2 6) Educational Incentive Program: List of course offerings shall be updated to delete, add and change the title of certain classes. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #7 — Team Santa Ana, Objective #6 - (Provide a positive workplace environment that supports the health of its employees and celebrates its success and Goals). FISCAL IMPACT This Memorandum of Understanding will result in a cost of $113,667 during fiscal year 2015 -16 and a cost of $227,334 during fiscal year 2016 -17 for a total cost to the City of $341,001 during the term of the Memorandum. Funds are available in the salary accounts of the various agencies with PMA employees. Edward Y Executive Director Personnel Services Department Exhibit 1: Memorandum of Understanding, PMA 251 -2 APPROVED AS TO FUNDS AND ACCOUNTS: t i� � Francisco tierrez S� Executive Director Finance & Management Services Agency MEMORANDUM OF UNDERSTANDING BETWEEN CITY OF SANTA ANA AND SANTA ANA POLICE MANAGEMENT ASSOCIATION REPRESENTATION UNIT JULY 19 2015 THROUGH JUNE 309 2017 251 -3 TABLE OF CONTENTS ARTICLE SUBJECT PAGE ARTICLE I Recognition 3 ARTICLE II Non - Discrimination Clause 4 ARTICLE Ill Attendance, Workday, Workweek and Work Schedule 5 ARTICLE IV Salaries 6 ARTICLE V Assignment and Other Special Pay Additives 12 ARTICLE VI Educational Incentive Program 13 ARTICLE VII Training and Educational Assistance Program 15 ARTICLE VIII Overtime 18 ARTICLE IX Holidays 19 ARTICLE X Vacation 22 ARTICLE XI Other Leaves of Absence 26 ARTICLE XII Employee Insurance 34 ARTICLE XIII Deferred Compensation 37 ARTICLE XIV Retirement 38 ARTICLE XV Technology Stipend 41 ARTICLE XVI Expanded Residency 42 ARTICLE XVII Controlled Parking and Take Home Vehicle Privileges 43 ARTICLE XVIII Discipline 44 ARTICLE XIX Grievance Review Procedure 45 ARTICLE XX Dues Deduction and Indemnification 47 ARTICLE XXI City Rights 48 ARTICLE XXII Strikes and Work Stoppages 50 ARTICLE XXIII Sole and Entire Agreement 51 ARTICLE XXIV Waiver of Bargaining During the Term of MOU 52 ARTICLE XXV Severability Provision 53 ARTICLE XXVI Term o£MOU 54 ARTICLE XXVII Ratification and Execution 55 EXHIBIT A Salary Schedule Matrix 57 EXHIBIT B Assignment of Classes Represented by the Santa Ana 59 Police Management Association to Salary Rate Ranges For Fiscal Years 2014 -15 EXHIBIT C Correspondence from PERS regarding the PERSability 60 of the performance bonus will be inserted, here, 2 251 -4 ARTICLE I 1.0 RECOGNITION 1.1 Pursuant to the provisions ofthe Meyers - Milias -Brown Act, Government Code Section 3500, et seq., the City of Santa Ana (hereinafter called the "City ") has recognized the Santa Ana Police Management Association (hereinafter called the "Association ") as the recognized representative of the bargaining unit which includes Police Department employees in the classifications of Police Communications Manager, Police Commander, Deputy Chief of Police, Police Administrative Manager, Jail Administrator, and Police Systems Manager. (The former titles of Police Lieutenant and Police Captain may continue to be used by the City for such purposes as salary surveys and compensation comparisons for the titles of Commander and Deputy Chief of Police, respectively). 251 -5 ARTICLE II 2.0 NON - DISCRIMINATION CLAUSE 2.1 The City and the Association agree that they shall not discriminate against any employee in violation of State or Federal law. The City and the Association shall reopen anyprovision of this Memorandum of Understanding (hereinafter called the "MOU ") for the purpose of complying with any order of a Federal or State agency or court of competent jurisdiction requiring a modification or change in anyprovision or provisions of this MOU in compliance with State or Federal anti - discrimination laws. 2.2 Whenever reference is made to the masculine gender, it shall be understood to include the feminine gender, unless expressly stated otherwise. 251 -6 ARTICLE III 3.0 ATTENDANCE, WORKDAY, WORKWEEK & WORD SCHEDULE 3.1 Attendance. Employees covered by this MOU shall be in attendance at their work during hours prescribed bythe Police Chief or his or her designee(s) and shall not absent themselves during prescribed hours without authorization from the Police Chief or his or her designee. Employees shall not be required to submit a Leave of Absence Request for absences of two (2) hours or less. 3.2 Alternative Work Schedules. A. All represented employees, except those Commanders assigned as Watch Commanders or assigned to positions designated by the Police Chief as special exemptions, shall be permitted, at the employee's option, to work a 4/10 work schedule. Each workday shall consist of ten (10) hours of work and thirty (30) minutes unpaid, mealtime. Said schedule shall beset bythe Police Chief and subject to annual review by the Police Chief. B. All represented employees (except those Commanders assigned as Watch Commanders) not assigned to the 4/10 work schedule shall work a 9/80 work schedule. Employees assigned to the 207(k) 9/80 work schedule shall work either five (5) nine -hour workdays in the first seven (7) day span and three (3) nine-hour and one (1) eight -hour workdays in the second seven (7) day span, or alternatively three (3) nine -hour workdays and one (1) eight -hour workday in the first seven (7) day span and five (5) nine -hour workdays in the second seven (7) day span. Each nine (9) hour workday shall consist of nine (9) hours of work and thirty (3 0) minutes unpaid mealtime. The eight (8) hoar workday shall consist of eight (8) hours of work and thirty (30) minutes of unpaid mealtime. C. Police Commanders assigned to the Field Operations Division as Watch Commanders will continue to be assigned to a 3/12 — 4/12 work schedule. The minimum work day for these employees will consist of 11 hours and 30 minutes of work, with 30 additional minutes for meals. A minimum work period shall consist of two (2) consecutive weeks, with three (3) shifts of I 1 hours and 30 minutes in one (1) week and four (4) shifts of 11 hours and 30 minutes in the second week. D. For purposes of computing holiday, vacation, and sick leave accruals, an eight (8) hour day shall be the basis for computation. 5 251 -7 ARTICLE IV 4.0 SALARIES 4.1 Basic Compensation Plan. There is hereby established a basic compensation plan for all members of the Association who are now employed or will in the future be employed in any of the designated classifications of employment listed in this MOU and its attachments. 4.2 SalarySchednle. The basic salary schedule, attached hereto in a matrix form as Exhibit "A ", is comprised of four (4) steps or rate ranges of pay for sworn (CaIPERS "Safe(y") employees and five (5) steps or rate ranges of pay for non -sworn (CaIPERS "Miscellaneous ") employees. The steps within each range are identified by the letters "A" through "D" inclusive forsworn (CaIPERS "Safety ") classifications and "AA" through "D" inclusive for non -sworn (CaIPERS "Miscellaneous ") classifications, with Step "A" being the lowest step for sworn (CaIPERS "Safety") and Step "AA' being the lowest step for non -sworn (CaIPERS "Miscellaneous ") classifications. The assignment of classes to salary rate ranges during the term of this MOU is listed in Exhibit "B," which is attached and made a part hereof as though set forth herein. 4.3 Salaries. A. The base salaries of employees covered by thus MOU shall be adjusted as follows: Effective July 1, 2015, employees covered by this MOU shall receive a salary increase of 5 salary rate ranges (approximately 2.5 %. 2. Effective July 1, 2016, employees covered by this MOU shall receive a salary increase of 5 salary rate ranges (approximately 2.5 %. Should any other employee bargaining unit of the City receive a salary increase greater than the increases set forth in Subsections 1 and 2, above, payable during the tern of this MOU, the employees covered by this MOU shall also receive that higher salary increase at the same time as it is received by the other employee bargaining unit. 4. The City and Association agree that upon the expiration of this MOU and during the period of good faith negotiations for a subsequent contract, salary and benefits shall continue at the then current rate. B. The parties agree that the City may, at its sole discretion, alter its payroll practices to eliminate the salary and wage step increases system as set forth in its current payroll 251 -8 matrix, Exhibit "A" to this MOU, and replace them with an equivalent percentage system, For example, a five (5) salary rate range increase would not be computed as set forth on the current matrix, but would instead be exactly 2.5 %, rounded up to or down to the nearest penny. This system would apply to all salary increases as set forth in this MOU, including Article IV ( "Salaries "), Article V ( "Assignment and Other Special Pay Additives ") and Exhibit "A ". There shall be no negative consequences to any represented employee by such conversion, C. The City agrees, during the term of this MOU, to maintain thirty -four (34) salary rate ranges (17 %) between the classes of Deputy Chief of Police and Police Commander. 4.4 Application of Basic Compensation Plan. All employees working in classifications of employment covered by this MOU shall be compensated at a monthly rate, as set forth in Exhibit "B" 4.5 Beginning Rates. An employee appointed to one of the designated sworn (CaIPERS "Safety ") classifications of employment listed in this MOU maybe placed bythe appointing authority at Step "A," Step `B," or Step "C" within the applicable rate range in the schedule to which the class has been allocated by Resolution of the City, provided that such employee shall be assigned such salary step upon the commencement of his or her service in said classification and such assignment having once been made shall remain in effect until the said employee shall be entitled to advance to the next salary step in accordance with the further provisions of the Article. An employee appointed to one of the designated non -sworn (CaIPERS "Miscellaneous ") classifications of employment listed in this MOU maybe placed by the appointing authority at Step "AA," Step "A," Step "B," or Step "C," within the applicable salary rate range as provided above. 4.6 Service. The word "service" as used in this MOU shall be deemed to mean continuous, fall - time service in the classification in which the employee is being considered for salary advancement, service in a. higher classification or service in a classification allocated to the same salary rate range and having generally similar duties and requirements. Employees hired after the first (I") working day of the month shall not be credited with "time in service" for that month when determining the length, of service required for salary step advancement, A lapse of service by an employee for a period of time longer than ten (10) calendar days by reason of resignation, quit, or discharge, shall serve to eliminate the accumulated length of service time of such employee for the purpose of this MOU and any such employee reentering the service of the City shall be considered as a new employee, except that he or she may be. reemployed within two (2) years and placed in the same salary step in the appropriate salary rate as he or she was at the time of termination of employment. "Resignation, quit, or discharge" for purposes of this smtiorr shall mean leaving City service altogether and not movement within City employment by way of transfer, promotion, or 251 -9 demotion between and among any City departments. 4.7 Advancement Within Ranges, The following regulations shall govern salary advancement within rate ranges: A. For any employee covered by this MOU who has been initially appointed to a step lower than Step "D," advancement to the next higher step (Step "A" from Step "AA," Step `B" from Step "A," Step "C" from Step `B," or Step "D" from Step "C," respectively) shall be granted for continued satisfactory and efficient service by said employee in the effective performance of the duties of his or her position. The effective date of an increase from Step "AA" to Step "A," if granted shall be the first (V) day of the month following the completion of six (6) months of service at Step "AA." The effective date of such step increase from Step "A," Step "B," and Step "C," if granted, shall be the first (l't) day of the month following the completion of one (1) year of service at the step to which said employee is being advanced. Such merit advancement shall require the following: There shall be on file in the Office of the Executive Director of Personnel Services a copy of each periodic efficiency or performance report required to be made on the employee by the Civil Service Rules and Regulations and /or the City Manager during the period of service time of such employee subsequent to his or her last salary advancement. 2, The Police Chief, at least twenty (20) calendar days prior to the anticipated completion of such employee's required length of service, shall file with the City Manager a statement recommending the granting or denial of the step increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified of the reasons therefore. 3. No advancement in salary above the lowest step in the salary rate range ofthe designated classification shall become effective until approved by the City Manager, except when placement on a salary step above the lowest step in the applicable salary rate range results from promotion under the provisions of Section 4.9 of this Article. B. When any such employee has not been approved for advancement to the next higher salary step, he or she may be reconsidered for advancement to the next higher step above his or her then current step after the completion of three (3) months of additional service and shall be reconsidered for such advancement after the completion of six (6) months of additional service. 251 -10 4,$. Performance Based Salary Adjustments: Effective July 1, 2014 each Association employee covered by this MOU who has attained Step D may be eligible to receive an annual performance bonus as a one -time monetary incentive payment based on a percentage of current annual rate of base salary in accordance with the following: A. Performance Levels 1. For overall performance rated as `5" Significantly Exceeds Expectations, a one -time monetary incentive payment of five percent (5%). 2. For overall performance rated as `4' Exceeds Expectations, a one -time monetary incentive payment of two and one -half percent (2.5 1/o). 3, For overall performance rated as `3' Meets Expectations, no monetary incentive payment. 4. For overall performance rated as `2' Below Expectations, no monetary incentive payment. 5. For overall performance rated as `1' Significantly Below Expectations, no monetary incentive payment. B. Upon an employee failing to receive a rating of "Significantly Exceeds Expectations" in their Amival Performance Evaluation, the supervisor shall promptly prepare a written document which details objectives the employee must meet in order to receive a "Significantly Exceeds Expectations" rating for that evaluation period and provide that document to the employee. The employee's evaluation will be held in abeyance for a period no longer than 90 days, allowing the employee time to attempt to achieve the objectives, During this time any Performance Based Salary Adjustment for an `Exceeds Expectations," if awarded, shall not be processed. lfthe employee fails to achieve a rating of "Significantly Exceeds Expectations" within the 90 day period he /she will not be eligible for the "Significantly Exceeds Expectations" bonus for that rating period. C. Application of Guidelines 1. Any one -time incentive payment granted under this plan is not an increase in base salary and no salary rate range applicable to any Association employee covered by this MOU shall be changed or deemed to have been changed by reason of such payment. However, such incentive payment for Classic CalPERS members as allowable under CCR Section 57 la will be reported to Ca1PERS as special compensation for calculation towards retirement. 7 251 -11 In the event that CalPERS determines that, such payments do not meet the definitions listed in CCR Section 57 Is as special compensation to be reported to CaIPERS, the City will convert the incentive payment for eligible employees to a meritorious step on the salary range as set forth in section 4.8C(7) below, 3. Any Association employee that is deemed to be a "New CaIPERS Member" is not eligible to have the incentive payment reported to CaIPERS as special compensation. 4. Any Association employee that is off onlODor other leave of absence whose Performance Appraisal date occurs while off work will have their appraisal date adjusted when returning to work for the time not worked. The employee will not be eligible for the incentive bonus payment until completing the required time in their regular position necessary to be evaluated per current departmental policy, 5. Performance based monetary incentive payment amounts for Association personnel shall be recommended by the employee's Supervisor and requires the approval of both the Police Chief and City Manager. 6. The Police Chief shall be responsible for the development and administration of detailed administrative procedures and guidelines for the consistent and effective application of the Association performance appraisal evaluation criteria. Such procedures and guidelines shall define how performance objectives, measure and standards are developed; when and how performance reviews are to be carried out; how overall performance ratings will be determined; and how performance based monetary incentive payment options are to be exercised. If it is determined by PERS that the "Bonus" is not eligible to be included as PERSable compensation, the City shall convert the bonus to two (2) additional merit based steps at increments of 2.5% for the last year that the employee earned the Bonus. The Association understands and agrees that these steps would be merit based and employees must maintain a Significantly Exceeds Rating to receive or maintain the 5% or Exceeds expectations rating to receive or maintain the 2.5 %. Employees who do not receive Significantly Exceeds rating or Exceeds Expectations rating will be returned to Step 4 of the Association salary schedule. a, A copy of any correspondence from PERS regarding the PERSability of this bonus will be attached to this contract as Exhibit "C ". 10 251 -12 4.9 Promotional Salary Advancement. When an employee is promoted to a position in a higher classification from a position in a lower classification, he or she shall be reassigned to the lowest step in the appropriate salary rate range for the higher classification that gives the employee a minimum increase of one (1) salary step (approximately 5 %) over his or her current base salary stop (plus any pay for performance bonus if said employee was at top step in their current classification) and exclusive of anypay additive or additives such as shift differential, assignment pay, special skill pay or the like. 4.10 Demotion. When an employee is demoted to a position in a lower classification, his or her salary rate shall be fixed in the appropriate salary rate range for the lower classification in accordance with the following provisions: A. The salary rate shall be reduced by at least one (1) step. S. The new salary rate must be within the appropriate salary rate range. C, The new salary rate shall not be higher than the salary step to which the employee would have been entitled had his or her service time in the higher classification been spent in the lower classification. 4.11 Reallocation of Salary Rate Ranges. Any employee who is employed in a classification which is reallocated to a different salary rate range from that previously assigned shall be retailed in the same salary step in the new salary rate range as he or she had previously held in the prior rate range and shall retain credit for length of service in such step towards advancement to the next higher step. 11 251 -13 ARTICLE V 5.0 ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES 5.1 Bilingual Assignment Pay. An employee who speaks both English and either Spanish, Samoan, Vietnamese or other languages designated by the Police Chief, will be paid a monthly assignment pay differential in accordance with the criteria and amounts set forth below: A. Effective the first fiill pay period following member ratification and City Council adoption of this MOU, any Deputy Chief of Police or Police Captain who has been certified by the Executive Director of Personnel Services as having satisfactorily demonstrated conversational fluency in both languages shall be paid a monthly differential of one hundred seventy five ($175) above his or her then current base monthly salary step. B. Any other member of the Association who works in a position where it has been determined by the Police Chief that bilingual proficiency is essential to carry out duties and responsibilities of a critical and/or emergency nature without ready access to backup assistance, or positions where bilingual public contact is a major and essential clement of the work being performed, as determined bythe Police Chief or his or her designee, shall be paid a monthly differential of one hundred seventy five ($175) above his or her then current base monthly salary step, upon certification by the Executive Director of Personnel Services that this person has satisfactorily demonstrated conversational fluenoy in both languages, 12 251 -14 ARTICLE VI 6.0 EDUCATIONAL INCENTIVE PROGRAM 6.1 Members of the Association maybe paid an Educational Incentive allowance in the amounts and in accordance with the criteria set forth below. Employees wishing to participate in any of the programs designated herein shall submit a request to his or her bureau commander, who will then make a recommendation to the Police Chief. Final approval will be at the discretion of the Police Chief, based on the needs of the Department and program benefits. In no event shall the application of this Educational hncentive program result in an employee being eligible to earn more than fifteen (15) salary rate ranges (approximately 7.5 %) above his or her then current base monthly salary step. A. FBI National Academy. Any employee covered by this MOU who successfully completes the FBI National Academy shall be paid at a rate set ten (10) salary rate ranges (approximately 5 %) above his or her then current base monthly salary step. B, California Command Coll. Any employee covered by this MOU who successfully completes the California Command College shall be paid at a rate set ten (10) salary rate ranges (approximately 5 %) above his or her then current base monthly salary step, C. LAPD Leadership Program. Any employee covered by this MOU who successfully completes the LAPD Leadership Program shall be paid at a rate set five (5) salary rate ranges (approximately 2,5 %) above his or her then current base monthly salary step. D. Police Executive Research Forum (PERF) Senior Management Institute for Police. Any employee covered by this MOU who successfully completes the Senior Management Institute for Police shall be paid at a rate set five (5) salary rate ranges (approximately 2.5 %) above his or her then current base monthly salary step. E. FBI National Academy (LEEDS Program). Any employee covered by this MOU who successfully completes the FBI LEEDS Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5 %) above his or her then current base monthly salary step. F. International Association of Chiefs of Police. Any employee covered by this MOU who successfully completes the Leadership in Police Organizations Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5 %) above his or her then current base monthly salary step. 13 251 -15 G. Homeland Security Executive Leaders Program. Any employee covered by this MOU who successfully completes the Homeland Security Executive Leaders Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5 %) above his or her then current base monthly salary step. H. Advanced Leadership Program. The advanced leadership courses listed below represent curriculum that exceed minimum training mandates for law enforcement managers. The subject matter addresses a variety of critical topics associated with advanced organizational development and the role of leaders within the organization. All courses are applicable to sworn and civilian managers. Any employee covered by this MOU who successfully completes a cumulative total of 112 hours of the below listed advanced leadership courses shall be paid at a rate set five (5) salaryrate ranges (approximately 2.5 %) above his or her then currentbase monthly salary step. Leadership Courses Hours Command Institute for Law Enforcement Executives (F.B.I. — LEEDA ) 40 Contemporary Leadership Issues F.B.I. — LEEDA) 32 Executive Development Course (P.O,S.T. ) 80 Management Civilian Seminar Part I) (P.O.S.T. ) 24 Management Civilian Seminar Part II P.O,S.T. 24 Organizational Leadership (P.O.S.T. ) 40 Police Management Seminar Advanced (P.O.S.T. ) 24 Supervisor Leadership Institute (F.B.I. — LEEDA ) 40 POST Management Update 24 POST Supervisory Update 24• FBI -LEEDA Executive Swvival 32 Role of the Police Chief 40 POST Supervisory /Leadership Update 24 Effective Executive Communication 24 Police Management Seminar Advanced 24 Civilian Management Seminar 40 Advanced Civilian Management 24 Additional Courses. Any other course, 24 hours or longer, which focuses on developing leadership skills or increasing knowledge of contemporary law enforcement issues of a management/executive nature, or which enhances knowledge of community policing strategies or trends, shall be reviewed and approved by the Chief of Police after he /she ensures that the above criteria are met. 14 251 -16 ARTICLE VII 7.0 TRAINING & EDUCATIONAL ASSISTANCE PROGRAM 7.1 Pu ose. A. To encourage the employees of the City of Santa Ana to take college courses and special training courses, which will better enable them to perform their present dirties and prepare them for increased responsibilities. B. To provide financial assistance to eligible employees for education and training. C. To establish eligibility requirements, conditions and procedures whereby such assistance may be provided, 7.2 Eli is bility. A. Application for tuition reimbursement will be, considered only from Rill -time, regular City employees who have completed probation, B. Reimbursement is not authorized for courses for which the employee is receiving financial assistance frorn other sources such as the G.I. Bill, scholarships, etc, C. Applications will be approved only for courses directly related to the employee's job or directlyrelated to a promotional position in the employee's occupational specialty. D. Courses not ostensibly related to the employee's job, but which are required to qualify for a degree that is directly related to his job, may be reimbursable only after all required, occupationally - related courses have been completed. (For example, a Police Officer is a candidate for an A.A. Degree in Police Science and has completed all course-work directly related to his crime investigation and prevention duties. A course in American History is required for the degree. The history course may qualify for tuition reimbursement because the degree can berelated to the employee's job). E. Pri or to receiving tuition reimbursement, employees must submit documentary proof of having received a, grade of not less than "C" for the course. If objective ratings are not rendered for a specific course, then a certificate of successful completion must be submitted. F. Approval will be limited to courses given by accredited colleges and universities, city colleges or adult education courses under the sponsorship of a Board of Education and certain non - collegiate training seminars approved by the Police Chief. Other 15 251 -17 7.3 7.4 workshops, seminars, conferences and similar activities not identifiable as a formal course of instnrction within the curriculum of a recognized educational institution do not fall within the purview of this program but may be authorized and funded by the Police Department with prior approval of the Police Chief. Reimbursement. A. Reimbursement will be based on the cost of tuition or registration fees and all required texts and related material for each course. Additional expenses such as meals and parking fees are not reimbursable. If, however, an employee is required by the Police Chief to attend a particular course or seminar, the expense shall be borne entirely by the Department. B. Costs for required textbooks are eligible for one hundred percent (100 %) reimbursement subject to the following conditions: 1, That a duplicate of the required textbook(s) was unavailable for loan from the Department library prior to the commencement of coursework; and 2. That any textbook(s) purchased by the City shall be submitted to the employee's Departmental library in order that such textbook(s) maybe made available to all employees. C. Tuition and registration costs are eligible for one hundred percent (100 %) reimbursement up to a maximum of two thousand dollars ($2,000) per year (including non- P.O.S.T. reimbursable courses and approved non - collegiate seminar training courses). Reimbursement for non - collegiate seminar training courses require the prior approval of the Police Chief and shall be limited to two (2) such courses per year and a maximum of $500 per course. D. Employees shall be limited, for purposes of tuition reimbursement, to amaximum of two (2) collegiate level courses of not more than a total number of rnzits which is equivalent to six (6) "semester" units per semester. One (1) "quarter" unit shall equal two- thirds (2/3) of one (1) "semester" unit. Procedures. A. An employee who desires to seek tuition reimbursement under the provisions of this Article must complete, in duplicate, an Application for Training and Educational Assistance form and submit it to the Police Chief. 16 251 -18 B. The Police Chief will recommend approval or disapproval and forward the application to the Personnel Services Department. C. The Executive Director of Personnel Services will approve or disapprove the application for the City. One (1) copy will be returned to the employee and the duplicate will be retained by the Personnel Services Department, It is advisable that the applicant accomplish the procedure so far described prior to the inception of the course or disbursement of personal funds in order to ascertain the eligibility of the intended course of instruction for reimbursement under the provisions of this policy. D. The employee will submit his or her copy of the approved application to the Personnel Services Department within three (3) months after he or she has completed the course and received his or her final grade with appropriate receipts for tuition and textbook costs. These will be returned to the employee upon request. Applications not submitted to the Personnel Services Department within three (3) months following completion of the course become void. E. Upon receipt of the application and required documentation, the Executive Director of Personnel Services will compute the amount of reimbursement, authenticate the application and forward it to the Police Chief F. The Police Chief will then authorize the Finance and Management Services Department to reimburse the employee the approved amount out of the budget of the Police Department. 17 251 -19 ARTICLE VIII 8,0 OVERTIME 8.1 Compensation for Overtime. Employees in any of the designated classes of employment listed in this MOU are not eligible for monetary compensation for overtime work or for compensatory time off with pay for overtime work, unless so required by the Fair Labor Standards Act, or any other State or Federal laws. 18 251 -20 ARTICLE IX 9,0 HOLIDAYS 9.1 Legal Holidays observed by full -time permanent and probationary employees of the City of Santa Ana are as follows: o January 1't - New Year's Day o Third (3`d) Monday in January -In observance of Martin Luther King, Jr's Birthday o Third (3'd) Monday in February - In observance of Presidents' Day • Last Monday in May - In commemoration of Memorial Day • Jaly 4th - hi observance of Independence Day • First (l') Monday of September - In observance of Labor Day • November 114'- In observance of Veteran's Day • Fourth (4th) Thursday in November - In observance of Thanksgiving Day • The Friday immediately following Thanksgiving Day o Last working day before Christmas Day, unless Christmas Day falls on Thursday, in which instance, the day following Christmas Day shall be observed in lieu thereof, o December 25th - In observance of Christmas Day o One (1) Floating Holiday - Any workday selected by the employee with prior permission of the employee's supervisor. o Everyday proclaimed by the Mayor of the City as a holiday for City employees. Any holiday which falls on a Sunday will be observed on the following Monday. Any holiday which falls on a Saturday will be observed on the Friday preceding the holiday. 9.2 Full -time permanent and probationary employees covered by this MOU shall be entitled to receive twelve (12) working days off, eight (8) hours per day, during the calendar year in lieu of the holidaybenefrts specified in Section 9.1, supra. Tberefore, employees with alternative work schedules shall be credited with 96 hours of Holiday Time at the beginning of every calendar year in lieu of twelve (12) holidays in the year. 19 251 -21 For purposes of computing holiday accruals, an eight (8) hour day shall be the basis for computation. Said substitute holidays may be taken at any time during the calendar year with prior permission of the employee's supervisor and subject to the operational needs of the Department. However, if an employee who separates from the service of the Cityhas taken time off for holidays in advance of the date or day the holidays actually occur, he or she must pay the City the cash value for such used but 'unearned holiday time off benefits prior to or at the time of separation. 9.3 A newly appointed employee must actually work at least one (1) day preceding the day a holiday listed in Section 9, 1, supra, actually occurs in order to receive credit for suchholiday during the month in which it occurs. An employee separating from the service of the City must actually work at least one (1) day following the day a holiday listed in Section 9. 1, supra, actually occurs in order to receive compensation for the holiday. A newly appointed employee must complete six (6) months of continuous fill -time service in order to receive credit for the Floating Holiday listed in Section 9.1 above. 9.4 Holiday time off may be taken in 30- minute increments. 9.5 Holiday benefits may not be carried over from one (1) calendar year to the next. 9.6 Leave Cash Option. Employees covered by this MOU may cash out a combination of holiday, vacation, and management vacation leaves, up to a maximum of 260 hours in a calendar year. A. Holiday Leave: Employees may receive cash compensation, computed on a straight time basis, up to a maximum of eighty (80) hours of their holiday leave benefits, including the floating holiday, set forth in Section 9.2 above. B. Vacation Leave: Employees may receive cash corpensation, computed on a straight time basis, for up to a maximum of 150 hours of earned, unused vacation leave benefits, set forth in Sections 10.2 herein. C. Management Vacation Leave: Employees may receive cash compensation, computed on a straight time basis, up to a maximum of 150 hours of earned, unused management vacation leave benefits, set forth in Section 10.4 herein, Effective July 1, 2012, employees covered by this MOU began earning an additional 60 hours of 20 251 -22 management vacation leave for a total accrual of 100 hours of management vacation per year. Such cash option may be eliminated or modified to the extent it is construed as overtime under Department of Labor Guidelines implementing provisions of the Fair Labor Standards Act. D. Association members who notify the City, in writing, of their intent to retire within 12 calendar months shall be allowed to cash out any and all eligible leave bank balances, including sick leave, upon request. Employees shall receive payment as soon as practical, and no longer than 30 days after the request has been made. If an employee cashes out his or her eligible leave bank balances prior to retirement and subsequently remains employed one year after their initial notice of intent to retire, said employee shall be ineligible to accrue 100 hours of management vacation the next calendar year, 21 251 -23 ARTICLE X 10.0 VACATION 10.1 Purpose. It is the policy of the City to grant employees vacation leave in order to provide them with a break in their regular work schedule and this purpose will be used as a guide in the administration of the provisions of this Article, 10.2 Vacation, A. Effective January 1, 2016, the regular and longevity vacation accruals of bargaining unit members shall be combined into one single vacation bark The accrual rates will remain the same. However, after January 1, 2016 there will no longer be a reference to longevity vacation. Longevity vacation earned but not advanced in 2015 will be credited to the employee's vacation bank effective January 1, 2016. Thereafter, members shall accrue the combined vacation with pay on a monthly basis as set forth in the following table. 22 251 -24 Annual v*60 MY Completed Vacation¢[ i� gg Years Rafe _....1_ 120 vaQ,00y 2 120 1TI OQ; 3 120 >Daa 4 120]loa't S 1 6 7 ,1(1.87 8 9 10 62 11 144 =g12Q( £? 12 148 13 152 13:¢7 14 156 x3,'adu, " 15 160 1' -3 *, 16 168 17 176 144 „ „< 18 184 19 1921 20 or more 200 16;67 „';,',• 22 251 -24 B. Vacation time off may be taken in increments as small as one (1) hour, with fractional usage rounded upward to the next higher multiple of one (1). C, Computing Regular Vacation. I. In computing vacation, each municipal holiday that occurs during the vacation, and that falls on a day which the employee would have worked had he or she not been on vacation, shall be deducted from the computation so that one (1) additional day of vacation shall be allowed to the employee. Should an employee be confined to a hospital for sickness or injury while on authorized vacation, each full day of such confinement, when confirmed by a physician's statement and approval of the Police Chief, may be deducted from the computation of vacation expended and charged against the employee's accumulated sick leave. 2. No employee may carry over from one (1) calendar year to the next, more than the maximum vacation carryover as set forth in the following table. Any vacation not used beyond the maximum carryover amount from year to year is forfeited, meaning that no pay shall be received for such unused vacation at any tune. This provision constitutes a waiver of any rights to vested vacation benefits under California Labor Code section 227.3. Completed Years Max Carryover 1 120 2 240 3 240 4 240 5 240 6 244 7 252 8 260 9 268 10 276 11 284 12 292 13 300 14 308 15 316 16 328 23 251 -25 10.3 17 344 18 360 19 376 20 392 21 400 22 400 23 400 24 400 25 400 3. Employees may or may not be allowed or required to accumulate or split vacations. The time at which an employee shall take his or her vacation shall be determined by seniority within rank, with due regard for the needs of the service. 4. For purposes of computing vacation accruals, an eight (8) hour day shall be the basis for computation. Longevity Vacation. A. Longevity vacation accrual shall be operative only through December 31, 2015. Effective January 1, 2016, vacation accrual shall be governed solelyby Section 10.2. B. In addition to regular vacation, each employee is granted longevity vacation with pay for each completed year of full -time, continuous City service as set forth in the following table. Com 1p eted Additional Hourly Equivalent of Years Days Additional DM 6 % 4 7 1 8 8 1 '/z 12 9 2 16 10 2 %Z 20 11 3 24 12 31/2 28 13 4 32 14 4'/Z 36 15 5 40 16 6 48 17 7 56 18 8 64 24 251 -26 19 9 72 20 10 80 C. No employee becomes eligible for longevity vacation until completion of the sixth (6t) year of continuous service, and each employee continues to earn the maximum often (10) working days (80 hours) of longevity vacation for each completed year of service in excess of twenty (20) years. 10.3 Leave Cash Options. Please refer to Section 9.6 for details. 10.4 Management Vacation Benefit. All employees covered by this MOU will be granted one hundred (100) hours of management vacation per calendar year over the vacation schedules. Employees may accrue a maximum of 480 hours of such Management vacation. 10.5 Effect of Extended Sick Leave on Vacation Accrual. An employee that is absent on paid sick leave or unpaid leave for aperiod of time greater than fifteen (15) consecutive calendar days in any one (1) calendar month shall not accrue vacation credits during that month. 25 251 -27 ARTICLE XI 11.0 OTHER LEAVES OF ABSENCE 11.1 Sick Leave, A. Definition. Except as otherwise provided below, sick leave shall be deemed to mean absence from duty of an employee because of illness or injury that prevents the employee from performing the duties of his or her position, and shall be deemed to include time in quarantine resulting from exposure to a contagious disease. B. Accrual. Each employee shall be entitled to, and shall earn, eight (8) hours of sick leave for each full calendar month of service in which he is employed by the City with full pay; provided, however, any absence on sick leave for a period of time greater than fifteen (15) consecutive calendar days in any one (1) calendar month shall not be considered to be service entitling an employee to earn sick leave as aforesaid. Subject to the other provisions in this Article, sick leave shall accrue to the credit of each employee to the extent that it is not used. Notwithstanding the foregoing, an employee on leave of absence for service - connected illness or injury who is covered by the provisions of Labor Code Section 4850, shall continue to accumulate eight (8) hours of sick leave for each fitll calendar month of service for which he or she is employed by the City with fall pay during said absence for service - connected illness or injury. For purposes of computing sick leave accruals, an eight (8) hour day shall be the basis for computation, C. Authorized Only When Necessary, Sick leave is not a right which an employee may use at his or her discretion, but shall be allowed only in cases ofneoessity and actual sickness or disability, or as authorized in Subsection 7 below. When an accepted industrial illness or injury has caused a non -sworn employee's absence, for which benefits are required under the State Workers' Compensation Insurance and Safety Act, paid sick leave will be allowed such employee during the first three (3) days of the statutory waiting period. If the workers' compensation related illness or injury continues past the initial three (3) consecutive days, the employee will have the three (3) used sick days recredited to his or her account. Paid sick leave will continue until the fourth (01) day when the City pays the employee workers' compensation benefits for such illness or injury. If the employee does not have sufficient accumulated sick leave at the commencement of such industrial illness or injury, they will be advanced sick leave for this purpose. Subsequently, the City will deduct an equal amount previously advanced from any sick leave accrued by the employee until the total amount is recovered. If the employee terminates before recovery of all advanced sick leave, the City will deduct the unrecovered cost of sick leave from such terminated employee's final paycheck, to the extent possible. 26 251 -28 The Citymay authorize employees to use sick leave, vacation, or compensatory time for approved workers' compensation medical appointments as specified herein. The City may authorize use of such leave for City approved medical appointments whenever such appointments cannot be secured outside the employee's regular workday, and salary continuation or workers' compensation benefits are not available. D. Limit. The maximum total accumulation of sick leave with pay shall be 2,000 hours, Sick leave usage of less than a full day shall be charged in minimum increments of one (1) hour, with fractional usage rounded upward to the next higher multiple of one (1). E. Extended. The City Manager may grant leave up to six (6) months without pay to an employee who has exhausted all of his accrued sick leave if a licensed physician indicates that the employee will be sufficientlyrecovered to return to his employment within a six (6) month period. Prior to the expiration of the additional time, the employee may return to his position provided that the employee has a certificate from a licensed physician stating that the employee is able to perform all the duties of his position without qualification. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year without pay. F. Extension by Use of Vacation. After an employee's sick leave has been exhausted, he or she may be granted permission to take any earned vacation he or she rnayhave accrued. G. Notice. The employee taking sick leave shall notify his or her immediate supervisor as established by the Police Department regulations. When the absence is more than three (3) consecutive working days, the employee must present to the Police Chief a physician's certificate stating that, in the physician's opinion, the employee could not report to work because of such illness or injury and that the employee is sufficiently recovered to safely return to work, Such certificate shall be transmitted to the Personnel Services Department with the report of the employee's return to work. A physician's certificate or other satisfactory written evidence of actual illness or injury may be required after an absence of any duration less than three (3) days, H. Denial. No employee shall be entitled to sick leave with pay while absent from duty because of sickness or injury purposely self - inflicted or caused by willful misconduct; or, sickness or disability sustained while engaged in employment other than employment by the City, for monetary gain or other compensation, or by reason of engaging in business or activity for monetary gain or other compensation. 27 251 -29 Excess Usage. If sick leave is used in excess of that due and available to an employee, such excess sick leave will, first, be deducted from any available vacation leave benefit; finally, deducted from the next scheduled salary payment. J. Personal Necessity � eave. Each employee shall be afforded the opportunity to use up to 48 hours of sick leave per calendar year, on a non - cumulative basis, as personal necessity leave. All of this personal necessity leave may be used to attend to an illness of a child, parent, or spouse of the employee. As used in this section, a child means a biological, foster, or adopted child, a stepchild, a legal ward, or a child of a person standing in loco parentis; and a parent means a biological, foster, adoptive parent, a stepparent, or a legal guardian. Up to three (3) days of this personal necessity leave may be used; (a) to attend to a serious accident to members of the employee's immediate family; (b) childbirth; (c) to cope with inuninent danger to the employee's home or other valuable property; or (d) when the existence of external circumstances beyond the employee's control make it impractical for him or her to report for duty. For the purposes of this section only, a "day" shall be defined as the number of hours of work that an employee is required to work according to his or her specific workday schedule. K. Payment for Unused Sick Leave. 1. Payment criteria and limitations. a. Upon non - disciplinary termination of employment after ten (10) years of cumulative full -time service with the City, each qualified employee with less than twenty -five (25) years of cuunulative fiti11 -time service with the City shall be entitled to payment for one -third (1/3) of the total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum limit of 427 hours at the rate of pay effective on the date of such termination. b. Affected qualified employees who have completed twenty -five (25) years or more of cumulative full -time service with the City shall be entitled to payment for two - thirds (2/3) of the total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum limit of 1,067 hours at the rate of pay effective on the date of such termination. c. At the employee's election, payment of unused sick leave may be received in either a hump stun of money or in equal monthly payments for a period of up to five (5) years. 28 251 -30 d. A lump sum payment shall be made to the beneficiaries of any eligible employee whose death occurs while such employee is an active employee of the City, such payment to be in the amount of two - thirds (2/3) of the total sick leave benefit credited to the employee's account at the time of his or her death, and at die rate of pay effective on the date of the death. 2. Conversion to Health Insurance Premium Payments. At his or her option, an employee may convert any Lump sum payment provided herein for unused sick leave upon non - disciplinary termination into health insurance premiums, to the extent necessary to provide the employee and his or her designated eligible dependents, if any, with benefits wider the health insurance program maintained by the City. a. The City's obligation to pay such premiums shall terminate when the sum of premiums paid equals the amounts as follows: After ten (10) years, but less than 15 years of service, the employee shall be entitled to 50% of the amount of unused sick leave benefits credited to his or her account upon the effective date of termination, not to exceed a maximum limit of 640 hours. This amount represents approximately 150% of the amount the employee would have been entitled to had they elected to cash out their sick leave hours. + After fifteen (15) years, but less than. 25 years of service, the employee shall be entitled to 66.66% of unused sick leave benefits credited to his or her accouurt upon the effective date of termination, not to exceed a maximum limit of 1,067 hours. • After twenty -five (25) years of service, the employee shall be entitled to 100% of the amount of unused sick leave benefits credited to his or her account upon the effective date of termination, not to exceed a maximum limit of 1,600 hours. This amount represents approximately 150% of the amount the employee would have been entitled to had they elected to cash out their sick leave hours. Premiums will first be paid out of the lump sum amount contributed by the employee and then out of the amount contributed, by the City. If the retired former employee dies before exhausting the full amount of his or her lump sum contribution, the unused portion of such contribution shall be converted to cash as defined in Section 11.1.K.1. above and distributed to the retiree's designated beneficiary. 29 251 -31 11,2 Bereavement Leave. An employee shall be granted up to three (3) days leave without loss of pay in case of death of a member of the employee's immediate family. For purposes of this Section only, a "day" shall be defined as the nurnber of hours of work that an employee is required, to work according to his/her specific workday schedule. Such leave is designated as bereavement leave. "Immediate family" as used in this section is lhnited to: A. Any relative by blood or marriage who is a member of the employee's household; B. A parent, parcnt -in -law, spouse, child, brother, sister, grandparent or grandchild of the employee, regardless of residence; C. Any other relative of the employee by blood or marriage where it can be established by the employee that as a result of such relative's death, the employee's presence is required. 11.3 Military Leave. A. Proof of Orders and Reinstatements. An employee shall be granted military leave if he or she furnishes the Executive Director of Personnel Services satisfactory proof of his or her order to report for duty, Upon return and upon showing of proof of actual service pursuant to such orders, he or she will be reinstated as provided in Section 9- 143 of the Civil Service Rules and Regulations of the City of Santa Ana. B. Temporary. Members of the reserve forces of the United States or the National Guard, granted temporary leave when ordered to duty, in accordance with the Military and Veterans Code, will be granted leave with pay not to exceed thirty (30) working days in each calendar year after one (1) year's service with the City upon presenting satisfactory proof of orders to and from such temporary active duties. 11.4 Jury and Witness Leave. When an on -duty employee is called to serve as a juror or witness in any court action, he or she shall be allowed to leave for the time actually required for such service without loss of pay. Each on, duty employee called for such service shall present to the Police Chief for examination the subpoena calling him or her to such service and shall pay into the City Treasury the fees collected for such service, with the exception of reimbursement for transportation expenses, if any. 11.5 Examination Leave, Employees participating in examinations conducted during their normal working hours for positions in the competitive service of the City of Santa Ana will be granted leave with pay for the time actually required without loss of any accrued vacation time off benefits. 11.6 Unauthorized Absence, Unauthorized absence from duty for any duration of time may be considered cause for dismissal. 30 251 -32 11.7 Authorized Absence Without Pav - Short Term. Absence without pay, not to exceed five (5) consecutive working days, maybe authorized by the Police Chief. Absence without pay, not to exceed fifteen (15) calendar days, maybe authorized by the Department with the approval of the City Manager. Such an absence may be authorized only if, in the judgment of the Police Chief, it serves the best interest of the City. 11.8 Authorized Absence Without Pav - Long Terns. Upon receipt of a written request from an employee havingpermanent status plus actionbythePolice Chief recommending approval of the request, the City Manager may grant a leave of absence without pay for up to six (6) months. An employee returning to duty with the City shall inform the Police Chief and the Executive Director of Personnel Services of his other intention at least thirty (30) calendar days prior to the expiration of the six (6) months period or a shorter period of the full six (6) months if not taken. Upon receipt of such notice, the Police Chief will take steps necessary to restore the employee to his or her former position. 11.9 Industrial Leave. A. Each "safety member" employee covered by the provisions of Labor Code Section 4850 who is compelled to be absent from dirtybecause of an illness or injury covered by the State of California Workers' Compensation Insurance and Safety Act shall, in lieu of tennporary disability compensation payable under the aforementioned Act, continue to be paid his or her normal salary and accrue other benefits in accordance with the provisions of Labor Code Section 4850, B. Any period of time during which an employee is required to be absent from his other position by reason of an industrial injury or industrial illness for which he or she is entitled, to receive compensation shall notbe considered abreak in continuous service for the purpose of his or her right to salary adjustments or to the accrual of vacation, seniority and any other benefits. 11.10 Administrative Leave Policy. The City Manager is authorized to grant, at his or her discretion, paid or unpaid administrative leave for employees covered by this MOU. 11.11 Catastrophic Leave Donation. In order to assist employees otherwise granted leave of absence without pay by the City Manager because of catastrophic nonindustrial medical condition or injury, the City and Association agree to implement a Catastrophic Leave Donation procedure. Nothing herein shall be construed to alter City policies and procedures as provided in the Charter or ordinances of the City of Santa Ana or other provisions of this MOU with regard 31 251 -33 to granting unpaid leaves of absence, The Catastrophic Leave benefit will be provided for non - industrial injury or sickness only, The leave shall cover the uncompensated time prior to the employee becoming eligible for L.T,D. benefits. A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. Employees may donate vacation or compensatory time or one in lieu holiday to the eligible employee. In no event shall sick leave be donated. Employees shall be provided a two -week period to submit donations, Donations received after this two -week period shall not be processed. The two -week period for each case shall be designated by the Police Chief or his designee as provided herein below. 3. Donations shall be for a minimum of two (2) hours and a maximum of eight (8) hours per donor. All donations must be made in two (2) hour increments, except in lieu holidays must be for eight (8) hours, 4, Any authorization of donations not made in accordance with the procedures outlined in Section C, subparagraph 2 below, will not be processed. 5. All donations shall be irrevocable. 6. In the event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accrued by the recipient and designated as sick leave. B. Eligibility. Regular, full -time employees shall be eligible for Catastrophic Leave donations if the following criteria are met; When it is reasonably foreseeable that all accrued time on the books, such as sick leave, compensatory time, vacation, and in lieu holidays, will be exhausted and the employee's illness will continue past the time when the employee will be on paid status. 2. The Police Chief or his/her designee has approved a written request for donations accompanied by a medical statement from the employee's attending physician. The attending physician's statement must verify the employee's need for an extended medical leave and an estimate of the time the employee will be unable to work. 32 251 -34 C. Procedure. 1, Upon receipt of a valid request for donations from an eligible employee, the Police Chief or his or her designee shall post a notice of the eligible employee's need for donations on bulletin boards accessible to employees. No confidential medical information shall be included in the posted notice, 2. Employees wishing to donate time to an eligible employee must sign his or her authorization of the transfer of such donated time and provide: a, His/her name, department name, and employee number. b. The number of hours of compensatory or vacation time of the donation within the limitations of Section A, subparagraph 3 above. C. The name, department and employee number of the recipient. d. A statement indicating that the donor understands such donation of time is irrevocable. 33 251 -35 ARTICLE XII 12.0 EMPLOYEE INSURANCE 12.1 Health Insurance. The City shall contribute towards the cafeteria Benefit plan the payment of premitnns for affected employees and their dependents under the California Public Employees' Retirement System (CaIPERS) health insurance programs pursuant to the provisions below. A. The City shall continue to contribute toward medical premiums for each employee covered by this MOU that amount equal to the premitun in effect for the "employee - only" and "family" tiers, respectively, of the CalPERS Kaiser "Other Southern California" HMO plan, as determined by the employee's coverage selection. The "employee only" tier applies to employees who have no dependents. Since the City contracts with CalPERS for medical insurance, the amount described above will include the CalPERS statutory minimuun paid by the City. B. Any contribution necessary to maintain benefits under any health insurance program provided, by the City for its employees and their eligible dependents in excess of the amount of the City contribution to the Cafeteria Benefit Plan specified above shall be borne entirely by the employee. C. For each such employee who is covered tinder a spouse's non -City sponsored health plan, the City will pay the employee a cash -in -lieu payment (subject to taxation as wages) each month in an amount equal to one hundred percent (100 %) of the monthly premium amount for the City's lowest "employee -only" coverage, if said employee waives, in writing, City -paid coverage. If an employee waives City provided coverage, said employee shall provide proof ofinedical insurance coverage in anon City - sponsored health plan. Said waiver shall include a provision warning such employee that reentry into any of the City- sponsored plans is allowed only at open enrollment, unless there is a qualifying event, and may require proof of insurability for such employee and /or family. 12.2 Dental Insurance. The City agrees to contribute towards the cafeteria Benefit plan the payment of premiums for dental insurance plans provided bythe City for employees covered by this MOU and their eligible dependents on the following basis: A. One hundred percent (100 %) of the premium cost for "employee -only" coverage. B. Up to one hundred ten dollars ($110) per month per employce for "family" coverage. Any contribution necessary to maintain benefits under said dental plans in excess of the amount of the City contribution to the cafeteria plan specified above shall be borne entirely 34 251 -36 by the employee, For each such employee who is covered under a spouse's non -City sponsored dental plan, the City will pay the employee a cash -in -lieu payment (subject to taxation as wages) each month in an amount equal to one - hundred percent (100 %) of the City's contribution, if the employee waives, in writing, City -paid coverage. Such waiver shall include a provision warning such employee that reentry into any City - sponsored plan is allowed only at open enrollment, unless there is a qualifying event, and may require proof of insurability for such employee and/or family. 12.3 Disability Insurance. The City shall continue to pay one hundred percent (100 %) of the premium cost for a long term disability insurance plan for employees covered by this MOU as said plan was amended effective November 1, 1985, to provide Unrepresented Management personnel a monthly benefit of sixty -six and two - thirds percent (66 2/3 %) of base monthly salary (insured payroll), less offsets contained in the existing plan, to a maximum monthly benefit of $5,000. 12.4 Life Insurance. The City shall continue to pay one hundred percent (100 %) of the prendu n cost for term life insurance coverage under the policy it maintains on behalf of its officers and employees in order to provide employees covered by this MOU with life insurance coverage in an amount equal to twice such employee's annual rate of salary to a maximum of three hundred thousand dollars ($300,000), provided said affected employees can provide evidence of insurability of coverage above one hundred fifty thousand dollars ($150,000) if so required by the terms and conditions of said term life insurance policy. In the event any such employee is determined to be ineligible for said insurance coverage, the City will attempt to provide as much coverage as may be obtained at reasonable cost without having to provide evidence of insurability. 12.5 The City shall retain the right to change health, dental and life insurance carriers, administer the insurance benefits provided thereurider, and select and /or change any excess or supplemental insurance carriers as a part of any self - insurance plan during the term of this MOU, provided that employees covered by this MOU continue to receive equivalent benefits and provided that the parties have met and conferred before the changes have been made. 12.6 Cafeteria Benefit Plan, The City provides a Cafeteria Benefit Plan adopted in accordance with the provisions of Internal Revenue Code § 125 for employees covered by this MOU, Affected employees will be eligible to receive cash (subject to taxation as wages) through the cafeteria Benefit plan if they either opt -out of receiving one of the optional benefits provided through the plan or if they choose optional benefits that do not cost as much as the maxirnurn dollar amount they have received through the plan. If two City employees are married, at least one of the two employees must maintain 35 251 -37 insurance coverage. The amount ofmoney that can be redesignated by the employee waiving coverage is limited to the value of the "employee -only" level within each type of insurance. In the event the City experiences an adverse impact in rates due to utilization of the redesignation option, the City and PMA agree to meet and confer over the impact. 12.7 Medical' Retirement SubsidvPlan. The City provides the "Vantage Care" Retirement Health Savings Plan ( "RHS "), which designated ICMA -RC as the administrator of the plan. A. The City shall continue to contribute one and three - quarter percent (1.75 %) of base salary, plus pay additives each pay period into the individual accounts of Association members established with plan administrator ICMA -RC. Employees covered by this MOU shall continue to contribute one half of one percent (.50 %) of base salary, plus pay additives, each pay period into their individual RHS accounts established with plan administrator ICMA -RC. 2. In addition to the contributions referenced above, an Association member may contribute unused sick leave, vacation, and other benefits to the trust as defined by the plan guidelines. The program is not intended to create any form of lifetime insurance subsidy, benefit or entitlement. 12.8 Vision Insurance. The City shall maintain in effect its existing vision care plan through EyeMed, for employees covered by this MOU. This plan is voluntary on behalf of the employee and shall he fully funded by the participating employee. 36 251 -38 ARTICLE XIII 13.0 DEFERRED COMPENSATION 13.1 Effective January 1, 1977, employees covered by this MOU were granted a one peroent (1 %) salary increase to be utilized toward deferred compensation. Effective July 1, 1991, to comply with CalPERS salary reporting requirements, salary rate ranges for employees covered by this MOU were adjusted upward by one percent (1 %) to reflect the deferred compensation as salary. For salary reporting purposes, the deferred compensation was shown as part of salary, rather than as an add-on benefit. The amounts contributed by the City under this article shall be subject to provisions as outlined in the Internal Revenue Code (IRC) 457. Furthermore, all new contributions and existing assets are to be held for the exclusive benefit of the participants and beneficiaries. 37 251 -39 ARTICLE XIV 14.0 RETIREMENT 14.1 General. The terms of the existing contract between the City and California Public Employees' Retirement System (CaIPERS) governing the City retirement benefits of employees covered by this MOU are incorporated by reference herein. The City shall continue to make contributions to CaIPERS in accordance with its contract with CaIPERS for employees covered by said contract as amended. 14,2 Deferred Retirement. The City will continue to make payment to CaIPERS on behalf of each affected employee, in an amount necessary to pay one hundred percent (100 %) of his or her individual employee retirement contribution. Such payments shall be credited to the individual employee's CaIPERS account. Such payments are not increases in base salary and no salary rate ranges applicable to any of the employees covered by this MOU shall be changed or deemed to have been changed by reason thereof. As a result, the City will not treat these payments as ordinary income and, thus will not withhold Federal or State income tax from said payments. The City has received an opinion or ruling from the Internal Revenue Service confirming that these payments are deferred compensation, and not ordinary income. For the purpose ofreporting an employee's compensation to CaIPERS, the City shall include these payments as if they were part of the employee's base salary. In the event that the City receives a ruling from the Internal Revenue Service that such payments are ordinary income of the employees instead of deferred compensation, the City's obligation to make such payments shall discontinue and in place thereof the base salary of each said employee shall forthwith be increased by eighteen (18) salary rate ranges (approximately 9 %) for "safety member" employees covered wider the 3% at age 50 CalPERS formula and sixteen (16) salary rate ranges (approximately 8 %) for all "miscellaneous member" employees covered under the 2.7% at age 55 CaIPERS Formula. 14.3 1959 Survivor's Benefit. The City shall provide CaIPERS fourth level of 1959 Survivor's Benefits to all eligible employees in the unit. 14.4 Pro - Retirement Optional Settlement 2 Death Benefit, The City shall provide the Pro- Retirement Optional Settlement 2 Death Benefit to all employees covered by this MOU. 14.5 2.7% at 55 Service Retirement Benefit for Classic Miscellaneous Members. The Cityagrees to continue to provide Classic Miscellaneous employees covered by this MOU who are defined as Classic Members under the California Public Employees' Pension Reform Act (PEPRA) of 2013 with the 2.7% at 55 Service Retirement benefit. 38 251 -40 Payment of 23% at 55 Service Retirement Benefit. Classic Miscellaneous employees covered by this MOU shall pay eight percent (8 %) of CalPERS reportable compensation toward the employer cost of the 2.7% at 55 enhanced retirement formula. This payment shall be implemented as cost - sharing pursuant to Government Code section 20516(f). Pre - Taxable Benefit, To the extent permitted by CalPERS and Internal Revenue Service regulations, this eight percent (8 %) employee contribution shall be implemented through payroll deductions on a pre -tax basis. 2% at 62 Retirement Benefit for New Miscellaneous Members. The City agrees to provide Miscellaneous employees covered by this MOU who are defined as New Members under PEPRA, with the 2% at 62 Service Retirement benefit. The PEPRA went into effect on January 1, 2013. The parties agree that if there is any other clean up or other retirement legislation which goes into effect during this MOU and if there are provisions of that legislation which, by law, automatically goes into effect, either party may request to negotiate over the legislation, including over the impact. Final compensation for New Miscellaneous Members will be based on the highest annual average compensation earnable during any 36 consecutive months preceding the effective date of his or her retirement,. Effective July 1, 2013, employees covered under the 2% at 62 retirement formula for Miscellaneous shall pay one half of the normal cost rate, as established by Ca1PERS. 14,6 3% at 50 Service Retirement Benefit for Classic Safety Members. The City agrees to continue to provide Classic Safety employees covered by this MOU who are defined as Classic Members under the California Public Employees' Pension Reform Act ( PEPRA) with the 3% at 50 Service Retirement benefit. Payment of 3% at 50 Service Retirement Benefit. Classic Safety employees covered bythis MOU shall pay nine percent (9 %) of CalPERS reportable compensation toward the employer cost of the 3% at 50 enhanced retirement formula. This payment shall be implemented as cost- sharing pursuant to Government Code Section 20516(f), Pre - Taxable Benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations this nine percent (9 %) employee contribution shall be implemented through payroll deduction on a pre -tax basis. 2.7% cz,, 57 Retirement Benefit for New Safety Members. The City agrees to provide Safety employees covered by this MOU who are defined as New Members under PEPRA with the 2.7% @ 57 Service Retirement benefit. 39 251 -41 The PEPRA went into effect on January 1, 2013. The parties agree that if there is any other clean up or other retirement legislation which goes into effect during this MOU and if there are provisions of that legislation which, by law, automatically goes into effect, either party may request to negotiate over the legislation, including over the impact. Final compensation for New Safety Members will be based oa the highest annual average compensation earnable during any 36 consecutive months preceding the effective date of his or her retirement. Effective July 1, 2013, employees covered under the 2.7% @ 57 retirement formula for Safety shall pay one half of the normal cost rate, as established by CalPERS. 14.7 Military Service Credit as Public Service. "Safety" employees and "miscellaneous" employees may elect to purchase up to four (4) years of service credit for any continuous active military or merchant marine service prior to employment. The employee must contribute an amount equal to the contribution for current and prior service that the employee and the employer would have made with respect to that period of service. 14.8 Credit for Unused Sick Leave. A non -sworn employee covered by this MOU can have unused accumulated sick leave at the time ofretirement converted to additional service credit at the rate of 0.004 years of service credit for each day, eight (8) hours per day, of unused sick leave (i.e., 200 days of sick leave equals .80 additional years of service credit), pursuant to regulations prescribed by PERS. The maximum total unused sick leave that can be converted shall be two hundred (200), eight (8) hours working days (1600 hours). Any accumulated sick leave in excess of 1600 hours shall be forfeited. The Cityrnust report only those hours ofumused sick leave that were accrued by the employee during the normal course of employment. This section applies to members whose effective date ofretirement is within four (4) months of separation from employment. The provisions of this section v411 also apply to sworn employees covered by this MOU. 14.9 Effective the first pay period following council approval, the Uniform allowance will be discontinued and the City shall no longer report to Ca1PERS any portion of said uniform allowance as constituting compensation for the employee. [it] 251 -42 ARTICLE XV 15.0 TECHNOLOGY STIPEND 15.1 The City shall provide a $75 a month Electronic Device Stipend ( "Stipend ") for those Association employees whose positions require the regular use of a cell phone and /or tablet and who choose to use their own personal devices for business - related conversations and activities. These employees maybe eligible to receive a Stipend to compensate forbusiness- related costs incurred while using their individually -owned electronic devices. Eligibility for the stipend requires the employee to return to the City any City issued electronic device for which the employee will be substituting his or her personal device. 41 251 -43 ARTICLE XVI 16.0 EXPANDED RESIDENCY 16.1 The City shall continue to permit employees covered by this MOU to reside outside the limits of Orange County, so long as such residency is not an unreasonable distance nor requires an unreasonable response time to the particular employee's place of employment, Any affected employee who desires to take advantage of the opportunity to reside outside of Orange County shall first request permission to do so from the Police Chief. Said request shall be granted by the Police Chief if it is determined that the intended residence is not an unreasonable distance nor requires an unreasonable response time to the employee's place of employment. Should the Police Chief refuse any such request, the employee shall have the right to appeal said determination to the City Manager for reconsideration. 42 251 -44 ARTICLE XVII 17.0 CONTROLLED PARKING AND TAKE HOME VEHICLE PRIVILEGES 17.1 Parkin . The City shall provide non -sworn employees covered by this MOU with free parking for personal vehicles during on -duty hours in controlled parking facilities in the Civic Center area. 17,2 Take Home Vehicle, All employees in the classifications of Deputy Chief of Police and Police Commander shall receive a City -owned and maintained vehicle for traveling between the employee's residence and the Police Department or other business - related location, as necessary in the performance of his or her duties. 43 251 -45 ARTICLE XVIII 18.0 DISCIPLINE 18.1 An employee covered bythis MOU may only be disciplined in accordance with the standards and procedures and subjects to all rights of appeal set forth in Section 1000d of the City Charter. and Municipal Code Sections 9 -9, 9-10,9-118.1 et. seq. 18.2 In addition, a new section shall be added to the Municipal Code to provide as follows: A. In the event an employee is ordered to absent himself from the job based on probable cause and it is subsequently determined by the Police Chief, the City Manager, Personnel Board or a court of competent jurisdiction, that cause did not exist for the ordered absence, the employee shall have restored to hirn anypaid leaves of absence against which such absence may have been charged, and he shall be granted a retroactive leave of absence with pay for the time during which he was prohibited from performing the duties of his position, less any compensation paid to himbythe City during such ordered absence. B. In the event an employee is reduced, suspended, and /or discharged, and upon appeal the City Manager, Personnel Board or a court of competent jurisdiction does not sustain such reduction, suspension, and /or discharge, the employee shall be entitled to his base rate of salary including all additives, vacation, and sick leave as if such unsustained reduction, suspension, or discharge had not been invoked. However, in no event shall an employee be entitled to any salary credit for vacation and sick leave for any period of time covered by a suspension sustained on appeal or for any period of time waived by the employee as a condition to the granting of a continuance of any hearing on appeal. C. If, during an absence for which an employee is paid pursuant to this Section, he earned any money which he would not have earned had he continued to perform the duties of his position, such sum shall be deducted from the salary otherwise payable to him pursuant to this Section. ill 251 -46 ARTICLE XIX 19.0 GRIEVANCE REVIEW PROCEDURE 19.1 Definition of a Grievance. A grievance shall be defined as a timely complaint by an employee or group of employees of the Association concerning the interpretation or application of specific provisions of this MOU, or of the rules and regulations governing personrrel practices or working conditions of the City, except, however, those matters specifically assigned to the jurisdiction of the Personnel Board by those provisions of the City Charter and the Civil Service Rules and Regulations, No employee shall suffer any reprisal because of filing or processing of a grievance or participation in the Grievance Review Procedure. 19.2 Informal Process. A. An employee must first attempt to resolve the grievance on an informal basis through discussion with his or her immediate supervisor without undue delay, but in no case, beyond a period often (10) calendar days after the occurrence of the alleged incident giving rise to the grievance, or when the grievant Imew or should have reasonably become aware of the facts given rise to the grievance, B. Every effort shall be made to find an acceptable solution to the grievance through this informal means at the most immediate level of supervision. C. In order that this informal procedure may be responsive, both parties involved shall expedite this process. If, within five (5) working days, amutually acceptable solution has not been reached at the informal level, the employee and /or the employee's designated representative shall then set forth the grievance in writing, indicate the nature of the action desired, sign it, and submit it to the Police Chief. At this point, the grievance review process becomes formal. Should the grievant and /or his or her designated representative fail to file a written grievance, and in the manner specified above, within ten (10) working days after first discussing the grievance with the employee's immediate supervisor, the grievance shall be barred and waived. 19.3 Formal Process. A. If a grievance is not resolved through the informal process, and a written grievance is filed within the time limits set forth above, the grievant's irmediate supervisor shall add his or her comments and any justification be or she considered proper, sign it, and forwvard it to the Police Chief without undue delay or, in no case, more than ten (10) calendar days. 45 251 -47 B. If the grievant files a written grievance to the Police Chief in the manner and within the time limits specified, then a conference shall be held at the request of the employee or the Police Chief. C, Police Chief shall inform the employee of his or her action within ten (10) calendar days of the conference referenced in subsection (B) above. The original of the grievance form and the Chiefs decision shall be filed in the Personnel Records of the Department. D. If no satisfactory settlement has been reached at the Department level, the employee may, within ten (10) calendar days after being informed by the Police Chief of his or her decision on the matter, and the reasons thereof, submit the grievance in writing to the City Manager, or his or her duly authorized representative, for determination. Failure of the grievant to take this action will constitute a waiver and bar to the grievance, and the grievance will be considered settled on a basis of the Police Chief's response. E. The City Manager or his or her duly authorized representative, after a careful review, shall render a final decision on the merits of the grievance, in writing, and return it to the grievant within thirty (3 0) calendar days after receiving the grievance. A copy of the written grievance to the City Manager, or his or her duly authorized representative, and of the City Manager's or his representative's written decision shall be filed in the Personnel Records of the Department and the grievant's personnel jacket maintained in the Personnel Services Department, F. After the procedures set forth in this Article have been exhausted, the grievant, the Association, and the City shall have all rights and remedies to pursue said grievance raider the law. Q 251 -48 ARTICLE XX 20.0 DUES DEDUCTION AND INDEMNIFICATION 20.1 Dues Deduction. The City shall deduct dues, on a regular basis, from the pay of all employees recognized to be represented by the Association, who voluntarily authorize such deduction, in writing, on a form to be provided for this purpose by the City. The City shall remit such funds to the Association within thirty (3 0) days following their deduction. 20.2 Indemnification, The Association agrees to hold the City harmless and indemnify the City against any claims, causes of action, or lawsuits instituted by a member or members of the Association arising out of the deductions or transmittal of such funds to the Association, except the intentional failure of the City to transmit, to the Association, monies deducted from the employees pursuant to this Article, 47 251 -49 ARTICLE XXI 21.0 CITY RIGHTS 21.1 The City reserves, retains, and is vested with, solely and exclusively, all rights of Management which have not been expressly abridged by specific provision of this MOU or by law to manage the City, as such rights existed prior to the execution of this MOU. The sole and exclusive rights of Management, as they are not abridged by this MOU or by law, shall include but not be limited to the following rights; A. To manage the City generally and to determine the issues of policy. B. To determine the existence or non - existence of facts which are the basis of the Management decision. C. To determine the necessity of organization of any service or activity conducted by the City and expand or diminish services. D. To determine the nature, manner, means, and technology, and extent of services to be provided to the public. E. To determine methods of financing. F. To determine types of equipment or technology to be used. G. To determine and/or change the facilities, methods, technology, means, and size of the workforce by which the City operations are to be conducted. H. To determine and change the number of locations, relocations, and types of operations, processes, and materials to be used in carrying out all City functions including but not limited to the right contract for or subcontract any work or operation of the City. To assign work to and schedule employees in accordance with requirements as determined by the City, and to establish and change work schedules and assignments. J. To relieve employees from duties for lack of work or similar nondisciplinary reason, subject to the provisions of the City Chatter, Municipal Code, Federal and State law and this MOU. K. To establish and modify productivity and performance programs and standards. L. To discharge, suspend, demote, or otherwise discipline employees for proper cause in 48 251 -50 accordance with the provisions set forth in the City Charter and Santa Ana Municipal Code. M. To determine job classifications and to reclassify employees. N. To hire, transfer, promote and demote employees for nondisciplinary reasons in accordance with this MOU, O. To determine policies, procedures and standards including, but not limited to, quality and quantity standards and to require compliance therewith. To establish employee performance standards including, but not limited to, quality and quantity standards and to require compliance therewith. Q. To maintain order and efficiency in its facilities and operations. R. To establish and promulgate and /or modify rules and regulations to maintain order and safety in the City which are not in contravention with this MOU. S. To take any and all necessary action to cant' out the mission of the City in emergencies. 21.2 Except in emergencies, or where the City is required to make changes in its operations because of the requirements of law, whenever the contemplated exercise of Management's rights shall impact on a significant number of employees of the bargaining unit, the City agrees to meet and confer in good faith with representatives of the Association regarding the impact of the contemplated exercise of such rights prior to exercising such rights, unless the matter of the exercise of such rights is provided for in this MOU. 21,3 Layoffs. During the term of this MOU, the City agrees to meet and confer regarding both the decision and the impact of layoffs to the ranks of Police Commander or Deputy Chief of Police, respectively. 21.4 Transfer of Bargaining Unit Work. As required by the Meyers- Milias -Brown Act, the City agrees to meet and confer prior to the implementation of said transfer as follows: A. Transfer of bargaining unit work from in Association classification to a class not represented by the Association; or B. Transfer of work from a classification outside the Association to a classification represented by the Association. M 251 -51 ARTICLE XXII 22.0 STRIKES AND WORK STOPPAGES 22.1 Prohibited Conduct. A. The Association, its officers, agents, representatives, and/or members agree that during the tern of this MOU, they will not cause or condone any unlawful strike, workout, slowdown, sick -out, or any other unlawful job action by withholding or refusing to perform services. B. Any employee who participates in any conduct prohibited in Subsection A above shall be subject to suspension, demotion or dismissal by the appointing authority. 22.2 Association Responsibility. In the event that the Association, its officers, agents, representatives, or members engage in any of the conduct prohibited in Subsection A, Section 22.1 above of this Article, the Association shall immediately instruct any persons engaging in such conduct that their conduct is in violation of this MOU and unlawful, and they must irmmediately cease engaging in the conduct prohibited and return to work. sn 251 -52 ARTICLE XXIII 23.0 SOLE AND ENTIRE AGREEMENT 23.1 It is the intent of the parties hereto that the provisions of this MOU shall supersede all prior agreements and memoranda of agreement, or memoranda of understanding, or contrary salary and/or personnel rules and regulations or administrative codes, provisions of the City, oral and written, expressed or implied between the parties, and shall govern the entire relationship and shall be the sole source of any and all rights which may be asserted hereunder. This MOU is not intended to conflict with Federal or State law or the City Charter. 23.2 The City will continue to administer its employee relations and its personnel policies and procedures in accordance with duly adopted ordinances and resolutions, and the affected employees will continue to be governed thereby during the term of this MOU. 51 251 -53 ARTICLE XXIV 24.0 WAIVER OF BARGAINING DURING THE TERM OF MOU 24.1 During the term of this MOU, the parties mutually agree that they will not seek to negotiate or bargain with regard to wages, hours and terms of conditions of employment, whether or not covered by this MOU or in the negotiations leading thereto, unless required by specific provision of this MOU, and irrespective of whether or not such matters were discussed or were even within the contemplation of the parties hereto during the negotiations leading to this MOU. Regardless of the waiver contained in this Article, the parties may, however, by mutual agreement, in writing, agree to meet and confer about any matter during the term of this MOU, 52 251 -54 ARTICLE XXV 25.0 SEVERABILITY PROVISION 25.1 Should any provision of this MOU be found to be inoperative, void, or invalid by a court of competent jurisdiction or by statue, all other provisions of this MOU shall remain in full force and effect for the duration of this MOU, provided that if any such affected provisions invalidate or void any benefits of employees covered hereunder, the parties shall forthwith commence negotiations to replace the invalidated benefits with benefits of comparable value, 53 251 -55 ARTICLE XXVI 26.0 TERM OF MOU 26.1 The term of this MOU shall be from July 1, 2015 through Juuc 30, 2017. 54 251 -56 ARTICLE XXVII 27.0 RATIFICATION AND EXECUTION 27.1 The City and the Association have reached an understanding as to certain recommendations to be made to the City Council for the City of Santa Ana and have agreed that the parties hereto will jointly urge the City Council to adopt a new wage and salary resolution which will provide for the changes contained in said joint recommendations. The City and the Association aclmowledge that this MOU shall not be in full force and effect until ratified by the membership of the Association and adopted by the City Council of the City of Santa Ana. Subject to the foregoing, this MOU is hereby executed by the authorized representatives of the City and the Association and entered into this day of August, 2015. Dated: Dated: ATTEST: CLERK OF THE COUNCIL AS TO FORM: CITY OF SANTA ANA, a municipal corporation of the State of California By: MAYOR By: CITY MANAGER M EXECUTIVE DIRECTOR- PERSONNEL SERVICES 55 251 -57 This Memorandum of Understanding has been ratified by the membership of the Santa Ana Police Management Association. Dated: By: PRESIDENT, SANTA ANA POLICE MANAGEMENT ASSOCIATION 56 251 -58 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 SALARY SCHEDULE MATRIX 0 1 2 3 4 5 6 7 8 9 1542 1549 1557 1619 1627 I635 1700 1708 1717 1785 1793 1802 1874 1883 1892 1968 1977 1987 2066 2076 2086 2169 2179 2190 2277 2288 2299 2391 2402 2414 2511 2523 2536 2637 2650 2663 2769 2782 2796 2907 2921 2936 3052 3067 3082 3205 3221 3237 3365 3381 3398 3533 3550 3568 3710 3728 3747 3896 3915 3935 4091 4111 4132 4296 4317 4339 4511 4533 4556 4741 4764 4787 4978 5002 5026 5226 5252 5278 5488 5515 5542 5762 5790 5818 6050 6080 6110 6353 6384 6415 1565 1643 1725 1811 1902 1997 2097 2201 2311 2427 2548 2676 2810 2950 3098 3253 3415 3586 3765 3954 4152 4360 4579 4810 5051 5304 5569 5847 6140 6446 1573 1651 1734 1820 1911 2007 2107 2212 2322 2439 2561 2690 2824 2965 3113 3269 3432 3604 3784 3974 4173 4382 4601 4834 5076 5330 5596 5876 6170 6478 57 1580 1588 1659 1668 1742 1751 1830 1839 1921 1930 2017 2027 2118 2128 2223 2234 2334 2346 2451 2463 2574 2587 2703 2717 2838 2853 2980 2995 3129 3144 3285 3302 3449 3467 3622 3640 3803 3822 3994 4014 4194 4215 4404 4426 4624 4648 4858 4882 5101 5126 5356 5382 5623 5650 5905 5934 6200 6230 6510 6542 251 -59 1596 1676 1760 1848 1940 2037 2139 2246 2357 2475 2600 2730 2867 3010 3160 3318 3484 3658 3841 4034 4236 4448 4671 4906 5151 5408 5678 5963 6260 6574 1604 1612 1684 1693 1769 1778 1857 1866 1950 1960 2048 2058 2150 2160 2257 2268 2369 2381 2488 2500 2613 2626 2744 2758 2881 2896 3025 3040 3176 3192 3335 3352 3501 3519 3676 3695 3861 3880 4054 4074 4257 4278 4470 4493 4694 4718 4930 4954 5176 5201 5434 5461 5706 5734 5992 6021 6291 6322 6606 6638 EXHIBIT A 0 1 2 71 6670 6702 6735 72 7005 7039 7073 73 7355 7391 7427 74 7723 7761 7799 75 8109 8149 8189 76 8515 8557 8599 77 8941 8985 9029 78 9388 9434 9482 79 9857 9906 9955 80 10350 10401 10453 81 10868 10922 10976 82 11411 11468 11525 83 11982 12041 12102 84 12581 12643 12707 85 13210 13275 13342 86 13871 13939 14009 87 14565 14636 14709 88 15293 15368 15444 3 6768 7107 7463 7837 8229 8641 9073 9529 10005 10506 11031 11583 12162 12770 13409 14079 14783 15522 4 6801 7141 7499 7875 8269 8683 9'117 9577 10055 10558 11086 11640 12223 12834 13476 14150 14858 15601 RH 5 6 7 8 9 6835 6869 6903 6937 6971 7176 7211 7247 7283 7319 7535 7571 7609 7647 7685 7913 7951 7989 8029 8069 8309 8349 8389 8431 8473 8725 8767 8809 8853 8897 9161 9205 9250 9296 9342 9625 9673 9721 9770 9819 10105 10156 10207 10258 10309 10611 10664 10717 10771 10825 11142 11198 11254• 11310 11366 11699 11757 11816 11875 11934 12284 12345 12407 12469 12532 12898 12963 13027 13093 13158 13543 13611 13678 13748 13816 14220 14292 14362 14435 14507 14931 15007 15080 15157 1.5232 15678 15757 15834 15915 15994 251 -60 ASSIGNMENT OF CLASSES REPRESENTED BY THE SANTA ANA POLICE MANAGEMENT ASSOCIATION TO SALARY RATE RANGES FOR THE PERIOD OF THE MOU JULY 1, 2015 THROUGH JUNE 30, 2017 SALARY RATE RANGES EFFECTIVE JULY 1, 2015 THROUGH JUNE 30, 2017 CalPERS SAFETY MEMBER CLASSES (assigned to 4 step salary rate ranges) CLASS TITLE Deputy Chief of Police (RM) Police Commander (RM) EXHIBIT B NO. MIN -MAX 839 $12,532- 14,507 805 $10,611-12,284 CalPERS MISCELLANEOUS MEMBER CLASSES (assigned to 5 step salary rate ranges) Jail Administrator (RM) Police Administrative Manager (RM) Police Communications Manager (RM) Police Systems Manger (RM) NO. MIN -MAX 818 $11,310 -13,748 759 $ 8,473 - 10,309 744 $ 7,875 - 9,577 782 $ 9,482 -11,525 59 251 -61 EXIiIBIT C Correspondence from PERS regarding the PERSability of the performance bonus will be inserted here. zo 251 -62 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: MEMORANDUM OF UNDERSTANDING WITH THE SERVICE EMPLOYEES INTERNATIONAL UNION, PART -TIME CIVIL SERVICE UNIT (STRATEGIC PLAN NO. 7,6) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: • re b ❑ As Recommended ❑ As Amended ❑ Ordinance on I" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a Memorandum of Understanding with the Service Employees International Union representing the Part-Time Civil Service Unit, subject to non - substantive changes approved by the City Manager and City Attorney, regarding wages and other terms and conditions of employment for a two -year period from July 1, 2015 to June 30, 2017. DISCUSSION The City and the Service Employees International Union recently completed contract negotiations resulting in a new Memorandum of Understanding for the Part-Time Civil Service Bargaining Unit (PTCS). The primary provisions of this Memorandum of Understanding include: 1) Term: A two -year term, from July 1, 2015 through June 30, 2017. 2) Salary Increase: A 2.5% increase on both July 1, 2015 and July 1, 2016 with a "me too" guarantee to receive a higher salary increase if any other bargaining unit negotiates a greater increase. 3) Vacation: Members will accrue vacation on a pro -rata basis comparable to full -time SEIU members and City will buy back up to 36 hours of vacation annually upon member request. 4) Vacation Accrual upon Job Change: If a member accepts a City position outside of the PTCS bargaining unit, length of service in the PTCS unit will be used in determining eligibility for vacation accrual. Length of service in the Part Time Civil Service unit will be calculated at .75 per each year of full time service. 25J -1 Agreement with the Service Employees International Union August 4, 2015 Page 2 5) Health Insurance: Effective January 1, 2016 and again January 1, 2017, the City will contribute 75% or depending upon the individual employees' selection of CalPERS health insurance, the entire premium, whichever is less of the amount allocated to full -time SEIU members for health insurance premium costs for the employee and any dependents. 6) Dental Insurance: Effective January 1, 2016 and again January 1, 2017, the City will contribute 75% or depending upon the individual employees' selection of dental insurance, the entire premium, whichever is less of the amount allocated to full -time SEIU members for dental insurance premium costs for the employee and any dependents. 7) Retirement Health Savings Plan (RHSP): PTCS members will have the option of participating in an RHSP, a plan to provide for payment of health insurance premiums and other qualified medical expenses post - employment on a tax -free basis. Effective January 1, 2016, the City will increase the base salary of each PTCS member by 1.25% and deposit said monies into individual employee accounts. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #7 — Team Santa Ana, Objective #6 — (Provide a positive workplace environment that supports the health of its employees and celebrates its success and Goals). FISCAL IMPACT This Memorandum of Understanding will result in a cost of $18,130 during fiscal year 2015 -16 and a cost of $24,160 during fiscal year 2016 -17 for a total cost to the City of $42,290 during the term of the Memorandum. Funds are available in the salary accounts of the various agencies with PTCS employees. 1 Edward Raya Executive Director Personnel Services Department Francisco Gutierrez S1Z Executive Director Finance & Management Services Agency Exhibit 1: Memorandum of Understanding, SEIU PTCS 25J -2 MEMORANDUM OF UNDERSTANDING BETWEEN CITY OF SANTA ANA AND SANTA ANA CITY EMPLOYEES, CHAPTER 1939( SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 PART TIME CIVIL SERVICE EMPLOYEE REPRESENTATION UNIT JULY 1, 2015 -- JUNE 300 2017 25J -3 MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND SANTA ANA CITY EMPLOYEES, CHAPTER 1939/ SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 FOR FISCAL YEARS 2015 -16 THROUGH 2016 -17 PART TIME CIVIL SERVICE EMPLOYEE REPRESENTATION UNIT TABLE OF CONTENTS ARTICLE SUBJECT PAGE ARTICLE I RECOGNITION 3 ARTICLE 11 NON - DISCRIMINATION CLAUSE 4 ARTICLE III ATTENDANCE, HOUR LIMITS, AND NUMBER OF EMPLOYEES 5 ARTICLE IV SALARIES 6 ARTICLE V ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES 10 ARTICLE VI OVERTIME 15 ARTICLE VII RESERVED 18 ARTICLE VIII HOLIDAYS 19 ARTICLE IX VACATION 21 ARTICLE X OTHER LEAVES OF ABSENCE 23 ARTICLE XI EMPLOYEE INSURANCE 27 ARTICLE XII RETIREMENT 29 ARTICLE XIII TOOL REIMBURSEMENT POLICY 31 ARTICLE XIV UNIFORM MAINTENANCE 32 ARTICLE XV SAFETY 33 ARTICLE XVI RESERVED 34 ARTICLE XVII GRIEVANCE REVIEW PROCEDURE 35 ARTICLE XVIII UNION RIGHTS 37 ARTICLE XIX DUES DEDUCTION & INDENLNIFICATION 39 ARTICLE XX CITY RIGHTS 42 ARTICLE XXI STRIKES & WORK STOPPAGES 44 ARTICLE XXII LAYOFFS 45 ARTICLE XXIII MISCELLANEOUS PROVISIONS 47 ARTICLE XXIV SOLE & ENTIRE AGREEMENT 52 ARTICLE XXV WAIVER OF BARGAINING DURING THE TERM OF THIS AGREEMENT 53 ARTICLE XXVI EMERGENCY WAIVER PROVISION 54 ARTICLE XXVII SEPARABILITY PROVISION 55 ARTICLE XXVIII TERM OF AGREEMENT 56 ARTICLE XXIX RATIFICATION & EXECUTION 57 EXHIBIT A BASIC SALARY & WAGE SCHEDULE 59 EXHIBIT B ASSIGNMENT OF CLASSES REPRESENTED BY SANTA ANA CITY EMPLOYEES CHAPTER 1939 SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 61 EXHIBIT C RESO 81 -75 69 25J -4 ARTICLE I 1.0 RECOGNITION 1.1 Pursuant to the provisions of the Meyers - Milias -Brown Act, Government Code Section 3500, et sue., the City of Santa Ana (hereinafter called the "City ") has recognized the Santa Ana City Employees Chapter 1939 /Service Employees International Union Local 721 (hereinafter called the "Union ") as the recognized representative of the bargaining unit which includes Part Time Civil Service .personnel employed by the City of Santa Ana in classifications listed in Exhibit "B ". 1.2 During the term of this Agreement, no substantive issue of representation shall be raised contrary to this recognition except as provided in Resolution No. 81 -75, the Employer- Employee Relations Resolution of the City of Santa Ana. 25J -5 ARTICLE II 2.0 NON - DISCRIMINATION CLAUSE 2.1 The City and the Union agree that they shall not discriminate against any employee because of race, color, sex, age, national origin or alienage, sexual orientation, gender identity, gender expression, political or religious opinions or affiliations, or union membership, and that all jobs are open to males and females. The City and the Union shall reopen any provision of this Agreement for the purpose of complying with any order of a Federal or State agency or court of competent jurisdiction requiring a modification or change in any provision or provisions of this Agreement in compliance with State or Federal anti - discrimination laws. 2.2 Whenever reference is made to the masculine gender, it shall be understood to include the feminine gender, unless expressly stated otherwise. 4 25J -6 ARTICLE III 3.0 ATTENDANCE, HOUR LIMITS, AND NUMBER OF EMPLOYEES 3.1 Attendance. Employees covered by this Agreement shall be in attendance at their work during hours prescribed by the Executive Director or his/her designee(s) and shall not absent themselves without approval of the Executive Director or his/her designee(s). 3.2 Hour Limits. Persons appointed to a Part Time Civil Service position work an average of 20 - 39 hours per week. NOTE: Pay periods for Part Time Civil Service employees nm from the llu' of the month, through the 25t" of the same month, and from the 26t" of the month through the W" of the following month, 33 Number of Employees. The number of Part Time Civil Service positions during the term of this Agreement shall not exceed: Fifteen (15) in the Library Department Ten (1.0) in the Parks, Recreation, and Community Services Department Twelve (12) in all other departments Should an adjustment to these numbers be requested by either party during the term of this Agreement, the parties agree to meet and confer regarding this matter. 3.4 Hourly Conversion. Whenever reference is made to a required munber of days, months, or years for Full Time Civil Service employees in this Article, an equivalent number of hours shall be substituted to satisfy an equivalent requirement for Part Time Civil Service employees as defined in Section 3.2 of this Agreement. 25J -7 ARTICLE IV 4.0 SALARIES 4.1 Basic Compensation Plan. There is hereby established a basic compensation plan for all Part Tirne Civil Service personnel who are now employed or will in the future be employed in any of the designated classifications of employment represented by the Union as listed in this Agreement and its attachments. 4.2 Salary Schedule. The basic salary schedule is attached hereto in a matrix format as Exhibit "A" and made a part hereof as though set forth in full herein. Such salary schedule provides numerous salary rate ranges, each comprised of six (6) steps or rates of pay. The respective rate ranges are identified by a three digit number. The steps within each range are identified by the letters "AA" through "E" inclusive, with Step "AA" being the lowest step in the range. For Part Time Civil Service employees, the purpose of each step and length of service required for advancement to the next step within a particular salary rate range is summarized as follows: AA Step - Normal beginning pay rate. A Step - After 1040 hours in next lower step. Also optional hiring rate. B Step - After 2080 hours in next lower step. Also optional hiring rate. C Step - After 2080 hours in next lower step. Also optional hiring rate. D Step - After 2080 horns in next lower step. Is maximum hiring rate, E Step - Merit rate. After 3120 hours in next lower step. Specific regulations governing advancement within salary rate ranges for Part Time Civil Service employees are set forth in Section 4.8 of this Agreement. 4.3 Salaries. A. Effective July 1, 2015, the base salary of employees covered by this Agreement shall be increased by five (5) salary rate ranges (approximately 2,5%). B. Effective July 1, 2016, the base salary of employees covered by this Agreement shall be increased by 2.5 %. C. During the term of this MOU, should any other. employee bargaining tiuiit of the City receive any base salary rate increase that exceeds those set forth in Subsection "A" above, SEIU Part -Time Civil Service employees shall receive the same base salary increase or equivalent as applied to the salary matrix (where applicable) retroactive to the date such increase went into effect for the other bargaining unit. no 25J -8 D. The assignment of classes to salary rate ranges is listed in Exhibit B and made a part hereof as though set forth herein. 4.4 Application of Basic Compensation Plan. The salary rate ranges contained in Section 4.2 and Exhibit `B" are monthly salary rate ranges. However, all employees working in classifications of employment covered by this Agreement shall be compensated at an hourly rate. The regular rate of pay shall be computed as provided for by the Fair Labor Standards Act (FLSA). Any hourly rate of pay, defined as the regular hourly rate of pay, shall be computed by dividing the monthly salary rate by 173.33. In determining the hourly rate as herein provided, computation shall be made to the nearest whole cent and a computation resulting in an even one -half cent shall fix the rate at the next higher whole cent. 4.5 Probation. The probationary period shall be the hourly equivalent of one (1) year (2080 hours) from the date of appointment from an open eligible list (new hire) or a reappointment eligible list (rehire) and the hourly equivalent of six (6) months (1040 hours) from the date of appointment from a promotional eligible list. 4.6 Besinnine Rates. A new employee of the City of Santa Ana shall be paid the rate shown as Step "AA" in the salary rate range allocated to the class of employment for which he or she has been hired. In special instances where such new employee possesses umique and exceptional educational training and /or experience qualifications, the Executive Director, under whom the employee will serve, may submit a written request and justification to the City Manager for authorization to place such new employee on Step "A," "B," "C," or "D" within the allocated salary rate range, provided that such employee shall be assigned such salary step upon the commencement of his or her service in the classification of employment to which the salary rate range applies and such assignment having once been made shall remain in effect until the said employee shall be entitled, to advance to the next salary step in accordance with the further provisions of this Article. 4.7 Service. The word "service" as used in this Agreement shall be deemed to mean continuous, Rill time service or an equivalent number of hours (one (1) year = 2080 hours; six months = 1040 hours) in the classification in which the employee is being considered for salary advancement, service in a higher classification or service in a classification allocated to the same salary rate range and having generally similar duties and requirements. Employees hired after the first (1s) working day of the month shall not be credited with "time in service" for that month when determining the Iength of service required for salary step advancement. A lapse of service by an employee for a period, of time longer than thirty (30) calendar days by reason of resignation, quit, or discharge, shall serve to eliminate the accumulated length of service time of such employee for the purposes of this Agreement, and such employee reentering the service of the City shall be considered as a new employee, except when he or she is being or will be reappointed within one (1) year and placed, in the same salary step in the appropriate salary rate as he or she was at the time of termination of employment. "Resignation, quit, or discharge" for purposes of this section shall mean separating from Part Time Civil Service City 25J -9 position in an unrelated classification outside the career ladder. 4.3 Advancement Within Ranges. A. Lengtb of Service Advancements. After the salary of an employee has been first established and fixed under this plan, such employee shall be advanced from Step "AA" to Step "A," from Step "A" to Step "B," from Step "B" to Step "C," or from Step "C" to Stop "D," whichever is the next higher step to that on which the employee has been previously paid, effective the first day of the month following the date of completion of the length of service required for such advancement as provided in Section 4.2 and Exhibit A hereof. B. Merit Advances. An employee shall be considered for advancement from Step "D" to Step "E" upon the completion of the required length of service as provided in Section 4.2 and Exhibit A hereof, the effective date of such merit increase, if granted, shall be on the first (0) day of the month following the completion of such required length of service. Advancement to Step "E" may be granted only for continued meritorious and efficient service and continued improvement by the employee in the effective performance of the duties of his or her position, Such merit advancement shall require the following: 1. There shall be on file in the office of the Executive Director of Personnel Services a copy of each periodic performance appraisal report required to be made on the employee by the Civil Service Rules and Regulations and/or the City Manager during the period of service time of such employee subsequent to his or her last salary advancement. 2. The Executive Director, at least twenty (20) calendar days prior to the anticipated completion of such employee's required length of service, shall file with the City Manager a statement recommending the granting or denial of the merit increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified by the Executive Director as to such recommendations and of the reasons therefore. 3. No advancement in salary above Step "D" shall become effective until approved by the City Manager, except when placement on a salary step above Step "D" results from promotion under the provisions of Section 4.10 of this Article. C. Length of Service Required When Advancement Denied. When an employee has not been approved for advancement to merit Step "E," he or she may be reconsidered for such advancement after the completion of 520 hours of additional service and shall be reconsidered for such advancement after the completion of 1040 hours of additional service. This reconsideration shall follow the same steps and shall be subject to the same actions as provided in 25J -10 subparagraph B of this section, 4.9 Reduction in Salary Steams. Any employee who is being paid at merit Step "E" may be reduced to Step "D" of the appropriate salary range, upon the recommendation of the Executive Director, and the approval of the City Manager. Procedure for such reduction shall follow the same procedure as outlined for merit advancements in Section 4.8 above, and such employee may be considered for readvaneement under the same provisions as contained in Subsection C of Section 4,8 above, 4.10 Promotional Salary Advageement. When an employee is promoted to a position in a higher classification from a position in a lower classification in the same occupational career ladder, he or she shall be reassigned to Step "AA" in the appropriate salary rate range for the higher classification; provided, however, that if the base salary step currently being paid such employee is already equal to or higher than said Step "AA," he or she will be placed in the lowest step in the appropriate salary rate range as will grant that employee a minimum increase of one (1) salary step (approximately 5 %) over his or her current base salary step, inclusive of lead pay, and exclusive of any other assigmnent or special pay additive or additives such as bilingual pay, shift differential, special skill pay or the like, except when placement at "E" step will not be sufficient to provide a one (1) salary step (approximately 5 %) increase. 4.11 Demotion. When an employee is demoted to a position in a lower classification, his or her salary rate shall be fixed in the appropriate salary rate range for the lower classification in accordance with the following provisions: A. The salary rate shall be reduced by at least one (1) step (approximately 5 %). B. The new salary rate must be within the appropriate salary rate range. C. The new salary rate shall not be higher than the salary step to which the employee would have been entitled had his or her service time in the higher classification been spent in the lower classification. D. If the salary rate recommended by the Executive Director is lower than the maximum step permissible render Subsection C above, such recommendation shall be considered a reduction in pay in addition to the demotion and shall be handled in accordance with the provisions for salary reductions (Section 4.9, above). 4,12 Reallocation of Salary Rate Ranges. Any employee who is employed in a classification which is reallocated to a different salary rate range from that previously assigned shall be retained in the same salary step in the new salary rate range as he or she had previously held in the prior rate range and shall retain credit for length of service in such step towards advancement to the next higher step. 25J -11 ARTICLE V 5.0 ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES 5.1 Assignment Pav Differential. Any full time SEIU bargaining unit member(s) receiving assignment pay differential who moves into the SEN PT CS bargaining unit during the tern of this Agreement will continue to receive assignment pay differential if that member(s) continue performing the job duties for which the assignment pay differential was originally given. 5,2 Lead Pa v. An incumbent who is regularly and continuously assigned to lead a functional unit which includes two (2) or more Part Time Civil Service positions in the same or lower classifications as the incumbent may be compensated at a rate of ten (10) salary rate ranges (approximately 5 %) for said duties upon mutual agreement of the City and SE,IU and approval of the Executive Director of the affected department and the Executive Director of Personnel Services. This compensation shall be referred to as "lead pay," 5.3 Bilin aug l Pay, An employee who is assigned by an Executive Director or his or her designee to a position requiring bilingual capability in both English and any languages designated by the Orange County Registrar of Voters as necessary for official voting information and/or the federal Voting Rights Act, shall be paid a monthly assignment pay differential in accordance with the criteria and amounts set forth below: A. Certification by the Executive Director of Personnel Services as having satisfactorily demonstrated conversational fluency in both languages for any position requiring bilingual capacity. B. Positions where it has been determined by the Executive Director of the affected department that bilingual proficiency is essential to carry out duties and responsibilities of a critical and/or emergency nature without ready access to backup assistance, or positions where bilingual public contact is a major, essential or integral element of the work being performed, shall be designated as Primary Bilingual Assignments. A qualified incumbent of such position shall be paid a prorated amount based on $175 per 173.33 hours above his or her then current base hourly salary step. C. Positions where it has been determined by an Executive Director that regular and frequent bilingual usage is necessary to the performance of duties, but not a major, essential or integral element of the work, shall be designated as Secondary Bilingual Assignments. A qualified incumbent of such position shall be paid a prorated amount based on $40 per 173.33 hours above his or her base hourly salary step for each full month of such assignment. 10 25J -12 D. The number of such Primary and/or Secondary Bilingual Assignments shall be no larger than the requirements of the department as determined by the Executive Director and the City Manager. E. There shall be periodic recertification of such bilingual capability. 5.4 Shift Differential. A. Generally. An employee in a class represented by the Union who is continuously and regularly assigned to a schedule of work which requires that he or she actually work a minimum of four and one -half (4 %a) hours between the hours of 5:00 p.m. and 7:00 a.m., shall be paid a shift differential for his or her entire work shift at a rate set ten (10) salary rate ranges (approximately 5 %) higher than his or her then current base monthly salary step; except, however, such shift pay differential shall not be applicable to employees in the classification of Park Ranger and Supervising Park Ranger, B. Early Morning Street Crews. A Street Maintenance employee who is assigned to traffic painting or downtown cleanup crews who is continuously and regularly assigned to a schedule of world which requires that he or she actually work at least fifty percent (50 %) of his or her normal daily work shift between the hours of 1:00 a.m. and 7:00 a.m,, shall be paid a shift differential for his or her entire work shift at a rate set ten (10) salary rate ranges (approximately 5 %) higher than his or her then current base monthly salary step. C. Standby Pa v. Employees who are released from active duty but who are required by their department to leave notice where they can be reached and be available to return to active duty when required by the department at any time other than their regularly scheduled working hours, shall be said to be on standby duty. Such employees shall receive two hundred dollars ($200) per week when assigned to be on standby duty. Water Production staff shall be required to serve on standby duty and receive standby pay as defined above. The City's preference shall be to accomplish the above through volunteers; however, qualified employees may be directed to be on standby if the number of volunteers is insufficient. In addition to the $200 per week standby pay, if an employee is able to handle the incident by phone or other electronic means without reporting to duty, he shall be entitled to overtime pay at the rate of 15 minutes or actual time spent per incident whichever is greater, paid at time and one -half (T' /2) per incident. 5.5 Temporary Upgrade Assignment Pay. In order to provide an equitable method of compensating employees who are assigned temporarily to a vacant, full -time, budgeted, higher -level position the following shall apply: 11 25J -13 A. General Guidelines. 1, Temporary Upgrade Assignments shall be limited to the temporary filling of vacant, full -time, budgeted positions due to the termination, promotion or authorized long -term absence of the incumbent. A temporarily vacant position need not be a position without an incumbent. 2. Each such assignment may be terminates{ at any time, but in no event shall such assigmnent continue beyond one hundred eighty (1 80) days of such assignment. 3. Prior to recommending to the City Manager that a pay differential for a Temporary Upgrade Assignment be granted, the Executive Director shall make the following determinations: a.. The duties and responsibilities of the position to be filled are of such nature that they cannot remain unassigned pending the return to duty of the absent incumbent or preparation of an eligible list whichever is applicable. b. It is not practical to assign the duties of the vacant position to any other employee or employees in the same or higher classification. 4. The City Manager or his designee must give written approval of all Temporary Upgrade Assignments involving an increase in pay for the appointee. B. Eligibility. 1. With the exception of those described in paragraph 3 below, regular, Part Time Civil Service employees shall receive Temporary Upgrade Assignment Pay only upon approval by the City Manager and if the following criteria are met: a. The work assigned encompasses the majority of the typical duties and responsibilities of the vacated position. b. Employees must serve ten (10) consecutively scheduled working days of six (6) hours in an acting capacity to qualify for assignment pay. c. Normally granted holidays will be included in computing actual duty days. 2. Whenever practicable, the appointing authority shall rotate Temporary Upgrade Assignments among all qualified employees. 3. Employees in the following categories shall not be assigned to Temporary Upgrade work unless specifically authorized by the City Manager: 12 25J -14 a. Non - permanent employees (Probationary, Part -time, Seasonal, etc.). b. Employees performing work above their regular class in a training capacity. d. Part Time Civil Service employees. C. Pa ent. On the eleventh (I I"') consecutively scheduled working day an employee has been serving in a Temporary Upgrade Assigmnent, and for each additional consecutively scheduled working day the employee so serves, he or she shall receive the beginning rate (Step "AA ") assigned to the higher classification or the lowest rate in that range which is at least ten (10) salary rate ranges (5 %) higher than the current base salary rate he or she normally receives, whichever is greater. If an employee has worked ten (10) consecutive days during the tern of this Agreement in a higher classification, the employee shall thereafter receive upgrade pay for each day the employee is assigned to work in the higher classification during the tern of this Agreement. Employees must requalify for an upgrade (Temporary Assignment) if the employee has not worked in this specific upgrade assignment for a period of 18 consecutive months. The employee shall only be considered to work in a higher classification if such work is duly and specifically authorized by the employee's Executive Director. 2. Special pay differentials, such as shift differential, bilingual pay, special skill pay, etc., being paid to an employee prior to becoming eligible for Temporary Upgrade Assignment Pay, will not be considered in computing the amount of higher pay to which he or she is entitled in Subparagraph 5.5C above, unless the special circumstances upon which said additive is based are also applicable to the Temporary Upgrade Assignment and the employee otherwise meets the criteria established for such pay differential. 3. Temporary Upgrade Assignments which entail moving an employee into a classification represented by an employee unit other than that which represents his or her permanent classification shall not include any change in fringe benefits for the affected employee. 4. While working in a Temporary Upgrade Assignment, an employee will continue to accrue, and have recorded, general, special or normal salary step increases in the employee's permanent position; however, such salary increases will be paid only to maintain the minimum five percent (5 %) differential above the salary to which an employee is entitled in his or her permanent position. 13 25J -15 5.6 Assignments - Discretion. All assignments of personnel to positions set forth in Sections 5.1 through 5,5 above shall be made or revoked at the discretion of the City Manager. 5.7 Reserved. 5.8 Career Development Incentives Any full time SEIU bargaining unit members) receiving career development incentive pay who moves into the SEIU PT CS bargaining unit during the term of this MOU will continue to receive development incentive pay if that member(s) continue performing the job duties for which the development incentive pay was originally given. 14 25J -16 ARTICLE VI 6.0 OVERTIME 6.1 General Policy for Overtime Work. When it shall be determined to be in the public interest for employees to perform overtime work, or in an emergency situation, the City Manager, the Department Head, or a duly authorized representative of the City Manager or the Department Head, may require an employee to perform overtime work. 6.2 Definition. Overtime work is defined as: A. That authorized or required time worked in excess of 40 hours per work week, A workweek is a fixed and regularly recurring period of 168 consecutive hours - 7 consecutive 24 -hour periods - as designated by the appointing authority. An employee's work schedule within the workweek shall not be changed to avoid payment of overtime; provided, however, nothing shall abridge management's right to establish and change work schedules and assignments in accordance with the rights of management contained in Article XX, infra. B. Work on any regularly scheduled non -work day of which there shall be two (2) per week, if work on any regularly scheduled non -work day is worked at management's direction. 6.3 Computation of Fort (40) Hour Workweek, In computing the forty (40) hour workweek, the following type of work hours shall be included in the computation: actual work time, jury /witness leave and bereavement leave. Any combination of these work hours in excess of forty (40) hours per week shall entitle the employee to overtime compensation. However, paid time off for vacation leave, sick leave, holiday leave, compensatory time off, Union President's Leave and Union Business Leave shall not be credited towards the forty (40) hour workweek, unless the employee is required to work by management. 6.4 Compensation for Overtime. A. The preferable method by which overtime shall be compensated is by monetary payment, at one and one -half (1 ' /z) times the employee's regular rate of pay, subject to the provisions of Subsection "C" below. B. Should the Department Head determine that the best interests of the City will be served thereby, his or her designee may permit an employee to be compensated for overtime work by taking paid compensatory time off at the rate of one and one -half (1 '/2) times the employee's regular base rate of pay. C. Employees shall have the option to convert a maximum of eighty (80) hours of time and one -half (1 %2) paid overtime (in compensation for 53 1/3 overtime hours 15 25J -17 worked) to time and one -half (1 1 /z) compensatory time off benefits. Such compensatory time off shall be taken at the discretion of the employee subject to the operational needs and staffing requirements of the department. D. Time off with pay to compensate for overtime worked may be accumulated to a maximum of eighty (80) hours. E. Because each hour of overtime worked is programmatically accrued on a time and one -half (1 %Z) basis, compensatory time off will be taken, and monetary payment will be paid, on a straight -time basis. Also, upon termination, any earned, unused compensatory time off ( "time -on- the - books ") will be paid on a straight -time basis. F. Time off with pay to compensate for overtime worked may be taken in increments as small as a half (%) hour, G. If compensatory time off is used in excess of that available, such excess compensatory time off will be deducted from the next scheduled wage or salary payment. H. Time off with pay as compensation for overtime may not be granted or taken in advance of the overtone work for which the time off compensates. Before compensatory time off with pay may be taken, as herein provided, the overtime worked must have been recorded on official payroll records at or about the time the overtime work was performed. In the absence of such recording, no compensatory time off with pay will be permitted, Upon an employee's appointment to a position in which overtime may not be earned or upon an employee's separation from employment with the City by resignation, retirement, layoff or otherwise, he or she shall forthwith be compensated for any overtime accumulated to the time immediately preceding such promotion or separation, 6.5 No Effect on Other Benefits. Overtime work shall not apply to the earning of employee benefits (retirement, vacation, and sick leave accrual), toward the completion of probationary period or to progression within a salary rate range. 6.6 Overtime Work to be Minimized. To the extent that he or she is reasonably able to do so, the Department Head or his or her designee shalt arrange work programs to minimize overtime work. Necessary overtime work shall be apportioned among employees of like classification and assignment. 6,7 Call -Back Duty. Any employee covered by this Agreement who is recalled to active duty from off -duty, shall be entitled to overtime pay at the rate of one and one -half (I y2) times the nonnal hourly pay rate for such employee for time actually worked after reporting to the place of duty, or three (3) hours pay at the normal rate of pay, whichever is greater. 16 25J -18 6.8 Declaration of State of Emergency. Upon the occurrence of fire, flood, earthquake, strike, riot or other catastrophe or emergency which directly affects City operations or the welfare of the City's citizens, the City Manager may declare a state of emergency to exist. Upon the declaration of a state of emergency, the City Manager may require any or all Part Time Civil Service employees of the City to work overtime or off-shift as he or she shall determine to protect life and property within the City. 6.9 Applicability of Fair Labor Standards Act. The parties agree that if the applicability of the Fair Labor Standards Act to local governmental entities is eliminated by either legislative or judicial action, they shall meet and confer regarding any proposed changes to this Agreement; however, no such changes shall be made except on mutual agreement. 17 25J -19 ARTICLE VII [RESERVED] lII 25J -20 ARTICLE VIII 8.0 HOLIDAYS 8.1 Legal holidays observed, by Part Time Civil Service permanent and probationary employees of the City of Santa Ana are as follows: o January 1 - New Year's Day. o Third (3"') Monday in January - In observance of Martin Luther King, Jr.'s Birthday. o Third (3Yd) Monday in February - In observance of Presidents' Day, o Last Monday in May - In commemoration of Memorial Day. o July 01 - In observance of Independence Day. o First (P) Monday in September - In observance of Labor Day. o November 11th - In observance of Veteran's Day. o Fourth (4th) Thursday in November - In observance of Thanksgiving Day. o The Friday immediately following Thanksgiving Day. o Last working day before Christmas Day, unless Christmas Day falls on Thursday, in which instance, the day following Christmas Day shall be observed in lien thereof. o December 25th - In observance of Christmas Day. o One (1) Floating Holiday - Any workday selected by the employee with prior permission of the employee's supervisor. o Every day proclaimed by the Mayor of the City as a holiday for City employees. o Any holiday which falls on a Sunday will be observed on the following Monday. o Any holiday which falls on a Saturday will be observed on the Friday preceding the holiday. 8.2 Each Part Time Civil Service employee shall be entitled to receive pay for six (6) hours for each of the holidays specified in 8.1 above. This shall equate to a total of 72 hours per calendar year. 83 A newly appointed employee must actually work at least one (1) day preceding the day a holiday listed in Section 8.1, actually occurs in order to receive credit for such holiday 19 25J -21 during the month in which it occurs. An employee separating from the service of the City must actually work at least one (1) day following the day a holiday listed in Section 8.1, actually occurs in order to receive compensation for the holiday. A newly appointed employee must complete six (6) months of continuous Part Time Civil Service in order to receive credit for the Floating Holiday listed in Section 8.1 above, 8.4 IToliday benefits may not be carried over from one (1) calendar year to the next. 25J -22 ARTICLE IX 9,0 VACATION 9.1 Pu ose. It is the policy of the City to grant employees vacation leave in order to provide them with a break in their regular worlc schedule and this purpose will be used as a guide in the administration of the provisions of this Article. 9,2 Administration. A. Part Time Civil Service employees shall cam vacation on a monthly basis as set forth in the following table. Beginning Years Annual Vacation Accrued Monthly Accrual Rate 1 72 6.0 2 72 6.Q 3 72 6.0 4 72 6.0 5 72 6,0 6 75 6.25 7 78 6.5 8 81 6.75 9 $4 7.Q 10 87 7.25: . 11 90 7.5 ,. 12 93 7.75 13 96 8.0 14 99 7.25 -' 15 102 8.5 16 108 9.0 17 114 9.5 18 120 10.0 19 126 10.5 20 132 11.0 B. A Part Time Civil Service employee who has completed less than one year's service during the calendar year shall receive a proportionate fraction in accordance with the amount of service to his or her credit during the year; provided, however, no Part Time Civil Service employee shall be entitled to or receive payment for any vacation until he or she has completed six (6) months of continuous service, 21 25J -23 C. On or after the first (1") day of the month following completion of six (6) months of continuous Part Time Civil Service, an employee may be allowed to take all, or a proportionate fraction of, his or her earned vacation, subject to scheduling approval of the employee's supervisor. D. Limit: The maximum total accrual of vacation leave with pay shall be two hundred (200) hours. Vacation time off may be taken in increments as small as one -half (%2) hour with fractional usage rounded upward to the next higher multiple of one -half (x /2). E. Computation of Regular Vacation. Should an employee be confined to a hospital for sickness or injury while on authorized vacation, each full day of such confinement, when confirmed by a physician's statement and approval of the Executive Director, may be deducted from the computation of vacation expended and charged against the employee's accumulated sick leave. 2, The time at which an employee shall take his or her vacation shall be determined by the Executive Director, with due regard for the wishes of the employee and particular regard for operational needs. 9.3 Excess Usage. If vacation time off is used in excess of that available, such excess vacation time off will, first, be deducted from any available compensatory time off accrual; fmally, deducted from the next scheduled salary payment. 9.4 Effect of Extended Sick Leave on Vacation Accrual. Absence on sick leave or unpaid leave for a period in excess of fifteen (15) consecutive calendar days shall not be considered as service time for regular vacation accrual purposes. 9.5 Vacation Buy -Back. Employees covered by this agreement are eligible to require the City to buy -back up to thirty six (3 6) hours of their accrued vacation per calendar year. 9.6 Impact of Promotion or Transfer. In the event a unit employee accepts another City position outside of the bargaining unit, their length of service in the Part Time Civil Service unit will be used in determining eligibility for vacation accrual. Length of service in the Part Time Civil Service unit will be calculated at .75 per each year of full time service. 22 25J -24 ARTICLE X 10.0 OTHER LEAVES OF ABSENCE 10.1 Sick Leave. When an accepted industrial illness or injury has caused, an employee's absence, for which benefits are required under the State Workers' Compensation Insurance and Safety Act, paid sick leave at the prorated amount based on hours worked will be allowed such employee during the first three (3) days of the statutory waiting period. If the workers' compensation related illness or injury continues past the initial three (3) consecutive days, the employee will have the three (3) used sick days recredited to his or her account. Paid sick leave at the prorated amount will continue until the fourth (41) day when the City pays the employee workers' compensation benefits for such illness or injury. If the employee does not have sufficient accumulated sick leave at the commencement of such industrial illness or injury, they will be advanced sick leave for this purpose. Subsequently, the City will deduct an equal amount previously advanced from any sick leave accrued by the employee until the total amount is recovered. If the employee terminates before recovery of all advanced sick leave, the City will deduct the unrecovered cost of sick leave from such terminated employee's final paycheck, to the extent possible. Commencing with Council approval of this Agreement, the City may authorize employees to use sick leave, vacation, or compensatory time for approved workers' compensation medical appointments as specified herein. The City may authorize use of such leave for City approved medical appointments whenever such appointments cannot be secured outside the employee's regular workday, and salary continuation or workers' compensation benefits are not available. A. Definition. Except as otherwise provided below, sick leave shall be deemed to mean absence fr6m duty of an employee because of illness, injury, medical, or dental appointment that prevents the employee from performing the duties of his or her position, and shall be deemed to include time in quarantine resulting from exposure to a contagious disease. B. Administration. Part Time Civil Service employees shall earn six (6) hours per month of sick leave, for a total maximum annual accrual of 72 hours per year. C. Authorized Only When Necessarv. Use of sick leave by City employees shall be authorized as follows: 1. Sick leave is not a right which an employee may use at his or her discretion, but shall be allowed only in cases of actual sickness and disability, or necessity, as authorized in Subsection J below. D. Limit. The total maximum accrual of sick leave with pay shall be 200 hours. Sick leave usage of less than a full day shall be charged in minimum increments of one -half (' /Z) hour, with fractional usage rounded upward to the next higher 23 25J -25 multiple of one -half ( %z). E. Extended. The City Manager may grant leave up to six (6) months without pay to an employee who has exhausted all of his or her accrued sick leave if a licensed physician designated by the City Manager indicates that the employee will be sufficiently recovered to return to his or her employment within a six (6) month period. Prior to the expiration of the additional time, the employee may return to his or her position provided that the employee has a certificate from, one of the above mentioned physicians stating that the employee is able to perform all the duties of his or her position without qualification. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year without pay. F. Extension by Use of Accrued Compensatory Time Off. After an employee's sick leave has been exhausted, he or she may be granted permission to use any unused compensatory time off benefits or unused vacation leave. G. Notice. The employee taking sick leave shall notify his or her immediate supervisor either prior to or within four (4) hours after the time he or she is scheduled to report for duty, or as otherwise established by departmental regulations. When the absence is more than three (3) consecutive working days, the employee must present to his or her Executive Director a physician's certificate stating that, in the physician's opinion, the employee could not report to work because of such illness or injury and that the employee is sufficiently recovered to safely return to work. Such certificate shall be transmitted to the Executive Director of Personnel Services with the report of the employee's return to work. A physician's certificate or other satisfactory written evidence of actual illness or injury may be required after an absence of any duration less than three (3) days. H. Denial. No employee shall be entitled to sick leave with 'pay while absent from duty because of sickness or injury purposely self - inflicted or caused by willful misconduct; or, sickness or disability sustained while engaged in employment other than employment by the City, for monetary gain or other compensation, or by reason of engaging in business or activity for monetary gain or other compensation. Excess Usage. If sick leave is used in excess of that due and available to an employee, such excess sick leave will first be deducted from any available compensatory time off benefit; second, deducted from vacation leave; third, from the next scheduled salary payment. Personal Necessity Leave. Each employee shall be afforded the opportunity to use up to 36 hours of sick leave per calendar year, on a non - cumulative basis, as personal necessity leave. All of this personal necessity leave may be used to attend to an illness of a child, parent, or spouse of the employee. As used in this 24 25J -26 section, "child" means a, biological, foster, or adopted child, a stepchild, a legal ward, or a child of a person standing in loco parentis; "parent" means a biological, foster, adoptive parent, a stepparent, or a legal guardian; and "immediate family" means any member of the employee's household related by blood or marriage; a parent, parent -in -law, spouse, child, brother, sister, grandparent, or grandchild of the employee, regardless of residence; any other relative of the employee by blood or marriage, where it can be established by the employee that the employee's presence is required to handle emergency arrangements and /or other matters. This 36 hours of personal necessity leave also may be used: a) to attend to a serious accident to a member of the employee's immediate family; b) childbirth; c) to cope with imminent danger to the employee's family, home, or other valuable property; or d) when the existence of external circumstances beyond the employee's control make it impossible for him or her to report for duty. 10.2 Military Leave. A. Proof of Orders and Reinstatements. An employee shall be granted military leave if he or she furnishes the Executive Director of Personnel Services satisfactory proof of his or her order to report for duty. Upon return and upon showing of proof of actual service pursuant to such orders, he or she will be reinstated as provided by law. B. Temporary. Members of the reserve forces of the United States, or the National Guard, granted temporary leave when ordered to duty, will be granted leave with pay not to exceed thirty (30) working days in each calendar year after the hourly equivalent of one (1) year of service with the City upon presenting satisfactory proof of orders to and from such temporary active duties. 10,3 Jury and Witness Leave. When an on -duty employee is called to serve as a juror or non- party witness in any court action, he or she shall be allowed to leave for the time actually required for such service, not to exceed six (6) hours per day, without loss of pay. Each on -duty employee called for such service shall present to his or her Executive Director for examination the subpoena calling him or her to such service and shall pay into the City Treasury the fees collected for such service, with the exception of reimbursement for transportation expenses, if any. 10,4 Examination Leave. Employees participating in examinations conducted during their normal working hours for positions in the competitive service of the City of Santa Ana will be granted leave with pay for the time actually required. 10,5 Unauthorized Absence. Unauthorized absence from duty for any duration of time may be considered cause for dismissal. Absence from duty without leave for five (5) consecutive working days shall be deemed a resignation from service; provided, however, if upon return to duty the person so absenting himself or herself makes an explanation satisfactory to the Executive Director regarding the cause of his or her absence, the 25 25J -27 Executive Director may restore him or her to his or her position, with the City Manager's approval. 10.6 Authorized Absence Without Pav — Short Tenn. Absence without pay not to exceed five (5) consecutive working clays, may be authorized by the Executive Director. Absence without pay not to exceed fifteen (15) calendar days may be authorized by the Executive Director with the approval of the City Manager, Such an absence may be authorized only if in the judgment of the Executive Director it serves the best interest of the City. 10.7 Authorized Absence Without Pay— Long Term. Upon receipt of a written request from an employee having permanent status, plus action by the Executive Director recommending approval of the request, the City Manager may grant a leave of absence without pay for up to six (6) months. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year leave of absence without pay. An employee returning to duty with the City shall inform the Executive Director and the Executive Director of Personnel Services of his or her intention at least thirty (30) calendar days prior to the expiration of the six (6) month period, or shorter period if the full six (6) months is not taken. Upon receipt of such notice, the Executive Director will take steps necessary to restore the employee to his or her former position. 1.0.8 Pregnancy Disability Leave. A pregnant employee is entitled to a reasonable leave of absence without pay for any temporary disability resulting from pregnancy, miscarriage, childbirth or recovery there from. Such reasonable leave of absence shall not exceed four (4) months. However, an employee maybe granted up to an additional two (2) months of leave, at the discretion of the City Manager, for a total of up to six (6) months in which to recover from the disability if substantiated by a physician's certificate. Employees may take an unpaid leave of absence during pregnancy disability consistent with the law. As with all other temporary disabilities, a physician's certificate is required to verify the extent and duration of the temporary disability. An employee who plans to take a pregnancy leave must give a reasonable notice (not less than four (4) weeks) before the date she will take the leave and the estimated duration of the leave. Health and welfare insurance coverage will be continued only if the employee continues to pay a cash premium to continue coverage while on a leave of absence without pay. 10.9 Family Medical Leave Act. The City shall comply with all applicable provisions of the Family Medical Leave Act (FMLA). 10.10 Bereavement Leave, A. An employee shall be granted up to three (3) working days' leave of six (6) hours each without loss of pay in case of death of a member of the employee's 26 25J -28 immediate family. Such leave is designated as bereavement leave. "Immediate family" as used in this section is limited to; Any member of the employee's household related by blood or marriage; A parent, parent -in -law, stepparent, spouse, registered domestic partner, child, stepchild, brother, stepbrother, sister, stepsister, grandparent, or grandchild of the employee, regardless of residence; 3. Any other relative of the employee by blood or by marriage where it can be established by the employee that as a result of such relative's death, the employee's presence is required to handle funeral arrangements and /or matters of estate. B. An employee may use up to twelve (12) hours of additional leave charged to their Personal Necessity Leave balance when authorized by the Executive Director. 10.11 Industrial Leave. Any period of time during which an employee is required to be absent from his or her position by reason of an industrial injury or industrial illness for which he or she is entitled to receive compensation shall not be considered a break in continuous service for the purpose of his or her right to salary adjustments or to the accrual of vacation and seniority. 27 25J -29 ARTICLE XI 11.0 EMPLOYEE INSURANCE 11.1 Health Insurance: Part Time Civil Service employees shall be eligible to participate in the City's insurance programs as outlined below. A. Effective January 1, 2016, the City will contribute 75% or depending on the individual employees' selection of CalPERS health insurance the entire premium, whichever is less, of the City contribution allotted to full time SEN members for health insurance premium costs for the employee and any dependents. B. Effective January 1, 2016, the City will contribute 75% or depending on the individual employees' selection of dental insurance, the entire premium, whichever is less, of the City contribution allotted to full time SEN members for dental insurance premium costs for the employee and any dependents. 11.2 Long-Term Disability(L.T.D,) Insurance. The City shall allow employees, for the term of this Agreement, to participate in any aspect of the Plan offered to the City at the City rate. The cost for this benefit shall be borne by the employee. 11.3 Life Insurance. The City shall allow employees, for the term of this Agreement, to participate in any aspect of the plan offered to the City at the City rate. The cost for this benefit shall be borne by the employee. 11.4 Vision Plan. The City shall offer a non - contributory vision plan through payroll deduction for employees wishing to participate in such a plan. 11.5 Insurance Committee. When there is a need to discuss matters relating to employee insurance and the City believes it would be beneficial to involve an Insurance Committee, the Union shall have an equal number of representatives as the City on such a committee to meet as necessary. 28 25J -30 ARTICLE+" XII 12.0 RETIREMENT 12.1 General. The terms of the existing contract between the City and the California Public Employees' Retirement System (CalPERS) governing City retirement benefits for affected employees are incorporated by reference herein. Each Part Time Civil Service employee shall be a member of the CaIPERS system, and the City shall make contributions to CaIPERS in accordance with its contract with CalPERS for affected employees covered by said contract as amended. 12.2 Deferred Retirement, The City will continue to make payments to GRIPERS on behalf of each employee covered by this agreement, in an amount necessary to pay 100% of his or her individual employee retirement contribution which is equal to eight percent (8 %). Such payments shall be credited to the individual employee's CalPERS account. Such payments are not increases in base salary and no salary rate range applicable to any of the employees covered by this Agreement shall be changed or deemed to have been changed by reason thereof, As a result, the City will not treat these payments as ordinary income and, thus, will not withhold federal or state income tax from said payments. For the purpose of reporting an employee's compensation to CalPERS, the City shall include these payments as if they were a part of the employee's base salary. 12.3 2.7% at 55 Retirement Benefit. Effective January 1, 2009, the City amended its retirement contract with CaIPERS to provide Classic Miscellaneous employees covered by this Agreement with the 2.7% at 55 Service Retirement benefit. Pursuant to CalPERS regulations, this formula applied to employees who were -in active status on that date. Payment of 2.7% at 55 Service Retirement Benefit for Classic Miscellaneous Members. , Miscellaneous employees covered by this Agreement shall pay nine (9 %) percent of their salary to pay for the employer portion of the City's CaIPERS contribution. This payment shall be paid in accordance with Government Code section 20516(1) as set forth in Article IV, Section 4.313 and C. Pre - taxable Benefit. To the extent permitted by CaIPERS and Internal Revenue Service regulations, the City shall make the above employee deduction as a pre-tax contribution. 12.4 Credit for Unused Sick Leave. Effective as soon as practicable following Council approval of this Agreement, an employee covered by this Agreement can have unused, accumulated sick leave at the time of retirement converted to additional service credit at the rate of 0.004 years of service credit for each eight (8) hours of unused sick leave. 12.5 Military Service Credit as Public Service. Effective as soon as practicable following Council approval of this Agreement, an employee covered by this Agreement may elect to purchase up to four (4) years of service credit for any continuous active military, 29 25J -31 Reserve Forces, National Guard or merchant marine service prior to employment. The employee must contribute an amount equal to the contribution for current and prior service that the employee and the employer would have made with respect to that period of service. 12.6 For "New Members" within the meaning of the California Public Employees' Pension Reform Act EPRA) of 2013 The PEPRA went into effect on January 1, 2013. The parties agree that if there is any other clean up or other retirement legislation which goes into effect during this MOU and if there are provisions of that legislation which, by law, automatically goes into effect, either party may request to negotiate over the legislation, including over the impact. Retirement Formula: Per Government Code Section 7522,20(a), the 2 %@ 62 retirement formula for non -sworn. Final compensation will be based on the highest annual average compensation eanrable during the 36 consecutive months immediately preceding the effective date of his or her retirement, or some other 36 consecutive month period designated by the member. Employees shall pay one half of the normal cost rate, as established by CalPERS. 12.7 Reserved. 12.8 Retirement Health Savin sg Plan. A. Effective November 28, 2011, the City adopted a resolution, authorizing implementation of the "Vantage Care" Retirement Health Savings Plan (RHS), which designated ICMA -RC as the administrator of the plan. The City agrees to amend the current contract with ICMA -RC to allow PTCS members to participate in the Retiree Health Savings Plan. 2. Upon establishment of the RHS, effective January 1, 2016, the City will increase the base salary of each PTCS member by 1.25% with said amount being deposited into employees' individual RHS accounts each pay period. 30 25J -32 ARTICLE XIII 13.0 TOOL REIMBURSEMENT POLICY 13.1 Employees classified as Fleet Equipment Technician I, II, or III, or Fleet Equipment Supervisor shall continue to provide such tools as are ordinarily used in the trade which shall be the personal tools of the mechanic. The City will continue with one (1) or more vendors an account(s) for said employees who have at least one (1) year of service in such classifications. Such employees shall be allowed up to $900 per fiscal year with such vendor(s) in order to purchase tools which, in the sole determination of the Fleet Services Manager, are necessary for the performance of such employee's job duties, The City's policy and procedure for the replacement of stolen tools shall be the same as it existed prior to the effective date of this Agreement. The City shall bear no liability or responsibility for such tools except as provided in this Section. 31 25J -33 AR'T'ICLE YIV 14.0 UNIFORM MAINTENANCE 14.1 All employees who are required by the City to wear a uniform while on duty shall continue to be provided seven (7) sets of clean uniforms every two (2) weeks at no cost to the employees. All field /yard maintenance, custodial and equipment repair employees shall be provided eleven (11) clean sets every two (2) weeks at no cost to the employee. All Police Records Personnel and the Senior Office Assistants assigned to the traffic window shall be provided three (3) sets of oniforms made of Dacron and one (1) wool sweater. The Union agrees that any such employee who wishes to be provided with one (1) or more additional clean sets per week above the amounts specified above will be required to pay the extra cost incurred for such additional set(s). W 25J -34 ARTICLE XV 15.0 SAFETY 15.1 General. The City and the employees of the City agree to comply with all applicable Federal, State and local laws and the City of Santa Ana regulations, which relate to health and safety. 15.2 Central Safety Committee. Part Time Civil Service employees are eligible to serve on the City's Central Safety Committee, However, in no case shall the total number of SEIU members (both Full Time and Part Time Civil Service) exceed two (2) representatives and two (2) alternates. 15.3 Safety Shoes. A. The City agrees to pay up to two hundred dollars ($200) per fiscal year to each employee required to wear safety shoes/boots, for the purchase and /or repair of approved safety shoes/boots. The option of purchase and /or repair shall be at the sole discretion of the employee. B. All safety shoes/boots purchased under this program must have steel reinforced toes and insteps and bear the official stamp of approval from the American National Standards Institute (ANSI), z -41. C. If a particular class of employment is designated as requiring its incumbents to wear safety shoes, then it will be mandatory for all incumbents of that class to wear the type of safety shoe (boot or low- quarter) deemed to be appropriate by the Executive Director. (Some exemptions may be allowed, on a case -by -case basis, depending on the type and amount of exposure to hazard in particular positions and subject to the approval or disapproval of the City's Safety Officer). D. The procedure necessary to be followed for the implementation and operation of this program shall be in accordance with the existing policies and procedures as previously established by the City. 33 25J -35 ARTICLE XVI [RESERVED] 34 25J -36 ARTICLE XVII 17.0 GRIEVANCE REVIEW PROCEDURE 17.1 Definition of a Grievance. A grievance shall be defined as a timely complaint by an employee or group of employees or the Union concerning the interpretation or application of specific provisions of this Agreement, or of the rules and regulations governing personnel practices or working conditions of the City, except, however, those matters specifically assigned to the jurisdiction of the City Personnel Board by those provisions of the City Charter and the Civil Service Rules and Regulations. 17.2 Informal Process - First Ste A. An employee and /or his or her designated representative must first attempt to resolve the grievance on an informal basis through discussion with his or her immediate supervisor without undue delay, but in no case, beyond a period of fifteen (15) working days after the occurrence of the alleged incident giving rise to the grievance, or when the grievant knew or should have reasonably become aware of the facts giving rise to the grievance. B, Every effort shall be made to find an acceptable solution to the grievance through this informal means at the most immediate level of supervision. C. In order that this informal procedure may be responsive, both parties involved shall expedite this process. If, within fifteen (15) working days a mutually acceptable solution has not been reached at the informal level, the employee and /or the employee's designated representative shall then set forth the grievance in writing, indicate the nature of the action desired, sign it, and submit it in duplicate to the employee's Executive Director. At this point, the grievance review process becomes formal. Should the grievant fail to file a written grievance, and in the manner specified above, within fifteen (15) working days after first discussing the grievance with the employee's immediate supervisor, the grievance shall be barred and waived. D. Any resolution of the grievance at the informal stage by any person other than a middle manager or above shall not become precedence or be used to establish past practice regarding implementation, interpretation, or application of this Agreement. 17.3 Formal Process. A. Second Step. The Executive Director or his or her designated representative shall meet with the employee and/or the employee's designated representative within fifteen (15) working days after the grievance has been submitted to the Executive Director. The Executive Director, or his or her designated representative, shall review the grievance and may affirm, reverse or modify the disposition made at M, 25J -37 the First Step and shall deliver his or her answer to the employee and /or the employee's designated representative within ten (10) working days after said meeting. B. Third Step, If the grievance is not satisfactorily resolved at the Second Step, the employee and /or the employee's representative may submit the grievance in writing to the City Manager or his or her designated representative within thirty (30) days of being informed of the disposition made at the Second Step. Failure of the grievant and /or his or her designated representative to take this action will constitute a waiver and bar to the grievance, and the grievance will be considered settled on the basis of the disposition made at the Second Step, The City Manager or his or her designated representative shall meet with the employee and /or the employee's designated representative within fifteen (15) working days after submission of the grievance. The City Manager, or his or her designated representative, after careful review, may affirm, reverse, or modify the disposition made at the Second Step and his or her decision, which shall be final and binding, shall be delivered in writing, to the employee and /or the employee's designated representative within fifteen (15) working days after said meeting. A copy of the written grievance to the City Manager, or his or her drily authorized representative, and of the City Manager's or his or her representative's written decision, shall be filed in the personnel records of the department and the grievant's personnel jacket maintained in the City Personnel Services Department, 17.4 Reservation of Rights. After the procedure set forth in this Article has been exhausted, the grievant, the Union, and the City shall have all rights and remedies to pursue said grievance under the law. we 25J -38 ARTICLE XVIII 18.0 UNION RIGHTS 18.1 Release Time for Union Grievance Representatives. The Union shall have the right to appoint /elect a reasonable number of representatives who are recognized by the City as officers or worksite leaders /stewards, A. Such reasonable number of worksite leaders /stewards recognized by the City and specified within the Full Time SEIU MOU shall be increased by one (1) for the Part Time Civil Service category of employment, to a total of 16. B. The City's Executive Director of Personnel Services shall be provided with a list of names and classification titles of the Union's officers as set forth in the Santa Ana City Employees, Chapter 1939 /Service Employees International Union Local 721 Bylaws, as well as the names and classification titles of all worksite leaders /stewards and other Union representatives, The Union agrees to inform the City in writing of any changes in said list within ten (10) calendar days. C. During the term of this Agreement, the City agrees to grant up to a total of two hundred (200) hours per fiscal year on a non- cuumulative basis to enable the officers and worksite leaders /stewards to assist other bargaining unit employees in processing grievances under the Grievance Review Procedure; provided, however, that such officers and worksite leaders /stewards shall make advance arrangements with their supervisors prior to absenting themselves for such purpose, The officers and worksite leaders /stewards shall be required by the City to record and report to their supervisors the work time spent in assisting other bargaining unit employees pursuant to this provision of the Agreement. D. Union Business Leave Time. In addition to the two hundred (200) hours per fiscal year provided by the City on a non - cumulative basis, officers and worksite leaders /stewards shall be granted an additional three hundred (300) hours per fiscal year on a non - cumulative basis paid by the Union from the bank of hours or directly by the Union. The purpose of this additional three hundred (300) hours per fiscal year shall be to enable the officers and worksite leaders /stewards to assist the bargaining unit employees in processing grievances under the Grievance Review Procedure and for union activities which may include conventions, seminars and meetings. However, such officers and worksite leaders /stewards shall make arrangements with their supervisors prior to absenting themselves for such purposes. The officers and worksite leaders /stewards shall be required by the City to record and report to their supervisors on the work time spent on Union business. Time spent by officers or worksite leaders /stewards on Union Business leave time, under this Letter of Agreement, shall not be considered time worked for 37 25J -39 computation of overtime according to the Fair Labor Standards Act. E. If, at some point in the fature, the President for the SEIU bargaining unit is elected, from the Part Time Civil Service category of employment, then all rights and privileges pertaining to President's leave shall apply. 18.2 Worksite Access. A. Officers, worksite leaders /stewards and /or paid Union representatives shall be permitted to visit break and lunch areas designated by the City, before or after work or during designated lunch periods for the purpose of discussing Union business, provided that arrangements are made in advance with the manager responsible for the worksite. B. Such visits shall not disrupt the work of City employees, interfere with the normal operations of the department or with established safety and security requirements. Where any such problems arise, the Union and the City will agree on an alternate meeting/conference facility for the purpose of providing a place for the Union to hold a meeting before or after work or daring lunch periods. If the City facility provided the Union as an alternate meeting site during non - working hours is a public meeting room, its scheduling and use shall be governed in accordance with regulations pertaining to the use of public meeting rooms at City facilities. C. Solicitations of membership and all activities concerned with the internal management of the Union, such as collecting dues, holding membership meetings, preparation of petitions, preparation of proposals, campaigning for office, conducting elections and distributing literature, shall not be conducted during working hours. D. Officers and employees may perform those duties assigned to them by the Union, but in no event shall they have the right to interfere with the performance of work of any other employee or interfere with City operations or to call a strike, slowdown, work stoppage, sympathy strike or take any economic action against the City. 18.3 Release Time for Employee Representatives, A. In the event that the Union is formally meeting and conferring with representatives of the City on matters within the scope of representation during regular City business hours, a reasonable number of officers, employee representatives or other officials of the Union shall be allowed reasonable time off without loss of compensation or other benefits, B. Such officers and employee representatives shall not leave their duty or work station or assignment without the prior knowledge of their supervisor or such supervisor's supervisor. 38 25J -40 C. Such meetings are subject to scheduling in a manner consistent with City operating needs and work schedules. 18.4 Use of Bulletin Boards. Space shall be made available to the Union on the City's existing employee bulletin boards for the purpose of posting notices pertaining to Union business, subject to the following conditions: A. Materials posted by the Union shall not include campaign material on municipal election matters, including elections for City Council, other City positions, or other municipal political matters, B. Material posted shall not be derogatory to the City, City employees or other employee organizations. C. All materials shall be dated, identify the Union and bear the signature of the authorized representative(s) of the Union responsible for their issuance. D. The City reserves the right to determine what reasonable portion of employee bulletin boards are to be allocated to Union materials. E. If the Union does not abide by these provisions, it will forfeit its right to have materials posted on the City's employee bulletin boards. F. The Union shall not be permitted to post any material that is prohibited by State law or the City Charter. 18.5 Use of City Facilities, The City shall allow the Union to conduct meetings in the City's public meeting rooms during non - working hours provided such meetings are scheduled in accordance with regulations governing the use of public meeting rooms at City facilities; provided, however, the Union shall not be permitted to use City facilities to discuss or present any matter that is prohibited by State law or the City Chatter. 39 25J -41 ARTICLE XIX 19.0 DUES DEDUCTION & INDEMNIFICATION 19,1 Dues Deduction, The City shall deduct dues, on a regular basis, from the pay of all employees recognized to be represented, by the Union, who voluntarily authorize such deduction, in writing, on a form to be provided for this purpose by the City. The City shall remit such fiends to the Union within thirty (30) calendar days following their deduction. 19.2 Agency Ste. A. All employees represented by the Santa Ana City Employees, Chapter 1939 /Service Employees International Union Local 721, AFL -CIO, shall, as a condition of continuing employment become acid remain members of the Union or shall pay to the Union a service fee in lieu thereof B. Any employee hired by the City subject to this Memoranduun of Understanding shall be provided, through the Personnel Services Department, with an authorization form for the deduction of Union dues, Said employee shall have thirty (30) working days following the initial date of employment to fully execute the authorization form of his or her choice and return said form to the Agency /Department payroll section. The effective date of Union dues, service deductions or charitable contribution for such employees shall be the beginning of the first pay period of employment, C. Any employee of the City subject to this Memorandum of Understanding who wishes to execute a written declaration claiming a religious exemption from paying Union dues, and who is a member of a bona fide religion, body or sect which has historically held conscientious objections to joining or financially supporting a public employee organization and which is recognized as such by the Public Employer Relations Board, shall, upon presentation of verification of active membership in such religion, body or sect be permitted to make a charitable contribution equal to the service fee in lieu of Union membership or service fee payment. Declarations or applications for religious exemption and any supporting documentation shall be forwarded to the Union within fifteen (15) calendar days of receipt by the City. The Union shall have fifteen (t 5) calendar days after receipt of a request for religious exemption to challenge any exemption granted by the City Manager or his or her designee. If challenged, the deduction to the charity of the employee's choice shall commence but shall be held in escrow pending resolution of the challenge. Charitable contributions shall be by regular payroll deduction only. For purposes of this section, charitable deduction means a. contribution to one of three non - profit organizations, with the United Way being one of them and the other two can be selected by the employee off of the list of organizations that participate in the City's charitable contribution 40 25J -42 program. The Santa Ana City Employees, Chapter 1939 /Service Employees International Union Local 721, APL -CIO, shall indemnify and hold the City, its officers and employees, harmless from any and all claims, demands, suits, or any other action arising from the Agency Shop provisions herein. In no event shall the City be required to pay from its own funds, Union dues, service fee or charitable contributions, which the employee was obligated to pay, but failed to pay, regardless of the reasons. 41 25J -43 ARTICLE XX 20.0 CITY RIGHTS 20.1 The City reserves, retains, and is vested with, solely and exclusively, all rights of management which have not been expressly abridged by specific provision of this Agreement or by law to manage the City, as such rights existed prior to the execution of this Agreement. The sole and exclusive rights of Management, as they are not abridged by this Agreement or by law, shall include but not be limited to the following rights: A. To manage the City generally and to determine the issues of policy. B. To determine the existence or nonexistence of facts which are the basis of the Management decision. C. To determine the necessity of organization of any service or activity conducted by the City and expand or diminish services. D. To determine the nature, manner, means, and technology, and extent of services to be provided to the public. E. To determine methods of financing. F. To determine types of equipment or technology to be used. G. To determine and /or change the facilities, methods, technology, means, and size of the workforce by which the City operations are to be conducted. H. To detcrmine and change the number of locations, relocations, and types of operations, processes, and materials to be used in carrying out all City functions, including but not limited to the right to contract for or subcontract any work or operation of the City. I. To assign work to and schedule employees in accordance with requirements as determined by the City, and to establish and change work schedules and assigmnents. J. To relieve employees from duties for lack of work or similar non - disciplinary reason, subject to the provisions of the City Charter, Municipal Code, Federal and State law and this Agreement. K. To establish and modify productivity and performance programs and standards. L. To discharge, suspend, demote, or otherwise discipline employees for proper cause in accordance with the provisions set forth in the City Charter and Santa Ana Municipal Code. 42 25J -44 M. To determine job classifications and to reclassify employees. N. To hire, transfer, promote and demote employees for non - disciplinary reasons in accordance with this Agreement. O. To determine policies, procedures, and standards for selection, training and promotion of employees. A. To establish employee performance standards including but not limited to quality and quantity standards and to require compliance therewith. Q. To maintain order and efficiency in its facilities and operations. R. To establish and promulgate and/or modify rules and regulations to maintain order and safety in the City which are not in contravention with this Agreement. S. To take any and all necessary action to carry out the mission of the City in emergencies. 20.2 Except in emergencies, or where the City is required to make changes in its operations because of the requirements of law, whenever the contemplated exercise of Management's rights shall impact on a significant number of employees of the bargaining unit, the City agrees to meet and confer in good faith with representatives of the Union regarding the impact of the contemplated exercise of such rights prior to exercising such rights, unless the matter of the exercise of such rights is provided for in this Agreement. 43 25J -45 ARTICLE XXI 21.0 STRIKES & WORD STOPPAGES 21.1 Prohibited Conduct. A. The Union, its officers, agents, representatives, and /or members agree that during the term of this Agreement, they will not cause or condone any unlawful strike, walkout, slowdown, sick -out, or any other unlawful job action by withholding or refusing to perform services. B. Any employee who participates in any conduct prohibited in Subsection A above shall be subject to suspension, demotion or dismissal by the appointing authority without right of appeal to the Personnel Board in accordance with City Charter Section 1014. 21.2 Union Responsibility. In the event that the Union, its officers, agents, representatives, or members engage in any of the conduct prohibited in Section. I, Subsection A above of this Article, the Union shall immediately instruct any persons engaging in such conduct that their conduct is in violation of this Agreement and unlawful, and they must immediately cease engaging in the conduct prohibited in said Section 1, Subsection A above, and return to work. 44 25J -46 ARTICLE XXII 22.0 LAYOFFS 22.1 The City agrees to inform the Union as soon as possible if and when a decision is made to reduce positions represented by the Union through layoff, If it is decided to contract out work, the City shall provide the Union reasonable notice of the decision; meet and confer with the Union over the impact of the decision; will seriously consider reasonable alternatives provided by the Union; and if any bargaining unit member is laid off as a result of the decision, the City shall make a reasonable effort to place said employee with the contracting company. 22.2 In the event of a reduction -in- force, part time employees in any City office, activity or department shall be laid off prior to laying off Part Time Civil Service Employees as above defined. Wherever possible, Part Time Civil Service Employees in the classification shall be laid off prior to Full Time employees in the same classification. 223 The principles of seniority (length of service) shall govern layoffs as described herein, except in the event that more than one (1) employee has the same seniority date, in which case performance also shall be considered. The City's determination of performance shall not be arbitrary or capricious in nature. Any dispute over the application of the principles outlined in this Article XXII shall be subject to the grievance procedure. A. Classification seniority is defined as length of service in the classification, and shall begin on the first date worked, by the employee in that classification. Whenever a position within a classification is to be eliminated, resulting in the layoff of an employee, seniority shall govern the order of layoff. The employee with the lowest seniority in the affected classification shall be laid off first. B. In lieu of layoff, an employee may elect to work in a lower classification, in which he has served, providing that classification is within the same job family /career ladder. In that event, the employee's length of service in the next lower classification will be added to his length of service in the affected classification, and said combined seniority shall be used to bump down into the next lower classification. This method of combining seniority shall be applied to subsequent lower classifications. C. The reemployment list shall be valid for one (1) year from the date of its establishment. Reemployment shall be in reverse order of layoffs. The Joint Labor Management Committee will determine Job Family /Career Ladder. 22.4 A bargaining unit employee who is laid off from Park Time Civil Service employment pursuant to this Article, may be granted a temporary appointment to a vacant Part Time Civil Service position in any classification for which there is no eligible list and for which said employee meets the minimum qualifications established for the classification 45 25J -47 and possesses the requisite knowledge, skills and abilities to satisfactorily perform the work of the classification. Such temporary appointment will be terminated upon the establishment of a new eligible list for the classification or one (1) year following the initial day of such temporary appointment, whichever occurs first. 46 25J -48 ARTICLE XXIII 23.0 MISCELLANEOUS PROVISIONS 23.1 The City agrees to provide a list each month to the Union with names and class titles of bargaining unit employees who have separated from City service, and the names and class titles of bargaining unit employees who have been hired. The Union agrees to pay the City's cost of producing said list(s). A complete list of bargaining unit employees and their addresses will be provided to the Union once every fiscal year. 23.2 The City agrees to distribute Union membership pamphlets to bargaining unit employees at the new employee orientation sessions conducted by the City. 23.3 Catastrophic. Leave Donation. In order to assist employees otherwise granted leave of absence without pay by the City Manager because of a catastrophic medical condition or injury, the City and Union agree to implement a Catastrophic Leave Donation Program. Nothing herein shall be construed to alter City policies and procedures as provided in the Charter or ordinances of the City of Santa Ana or other provisions of this Agreement with regard to granting unpaid leaves of absence. The Catastrophic Leave benefit will be provided for non - industrial injury or sickness only. The leave shall cover the uncompensated time prior to the employee's becoming eligible for the Long Term Disability benefits. A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. Employees may donate vacation, compensatory time, or one (1) in lieu holiday to the eligible employee. In no event shall sick leave be donated. 2. Employees shall be provided a two week period to submit donations. Donations received after this two week period shall not be processed. The two week period for each case shall be designated by the Executive Director or his or her designee as provided herein below. Donations shall be for a minimum of two (2) hours and a maximum of six (6) hours per donor. All donations must be made in two (2) hour increments, except in lieu holidays must be for six (6) hours. 4. Any authorization of donations not made in accordance with the procedures outlined in Section C, Subparagraph 2 below, will not be processed. All donations shall be irrevocable, 47 25J -49 6. In the event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accred by the recipient and designated, as sick leave, B. Eli 'bility. Part Time Civil Service employees shall be eligible for Catastrophic Leave Donations if the following criteria are met: When it is reasonably foreseeable that all accrued time on the books, such as sick leave, compensatory time, and vacation will be exhausted and the employee's illness will continue past the time when the employee will be on paid status. The employee's Executive Director, or his or her designee, has approved a written request for donations accompanied by a medical statement from the employee's attending physician, The attending physician's statement must verify the employee's need for an extended medical leave and an estimate of the time the employee will be unable to work. C. Procedure. Upon receipt of a valid request for donations from an eligible employee, the Executive Director or his or her designee shall post a notice of the eligible employee's need for donations on bulletin boards accessible to employees. No confidential medical information shall be included in the posted notice. 2. Employees wishing to donate time to an eligible employee must sign his or her authorization of the transfer of such donated time and provide: a. His or her name, department name, and employee number; b. The number of hours of compensatory or vacation time of the donation within the limitations of Section A, subparagraph 3 above; C. The name, department and employee number of the recipient; d. A statement indicating that the donor understands such donation of time is irrevocable, At the close of the two (2) week donation period, the department shall verify that each donating employee has accrued vacation and /or compensatory time balances sufficient to cover the designated donation. 4. The department shall submit all approved donation authorizations for an eligible employee at one time for processing. No donation authorizations for the eligible employee will be processed after this period. However, 48 25J -50 employees who receive donations under this procedure and who exhaust all donated, hours may request an additional donation period subject to the provisions of Section A, herein. 5. The City shall add the donated time to the recipient's sick leave account. In no event shall the total time credited to an employee's sick leave balance exceed 200 hours, pursuant to Article X, Section 10.1.D. 23.4 Full Time Eligible Lists, Part Time Civil Service employees, upon their written request, shall be placed on the Full Time transfer eligible list for the classification in which they are employed, City will submit names of employees wishing to convert to full -time position for consideration to any Department hiring for vacancies in the classification. Certification from that list shall be in accordance with all existing Civil Service rules. 23.5 Joint Labor - Management Teams. The City and the Union agree to form Joint Labor - Management teams for the purpose of exploring issues of mutual concern. Each team shall be comprised of an equal number of labor and management employees and shall be chaired by the Executive Director of Personnel Services or his /her designee. In no case shall the activity of a team create a delay or hindrance to the ongoing operation of the City. The City and the Union shall hold an initial meeting no sooner than one (1) month from the date of ratification of this Agreement and upon the Union's written request to meet to determine team composition, frequency of meetings and meeting schedules. A. The teams to be formed are: Job Classification Studies (for purposes of identifying positions in which the duties and responsibilities have increased in complexity as a result of City mstructuring/job consolidation occurring during the tern of the expiring 2004 -10 MOU or during the term of the current 2010 -13 MOU to determine if positions or job families would be appropriate for job classification studies where previously existing positions have been eliminated and /or removed from the list of budgeted positions and higher -level job duties reassigned to or absorbed by other classified positions). For purposes of this section, classification reviews will be conducted pursuant to Section 23.7 (A -E). Web Page Hosting (for purposes of developing a City - hosted web page presenting explanatory information regarding employee compensation, including illustrated explanation of employee payroll statements to assist mortgage services and other similar persons engaged in qualifying employees for loan modifications through either lender or governmental loan modification programs), 3. The potential implementation of anew city -wide salary matrix 49 25J -51 B. Previously authorized teams to be reconvened as needed: 1. Career Ladder /Job Family (for the purpose of developing career ladder /job family series to be used in promotions or in the event of layoffs. 23.6 Performance Appraisals. Non - probationary performance appraisals not completed within six (6) months of the due date shall be stayed and the employee shalt next become subject to evaluation upon the end of the evaluation period, next following, provided that merit advance performance appraisals shall be completed in accordance with Article IV, section 4.8. 23.7 Request for Classification Review. Any employee who, for a continuous period exceeding one (1) year, believes he or she is regularly and consistently performing dirties and/or responsibilities not in conformance with their classification concept, or duties and /or responsibilities of another classification, may request a classification review of their position through their supervisor to the Executive Director. The employee must submit their request on a form specified by the Executive Director of Personnel Services, outlining in writing how they believe their current duties and /or responsibilities differ from their classification concept. A. The Executive Director will review the employee's submitted, request and within sixty (60) days will make one of the following determinations: 1. Will support the employee's request. a. If the Executive Director supports the employee's request for a classification review, he or she shall forward the request to the Executive Director of Personnel Services along with justification for support of the employee's request. b. The Executive Director shall notify the employee that his or her request has been submitted to the Executive Director of Personnel Services, 2. Will not support the employee's request, a. If the Executive Director does not support the employee's request for a classification review, he or she shall notify the employee of this decision in writing and set forth the basis for the decision. b. If the Executive Director does not support the employee's request, but agrees that some of the duties and/or responsibilities being performed by the employee are those of a higher level City classification, he or she can do the following: Return the employee to performance of the duties and /or responsibilities of their proper classification. 50 25J -52 ii. Eliminate the higher duties and/or responsibilities being performed by the employee, for which the City has agreed are those for which it shall provide higher compensation, B. Any employee request for classification review approved by the Executive Director shall be forwarded to the Executive Director of Personnel Services. The Executive Director of Personnel Services shall confirm receipt of the request in writing to the employee. Within sixty (60) days of receipt of the request, the Executive Director of Personnel Services shall notify the employee and Executive Director of the decision as to whether a study will be conducted, If the Executive Director of Personnel Services determines that a study is appropriate, the Executive Director of Personnel Services shall so notify the employee and the Executive Director in writing and shall provide the employee and Executive Director with an approximate start date for the study. C. All determinations of the employee's Executive Director and the Executive Director of Personnel Services are final. D. All studies and study findings shall require City Manager approval before proceeding. E. All recommendations resulting from study findings require the approval of the City Council and shall be implemented in accordance with the City's Civil Service rules. 51 25J -53 ARTICLE XXIV 24.0 SOLE & ENTIRE AGREEMENT 24.1 It is understood and agreed that the parties to this Memorandum of Understanding are subject to all current and future applicable Federal and California laws, the City of Santa Ana Charter and Municipal Code, as well as the City's Employer - Employee Relations Resolution ( #81 -75). It is the intent of the parties hereto that the provisions of this Agreement shall supersede all prior agreements and memoranda of agreement, or memoranda of understanding, or contrary salary and/or personnel rules and regulations or administrative codes, provisions of the City, oral or written, express or implied between the parties, and shall govern the entire relationship and shall be the sole source of any and all rights which may be asserted hereunder. This Agreement is not intended to conflict with Federal or State law or the City Charter. The City will continue to provide employees covered by this Agreement a reduced size copy of this Agreement and its attachments and including a section containing the Employer- Employee Relations Resolution of the City of Santa Ana. 24.2 Notwithstanding the foregoing, there exists within the City personnel rules and regulations and departmental miles and regulations. These rules and regulations shall be continued to the extent they do not contravene specific provisions of this Agreement. Such rules and regulations may, from time to tune, be changed by the City. If these changes affect wages, hours, and/or other terms and conditions of employment, the City shall meet and confer with the Union; provided, further, however, no provision of the rules and regulations shall be changed to contravene specific provisions of this Agreement. 52 25J -54 ARTICLE XXV 25.0 WAIVER OF BARGAINING DURING THE TERM OF THIS AGREEMENT 25.1 During the term of this Agreement, the parties mutually agree that they will not seek to negotiate or bargain with regard to wages, hours and terms and conditions of employment, whether or not covered by the Agreement or in the negotiations leading thereto, and irrespective of whether or not such matters were discussed or were even within the contemplation of the parties hereto during the negotiations leading to this Agreement. Regardless of the waiver contained in this Article, the parties may, however, by mutual agreement, in writing, agree to meet and confer about any matter during the term of this Agreement. 53 25J -55 ARTICLE XXVI 26.0 EMERGENCY WAIVER PROVISION 26.1 In the event of circumstances beyond the control of the City, such as acts of God, fire, flood, insurrection, civil disorder., national emergency, or similar circumstances, provisions of this Agreement or the Personnel Rules or Resolutions of the City, which restrict the City's ability to respond to these emergencies, shall be suspended for the duration of such emergency. After the emergency is declared over, this Agreement will be reinstated immediately. The Union shall have the right to meet and confer with the City regarding the impact on employees of the suspension of the provisions in the Agreement during the course of the emergency. 54 25J -56 ARTICLE XXVII 27.0 SEPARABILITY PROVISION 27.1 Should any provision of this Agreement be found to be inoperative, void, or invalid by a court of competent jurisdiction, all other provisions of this Agreement shall remain in full force and effect for the duration of this Agreement, provided that if any such affected provisions invalidate or void any benefits of employees covered hereunder, the parties shalt forthwith commence negotiations to replace the invalidated benefits with benefits of comparable value. 55 25J -57 ARTICLE XXVIII 28.0 TERM OF AGREEMENT 28.1 The term of this Agreement shall be from July 1, 2015 through June 30, 2017. 56 25J -58 ARTICLE XXIX 29.0 RATIFICATION & EXECUTION 29.1 The City and the Union have reached an understanding as to certain recommendations to be made to the City Council for the City of Santa Ana and have agreed that the parties hereto will jointly urge said Council to adopt a new wage and salary resolution which will provide for the changes contained in said joint recommendations. The City and the Union acknowledge that this Memorandum of Understanding shall not be in full force and effect until ratified by the membership of the Union and adopted by the City Council of the City of Santa Ana. Subject to the foregoing, this Memorandum of Understanding is hereby executed by the authorized representatives of the City and the Union and entered in to this 4a' day of August, 2015. Dated: Dated: CITY OF SANTA ANA, a municipal corporation of the State of California Mayor LN City Manager Dated: By: Executive Director of Personnel Services ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: p v Sonia Carvalho, City Attorney 57 25J -59 This Agreement has been ratified by the membership of the Santa Ana City Employees, Chapter 1939 /Service Employees International Union Local 721. Terri Eggers Bob Hunt PTCS Member Negotiator SEIU Local 721 Santa Ana Chapter SEIU Loca1721 Angelo Giron PTCS Member SEIU Local 721 Santa Ana Chapter W. 25J -60 SEIU BASIC SALARY & WAGE SCHEDULE EXHIBIT A Page 1 of 2 The City's Basic Salary and Wage Schedule provides for a number of ranges of pay rates (salary rate ranges) each comprised of six pay steps or rates for SEIU employees, The salary rate ranges are identified by a three digit number and steps by letters AA, A to E inclusive. For SEIU Part Time Civil Service employees, the purpose of each step and the length of service required for advancement within the rate range are summarized as follows: Propose: AA Step - Normal beginning pay rate. A Step - Automatic Increase. Also optional hiring rate. B Step - Automatic Increase. Also optional hiring rate. C Step - Automatic Increase. May also be maximum hiring rate for certain classes. D Step - Automatic Increase, and is maximum hiring rate. E Step - Merit Rate. Required Length of Service for Part Time Civil Service Employees: AA to A - After 1040 hours' completed service. A to B - After 2080 hours' completed service. B to C - After 2080 hours' completed service. C to D - After 2080 hours' completed service. D to E - After 3120 hours' completed service. In the following salary schedule matrix, each salary range is identified by a three digit number. The first two digits are listed in the first vertical column on the left and the third digit is listed horizontally across the top and identifies the appropriate column, This three digit range number locates the "AA' step of the range, which is the first of the 6 steps. Steps "A.," "B," "C," "D," and "E" are found in the column directly below the "AA" step. For example, the "AA" step of Range No. 401 is found to be $1476 by moving down the left column to the number 40 (the first two digits of the Range No.), then horizontally to column 1 (the third digit of the Range No.). The "AA" step of $1476 has the remaining steps shown directly beneath it; thus the full, six step range is 1476 -1549- 1627 -1708- 1793 -1883. In the same member, Range No. 455 is found to be 1921- 2017- 2118 -2223- 2334 -2451. SALARY SCHEDULE MATRIX 59 25J -61 0 1 2 3 4 5 6 7 8 9 35 1151 1156 1162 1168 1174 1180 1185 1191 1197 1203 36 1209 1215 1221 1227 1233 1239 1245 1251 1258 1264 37 1269 1275 1281 1288 1294 1301 1307 1314 1320 1327 38 1332 1338 1345 1352 1358 1365 1372 1379 1386 1393 39 1399 1405 141.3 1420 1427 1434 1441 1448 1455 1463 59 25J -61 40 1469 1476 1483 1491 1498 1506 1513 1521 1528 1536 41 1542 1549 1557 1565 1573 1580 1588 1596 1604 1612 42 1.619 1627 1635 1643 1651 1659 1668 1676 1684 1693 43 1700 1708 1717 1725 1734 1742 1751 1760 1769 1778 44 1785 1793 1802 1811 1820 1830 1839 1848 1857 1866 45 1874 1883 1892 1902 1911 1921 1930 1940 1950 1960 46 1968 1977 1987 1997 2007 2017 2027 2037 2048 2058 47 2066 2076 2086 2097 2107 2118 2128 2139 2150 2160 48 2169 2179 2190 2201 2212 2223 2234 2246 2257 2268 49 2277 2288 2299 2311 2322 2334 2346 2357 2369 2381 50 2391 2402 2414 2427 2439 2451 2463 2475 2488 2500 51 2511 2523 2536 2548 2561 2574 2587 2600 2613 2626 52 2637 2650 2663 2676 2690 2703 2717 2730 2744 2758 53 2769 2782 2796 2810 2824 2838 2853 2867 2881 2896 54 2907 2921 2936 2950 2965 2980 2995 3010 3025 3040 55 3052 3067 3082 3098 3113 3129 3144 3160 3176 3192 56 3205 3221 3237 3253 3269 3285 3302 3318 3335 3352 57 3365 3381 3398 3415 3432 3449 3467 3484 3501 3519 58 3533 3550 3568 3586 3604 3622 3640 3658 3676 3695 59 3710 3728 3747 3765 3784 3803 3822 3841 3861 3880 60 3896 3915 3935 3954 3974 3994 4014 4034 4054 4074 61 4091 4111 4132 4152 4173 4194 4215 4236 4257 4278 62 4296 4317 4339 4360 4382 4404 4426 4448 4470 4493 63 4511 4533 4556 4579 4601 4624 4648 4671 4694 4718 64 4741 4764 4787 4810 4834 4858 4882 4906 4930 4954 65 4978 5002 5026 5051 5076 5101 5126 5151 5176 5201 66 5226 5252 5278 5304 5330 5356 5382 5408 5434 5461 67 5488 5515 5542 5569 5596 5623 5650 5678 5706 5734 68 5762 5790 5818 5847 5876 5905 5934 5963 5992 6021 69 6050 6080 6110 6140 6170 6200 6230 6260 6291 6322 70 6353 6384 6416 6446 6478 6510 6542 6574 6606 6638 71 6670 6702 6735 6768 6801 6835 6869 6903 6937 6971 72 7005 7039 7073 7107 7141 7176 7211 7247 7283 7319 73 7355 7391 7427 7463 7499 7535 7571 7609 7647 7685 74 7723 7761 7799 7837 7875 7913 7951 7989 8029 8069 75 8109 8149 8189 8229 8269 8309 8349 8389 8431 8473 76 8515 8557 8599 8641 8683 8725 8767 8809 8853 8897 77 8941 8985 9029 9073 9117 9161 9205 9250 9296 9342 •1 25J -62 EXHIBIT B SANTA ANA CITY EMPLOYEES CHAPTER 1939/ SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721, AFL -CIO FOR FISCAL YEARS JULY 1, 2015 THROUGH JUNE 30, 2017 JOB TITLE ASSIGNED SALARY RATE RANGE NUMBERS AS OF: 7/1/2015 ACCOUNTANTI 649 ACCOUNTANT II 677 ACCOUNTING ASSISTANT 598 ACCOUNTING AS TECHNICIAN 598 ACCOUNTS PAYABLE SUPERVISOR 652 ACTIVE TRANSPORTATION COORDINATOR 688 ASSISTANT BUYER 613 ASSISTANT ENGINEER I 717 ASSISTANT ENGINEER 11 731 ASSISTANT FLEET EQUIPMENT TECHNICIAN 593 ASSISTANT INSTRUMENT TECHNICIAN 624 ASSISTANT LIBRARIAN 607 ASSISTANT PARKS/LANDSCAPE PLANNER 658 ASSISTANT PLAN CHECK ENGINEER I 717 ASSISTANT PLAN CHECK ENGINEER II 731 ASSISTANT PLANNER I 658 ASSISTANT PLANNER 11 678 ASSISTANT TRAFFIC OPERATIONS ENGINEER 731 ASSOCIATE PARK AND LANDSCAPE PLANNER 708 ASSOCIATE PLAN CHECI{ ENGINEER 746 ASSOCIATE PLANNER 708 BIBLIOGRAPHIC TECHNICIAN 597 BUILDING INSPECTOR 658 BUILDING MAINTENANCE AIDE 576 BUILDING MAINTENANCE SUPERVISOR 668 BUILDING MAINTENANCE TECHNICIAN 616 BUILDING TECHNICIAN 610 e 25J -63 BUSINESS TAX COLLECTORANSPECTOR 622 BUYER 662 BUYER/SYSTEMS TECHNICIAN 662 CENTRAL SERVICES SUPERVISOR 622 CODE ENFORCEMENT OFFICER 658 CODE ENFORCEMENT SUPERVISOR 678 CODE ENFORCEMENT TECHNICIAN 610 COMBINATION BUILDING INSPECTOR 658 COMMUNITY DEVELOPMENT ANALYST 673 COMMUNITY DEVELOPMENT COMMISSION SECRETARY 594 COMMUNITY DEVELOPMENT DISTRICT MANAGER 728 COMMUNITY DEVELOPMENT TECHNICIAN 627 COMMUNITY EVENTS SUPERVISOR 683 COMMUNITY LIAISON 679 COMMUNITY SERVICES SUPERVISOR 698 COMPUTER OPERATOR 622 COMPUTER PROGRAMMER 665 COMPUTER SYSTEMS ANALYST /PROGRAMMER 685 CONSTRUCTION INSPECTOR I 658 CONSTRUCTION INSPECTOR II 668 CONTRACTS ADMINISTRATOR 658 CORRECTIONAL RECORDS SPECIALIST 559 CUSTODIAL AIDE /PORTER 521 CUSTODIAN 551 CUSTODIAN SUPERVISOR 603 CUSTOMER SERVICE REPRESENTATIVE 606 DATA ENTRY OFFICE ASST 576 DATA ENTRY OPERATOR 567 DATA ENTRY SPECIALIST 576 DEPUTY CLERK OF THE COUNCIL 617 DOWNTOWN DEVELOPMENT LIAISON 679 ECONOMIC DEVELOPMENT AIDE 627 ECONOMIC DEVELOPMENT SPECIALIST I 678 ECONOMIC DEVELOPMENT SPECIALIST II 708 62 25J -64 ECONOMIC DEVELOPMENT SPECIALIST III 738 ELECTRICAL INSPECTOR 658 EMPLOYMENT SERVICES FISCAL SPECIALIST 649 ENGINEERING AIDE 612 ENVIRONMENTAL COORDINATOR 708 EQUIPMENT OPERATOR 617 EQUIPMENT OPERATOR - WATER SERVICES 622 EXECUTIVE SECRETARY 615 FACILITIES SUPERVISOR 668 FLEET PARTS SPECIALIST 633 FLEET SERVICES SUPERVISOR 682 FLEET SERVICES TECHNICIAN I 623 FLEET SERVICES TECHNICIAN II 643 FLEET SERVICES TECHNICIAN III 658 GENERAL MAINTENANCE AIDE 576 GENERAL MAINTENANCE LEADER 637 GENERAL MAINTENANCE SUPERVISOR 668 GENERAL MAINTENANCE WORKER 616 GIS ADMINISTRATOR 703 GIS SYSTEMS ANALYST/PROGRAMMER 685 GRAPHICS DESIGNER I 619 GRAPHICS DESIGNER II 639 HOUSING AUTHORITY AIDE 549 HOUSING AUTHORITY ANALYST 675 HOUSING AUTHORITY COORDINATOR 738 HOUSING AUTHORITY INTAKE SPECIALIST 564 HOUSING AUTHORITY OPERATIONS SUPV. 696 HOUSING PROGRAMS AIDE 587 HOUSING PROGRAMS ANALYST 696 HOUSING .PROGRAMS COORDINATOR 738 HOUSING SPECIALIST I 597 HOUSING SPECIALIST II 621 INFORMATION SERVICES REPRESENTATIVE 611 INSTRUMENT TECHNICIAN 638 INTAKE SPECIALIST 564 LANDSCAPE DEVELOPMENT ASSOCIATE 708 63 25J -65 LEAD ACCOUNTING ASSISTANT 632 LEAD CORRECTIONAL RECORDS SPECIALIST 601 LEAD POLICE RECORDS SPECIALIST 611 LIBRARIAN 647 LIBRARY AIDE 504 LIBRARY SERVICES ASSISTANT 549 LOAN SPECIALIST 648 MAIL CLERK/MESSENGER 530 MAINTENANCE ASSISTANT 551 MAINTENANCE WORKER I 571 MAINTENANCE WORKER II 591 METER READER COLLECTOR 597 MICRO SYSTEMS PROGRAMMER 693 MICRO SYSTEMS TECHNICIAN 627 NEIGHBORHOOD IMPROVEMENT PROJECTS SPECIALIST 678 NETWORI{ ENGINEER 733 NETWORI{ SPECIALIST /WAN SYSTEMS ADMINISTRATOR 693 NPDES MANAGER 718 OFFICE ASSISTANT 549 OFFICE SPECIALIST 524 OFFICE SUPERVISOR 618 PARI{ MAINTENANCE AIDE 449 PARK MAINTENANCE LEADER 620 PARK RANGER 637 PARK SERVICES INSPECTION SUPERVISOR 668 PARK SERVICES INSPECTOR I 576 PARK SERVICES INSPECTOR II 620 PARKING METER OPERATIONS SUPERVISOR 630 PARKING METER TECHNICIAN I 580 PARKING METER TECHNICIAN II 610 PERMIT PROCESSOR 596 PERMIT SUPERVISOR 678 PERMIT TECHNICIAN 648 PLAN EXAMINER (I') 677 PLANNING ASSISTANT 638 PLANNING COMMISSION SECRETARY 615 PLUMBING INSPECTOR 658 POLICE FISCAL OFFICER 696 POLICE FISCAL SERVICES SUPERVISOR 665 POLICE RECORDS SPECIALIST 569 64 25J -66 POLICE RECORDS SUPERVISOR 636 POLICE SYSTEMS SUPPORT ANALYST 713 PRINCIPAL LIBRARIAN 667 PRINCIPAL PROGRAMMER ANALYST 733 PROGRAMMER ANALYST 693 PROJECTS MANAGER 718 PROPERTY CONTROL SPECIALIST 597 PROPERTY REHABILITATION ASSISTANT 597 PUBLIC WORDS CREW LEADER 637 PUBLIC WORKS DISPATCHER 581 PUBLIC WORKS PROJECT MANAGER 769 PUBLIC WORKS PROJECTS SPECIALIST 678 PURCHASING ASSISTANT 587 PURCHASING SPECIALIST 598 PURCHASING SUPERVISOR 707 RECEPTIONIST 564 RECORDS SPECIALIST 592 RECREATION LEADER 537 RECREATION PROGRAM COORDINATOR 617 REPROGRAPHIC EQUIPMENT OPERATOR 556 RESIDENTIAL CONSTRUCTION SPECIALIST 658 REVENUE AND CONTRACT COMPLIANCE AUDITOR 677 REVENUE AND CONTRACT COMPLIANCE EXAMINER 667 REVENUE PROCESSING ASSISTANT 567 REVENUE SUPERVISOR 652 SAFETY COORDINATOR 705 SANITATION INSPECTOR 1 607 SANITATION INSPECTOR II 648 SECRETARY 594 SECURITY ELECTRONICS TECHNICIAN 671 SENIOR ACCOUNTANT 696 SENIOR ACCOUNTING ASSISTANT 613 SENIOR ACCOUNTING ASSISTANT /SYSTEMS TECHNICIAN 613 SENIOR ASSISTANT ENGINEER 746 SENIOR BUILDING INSPECTOR 678 SENIOR CIVIL ENGINEER 769 65 25J -67 SENIOR COMBINATION BUILDING INSPECTOR 678 SENIOR COMMUNITY DEVELOPMENT ANALYST 702 SENIOR CORRECTIONAL RECORDS SPECIALIST 586 SENIOR DEPUTY CLERK OF THE COUNCIL 647 SENIOR ELECTRICAL INSPECTOR 678 SENIOR ELECTRICAL SYSTEMS SPECIALIST 678 SENIOR ENGINEER 769 SENIOR FLEET SERVICES SUPERVISOR 702 SENIOR GRADING SPECIALIST 678 SENIOR HOUSING SPECIALIST 659 SENIOR LAND SURVEYOR 779 SENIOR LIBRARIAN 652 SENIOR LIBRARY TECHNICIAN (T) 607 SENIOR OFFICE ASSISTANT 576 SENIOR OFFICE SPECIALIST 549 SENIOR PARK SERVICES INSPECTION SUPERVISOR 698 SENIOR PLAN CHECK ENGINEER 769 SENIOR PLANNER 728 SENIOR PLUMBING INSPECTOR 678 SENIOR PLUMBING/MECHANICAL SYSTEMS SPEC. 678 SENIOR POLICE RECORDS SPECIALIST 596 SENIOR PROGRAMMER ANALYST 713 SENIOR RECEPTIONIST 594 SENIOR RESIDENTIAL CONSTRUCTION SPECIALIST 678 SENIOR SYSTEMS ADMINISTRATOR 685 SENIOR TRAFFIC ENGINEER 769 SENIOR TRANSPORTATION ANALYST 769 SENIOR WATER SYSTEMS OPERATOR 658 SENOR WATER SERVICES SUPERVISOR 703 STOCK CLERK 592 STOREKEEPER 627 STORES AND CITY YARD PROPERTY SPECIALIST 627 STORMWATER COORDINATOR 688 66 25J -68 STREET LIGHTING MAINTENANCE WORKER 627 STREET MAINTENANCE SUPERVISOR 668 STREET PAINTER 611 SUPERVISING ACCOUNTANT 718 SUPERVISING BUYER 692 SUPERVISING LIBRARY SERVICES ASSISTANT 581 SUPERVISING PARK RANGER 662 SURVEY PARTY CHIEF 691 SURVEY PARTY TECHNICIAN I 627 SURVEY PARTY TECHNICIAN II 658 SYSTEMS ADMINISTRATOR 653 SYSTEMS SUPPORT ANALYST 713 SYSTEMS TECHNICIAN 593 TELECOMMUNICATIONS COORDINATOR 695 TELECOMMUNICATIONS CUSTOMER SERVICE REP. 606 TENANT SERVICES TECHNICIAN 594 TREASURY SERVICES SPECIALIST 637 TREASURY SERVICES SUPERVISOR 652 TREE MAINTENANCE SUPERVISOR 668 TREE TRIMMER 611 UTILITIES BILLING /SYSTEMS TECHNICIAN 606 VIDEO TECHNICIAN 649 WATER SERVICES CREW LEADER 642 WATER SERVICES METER REPAIRER I 601 WATER SERVICES METER REPAIRER II 621 WATER SERVICES QUALITY COORDINATOR, 693 WATER SERVICES QUALITY INSPECTOR 653 WATER SERVICES QUALITY SUPERVISOR 673 WATER. SERVICES SUPERVISOR 673 WATER SERVICES UTILITY INSPECTOR 653 WATER SERVICES WORKER I 576 WATER SERVICES WORKER II 596 WATER SYSTEMS OPERATOR 1 604 WATER SYSTEMS OPERATOR I1 624 WATER SYSTEMS OPERATOR III 638 WEB SYSTEMS TECHNICIAN 593 67 25J -69 WEBSITE ENTRY SPECIALIST 567 WORK CENTER COORDINATOR 738 WORKFORCE SPECIALIST I 593 WORKFORCE SPECIALIST II 618 WORKFORCE SPECIALIST III 638 WORKFORCE SPECIALIST IV 693 YOUTH SERVICES TECHNICIAN 587 ZOO ANIMAL REGISTRAR 598 ZOO CURATOR 647 ZOO CURATOR OF EDUCATION 647 ZOO EDUCATION SPECIALIST 598 ZOO KEEPER AIDE 508 ZOO KEEPER I 568 ZOO KEEPER IT 598 68 25J -70 EXHIBIT C RESOLUTION NO. 81 -75 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA RELATING TO EMPLOYER - EMPLOYEE RELATIONS IN THE PUBLIC SERVICE OF THE CITY OF SANTA ANA WHEREAS, the Council of the City of Santa Ana declares that it is the public policy of the City to maintain and enhance its administration of employer - employee relations and to protect the public by assuring at all times the orderly and uninterrupted operations and services of City government; and WHEREAS, the City of Santa Ana desires to establish uniform and orderly methods of communication between the City and its employees, including provisions for (a) recognizing the rights of employees to join organizations of their own choosing for the purpose of representation on matters affecting employee relations or to represent themselves individually in dealing with the City; and (b) establishing equitable and uniform rules and procedures to provide for the orderly and systematic presentation, consideration and resolution of employer - employee relations matters; and WHEREAS, the City of Santa Ana has met and conferred in good faith with representatives of the Santa Ana City Employees' Association; Santa Ana Police Benevolent Association; Santa Ana Firemen's Benevolent Association; and the American Federation of State, County and Municipal Employees, AFL -CIO, which are the only employee organizations known to the City to have among their members employees of the City, concerning the rules and regulations for the administration of employer- employee relations set forth herein; and NOW, THEREFORE, the City Council of the City of Santa Ana does hereby resolve as follows: Section 1: Title of Resolution This Resolution shall be known as the "Employer - Employee Relations. Resolution of the City of Santa Ana ". Section 2: Definitions As used in this Resolution, the following terms shall have the meanings indicated: APPROPRIATE UNIT - means a unit of employee classifications or positions established pursuant to Section 11 of this Resolution. CITY - means the City of Santa Ana, a municipal corporation, and where appropriate herein, "City" refers to the City Council or any duly authorized management employee as herein defined. DAY - means calendar day unless expressly stated otherwise. EMPLOYEE - means any person regularly employed by the City on a full time basis except 69 25J -71 those persons elected by popular vote, EMPLOYEE, CONFIDENTIAL - means an employee who is assigned to perform work directly involved in the development, preparation or presentation of management positions with respect to employer - employee relations. EMPLOYEE, MANAGEMENT - means any employee having responsibility for fornalating, administering or managing the implementation of City policies or programs, including but not limited to, department and assistant department heads, division heads, and professional administrative staff employees employed to render advice and assistance pertaining to the conduct of legal, fiscal, budgetary; personnel management and employer - employee relations affairs of the City. EMPLOYEE, PROFESSIONAL - means a classification of employees engaged in work (a) predominantly intellectual and varied in character as opposed to routine mental, manual, mechanical or physical work; (b) involving the constant exercise of discretion and judgment in its performance; and (c) requiring knowledge in afield of science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study in an institution of higher learning, as distinguished from a general academic education, or from an apprenticeship or from training in the performance of routine, mental, manual or physical processes. EMPLOYEE, SUPERVISORY - means any employee, regardless of job description or title, having authority, in the interest of the employer, to hire, transfer, suspend, layoff, recall, promote, discharge, assign, reward, or discipline other employees, or the responsibility to assign work to and direct them, or to evaluate or review their grievances, or effectively to recommend such actions, if in connection with any of the foregoing, the exercise of such responsibility is not of merely routine or clerical nature, but requires the use of independent judgment. EMPLOYEE ORGANIZATION - means any lawful organization which includes employees of the City and which has as one of its primary purposes representing such employees in their employment relations with the City; provided, however, that said organization has no restrictions on membership based on race, color, creed, sex or national origin. EMPLOYEE RELATIONS OFFICER - means the City's principal representative in all matters of employer- employee relations designated pursuant to Section 3 hereof, or big duly authorized representative. EMPLOYER - EMPLOYEE RELATIONS - means the relationship between the City and its employees and their employee organization, or when used in a general sense, the relationship between City management and individual employees or employee organizations. GRIEVANCE - means a dispute, claimed by an employee, group of employees or a recognized employee organization concerning the meaning, application, or enforcement of any of the provisions of the City's Employer - Employee Relations Policy or of a memorandum of understanding; and for which specific hearing or appeal procedure is not otherwise provided, or is not specifically withheld, by civil service rule, ordinance, resolution, charter provision, or memorandum of understanding. Wo 25J -72 IMPASSE - means that the representatives of the City and a Recognized Employee Organization have reached a point in their meeting and conferring in good faith where their differences concerning matters on which they are required to meet and confer, remain so substantial that further meeting and conferring would not be likely to result in an agreement. MEDIATION OR CONCILIATION - means the efforts of an impartial third person or persons, functioning as intermediaries, to assist the parties in reaching a voluntary resolution to an impasse, through interpretation, suggestion and advice, Mediation and conciliation are interchangeable terms. MEET AND CONFER IN GOOD FAITH - (sometimes referred to herein as "meet and confer" or "meeting and conferring ") - means the performance by duly authorized City representatives and duly authorized representatives of a recognized employee organization of their mutual obligation personally to meet and confer in good faith promptly upon the request of either party and continue for a, reasonable period of time in order to exchange freely information, opinions and proposals, and to endeavor to reach agreement on matters within the scope of representation prior to the adoption by the City of its final budget for the ensuing year. This does not require either party to agree to a proposal or to make a concession. MEMORANDUM OF UNDERSTANDING - means a written memorandum of the agreement between the City and a recognized employee organization reached through meeting and conferring. PEACE OFFICER - means an employee of the Santa Ana Police Department whose principal duties consist of active law enforcement and who is designated as a "peace officer" as that tern is defined in Section 830, California Penal Code, except that, for purposes of this Resolution only, "peace officer" does not mean a park patrolman, security guard or a member of the fire department, whether the latter be serving as a member of an arson investigating unit, as a deputy or assistant state fire marshal, or in any capacity wherein the member would have the status of peace officer for purposes other than that of this Resolution. RECOGNIZED EMPLOYEE ORGANIZATION - means an employee organization which has been granted formal recognition by the Employee Relations Officer as the employee organization which has the right to meet and confer in good faith as the majority representative of all members of an appropriate representation unit pursuant to Section 11 hereof, except those employees in such unit who have exercised their right not join an employee organization and who choose to represent themselves individually with the City, or has been designated through a secret ballot election as the exclusive representative of the employees in an appropriate representation unit pursuant to Section 11 of this Resolution. SCOPE OF REPRESENTATION - means those matters relating to employment conditions and employer - employee relations including, but not limited to, wages, hours, and other terms and conditions of employment except, however, that the scope of representation shall not include consideration of the merits, necessity, or organization of any service or activity provided by law or executive order. 71 25J -73 Section 3: Designation of the City's Employee Relations Officer The City Council hereby designates the City Manager as the Employee Relations Officer who shall be the City's principal representative on all matters of employer - employee relations, with authority to meet and confer in good faith on matters within the scope of representation, and to administer all provisions of this Resolution and the employee relations rule and procedures adopted pursuant thereto. The Employee Relations Officer is authorized to delegate his duties and responsibilities. Section 4: Meet and Confer in Good Faith - Scone City representatives and representatives of formally recognized employee organizations having exclusive representation rights, have the mutual obligation personally to meet and confer in good faith in order to exchange freely information, opinions and proposals and to endeavor to reach agreement on matters within the scope of representation prior to the adoption by the City of its final budget for the ensuring year. The City shall not be required, to meet and confer in good faith on a subject preempted by Federal or State law or by the City Charter. Section 5: Notice The City will give reasonable written notice to each recognized employee organization affected by any ordinance, rule, resolution, or regulation relating to matters within the scope of representation proposed to be adopted by the City, and each such organization shall be given the opportunity to meet and confer with the Employee Relations Officer prior to such adoption. In cases of emergency when the City determines that an ordinance, Wile, resolution, or regulation relating to matters within the scope of representation must be adopted immediately without prior notice or meeting with recognized employee organization, the Employee Relations Officer shall provide such notice and opportunity to meet at the earliest practicable time following the adoption of such ordinance, rule, resolution or regulation. Section 6: Petition for Reeosnition An employee organization that seeks to be formally acknowledged as the Recognized Employee Organization representing the employees in an appropriate unit shall file a petition with the Employee Relations Officer containing the following information and documentation: Name and address of the employee organization. Names and titles of its officers. Nunes and titles of employee organization representatives who are authorized to speak on behalf of the organization. A statement that the employee organization has, as one of its primary purposes, representing the 72 25J -74 employees in their employment relations with the City. A statement whether the employee organization is a chapter or local of, or affiliated directly or indirectly in any manner with, a regional or state, or national or international organization, anal, if so, the name and address of each such regional, state or international organization. Certified copies of the employee organization's constitution and bylaws, including all amendments thereof. A designation of those persons, not exceeding three in number, and their addresses, to whom sent by first class or certified United States mail will be deemed sufficient notice on the employee organization. A statement that the employee organization is cognizant of the provisions of Section 3509 of the Meyer - Milias -Brown Act. A statement that the employee organization has no restriction on membership based on race, color, creed, sex, or national origin, A description of the composition of the unit or units claimed to be appropriate, including the job classifications of employees and the number of member employees therein, as well as a statement of reasons why the unit or units is or are considered to be appropriate. A statement that the employee organization has in its possession written proof, dated by the signer within six (6) months of the date upon which the petition is filed, to establish that a majority of the employees in the unit claimed to be appropriate have designated the employee organization to represent them in their employment relations with the City. Such written proof shall be made in such language and form as the Employee Relations Officer shall prescribe and shall be submitted for confirmation to the Employee Relations Officer to a mutually agreed upon disinterested third party. Notwithstanding the above, the Employee Relations Officer, in his sole discretion, may accept employee dues deduction authorization, using the payroll register for the period immediately preceding the date of filing of a Petition of Recognition, as proof of employee support for the petitioning organization, except that dues deduction authorizations for more than one employee organization for the account of any one employee shall not be considered as proof of employee support for any employee organization, unless it can otherwise be shown that the dues deduction for the petitioning organization is the only one which provides fitll membership rights and privileges, including the right to vote. A request that the Employee Relations Officer recognize the petitioning employee organization as the Recognized Employee Organization representing the employees in the unit(s) claimed to be appropriate for the purpose of meeting and conferring in good faith on all matters within the scope of representation. The Petition, including all accompanying documents, shall be declared to be true, correct and complete, under penalty of perjury, by the dtiily authorized officer(s) of the employee organization executing it. The Employee Relations Officer may require additional information . as required by this Resolution to be included in the Petition. 73 25J -75 The Employee Relations Officer shall give prompt written notice of the filing of a Petition to any recognized employee organization affected thereby, Section 7: City Response to Recognitin n Petition Upon receipt of the Petition, the Employee Relations Officer shall within ten (10) days determine whether: There has been compliance with the requirements of the Recognition Petition; and The proposed representation unit is an appropriate unit in accordance with Section 11 of this Resolution. If an affirmative determination is made by the Employee Relations Officer on the foregoing two matters, he shall within ten (10) days after malting said determination, inform the petitioning employee organization, shall give written notice of such request for recognition to the employees in the unit and shall take no action on said request for thirty (30) days thereafter. If either of the foregoing matters are not affirmatively determined, the Employee Relations Officer shall meet and discuss the matter with such petitioning employee organization, and, if such determination thereafter remains unchanged, shall inform that organization of the reasons therefore in writing. The petitioning employee organization may appeal such determination in accordance with Section 13 of this Resolution, Section 8: Open Period for Piling Challeneins Petition (s) Within thirty (30) days of the date written notice was given to affected employees that a valid Recognition Petition(s) for an appropriate unit has been filed, any other employee organization may file a competing request to be formally acknowledged as the recognized employee organization of the employees in the same or in an overlapping unit (one which corresponds with respect to some but not all the classifications or positions set forth in the Recognition Petition being challenged), by filing a petition(s) evidencing proof of employee support in the unit claimed to be appropriate of at least thirty (30) percent and otherwise in the same form and manner as set forth in Section 6 of this Resolution. If such challenging petition(s) seeks establishment of an overlapping unit, the Employee Relations Officer shall call for a hearing on such overlapping petitions for the purpose of ascertaining the more appropriate unit, at which time the petitioning employee organizations shall be heard. Thereafter, the Employee Relations. Officer shall detenmine the appropriate unit or units in accordance with the standards in Section 11 of this Resolution. The petitioning employee organizations shall have fifteen (15) days from the date notice of such unit determination is communicated to them by the Employee Relations Officer to amend their petitions to conform to such determination or to appeal such determination pursuant to Section 13 of this Resolution. Section 9: Election Procedure The Employee Relations Officer shall arrange for a secret ballot election to be conducted by a party agreed to by the Employee Relations Officer and the concerned employee organization(s) 74 25J -76 in accordance with its rules and procedures subject to the provisions of this Resolution, All employee organizations who have duly submitted petitions which have been determined to be in conformance with this Resolution shall be included on the ballot. The choice of "no organization" shall also be included on the ballot. Employees entitled to vote in such election shall be those persons employed Rill time in regular, permanent positions within the designated appropriate unit who were employed during the pay period immediately prior to the date which ended at least fifteen (15) days before the date the election commences, including those who did not work during such period because of illness, vacation or other authorized leaves of absence, and who are employed by the City in the same unit on the date of election. An employee organization shall be formally acknowledged as the Recognized Employee Organization for the designated appropriate unit following an election or runoff election if it received a numerical majority of all valid votes cast in the election, If an election involving three or more choices, where none of the choices receives a majority of the valid votes cast, a runoff election shall be conducted between the two choices receiving the largest number of valid votes cast (that is, either between two employee organizations, or one employee organization and no representation); the rules governing an initial election being applicable to a runoff election, except that the runoff election shall be held within fifteen (15) days following the certification of the initial election results. There shall be no more than one valid election under this Resolution pursuant to any petition in a 12 month period affecting the same unit, In the event that the parties are unable to agree on a third party to conduct an election, the election shall be conducted by the California State Conciliation Service, Casts of conducting elections shall be borne in equal shares by the City and by each employee organization appearing on the ballot. In cases where a Memorandum of Understanding between the City and an employee organization is in effect on the effective date of this Resolution, it shall be presumed for the duration of the Memorandum of Understanding that the unit set forth in the Memorandum of Understanding is appropriate and that the employee organization is the majority representative of the employees covered therein. Unless a petition is filed pursuant to Section 12 below, it shall be presumed that when said Memorandrun of Understanding terminates the employee organization shall continue to be a majority representative of employees covered by said Memorandum of Understanding for the purposes of meeting and conferring regarding matters within the scope of representation; provided, however, the employee organization files with the City the infonnation required by Section 6(a), 1 through 13 of this Resolution. Nothing contained herein shall preclude an employee organization from filing a petition for recognition pursuant to Section 6 or Section 10 of this Resolution at the expiration of Memoranda of Understanding which expire on June 30, 1981, Section 10: Procedure for Decertification of Recognized Employee Organization A Decertification Petition alleging that the incumbent Recognized Employee Organization no longer represents a majority of the employees in an established appropriate unit may be filed with the Employee Relations Officer only during the month of January of any year following the first full year of recognition or during the thirty (30) day period commencing one hundred eighty (180) days prior to the termination date of a Memorandum of Understanding then having been in effect less than three (3) years, whichever occurs later. A Decertification Petition may be filed 75 25J -77 by employees or their representative, or an employee organization, and shall contain the following information and documentation declared by the duly authorized signatory under penalty of perjury to be true, correct and complete: The name, address and telephone number of the petitioner and a designated representative authorized to receive notices of requests for further information. The name of the established appropriate unit and of the incumbent Recognized Employee Organization sought to be decertified as the representative of that unit. An allegation that the incumbent Recognized Employee Organization no longer represents a majority of the employees in the appropriate unit, and any other relevant and material facts relating thereto. Proof of employee support that a majority of the employees in the established appropriate unit no longer desires to be represented by the incumbent Recognized Employee Organization. Such proof shall be submitted for confirmation to the Employee Relations Officer or to a mutually agreed upon disinterested third party. The Employee Relations Officer can only accept those petitions which 1) request decertification of the current formally recognized employee organization and 2) do not request to carve out another unit from the already established appropriate unit. An employee organization may file a Petition under this Section in the form of a Recognition Petition that conforms to the requirements of Section 6 of this Resolution in satisfaction of the Decertification Petition requirements hereunder. The Employee Relations Officer shall initially detennine whether the Decertification Petition or Recognition Petition, if any, have been filed in compliance with the applicable provisions of this Resolution. If his determination is in the negative, he shall offer to consult thereof with the representative(s) of such petitioning employees or employee organization, and if such determination thereafter remains unchanged, shall return such Petition(s) to the employees or employee organization with a statement of the reasons therefore in writing. The petitioning employees or employee organization may appeal such determination in accordance with Section 13 of this Resolution. If the determination of the Employee Relations Officer is in the affirmative, or if his negative determination is reversed on appeal, he shall give written notice of such Decertification of Recognition Petition to the incumbent Recognized Employee Organization and to unit employees. The Employee Relations Officer shall thereupon arrange for a secret ballot election to be held on or about fifteen (15) days after such notice to determine the wishes of unit employees as to the question of decertification, and if an accompanying Recognition Petition was duly filed, and, in the event decertification of the incumbent Recognized Employee Organization is voted, the question of representation, Such election shall be conducted in conformance with Section 9 of this Resolution. 76 25J -78 The cost of any election proceeding under the provisions of this Section shall be borne entirely by the employee organization(s) challenging the incumbent recognized employee organization. An employee organization which displaces another employee organization as a formally recognized employee organization following an election conducted pursuant to this Section shall assume any existing Memorandum of Understanding then in effect as a condition of recognition and said Memorandum of Understanding shall remain in full force and effect for the balance of the term thereof. Section 11; Policy and Standards for Determination of Appropri ate Units The basic policy objectives in determining the appropriateness of units shall be the effect of a proposed unit on 1) the efficient operations of the City and its compatibility with the primary responsibility of the City and its employees to effectively and economically serve the public and 2) providing employees with effective representation based on recognized community of interest considerations. These policy objectives require that the appropriate unit shall be the broadest feasible grouping of positions that share an identifiable community of interest. Factors to be considered shall be: Similarity of the general kinds of work performed, types of qualifications required, and the general working conditions. History of representation in the City and similar employment; except however, that no unit shall be deemed to be an appropriate unit solely on the basis of the extent to which employees in the proposed unit have organized. The effect of the proposed unit on efficient operations of the City and the compatibility of the unit with the responsibility of the City and its employees to serve the public, The effect on the administration of employer- employee relations created by the fragmentation of classifications and proliferation of units. Effect on the classification structure and impact on the stability of the employee relationship of dividing a single or related classification among two or more units. Notwithstanding the foregoing, management employees shall only be included in a unit consisting solely of management employees and confidential employees shall be included in a unit consisting solely of confidential employees, When the City establishes new classifications or positions, or modifies the job content of an existing classification or position, the Employee Relations Officer shall, after notice to and consultation with all affected employee organizations, determine which, if airy, representation unit shall include such new or modified classification(s) or position(s). Section 12: Procedure for Modification of Established Appropriate Units 77 25J -79 Requests by employee organizations for modifications of established appropriate units may be considered by the Employee Relations Officer only during the period specified in Section 10 of this Resolution. Such requests shall be submitted in the form of a Recognition Petition, and, in addition to the requirements set forth in Section 6 of this Resolution, shall contain a complete statement of all relevant facts and citations in support of the proposed modified unit in terms of the policies and standards set forth in Section 11 hereof, The Employee Relations Officer shall process such petitions as other Recognition petitions under this Resolution. The Employee Relations Officer may on his motion propose, during the period specified in Section 10 of this Resolution, that an established unit be modified. The Employee Relations Officer shall give written notice of the proposed modification(s) to any affected employee organization and shall hold a meeting concerning the proposed modification(s), at which time all affected employee organizations shall be heard. Thereafter the Employee Relations Officer shall determine the composition of the appropriate unit or units in accordance with Section 11, of this Resolution, and shall give written notice of such determination to the affected employee organizations. The Employee Relations Officer =s determination may be appealed as provided in Section 13 of this Resolution. If a unit is modified pursuant to the motion of the Employee Relations Officer heretuxder, employee organizations may thereafter file Recognition Petitions seeking to become the Recognized Employee Organization for such new appropriate unit or traits pursuant to Section 6 hereof. Section 13. Appeals An employee organization aggrieved by an appropriate unit determination of the Employee Relations Officer under this Resolution may, within ten (10) days of notice thereof, appeal such determination to the City Council for final decision. An employee organization aggrieved by a determination of the Employee Relations Officer that a Recognition Petition (Section 6); Challenging Petition (Section 8) or Decertification Petition (Section 10) or employees aggrieved by a determination of the Employee Relations Officer that a Decertification Petition (Section 10) has not been filed in compliance with the applicable provisions of this Resolution, may, within fifteen (15) days of notice of such determination, appeal the determination to the City Council for final decision. Appeal to the City Council shall be filed in writing with the City Clerk, and a copy thereof served on the Employee Relations Officer, The City Council shall commence to consider the matter within thirty (30) days of the filing of the appeal, and shall render a final and binding decision regarding the resolution of the disputed issue(s) raised by the appeal after each party involved has been given an opportunity, during a public meeting, to present written and oral argumaents in support of their respective positions and, if the City Council so desires, after any future investigation or review of the matter as it may deem appropriate. The City Council, may, in its discretion, refer the dispute to a third party hearing process for the purpose of seeking an advisory determination prior to malting its final decision regarding the resolution of the dispute. Section 14: Submission of Current Information b Recognized Ern -lovee Organizations All changes in the information filed with the City by a Recognized Employee Organization under 78 25J -80 Items 1 through 13 of its Recognition Petition under Section 6 of this Resolution shall be submitted in writing to the Employee Relations Officer within fifteen (15) days of such change. Section 15: Pa roll Deductions on Be al£of Employee Organizations Upon fonnal acknowledgment by the City of a Recognized Employee Organization tinder this Resolution, only such Recognized Employee Organization may be provided payroll deductions of membership dues and insurance premiums for plans sponsored by such organization upon the written authorization of employees in the unit represented by Recognized Employee Organization on forms provided therefore by the City. The providing of such service to the Recognized Employee Organization by the City shall be contingent upon and in accordance with the provisions of Memorandum of Understanding and /or applicable administrative procedures. Section 16: Employee Organization Activities - Use of Cit Resources Access to City work locations and the use of City paid time, facilities, equipment and other resources by employee organizations and those representing them shall be authorized only to the extent provided for in Memorandum of Understanding and/or administrative procedures; shall be limited to activities pertaining directly to the employer- employee relationship and not such internal employee organization business as soliciting membership, campaigning for office, and organization meetings and elections; and shall not interfere with the efficiency, safety and security of City operations. Section 17: Administrative Rules and Procedures The Employee Relations Officer is hereby authorized to establish such rules and procedures as appropriate to implement and administer the provisions of this Resolution after consultation with affected employee organizations. Section 18: Initiation of Impasse Procedures If the meet and confer process has reached impasse as defined in this Resolution, either party may initiate the impasse procedures by filing with the other party a written request for an impasse meeting, together with a statement of its position on all disputed issues. An impasse meeting shall then be scheduled promptly by the Employee Relations Officer. The purpose of such impasse meeting shall be: To identify and specify in writing the issue or issues that remain in dispute; To review the position of the parties in a final effort to resolve such disputed issue or issues; and If the dispute is not resolved, to discuss arrangement for the utilization of the impasse procedures provided herein. Section 19: Impasse Procedures Impasse procedures are as follows 79 25J -81 If the parties so agree, the issue or issues at impasse shall be submitted directly to the City Council for determination. If they do not agree within seven (7) days following the conclusion of the impasse meeting set forth in Section 18 above, either party may submit the impasse to mediation. All mediation proceeding shall be private and the mediator shall make no public recommendation, nor take any public position at any time concerning the issues. If the parties are unable to agree on a mediator after a reasonable period of time, they shall select the mediator from a list of three names to be provided by the State Conciliation Service, or if that agency for any reason shall fail to provide such list, by the American Arbitration Association. Upon receipt of such list, the parties shall alternately strike names from the list until a single name remains who shall become the mediator. The priority of striking names shall alternate from one party to the other each time impasse procedures are involved, by the same parties. The employee organization or the City shall commence this process in an order determined by lot striking the first name from such list of names in any initial mediation. The cost of the mediator, if any, shall be shared equally by both parties. If the parties have failed to resolve all their disputes through_ mediation within fifteen (15) days after the mediator commenced, meetings with the parties, the parties may agree to submit the issues in dispute directly to the City Council. In that event, the City Council shall finally determine the issues after conducting a public hearing thereon and after such further investigation of the relevant facts as it may deem appropriate. If the parties have exhausted the tediation process, the matter shall be submitted to the City Council for resolution. Section 20; Construction This Resolution shall be administered and construed as follows: Nothing in this Resolution shall be construed to deny to any person, employee, organization, the City, or any authorized officer, body or other representative of the City, the rights, powers and authority granted by Federal or State law or City Charter provisions. Nothing in this Resolution shall be construed as making the provisions of California Labor Code Section 923 applicable to City employees or employee organizations, or of giving employees or employee organizations the right to participate in, support, cooperate or encourage, directly or indirectly, any strike, sickout, other total or partial stoppage or slowdown of work or any other interference with the conduct of the City's operations. Nothing contained in this Resolution shall abrogate any written Memorandum of Understanding between any employee organization and the City in effect on the effective date of this .1 25J -82 Resolution. All such agreements shall continue in effect for the duration of the term specified therein unless modified or rescinded by mutual agreement of the parties thereto. Whenever written notice is required by this Resolution, such notice shall deem to have been received on the day immediately following the day on which it was mailed (excluding Saturdays, Sundays, and holidays on which the offices of the City are closed) provided the same was sent by first class or certified mail, postage prepaid to the City at 20 Civic Center Plaza, Santa Ana, California 92701, or to any employee organization at its last address furnished to the City. Section 21: 5everability In any section, subsection, sentence, clause or phrase of this Resolution, or the application of such portion to any person or circumstance, shall be held invalid by a decision of any court of competent jurisdiction, the remainder of this Resolution, or the application of such portion to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby. The City Council hereby declares that it would have passed this Resolution and each section, subsection, sentence, clause and phrase thereof, irrespective of the fact that any or more sections, subsections, sentences, clauses or phrases be declared invalid. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Ana: that this Resolution shall be operative from and after May 18, 1981. ADOPTED this 18th day of May, 1981, by the following vote: AYES: Acosta, Bricken, Griset, Luxembourger, Markel, McGuigan, Serrat 81 25J -83 25J -84 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: AGREEMENT WITH WILLDAN HOMELAND SOLUTIONS FOR GRANT PROJECT 8r FISCAL COORDINATOR SERVICES (STRATEGIC PLAN NO. 1, 313) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1°' Reading [I Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute a three -year professional services agreement for on -site project and fiscal grant management services with Willdan Homeland Solutions, for the period of September 1, 2015 through August 30, 2018, in an amount not to exceed $405,000, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The United States Department of Homeland Security (DHS) developed the Urban Areas Security Initiative (UASI) federal grant program. UASI provides funds to local emergency first responders to enhance security and overall preparedness to prevent, protect, mitigate respond to and recover from acts of terrorism. The grant specifically provides funding for management and administration, anti - terror planning, organizing, equipment, training, exercises, and technical assistance. Under the UASI funding program, the City of Santa Ana and City of Anaheim have been designated as Urban Area Core Cities and serve as the grant recipients responsible for the management and administration of the UASI grant funds. The Santa Ana and Anaheim Police Departments alternate fiscal responsibility for the grant. Anaheim manages the grant during the even years (i.e., 2010, 2012, 2014 etc.), while Santa Ana manages the grant during the odd years (i.e., 2009, 2011, 2013, etc.). The on -site grant management services provided by Willdan Homeland Solutions include, but are not limited to, oversight of all assigned project activities, assisting with the development of grant applications, ensuring grant finances are processed appropriately and in compliance with established Federal, State, and local policies, as well as maintaining and updating UASI sub - recipient guidelines and policies, to include new laws, rules and requirements issued by DHS and Cal OES. 25K -1 Willdan Homeland Solutions Agreement August 4, 2015 Page 2 This three -year professional services agreement is exempt from bidding requirements under SAMC sec. 2- 807(e), and will remain in effect from September 1, 2015 through August 31, 2018. The professional services rate proposed by Willdan Homeland Solutions was determined to be within the range expected for such services. Year one of the agreement includes $118,420 for labor, $7,000 for travel and training, and a $9,580 contingency for unanticipated expenses, for an amount not to exceed $135,000. Years two and three of the agreement contain annual labor increases of 2.5% and 3% respectively, and are subject to continued grant funding. Increased labor costs will be off -set by a corresponding decrease in the contract contingency. The three - year agreement will not exceed $135,000 per year, or $405,000 over the three year term. Willdan Homeland Solutions has been providing these professional services since 2012, and the staff member provided by Willdan Homeland Solutions has developed special skills and knowledge to effectively manage the homeland security grants awarded to the City of Santa Ana. The Santa Ana Police Department Homeland Security Division is satisfied with the grant management services provided by Willdan Homeland Solutions and recommends approval of this agreement. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 1 Community Safety, Objective 313, (Promote ongoing efforts to obtain grant funding for activities that will assist in preventing, enforcing, and reducing criminal activity and traffic collisions). FISCAL IMPACT Funds in the amount of $135,000 are available in the FY14 UASI Grant Fund contract services account (no. 12514491- 62300- various) for the 2015 -16 fiscal year. Funding in the annual amount of $135,000 for fiscal years 2016 -2017 and 2017 -18 will be identified in future annual budgets, and is contingent upon grant funding being secured by the City. a4s�:__ Carlos Rojas Chief of Police Santa Ana Police Department APPROVED S TO FUNDS AND ACCOUNTS: Fr ncisco Gutierrez l Executive Director Finance & Management Services Exhibits: Professional Services Agreement 25K -2 PROFESSIONAL SERVICES AGREEMENT TO PROVIDE GRANT PROJECT & FISCAL COORDINATOR SERVICES THIS AGREEMENT, made and entered into this Ott' day of August, 2015 by and between WILLDAN HONIEL,AND SERVICES, an operating division of WILLDAN GROUP, Inc., a California corporation (hereinafter "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 (hereinafter "City"). RECITALS A. City, acting through the Santa Ana Police Department in its capacity as a Core City and lead agency for the Anaheitn / Santa Ana Urban Area under the Urban Areas Security Initiative ( "UASI "), has applied for, received and accepted a grant from the federal Department of Homeland Security, Office of Domestic Preparedness, through the State of California, Office of Emergency Services, to enhance countywide emergency preparedness, hereinafter referred to as "the Grant ". B. The City desires to contract with an expert in providing Grant Project and Fiscal Coordinator Services. C, Consultant represents that it has the necessary skills and experience to provide assistance in developing grant applications, invoicing and processing payment documents in compliance with grant policies, and maintaining guidelines and polices required by grant providers. D. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Consultant shall develop and provide project and fiscal grant management services as set forth in Exhibit A, attached hereto and incorporated by reference. All set-vices required hereunder shall conform in all respects to standards and regulations for funding by the U.S. Department of Homeland Security, and the California Office of Emergency Services. Consultant will be responsible for continued training to remain current on the management and reporting obligations required of the various Homeland Security Grant funds. 25K -3 2. COMPENSATIOiN a. City agrees to pay, and Consultant agrees to accept as total payment for its services an hourly rate as noted in the Cost Price Proposal -- Exhibit S incorporated herein by reference. Additionally, Consultant shall be reimbursed for training, travel and materials which have been pre - approved, in writing, by City. The total sum that can be expended under this Agreement shall not exceed $135,000 annually and $405,000 during the three year term of this Agreement. Funding for this Agreement is contingent upon grant funding. b. Payment by City shall be made within thirty (30) 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. USE AND OWNERSHIP OF DOCUMENTS It is understood by and agreed to between the parties that all written papers or materials prepared pursuant to this Agreement, paid for with Grant funds, or composed utilizing information provided by Santa Ana, shall be the property of Santa Ana and shall be delivered to Santa Ana upon completion of the services hereunder. 4. TERM This Agreement shall commence on September 1, 2015 and terminate on August 31, 2018. Agreement unless terminated earlier pursuant to Section 13, below. This Agreement contains three one -year performance periods and is contingent upon grant funding being secured by the City. 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, G. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and 25K -4 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. Consultant shall supply City with a filly executed additional insured endorsement in substantially the form attached hereto as Exhibit C upon execution of this Agreement. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work Linder 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 fall 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 shalt not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f If Consultant faits 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. 25K -5 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, and special counsel from liability for personal injury, orjust compensation, arising out of claims for personal injury, including death, and claims for property damage, to the extent they arise from the negligent or willful misconduct in the performance of operations or errors or omissions of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section I of this Agreement. S. 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 shalt 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 lacy; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 9. 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. 10, 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 telefacsimile 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 (Nt -30) P.O. Box 1988 Santa Ana, CA 92702 -1983 Telefacsimile (7 t4) 647 -6956 25K -6 With courtesy copies to- Santa Ana Police Department UASI l Homeland Security Division 60 Civic Center Plaza and P.O, Box 1981 (M -97) Santa Ana, California 92702 Telefacsimite (714) 245.8745 Attn: Brad Hadley City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Telefacsimile (714) 647 -6515 To Consultant: Jim Bailey Wilidan Homeland Solutions 2401 East Katelta Avenue, Suite 220 Anaheim, California 92806 Office (714) 940 -6389 Email: jbaileycuwilldan.com A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. if sent by tetefacsimile, 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. II. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terns or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, that terns and conditions hereof, shalt not bind or obligate Consultant nor 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. 25K -7 12. ASSIGNbMNT 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. 13. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of tenmination. In the event that grant funding is not secured, City has the right to terminate the Agreement immediately upon exhaustion of the grant funds. 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 Chief of Police 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 that fails to meet the standard of performance specified in the Recitals of this Agreement. 14. DISCRIMINATION Consultant shall not discriminate because ofrace, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 15. 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. 16. PROFESSIONAL LICENSES Consultant shall, throughout the tern of this Agreement, maintain all necessary licenses, pen-nits, 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 25K -8 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. 17. CONSULTANT CERTIFICATIOrNS a. Audit Records - With respect to all matters covered by this agreement all records shall be made available £or audit and inspection by the City, the grant agency and /or their duty authorizes( representatives for a period of three (3) years from the termination of this Agreement. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant shall preserve and maintain all documents, papers and records relevant to the services provided in accordance with this Agreement, including the Attachments hereto, For the same time period, Consultant shall make said documents, papers and records available to City and the agency from which City received grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours. b. Consultant shall provide to City all records and information requested by City for inclusion in quarterly reports and such other reports or records as City may be required to provide to the agency from which City received grant funds or other persons or agencies. c. Section 504 of the Rehabilitation Act of 1973 (Handicapped) - All recipients of federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act). Therefore, the federal funds recipient pursuant to the requirements of The Act hereby gives assurance that no otherwise qualified handicapped person shall, solely by reason of handicap be excluded from the participation in, be denied the benefits of or be subject to discrimination, including discrimination in employment, in any program or activity that receives or benefits from federal financial assistance. The Consultant agrees it will ensure that requirements of The Act shall be included in the agreements with and be binding on all of its contractors, subcontractors, assignees or successors. d. Americans wit Disabilities Act of 1990 - (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable. e. Political Activity - None of the rands, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act ". f- Civil Rights Compliance and Notification of Findings - Consultant will comply, and all its contractors (orsubrecipients) will comply, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USG 3789 (d), or Victims of Crime Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title II of the Americans with Disabilities Act (ADA) (1990); Title IX, of the Education Amendments of 1972; the Age Discrimination Act of 1975; Department of Justice Nan - Discrimination Regulations, 28 CFR Part 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the event a Federal or State court, Federal or State 25K -9 administrative agency, or the Consultant makes a finding of discrimination after a duo process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Consultant wilt forward a copy of the findings to the City which will, in turn, suibmit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Department of Justice. g. Consultant will comply, and all its contractors (or subrecipients) will comply, with all requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable. h. Consultant will comply, and all its contractors (or subrecipients) will comply, with all requirements of the Copeland "Anti- Kickback'° Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29 CFR Part 3), as applicable. i. Consultant will comply, and all its contractors (or subrecipients) will comply, with all requirements of the Davis -Bacon Act (40 U.S.C. 276a to 276a -7) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable, j. Consultant will comply, and all its contractors (or subrecipients) will comply, with all requirements of Sections 103 and 1.07 of the Contract Work and Safety Standards Act (40 U,S.C. 327 -330) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. k. Consultant will comply, and all its contractors (or subrecipients) will comply, with all applicable standards, orders or requirements issued under Section 306 of the Clean Air Act (42 U.S.C. 1857(h)), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive Order 11738, and the Environmental Protection Agency regulations (40 CFR part 15), as applicable. 1. Consultant will comply, and all its contractors (or subrecipients) will comply, with all requirements of the Energy Policy and Conservation Act (Pub. L. 94.163, 89 Stat. 871), (53 FR 8078, 8087, Mar. 11, 1988, as amended at 60 FR 19639, 19645, Apr, (9,1995), as applicable. in. Consultant agrees that the Department of Homeland Security shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with Funding through this Agreement. n. Recipient may copyright any books, publications or other copyrightable materials developed in the course o For under this Agreement. However, the federal awarding agency, State Administrative Agency (SAA) and City reserve aroyalty -free, non - exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government, SAA and /or City purpose: 25K -10 (1) the copyright in any work developed through this Agreement; and (2) any rights of copyright to which the subcontractor purchases ownership with support through this grant. The Federal government's, SAA's and City's rights identified above must be conveyed to the publisher and the language of the publisher's release form must ensure the preservation of these rights. 18. 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. CITY OF SANTA ANA, a municipal Corporation of the State of California ATTEST: MARIA D. HUIZAR DAVID CAVAZOS Clerk of the Council City Manager SONIA R. CARVALHO City Attorney r By: C; mil- L °Ll Laura Rossini Senior Assistant City Attorney 25K -11 APPROVED AS TO FORM: WILLDAN HOMELAND SOLUTIONS CARLOS ROJAS JIM BAILEY Chic foEPolice Vice President 25K -12 EXHIBIT A GRANT PROJECT & FISCAL COORDINATOR SCOPE OF SERVICES 25K -13 EXHIBIT A Grant Project & Fiscal Coordinator 7Reporting onships /Snpervisio❑ SI Grant Coordinator and Administrator. Works in close coordination with Project Coordinators, Sub- Recipients, City Finance, and the California Office of Emergency Services. Liaison to the UASI Working Group (UAWG), UASI Steering Committee, UAWG Sub - Committees, and Orange County Intelligence Assessment Center (OCIAC) Fusion Center. Basic Function The Grant Project & Fiscal Coordinator plans, organizes, manages, and directs activities related to project management and the Financial and Audit Unit. Ensures successful integration of all aspects of projects, including technical, financial, legal, and political, to ensure that projects assigned stay on budget and on schedule. Ensures grant finances are in compliance, submits cash advances /requests in a timely manner, tracks expenditures and budgets, processes sub - recipient reimbursement, requests, and manages detailed recordkeeping. Responsibilities Project Management and Coordination • Responsible for the management and oversight of all assigned project activities including but not limited to: contract management and milestone monitoring, ensuring compliance with all applicable rates and regulations, managing budgets, ensuring participation of all regional public safety agencies, and regular reporting. • Provide review of project applications, ensuring Authorized Equipment List (AEL) compliance. • Supports the coordination and implementation of the contracting process such Request for Proposal (RFP) development and creation, review, and processing of agreements. • Participates in grant application and investment justifications at regional, state and federal level. • Provides updates on project status and /or program goals /initiatives. • Provides briefings to the UASI Working Group, UASI Steering Committee, and 25K -14 UAWG Sub - Committees, and OCIAC Fusion Center, • Assists with entry of equipment items into Wisetraok Inventory System. Compile necessary documentation for attachment to each item in system. • Review of required documentation submitted by staff and sub - recipients to include Project applications, EHP, CatOES approvals (including but not limited to Sole Source, Vehicle Approval, Emergency Operation Center approvals, and Aircraft /Watercraft Approval), quarterly reports, and project budgets. • Acts as liaison to OCIAC Fusion Center. • Attends planning and update meetings as requested or deemed necessary. • Provides programmatic and fiscal status reports (bi- weekly, monthly, and quarterly) to the UASI Grant Coordinator and OCIAC Director. Financial and Audit Iblana ement City Financial Procedures. • Upon receipt of grant award information, complete appropriation adjustment for attachment to the request for council approval, in order for new grant account number creation and budget allocations per object code. • Complete Lawson entry- of Projects and Activities, in order to create budget allocations by project, and create Activity numbers that identify project and solution area as an accounting mechanism. • Process purchase orders and attach supporting documentation, such as invoices and packing slips, provide accounting information and grant to be charged, create reimbursement packet, and send to City Finance for vendor payment. • Process incoming invoices for contract vendors, attach supporting documentation, for creation of direct payment vouchers, create reimbursement packet, and send to Police Fiscal for payment. • Process sub - recipient reimbursement packets to check for required financial paperwork and completion, process sub - recipient invoices, create reimbursement packet, and send to Police Fiscal for payment, • Tim in bi- monthly timesheets for grant personnel, collect overtime chits, and turn into Police Fiscal for posting. Review monthly labor distribution reports, attaching 25K -15 appropriate timesheets, chits, and use P2K Payroll program to printout additional information as required. • Complete budget projections for each open Homeland Security Grant, including approved positions, and send completed budget to Police Fiscal for inclusion into Che City Budget for each new fiscal year. • Upon close of grant, complete reconciliation of City General Ledger and all grant cash requests, completing necessary journal voucher to balance discrepancies. « Provide analytical support for project managers, grant manager, and grant administrator as needed. CalUbrnia Office of Emergency Services (CalOES) Procedures: • Ensure financial compliance with the grant and any financial directives set forth by the California Office of Emergency Services (previously the Office of Homeland Security)' and the Department of Homeland Security. Liaison with local, state and federal agencies regarding financial matters related to the administration of the Homeland Security Grants. • Participates in grant application and investment justifications at regional, state, and federal level. • Assist and complete grant applications and grant modification requests via the California Office of Emergency Services workbook, confirming modifications to the internal project matrix, training and exercise rosters, approved project applications, and project descriptions are reflected in the workbook. • Complete grant cash requests and advances using the workbook, from compiled reimbursement packets, training packets, equipment ledger, and City General Ledger via LAWSON. Request City invoice, attach workbook, and send to the California Office of Emergency Services for reimbursement. • Once checks have been received from the State, add a copy to the cash request tiles, attach pertinent City invoice, and deliver to Treasury for deposit. + Work with City Accountant to calculate interest earned on cash advances, tracking vendor /suba-e6pient payment, compared to advance check deposit date, Request check to the Federal Department of Health and Human Services, for all interest earned on grant advances, 25K -16 • Maintain an updated database of all financial points of contact and conduct periodic on- site financial monitoring of Homeland Security Grant sub - recipients. • Conduct financial and budgetary analysis of General Ledger, Project and Activity Report, Labor Distribution Report, and Revenue Ledger report. • Prepares and submits bi- annual progress reports (BSIR) into the Federal Grant Reporting Tool UASI Grant Office Procedures • Attend Urban Area Security Initiative Working Group and Steering Committee meetings as programmatic and financial point of contact. • Update and revise Urban Areas Security Initiative Sub - Recipient Guidelines and Policies, to include new laws, rules, and requirements from DHS and Cal -OES, as well as updated Grant Office procedures for project managers and sub - recipients. • Update any Anaheim / Santa Ana UASI forms with each new grant year, including reimbursement forms, project applications, project modifications, monitoring forms, training forms, reporting forms, and others. • Keep in constant communication with grant project managers to ensure appropriate federal, state, and local requirements are being met and they meet grant deadlines. • Send out reminders when the Quarterly Project Status Reports are due, review for completeness, and forward to the appropriate office staff for review. • Provides programmatic and fiscal status reports (bi- weekly, monthly, and quarterly) to the UASI Grant Coordinator. Knowledge, Skills, and Abilities Full understanding of Federal and CalOES Homeland Security Grant Guidance and full understanding of the Anaheim/Santa Ana UASI Sub- recipient Grant Guidance. General knowledge of government contracting/Procurement processes. Ability to manage project budgets. Ability to facilitate group meetings. Ability to research topics unfamiliar to their normal areas of expertise and experience (within Homeland Security Grant relevancy) and develop program {project plans. Ability to maintain good working relationships with all stakeholders within the UASI, state or outside agencies, other team members, staff and the community based stakeholders. Advanced verbal and written communication skills. Ability to solve problems. Above average political acumen. Knowledge of grant financial management requirements, and ability to read through the 25K -17 applicable code of federal regulations, OMB circulars, Environmental & Historic Preservation requirements, Cal -OES Strategic Goals & Objectives, Core Capabilities, Procurement and Purchasing Policies, and Travel Policies, for the Urban Area Security Initiative (UASi) grants and Homeland Security Grant Program (I-ISGP). Knowledge and ability to use LAWSON Financial Management System Software, P2K Payroll System Software, the Federal Grant Reporting Tool, and Microsoft programs such as Word, Excel, Outlook, PowerPoint, Publisher, and the W[seTrack Inventory tracking system /software. Knowledge of municipal government operations, City financial accounting techniques, procurement, budgetary processes and controls. Cost, See Cost Price Proposal 25K -18 EXHIBIT B WILLDAN HOMELAND SECUIRTY COST PRICE PROPOSAL 25K -19 CITY OF SANT ANA Grant Project and Fiscal Coordinator Services COST PRICE PROPOSAL Performance Period N1 — (Months 1.12) September 01, 2015 through August 31, 2016 LABOR CATEGORY RATE HOURS TOTAL Labor Grant Project & Fiscal Coordinator $ 59.21 2,000 $ 119,420 Subtotal Time & Materials (T &M) Labor OTHER DIRECT COSTS Estimated Trawl and Training Subtotal Cost Reimbursable GRANDTOTAL 2,000 $ 118,420 $ 7,000 $ 125,420.00 Performance Period #2 — (Months 13 -24) September 01, 2016 through August 31, 2017 LABOR CATEGORY RATE HOURS TOTAL Labor Grant Project & Fiscal Coordinator $ 60.69 2,000 $ 121,380 Subtotal Time & Materials (T &M) Labor OTHER DIRECT COSTS Estimated Travel and Training Subtotal Cost Reimbursable GRANDTOTAL Performance Period #3 — (Months 25 -36) September 01, 2017 through August 31, 2018 2,000 $ 121,380 $ 7,000 $ 128,380.00 LABOR CATEGORY RATE HOURS TOTAL Labor Grant Project & Fiscal Coordinator $ 62.51 2,000 $ 125,020 Subtotal Time & Materials (T &M) Labor OTHER DIRECT COSTS Estimated Travel and Training Subtotal Cost Reimbursable GRAND TOTAL 25K -20 2,000 $ 125,020 $ 7,000 $ 132,020.00 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: AGREEMENTS FOR ON -CALL RIGHT - OF -WAY SPECIALTY SERVICES (NON - GENERAL FUND) (STRATEGIC LAN NO. 6, 1G) 0S CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1° Reading ❑ Ordinance on 2' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute eleven on -call right -of -way specialty service agreements with the firms listed below to perform the activities listed, subject to non - substantive changes approved by the City Manager and City Attorney, each for three -year terms expiring August 4, 2018, with provisions for one, two -year renewal option exercisable by the City Manager and City Attorney, for a total not -to- exceed amount listed for each firm over the entire life of the agreement, including any renewal period: Service / Firm Amount (A) Real Property Appraisal Services 1. Kiley Company $200,000 2. Lidgard & Associates $200,000 (B) Furniture, Fixtures, and Equipment (FF &E) Appraisal Services 3. DMA $200,000 4. Hjelmstrom & Associates $200,000 (C) Business Goodwill Appraisal Services 5. Donna Desmond Associates $200,000 6. DMA $200,000 (D) Acquisition and Relocation Services 7. Epic Land Solutions $300,000 8. Overland, Pacific & Cutler $300,000 (E) Right -of -Way Program Management Services 9. CivilSource $200,000 (F) Right -of -Way Property Management Services 10. Paragon Partners $200,000 11. Overland, Pacific & Cutler $200,000 25L -1 Agreements for Right -of -Way Specialty Services August 4, 2015 Page 2 DISCUSSION Approval of the recommended action will provide for on -call right -of -way and property management services as needed to complete Public Works projects. These services will be utilized for the current Capital Improvement Program, including Phases III and IV of the Bristol Street Improvements project and the Warner Avenue Improvements project. In addition, these on -call services will support City staff in the day -to -day oversight of right -of -way and property management tasks, such as deed research and cost estimates for all Public Works projects; reviewing existing leases, licenses, franchises, easements, permits and other agreements; and providing comprehensive maintenance services for City properties. On May 20, 2015, Public Works Agency released Request for Proposals (RFP) to qualified consulting firms to provide on -call right -of -way specialty services and property management services. The RFPs were also posted on the City website. Twenty -one proposals were received and twenty were deemed responsive. These proposals were evaluated by personnel from the Public Works Agency and the City Attorney's Office. Each firm was rated according to its qualifications, experience, capacity to perform the required work, and proposed cost and pricing data. Following is the list of the firms and their respective scores: I A%Dnnl Drnnartv Onnraical Services 1. Kiley Company 87.2 2. Lid and & Associates 86.8 3. The Dore Group 82.9 4. Epic Land Solutions 81.3 5. Overland, Pacific & Cutler 75.8 !R\ Pi irnitnro myfi rac and Fminment Anoraisal Services 1. DMA 86.8 2. Hjelmstrom & Associates 84.1 3. Hodges, Lacey & Associates 80.9 C Business Goodwill Appraisal Services 1 Donna Desmond & Associates 93.4 2 DMA 1 88.8 25L -2 Agreements for Right -of -Way Specialty Services August 4, 2015 Page 3 _A Carvinas V M{i 41A KI V�� vow •.v. v...+.. 83.9 1. E is Land Solutions 84.9 2. Overland, Pacific & Cutler 83.1 3. Security Land & ROW Services 80.5 4. Para on Partners 80.3 5. HDR 75.4 E Ri ht -of -Wa y Program Management Services 1 CivilSource 92.0 2. 1 Epic Land Solutions 86.8 to% o:...u6 ..f_W�.. Drnnarfv Management Services 1. Paragon Partners 86.5 2. Overland, Pacific & Cutler 84.9 3. The Eberly Company 76.6 Based on the ratings, staff recommends that the top firm in the Right -of -Way Program Management Services category (E) and the top two firms in each of the remaining categories be retained for the respective on -call services, as indicated in the Recommended Action. Most of these firms have assisted the City with right -of -way and property management services in the past, and they have demonstrated good track records. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funding for this agreement is available in the FY 2015116 Budget and will be budgeted in future years in the following accounts: 25L -3 Agreements for Right -of -Way Specialty Services August 4, 2015 Page 4 FUND Measure M Street constr. Select Street Construction ACCOUNT 03217663-66220----$ 05917661 -66220 FY 2015116 700,000 $ 700,000 FY 2016!17 $ 375,000 $ 425,000 FY 2017118 $ 100,000 4, 05917660 -66220 5. $ 100,000 6. Business Goodwill Appraisal Services — DMA $ 1,400,000 $ 900,0001 $ 100,000 $2,400,000 Fr Mousavipour Executive Director Public Works Agency FM /EWG /JG/KN APPROVED AS TO FUNDS AND ACCOUNTS: Frahcisco Guti&m6z Executive Director Finance & Management Services Agency Exhibits: Agreements: 1. Real Property Appraisal Services — Kiley Company 2. Real Property Appraisal Services — Lidgard & Associates 3. FF &E Appraisal Services — DMA 4, FF &E Appraisal Services — Hjelmstrom & Associates 5. Business Goodwill Appraisal Services — Donna Desmond Associates 6. Business Goodwill Appraisal Services — DMA 7. Acquisition, Relocation Services — Epic Land Solutions 8. Acquisition, Relocation Services — Overland, Pacific & Cutler 9. Right -of -way Program Management — CivilSource 10. Property Management Services — Paragon Partners 11. Property Management Services — Overland, Pacific & Cutler 25L -4 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 5m day of August, 2015 by and between Kiley Company, a sole ownership entity, (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of Real Property Appraisal Services. 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 those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $200,000 during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on August 5, 2018, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. Exhibit 1 25L -5 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire terns 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. 25L -6 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. 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 tenmination 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. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 25L -7 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. 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 in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. 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: 25L -8 To City: Cleric 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: To Consultant: Fred Mousavipour, Executive. Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -5654 Kiley Company Elizabeth M. Kiley, MAI, President 2151 Michelson Drive, Suite 2015 Irvine, CA 92612 bkilev(a kileycomnanv.com 714 - 665 -6515 (Office) Jose Sandoval Assistant City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714 - 647 -6515 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. 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 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 aelmowledges 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. 25L -9 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 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. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 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. 25L -10 19. NUSCELI ANEOUS PROVISIONS a. Additional provisions, if any are identified as Additional Provisions, Exhibit D, attached hereto and incorporated into this Agreement by reference. b, Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City ;fully, including reasonable costs and attorney's fees, for any injutics 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: Maria D. Ruizar Cleric of the Council APPROVED AS TO FORM; SONIA R, LARVAL HO City Attorney i w By. Joa ndoval Assistant City Attorney RECOMMENDED FOR APPROVAL Fred Mousavipour Executive Director Public Works Agency CITY OF SANTA ANA. David Cavazos City Manager CONSULTANT- Kiley Company Elizabeth M. Kiley, President Tax ID 401640526 25L -11 EXHIBIT A SCOPE OF SERVICES 25L -12 Proposal for the City of Santa Ana On -Call Right of Way Specialty Services RFP NO. 15 -144 Specialty Area; (All (teal Property Appraisal Services 25L -13 June 4, 2015 KiLEYCompANY REAL ESTME APPRAISERS {_'firs +a t`t it Ci VT 20 µ Years June 4, 2015 . City of Santa Ana Attn.: (fenny Nguyen Public Works Agency; 20 Civic Center Plaza, TO Floor, Ross Annex Santa Ana, CA 92702 Re: RPP NiO, 15 -094, tin -Call Right of Way Specialty Services Specialty Area: (AI) Real ProllertyAppmisal Services Dear Mr. Nguyen: The Kiley Company is interested in submitting a proposal in response to RFP No. 15.044 for On-Gall Right of Way Specialty Services, received May 21,20 1 5,, We are interested in providing Real PropertyAppraisal Services, as defined as Specialty Area Al in the REP, After reviewing the RFP in its entirety, we accept and understand all the elements, if chosen by the City to be a part of the Consultant Team, we would be willing to enter into the agreement attached to tile'RFP, as well as comply with all license insurance, and ordinance requirements. Elizabeth M. Kiley, Inc., DBA Kiley Company, is a certified Disadvantaged Business Enterprise (DBE), a Woman -Owned Business (WBE) and a Small Business Enterprise (SEE), The services we offer include right-of-way appraisals, environmental and mitigation appraisals;, litigation appraisals, consulting, market rental surveys, leasehold/Ieased fee valuations, mass appraisals, surplus property valuations, highest and Kest use studies, and various other types of appraisal services. Elizabeth M, Kiley, Inc,, DBAIIley Company is an S- Corporation in the State of California. (Our headquarters are centrally located in the city of Irvine, Orange County, California. Elizabeth M. Kiley will serve as the point of contact, our address and contact information is as follows: Elizabeth M. Kiley, MAI, AI•GRS President IGley Company 2151 Michelson Dr., Suite 205 Irvine, CA 91612 bl(iley@kileyco mpany.co m wwwJ(ileycomi)any.com 714.665 -6515 Phone 21.51 Miol7elson Dr., Suite 205, Irvine, CA 92612 Phone: (71 4) 665.6515 in Email: 6ki1eY@Ri1ey001nhany.c0m 25L -14 City of Santa Ana ;tune 4, 2015 Page Two The following proposal, along with our company and appraiser qualifications, is attached for your consideration, With a team of appraisers and over 25 years in operation, we are well positioned to deliver the highest quality appraisal reports at a competitive price and in atimely manner, A copy of our most recent financial statements are attached to serve as evidence of our financial capacity to fulfill the terms of the RFP, We look forward to the opportunity to be considered for your consultant team, Please feel free tts contact me if you have any questions. Sincerely, Elizabeth NI XiAhy, MAI, A[ -CRS Certified General Real Estate Ap E Iser Certificate No, AGO05391 Expiration Date: April 13, 2016 Kiley Company 25L -15 SCOPE OF `YORK BY SPECIALTY AREA (Ai) REAL PROPERTY APPRAISAL SERVICES Consultant shall prepare appraisal services that include full and partial acquisition for residential property; commercial property; industrial property; casements; special use or zoned property; and review appraisals. Appraisal Services shall be in accordance with federal, state, and local regulations, policies, procedures and standards. Consultant must make every effort to meet with the property owner prior to preparation of the report. Appraiser shall perform the following tasks: • Prepare appraisal report in accordance with the State of California Laws and the Uniform Standards of Professional Appraisal Practice (USPAP) • Research records, inspect the site and communicate with the property owner in preparation of the appraisal report. This might require multiple attempts for site visit and inspection • Prepare Real Estate Appraisal reports for full and partial acquisition • Prepare Appraisal Summary Statements to accompany City's Offer Package • Prepare Valuation of City's Landscape Setback Easement requirements • Prepare detailed appraisal report necessary for condemnation • Coordinate with Fixtures and Equipment Appraisers • Coordinate with Business Goodwill Appraisers • Communicate with property owners in writing and as required to obtain adequate information to prepare the report • Prepare all necessary correspondence, letters and reports • Provide effective communication with engineers, planners, attorneys, and City staff • Comply with federal, state and local regulations • Create files and maintain all records • Provide condemnation consultations as necessary • Attend meetings /public hearings and conduct presentations • Provide expert witness testimony as required for condemnation proceedings • Coordinate and review of Phase I and Phase 11 Environmental Studies • Review appraisal reports prepared by other consultants as required by the City and prepare review summary • Prepare Review Appraisal Reports (Required For Federally Funded Projects) • Coordinate, direct and obtain Review Appraisals in accordance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act (Uniform Act) and Caltrans guidelines • Examine all appraisals and corresponding reports • Seek any corrections or revisions deemed appropriate • Prepare Dual Appraisal Report as required for federally funded projects under Caltrans Guidelines 25L -16 EXHIBIT B FEE PROPOSAL 25L -17 Hourly Rates Each appraisal assignment is unique and our fees are determined by the complexity of each individual assignment. We will provide a bid for each individual assignment based on the scope of work for that specific project or property at the time of request. Changes to the flxecl prices only occur as a result of client initiated changes in the scope of work. To get an idea of our fee schedule, our hourly rates for real property appraisal and consulting services are as outlined on Exhibit 10 -14 attached: Elizabeth M. IGley, MAI Senior Appraisers - Certified General Staff Appraisers Office Manager /Administrative Staff $200 for Appraisal $400 Court Related $90 for Appraisal Services $70 for Appraisal Services $60 for Administrative Duties Key personnel will include Elizabeth M. Kiley, on all projects and staff appraisers as needed for individual assignments which may be part of the contract. All Kiley Company appraisers are located at our headquarters in (vine, California. When assigned, most projects are handled by one full -time appraiser and the principal with research and administrative staff available. It is not possible at this time to determine what assignments our team will be working on. Each assignment will be bid based on the scope of work at our hourly rates. All assignments are reviewed, analyzed, and supervised by Elizabeth M. Kiley. Key personnel will be available for the duration of the project and will not be removed or replaced without prior written concurrence of the Authority. The Kiley Company organization and staffing provides the client with excellent quality, report delivery, deadline compliance and direct access to the principle. We are large enough to reliably deliver multiple appraisal assignments on time and small enough to be flexible and cost effective. Our project organization chart is included on the following page, Page 5 25L -18 Gs a 2 � c d 0 CD fi o y y a n LL W O T I R E O U E 25L -19 N c R t U J d O �w -t3W 7 O O o LL 7 N a 7 0] O S C O L . L ° O� a0 00 00 h n O° mS x, 40 Gr� ffl, <11 v� d ° , r- `r O O N N. m 3 60@ O S OD b000 O 00 IL I N C .d: W [00 ff} W Z N 00 r-LA 000 OOOh FN LL9 �N(Rg C o m x y} H4 K4 ea 464 Em mx �¢t N N 'mM R Q 3 U- e� N 61 Ia`a` L+,cR5r- °0000000 ooacoaoa d LLv�C4 o600000oo0 T s IL rRn N t :?mrn B° x °°0000000 WLL = 7 N 00000000 Nd0'd04��fnR m O fR 64 S 0 0 0 000000 0 0 0 0 0 Z R ? w CO O C! n L 5'C �- OOOm Q� NNI°^• LL 3 N Ras .y-. yy fA 64 Ff! fA �t V3 �3 G z E4} R 2 N CL o'1 2 R 2 rN, 6 m 422 O N o LLJ w � m a�iQ 42¢ All = d .4 R N -O W W W W W R 3 l6 { a`c�a0A�� as 3 R c G Y Y Y m e N W N d'��s¢ d O E N 0- GI Z E A z w !2 dW 25L -19 N c R t U J d O �w 7 O O o LL 7 N a 7 0] O S 9 LL L. C N O° M x v� d ° , r- `r O O N N. m 3 60@ O S IL I N C C00 f} [00 ff} M _ LL9 �N(Rg o m x ca s Em �¢t N N 0 c R Q 3 U- e� N 61 Ia`a` d T s IL rRn N t :?mrn EXHIBIT C CERTIFICATIONS 25L -20 ATTACHMENT -1: NON-COLLUSION AFFIDAVIT CITY' OF SANTA ANA )REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: IM44 NON-COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PiMTIC WORKS In accordance with Title 23 United States Code Section 112 and Public Contract Code 71.06 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 BIRDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIRDER 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, communications 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 chant 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 snaking a false ccrtiCcaiorr may subject the certifiA to efigi at prosecution, Signed State of California County of D Subscribed and sworn to (or affirmed) before me on this proved to me on the basis of satisfactory evidence to be the Notary Public Signature day ofgtAW 20by who appeared before me, Notary Public Seat City of Santa Ana RFP 15 - 044 Page 28 25L -21 [-vv /V)) JURAT A nolory public or other officer completing this certificate verifies only the Identity of the individual who signed the document to which this certificate Is attached, and not the truthfulness, accuracy, or validity of that document. County of 5111. Subscribed and sworn to (or affirmed) before me on this Cam— day of 1- 20 'k -5'- by 9L DV kr Est proved to me on the basis of satisfactory evidence to be the person(&) who appeared before me. MAYOR MODY COMM ... 2103673 La-, O6ANOE COUNIY My Ton Eap, April 16, 2619 Signnluro oi+piptay (seal) OPTIONAL INFORMATION Date of Document ` PfN C' , 4 ppal , Type or Title of Document Number of Pages in Document { Document in a Foreign Language IVJ Type of Satisfactory idenae: PersonallyK wnwith Paper Identification Paper Idattl{{(( cation Credible finesses) Capacity of Ignert Tru'tee P6wor of Attorney CEOICFOICoo ^' President / Vice- President / Secretary / Treasurer Other: Other Thumbprint of Signer Check here If no thumbprint or fingerprint Is available, 2008 Allstate Notery Preparation, Inc - (800) 689 -8455 - www.ollstatenou+ry coin 25L -22 ATTACHMENT 3 -2: NON - LOBBYING CERTIFICATION CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NW 15 -044 Theprospeetivepartieipant certifies, by signing and submitting this bill of proposal, to the best orhis or her knowledge sod belief, that 1. No federal appropriated funds have been paid or will be paid, by or on behatfof the undersigned, to any person for infltoncing 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 catering 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 far influencing or attempting to influence any offieer or employee of any federal agency, a Member of Congress, an officer or employee ofCongress, or an employee of 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, US. 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. Signed and printed Name Title � ' � �, J �J Date City of Santa Ana RFP 15.044 Page 29 25L -23 APPENDIX ATTACHMENT 3 -3: NON - DISCRIMINATION CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15 -044 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 Consultrant 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 taw. 7. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of City of Santa Ana RFP 15 -044 Page 30 25L -24 September 24, 1965, so that such provisions will be binding upon each subcontgrdct or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 543 Stats. 1939, and as amended, No discrimination shall be made in the employment of persons upon public works because of race, religious oreed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating this Section is subject to all the penalties imposed for a vtaialion of the Chapter, Signed: Title: tiro. at Firm: 4161A TMUN Date: q City of Santa Ana RFP 16 -644 Page 31 25L -25 �Ckiir � �A �ry'0 ,CSt;l9tl9 ;d� NOTICE OF VERIFICATION AND CERTIFICATION JULY 11, 2013 ELIZABETH KILEY ELIZABETH M. KILEY dba KILEY CO. 2681 DOW AVE., UNIT E TUSTIN, CA 92780 CHS Verification Order Number: 7EN0002S Congratulations, the Supplier Clearinghouse is pleased to inform you that In accordance with General Order 156, your business enterprise has successfully completed the verification process, and your company has received the following certification: WBE Your company will now be recognized by the Joint Utilities as a women and /or minority -owned business when competing for procurements by public utilities participating In the Utility Supplier Diversity Program, Your Certification Is valid for three years and you are required to re- verify your company's WMBE status at least 30 days prior to your expiration date. Please notify our office of any change in your address or contact Information so that we can maintain your most current contact information. You must notify our office of any change in ownership and /or control of your company within 30 days of the change. Failure to provide that notification is In violation of section 8285 of the Public Utilities Code and could render your certification status Invalid. If your company was verified and certified underthe CAV (Comparable Agency Verification) process, your certificate status will expire on the same expiration date as that of the comparable agency except for SBA Sa Certificates that are valid for a nine year period. However, please note that the maximum verified certification period for the Supplier Clearinghouse is three years regardless of any CAV expiration date in excess of three years.. The Supplier Clearinghouse may request additional information or conduct an on -site visit at any time during the term of your verified certification status. The Supplier Clearinghouse may reconsider your certification status and possibly rule invalid your verified status if It Is determined that the status was knowingly obtained by false, misleading and /or incorrect information. Also note that if In a formal opinion, the California Public Utilities Commission determines that the WMBE verification criteria under which you were deemed eligible Is no longer valid, then your status may change or you may be required to comply with the change to maintain eligibility. Thank you for participating in the Utility Supplier Diversity program. We wish you much success In your business endeavors. Feel free to contact our office If you have questions, or visit our webslte at: www,th esupplierclearinghouse.com, THE SUPPLIER CLEARINGHOUSE 25L -26 a Mr ?M. CY O tg`.� c �a. 8 W Ei p O 6 pf �l W ro C ^� =qQ pa C? m � CL N .6 w. ro "CS H ac� p m 9 Q y pM}3 Q QC wy 25L -27 C5� yh &i A Y G � �Q rt M M N 'C% C t/f �i rn W O C C y 0 v C7 H N i i i� 25L -28 b a b F. 8 �Nqg N N ~ b � W � gd olull ° �n z A� 0 U o a W o IT! F`' . W o It a I" W J �`y'' RV' r h p v H $ 06 U W �o Inl y O rt U a " 8 0 25L -29 EXHIBIT D ADDITIONAL PROVISIONS 25L -30 Local Assista ace Procedures Manual EXHIBIT 10-01 Consultant Proposal DBE Commitment lu+ XIIIBIT t Q -Ol CONSULTANT PROPOSAL DBE COMI[MITMENT (Inclusive of all DBEs fisted at bid proposal, Refer to instructions on the reverse side or this form) Consultant to Co111plete this Section I. [.coal Agency Name: 3. Project Locatie'nt , ry 3, Project Description: _a=' A. Consultant Name: ccx t� jt1A 3. Contract DBE Goal %:. DBE Commitment Information 6, Ih dIalon of Services t oN frov Wed 7,1)BE Firm S. DBE Crat. 91 D9E 9S Contact information Number �i Local Agency to Complete this Section Io. Tn al - - °/a Ctaimed 16. Local Agency Contract Number: 17.federal -aid ProjcONumber:. 18. Proposed Contract Execution Date: . Local Agency certifies that all DBE certifications are valid and the IL Prelimer S -nature Information on this form is complete and accurate; p 72, Preparor's Namo (Fria } I9, t.ocal Agency Representative Name (Print) tt �..._. 13. Prepa r`s Title 20.LoW Agency Representative Signature tA, Datc IS. (Area Code)Tel. No. 22,L00atAgency Representative TItic � 23, (Area Code) Tel. No." Distribution: (1) Original - Consultant sulmata to loml agency with proposal (2) Copy — Local Agency files LPP 13.01 25L -31 Page I o1`2 May $s 2013 LaealAssistance Procedures Manual Extitttrr 10-K CONSULTANT C FWfITICATION OF CONTRACT COSTS AND FiNANUAI, MANAGEMENT SYSTEM (Tote: Vrequesting to utilize The Safe Harbor Indirect Cost Rate submitAilacharent I of DLA -OB )3.07 - Safe Harbor 7rtdirect CostRatefarConsuttayitContraods found at http,llwwr p,dot ca govlhglLoca [Pi,ograt)tslDLA_QGIDZtt –O hMa in lieu of tit s forin) Certification of Final Indirect Costs. .j Consultant Firm Name; � "y;L _– Indirect Cost Rate, —ple * for fiscal period (mmlddlyyyy to mmldd /yyyy) *Fiscal period covered for Indirect Cost Rate developed (riot the contract period). Local Government; Contract Nuinber; Project Number: 1, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period As specified above and to the best of my knowledge and belief-, 1, All costs included in this proposat to estahlisli final Indirect Cost Rates are allowable in accordance with the oust principles of`the Federal Acguisitfou Re$ulati ins {FAR) of Title 48, Coda of Federal Regulations (CFR) ,Part 31, 2. This proposal does not include any costs which Are expressly unallowable, under the cost principles of the FAR of 48 CFR, Part 3t. 10 -K All known material transactions or events that have occurred affecting the firm's ownership, o`rganizalion, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above;., Certification of Tinancial MAritiggmen Systernz t, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards tar financial reporting, accounting records, Internal and budget control as set forth in the FAR of Title 44, CFR, Part I a,20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts, I, the undersigned, certify that the approximate dollar amount of at] A &E contracts Awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is Si and the number of states in which the firm does business is , Certification of Direct Costs: 1, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the EAR of Title 48, CFR, Part 31. Allowable direct costs to it Government contract shall be: Page 1 of 2 LPP25.01 January 14, 2015 25L -32 Local Assistance Procedures Manual gXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System L Compliant with Generally Accepted Accounting Principles (CIAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable): 1 Compliant with the terms of the contract and is incurred specifically for the contract. 3, Not prohibited by 22 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant, All costs must be applied consistently and fairly to all contracts, All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract); i Prime Consultants (if applicable) s Proposed Total Contract Amount (or amount not to exceed if on-call contract), $ m Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying �(Print Name and Title): Title' Consultant Certification Signature * *: Date of Certification (mmddfyyyy)r Consultant Contact Information; Phone number. _ L ( Q-5 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice. President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 VAC. 112(b)(2)(8), Subconndtants mast comply wid, the FAR Cao Principles contained &148 CFR, Part 31. 23 CFR Part 172,3 Definitions stater Consultant rnenas the indfviiduol or, jirni ppovlding engineerZag an¢ design refntect serrot`csr us a pov(le to div eontract, Theref ore, subconsuftants as pal- ties ofa eanmeetnurst cornplere a certification and send originals toA &land keep copies In Local Agency Project "Iles. ntstritualow t) Originat to Caltrans Audits and Invoivalona 2) Retained in Local Agency Proiect F'iluc Page 2 of 2 11PP 15.01 January 14, 2015 25L -33 25L -34 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 5`u day of August, 2015 by and between Lidgard and Associates, Incorporated, a sole ownership entity, (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of Real Property Appraisal Services. 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 those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $200,000 during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on August 5, 2018, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. Exhibit 2 25L -35 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire tern 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. 25L -36 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 famished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect, by consultant, without thirty (30) days prior written notice to the City. (iv) Consultant shall supply City with a fully executed additional insured endorsement. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to 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. 7. INDEMNIFICATION Consultant agrees to and shall indemanify 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 contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant farther agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 25L -37 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. 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 in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. 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: 25L -38 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: To Consultant: Fred Mousavipour, Executive. Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -5654 Lidgard & Associates Scott A. Lidgard, MAI, CCIM 2592 N Santiago Boulevard Orange, CA 92867 -1862 scottna,lid aardine. com 714 - 633 -8441 (Office) 714 - 633- 8449(Fax) Jose Sandoval Assistant City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714 - 647 -6515 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. 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 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. 25L -39 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 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. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 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 tern of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. 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. 25L -40 19. MISCELLANEOUS PROVISIONS as Additional provisions, if any are identified as Additional Provisions, Exhibit D, attached hereto and incorporated into this Agreement by reference, b. Each undersigned represents and warrants that its signature herein below has the power, authority and tight 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 fust above written. ATTEST:: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Sy. i Josh doval `` -- As4i kftmCityAttorney RECOMMENDED FOR APPROVAL: Fred Mousavipour Executive Director Public Works Agency CITY OF SANTA. ANA David Cavazos City Manager CONSULTANT- L,idgard & Associates, Inca Scott A. Lidgard, President Tax ID #330909592 25L -41 EXHIBIT A SCOPE OF SERVICES 25L -42 Ei'q June 9, 2015 City of Santa Ana Public Works Agency 20 Civic Center Plaza, 3"0 Floor Reception, Ross Annex Santa Ana, California 92701 Attention: Kenny Nguyen Project Manager Subject: RFP No, 15 -044 335,3 Ur, Real Estate Appraisal Services Sulte 201 Gong 8a 90307- I appreciate the opportunity of submitting this proposal for on -call right- crougeCounty of -way appraisal services for the City of Santa Ana Public Works Agency, 25 ,92 N, Santre� Specifically, this proposal relates to Specialty Area A-1 (real property 0ran9o` A appraisal services), This proposal includes the following Items as set 92867-1862 forth in the Request for Proposals as well as additional items deemed relevant: • Statement of Qualifications, • Statement of Relevant Experience. • Agency Retainer Agreements. • Scope of Services. • Statement of References, • Insurance Coverage. • Fee schedule. • Small Business Certification • Resume of Qualifications • Certifications • Attachment 4 The terms and conditions of this proposal shall remain in effect for 90 days, at which time certain terms may be subject to revision. The undersigned is authorized to bind L.Idgard and Associates, Inc. into a contractual arrangement contemplated herein. L:idgard and Associates is qualified to work on federally funded projects. Te7�ghpn�r (5M) 988-2-926 (711) (383.6441 Facsimile" (714) 683 -8449 LH)GARD AND ASw3OCUTES Real R-Juie AppraiwO and Consullat vu, INCORPORATED 25L -43 City of Santa Ana Public Works Agency Attention: Kenny Nguyen Project Manager June 9, 2015 Page 2 The undersigned has reviewed the agreement statement iddqtified _'as Attachment 2 of the Appendix in the RFP. Lidgard and Associates, \fnc. is in concurrence with all provisions contained therein with respect to the s("Te of services, compensation, term of agreement, independent contractor aspect, ownership of materials condition, insurance requirements, indemnification cla \use, and all other items set forth therein including Sections 7 through 19. Further, I would like to take this opportunity to specifically point out that the undersigned is qualified as an expert on real property valuation in the Los Angeles, Orange, San Bernardino, and Riverside County Superior Courts, as well as Federal Bankruptcy Court. Scott A. Lidgard, MAI, CCIM is willing and capable of providing either deposition or trial testimony when deemed appropriate by legal counsel. Pease do not hesitate to contact me in the event you require additional information regarding this proposal. Very truly yours, LIDGARD AND ASSOCIATES, INC. Scott A. Lidgard, MAI, CCIM Certified General Real Estate Appraiser California Certification No. AG 004014 SAL:sp LIDGARD AND ASSOCIATES F �st� �stq�� A��zre�z'serl cxrer� �"aarcaaM� n�s� INCORPORATED 25L -44 SCOPE OF SERVICES (Continued) The sequence of the appraisal process is generally as follows: A notification letter will be sent to the individual property owners advising them of the (1) proposed redevelopment project, (2) necessity of the formal appraisal study, and (3) right of the owner or owner's representative to accompany the appraiser at the time of formal appraisal inspection. The Office Administrator will be responsible for this task. Scott A. Lidgard, MAI will respond personally to inquiries of all property owners. A formal inspection by Scott A Lidgard, MAI, will be conducted of the subject properties for the purpose of becoming completely familiar with the physical and functional character- istics thereof, as well as the influence of the immediate physical environment, and the general economic and sociological environment. Certain larger scale property inspections may involve the assistance of the Jason P. Boyer and Jason T. Clayton, Market Research Analysts. .._In._the_case_of_ right- .of -w- ay _acquisition studies, a__r_eview. Qf_prQject_____ plans and specifications will be conducted by Scott A. Lidgard for the purpose of becoming familiar with the potential impact to the parent ownership by the proposed taking. Consideration will be given to project benefits and /or severance damages which may incur to the parent property by virtue of construction of the public project in the manner proposed. Market research will be conducted in the general subject area for sales and rental data of properties reasonably similar to the subject properties. The sales data will be confirmed with a party of interest (buyer, seller, broker). The Market Research Associate will be responsible for the collection of primary and secondary data under the supervision of the Principal Appraiser. The valuation analysis will be conducted by Scott A. Lidgard, based upon market data in the general subject market area. An analysis will be conducted and a comparison made of the subject property to the various sale properties with respect to the various elements of comparability i.e. location, immediate environmental influences, land size, zoning, developability, etc. The formal narrative appraisal report will be prepared in summation of the activities outline above. The report will be suitable for acquisition /condemnation purposes. Further, the valuation studies LIDGARD AND ASSOCIATES APPRAISERS- CONSULTANTS 7 25L -45 SCOPE OF SERVICES (Continued) will comply with reporting requirements set forth in (1) the Uniform Standards of Professional Appraisal Practice (USPAP), (2) the California Code of Civil Procedure, particularly Title 25- Housing and Community Development Code of Regulations, and (3) Title XI of the Financial Intuition Reform, Recovery, and Enforcement Act (FIRREA). When applicable, the Principal Appraiser (Scott A. Lidgard) will provide written monthly reports and weekly verbal reports regarding the status of individual appraisal assignments, along with information relative to future negotiations. The foregoing is intended to illustrate a complete understanding of the scope of services contemplated by the Santa Ana Public Works Department. In general, the amount and percentage of time expended by the Principal Appraiser typically equates to 30% to 40% of the allocated project time. As stated, the Principal Appraiser will act as the project manager. The Market Research Analyst and Market Research Associate are involved approximately 30% to 40% of the time depending primarily on the type of property and extent of market research required. Office staff, comprising administration duties, transcribing /typing, and preparation of report exhibits, ranges between 10% and 20% of the amount of time allocated to the assignment. The firm has a system of checks and balances in place throughout various stages of the appraisal process as to ensure reporting and valuation accuracy. STATEMENT OF REFERENCES Following are various public agencies, including the contact person and phone number for which Lidgard and Associates, Inc. has performed professional real estate appraisal services. Additional references are available upon request. Greg Blodgett Project Manager City of Garden Grove 11222 Acacia Parkway P. O. Box 3070 Garden Grove, California 92642 (714) 741 -5124 greg-I Qch.ci.garden- grove.org Margarita Cabrera Real Property Agent County Sanitation Districts of Los Angeles County 1955 Workman Mill Road Whittier, California 90601 (562) 908 -4288, ext. 2710 mcabrera ®lacsd.org LIDGA" AND ASSOCIATES APPRAISERS - CONSULTANTS IN 25L -46 EXHIBIT B FEE PROPOSAL 25L -47 FEEPROPOSAL The formats of the sample cost proposals identified as Exhibit 10 -H in the RFP are not adaptable to the scope of real estate services proposed herein. The following fee schedule includes all expenses incurred in connection with the real estate appraisal service and will remain firm for the three -year contract period. In the event Lidgard and Associates, Inc. is authorized to engage appraisal services for specialized equipment items or business valuations, it is assumed that the fees for said services will be reimbursed. Further, the fee schedule is intended to cover all relevant items set forth in Exhibit 10 -H. The consultant's billable rates will not Include mark -ups for overhead and profit, It is understood that no additional payment will be made for those items. Additionally, the City does not reimburse for travel, mileage, nor the use of computer equipment. Property °Typo Partial Take Acquisitions: Vacant land: Noncomplex residential takes: Complex residential takes: Noncomplex commercial takes: Complex commercial takes: Noncomplex Industrial takes: Complex industrial takes: Ful/ Take Acquisitions: Vacant land: Single family residential: Multiple family residential: 2 -10 dwelling units: 11 -20 dwelling units: 30+ dwelling units: Commercial properties: Single tenant buildings: Multiple tenant buildings: Single Parcel Assignments $3,000- $3,500 $2,500 - $3,000 $3,000 - $4,000 $4,300 - $5,000 $5,000 - $6,000 $4,300 - $5,000 $5,000 - $6,000 Multiple Parcel - Assignments $2,200 - $2,700 $2,200 - $2,700 $2,500 - $3,500 $3,300 - $4,000 $4,000 - $5,000 $3,300 - $4,000 $4,000 - $5,000 $2,800- $3,400 $2,500 - $3,000 $2,750 - $3,100 $2,600 - $2,850 $2,650- $3,500 $2,400 - $3,000 $3,500- $4,500 $3,000 - $4,000 $5,000+ $5,500+ $3,500 - $4,500 $3,000 - $4,000 $4,000 - $5,000 $3,500 - $4,600 The schedule for professional acquisition appraisal services will be based on the foe structure set forth below. In general, the hourly rate of the principal appraiser is $335. Market research associates and office staff are billed at LIDG}ARD AND ASSOCIATES Arh0.AISEAS -CON5 U LTANTS 25L -48 FEE PROPOSAL (Continued) hourly rates of $195 and $135, respectively. Said rates are fully burdened, i.e. inclusive of overhead costs, general, administrative, and profit. As stated, I_idgard and Associates, Inc. is a fully staffed appraisal firm, and does not engage in the subcontracting of outside appraisal companies. The foregoing summary represents a general illustration of typical appraisal fees based on the various categories of properties and scope of services. The appraisal fee for a specific appraisal assignment will be negotiated prior to commencement thereof. Court appearance fees and /or deposition appearance fees will be based upon an additional $375 per hour with a $1,500 per half day minimum in the forenoon or afternoon. Pretrial and pre deposition conferences, if any, will be based upon an additional $375 per hour. The hourly rate will be applied for file review, travel time, and additional investigation deemed necessary by legal oounsel as part of litigation. LIDGARD AND ASSOCTATES APPRAISSRS- CONSULTANTS 25L -49 EXHIBIT C CERTIFICATIONS 25L -50 of I Aaportmenf of General services 0*G10V s 81NLDINrr GREEN °AUYINC, GREEN- WOAKIWi OAEFN LIDGARD AND ASSOCIATES INC - #54008 SUPPLIER PROFILE Legal Business Name LIDGARD AND ASSOCIATES INC Doing Business As LIDGARD AND ASSOCIATES INC Address 2592 N. Sandago Boulevard Phone (714) 633 -8441 Sep 26, 2012 ORANGE, CA 92867 FAX (714) 633 -8449 Email scott011dgardinc.com Web Page httn; / /www lldoarcllnC mm Business Types Service. Service Areas Los Angeles, Orange, Riverside, San Bernardino, Keywords REAL ESTATE APPRAISAL STREET WIDENING PARTIAL ACQUISITION RE EMINENT DOMAIN COMMERCIAL RESIDENTIAL RETAIL FULL ACQUISITION AIRPORT EXPANSION LIDGARD APPRAISAL INSTITUTE CCIM MAI APPRAISER ASSESSOR PARCEL NUMBER APN MAP RIGHT OF WAY ROW Classl0cadons 801318 - Real estate management services Active Certifications TYPE STATUS FROM TO _. SB(Mlcro)-.. _ -.- _.__........Approved_ -. - -.._. ._ -- Sep26,2012. .. - -- -Sep 30, 2016 _. .._.. ...._ Certification Histo TYPE STATUS FROM TO SB (Micro) Expired Sep 26, 2012 Sep 26, 2012 SB (M)co) Expired May 13, 2009 May 30, 2011 SB (Micro) Expired )un 26, 2008 May 13, 2009 25L -51 APPENDIX ATTACHMENT 3 -:1: NON - COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15 -044 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 va� collusion Affidavit. BIDDERS are cautioned that making a false certification may subject the c ' criminal prosecution Signed State of California County of Subscribed and sworn to (or affirmed) before me on this �D+ day of Jul 20_15 by Mayr-A UAr proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. a/1Gr Not Pu is Si ur MAA 0ARIA Notary Public Seal CaM kMM N 2029 725 Motuy PUW - CMIMM 0rM*CMJ* City of Santa Ana RFP 15 -044 Page 28 25L -52 APPENDIX ATTAIC:HMENT 3 -2: NNON-ILG BYING4CERkTIFICATI( N ZE- 11TWICAMONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15 -044 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 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 3l, 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. Signed and printed Title `Preeiclen-1 Date City of Santa Ana RFP 15 -044 Page 29 25L -53 APPENDIX ATTACHMENT 3-3: NON-ID "ISCRTMINATION+CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15 -044 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 Consultrant 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 by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of City of Santa Ana RFP 15 -044 Page 30 25L -54 September 24, 1965, so that such provisions will be binding upon each or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 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 142 and any contractor of Public works violating this Section is subject to all the penalties imposed for a ton of the Ch pter�- Signed: —= — Title: �p[q�fjErl k Firm: L-Agard d"d L666cigiem Wc. Date: J top- 10, 2015 City of Santa Ana RFP 15 -044 Page 31 25L -55 Imo* W ADDITIONAL PROVISIONS 25L -56 Local Assistance Procedures Manual E%HBIT 10 -I Notice to Proposers DBE Information EXHHIIT 10 -I NOTICE TO PROPOSERS DBE INFORMATION The Agency has established a DBE goal for this Contract of % OR The Agency has not established a goal for this Contract. However, proposers are encouraged to obtain DBE participation for this contract. 1. TERMS AS USE, ED IN THIS DOCUMENT • The term "Disadvantaged Business Enterprise" or "DBE" means a for - profit small business concern owned and controlled by a socially and economically disadvantaged person(s) as defined in Title 49, Code of Federal Regulations (CFR), Part 26.5. + The term "Agreement" also means "Contract," • Agency also means the local entity entering into this contract with the Contractor or Consultant. • The term "Small Business" or "SB" is as defined in 49 CFR 26.65. 2. AUTHORITY AND RESPONSIBILITY A. DBEs and other small businesses are strongly encouraged to participate in the performance of Contracts financed in whole or in part with federal funds (See 49 CFR 26, "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs "). The Consultant must ensure that DBEs and other small businesses have the opportunity to participate in the performance of the work that is the subject of this solicitation and should take all necessary and reasonable steps for this assurance. The proposer must not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts. B. Proposers are encouraged to use services offered by financial institutions owned and controlled by DBEs. 3. SUBMISSION OFDBE INFORMATION If there is a DBE goal on the contract, Exhibit 10 -01 Consultant Proposal DBE Commitment must be included in the Request for Proposal. In order for a proposer to be considered responsible and responsive, the proposer must make good faith efforts to meet the goal established for the contract. If the goal is not met, the proposer must document adequate good faith efforts. All DBE participation will be counted towards the contract goal; therefore, all DBE participation shall he collected and reported. Exhibit 10 -02 Consultant Contract DBE Information must be included with the Request for Proposal. Even if no DBE participation will be reported, the successful proposer must execute and return the form. 4. DBE PARTICIPATION GENERAL INFORMATION It is the proposer's responsibility to be fully informed regarding the requirements of 49 CFR, Part 26, and the Department's DBE program developed pursuant to the regulations. Particular attention is directed to the following: A. A DBE must be a small business firm defined pursuant to 13 CFR 121 and be certified through the California Unified Certification Program (CUCP). LPP 13 -01 25L -57 Page 1 of 3 May 0, 2013 Local Assistance Procedures Manual EXIiBIT 104 Notice to Proposers DBE Information B. A certified DBE may participate as a prime consultant, subconsultant, joint venture partner, as a vendor of material or supplies, or as a trucking company. C. A DBE proposer not proposing as a joint venture with a non -DBE, will be required to document one or a combination of the following: 1. The proposer is a DBE and will meet the goal by performing work with its own forces. 2. The proposer will meet the goal through work performed by DBE subconsultants, suppliers or trucking companies. 3. The proposer, prior to proposing, made adequate good faith efforts to meet the goal. D. A DBE joint venture partner must be responsible for specific contract items of work or clearly defined portions thereof, Responsibility means actually performing, managing, and supervising the work with its own forces. The DBEjoint venture partner must share in the capital contribution, control, management, risks and profits of the joint venture commensurate with its ownership interest. E. A DBE must perform a commercially useful function pursuant to 49 CFR 26.55, that is, a DBE firm must be responsible for the execution of a distinct element of the work and must carry out-its responsibility by actually performing, managing and supervising the work. F. The proposer shall list only one subconsultant for each portion of work as defined in their proposal and all DBE subconsultants should be listed in the bid/cost proposal list of subconsultants. G. A prime consultant who is a certified DBE is eligible to claim all of the work in the Contract toward the DBE participation except that portion of the work to be performed by non -DBE subconsultants. 5. RESOURCES A. The CUCP database includes the certified DBEs from all certifying agencies participating in the CUCP. If you believe a firm is certified that cannot be located on the database, please contact the Caltrans Office of Certification toll free number 1- 866 - 810.6346 for assistance. B. Access the CUCP database from the Department of Transportation, Office of Business and Economic Opportunity Web site at: http: / /www.dot.ca.gov /hq/bep /. 1. Click on the link in the left menu titled Disadvantaged Business EnteMrise; 2. Click on Search for a DBE Firm link; 3. Click onAcce —s to the DBE Ouery Form located on the first line in the center of the page. Searches can be performed by one or more criteria. Follow instructions on the screen. 6. MATERIALS OR SUPPLIES PURCHASED FROM DBES COUNT TOWARDS THE DBE GOAL UNDER THE FOLLOWING CONDITIONS: A. If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the materials or supplies. A DBE manufacturer is a firm that operates or maintains a factory, or establishment that produces on the premises the materials, supplies, articles, or equipment required under the Contract and of the general character described by the specifications. B. If the materials or supplies purchased from a DBE regular dealer, count 60 percent of the cost of the materials or supplies. A DBE regular dealer is a firm that owns, operates or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the Contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To be a DBE regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the Page 2 of 3 LPP 13 -01 May S, 2013 25L -58 Local Assistance Procedures Manual EXABIr 10 -I Notice to Proposers DBE Information purchase and sale or lease of the products in question. A person maybe a DBE regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone or asphalt without owning, operating or maintaining a place of business provided in this section. C. If the person both owns and operates distribution equipment for the products, any supplementing of regular dealers' own distribution equipment shall he, by a long -term lease agreement and not an ad hoc or Agreement -by- Agreement basis. Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite transactions are not DBE regular dealers within the meaning of this section. D. Materials or supplies purchased from a DBE, which is neither a manufacturer nor a regular dealer, will be limited to the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on the job site, provided the fees are reasonable and not excessive as compared with fees charged for similar services. LPP 13 -01 25L -59 Page 3 of 3 May 8, 2013 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL - 'MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of ))EA-0E 13 -07- Safe Harbor Indirect Cost Rate far Consultant! Contracts found athttp.11w n. dot ca. govlhq /LoealProgram&DLA OBIDLA OB. htmin lien ofthisform.) Certification of Final Indirect Costs: Consultant Firm Name: / Z> G A-tt D 4A(j ki 51 as Indirect Cost Rate: " for Fiscal period (mm /dd /yyyy to mm/dd /yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: et , y � r jXA/ j A 4 N/} Contract Number: A ProjectNumber: GW eAG&&AwAol- Vici!-;j I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: 1, the undersigned, certify to the best of my knowledge and belief that our Financial Management System m @ets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification ofDollarAmount for all A &E Contracts: 1, the undersigned certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California loc gency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ and the number of states in which the firm does business is Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: LPP 15 -01 25L -60 Page 1 oft January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1, Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable), 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3, Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant, All costs must be applied consistently and fairly to all contracts, All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): Prime Consultants (if applicable) D d Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ z 0 00 Prime, list all Subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): —T Consultant Certifying (Print Name and Title): Name: � �o TT flt L. t p 6 fir / r_') t �G .✓/ ^7 r� r Title: e , /c,i / /),-� Consultant Certification Signature * *: Data of Certification(mnVdd/yyyy): -J—V yr.51- /E'f Consultant Contact Information: Email: 5'ez - 62 G r 0`At -A Q,11 C . G'o . q Phone number: A-0 X 33 °8 FYI * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultants more comply svah the FAR Cost Principles contained in 48 UP Part 31. 13 CFR Part 172.3 Definitions state: Consultant means the individual orjtrmproviding engineering and design related services as aparry to the contract Therefore, subconsultants as parties ofa contract must complete a certificatton and send originals to A&1 and keep copies in Local Agency Project Files. Distribution 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files LPP 15 -01 25L -61 Page 2 of 2 January 14,2015 Local Assistance Procedures Manual EXHIBIT 10 -01 Consultant Proposal DBE Commitment EXIIIBIT 10 -01 CONSULTANT PROPOSAL DBE COMMITMENT (Inclusive of all DBEs listed at bid proposal. Refer to instructions on the reverse side of this form) 1. Local Agency Name: t71 dr 0&f-t—IA 604A — t/-7• 4JbL(L iWPXf -� 2. Project Location: ' —�t OM —. 3. Project Description: 4. Consultant Name: �tJ7l7r}(Gf� r!] 5. Contract DBE Goal %: 6. Description ofScrvices to be Provided 1 7. 16. Local Agency Contract Number: 17, Pederal•sid Project Number; 18. Proposed Contract Execution Date: Local Agency certifies that all DBE certifications are valid and the information on this form is complete and accurate: 19. Laca1 Agency Representative Name (Print' 20. Loral Agency Representative Signature 21, Date 22. Local Agency Representative Titla 23. (Area Cade) Tel No Distribution: (1) Original — Consultant submits to local agency with proposal (2) Copy —Local Agency files LPP 13 -01 25L -62 8, DBE Celt. y%S ir 13 repurer's Title 7fK 4s !4 — ?f 14. Date 15.(Alm Code) Tel. No. rage 1 of 2 May 8, 2013 Local Assistance Procedures Manual EXHIBIT 10 -01 Consultant Proposal DBE Commitment INSTRUCTIONS - CONSULTANT PROPOSAL DBE COMMITMENT Consultant Section The Consultant shall: 1. Local Agency Name -Enter the name of the local or regional agency that is funding the contract. 2. Project Location -Enter the Project location as it appears on the project advertisement. 3. Project Description -Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc.). 4. Consultant Name -Enter the consultant's firm name. S. Contract DBE Goal %- Enter the contract DBE goal percentage, as it was reported on the Exhibit 104 Notice to Proposers DBE Information form. See LAPM Chapter 10. 6. Description of Services to he Provided - Enter item of work description of services to be provided. Indicate all work to be performed by DBEs including work performed by the prime consultant's own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms. 7, DBE Firm Contact Information - Enter the name and telephone number of all DBE subcontracted consultants. Also, enter the Prime consultant's name and telephone number, if the prime is a DBE. 8. DBE Cart. Number -Enter the DBEs Certification Identification Number. All DBEs must be certified on the date bids ere opened, (DBE subcontracted consultants should notify the prime consultant in writing with the date of the decertification if their status should change during the course of the contract.) 9. DBE % - Percent participation of work to be performed or service provided by a DBE. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count frill /partial participation. 10. Total % Claimed — Enter the total DBE participation claimed. If the Total % Claimed is less than item °6. Contract DBE Goal ", an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15 -H DBE Information - Good Faith Efforts of the LAPM). 11. Preparer's Signature —The person completing this section of the form for the consultant's firm must sign their name. 12. Preparer's Name (Print) — Clearly enter the time of the person signing this section of the form for the consultant 13. Preparer's Title -Enter the posidon/title of the person signing this section of the form for the consultant. 14. Date - Enter the date this section of the form is signed by the preparer. 15. (Area Code) Tel. No. - Enter the area code and telephone number of the person signing this section of the form for the consultant, Local Azenev Section: The Local Agency representative shall: 16. Local Agency Contract Number- Enter the Local Agency Contract Number, 17. Federal -Aid Project Number - Enter the Federal -Aid Project Number. 18. Contract Execution Date - Enter date the contract was executed and Notice to Proceed issued. See LAPM Chapter 10, page 23. 19. Local Agency Representative Name (Print) - Clearly enter the name of the person completing this section. 20. Local Agency Representative Signature -The person completing this section of the form for the Local Agency must sign their name to certify that the information in this and the Consultant Section of this form is complete and accurate. 21. Dote - Enter the date the Local Agency Representative signs the form. 22. Local Agency Representative Title -Enter the posttionititle of the person signing this section of the form. 23. (Area Code) Tel. No. - Enter the area code and telephone number of the Local Agency representative signing this section of the form. LPP 13 -01 25L -63 Page 2 of 2 May 8, 2013 25L -64 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 5th day of August, 2015 by and between Desmond, Marcello and Amster, LLC, (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of Furniture, Fixtures and Equipment Appraisal Services. 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 those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $200,000 during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on August 5, 2018, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. Exhibit 3 25L -65 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. 25L -66 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. 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. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 25L -67 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. 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 in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. 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: 25L -68 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: To Consultant: Fred Mousavipour, Executive. Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -5654 Desmond, Marcello, & Amster, LLC Madeleine Mamaux, Partner 6060 Center Drive, Suite 825 Los Angeles, CA 90045 mmamauxna,dmavalue. com 310 - 216 -1400 (Office) 310 - 216 -0800 (Fax) Jose Sandoval Assistant City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714 - 647 -6515 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. 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 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. 25L -69 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 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. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 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. 25L -70 19. NUSCELLANECIUS PROVISIONS a, Additional provisions, if any are identified as Additional provisions, Exhibit D, attached hereto and incorporated into this Agreement by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is riot, in fact, held by the signatory or is withdrawn, 4 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- Maria I7, Huizar Clerk of the Council APPRO VED AS TO rORM, SONIA R. CARVAUIO City Attorr�te By° Jos 4 oval Assls airtC'ityAttorney RECOMMENDED FOR APPROVAL,: Fred Mousavipour Executive Director Public Works Agency !CITY OF SANTA ANA David Cavazos City Manager CONSULTANT; Desmond, Marcella, & Amster,'LLC Madeleine Mamaux„ Partner Tax ID #26. 0362647 25L -71 EXHIBIT A SCOPE OF SERVICES 25L -72 RESPONSE TO REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15 -044 SCOPE OF SERVICES: FURNITURE, FIXTURES AND EQUIPMENT APPRAISAL SERVICES PREPARED FOR THE CITY OF SANTA ANA PUBLIC WORKS AGENCY DESMOND, MARCELLO &AMSTER 6060 Center Drive, Suite 825 1 Sansome Street, Suite 3500 Los Angeles, California 90045 San Francisco, California 94104 Tel. (310) 216 -1400 Tel. (415) 439 -8390 Fax (310) 216 -0800 Fax (415) 449 -3643 Toll Free No. (888) 240 -5184 www.dmavalue.com 25L -73 June 9, 2015 City of Santa Ana Attn: Kenny Nguyen Public Works Agency 20 Civic Center Plaza 3rd Floor Reception, Ross Annex Santa Ana, CA 92701 Desmond, Marcello £a Amster, LLC Valuation and Litigation Consultants 6060 Center Drive, Suite 825 Los Angeles, CA 90045 Tel: (310) 216 -1400 Fax: (310) 216-0800 Toll Free: (888) 240 -5184 1 Sanaome Street, Suite 3500 San Francisco, CA 94104 Tel: (415) 439 -8390 Fix: (415) 449-3643 w ..dmavalue.com Re: Request for Proposals for On -Call Right of Way Specialty Services RFP No. 15 -044 Specialty Area — Furniture, Fixtures and Equipment Appraisal Services (A2) Dear Mr. Nguyen: Enclosed please find Desmond, Marcello & Amster's (DM&A) proposal to provide appraisal services in the area of Furniture, Fixtures and Equipment for the City of Santa Ana Public Works Agency (the "City "). We have enjoyed working for the City on recent projects, and would very much welcome the opportunity to provide furniture, fixtures and equipment appraisal services for upcoming assignments. By submitting this proposal, DM &A acknowledges our thorough examination and acceptance of the Terms and Conditions of this RFP as described in Section II. The undersigned is designated as the point of contact as described in Section III, Part B. Marcus Pigrom will be the Project Manager for fixtures and equipment appraisal activities. Thank you for your consideration of DM&A. We hope to have the opportunity to continue to work with the City on the important projects to come. Very truly yours, DES D, MARCEL AMSTER Madeleine Mamaux, CFA, ASA Partner MM /dkp 25L -74 1) STATEMENT OF QUALIFICATIONS B. Agreement Statement Desmond, Marcello & Amster concurs with the provisions in the sample agreement in Attachment 2 of the Appendix of this RFP. C. Understanding of Need Budgetary Estimates Budgetary estimates are used by public agencies in planning and preparing a project budget. Upon request, DM &A can prepare estimates of fixtures and equipment values based upon "drive by" site inspections of the subject businesses, limited market research, and any publicly available data. The estimates also take into consideration DM &A's experience in preparing fixtures and equipment appraisals of comparable businesses, as well as knowledge of relevant statutes and case laws, negotiated settlements, and jury awards in eminent domain proceedings. Results will be presented in a spreadsheet of estimates and a summary report. The tasks necessary to complete budgetary estimates include coordination with the City and /or the City's representatives to ascertain the location and number of businesses for which estimates are needed. DM &A's appraisers will visit the business locations and do research via public sources to gain any available understanding of the nature and scope of each business' operations. Care is taken such that the confidentiality of DM &A's objective is strictly maintained during this phase. Quality control is maintained via DM&A's review process as described below. We will then refer to various in -house documentation and the public sources to estimate the values of the likely items utilized by each business. Finally, we prepare a spreadsheet breaking out improvements pertaining to the realty and movable equipment estimates by business and address. Fixtures and Equipment Appraisals DM &A will provide a fully contained appraisal report, in triplicate and a digital file, of the improvements pertaining to the realty and major movable equipment of each business appraised. The report will include an estimate of the fair market value in place and liquidation value of all appropriate items and will be prepared in conformance with Article 3 of the California Code of Civil Procedure, Sections 1263.205 and 1263.210. (Compensation for losses in connection with movable personal property is included in the California Code of Regulations, Title 25, Sections 6090 and 6092.) Appraisal procedures will be guided by USPAP. The improvements pertaining to the realty and major movable equipment for businesses that occupy multiple properties will be clearly delineated by property address. In preparing each comprehensive appraisal, DM &A will: inspect the business' facility; prepare an inventory of the improvements pertaining to the realty and major movable equipment; coordinate appraisal activities with the real estate appraiser to avoid duplication of compensation; interview the business' owner /manager regarding the business' history, operations, and tangible assets owned; and utilize generally accepted valuation methodology to determine the fair market value in place in liquidation value of the appropriate items owned by the businesses. 25L -75 Our approach to the appraisal process is thorough, collaborative, and professional. Our appraisers recognize the importance of a detailed approach to any assignment, and are cognizant of our role as representing our clients. Our professionals have extensive experience interviewing business owners, and make efforts to address their concerns and needs in these meetings. DM &A has bilingual professionals to interface with Spanish- speaking business owners. We work closely with agency staff and their attorneys in order to keep all parties apprised of the status of our appraisal projects Our collaborative business approach allows DM &A to have a level of quality control and responsiveness that is unique in our market. DM &A's appraisal review process is thorough and involves oversight by firm partners. Budgets and schedules are closely monitored, and appropriate management controls have been implemented to maximize employee productivity. DM &A's delivery record of projects on time and within budget is evidence of the firm's superior quality control. DM &A's work will encompass steps including, but not limited to, the following • Communications with City management to ascertain the scope of the assignment. • Coordination with relocation agents, acquisition agents and attorneys. • Scheduling a site inspection convenient to the business' owners and management; • Preparing a complete inventory of the assets at the subject business location. This inventory includes a description of the assets as well as observation of their age, condition, and method of installation, if any; • Review of any documentation pertaining to the assets provided by the business owner and/or manager, such as invoices, depreciation schedules, and construction; • Interviewing business owners and /or managers; • Researching the marketplace for each of the assets identified on -site. Such research includes reference to a variety of publications as well as discussions with individuals knowledgeable about the market for the assets; • Coordinating with other appraisers to avoid duplication of compensation; • Applying valuation methods including the Market Approach and Cost Approach to the subject assets; • Preparing the appraisal report for submission; and • Report review — A member of the firm's professional staff will perform a secondary review of all Fixture and Equipment appraisal reports. Suggestions / Special Concerns DM &A has not identified any special issues at this time. To the extent that DM &A finds any avenues to enhance efficiency, quality and /or responsiveness, we will pass along such ideas to the City during the course of the Project. 25L -76 F. References Orange County Transportation Authority Tina Krause Orange County Transportation Authority 550 South Main Street, P.O. Box 14184 Orange, CA 92863 Office: (714) 560 -6282 Email: tkrause @octa.net Los Angeles County Metropolitan Transportation Authority Michael Daniels, MAI Senior Real Estate Officer Los Angeles County Metropolitan Transportation Authority One Gateway Plaza MS 99 -18-4 Los Angeles, CA 90012 Office (213) 922 -3584 Email danielsm @metro.net California Department of Transportation Mr. Erick Solares Attorney at Law California Department of Transportation 100 South Main Street, Suite 1300 Los Angeles, CA 90012 Office (213) 687 -6000 E -mail: erick.solaresp_dot.ca.gov G. Fees DM &A is committed to providing top level service and work product at a competitive pricing level. DM &A's billing rates are all- inclusive and we will not submit claims for reimbursement of mileage, overtime, travel costs or ordinary costs incurred in the appraisal process. Not -to- exceed fees can be provided for many fixture and equipment appraisal assignments once the details of the project and the businesses are known. Our standard hourly fee schedule is located in the Fee Proposal, submitted under separate cover. 2. SCOPE OF SERVICES & SCHEDULE Scope of Services DM &A's work will encompass steps including, but not limited to, the following: • Communications with City management to ascertain the scope of the assignment. • Coordination with relocation agents, acquisition agents and attorneys. • Scheduling a site inspection convenient to the business' owners and management; 25L -77 • Preparing a complete inventory of the assets at the subject business location. This inventory includes a description of the assets as well as observation of their age, condition, and method of installation, if any; • Review of any documentation pertaining to the assets provided by the business owner and /or manager, such as invoices, depreciation schedules, and construction; • Interviewing business owners and /or managers; • Researching the marketplace for each of the assets identified on -site. Such research includes reference to a variety of publications as well as discussions with individuals knowledgeable about the market for the assets; • Coordinating with other appraisers to avoid duplication of compensation; • Applying valuation methods including the Market Approach and Cost Approach to the subject assets; • Preparing the appraisal report for submission; and • Report review —A member of the Goodwill Department will perform a secondary review of all Fixture and Equipment appraisal reports. Timeline Budgetary estimates can generally be completed within 20 to 30 days. The schedule for completion of a fixtures and equipment appraisal can vary widely depending upon the complexity of the business appraised and the degree of cooperation from the business' ownership. It is our experience that, assuming full and timely cooperation from all parties, an appraisal can be completed within 30 to 45 days of a client's authorization to proceed. DM$A actively communicates project status with clients via email, conference calls, or any other means preferred by the client. To the extent any data or information necessary for an appraisal is not forthcoming, we will notify City officials in a timely manner such that steps can be taken to obtain the necessary data. 25L -78 EXHIBIT B FEE PROPOSAL 25L -79 c N a a• w c v X LL N b b 0 d N O V N \ m b w m t E b v cL C a O E ❑ c v 3 O (aj w 25L -80 w0- p c z z z z z m b m = U v} �i O O o U G bZ v 0 4 O Q m ui h Q Q �n h vi N •5 t QJ m L 9 ca m m a w a 0 o 0 N 0 N o N 0 o N 0 a N a L a � u•1 v1 � �'1 vl o o O o 4 W LL v \ z \ z z z z z z o 41 bb bb N ` m y Z Z z Z Z `3 O O O O O S LM H ti Z Z O c a o 0 O ? .� a�i •� a �. "uc m a. •o c na ra � a E Z ce-" N Q V1 2`- Off. Y N❑ 25L -80 Y C N E a tr' w c N N 3 X LL N N O Q O L O. �i O U N N r Ol 1 N Y f0 L ui i+ N E a 0 m U 1. c(0 C C O E v � o .. Y c � � N c � U N c _p U'N 25L -81 Rate Schedule Desmond, Marcello & Amster Fixtures and Equipment Appraisal Services Title Staff Member Standard Rate Depo /Court Appearance Rate FIXTURES AND EQUIPMENT Senior Manager Marcus Pigrom $175 $250 Appraiser Enno Palm -Leis 150 N/A Appraiser Cory Wiles 100 N/A BUSINESS GOODWILL Senior Partner Aaron Amster $325 $450 Partner Madeleine Mamaux 295 400 Manager Kevin Blair 175 250 Financial Analyst Zachary Doran 125 N/A 25L -82 DESMOND, MARCELLO &AMTER, LLC FEE PROPOSAL — FIXTURES AND EQUIPMENT Pricing Detail — Fixtures and Equipment Appraisal DM&A does not analyze individual work tasks separately for proposal pricing. The bulk of the time spent typically involves inventorying relevant items and valuation research. The amount of time spent on review also varies by assignment. DM&A's services are very business /tenant specific. Meaningful fee estimates cannot be given without knowing the types of businesses for which our services may be needed. Therefore we have provided business type information in the average cost estimates below and assumed "typical" situations. Summary Report Average Cost Business Type'* Typical Hours Required Estimate Small Retail & Services 16 $2,000 - $3,000 Restaurants /Bars 25 $3,500 - $5,500 Independent Wholesale/Manufacturing 40 $5,000 - $7,D00 Gasoline Stations (may include convenience stores, 36 $4,000 - $6,000 auto repair, and car wash isr is nor au mciusive ofpossinle pusiness types. DM&A will not submit claims for reimbursement of mileage, overtime, travel costs or ordinary costs incurred in the appraisal process. However, reimbursable expenses may be incurred during litigation, and may include preparation of trial exhibits. 25L -83 EXHIBIT C CERTIFICATIONS 25L -84 APPENDIX ATTACHMENT 3 -1: NON - COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES REP NO.: 15 -044 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 sh I also constitute signature of this Non - collusion Affidavit. BIDDERS are cautioned that making a false , n certific�ji may subject the _gpAifgr to criminal prosecution. Signed State of California y / County of 4 Y l p l P_ Subscribed and sworn to (or affirmed) before me on this / day of Z J2 20/5 by /qa.'Lt' proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Omyoomm. DEBRA k PROTHO f 1 G, �, _ _ . C ®M9M. #2DZ4032 ` / �w��- yin' Notary P #2�Cal403 LOS ANGELES COUNTY Notary Public Signature Notary Public Seal Ex . JUNE7,2017 City of Santa Ana RFP 15 -044 Page 28 25L -85 APPENDIX ATTACHMENT 3 -2: NON - LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15 -044 The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: I. 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. Desmond, Marcello & Amster, LLC Firm Signed and Printed Name: Madeleine Mamaux Title Partner Date 6/9/2015 City of Santa Ana RFP 15 -044 Page 29 25L -86 APPENDIX ATTACHMENT 3 -3. NON - DISCRIMINATION CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL .RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15 -044 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 Consultrant 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 involved 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 (I) 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 1 1246 of City of Santa Ana RFP 15 -044 Page 30 25L -87 September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. S. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating this Section is subject to all the penalties imposed for a violate f the Chapter. Signed: Title: Partner Firm: Desmond, Marcello & Amster 5/9/2015 Date: City of Santa Ana RFP 15 -044 Page 31 W71WOTOO, EXHIBIT D ADDITIONAL PROVISIONS 25L -89 Local Assistance Procedures Manual EXHIBIT 10 -01 Consultant Proposal DBE Commitment EXI -IIBIT 10 -01 CONSULTANT PROPOSAL DBE COMMITMENT (Inclusive of all DBEs listed at bid proposal. Refer to instructions on the reverse side of this form) 4a- 1 uih(1.C_ (Odrks A jegcet 1. Local Agency Name: � d f+�4rlv`CzL 2. Project Location: � � \ ( r J it 3. Project Description: (\ -t 4. Consultant Name: \�.e C>Aff�� 5. Contract DBE Goal %: _q_— DBE Commitment Information 6. Description of Services to be Provided 7. DBE Firm Contact Infomotion 8. DBE Ccrt, Number 9. DBE °c'a nom° ;F mvm 1efi f o sli0g>w r._ -..',„ — EaVda ? ' :."' . _ - 16. Local Agency Contract Number. D.Fedeml -aid Project Number: 18. Proposed Contract Execution Date: Local Agency certifies that all DBE certifications are valid and the information on this form is complete and accurate: jPmparc,"s N\ Gc `•' Mix U6 0.0 �f 1 ��f k'' 12. Preparer's Name (Print) fb_i—! . e (— 19. Lacol Agency Representative Name (Print) 20.Local Agency Representative Signature 2t. Date 13. Pmparer's Title /No. 14. Dat '15. (Area Code) Tel . 22. Local Agency Representative Title 23. (Area Cade) Tel. No Distribution: (1) Original - Consultant submits to local agency with proposal (2) Copy -Local Agency files LPP 13 -01 25L -90 Page 1 of 2 May 8, 2013 Local Assistance Procedures Manual EXHIBIT 10 -01 Consultant Proposal DBE Commitment INSTRUCTIONS - CONSULTANT PROPOSAL DBE COMMITMENT Consultant Section The Consultant shall. 1. Local Agency Name —Enter the name of the local or regional agency that is funding the contract. 2. Project Location - Enter the project location as it appears on the project advertisement. 3. Project Description - Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc.). 4. Consultant Name- Enter the consultant's firm name. 5. Contract DBE Goal %- Enter the contract DBE goal percentage, as it was reported on the Exhibit 10 -1 Notice to Proposers DBE Igformation form. See LAPM Chapter 10. 6. Description of Services to be Provided - Enter item of work description of services to be provided. Indicate all work to be performed by DBEs including work performed by the prime consultant's own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms. 7. DBE Firm Contact Information - Enter the name and telephone number of all DBE subcontracted consultants. Also, enter the prime consultant's name and telephone number, if die prime is a DBE. 8. DBE Cert. Number- Enter the DBEs Certification Identification Number. All DBEs must be certified on the dale bids are opened. (DBE subcontracted consultants should notify the prime consultant in writing with the date of the decertification if their status should change during the course of the contract.) 9. DBE %- Percent participation of work to be performed or service provided by a DBE. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full /partial participation. 10. Total % Claimed —Enter die total DBE participation claimed. If the Total %Claimed is less than item "6. Contract DBE Goal ", an adequately documented Good Faith Effort (GTE) is required (see Exhibit 15 -11 DBE Information - Good Faith Efforts of the LAPM). 11. Preparers Signature — The person completing this section of the form for the consultant's firm must sign their name. 12. Preparer's Name (Print) — Clearly enter the name of the person signing this section of the form for the consultant. 13. Preparer's Title - Enter the position/title of the person signing this section of the form for the consultant. 14. Date - Enter the date this section of the form is signed by the preparer. 15. (Area Code) Tel. No. - Enter the area code and telephone number of the person signing this section of the form for the consultant. Local Agency Section: The Local Agency representative shall: 16. Local Agency Contract Number- Enter the Local Agency ContractNumber. 17. Federal -Aid Project Number- Enter the Federal -Aid Project Number. 18. Contract Execution Date - Enter date the contract was executed and Notice to Proceed issued. See LAPM Chapter 10, page 23. 19. Local Agency Representative Name (Print) - Clearly enter the name of the person completing this section. 20. Local Agency Representative Signature - The person completing this section of the form for the Local Agency must sign their name to certify that the information in this and the Consultant Section of this form is complete and accurate. 21. Date - Enter the date the Local Agency Representative signs the form. 22. Local Agency Representative Title - Enter the position /title of the person signing this section of the form. 23. (Area Code) Tel. No. - Enter the area code and telephone number of the Local Agency representative signing this section of the form. LPP 13 -01 25L -91 Page 2 of 2 May 8, 2013 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of DLA -OB 13 -07- Safe Harbor Indirect Cost Rate for Consultant Contracts found at http: / /www.clot.ca. goy1 hq1 Loea1Programs /DLA_OBIDLA_OB.htm in lieu of this form.) Certification of Final Indirect Costs: / p Consultant Firm Name: D `o -'� � /� o ko V l L G -Ce Indirect Cost Rate: D * for fiscal period _ CA-i� (mm /dd/yyyy to mm/dd /yyyy) `l7gA`� ASS b,llbti� r-Cu4Zi /f v�. 4r aQ' 5'c PJiec01as2 c(Uo — Se ou iPe �ca ~� alesser� *Fiscal period covered for Indirect Cos4Rate developed jnot the contract period). c�)�r- �,^��, j „ a l,C C„^tyM1, -u &04 Local Government: S OJVIAA ,444 k Pin -i tl C.. U)0-arL r; A clrktttJ Contract Number: Project Number: iZ P tio, I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFA, Part 31. All ]mown material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: e G. -d'2. ca-(b PN` tzV-cS��c,VkU -e! 45 ©d'" ev�y�ltf"- t'd•.�' 1, the undersigned, certify that the approximate dollar amount of al (A& c ntracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar Cars for all State DOT and Local Agencies is $ -�-si- and the number of states in which the firm does business is f Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: LPP 15 -01 25L -92 Page 1 o£2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAA1P) and standards promulgated by the Cost Accounting Standards Board (when applicable), @'�- 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all Subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): $ $ Consultant Certifying (Print Name and Title): Name:_ �kC4t? (eLNP N\ cq,iw,e,ujc Title: Consultant Certification Signature * *: Date of Certification (mm/dd /yyyy): Consultant Contact Information: Email: NNK CL&\CLCI Phone number: b /a6 /,x)(5, 6\aVck((Le, C-01A 00 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultants must coniply with the FAR Cost Principles contained in 48 CFR, Part 31. 23 CFR Part 172.3 Definitions stare: Consultant means the individual or firm providing engineering and design related services as a party to the contract Therefore, suhconsultants as parties ofa contract nmst complete a certification and send originals to A &1 and keep copies in Local Agency Project Files. Distribution: 1) Original to Caltra s Audits and Investigations 2) Retained in Local Agency Project Files UP 15.01 25L -93 Page 2 of 2 January 14, 2015 Local Assistance Procedures Manual EXHBIT 10 -1 Notice to Proposers DBE Information EXHIBIT 10 -I NOTICE TO PROPOSERS DBE INFORMATION The Agency has established a DBE goal for this Contract of OR The Agency has not established a goal for this Contract. However, proposers are encouraged to obtain DBE participation for this contract. 1. TERMS AS USED IN THIS DOCUMENT • The term "Disadvantaged Business Enterprise" or "DBE" means a for - profit small business concern owned and controlled by a socially and economically disadvantaged person(s) as defined in Title 49, Code of Federal Regulations (CFR), Part 26.5. • The term "Agreement" also means "Contract." • Agency also means the local entity entering into this contract with the Contractor or Consultant. • The term "Small Business" or "SB" is as defined in 49 CFR 26.65. 2, AUTHORITY AND RESPONSIBILITY A. DBEs and other small businesses are strongly encouraged to participate in the performance of Contracts financed in whole or in part with federal funds (See 49 CFR 26, "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs "). The Consultant must ensure that DBEs and other small businesses have the opportunity to participate in the performance of the work that is the subject of this solicitation and should take all necessary and reasonable steps for this assurance. The proposer must not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts. B. Proposers are encouraged to use services offered by financial institutions owned and controlled by DBEs. 3. SUBMISSION OF DBE INFORMATION If there is a DBE goal on the contract, Exhibit 10 -01 Consultant Proposal DBE Commitment must be included in the Request for Proposal. In order for a proposer to be considered responsible and responsive, the proposer must make good faith efforts to meet the goal established for the contract. If the goal is not met, the proposer must document adequate good faith efforts. All DBE participation will be counted towards the contract goal; therefore, all DBE participation shall be collected and reported. Exhibit 10 -02 Consultant Contract DBEInformation must be included with the Request for Proposal. Even if no DBE participation will be reported, the successful proposer must execute and return the form. 4. DBE PARTICIPATION GENERAL INFORMATION It is the proposer's responsibility to be fully informed regarding the requirements of 49 CFR, Part 26, and the Department's DBE program developed pursuant to the regulations. Particular attention is directed to the following; A. A DBE must be a small business firm defined pursuant to 13 CFR 121 and be certified through the California Unified Certification Program (CUCP). LPP 13 -01 25L -94 Page 1 of s May 8, 2013 Local Assistance Procedures Manual E%HBIT 10 -1 Notice to Proposers DBE Information B. A certified DBE may participate as a prime consultant, subconsultant, joint venture partner, as a vendor of material or supplies, or as a trucking company. C. A DBE proposer not proposing as ajoint venture with a non -DBE, will be required to document one or a combination of the following: 1. The proposer is a DBE and will meet the goal by performing work with its own forces. 2. The proposer will meet the goal through work performed by DBE subconsultants, suppliers or trucking companies. 3. The proposer, prior to proposing, made adequate good faith efforts to meet the goal. D. A DBEjoint venture partner must be responsible for specific contract items of work or clearly defined portions thereof. Responsibility means actually performing, managing, and supervising the work with its own forces. The DBE joint venture partner must share in the capital contribution, control, management, risks and profits of the joint venture commensurate with its ownership interest. E. A DBE must perform a commercially useful function pursuant to 49 CFR 26.55, that is, a DBE firm must be responsible for the execution of a distinct element of the work and most carry out its responsibility by actually performing, managing and supervising the work. F. The proposer shall list only one subconsultant for each portion of work as defined in their proposal and all DBE subconsultants should be listed in the bid /cost proposal list of subconsultants. G. A prime consultant who is a certified DBE is eligible to claim all of the work in the Contract toward the DBE participation except that portion of the work to be performed by non -DBE subconsultants. 5. RESOURCES A. The CUCP database includes the certified DBEs from all certifying agencies participating in the CUCP. If you believe a firm is certified that cannot be located on the database, please contact the Caltrans Office of Certification toll free number 1 -866- 810 -6346 for assistance. B. Access the CUCP database from the Department of Transportation, Office of Business and Economic Opportunity Web site at: http: / /www.dot.ca.gov /hq /bep /. 1. Click on the link in the left menu titled Disadvantayed Business Enterprise; 2. Click on Search for a DBE Firm link; 3. Click on Access to the DBE Query Form located on the first line in the center of the page. Searches can be performed by one or more criteria. Follow instructions on the screen. 6. MATERIALS OR SUPPLIES PURCHASED FROM DBES COUNT TOWARDS THE DBE GOAL UNDER THE FOLLOWING CONDITIONS: A. If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the materials or supplies. A DBE manufacturer is a firm that operates or maintains a factory, or establishment that produces on the premises the materials, supplies, articles, or equipment required under the Contract and of the general character described by the specifications. B. If the materials or supplies purchased from a DBE regular dealer, count 60 percent of the cost of the materials or supplies. A DBE regular dealer is a firm that owns, operates or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the Contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To be a DBE regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the LPP 13 -01 25L -95 Page 2 of 3 May 8, 2013 Local Assistance Procedures Manual EXHBIT 10 -I Notice to Pronosers DBE Information purchase and sale or lease of the products in question. A person may be a DBE regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone or asphalt without owning, operating or maintaining a place of business provided in this section. C. If the person both owns and operates distribution equipment forthe products, any supplementing of regular dealers' own distribution equipment shall be, by a long -term lease agreement and not an ad hoc or Agreement -by- Agreement basis. Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite transactions are not DBE regular dealers within the meaning of this section. D. Materials or supplies purchased from a DBE, which is neither a manufacturer nor a regular dealer, will be limited to the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on the job site, provided the fees are reasonable and not excessive as compared with fees charged for similar services. LPP 13 -01 25L -96 Page 3 of 3 May 8, 2013 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 5th day of August, 2015 by and between Hjelmstrom and Associates, a sole ownership entity, (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of Furniture, Fixtures and Equipment Appraisal Services. 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 those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $200,000 during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on August 5, 2018, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. 1�Ii(II5T E, 25L -97 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. 25L -98 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. 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. 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. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 25L -99 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. 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 in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. 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: 25L -100 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: To Consultant: Fred Mousavipour, Executive. Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -5654 Hjelmstrom & Associates Steve Hjelmstrom, CEO 25072 Wilkes Place Laguna Hills, CA 92653 hi ehnassoc(a)aol.com 949 - 855 -9665 (Office) Jose Sandoval Assistant City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714 - 647 -6515 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. 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 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. 25L -101 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 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. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 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. 25L -102 19. MISCELLANEOUS PROVISIONS a. Additional provisions, if any are identified as Additional Provisions, Exhibit D, attached heretic and incorporated into this Agreement by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City Ailly, 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; Maria D. Hu zar Clerk of tire, Council APPROVED AS TO FORM: SONIA R. CARVALHO City Alt 'y By 'f Jo andoval Asst ant City Attorney RECOMMENDED FOR APPROVAL: Fred Mousavipour Executive Director` Public Works Agency CITY OIL" SANTA: ANA David Cavazos City Manager CONSULTANT, %ijeltnstrom & Associates Steve Hjelmstrom, Co -Owner Tax ID #33- 0724529 25L -103 EXHIBIT A SCOPE OF SERVICES 25L -104 On-Call Right Of Way Specialty Services City Of ,Santa Ana SUBMITTED TO: City of Santa Ana Public Works Agency Attn: Kenny Nguyen 20 Civic Center Plaza; 3rd Floor Reception, Ross Annex Santa Ana, CA 92701 SUBMITTED BY: F 1JE NfSTRON1 & ASSOCL CES 25072 Wilkes Place Laguna Hills, CA 92653 949.$55,9665 . H'elmAss c aol.com c= y 4, 25L -105 (teal Ysoparty and E quipment Valuation Consulting and Appraisal Services June 5, 2015 Mr. Kenny Nguyen City of Santa Ana Public Works Agency 20 Civic Center Plaza; 3rd Floor Reception, Ross Annex Santa Ana; CA 92701 RE. RFP No. 15- 044 - Appraisal Services for Furniture, Fixtures, and Equipment Clear Mr. Nguyen: Hjeimstrom & Associates is pleased to submit the proposal for the Furniture, Fixtures, and Equipment appraisal services requested in RFP No, 15 -044. 1- jelmstrom & Associates is -a small, family -run, business, and has been performing appraisals as certified appraisers for over 40 years. We have in -house specialists with Machinery & Technical Specialties (MT$) accreditations from the American Society of Appraisers (ASA). Our FFE appraisers are qualified In federal and county courts as of expert witness. Details are provided in the "Firm and Team Experience" section of this proposal, We have completed over a hundred projects for the State, County of Los Angeles, City of Santa Ana, and numerous other municipalities and agencies in Southern California within the last-five (5) years. We believe we are well qualified to perform the services requested, The attached proposal addresses all the requested Information- The appraiser that will be in charge of all projects with your City wilt be Steve Hjelmstrom, MTS Senior Member in the American Society of Appraisers (ASA). Mr. Hjelmstrom is also ASA accredited in Appraisal Review and Management (ARM) and is qualified to perform appraisal reviews. We welcome the opportunity to work with you on future projects. Respectfully submitted, Steve Hielmstrom, NITS -ASA Sr. Member Co- Partner and Chief Executive officer Hjelmstrom &Associates 25072 Wilkes Place, Laguna Hills, GA 92653 Phone: 999 -855 -9665 www,HjelmAssoc.com Email; HjelmAssoc @aol,com 25L -106 City of Santa Ana RFP No. 15 -044 Submitted: June 5, 2015 STEVEN M.HJELMSTROM Accredited Machinery & Technical Specialties Appraiser, ASA MTS Accredited Review Appraiser, ASA ARM -MTS I- IJELMSTROM & ASSOCIATES 25L -107 . ,. of Santa Ana RFP No. 15 -044 Submitted: June 5, 2015 • San Diego Regional Airport Authority, 2014. Contact: Luke Hemmingson - 619.400.2851 Completed FFE appraisals for HVAC equipment owned by a commercial airline that was to be sold to the SDRAA. The HVAC equipment was located on several jetways at the San Diego Airport. Appraised a salt mining company located on the San Diego harbor that was to be sold by the SDRAA to the County of San Diego. • Our company has provided many small HE projects for other agencies and cities such as the City of Garden Grove, Los Angeles Tax assessor's office for Ad Valorem assessment of a large spa manufacturing company, Long Beach Port Authority for the Vincent Thomas bridge retrofit, and the City of San Diego for acquisition purposes to develop all of the downtown parks. As a note, Hjelmstrom & Associates provided all of the FFE appraisals for all of the businesses that were relocated for the development of PETCO Stadium. Fees All projects are bid based on quantity of sites and size of the individual sites to be appraised. 1. Project bids will be a fixed fee, inclusive of all costs. 2. Deposition and trial testimony $350.00 / hour 3. Consulting work performed outside of appraisal $90.00 / hour Scope of Services & Schedule The services provided by Hjelmstrom & Associates budgetary estimates of company FF &E as well as a full narrative FFE appraisal report reflecting values as requested in the individual task orders from the City. The deliverables provided by our company is an appraisal of movable and non - movable assets located within a specified company. The appraisal will reflect the Replacement Cost New, Fair Market Value -In Place, and Salvage /Forced Liquidation values for non - moveable assets. These assets will be separated by ownership, fee owner or tenant. The movable assets will as a minimum contain the Fair Market Value -In Place and the Salvage /Forced Liquidation. These values sometimes will not have Replacement Costs, for many times, the Sales Comparison Approach is often used as the basis, and reflects the desirability, demand, functional and physical depreciation factors. These reports will be delivered as specified by the City's project task order. HJELMSTROM & ASSOCIATES 25L -108 Page 9 of Santa Ana RFP No. 15 -044 Work Phases Submitted: June 5, 2015 Hjelmstrom & Associates has the capacity to provide service for up to five (5) medium- size (i.e. Denny's restaurant) projects at a time within a 30 to 40 day period. We have performed to that level with High Speed Rail Authority. 1. Arrange Notice to Appraise contact 2. Arrange for inspection dates with owners and /or tenants This step is often at the direction of the owner /tenants of the assets to be appraised. This step is often hard to schedule due to the dependence on all parties to be available at the same time. Our company will stay in contact with the city regarding status of this phase. 3. Perform physical inspection [ ---- ] 1 to 2 days 4. Produce draft Improvements to the Realty (IPR) asset list without values, submit to real property appraiser to eliminate duplication [ ---- ] 1 to 2 days 5. Research cost data for improvements and movable items [--- ---------------- ] estimate 2 weeks 6. Analyze depreciation factors and finalize pricing ] estimate 1 week 7. Produce final drafts and submit to City for review [ ---------- ] estimate 1 week 8. Follow up with City and address any outstanding issues; finalize report. Fee Proposal Enclosed in separate envelope per RFP instructions. NOTE. The forms provided do not appear to encompass our service at fixed fee. A best effort to use a form was done in order to comply with mandatory requirement to have attached. HJELMSTROM & ASSOCIATES 25L -109 Page 10 EXHIBIT B FEE PROPOSAL 25L -110 Local Assistance Procedures Manual EXHIBIT 10 -H COST PROPOSAL (FFE APPRAISAL SERVICE) EX IMII 10 -H Consultant _ 1jelmstrom & Associates Contract No. -15 -044 Date June 2015_ 1, Calculate Average Hourly Rate for 1st year of the contract (Direct Labor Subtotal divided by total hours) Direct Labor Total Hours per Avg 5 Year Subtotal per Cost Cost Proposal Hourly Contract Proposal Rate Duration $200000 2500 $80,00 Year 1 Avg Hourly Rate 2. Calculate hourly rate for all years (Increase the Average Hourly Rate for a your by proposed escalation %) Avg Hourly Rate Proposed Escalation Year 1 $80.00 + 2% — $81.60 Year 2 Avg Hourly Rate Year 2 $81.60 + 2% _ $83.23 Year 3 Avg Hourly Rate Year 3 $83.23 + 2% _ $84.90 Year 4 Avg Hourly Rate Year 4 $84.90 + 2% — $86.60 Year 5 Avg Hourly Rate 3. Calculate estimated hours per year (Multiply estimate % each year by total hours) Estimated % Completed Total Hours per Cost Total Hours per Each Year Proposal Year Year 1 20.0% * 2500 = 500 Estimated Hours Year 1 Year 2 40.0% * 2500 = 1000 Estimated Hours Year 2 Year 3 15.0% * 2500 = 375 Estimated. Hours Year 3 Year 4 15.0% * 2500 = 375 Estimated Hours Year 4 Year 5 10.0% * 2500 = 250 Estimated Hours Year 5 Total 100% Total — 2500 4. Calculate Total Costs including Escalation (Multiply Average Hourly Rate by the number of hours) Avg Hourly Rate Estimated boars Cast per (calculated above) (calculated above) Year Year 1 $80.00 * 500 = $40,000.00 Estimated Hours Year I Year 2 $81.60 * 1000 = $81,600.00 Estimated Hours Year 2 Year 3 $83.23 TM 375 = $31,211,00 Estimated FIours Year 3 Year 4 $84.90 * 375 — $31,838.00 Estimated Hours Year 4 Year 5 $86.60 * 250 $21,650,00 Estimated Hours Year 5 Total Direct Labor Cost with Escalation = $206,299.00 Direct Labor Subtotal before Escalation — $200,000.00 Estimated total of Direct Labor Salary = Transfer to Page 1 Increase $6,299.00 Steve Iijelmstrom Hjelmstrom & Associates UP 15 -01 25L -111 Page 2 of $ January 14,2015 EXHIBIT C CERTIFICATIONS 25L -112 APPENDIX ATTACHMENT 3-1: NON-COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON-CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15-044 NON-COI L!ISIQN AFFIDAVIT (Tifle 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, curispired, 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 mariner, 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 effiectuate 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 auninal prosecution, Signed State of California County of _0g&LGC- Notary Public Seal M 25L -113 ATTACHMENT 3-2: WON-LORBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAX SPECIALTY SERVICE REP NO.t 15 -044 The prospective participant certifies, by signingand 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 ofthe 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 low), 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 shat l 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, V, S. Code. Any person who faits 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 tanguage of this certification be me] oiled in all lower tier subcontracts, which exceed $100,000and that all such sub recipients shall certify and disclose accordingly. Firm I—i TCL M 1 126 m Signed and Printed Name: 3L !'Td I*✓rA Date j Ulf }r 1 City of Santa Ana RFP 1$-044 Page 29 25L -114 APPENIVIX ATTACHWNT 3-3: NON-DISCRIMINATION CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON•CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15-044 The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: I , The Consultant shall not discriminate against any ernployce or applicant for employment because of race, color, religion, sex, or national origin. The Consultrant 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 origul. 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 ofthe notice in conspicuous places available to employ= and applicants for employment. 4� The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1 %5, and of the rules, regulations, and relevant orders ofthe Secretary of Labor, 1 The Consultant shall furnish all information and reports required by Fxecutive Order 11245 of September 24, 1965, and by rules, regulations, and orders of the Secretary ofLabor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purpcises, 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 ]a-,N;. 7. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of City of Santa Ana RFP 15-044 Page 30 25L -115 September 24, 1965, so that such provisions will be binding upon each or purchase order as the administering agency may direct as ataerms of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United states. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats.1939. and as amended„ No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating this Section is subject, to all the penalties imposed for a . iolation of the Chapter, Signed:rt Title: L fed Firm: Ga57 !l}x a Date: —TV VVrz_ City of Santa Ana RFP 15 »044 Page 31 25L -116 EXHIBIT D ADDITIONAL PROVISIONS 25L -117 Local Assistance Procedures NlanuaI EXUBiT 104 Notice to Proposers DRE Information ExMBIT 10 -I NoncE To PRoposcits DBE INFORMATtov The Agency has established a DBE goal for this Contract of ® 1-1.0 la OR The Agency has not established a goal far this Contract. However, proposers are encouraged to obtain DBE participation for this contract. L TERMS ASUSEDIN THIS DOCUMENT • The term " Disadvantaged Business Enterprise" or "DBE" means a for - profit small business concern owned and controlled by a socially and economically disadvantaged person(s) as defined in Title 49, Code of Federal Regulations (CFR), Part 26,5. • The term "Agreement" also means "Contract." • Agency also means the local entity entering into this contract with the Contractor or Consultant. • The term "Small Business" or "SB" is as defined in 49 CPR 26.66, 1 AUTHORITY RESPONSIBILITY A. DBEs and other small businesses are strongly encouraged to participate in the performance of Contracts financed in whole or in part with£ederal funds (See 49 CI R 36; `;Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs "). The Consultant must ensure that DBEs and other small businesses have the opportunity to participate in the performance ofthe work that is the subject of this solicitation and should take all necessary and reasonable steps for this assurance. The proposermust not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts. B. Proposers are encouraged to use services offered by Financial institutions owned and controlled by DBEs. 1 SUBMISSION" OF DBE INFORMATION IF there is a DBE goal on tine contract, Exhibit 14 -01 Consultant Proposal DBE Commitment must be included in the Request for Proposal. In order for a proposer to be considered responsible and responsive, the proposer must make goad faith efforts to meet the goal established for the contract. If the goal is not met, the proposer must document adequate good faith efforts. All DBE participation will be counted towards the contract goal; therefore, all DBE participation shall be collected and reported Exhibit 10 -02 Consultant Contract DBE Infonnation must be included with the Request for Proposal. Even if no DBE participation will be reported, the successful proposer must execute and return the farm. 4, DBE PARTICIPATION GENERAL INFORMATION it is rile proposer's responsibility to be fully informed regarding the requirements of 49 CFA. Part 26„ and the Department's DBE program developed pursuant to die regulations. Particular attention is directed to the following: A. A DBE must be a small business firm defined pursuant to 13 CPR t21 and be certified through the California Unified Certification Program (CUCP). Page I of GPP 13 -01 May S, 2013 25L -118 Local Assistance Procedures Manual Notice to Proposers DBE fL A certified DBE may participate as a prime consultant, 6ubconsultaint, joint venture parmer, as a vendor of material or supplies, arici a trucking company, C. A DBE proposer not proposing as ajoint venture with a nort-DW, will be required to document one or a combination ofthe following: 1. The proposer is a DBE and will meet the goal by performing work with its own forces, 1 The proposer will meet the goal through work performed by DBE subconsultants, suppliers or trucking companies. 3. The proposer, prior to proposing, made adequate good faith efforts to meet the _Pool. D. A DBE joint venture partner must be responsible for specific contract items orwork or clearly defined portions thereof Responsibility means actually performing, managing, and supervising the work with its own forces. The DBE joint venture partner most share in the capital contribution, control, management, risks and profits of the joint venture commensurate with its ownership interest. E. A DBE must perform a commercially useful function pursuant to 49 CM26.5$, that is, aDfrEfirm must be responsible for the execution of a distinct element of the work and must carry out its responsibility by actual ly performing, managing and supervising the work. F, The proposer shall list only one subconsultant for each portion of work as defined in their proposal and all DBE subconsiduans should be listed in the bidicost proposal fist of subconsultarits, G. A prime consultant who is a certified DBE is eligible to claim all of the work In the Contract toward the DBE participation except that portion of the work to be performed by non -DBE subconsultartm S. RESOURCES A. The CIJCP database includes the certified DBEs front all certifying agencies participating in the CUCP. If you believe a firm is certified that cannot be located on the database, please contact the Caroms Of of Certification toll free number 1 =866-810-6346 for assistance. B. Access the CUCP database front the Department ra"fransportation, Office of Business and Economic Opportunity Web site at: littpatw\vw,dot.ca.gov/liq/bep/. 1. Click on the link in the left mean titled PLadvantaged Business Enterpriset 2. Click on Search for a DBE Finn link; 3. Click on Access to the DBE Query Form located on the first line 4ithe center orthe page, Searches can be performed by one or more criteria. Follow instructions on the sereen, 6. MATCRIALS OR St PI'Mrs PURCHASED FROM DUES COUNTTONVARDSTHE DBE GOAL UNDER THL FOLLOW14NG CONDITIONS: A. If the materials or supplies are obtained front a DIUB manufacturer, count 100 percent Or the Cost of the materials or supplies. A DBE manufacturer is a firm that operates or maintains a factory, or establishment that produces on the premises the materials, supplies, articles, or equipment required under the Contract and of the general character described by the specifications. B, If the materials or supplies purchased front a DBE regular dealer, count 60 percent of the cost of the materials or supplies, A, DUE regular dealer is a firm that owns, operates or maintains a store, warehouse. or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the Contract ate bought, kept in stock, and regularly sold Or leased to the public in the usual course of business, To be a DBE regular dealer, the firm must be an established, regular business dial engages, as its principal business and Laider its own name. in the Page 2 of 3 LPP 1341 May S. 2013 25L -119 Local Assistance Procedures Manual EXIIB.IT 10 -I Notice to Proposers DBE Information purchase and sale or lease of the products in question. A person may be a DBE regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone or asphalt without owning, operating or maintaining a place of business provided in this section. C. If the person both owns and operates distribution equipment for the products, any supplementing of regular dealers' own distribution equipment shall be, by a long -term lease agreement and not an ad hoc or Agreement -by- Agreement basis. Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite transactions are not DBE regular dealers within the meaning of this section. D. Materials or supplies purchased from a DBE, which is neither a manufacturer nor a regular dealer, will be limited to the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on the job site, provided the fees are reasonable and not excessive as compared with fees charged for similar services. LPP 13 -01 25L -120 Page 3 of 3 May 8, 2013 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -I{ CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -OB I3 -07- Safe Harbor Indirect Cost Ratefor Consultant Contractsfound at http✓ Avww. dotca. gov/hq/LocalPrograms/DLA_OBIDL,4 OB.him in lieu ofthisform,) Certification of Final Indirect Costs: Consultant Firm Name: 1±:jr LW)$'j'PpM SSpGi Indirect Cost Rate: /)L Q r6t * for fiscal period 20)54 W (rrnn/dd/yyyy to mm /dd/yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: 5-A-yN TA r 4 A (2, A Contract Number: Is'— 0 q °1 Project Number: 1, the undersigned, certify. that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does -not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: 1, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ 5®, Ott and the number of states in which the firm does business is } Certification of Direct Costs: 1, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: LPP 15 -01 25L -121 Page 1 of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CPR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $� Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): WOPAW&ACuM Consultant Certifying (Print Name and Title): Name: 57)5vf5 qv F- (- M '9 -rpin" Title: Consultant Certification Signature Date of Certification (mm/dd /yyyy): 0& %glzo /s Consultant Contact Information: Email: 143 - LW ASSat' 0 601., Gal" Phone number: q 9 �_ 0S S__ q66 J * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, ore quivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CI'R, Part 31. 23 CFR Part 1723 Definitions state: Consultant means the individual or firm providing engineering and design related services as a party to the contract: Therefore, sabconsultanis as parties ofa contract must complete a certification and send originals to A&I and keep copies In Local Agency Profect Files. Distribution: t) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files LPP 15 -01 25L -122 Page 2 of 2 January 1.4, 2015 Local Assistance Procedures Manual EXHIBIT 10 -01 Consultant Proposal DBE Commitment EXHIBIT ].0 -01 CONSULTANT PROPOSAL DBE COMMITMENT (Inclusive of all DBEs listed at bid proposal. Refer to instructions on the reverse side of this form) Consultant to this Section ' gCoomplete 1. Local Agency Name: ��n7A 1'"/p��JA CA I y —� 6A 2.Project Location: J YT V\ 1' f%} 1 n L L (-(Jt�/41.i1 J r�,,''Vt nnCd 3. Project Description: 1C. L-Vf' 0 W t(# N 17 C. -�V4S 1%� ` `�70151Z W PP6A I yy1 a. ConsultantNama: �fe LV AG U w 1 1-1,014 S. Contract DBE Goal %: DBE Commitment Information 6. Description of Services to be Provided 7. DBE Firm Contact Information a. DBE Cent. Number 9. DBE % DT Su G Local Agency. to Complete: this section 10. Total V. Claimed 16. Local Agency Contract Number: 17. Federal -aid Project Number: 18. Proposed Contract Execution Date: Local Agency certifies that all DBE certifications are valid and the information on this form is complete and accurate: _ 11. Preparer's Signature 12. Preparer's Name (Print) 19. Local Agency Representative Name (Print) 20. Local Agency Representative Signature 21. Date 22. Local Agency Representative Title 23. (Area Code) Tel. No. 13. Preparer's Title 14. Date 15. (Area Code) Tel. No, Distribution: (l) Original — Consultant submits to Local agency with proposal (2) Copy — Local Agency files LPP 13 -01 25L -123 Page 1 of 2 May 8, 2013 Local Assistance Procedures Manual EXHIBIT 10 -H EXHIBIT 10 -II COST PROPOSAL (FFE APPRAISAL SERVICE) Consultatit Hjelmstrom & Associates Contract No._15 -044 Date June 2015_ 1. Calculate Average hourly Rate for 1st year of the contract (Direct Labor Subtotal divided by total hours) Direct Labor Total Hours per Avg 5 Year Subtotal per Cost Cost Proposal Hourly Contract Proposal Year 2 Avg Hourly Rate Rate Duration $200000 2500 $80.00 Year 1 Avg $83.23 + 2% _ $84.90 Hourly Rate 2. Calculate hourly rate for all years (increase the Average Hourly Rate for a year by proposed escalation %) T�� Steve Hjelrnstrom Hjelmstrom & Associates LPP I5 -01 25L -124 Page 2 of 5 January 14,2015 Avg Howdy Rate Proposed Escalation Year 1 $80.00 + 2% _ $81.60 Year 2 Avg Hourly Rate Year 2 $81.60 + 2 °/u = $83.23 Year 3 Avg Hourly hate Year 3 $83.23 + 2% _ $84.90 Year 4 Avg Hourly Rate Year 4 $84.90 + 2% _ $86.60 Year 5 Avg Hourly Rate 3. Calculate estimated hours per year (Multiply estimate % each year by total hours) Estimated % Completed Total Hours per Cost Total Hours per Each Year Proposal Year Year 1 20.0% * 2500 — S00 Estimated. Hours Year I Year 2 40.0% * 2500 1000 Estimated Hours Year 2 Year 3 15.0% * 2500 — 375 Estimated Hours Year 3 Year 4 15.0% * 2500 = 375 Estimated flours Year 4 Year 5 10.0% * 2500 = ?50 Estimated Hours Year 5 Total 100% Total = 2500 4. Calculate Total Costs Including Escalation (Multiply Average Hourly Rate by the number of hours) Avg Hourly Rate Estimated hours Cost per (calculated above) (calculated above) Year Year 1 $80.00 * 500 — $40,000.00 Estimated Hours Year I Year $81.60 * 1000 = $81,600.00 Estimated Hours Year 2 Year 3 $83,23 375 = $31,211.00 Estimated Hours Year 3 Your 4 $84.90 * 375 = $31,838.00 Estimated Hours Year 4 Year 5 $86.60 * 250 $21,650.00 Estimated Hours Year 5 Total Direct Labor Cost with Escalation = $206,299.00 Direct Labor Subtotal before Escalation = $200,000.00 Estimated total of Direct Labor Salary = Trausferto Page 1 Increase $6,299.00 T�� Steve Hjelrnstrom Hjelmstrom & Associates LPP I5 -01 25L -124 Page 2 of 5 January 14,2015 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 5a` day of August, 2015 by and between Donna Desmond and Associates, a sole ownership entity, (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of Business Goodwill Appraisal Services. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Consultant shall perform those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $200,000 during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on August 5, 2018, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. Exhibit 5 25L -125 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. 25L -126 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. C. 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 (3 0) days prior written notice to the City. (iv) Consultant shall supply City with a fully executed additional insured endorsement. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to 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. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 25L -127 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. 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 in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. 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: 25L -128 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: To Consultant: Fred Mousavipour, Executive. Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -5654 Donna Desmond & Associates Donna Desmond, President 265 S. Beverly Glen Boulevard Los Angeles, CA 90024 ddesmondgdonnadesmond.com\ 310 - 475 -1114 (Office) Jose Sandoval Assistant City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714 - 647 -6515 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. 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 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. 25L -129 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 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. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 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. 25L -130 19. MISCELLANEOUS PROVISIONS a, Additional provisions, if any are identified as Additional Provisions, Exhibit D, attached hereto and incorporated into this Agreement by reference, b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shalt 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, ATTESTa Maria D. Huizar Clerk of the Council APPROVED AS,rO FORK SOMA R, CARVALRO City Attorney By. -) it v v I s d i� o 4 Assis, nt City Attorricy RECOMMENDED FOR APPROVAL frcd Mousavipour Executive Director Public Works Agency CITY OF SANTA ANA David Cavazos City Manager. CONSULTANTn Donna Desmond & Associates Donna Desmond, President Tax JI) 495-4699391 25L -131 EXHIBIT A SCOPE OF SERVICES 25L -132 ZIOMI RFP No.: 15 -044 (A3) Business Goodwill Appraisal Services Prepared for the City of Santa Ana Date of Response June 8, 203.5 Prepared by: Donna Desmond Associates 265 South Beverly Glen Boulevard Los Angeles, CA 90024 (310) 475 -1114 25L -133 " Donna Desmond A S S® C I A T E S 265 S. Beverly Glen Blvd„ Los Angeles, CA 90024 (310) 475 -1114 • ddesinond @donnadesmond.com June 8, 2015 City of Santa Ana Attn. Mr. Kenny Nguyen Public Works Agency 20 Civic Center Plaza; 3rd Floor Reception, Ross Annex Santa Ana, CA 92701 Re: Response to RFP No. 15.044 for On -Call Right of Way Specialty Services - City of Santa Ana Public Works Agency Business Goodwill Appraisal Services To Whom It May Concern: Submitted herein is Donna Desmond Associates' ( "DDA "), a California corporation, response to the City of Santa Ana's request for proposal for on —call right of way specialty services. DDA is responding specifically to provide (A3) Business Goodwill Appraisal Services. DDA is located at 265 S. Beverly Glen Boulevard, in Los Angeles. The contact person for this response is: Donna Desmond, ASA Donna Desmond Associates 265 S. Beverly Glen Boulevard Los Angeles, CA 90024 Tel. (310) 475 -1114 ddesmond@donnadesmond.com The corporation's Federal Taxpayer ID Number is 95- 4699391. Donna Desmond, ASA is the firm's President and Secretary. There are no other corporate officers. DDA is a business valuation appraisal firm that specializes in preparing goodwill loss studies. The firm has been providing transportation agencies, cities and redevelopment agencies throughout the State of California with goodwill loss appraisal services since 1997. Thank you for the opportunity to submit this response to the Request for Proposal. It is our hope to provide business and goodwill loss appraisal services to the City of Santa Ana in the future. 1of8 Response to the City of Santa Ana's RFP for On -Call Right of Way Speclalty Services 25L -134 Mr. Kenny Nguyen June 8, 2015 Respectfully submitted, DONNA DESMOND ASSOCIATES 4 1-//-- Donna Desmond, ASA Enclosures 2of8 Response to the City of Santa Ana's RFP for On -Call Right of Way Specialty Services Ew 25L -135 experienced staff members are not performing appraisal tasks or billing hours for bringing the responsible appraiser up to speed. Ms. Desmond performs all site inspections, owner interviews and meetings with the client and their agents. Unnecessary additional staff members do not provide these services, avoiding duplicative billing. As a result, the appraisal process is streamlined, typically resulting in a more cost effective fee structure for appraisal services, quicker turnaround time and a high level of quality. Fees are included within the separate envelope labeled FEE PROPOSAL, SCOPE OF SERVICES & SCHEDULE In providing goodwill loss appraisal services, DDA proposes the following work process for each appraisal assignment: ❑ Meet with project team to gain an understanding of the project and potential impacts; ❑ Provide preliminary estimates of goodwill for budgetary purposes within two weeks of authorization to proceed; ❑ Inspect the business facility; ❑ Interview the business owner and management to determine history of operations and relocation needs; ❑ Review business' historical financial statements, tax returns and lease agreements; ❑ Review all parcel appraisal reports and coordinate with real estate and fixtures and equipment appraisers to avoid duplication of compensation; ❑ Coordinate with agency staff and legal counsel to discuss strategy and approach; ❑ Coordinate with relocation agents to determine relocation options, feasibility of relocation, mitigation issues and to avoid duplication of compensation; ❑ Perform market research to determine the business' marketability and external influences; ❑ Implement valuation methodology, including market based and income based approaches, to determine the business' goodwill value in the before condition; ❑ Inspect potential or actual relocation site(s); ❑ Review all relevant and available documentation from relocation sites, including leases, financial statements and unreimbursed capital expenditures; ❑ Implement valuation methodology to determine the loss of goodwill suffered by the business, including giving consideration to betterment, if any; ❑ Prepare a full or summary narrative appraisal report or declaration of value; and ❑ Provide support in negotiations and litigation (as needed). 7of8 Response to the City of Santa Ana's RFP for On -Call Right of Way Specialty Services 25L -136 All of the above tasks would be completed by Donna Desmond. Budgetary estimates of goodwill loss can be completed within one week of request. Appraisal reports can be completed within four to six weeks of receiving all applicable documentation from the business owners. Goodwill loss appraisals are often delayed by business owners' reluctance to provide financial documents, including income tax returns. DDA works closely with project staff and the relocation consultants to ensure business owners understand the necessity of providing such documentation. Further, DDA continues to engage the business owners in order to provide a level of comfort with the process. CERTIFICATIONS Attachment 3 -1: Non - Collusion Affidavit Attachment 3 -2: Non - Lobbying Certification Attachment 3 -3: Non - Discrimination Certification Sof8 Response to the City of Santa Ana's RFP for On -Call Right of Way Specialty Services ML 25L -137 EXHIBIT B FEE PROPOSAL 25L -138 Donna Desmond A S S D C I A T E S 265 S. Beverly Glen Blvd., Los Angeles, CA 90024 (310) 475,1114 » ddesmond @clonnadesmond.com Donna Desmond Associates' Fee Proposal COST & PRICING DATA Donna Desmond Associates bills for appraisal services based upon hourly rates. The 2015/2016 hourly rates are as follows: Appraisal Preparation $325.00 Litigation Support $325.00 Deposition and Court Testimony $425,00 The hourly rate will increase 2.5% per year during the duration of the contact. PRICING DETAIL Goodwill loss appraisal fees are based on the relative complexity of the assignment and litigation requirements. Goodwill loss appraisal fees for various types of businesses are as follows: Business Type /Complexity Budgetary Estimate of Goodwill Loss Small Sole Proprietorship (i.e. accountant, hair salon, liquor store) Retail Type Business (i,e. restaurant, gasoline station, 990 Store) Larger Industrial/Manufacturing Typical Appraisal Fee $2,500 $3,500 - $5,500 $4,500 — $6,500 $6,500 - $12,500 Actual appraisal fees could vary for individual appraisal assignments, depending on the facts surrounding the matter. No subconsultant costs would be incurred. PROPOSED REIMBURSABLES Domma Desmond Associates does not charge for any costs, with the exception of trial exhibits produced by an outside firm. However, these costs are typically paid for by legal counsel. 25L -139 EXHIBIT C CERTIFICATIONS 25L -140 -- APPENDIX ATTACHMENT 3 -1: NON - COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15 -044 N_ON- COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WOFXS 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 on- collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall als Knad ute signature of this Non - collusion Affidavit. BIDDERS are cautioned that making a false certification y ubj tth5LCe rtifiertocriminalprosecution. Signed State of California k County of Los Angeles Subscribed and sworn to (or affirmed) before me on this '' 22 day of- .,!' "`' , 20L2� by L, ijr t tv t y,.4 proved to me on the basis of satisfactory evidence to be the p®rson(s) who appeared before me. Notary-Pub is Signature City of Santa Ana RFP 16 -044 , Page 28 25L -141 ATTACHMENT 3 -2: NON-LOBBYING CERTIFICATION CITY OF SANTA ANA R QUEST FOR PROPOSAd S FOR ON- CAL,I, RIGHT OF WAY SPECULTY SERVICES 1IFP NO.: 15-144 The prospective participant certifies, by sighing and submitting this bid or proposal, to the best ofhls or her knowledge and belief, that: I. 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, as 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 ofany 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 attempdngto 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 coruracL grant loan, loan orcaoperative agreetuenk, the undersigned shall complete and submit a "Discloswe of Lobbying Activities" This cerhficafion is a material representation of fact upon which reliance was placed when this transaction was made at, entered into. Submission oftlts certification is a prerequi site for making or cntcring into this transaction imposed by Section 1352, Title 31,115, Code. Any person who Fails to file the required certification shall be subjact 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 Donna Desmond Associates Signed and Printed Name: Date G €ty of Santa Ana l2FP 't5 -040 Page 29 25L -142 APPENDIX ATTACHMENT 3.3. NON-DISCRIMINATION CERTIFICATION CERTIFICATIONS CITY OF SANTA APIA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NW 15-044 The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows. I . The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion,, sex, or national origin.- The Consultram 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 tot the fallowing: 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 Consultmat, 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 shalt 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, to id 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- conpliance with the nondiscrimination clauses of this contract or with any of the said rules; regulations„ or orders, the contract may be canceled, tenumated, 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 EXeGution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies involved as provided In Executive Girder. 11246 of September 1-4,1965, 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 by rules, regulations, or orders ofthe- Secretary of Labor issued pursuaut to Section 204 of Executive Girder 11246 of City of Aria RFP 15 -044 Page 30 25L -143 September 24, 1965, so that such provisions will be binding upon each in 1 rttr or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United "States enter into such litigation to protect the interests of the United States. R. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1434, and as amended, No discrimination shall be made in the employment of persons upon public worsts because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provid int S etion dd any contractor of public works violating this Section is subject to all the penalties imp esf fo • olation of the Chapter. Signed: Lv Title: President Firm: Donna Desmond Associates Date: 61812015 City of Santa Ana RFP 15 -044 Page 31 25L -144 ADDITIONAL PROVISIONS 25L -145 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of DLA -OB 13 -07- Safe Harbor Indirect Cost Rate for Consultant Contracts found at http.-Ilwww.dol.ca.govlhqlEocalProgramsIDLA-OBIDLA-OB.htm in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: Donna Desmond Associates Indirect Cost Rate: 40% * for fiscal period 7/1/2014 through 6/30/2015 *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: RFP -15 -044 Project Number: Unknown I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CPR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Mana¢ement System: I, the undersigned, certify to the best of my lmowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ 853,000.00 _ _ and the number of states in which the firm does business is 3 Certification of Direct Costs: I, the undersigned, certify to the best of my lmowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: LPP 15 -01 25L -146 Page 1 of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable), 2. Compliant with the terms of the contract and is incurred specifically for the contract, 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ 200,000.00 Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): None Consultant Certifying (Print Name and Title): Name: Title: President Consultant Certification Signature * *: Date of Certification (mm/dd/yyyy): 6/26/2015 Consultant Contact Information: Email: ddesmond @donnadesmond.com Phone number: (310) 475 -1114 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S. C. 112(b)(2)(B), Subconsultants must comply with the FAR Cast Principles contained in 48 CFR, Part 31, 23 CFR Part 172.3 Definitions state; Consultant means the individual orfirm providing engineering and design related services as a party to the contract. Therefore, subconsultants as parties ofa contract must complete a certification and send originals to A&1 and keep copies in Local Agency Project Files. Distribution: 1) Original to Caltrans Audits and Invostigations 2) Retained in Local Agency Project riles LPP 15 -01 25L -147 Page 2 of 2 January 14, 2015 Local Assistance Procedures Manual EXUBIT 10 -I Notice to Proposers DBE Information Exinwr 104 NOTICE TO PROPOSERS DBE INFORMATION The Agency has established a DBE goal for this Contract of 4.00 OR The Agency has not established a goal for this Contract. However, proposers are encouraged to obtain DBE participation for this contract. 1. TERMS AS USED IN THIS DOCUMENT • The term "Disadvantaged Business Enterprise" or "DBE" means a for - profit small business concern owned and controlled by a socially and economically disadvantaged person(s) as defined in Title 49, Code of Federal Regulations (CFR), Part 26.5. f The term "Agreement" also means "Contract." • Agency also means the local entity entering into this contract with the Contractor or Consultant. • The term "Small Business" or "SB" is as defined in 49 CFR 26.65. 2. AUTHORITY AND RESPONSIBILITY A. DBEs and other small businesses are strongly encouraged to participate in the performance of Contracts financed in whole or in part with federal funds (See 49 CFR 26, "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs "). The Consultant must ensure that DBEs and other small businesses have the opportunity to participate in the performance of the work that is the subject of this solicitation and should take all necessary and reasonable steps for this assurance. The proposer roust not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts. B. Proposers are encouraged to use services offered by financial institutions owned and controlled by DBEs. 3. SUBMISSION OF DBE INFORMATION If there is a DBE goal on the contract, Exhibit 10 -01 Consultant Proposal DBE Commitment must be included in the Request for Proposal. In order for a proposer to be considered responsible and responsive, the proposer must make good faith efforts to meet the goal established for the contract. If the goal is not met, the proposer must document adequate good faith efforts. All DBE participation will be counted towards the contract goal; therefore, all DBE participation shall be collected and reported. Exhibit 10 -02 Consultant Contract DBE Information must be included with the Request for Proposal. Even if no DBE participation will be reported, the successful proposer must execute and return the form. 4. DBE PARTICIPATION GENERAL INFORMATION It is the proposer's responsibility to be fully informed regarding the requirements of 49 CFR, Part 26, and the Department's DBE program developed pursuant to the regulations. Particular attention is directed to the following: A. A DBE must be a small business firm defined pursuant to 13 CFR 121 and be certified through the California Unified Certification Program (CUCP). LPP 13 -01 25L -148 Page 1 of 3 May S, 2013 Local Assistance Procedures Manual EXBBIT 10 -I Notice to Proposers DBE Information B. A certified DBE may participate as a prime consultant, subconsultant, joint venture partner, as a vendor of material or supplies, or as a trucking company. C. A DBE proposer not proposing as a joint venture with a non -DBE, will be required to document one or a combination of the following: 1. The proposer is a DBE and will meet the goal by performing work with its own forces. 2. The proposer will meet the goal through work performed by DBE subconsultants, suppliers or trucking companies. 3. The proposer, prior to proposing, made adequate good faith efforts to meet the goal. D. A DBE joint venture partner must be responsible for specific contract items of work or clearly defined portions thereof. Responsibility means actually performing, managing, and supervising the work with its own forces. The DBE joint venture partner must share in the capital contribution, control, management, risks and profits of the joint venture commensurate with its ownership interest. E. A DBE must perform a commercially useful function pursuant to 49 CFR 26.55, that is, a DBE firm must be responsible for the execution of a distinct element of the work and must carry out its responsibility by actually performing, managing and supervising the work. F. The proposer shall list only one subconsultant for each portion of work as defined in their proposal and all DBE subconsultants should be listed in the bid/cost proposal list of subconsultants. G. A prime consultant who is a certified DBE is eligible to claim all of the work in the Contract toward the DBE participation except that portion of the work to be performed by non -DBE subconsultants. 5. RESOURCES A. The CUCP database includes the certified DBEs from all certifying agencies participating in the CUCP. If you believe a firm is certified that cannot be located on the database, please contact the Caltrans Office of Certification toll free number 1 -866- 810 -6346 for assistance. B. Access the CUCP database from the Department of Transportation, Office of Business and Economic Opportunity Web site at: http: / /www.dot.ca.gov/hq/bep /. 1. Click on the link in the left menu titled Disadvanta )zed Business Enterprise; 2. Click on Search for a DBE Firm link; 3. Click on Access to the DBE Query Farm located on the first line in the center of the page. Searches can be performed by one or more criteria. Follow instructions on the screen. 6. MATERIALS OR SUPPLIES PURCHASED FROM DBES COUNT TOWARDS TIM DBE GOAL UNDER THE FOLLOWING CONDITIONS: A. If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the materials or supplies. A DBE manufacturer is a firm that operates or maintains a factory, or establishment that produces on the premises the materials, supplies, articles, or equipment required under the Contract and of the general character described by the specifications. B. If the materials or supplies purchased from a DBE regular dealer, count 60 percent of the cost of the materials or supplies. A DBE regular dealer is a firm that owns, operates or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the Contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To be a DBE regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the LPP 13 -01. 25L -149 Page 2 of 3 May 8, 2013 Local Assistance Procedures Manual EXHBIT 104 Notice to Proposers DBE Information purchase and sale or lease of the products in question. A person may be a DBE regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone or asphalt without owning, operating or maintaining a plaice of business provided in this section. C. If the person both owns and operates distribution equipment for the products, any supplementing of regular dealers' own distribution equipment shall be, by a long -term lease agreement and not an ad hoc or Agreement -by- Agreement basis. Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite transactions are not DBE regular dealers within the meaning of this section. D. Materials or supplies purchased from a DBE, which is neither a manufacturer nor a regular dealer, will be limited to the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on the job site, provided the fees are reasonable and not excessive as compared with fees charged for similar services, UP 13 -01 25L -150 Page 3 of 3 May 8, 2013 Local Assistance Procedures Manual EXHIBIT 10 -H SAMPLE COST PROPOSAL (EXAMPLE #I) Pa u t nP2 :AeWALCOST- PLUS -Fox D FCC OR LUM1?:SU (FIRIVIrlYMPRtCOC'ONTANCTS (DESIQN, ENCt1NCERM ANDENVIf4ONME`� rrAL STUDWS) N's"tie:_�viarle uP�iis�;piitrAlla?tz( Consultant Donna Desmond Associates ContractNo. 'RFP 15 -044 Date 6/25/2015 DIRE CT 10 -II ClassifleatiourTitle !fame Hours Actual Hourly Rate Total lPrnieutMana erl Sr. Civil En `Weer Donna Desmond unknown $ 325,00 $unknown $ $ 4, $ Equipment Rental and Supplies (itemmzc) ffin i. Scientist) 3 i llwa fir} $ 0 $ -- $ ^ $ $ Holes (each); ete. s LABOR COSTS a) Subtotal Direct Labor Gusts $ 174 per hour b) Anticipated Salary increases (see page2 for sample) ct) TOTAL DIRECT EAMOR COSTS ((a) +(b)] 5 179 per,hour FRINGE BENEFITS d) fringe Benefits (Ratcti 2 k °In) e), TOTAL FRINGE BE WITS [(�) x (d)1 S _ 44.84 INDIRECT COSTS 0 Overhead (Rate. 20 k7u) h) General and Administrative (Rate: 20 " /c) FE (Profit) q) (Rate: 10 %) OTHER DIRECT COST'S (ODC) g) Overhead [(c) x (t)j $ 36.80 i) Gear & Admin [(c) x (h)) $ 33U j) TOTAL INDIRECT COSTS f(e) -f (l;)+(i)l s 295:44 per h our � k) TOTAL FIXED PROFIT [(e) +0)j x (g)]S 29 54 per hour p) TOTAL OTHER DIRECT COSTS [(I) + (m) + (n) + (o)] $ 0 TOTAL COST [(c) +(i) +(k) +(p)j S 325 per hour NOTES: Employers subject to pravailing wage requirements to be nvtrked with all ODC ita ns should be based on actual oasts and supported by historical data and other documentation. ODC item that would be considerml "tools of the trade' are not reimbursable. a 00C irejus should be consistairly billed directly to all clients, net jusa when client voll pay for them is a direct vost. • ODC item when incurred fin -the same purpose, in like circumstances, should not be included in any indirect cost pool or in overhead rate.. Page 1 of 5 I PP 15-01 January. 14,20L5 25L -151 Description 'unit(s) 'Unit Cost Total. 1) Travel/Mileage Costs (supported by consultant actual crisis) $ $ 4, in) Equipment Rental and Supplies (itemmzc) $ $ 0 n) Parwiffees( itemize),Pinnsiteets(aaah),Test Holes (each); ete. s $ 4 o) SubconsUhtint Costs (attach detailed cast proposal in same Formal as prime consultant estimate rot eachsubconsuitant) $ $ 0 p) TOTAL OTHER DIRECT COSTS [(I) + (m) + (n) + (o)] $ 0 TOTAL COST [(c) +(i) +(k) +(p)j S 325 per hour NOTES: Employers subject to pravailing wage requirements to be nvtrked with all ODC ita ns should be based on actual oasts and supported by historical data and other documentation. ODC item that would be considerml "tools of the trade' are not reimbursable. a 00C irejus should be consistairly billed directly to all clients, net jusa when client voll pay for them is a direct vost. • ODC item when incurred fin -the same purpose, in like circumstances, should not be included in any indirect cost pool or in overhead rate.. Page 1 of 5 I PP 15-01 January. 14,20L5 25L -151 Local Assistance Procedures Manual EXIHBIT 10 -H Sample Cost Proposal Consultant EXHIBIT 10 -11 SAMPLE COST PROPOSAL (EXAMPLE #I) Page 2 of 2 ACTUAL COST - PLUS -FIXED FEE OR LUMP SUM (FIRM FIXED PRICE) CONTRACTS (SAMPLE CALCULATIONS FOR ANTICIPATED SALARY INCREASES) Contract Date 1. Calculate Average Hourly Rate for 1st year of the contract (Direct Labor Subtotal divided by total hours) Direct Labor Total Hours per Avg 5 Year Subtotal per Cost Cost Proposal Hourly Contract Proposal Rate Duration $250,000.00 5000 = $50.00 Year 1 Avg + 2% = $52.02 Hourly Rate 2. Calculate hourly rate for all years (Increase the Average Hourly Rate for a year by proposed escalation %) NOTES: • This is not the only way to estimate salary increases. Other methods will be accepted if they clearly indicate the % increase, the # of years of the contract, and a breakdown of the labor to be performed each year. • An estimation that is based on direct labor multiplied by salary increase %multiplied by the # of years is not acceptable. (i.e. $250,000 x 2% x 5 yrs = $25,000 is not an acceptable methodology) • This assumes that one yen will be worked at the rate on the cost proposal before salary increases are granted. LPP 15 -01 25L -152 Page 2 of 5 January 14, 2015 Avg Hourly Rate Proposed Escalation Year 1 $50.00 + 2% = $51.00 Year 2 Avg Hourly Rate Year 2 $51.00 + 2% = $52.02 Year 3 Avg Hourly Rate Year 3 $52.02 + 2% = $53.06 Year 4 Avg Hourly Rate Year 4 $53.06 + 2% _ $54.12 Year 5 Avg Hourly Rate 3. Calculate estimated hours per year (Multiply estimate % each year by total hours) Estimated % Completed Total Hours per Cost Total Hours per Each Year Proposal Year Year 1 20.0% * 5000 = 1000 Estimated Hours Year 1 Year 2 40.0% * 5000 = 2000 Estimated Hours Year 2 Year 3 15.0% * 5000 = 750 Estimated Hours Year 3 Year 4 15.0% * 5000 = 750 Estimated Hours Year 4 Year 5 10.0% * 5000 = 500 Estimated Hours Year 5 Total 100% Total = 5000 4. Calculate Total Costs including Escalation (Multiply Average Hourly Rate by the number of hours) Avg Hourly Rate Estimated. hours Cost per (calculated above) (calculated above) Year Year 1 $50.00 * 1000 = $50,000.00 Estimated Hours Year 1 Year 2 $51.00 * 2000 = $102,000.00 Estimated Hours Year 2 Year 3 $52.02 * 750 = $39,015.00 Estimated Hours Year 3 Year $53.06 * 750 = $39,795.30 Estimated Hours Year 4 Year 5 $54.12 * 500 = $27,060.80 Estimated Hours Year 5 Total Direct Labor Cost with Escalation = $257,871.10 Direct labor Subtotal before Escalation = $250,000.00 Estimated total of Direct Labor Salary = Transfer to Page 1 Increase $7,871.10 NOTES: • This is not the only way to estimate salary increases. Other methods will be accepted if they clearly indicate the % increase, the # of years of the contract, and a breakdown of the labor to be performed each year. • An estimation that is based on direct labor multiplied by salary increase %multiplied by the # of years is not acceptable. (i.e. $250,000 x 2% x 5 yrs = $25,000 is not an acceptable methodology) • This assumes that one yen will be worked at the rate on the cost proposal before salary increases are granted. LPP 15 -01 25L -152 Page 2 of 5 January 14, 2015 Cf Q W a Gyi v a � p g m O U 4 CJ W4 CJ m car a !U G� b (7 N e F 3) a c a t N N G 3 -F C gins c 25L -153 M}_C i 4..mm5 „w�, Cq1. O O O CPf C ,NO C5 U sN t3 U U &FJ HJ H3 :A 55- Y3 A $ c A "" Q d 4 O „ O .fl O a ig eo a e 9 a qa . 041 PO Pci ab Pa s5 ar< CA C; To ca o. a a G G %n a q O C O O ��jj O b�j O fl P } CA C1 CSP d' bPC bOP 4. 52 bO C] P N tf# fFY 6} a R5 4Y fR il! V} 5: G% 49 i 4 a 47 3 �tJ G y T A 4 S y C So Yom'+ V Q ,N Pu E O P P Q b P O b P P P P O O P v C C 4 P P P P P P P P. 5? PPP P P P aE° ni sd1 cl -;FcT Aki .rY c7 t�l ra ni- w a: m P r-+ N fJ oca c,ga c>PC.G3 aP� PPP Od O CYP C}Ct CAC £a C? C}00 a,. -. aoPZoa .. . w bPncaPOOC o[a oOObCK boaobo ocP CA -A C PS?P POG P QP'G?P 90 Pb b dCxO POCS C}G54 Tom e +n P�£3 £'�PiO i.?£? O OOCi G'i9O 7r ©s. C?Lo P P CA, t? PPP CA, PC7 bPP VO 3» N U � G U i. q w CA on g .c > f m` t5 25L -153 c M}_C A�6 .fir n C G 6 � A g? c G 6 � g? .fl O jig m a G %n a q N 3 �tJ G y 4 S y C � aii Yom'+ V Q ,N Pu E w z v n v C C S Ron rg� a a: pi 0 H w r r W a .Wd O O U a O P' w U M a d U Fa Q z U G O V O U 0 w W 0 p� U p N 0 QG V 25L -154 °z O Ic T q�y q �q d o. o n u 'aqi • T � a a u V inn � W bNp C"J O u O v uV a � '• y « � � d3 •o � a � `06 H ° •�b��8 y�v�� O� y N '•� W `� q v. T N .�i I-a H O II U � F N O u N O N C L N fO N a � P7 (J 1^1 ® o V II ® o o z O F Ca y'QP3u H V QFgU F U Q OH O O U a O P z 0 O a. cz 0 Ca H vai QP7U QfAU 25L -154 °z O Ic T q�y q �q d o. o n u 'aqi • T � a a u V inn � W bNp C"J O u O v uV a � '• y « � � d3 •o � a � `06 H ° •�b��8 y�v�� O� y N '•� W `� q v. T N .�i I-a Local Assistance Procedures Manual C, M11131T 10 -H Sample Cost Proposal EXIIIB[T 10-H SAMPLF COST PROPOSAL (EXAMPLE #r3) COST PGIt UNIT Or WOM CONTRACTS (GroTECHNICAL AND ivIATCRIAL Trsrra(j) 1O t ;Mnk-ul +uakeulVutAff tieu Consultant Contract No, Date Pao—Of, Unit/Item of Work-. (Example; Log of Test Boring for Sods Report, or ADL Testing forflaxarc[ous Waste Material Study) Include as many Items as necessary. DIRECT LA13OR Houtz Hourly Total ($} Billing Rate (S) Professional (Classirloation) Sub- grofessional/Teelttuca I e EQUIPMENT (with Operator) OTHER DIRECT COST Description Unit(s) Unit Coat Mobilization/De- mobilization S Supplies /Consumabtes (Itemize) _ TravelilAileage Report (if applicable) TOTAL COST PER UNIT OF WORK NOTES: I Denote labor subject to pravaitnig Wage with asterisk(*). Hourly billing rates should include [uovation; wage rates and be.uona%Steut with publicly advertised rates charged to all clients (Commercial, Private or Pu lio): Hourly billing rates include hourlywage rate, not fee /profit, indirect castrate, and actual direct equipment rate . tobiliietionllT�mvbil {zadatt is bused on site location and number and rrequeucy oftesWitems. ODD items should t o based on actuat costs and supported by historical chan and other documentation. DIJC items thal would be considered 4 ools of the trade" are not reimbursable, LIT 15-01. Page li of S Janaary14,2015 25L -155 a Local Assistance Procedures Manual EXffiBIT 10 -01 Consultant Proposal D13E Commitment EXIHBIT 10 -01 CONSULTANT PROPOSAL DBE COMMITMENT (Inclusive of all DBEs listed at bid proposal. Refer to instructions on the reverse side of this form) Consultant to Complete this Section 1. Local Agency Name: City of Santa Ana 2. Project Location: City of Santa Ana 3. Project Description: On Call Right of Way Services 4. Consultant Name: Donna Desmond Associates 5. Contract DBE Goal %: 4% DBE Commitment Information 6. Description of Services to be Provided 7. DBE Firm Contact Information 8. DBE Cert. Number 9. DBE % Goodwill Appralsal Services Donna Desmond Associates, Donna Desmond 039212 100% 265 S. Beverly Glen Blvd, Los Angeles, CA 90024 (310) 476 -1114 Local Agency thComplete this Section 10.Total V, Claimed 100 % 16. Local Agency Contract Number; 17. Federal -aid Project Number: 18. Proposed Contract Execution Date: Local Agency certifies that all DBE certifications are valid and the information on this form is complete and accurate: 11. Preparer's Signature Donna Desmond 12, Preparer's Name (Print) President 19. Local Agency Representative Name (Print) 20, Local Agency Representative Signature 21. Date 22. Local Agency Representative Title 23. (Area Code) Tel. No. 13. Preparer's Title 6126!2015 (310) 475 -1114 14. Date 15. (Area Code) Tel. No. Distribution; (l) Original — Consultant submits to local agency with proposal (2) Copy — Local Agency files LPP 13 -01 25L -156 Page 1 of 2 May 8, 2013 Local Assistance Procedures Manual EXHIBIT 10 -01 Consultant Proposal DBE Commitment INSTRUCTIONS - CONSULTANT PROPOSAL DBE COMMITMENT Consultant Section The Consultant shall; 1. Local Agency Name— Enter the name of the local or regional agency that is funding the contract. 2. Project Location - Enter the project location as it appears on the project advertisement. 3. Project Description - Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc.). 4. Consultant Name - Enter the consultant's firm name. 5. Contract DBE Goal %- Enter the contract DBE goal percentage, as it was reported on the Exhibit 10d Notice to Proposers DBE Information form. See LAPM Chapter 10. 6. Description of Services to be Provided - Enter item of work description of services to be provided. Indicate all work to be performed by DBEs including work performed by the prim consultant's own forces, if the prime is a DBE. If 100% of the item is not to be performed or famished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms. 7. DBE Firm Contact Information - Enter the name and telephone number of all DBE subcontracted consultants. Also, enter the prime consultant's name and telephone number, if the prime is a DBE. 8. DBE Cert. Number - Enter the DBEs Certification Identification Number. All DBEs must be certified on the date bids are opened. (DBE subcontracted consultants should notify the prime consultant in writing with the date of the decertification if their status should change during the course of the contract.) 9. DBE %- Percent participation of work to be performed or service provided by a DBE. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full/partial participation. 10. Total % Claimed —Enter the total DBE participation claimed. If the Total %Claimed is less than item "6. Contract DBE Goal ", an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15 -H DBE information - Good Faith Efforts of the LAPM). 11. Preparer's Signature — The person completing this section of the form for the consultant's firm must sign their name. 12. Preparer's Name (Print) — Clearly enter the name of the person signing this section of the form for the consultant. 13. Preparer's Title - Enter the position/title of the person signing this section of the form for the consultant. 14. Date - Enter the date this section of the form is signed by the preparer. 15. (Area Code) Tel. No. - Enter the area code and telephone number of the person signing this section of the form for the consultant. Local Agency Section: The Local Agency representative shall; 16. Local Agency Contract Number - Enter the Local Agency Contract Number, 17. Federal -Aid Project Number- Enter the Federal -Aid Project Number. 18. Contract Execution Date - Enter date the contract was executed and Notice to Proceed issued. See LAPM Chapter 10, page 23. 19. Local Agency Representative Name (Print) - Clearly enter the name of the person completing this section. 20. Local Agency Representative Signature - The person completing this section of the form for the Local Agency must sign their name to certify that the information in this and the Consultant Section of this form is complete and accurate. 21. Date - Enter the date the Local Agency Representative signs the form. 22. Local Agency Representative Title - Enter the position /title of the person signing this section of the form. 23. (Area Code) Tel. No. - Enter the area code and telephone number of the Local Agency representative signing this section of the form. LPP 13 -01 25L -157 Page 2 of 2 May 8, 2013 25L -158 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 5a' day of August, 2015 by and between Desmond, Marcello and Amster, LLC, (hereinafter "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 (hereinafter "City"). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of Business Goodwill Appraisal Services. 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 those services as set forth in Exhibit A to this Agreement. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $200,000 during the term of this Agreement. b. Payment by City shall be made within thirty (30) 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. i�:iui This Agreement shall commence on the date first written above and terminate on August 5, 2018, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. Exhibit 6 25L -159 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. 25L -160 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 famished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect, by consultant, without thirty (30) days prior written notice to the City. (iv) Consultant shall supply City with a fully executed additional insured endorsement. f If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to tunish 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. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 25L -161 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. 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 in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. 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: 25L -162 To City: Cleric 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: To Consultant: Fred Mousavipour, Executive. Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -5654 Desmond, Marcello, & Amster, LLC Madeleine Mamaux, Partner 6060 Center Drive, Suite 825 Los Angeles, CA 90045 mmamaux(a,dmavalue.com 310 - 216 -1400 (Office) 310 - 216- 0800(Fax) Jose Sandoval Assistant City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714 - 647 -6515 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. 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 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. 25L -163 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 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. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 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. 25L -164 1% MISCELLANEOUS PROVISIONS a. Additional provisions, if any sire identified as Additional Provisions, Exhibit I1, attached hereto and incorporated into this Agreement byreference: b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shrill 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. h 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. Maria D. fluizar Clerk of the Council APPROVED AS TO FO tMs SONIA R. CARVALHO City Attorney ply-/ Jos andoval A Want City Attorney RECOMMENDED FOR APPROVAL: Fred Mo isavipour ®� Executive Director Public World Agency CITY OF SANTA AN David Cavazos City Manager CONSULTANT: 15esmwid, Marcello; & Antster, LLC Madeleine Mamaux; Partner Tax ID 426- 0362647 25L -165 EXHIBIT A SCOPE OF SERVICES 25L -166 RESPONSE TO REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15 -044 SCOPE OF SERVICES: BUSINESS GOODWILL APPRAISAL SERVICES PREPARED FOR THE CITY OF SANTA ANA PUBLIC WORKS AGENCY DESMOND, MARCELLO & AMSTER 6060 Center Drive, Suite 825 Los Angeles, California 90045 Tel. (310) 216 -1400 Fax (310) 216 -0800 1 Sansome Street, Suite 3500 San Francisco, California 94104 Tel. (415) 439 -8390 Fax (415) 449 -3643 Toll Free No. (888) 240 -5184 www.dmavalue.corn 25L -167 I►7►��:1 June 9, 2015 City of Santa Ana Attn: Kenny Nguyen Public Works Agency 20 Civic Center Plaza 3rd Floor Reception, Ross Annex Santa Ana, CA 92701 Desmond, Marcella & Amster, LLC Valuation and Litigation Consultants 6060 Center Drive, Suite 825 Los Angeles, CA 90045 Tel: (310) 216 -1400 Fax: (310) 216-0800 Toll Free: (888) 240 -5184 1 SmGome Street, Suite 3500 San Francisco, CA 94104 Tel: (415) 439-8390 Fax: (4'15)449 -3643 www.dmavalue.com Re: Request for Proposals for On -Call Right of Way Specialty Services RFP No. 15 -044 Specialty Area — Business Goodwill Appraisal Services (A3) Dear Mr. Nguyen: Enclosed please find Desmond, Marcello & Amster's (DM &A) proposal to provide appraisal services in the area of Business Goodwill for the City of Santa Ana Public Works Agency (the , tit,„ ). We have enjoyed working for the City on recent projects, and would very much welcome the opportunity to provide Business Goodwill appraisal services for upcoming assignments. By submitting this proposal, DM &A acknowledges our thorough examination and acceptance of the Terms and Conditions of this RFP as described in Section II. The undersigned is designated as the point of contact as described in Section III, Part B. Thank you for your consideration of DM &A. We hope to have the opportunity to continue to work with the City on the important projects to come. Very truly yours, DES OND,MARC LO AMSTER Made eine Ma aux, CFA, ASA Partner MM /dkp 25L -168 1) STATEMENT OF QUALIFICATIONS B. Agreement Statement Desmond, Marcello & Amster concurs with the provisions in the sample agreement in Attachment 2 of the Appendix of this RFP. C. Understanding of Need Budgetary Estimates Budgetary estimates are used by public agencies in planning and preparing a project budget. Upon request, DM &A can prepare budgetary estimates of goodwill loss based upon "drive by" site inspections of the subject businesses, limited market research, and any publicly available data. The estimates also take into consideration DM &A's experience in preparing goodwill loss appraisals of comparable businesses, as well as knowledge of relevant statutes and case laws, negotiated settlements, and jury awards in eminent domain proceedings. Results will be presented in a brief letter. The tasks necessary to complete budgetary estimates include coordination with the City and /or the City's representatives to ascertain the location and number of businesses for which estimates are needed. DM &A's appraisers will visit the business locations and do research via public sources to gain any available understanding of the nature and scope of each business' operations. Care is taken such that the confidentiality of DM &A's objective is strictly maintained during this phase. Quality control is maintained via DM &A's review process as described below We will then refer to various in -house documentation and the public sources to determine a preliminary value for each business' goodwill. Further, we will utilize available information from the City's representatives, and our experience, to estimate the potential impact of the proposed project on each business' patronage and /or expense structure. Taking both "before" and "after" factors into consideration, DM &A can provide estimates of potential goodwill loss to each business. Goodwill Lass Acquisition Appraisals During the early stages of property acquisition, DM &A can provide preliminary estimates of goodwill loss. Acquisition appraisals are based on data which may be provided by the business' ownership at its discretion. Such information may include leases, background on the business provided via owner /management interviews, historical and prospective financial data, and information about proposed relocation sites. In addition, DM &A will perform basic transactional research in light of our understanding of the business' operations and financial condition, Consultant will also coordinate with real estate and fixtures and equipment appraisers to avoid duplication of compensation. Further, DM &A's analyses will be guided by relevant statutory and case law pertaining to compensation for loss of goodwill. Our approach to the appraisal process is thorough, collaborative, and professional. Our appraisers recognize the importance of a detailed approach to any assignment, and are cognizant of our role as representing our clients. Our professionals have extensive experience interviewing business owners, and make efforts to address their concerns and needs in these meetings. DM &A has bilingual professionals to interface with Spanish- speaking business 25L -169 owners. We work closely with agency staff and their attorneys in order to keep all parties apprised of the status of our appraisal projects. Our collaborative business approach allows DM &A to have a level of quality control and responsiveness that is unique in our market. DM &A's appraisal review process is thorough and involves oversight by firm partners. Budgets and schedules are closely monitored, and appropriate management controls have been implemented to maximize employee productivity. DM &A's delivery record of projects on time and within budget is evidence of the firm's superior quality control. DM &A's work will encompass steps including, but not limited to, the following: • Communications with Agency management to ascertain the scope of the assignment; • Review and analysis of financial statements of the subject business, including internal income statements and balance sheets as well as tax returns; • Interviews with the owners and /or managers of the subject business and /or a review of deposition transcripts. Such interviews are intended to provide DM &A with a thorough understanding of the business' products, operations, management, employees, marketing, competition, and industry, as well as an understanding of recent financial trends and outlook; • Site and area inspections of both the subject location and the business' relocation site, if applicable; • Review of leases and other contracts pertinent to the business' operations; • Coordination with other professionals, such as fixtures and equipment appraisers, real estate appraisers, and relocation consultants, to avoid duplication of compensation; • Independent research in the business' industry and the economic factors affecting the business; • Research into the marketplace for sales of businesses similar to the subject; • Investigation of the impact of the taking and /or of relocation, if applicable, on the business' revenues and profits in the "after" condition; • Implementation of valuation methods, such as the Income Approach and Market Approach, to determine the value of the business' goodwill in both the before condition and in the after condition; • Preparation of valuation report; and • Any required meetings or conferences with the client regarding appraisal questions. 25L -170 Suqqestions / Special Concerns DM &A has not identified any special issues at this time. To the extent that DM &A finds any avenues to enhance efficiency, quality and /or responsiveness, we will pass along such ideas to the City during the course of the Project. D. Firm and Team Experience Founded in 1968, DM &A has provided clients in both the public and private sectors with expertise in the valuation of closely -held businesses, professional practices, and specific tangible and intangible assets, such as goodwill, and furniture, fixtures and equipment. Since the enactment of the California Eminent Domain Law of 1976, DM &A has specialized in providing valuation services related to public agency property acquisition. DM &A's qualifications are the result of experience gained in the preparation of thousands of appraisals of tangible and intangible assets in a wide range of industries and business types. Examples include retail, restaurants, manufacturing, wholesale, medical practices, mining, agricultural, storage warehouses, hospitality, petroleum sales, and a variety of services ranging from auto repair to software development. Members of the firm hold graduate and undergraduate degrees from various prestigious academic institutions including: Harvard University, Wharton School of Business (University of Pennsylvania), University of Michigan, University of Southern California, Loyola Marymount University, and Claremont McKenna College. DM &A can assist throughout settlement negotiations and the litigation process. Our partners and principals have extensive testimony experience in business goodwill litigation. DM &A's litigation support services include assisting attorneys in discovery, reviewing and analyzing other appraisal reports in preparation for deposition and cross- examination, and assisting in preparation of direct testimony, including development of visual aids and rebuttal testimony, if necessary. Description of Labor Resources DM &A's Goodwill Valuation Department consists of eight appraisers. The Furniture, Fixtures and Equipment Department consists of a dedicated project manager and two sub - consultants, both of whom have worked with DM &A since 2012. This multi - disciplinary capability enables DM &A to address complex valuation issues involving both appraisal disciplines. Further, the size of our professional staff enables DM &A to accommodate client needs on large projects with tight deadlines. Project Time Allocation The allocation of time assigned to each appraiser varies by project. Completion of assignments for the City under this contract will be given the highest priority by the Project Manager and staff as needed to meet necessary deadlines. 25L -171 F. References Orange County Transportation Author Gary C. Weisberg, Esq. Woodruff, Spradlin & Smart 555 Anton Boulevard, Suite 1200 Costa Mesa, CA 92626 -7670 Office (714) 415 -1065 Email gweisberg @wss- law.com California Department of Transportation Mr. Erick Solares Attorney at Law California Department of Transportation 100 South Main Street, Suite 1300 Los Angeles, CA 90012 Office (213) 687 -6000 Email: erick.solares(a).dot.ca.gov Ms. Amanda DeJesus Attorney At Law California Department of Transportation Legal Division 100 South Main Street, Suite 1300 Los Angeles, CA 90012 Office (213) 687 -6000 Email amanda.deiesus().dot.ca.gov G. Fees DM &A is committed to providing top level service and work product at a competitive pricing level. DM &A's billing rates are all- inclusive and we will not submit claims for reimbursement of mileage, overtime, travel costs or ordinary costs incurred in the appraisal process. Not -to- exceed fees can be provided for many goodwill loss appraisal assignments once the details of the project and the businesses are known. Our standard hourly fee schedule is located in the Fee Proposal, submitted under separate cover. 2. SCOPE OF SERVICES & SCHEDULE Scope of Services DM &A's work will encompass steps including, but not limited to, the following: • Communications with Agency management to ascertain the scope of the assignment; • Review and analysis of financial statements of the subject business, including internal income statements and balance sheets as well as tax returns; • Interviews with the owners and/or managers of the subject business and/or a review of deposition transcripts. Such interviews are intended to provide DM &A with a thorough understanding of the business' products, operations, management, employees, 25L -172 marketing, competition, and industry, as well as an understanding of recent financial trends and outlook; • Site and area inspections of both the subject location and the business' relocation site, if applicable; • Review of leases and other contracts pertinent to the business' operations; • Coordination with other professionals, such as fixtures and equipment appraisers, real estate appraisers, and relocation consultants, to avoid duplication of compensation; • Independent research in the business' industry and the economic factors affecting the business; • Research into the marketplace for sales of businesses similar to the subject; • Investigation of the impact of the taking and /or of relocation, if applicable, on the business' revenues and profits in the "after" condition; • Implementation of valuation methods, such as the Income Approach and Market Approach, to determine the value of the business' goodwill in both the before condition and in the after condition; • Preparation of valuation report; and • Any required meetings or conferences with the client regarding appraisal questions. Timeline Budgetary estimates can generally be completed within 20 to 30 days. The schedule for completion of a business goodwill appraisal can vary widely depending upon the complexity of the business appraised and the degree of cooperation from the business' ownership. It is our experience that, assuming full and timely cooperation from all parties, an appraisal can be completed within 45 days of a client's authorization to proceed. DM &A actively communicates project status with clients via email, conference calls, or any other means preferred by the client. To the extent any data or information necessary for an appraisal is not forthcoming, we will notify Agency officials in a timely manner such that steps can be taken to obtain the necessary data. 25L -173 EXHIBIT B FEE PROPOSAL 25L -174 a 0 O U N a Q 0 a` N a U eNi m N m W L Wr C _QY W 0 i c 0 E v c v M y 5 o H `o. UW La o a a a a Q a a z z z z z z z` � N a m S u O o d O O O O O O O � C m O O O O O O O Q O O O O O O O cl aa� O O O O O O > N N N N N D N N O '= O O ~ a m N N a-i O H N H O 0 O 0 O O N N O w µL. N Z Z Z Z Z Z Z m O K Q ti `ate, z z z Z Z Z Z Z Z � O O O O O O O O O y o o O O o 0 0 bD 'gyp N OL61 N O n h N L Hf N N N N N M a 'C d L G L ccN U N cu o o t r m a N i Q Q a c Q L a L o N y C U L N N L 41 y [0 25L -175 Rate Schedule Desmond, Marcello & Amster Business Goodwill Appraisal Title Staff Member Standard Rate Depo /Court Appearance Rate BUSINESS GOODWILL Senior Partner Aaron Amster $325 $450 Partner Madeleine Mamaux 295 400 Principal Ricardo Goni 225 300 Senior Manager Eric Lietzow 200 250 Manager Diane Christensen 175 250 Manager Kevin Blair 175 250 Financial Analyst Zachary Doran 125 NIA 25L -176 Pricing Detail — Business Goodwill Appraisal DMA does not analyze individual work tasks separately for proposal pricing_ The bulk of the time spent typically involves financial analysis, research, and valuation analysis tasks. The amount of time spent on review also varies by assignment. DM &A's services are very business /tenant specific. Meaningful fee estimates cannot be given without knowing the types of businesses for which our services may be needed. Therefore we have provided business type information in the average cost estimates below and assumed "typical" situations. Summary Report Appraiser Ave. Rate+ Project Mgr. Ave. Rate = gvera a Cost Estimate Business Type` Appraiser Average Rate Protect Manager Average Cost Average Rate Estimate Small Retail & Services 19 hrs. 325.00 @ $175 = $3, g hrs. @ $275 = $2,200 $5,525 Restaurants /Bars 21.5 hrs. @ $175 = 10 hrs. @ $275 = $6,513 $$,762.50 $2,750 Independent 27 hrs. @ $175 = 12 hrs. @ $275 = $8,025 Wholesale/Manufacturing $4,725.00 $3,300 Gasoline Stations (may Include convenience stores, auto 21.5 hrs. @ $175 = 10 hrs. @ $275 = $6,513 repair, $3,762.50 $2,750 and car wash) 'List is not all inclusive of possible business types. DM&A will not submit claims for reimbursement of mileage, overtime, travel costs or ordinary costs incurred in the appraisal process. However, reimbursable expenses may be incurred during litigation, and may include preparation of trial exhibits. 25L -177 EXHIBIT C CERTIFICATIONS 25L -178 APPENDIX ATTACHMENT 3 -1: NON - COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15 -044 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 certificatiptimay.subject the certi}ferV criminal prosecution. Signed State of California County of °s d% J2 s M Subscribed and swom to (or affirmed) before me on this day of 69C 20�S�by/i%2�p /d /i/a proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. pif /. �M Notary Public Signature DEBRA K. P qj COMM. #2024032 m Notary Public Seal i OM wotm'pub ES COTN TY In Comm. 4 . JUNE 7 7 City of Santa Ana RFP 15 -044 Page 28 25L -179 — -- APPENDIX ATTACHMENT 3 -2: NON - LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15 -044 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 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. Desmond, Marcello & Amster, LLC Finn Signed and Printed Name: Title partner Date 6/9/2015 Madeleine Mamaux City of Santa Ana RFP 15 -044 Page 29 25L -180 APPENDIX ATTACHMENT 3 -3: NON - DISCRIMINATION CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15 -044 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 Consultrant 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 by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of City of Santa Ana RFP 15 -044 Page 30 25L -181 September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating this Section is subject to all the penalties i cised for a violation of the Chapter. Signed: Partner Title: Firm: Date: Desmond, Marcello & Amster 5/9/2015 City of Santa Ana RFP 15 -044 Page 31 25L -182 EXHIBIT D ADDITIONAL PROVISIONS 25L -183 Local Assistance Procedures Manual EXHIBIT 10 -01 Consultant Proposal DBE Commitment EXHIBIT 10 -01 CONSULTANT PROPOSAL DBE COMMITMENT (Inclusive of all DBEs listed rabid proposal. Refer to instructions on the reverse side ofthis form) S''r N rs I'` pm , ;Con ut a th Coln "lete thl� $ectlon a "bsaa z I R el- 1. Local Agency Name: � 0_,� A1'x CT.^ (1.A. (I C, :.0Qrks Ac�('JI.0 p t.�GrJ�rX. 2. Project Location: 3. Project Description: krx 4. Consultant Name: �.C' Cj Cu 131 �� V�r'�,C�V"C'2, �Iu + r"tutit�� 5. Contract DBE Goal %: DBE Commitment Information 6. Description of Services to be Provided 7. DBE Firm Contact Information S. DBE Cart. Number 9. DBE % 16. Local Agency Contract Number::',xsrfjrn 17. Fadarel -eid Projeot Number: IS. Proposed Contract Execution Date: Local Agency certifies that all DBE certifications are valid and the information on this form is complete and accurate: $% r N 6 ' 11. Preparers Signatur 12. Preparer's Name (Print) e 19. Local Agency Representative Name (Print) 20. Local Agency Representative Signature 21. Date 13. Preparer's Title \�/ �([ 14. Pate X15. (Area Code) TeL No, 22. Local Agency Representative Title 23. (Area Code) Tel. No. Distribution: (1) Original — Consultant submits to local agency with proposal (2) Copy — Local Agency tiles LPP 13 -01 25L -184 Page 1 of 2 May 8, 2013 Local Assistance Procedures Manual EXHIBIT 10 -01 Consultant Proposal DBE Commitment INSTRUCTIONS - CONSULTANT PROPOSAL DBE COMMITMENT Consultant Section The Consultant shalt: 1. Local Agency Name — Enter the name ofthe local or regional agency that is funding the contract. 2. Project Location -Enter the project location as it appears on the project advertisement. 3. Project Description -Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc.), 4. Consultant Name -Enter the consultant's firm name. 5. Contract DBE Goal % - Enter the contract DBE goal percentage, as it was reported on the Exhibit 10 -I Notice to Proposers DBE Information form. See LAPM Chapter 10. 6. Description of Services to be Provided - Enter item of work description of services to be provided. Indicate all work to be performed by DBEs including work performed by the prime consultant's own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or famished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms. 7. DBE Firm Contact Information - Enter the name and telephone number of all DBE subcontracted consultants. Also, enter the prime consultant's name and telephone number, if the prime is a DBE. 8. DBE Cert. Number- Enter the DBEs Certification Identification Number. All DBEs must be certified on the date bids are opened. (DBE subcontracted consultants should notify the prime consultant in writing with the date of the decertification if their status should change during the course of the contract.) % DBE % - Percent participation of work to be performed or service provided by a DBE. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full/par ial participation. 10. Total % Claimed —Enter the total DBE participation claimed. If the Total % Claimed is less than item "6. Contract DBE Goal ", an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15 -H DBE Information - Good Faith Efforts of the LAPM). 11. Preparer's Signature —The person completing this section of the form for the consultant's firm must sign their name. 12. Preparer's Name (Print) — Clearly enter the name of the person signing this section of the form for die consultant. 13. Preparer's Title - Enter the position'title of the person signing this section of the form for the consultant. 14. Date - Enter the date this section of the form is signed by the preparer. 15. (Area Code) Tel. No. - Enter the area code and telephone number of the person signing this section of the form for the consultant. Local Agency Section: The Local Agency representative shall. 16. Local Agency Contract Number - Enter the Local Agency Contract Number. 17. Federal -Aid Project Number- Enter the Federal -Aid Project Number. 18. Contract Execution Date - Enter date the contract was executed and Notice to Proceed issued. See LAPM Chapter 10, page 23. 19. Local Agency Representative Name (Print) - Clearly enter the more of the person completing this section. 20. Local Agency Representative Signature - The person completing this section of the form for the Local Agency must sign their name to certify that the information in this and the Consultant Section of this form is complete and accurate. 21. Date - Enter the date the Local Agency Representative signs the form. 22. Local Agency Representative Title- Enter the position /title of the person signing this section ofthe form. 23. (Area Code) Tel. No. - Enter the area code and telephone number of the Local Agency representative signing this section of the form. LPP 13 -01 25L -185 Page 2 of 2 May 8, 2013 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment] of DLA -OB 13 -07- Safe Harbor Indirect Cost Rate for Consultant Contracts found at hitp://www. (lot. ea. govAaq/ LoealPrograms/DLA_OBIDLA_OB.htm in lieu ofthisform.) Certification of Final Indirect Costs: Consultant Firm Name: N S l �) (\c7 �lr�v C(' �iG Ed✓l S�2V Indirect Cost Rate: D * for fiscal period 0-0 (mm /dd /yyyy to mm /dd /yyyy) �vt `5 �, llb nq rc lea �t eu�Qeank sc �t(�(to, cure (I QQ *Fiscal period covered to t Indirect Cos Rate developed (not the ntract period). C,c .l£ Ip C Local Government: t`� �oUV'�t�cg� ��t9e�5 Contract Number: Proj ect Number: `tlat" pebQCi Oq l 4t';-1 Lo0cf JZ Y P IJb IS-0`q 1, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: 1pyQ 6-x,44�,1 ci.y/h{' I, the undersigned, certify that the approximate dollar amount of al A &E,ntracts awarded by Caltrans or a California local a ency to this firm within the last three (3) calendar ars for all State DOT and Local Agencies is $ 2* and the number of states in which the firm does business is B Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: UPI, I5 -01 25L -186 Page 1 of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAq) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172— Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all Subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying (Print Name and Title): Name: i v \Gicf i£L1�� lGt j� Title: Consultant Certification Signature * *: Date of Certification (mm ddfyyyy): t G (a c—, J �Do ( S Consultant Contact Information: Email: I\dvl&G\ft uk L° VCt(C.te : C:etilA Phone number: 3 LID is (G C) * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), SubconsuGants crust comply with the PAR Cost Principles contained in 48 CFR, Part 31. 23 CFR Part 172.3 Definitions state: Consultant means the individual or firm providing engineering and design related services as a party to the contract. Therefore, subconsultants as parties of a contract n ust complete a certification and send originals to A &1 and keep copies in Local Agency Project Files, Distribution. I) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project riles LPP 15 -01 25L -187 Page 2 of 2 January 14, 2015 Local Assistance Procedures Manual EXHBIT 10 -1 Notice to Proposers DBE Information EXHIBIT 10 -I NOTICE TO PROPOSERS DBE INFORMATION The Agency has established a DBE goal for this Contract of OR The Agency has not established a goal for this Contract. However, proposers are encouraged to obtain DBE participation for this contract. 1. TERMS AS USED IN THIS DOCUMENT • The term "Disadvantaged Business Enterprise" or "DBE" means a for -profit small business concern owned and controlled by a socially and economically disadvantaged person(s) as defined in Title 49, Code of Federal Regulations (CFR), Part 26.5. • The term "Agreement" also means "Contract." • Agency also means the local entity entering into this contract with the Contractor or Consultant. • The term "Small Business" or "SB" is as defined in 49 CFR 26.65. 2. AUTHORITY AND RESPONSIBILITY A. DBEs and other small businesses are strongly encouraged to participate in the performance of Contracts financed in whole or in part with federal funds (See 49 CFR 26, "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs "). The Consultant must ensure that DBEs and other small businesses have the opportunity to participate in the performance of the work that is the subject of this solicitation and should take all necessary and reasonable steps for this assurance. The proposer must not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts. B. Proposers are encouraged to use services offered by financial institutions owned and controlled by DBEs. 3. SUBMISSION OF DBE INFORMATION If there is a DBE goal on the contract, Exhibit 10 -01 Consultant Proposal DBE Commitment must be included in the Request for Proposal. In order for a proposer to be considered responsible and responsive, the proposer must make good faith efforts to meet the goal established for the contract. If the goal is not met, the proposer must document adequate good faith efforts. All DBE participation will be counted towards the contract goal; therefore, all DBE participation shall be collected and reported. Exhibit 10 -02 Consultant Contract DBEInformation must be included with the Request for Proposal. Even if no DBE participation will be reported, the successful proposer must execute and return the form. 4, DBE PARTICIPATION GENERAL INFORMATION It is the proposer's responsibility to be fully informed regarding the requirements of 49 CFR, Part 26, and the Department's DBE program developed pursuant to the regulations. Particular attention is directed to the following: A. A DBE must be a small business firm defined pursuant to 13 CFR 121 and be certified through the California Unified Certification Program (CUCP). LPP 13 -01 25L -188 Page I of 3 May 8, 2013 Local Assistance Procedures Manual EXHBIT 10 -1 Notice to Proposers DBE Information B. A certified DBE may participate as a prime consultant, subconsultant, joint venture partner, as a vendor of material or supplies, or as a trucking company. C. A DBE proposer not proposing as ajoint venture with a non -DBE, will be required to document one or a. combination of the following: 1. The proposer is a DBE and will meet the goal by performing work with its own forces. 2. The proposer will meet the goal through work performed by DBE subconsultants, suppliers or trucking companies. 3. The proposer, prior to proposing, made adequate good faith efforts to meet the goal. D. A DBEjoint venture partner must be responsible for specific contract items of work or clearly defined portions thereof. Responsibility means actually performing, managing, and supervising the work with its own forces. The DBEjoint venture partner must share in the capital contribution, control, management, risks and profits of the joint venture commensurate with its ownership interest. E. A DBE must perform a commercially useful function pursuant to 49 CFR 26.55, that is, a DBE firm must be responsible for the execution of a distinct element of the work and must carry out its responsibility by actually performing, managing and supervising the work. F. The proposer shall list only one subconsultant for each portion of work as defined in their proposal and all DBE subconsultants should be listed in the bid /cost proposal list of subconsultants. C. A prime consultant who is a certified DBE is eligible to claim all of the work in the Contract toward the DBE participation except that portion of the work to be performed by non -DBE subconsultants. 5. RESOURCES A. The CUCP database includes the certified DBEs from all certifying agencies participating in the CUCP. If you believe a firm is certified that cannot be located on the database, please contact the Caltrans Office of Certification toll free number 1- 866 -810 -6346 for assistance. B. Access the CUCP database from the Department of Transportation, Office of Business and Economic Opportunity Web site at: http: / /www.dot.ca.gov /hq /bep /. 1. Click on the link in the left menu titled Disadvantaged Business Enterprise; 2. Click on Search for a DBE Firm link; 3. Click on Access to the DBE Query Form orm located on the first line in the center of the page. Searches can be performed by one or more criteria. Follow instructions on the screen. 6. MATERIALS OR SUPPLIES PURCHASED FROM DBES COUNT TOWARDS THE DBE GOAL UNDER THE FOLLOWING CONDITIONS: A. If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the materials or supplies. A DBE manufacturer is a firm that operates or maintains a factory, or establishment that produces on the premises the materials, supplies, articles, or equipment required under the Contract and of the general character described by the specifications. B. If the materials or supplies purchased from a DBE regular dealer, count 60 percent of the cost of the materials or supplies. A DBE regular dealer is a firm that owns, operates or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the Contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To be a DBE regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the LPP 13 -01 25L -189 Page 2 of 3 May 8, 2013 Local Assistance Procedures Manual EXHBIT 10 -I Notice to Proposers DBE Information purchase and sale or lease of the products in question. A person may be a DBE regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone or asphalt without owning, operating or maintaining a place of business provided in this section. C. If the person both owns and operates distribution equipment for the products, any supplementing of regular dealers' own distribution equipment shall be, by a long -tern lease agreement and not an ad hoc or Agreement -by- Agreement basis. Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite transactions are not DBE regular dealers within the meaning of this section. D. Materials or supplies purchased from a DBE, which is neither a manufacturer nor a regular dealer, will be limited to the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on thejob site, provided the fees are reasonable and not excessive as compared with fees charged for similar services. LPP 13 -01 25L -190 Page 3 of 3 May 8, 2013 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 5 1 day of August, 2015 by and between Epic Land Solutions, Incorporated, (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of Acquisition and Relocation Services. 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 those services as set forth in Exbibit A to this Agreement. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $300,000 during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on August 5, 2018, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. Exhibit 7 25L -191 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. 25L -192 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. 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. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 25L -193 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. 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. 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 in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. 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: 25L -194 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: To Consultant: Fred Mousavipour, Executive. Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -5654 Epic Land Solutions, Inc. James L. Overcamp, Jr., SR/WA, Vice President 2601 Airport Drive, Suite 115 Torrance, CA 90505 iimovereamp2epicland.com 310- 626 -4848 (Office) 310 - 891 -3348 (Fax) Jose Sandoval Assistant City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714 - 647 -6515 A parry 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. 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 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. 25L -195 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 persomiel or by other consultants 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 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. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 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. 25L -196 19, MISCELLANEOUS PROVISIONS a. Additional provisions, if any are identified as Additional Provisions, Exhibit D, attached hereto and incorporated into this Agreement by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to hind their respective pages to each of the terms of this Agreement, and shall indemnify City fully, including reasonable casts 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 Agrevinent the date and year first above written. ATTEST.- CITY OF SANTA ANA Maria D. Hu zar David Cavazos Clerk of the Council City Manager APPROVED AS TO FOR1 : SONIAR. CARVALHO CONSIYUfANT: City Attorney By: dose a(2doval Epic Land Solutions Assistant City Attorney James L. Ovemamp, Jr., Vice President Tax tD #E95-4813025 RECOMMENDED FOR APPROVAL: Fred Mousavfpour Executive Director Public Works Agency 25L -197 EXHIBIT A SCOPE OF SERVICES 25L -198 Epic Land Solutions, Inc. epic: adj. 9.Surpossing the usual or ordinary, paitieu- lariyIn scope welze Z.Horm4and Impressive in qualify (The American Heritage Dictionary of the English Lan= ruses. and Edidow Hough #o slitiiin Company, 5996) wmv eoiciand corn CITY OF SANTA ANA Santa Ana public Works Agency 20 Civic Center plaza; 3rd Floor Reception, Ross Annex Santa Ana, CA 92701 Attn: Kenny Nguyen, project Manager 2501 Avoca Dr 3856 Vine S?. 3517 Camino Dal P,io S sula116 Suita200 Suiludol Twranca. GA 40905 Rmerside. CA 52301 San rhogo. CA92108 ?hare: 310 8264 &48 ?4ore 85132, ?800 Phone 619.822.27603 Co., al6. Sol ,3348 Fax 96112* IAN Pea 619574.2667 10300 SVV,reer1bmg Rd €410 N. i5 INn Rd 2103 Hamann Ave NA' Suite 3'6 Suite 410 Suite 2 -821 Povarn OR 87223 Spokane WAagQ06 (J!Ympia. WA. MU2 Pho,y 877.321 3201 P me 87732' 3'210? None 671 521320, Fax' 503.24.,026° Fax 50- iri.1112 25L -199 Epic Land Soludons, 2601 Airport Drive, Suite 115 Torra rice, CA 90505 Phone! 310-616-4848 Fax: 9I0-891-3348 June 110, 2015 City of Santa Ana Attn.: Kenny Nguyen Public Works Agency 20 Civic Center Plaza; 311 Floor, Ross Annex Santa Ana, CA 92701 RE: Proposal Responding to RFP #15-044: On-Call Right of Way Specialty Services forthe City of Santa Ana, Specialty Area A4: Acquisition/ Relocation Services Dear Mr. Nguyen: Epic Land Solutions, Inc. is pleased to respond to the RFP for Acquisition, Relocation, and Property Management Services. Epic Is a prime consultant that will enter into a contract with the City of Santa Ana. For more than 14 years, Epic has been providing exemplary right of way and property management services to many of Southern California's government and quasi- governmental agencies — many in Orange County. We are honored to propose In response to this opportunity with Ron Wicks, PMP, SRIWA, RIW-NAC, RIW-RAC as our proposed Project Manager. Epic takes very seriously the responsibility of representing the City of Santa Ana and will always strive to advance the economic, legal and relationship interest of the City to the beat Of our ability, all within the regulatory framework governing our industry. If you should have questions or comments about this proposal, please do not hesitate to contact us. By signing this cover letter, I am attesting that all Information submitted with the proposal is true and correct. CREATING LAND SOLUTIONS FOR THE PUBLIC GOOD www,EpicLanc1.Gorn 25L-200 Epic concurs with all the "provisions as contained in the sample agreement attached as Attachment 2, in the Appendix of this RFP. c. Understanding of Need — Right of Way AcquisitionlRelocatiori Services Epic's Project Manager Ryan Wicks, PMP, SR/WA, RiW -NAG, RfWRAC, is prepared to meet the needs of the City's Right of Way Acquisition/Relocation as specified in the RFP and addendum. Epic will ensure all work will be performed In accordance with the public agency's policies and procedures and federal, state and local regulations. Rory Wicks will manage and oversee the following tasks: Acquisition Services, Consultant shall[ be Responsible for; "Good faith negotiations" with property owners for the purchase of right- of-way based on values established In the reviewed and approved appraisals; adherence to all professional standards and the Ca[trans Right -of -Way Manuel and all applicable laws and regulations; preparation of all written correspondence, applicable forms and City's standard purchase agreement; coordination with City staff; performance of notary services related to the signing of acquisition documents', escrow coordination' with Agency's selected .title company; completion of final close -out work per Caltrans requirements; and maintenance of all acquisition flies, Including acquisition diaries. Acquisition Consultant Responsibilities under the Uniform Act; • Ensure establishment of just compensation by local agency prior to initiation of negotiations; • Expeditious acquisition within 30 days of approved appraisal. • First Written Offer should be presented in person when possible. • Caltrans requires that a copy of the appraisal report shall be provided to the owner with the First Written Offer; a Summary Statement (basis for the appraisal) is optional in this rase. • Owner to be given reasonable time to consider City's offer and present material relevant to value determination (i.e.; 30 days and a minimum of 3 contacts). • Payment is required before taking possession unless date of possession clause is used in contract. • Agency is responsible for payment of all incidental expenses (title, escrow, surveys, prepayment penalties)* • Preparation of Administrative Settlements when it is reasonable and in the public interest, • Diary entries including confirmation of delivering title A information, Acquisition tastes shall include but not limited to; Meeting with City staff to discuss assignments and procedures. Perform the services required by the City with quaRied personnel, equipment, materials, supplies, and management and administration services. All personnel and subcontractors, referred to as "Approved Personnel ", shall be approved by City, prior to providing services. There shall be no changes in the Approved Personnel without written concurrence of the City. M 25L -201 • Prepare and maintain a schedule of major activities and milestones and provide an estimate of the cost to conduct proposed assignments including assignments to subcontractors. Upon City's written approval of the estimated cost, initiate the assignment in a timely manner. • Present strategies for negotiating successfully and reach agreements with Property Owners and their representatives and to close the acquisition Process. • Be responsible for the accuracy of work and promptly make all necessary revisions or corrections resulting from errors and omissions by Approved Personnel. • As deemed necessary by the City, meet with the City and other staff as requested. • Monitor and maintain all files to ensure overall project integrity. • Prepare and assemble the "Offer Package' using the format approved by the City. • Prepare and maintain a file for those properties assigned for acquisition by the City. • Present written purchase offers to property owners as directed by staff. • Negotiate effectively with property owners, or businesses, tenants (or their appointed representatives) to successfully obtain an agreement for the purchase and sale transaction. • Supplement negotiations by obtaining and reviewing counter offers or demands from property owners, recommendations for settlements, coordinating with the agency to review and discuss all possible solutions and problems, including condemnation. • Prepare all acquisition agreements, deeds and other documents necessary to complete the acquisition. • Obtain reconveyance and subordination agreements as necessary. • Maintain an accurate and current record of all- pertinent information and contacts concerning the property owners and tenants. • Assist City in condemnation support activities. Epic will provide to the City with the original acquisition files as well as an electronic copy of all properties acquired at the conclusion of the right -of -way process. The original acquisition files will be organized in one folder for each property acquired and the electronic copy shall be organized in the format consistent with the City's file name and folder structure. Acquisition Charles Jones, II will manage Epic's team of agents assigned to work with property owners impacted by any project pursued by the City. The amount of Just Compensation, as determined by the City, will serve as the basis for the written offer to the property owner. Epic's agents will prepare offer letters and lists of compensable items of facilities and equipment. After undergoing a quality control review, written offers will then be presented to the appropriate owners or their authorized representatives in person. Immediately upon initiating the negotiation process, Epic's agents will establish a positive rapport, trust and a reliable working relationship with the property owner in order to create an atmosphere in which successful negotiations can be conducted. The property owner will be given a detailed explanation of the property interest being acquired and the proposed design and construction details as it affects the property. Epic will assign one agent as the primary point of contact for each property owner. Epic will advise regarding the acquisition process and the construction (timing, phasing, type, etc.). Early in the process, Epic will also ascertain if owners have tenants leasing their property. It is beneficial for the right of way team to be involved in the design /build process with the design and construction team. Prior to meeting with the property owner or tenant, Epic identifies concerns and discusses those with the design engineer. Some steps Epic might take to minimize impact and help address some of the concerns related to construction include: El 25L -202 Review the construction plans with the owner and tenants;. reviewing those plans with property owners or tenants can alleviate their fears 4 .Document conditions agreed to with the property owner /tenant In both the agreement language and the special provisions for bid purposes. There is a balance between minimizing impacts to properties and restricting the contractors in such a way that the project becomes more expensive, Epic works closely with the client, the design engineer and the impacted property owner/tenants to determine which concessions can be made without adversely impacting the project construction Work with the construction team to develop alternate methods of construction with less Impact on business owners, such as working nights and weekends Construction on a large transportation improvement project can last several years. The impacts to the property ownersibusinesses during that period are significant and include; maintaining utility connections, road closures, safety, noise, vibrations and dust, limited access, loss of parking, and loss of visibility, Epic is committed to obtaining a fair settlement between the City and each property owner, and striving for .a Purchase and Sale Agreement In each transaction that leads to recorded property rights.. Sometimes the design, construction or valuation issues are difficult to settle on time, Epic has been successful In utilizing Possession and Use Agreements that allow for additional prescribed time to negotiate valuation further. Pursuing this option enables the City to achieve a right to possession recognized by Caltrans as suitable for construction and also provides the property owner with an alternative to litigation. When Condemnation Happens It is Epic's ultimate goal to establish a fair settlement between the City and the property owner; however sometimes It is necessary to resolve valuation or design differences In court. if negotiations are unsuccessful, Epic`s agents will prepare summary memos outlining efforts made and the reason(s) for impasse. Epic will send an impasse letter to the property owner(s) and begirt eminent domain #asks, including preparation of litigation briefings, recommendations and court testimony as needed. Since the laws for eminent domain have changed, getting orders of possession has become a lengthier and more complex process, For properties that do need to go through eminent domain, Epic will take extensive pictures prior to construction. This protects the agency from exaggerated claims based upon unverifiable accounts of before- construction conditions. Further, the construction sometimes moves forward so quickly that often the oWner's attorney and/or experts are not able to see the property In the before condition„ After filing the court case, Epic will continue the discussions that were initiated prior to Tiling,. Relocation Services Consultant shall provide a complete relocation assistance program to comply with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Uniform Act) or Title 25, California Code of Regulations, its amendments, and other pertinent laws and regulations. Prepare relocation Plans, Relocation Guidelines, relocation cost estimates, .project area surveys and other specialized reports. 25L -203 Epic will provide the City with relocation services that include, but are not limited to the following: General Relocation Services: • Provide relocation advisory services • Meet personally with each displacee to ascertain the nature and scope of relocation assistance required, to inform the displacees of their rights, and to explain the relocation process • Prepare a weekly status report of relocation cases to be submitted to the City • Document and log all contacts and activities • Prepare and distribute informational brochures and other required notices • Determine each displacee's eligibility for relocation; prepare an estimated timeline and benefits. • Prepare "Relocation Package" in accordance with City approved format • Conduct appropriate searches for relocation replacement sites and provide relocation site referrals to displacees. • Obtain Moving bids and prepare estimate of benefits Residential Relocation Services shall include but not limited to: • Prepare Residential relocation claims and submit to the City for approval and payment • Personally inspect replacement dwellings and /or buildings and sites to determine if they meet decent, safe and sanitary regulatory requirements • Coordinate the move with displacee • Prepare certification of abandonment and submit to the City Business Relocation Services shall include but not limited to: • Coordinate with FF &E appraiser to prepare an inventory of Personal Property • Coordinate with Real Estate appraiser to ensure there's no duplication of benefits • Coordinate with Business Goodwill appraiser and provide necessary assistance • Determine eligibility for In -Lieu payment • Prepare cost construction cost estimates to determine reasonable relocation benefits of replacement properties • Determine actual and reasonable search expenses • Arrange for a final walk- through inspection of the property with displacee • Coordinate and monitor the move to ensure City purchased items are not part of the move. • Prepare final claim, certification of abandonment and submit to the City Construction and moving bid services shall include: Movers: • Conduct on site inventory and photos • Complete certified inventory and mover instruction form • Schedule and coordinate bids • Attend site inspection, if necessary • Review and compare bids 25L -204 Contractors: • Verify licensing • Prepare mover instruction form • Schedule and coordinate bids • Attend site inspection, if necessary • Review and compare bids • Evaluate for eligibility Relocation Flan Consultant shall prepare a Relocation Plan, In accordance with all requirements of State Lain, State HCD Guidelines, the Relocation Assistance and Real Property Acquisition Rules and Regulations of the Agency, The purpose of this Relocation Plan is to provide the City With summary and statistical information regarding the impact of a project to potential displaced people. Specifically, this report shall identify potential impacts that may occur as a result of the demolition of existing structures, proposed displacement of occupants, and a plan to mitigate respective impacts. The Relocation Plan shall Include: Description of the proposed pro)ect and project location; 0 Assessment of needs, Replacement housing resources; * Residential and commercial displacements; 4 Temporary housing (if applicable), * Program assurances and standards; Relocation assistance program; * Citizen participation and plan review period; + description of relocation benefits; 0 Eviction policies and procedures; Appeals and grievance procedures, * displacement schedule,: # Estimated relocation costs.. Relocation Assistants Relocation Agents, Jesse Ortiz and lathy Gsbanilla, will ensure that Epic's relocation efforts conform to all Caltrans and Uniform Act regulations. The development of a relocation plan will Immediately become a critical component to identify all potential problem areas and minimize adverse impacts of displacement Epic's agents will start by conducting initial Interviews of all impacted residences and businesses and analyzing possible relocation options and costs, verifying the feasibility of moving, forward with the anticipated relocations. In addition, Epic will consider any special relocation advisory services that may be necessary for the displaced persons. 'The Relocation Plan will include the following: • plagram or sketch of the project area • Projected dates of displacement • Written analysis of the relocation needs of all persons to be displaced and how these needs will be met • A detailed description of the relocation advisory services program 7 25L -205 Notices are one of the most important parts of a relocation program. Providing notices to affected persons and businesses in a timely manner can save municipal funds, save the affected persons from unnecessary hardship and in some cases, minimize displacement. Relocation notices include, but are not limited to: General Information Notice, Notice of Relocation Eligibility, 90 -day Information Notice, and 30 -Day Notice to Vacate. Epic will assign a relocation agent to each displaced person. This agent will contact the displaces as soon as possible to establish a line of communication and provide forthe seamless relocation of that household or business. Some of the questions that will be addressed at the initial interview with residential displacees will include: number, gender and age of all occupants, household income, distance to employment, utilization of neighborhood services including public transportation and any other special needs that the displacee may have. Some of the questions that will be addressed at the initial interview with displaced businesses will include: number of employees at the location, special moving requirements, special licensing or zoning needs and permits needed to resume business. Epic's relocation agent will personally explain the relocation assistance program and eligibility requirements for relocation payments. This will also include referrals to, and coordination with community resources available, as well as public housing and other public services. In addition, Epic will explain the Relocation Assistance Appeal process to each displacee. In the event that the displacee does not speak English, Epic will arrange for translation. Epic has numerous Spanish speaking agents and can support several other languages in -house as well. Replacement housing valuation reports will be prepared by a person other than the designated relocation assistance agent for the displaced person. All subject and comparable dwellings will be field reviewed and any special or unique interior features noted. The valuation reports will contain photographs of all dwelling units described in the reports. The entitlement letters will be prepared based on this information and submitted to the City for review and approval. Epic will research the marketplace for available replacement locations. After the market data has been obtained, Epic will compile a listing of available housing and /or replacement business sites. Some criteria used by Epic in determining comparable replacements include whether sites are: functionally equivalent; adequate In size to accommodate the displaced persons; not subject to unreasonable adverse environmental conditions; located in similar proximity to public services and employment; located on a site typical in size; currently available on the open market to the displaced person, and within the financial means of the displaced person. Part of Epic's function as the relocation consultant is to inspect replacement dwellings to determine If they meet decent, safe and sanitary replacement housing standards as required by health and safety codes. For most displaced persons, relocation advisory services are as important, if not more so, than the financial aspects of the relocation. Epic is willing to provide any additional relocation advisory services as may be deemed necessary to minimize hardship and provide that all persons displaced by the public project shall receive fair, uniform and equitable treatment. This includes transportation to view replacement sites, If necessary. Epic will determine eligibility for and proposed amounts of relocation benefits, including replacement housing payments, rental or down payment assistance and moving expenses for residential relocations. For businesses, Epic will review and recommend payments for reasonable moving and related expenses as well as reestablishment expenses. For displaced persons, the paperwork process can be confusing and overwhelming. Epic understands this and prepares all applicable benefit claim forms, explains them in depth to the displaced person, obtains the claimant's signatures on the forms and then submits the claim forms for processing payment. Epic's agents will conduct all relocation efforts in accordance with the City's right of 25L -206 way policies and procedures manual. Epic's approach to commercial relocations emphasizes preventing or mitigating possible goodwill claims by providing high quality referrals and actively soliciting feedback from the business owner. Overall Property Management Services will be handled by Karen Starr CPMO, RNV -AMC, SR/WA, Epic "s property management staff has years of experience and business relationships with general contractors and construction managers to handle all emergency repairs. Our relationships with a variety of vendors include environmental assessment and romediation firms, demolition and site clearance firms, :architecture and construction firms to provide curative work, electricians, plumbers, roofers, carpenters, and general handymen, Upon receiving the survey report, a scope of work will be prepared for the performance of the abatement, handling and disposal of the discovered hazardous materials. The scope of work will there 'be utilized in obtaining bids from qualified asbestos and lead - abatement/demolition contractors. The demolition coordination tasks include the following:: • Preparing written notices to utility companies to request the removal of all meters and dries affected by the demolition work • Preparing, scope of work for the performance of demolition. • Pre -bid job walks • Reviewing and analyzing submitted bids to ensure the selection, of the lowest, qualified bidder • Using CAL /OSHA certified and licensed contractors • Reviewing that all required documentation and notifications (including all required permits) are completed prior to the commencement of the activities • Verifying disconnection of utilities and that area Is secure: • Job site inspections to verify that contractor is following all guidelines and precautionary measures to prevent the discharge of pollutants into storm drains, `keeping the site clean and free of rubbish and debris and that water Is being used to suppress dust • Ensuring that contractor abides by all safety and precautionary measures detailed in the scope of work, e.g. Installing temporary chain link fencing, pedestrian canopies, and caution signage • Conducting final inspeotion • Preparing and distributing close -out file Information to the City, including copies of all permits and manifests The following section further describes the strategies comprising Epic's innovative solutions to guarantee a project's success, Planning: Upon receiving a "Notice to Proceed" from the City, Project Manager Ron wicks will schedule a kick -off meeting with the City, where he will introduce the entire project team; review project assignments and establish dines of commun €cation, . procedures and protocols. The meeting will also review project scope, begin the initial discussions on the acquisition and relocation plans and the quality control plan, review schedule and budget, discuss anticipated project Issues and Identify the project's critical paths, Quality Control: All documents prepared by Epic will be reviewed by at least one other experienced agent before submission to the City. Wicks Wit review all project reports, Electronic 9 25L -207 access to Epic's progress can be provided to the City for real -time visibility into project progress. Epic will review the entire work product for compliance using approved check -off sheets for each functional area. Each file will have a review checklist attached to the file prior to close out and delivery to the client. Agents - All agents working on a project are to self- inspect their own documents and coordinate at least one additional peer review. If the agent is the creator, they are to provide a QC Checklist with their name and date leaving a space for the reviewers to initial. Review of the agent's work, regardless of position or title, shall not in any way, abdicate the responsibility of the originator of the product to perform within the standards of the industry. Each document created will have a corresponding QC Checklist attached and it will be included in the file or sent to the client for quality control assurance. Document Storage and Version Control - Epic utilizes the latest technology and management systems to facilitate the protection and transmittal of critical project information. Project Managers store all documents in protected file structures within our fully integrated SharePoint database system, which allows for controlled access requirements, selective editing abilities and document version tracking. SharePoint is stored on Microsoft cloud -based server farms which allow for near 100% up -time accessibility, built -in backups, and hardware redundancies. Epic has full -time staff dedicated to document control and the development/maintenance of Epic's SharePoint system. SharePoint automatically conducts comprehensive version control and modification tracking. Each change to any project document is tracked and can be rolled backed, if necessary. In addition, SharePoint allows for visibility into the specific staff person that made specific changes, as well as simultaneous document change collision management. Budget - Determining a budget on right of way and property management projects can be challenging given the number of factors that may not be apparent when performing the estimation. For example, although the designer, right of way team and appraiser may make certain assumptions about how a property's access or parking are impacted by the project, the property or business owner may have additional information that is not available through public means. At each decision point, Epic will provide the City with options, including benefits, risks and costs for the City's ultimate decision. Schedule - Epic will create a schedule which contains all key deadlines and ensures individual steps can be completed to meet each deadlines. The schedule will start with the City's schedule and the detailed steps reflect internal knowledge of timeframes and sequence. Activities which require concurrence will be identified, as well as those required predecessors. Epic's team will meet regularly throughout the project to verify the schedule and ensure target dates are feasible. Epic's disciplined program management system includes frequent project schedule monitoring. This identifies any schedule impacts and allows for time - critical issues to be addressed immediately, circumventing costly delays in the project. Additionally, Epic will generate a project budget to reflect all anticipated costs. Updates will also be provided to the City on a regular basis. Status Reporting - Epic will actively manage several areas of risk from project start. Some issues to consider may be valuation issues, schedule, survey and right of way engineering, utility communications and environmental assessments. Epic will prepare written status reports at the client's request, whether weekly, biweekly or monthly. Statuses include milestones reached and parcel diary text for each case, as well as project plan updates. Epic's reports strive for "at -a- glance" information that immediately conveys case progress and highlights key 10 25L -208 RFP No. 15444 On-Call Right of Way Specialty Services A- 4- ACqulslonfRelocatton Services §,sb2 bile Schedule is subject to change due to number of parcels. Acquisition • This calculation Is based on up to 40 parcels. Relocation »This calculation is based on up to 10 displacees. All requested attachments are included in the following pages. 19 25L -209 EXHIBIT B FEE PROPOSAL 25L -210 EXHIBIT 10 -H Specific Rate of Compensation (Use for On -Cs H or As- Needed Contracts) Consu pant or Subconsultant: EPIC LAND SOLUTIONS INC. Contract No. RFPN15. 044 -(A41 Fringe Benefit% + Overhead% + General Administration% _ 50.79% 6%98% 45,79% BILLING INFORMATION CALCULATION INFORMATION Date; 6/8/2015 Combined Indirect Cost Rate (ICR) % 166.56% FEE%= 10% Name /lob T itle /Classification Hourly Billing Rates Straight OT(1.5X) OT (2x) Effective Date of Hourly Rate From To Actual Hourly Rate and /or Average Hourly Rate % or$ Increase HourlyRange - for classifications only Ron Wicks Project Manager $155,05 N/A N/A 9 1 2015 8/31/2016 - __ B 0% N/A 159.70 NIA N/A 9/1/2016_ , 8/31/2017 $54,47 3% N/A 164.50 N/A N/A 9/1/201 8/31/203, $56.10 3% N/A $169.43 N/A N/A 9/1/201 8/31/201 $57.78 N/A $174.51 NIA N/A 9/1/2019 8/31/20201 $59.52 -3% a% I N/A Karen Starr Certified Pro art Manager $15S.DS N/A N/A 2/17/2015 2/16/2016-2 8 0% N/A $159.70 N/A N A 2/17/201 2/16/2017 $54.47 3% N/A 164.50 N/A N A 2/1712017. 2/16/2018 $$6.10 3% N/A 169.43 N A N A 2/17/2018 2/16/2019 $57.78 3% N/A 174.51 N A N/A 2/17/2019 2/16/2020 $59.52 3% N/A Charles Jones Sr, Acquisition Agent $135,03 N/A N/A 2/17/2015 2/16/2016 0% N/A $139.08 N/A N/A 2/17/2016 2/16/2017 $47.43 3% N/A $143,25 N/A N/A 2/17/2017 2/16/2018 $48,85 3% N/A $147.55 N/A N A 2/171201 2/16/2019 $50.32 3% N/A $151.97 N/A N/A 2/17/201 2/16/2020 $51.83 3% N/A Eva Polizzi ROW Analyst $72.60 N/A N/A 2/1712015 2/16/2016 - b% N/A $74.78 N/A N/A 2/171201 2/16/201 25.50 3% N/A $77.02 N/A N/A 2/17/2017 2/16/201 $26.27 3% N/A $79.33 N/A N/A 2/17/2018 2/26/2019 $27.06 3% N/A $81.71 N/A N/A 2/17/201 2/16/2D20 $27.87 9% N/A Kathy Cabanllla Relocatlon Agent $8'1.75 N/A NIA 2/17/2015 2/16/20,1 . 8 0% N/A $84.20 N/A N/A 7./17 2016 2/16/201 $28.72 3% N/A $86.73 N/A I N/A 2/17/201 2/161201 $29.58 3% N/A $89.33 N/A N/A 2/17/2018 2/16/201 $30.47 3% N/A $92.01 N/A N/A 2/17/201 2/161202 $31.38 3% N/A Jesse Ortiz, Relocation Agent $82.69 N/A N/A 2/17/2015 2/16/2016 - 0% N/A 85.17 N/A N/A 2/17/2016 2/16/2017. .$29,05 3% N/A 87.72 N/A N/A 2/17/2017 2/16/20181 $29.92 3% N/A $90.35 N/A N/A 2/17/2018 2/15/201 30.81 3% N/A $93.06 N/A N/A 2/17/201 2/16/20 20 31.74 3% N/A Marta Martinez Project Support $80.63 N/A N/A 2/17 2015 2/16/2016 - - 0% N/A $83,05 N/A I N/A 2/17/201 2/16/2017 $28,33 3% N/A 85,55 N A N/A 2/17/2017 2/16/2018 $29.17 3% N/A 88,11 N/A N/A 2/17/201 2116/20L 30.05 3% N/A $90,75 N/A N/A 2/17/2019 2 16/2020 $30.95 3% N/A Maria Perez, Admin $30.79 N/A N/A 2 17 2015 2/16/2016 0% N/A $31.71 N/A NIA 2/17/201 2/16/201 $10.82 3% N/A $32.66 N/A N/A 2/17/20 2/16/2018 $11.14 3% N/A $33.64 NIA N/A 2117/2018 2/15/201 $11.47 3% N/A $34.65 N/A N/A 2/17/20 2/16/202 $11.82 3% N/A Bryon Johnson, Admin $48.39 N/A N/A 2 17 2015 2 1G/201fi 0% N/A $49.83 N/A N/A 2/17/2016 2 16 2017 $17.00 3% N/A $51.33 NIA N/A 2/27/2017 2/16/2018 $17.50 3% N/A $52.87 N/A N/A 2/17 2018 2/16/2019 $18.03 3% N/A $54.45 N/A N/A 2 17/2019 2/16120201 $18.57 3% N/A Michele Wachtfo el Contract Administration 90.22 N/A N/A 2117/2015 2/1612016 __- - 0% N/A 92.93 N/A N/A 2/17/2016 2 16/2017 $31.69 25L -211 25L -212 $95.72 N/A 2 17 201 2 16(201fl _ $32.64 3% N/A $98.59 N A _N/A N A 2/17/201 2/16/2019 $33.62 3% N/A 10155 N/A _ N A 2/17/2019 2/16/2020 $34.63 3% N/A Juliet CartOlanO Budget & Financial Controls $91.63 N/A N/A 2/17 2015 2 36 2016 __ 0% N/A $94.38 N/A N/A 2/17/2016 2/161201 $32,19 3% N/A� $97.21 N/A N/A 2117/2017 2/16/201 33.15 3% N/A 100.13 N/A N/A 2 17/2018 2/16/201 $34.15 3% N/A $103,13 N/A N/A 2/17/2019 2/16/2020 $35.17 3% N/A 25L -212 EXHIBIT C CERTIFICATIONS 25L -213 (A4) Acquisition /Relocation x DF APP A [=A'I'TACIHIMENT3-1:N40N-C(OLLUSIONAFtFilDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSAL FOR ON-CALL RIGHT OF WAY SPECIALTY SERVICES l?YP NO.. 15-044 NON-COLLUSIQN Ala F—IQA—VIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTN ENT 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 of indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has act 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 net in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any TUDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDEE, 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, father, 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 file signature portion thereof shall also constitute signature of this Non - collusion Affidavit, BIDDERS are cautioned that making a false cerfiEpt fin 'Amay subject the cergfier tq,:riiqrirud prosecution. Signed Stale of County Subscribed and sworn to (or affirmed) before me on this _4_ day of e_- 20 a by '+ _ 4:j� proved tome on the basis of satisfactory evidence to be the person(s) who appeared before me. Jory Public Sign ti oe City of Santa Ana RFP 15-044 Page 28 25L-214 t Ft (A4} Acquisition /Relocation APPENDIX ATTACHMENT 3 -2: NON- IIOUDYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA RE QUE ST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.* 15.044 The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that• I No federal appropriated funds have been paid or will be paid, by or on behalf ofthe 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 Coagress, 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 contraid, grant, loan, or cooperative agreement. 2, if any fiords 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, all officer or employee of Congress;, or an employee of Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a'Disclusure 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, If.& Code. Any person who fails to file the required certification shall be subject to a civil penalty of less than $10,000 and not more than $100,000 for each such fallure. The prospective participant also agrees by submmtting his or her bid or proposal that he or she shalt require that cbe language of this certification be mclgded m all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accerd'nrgly. Firm Epic Land .Solutip" Inc. Signed and Printed Name: 'title Batt: 06 -04 -I5 City of Santa Ana RFP 15 -044 Page 29 25L -215 L. (A4) Acquisition /Relocation APPENDIX ATTACHMENT 3 3: NON -DISC, RIMINATION CERTIFICATION CERTIFICATIONS` CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15 -044 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 Consultrant 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 by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of Cfty of Santa Ana RFP 15 -044 Page 30 25L -216 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 subcoasultant 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 Statcs. 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, rational origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating this Section is subject to all the penytiespuposed for a violation of the Chapter, Signed: L4a,�—'Z4 Title. Vic President Firm; Epic Land Solutions, lac, Date: 06-04-15 City of Santa Ana RFP 15-044 Page 31 25L-217 EXHIBIT D ADDITIONAL PROVISIONS 25L -218 EXHIBIT 10 -H Specific Rate of Compensation (Use for OnrCall or As- Needed Contracts) Consultant or Subconsultant: EPIC LAND SOLUTIONS, INC. Contract No. RFPM15- 044 -(A4) Fringe Benefit% + Overhead% + General Administration Y. _ 50.799 69.98% 45.79% BILLING INFORMATION CALCULATION INFORMATION Dater 6/8/2015 Combined Indirect Cost Rate (ICR) % 166.56% FEE % - 10% Name/Job Tltle /Classification Hourly Billing Rates Straight OT (1.5x) OT (2x) Effective Date of Hourly Rate From To Actual Hourly Rate and /or Average Hourly Rate % or $ Increase Hourly Range - for classifications only Ran Wicks Project manager $155,05 A 9/1/2015 31/2016 p% N/A 159,70 /A 5/l/201 8/32/201 $54.47 3% N/A $164.50 A 9/1/2017 8/31/2018 $56.10 3% NIA 169.43 N77- /A 9/1/201 8/31/201 $57.78 3% N/A 174.51 /A 91112019 8 31 2020 59,52 3% N/A Karen Starr Certified Pro a Mena Par $155.05 A I/AN 17 2015 2 16 2016 p% N/A $159.70 /A 17 201 2/16/2017 $54.47 3% N/A 164.50 /A 2/17/2019 2/16 2018 56.10 3% N A $169.43 A 2/17/2018 2/16/2019 57.78 3% N A 174.51 /A 2/17 2019 16 2020 59.52 3% N/A Charles Jones Sr. Ac uisition A ent $135.03 A 2/17 2015 1G 2016 0% N/A $139.08 A 2/17/201 2/16 2017 $47.43 3% N/A $143.25 N/A N/A 17 2017 2/16/2018 $48.85 3% N/A $147.55 N/A NIA 2/17/201 2/16/2019 $50.32 3% N/A 151.97 NIA N/A 2/17/2019 2/16/2020 $51.83 3% N/A Eva Polizzi ROW Analyst $72.60 N/A N/A 2/17 /2015 2 16 2D16 -- ,. 0% N/A $74.78 N/A N/A 2/17/201 2/15/701 25,50 3% N/A $77.02 N/A N/A 17 2D17 2116/201 $26.27 3% N/A $79.33 N/A N/A 2/17J201 2/15/2019 $27.06 3% N/A $81.71 N/A N/A 2 17 2D19 2/1612020 $27.87 3% N/A Kathy Cabandla Relocation Agent $81.75 N/A N/A 2/1712015 2/16/201 0% N/A $84.20 N/A N/A 2/171201 2116/201 $28.72 39, N/A $86.73 N/A N/A 2/17/201 2/16/201 $29.58 3% N/A $89.33 N/A N/A 2/17/2018 21161201 30.47 3% N/A $92,01 N/A N/A 2/17/2019 2/16/2020 $31.38 3% N/A Jesse Ortiz Relocation Agent 82.69 N/A N/A 2/17/2015 2/16/2016 0% N/A 85.17 NIA N/A 2117/2016 2/16/2017 $29,05 3% N/A $87.72 N/A N/A 2117/201 2/16/201 $29.92 3% N/A $90.35 N/A N/A 2/17/2018 2/16/2019 30.81 3% N/A $93.05 N/A N/A 2/17/20191 2/1612020 $31,74 3% N/A Marta Martinez Pro ect5up ort $80.63 N/A N/A 2/17/201 2/16/2016 0% N/A $83.05 N/A N/A 2/17/201 Z/16/201 $28.33 3% N/A 85.55 NIA N/A 2/17/2017 2/1.6/2019 $29.17 3% N/A 88,11 N/A H/A 2/17/201 16/2019 $30.05 BY N/A 90.75 N/A N/A 2/17/20 2/3.6/2020 $30.95 3% N/A Maria Perez Admin $30.79 NIA N/A 2/17/201 16/2016 _- 0% N/A $31.71 N/A N/A 2/17/201 2/16/2017 $10.82 3% N/A $32.66 N/A N/A 2/17/2017_ 2/15/2018 $11.14 3% N/A $33.64 N/A N A 2/17/2018 2/16/201 $11.47 3% N/A $34.65 N A N/A 2/17/201 2/16/202 $11.82 3% N/A Bryon Johnson, Admin 48.38 N/A N/A 2 17 2015 2 16 2016 0% N/A $49.83 N/A N/A 2/17/201 2/16/201 $17.017 3% N/A $51.33 NIA N/A 2/17/2017 2/16/2018 $17.50 3% N/A $52.87 N/A N/A 2/17/2018 2/15/2019 $18.03 3% N/A _ $54.45 N/A N/A 2 17/2019 2/16/202 $18.57 3% N/A Mlchelo Wachtfogel, Contract Administration $90.22 1 N/A I N/A 11 2/17/2015 2/16/2016 _ __- 0% N/A 92.93 1 N/A I N/A 2/17/2016 2/16/2017 831.69 1 3% N/A 25L -219 25L -220 95.72 N/A N A 2/17 2017 2 16/201B $32.64 3% N/A $998..59 N/A NIL 2/17/2018 _ 2/16/2019 $33,62 3% N/A $101.55 N/A N/A 2/17/201 2/16120201 $34.63 3% N/A Juliet Cartolano Bud et & Flnanclal Controls 91.63 N/A N/A 2 17/2015 2 16 2016: 0% N/A $9438 N/A N/A 7/.17/201 3% N/A� $97.21 N/A N/A 2 17 2017 2 16 2018 $33.15 3% N/A 100,13 __N LA N/A 2/17/2018 2/16/2019 $34.15 3% N/A $103,13 N/A N/A 2/17/2019 2/16/2020 $35.17 3% N/A 25L -220 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 5 "' day of August, 2015 by and between Overland, Pacific and Cutler, Incorporated, (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of Acquisition and Relocation Services. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Consultant shall perform those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total stun to be expended under this Agreement shall not exceed $300,000 during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on August 5, 2018, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. Exhibit 8 25L -221 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. 25L -222 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. 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. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, reeldessness, or willful misconduct of the Consultant. 25L -223 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. 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 in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. 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: 25L -224 To City: Cleric 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: To Consultant: Fred Mousavipour, Executive. Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -5654 Overland, Pacific & Cutler, Inc. Mark La Bonte, SR/WA, Vice President 1 Jenner, Suite #200 Irvine, CA 92618 mlabonte(a),opc services. com 949- 951 -5263 (Office) 949 - 951- 6651(Fax) Jose Sandoval Assistant City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714 - 647 -6515 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. 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 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. 25L -225 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 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. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 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. 25L -226 19. MISCELLANEOUS PROVISIONS a. Additional provisions, if any are identified as Additional Provisions, Exhibit I1, attached hereto and incorporated into this Agreement by reference, b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their - respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees,, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. 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. Maria D. lIuizar Clerk of the Council APPROVED AS TO FORM. SONIA, R. CARVAL140 City Attorney By. Jose dov Assi , nt City Attorne RECOMMENDED FOR APPROVAL: Fred Mousavipour Executive Director :Public Works Agency CITY OF SANTA ANA David Cavazos City Manager CONSULTANT: Overland, Pacific & Cutler, Inc. Mark La Berne, Vice President Tax ID # 25L -227 EXHIBIT A SCOPE OF SERVICES 25L -228 June 8, 2015 Mr, Kenny Nguyen City of Santa Ana Public Works Agency 20 Civic Center Plaza; 3rd Floor Reception, Ross Annex Santa Aria, CA 92701 Re: RFP No. 15-044 — On -Call Right of Way Specialty Services Specialty Area (A4) Acquisition /Relocation /PM Dear Mr. Nguyen: Overland, Pacific & Cutler (OPC) understands the City of Santa Ana Is seeking professional consulting firms to provide right of way and related services on an as- needed basis. We are pleased to submit this proposal for specialty area (A4) Acquisition, Relocation, and Property Management Services. OPC Is a California Corporation that has specialized in providing real estate services to government agencies since 1980. We are prepared to provide the City of Santa Ana with a qualified team that will successfully execute your projects. OPC has worked with the City of Santa Ana for almost 15 years, providing services on many projects including the Warner Avenue project, Bristol Street Widening Project, McFadden Realignment Project, and the Grand Avenue Widening, among others, We are excited about the opportunity of working with the City again. On behalf of Overland, Pacific & Cutler, Inc., I would like to thank you for giving us the opportunity to submit this proposal to provide acquisition and relocation services to the City of Santa Ana, I will act as the Point of Contact for the city. 1 can be reached in the Irvine office at 949.951.5263; or contacted via email at miabonte@opgseEices.com. We are committed to the City and we would be proud to be a part of your future projects. We are in receipt of the Addendum released and have adjusted our proposal accordingly. 25L -229 RFP No. 15 -044 — On -Call Right of Way Sp "l. Statement of Qualifications b. Agreement Statement OPC has reviewed the Agreement and we request no exceptions. c. Understanding of Need On-Call R/W Contracts are markedly different from "project specific" R/W contracts, OPC has On- Call contracts with many governmental agencies and we have served dozens of local public agencies through On -Call R/W Delivery contracts. These contracts are unique and require a special skill -set from the R1W services provider, Availability. First, the on-call R/W services provider has to "be available" now and in the future for any and all projects requiring support, This takes a large bench of available and property trained PJW Professionals -- no other firm can match OPC's strength In this area. Knowledge. The on -call R/W services provider has to be skilled in all aspects of the RM process — from title, utilities, Federal and Caltrans processes, design -build guidelines, appraisal, acquisition, relocation, certification, and through to property management. You should note that only OPC has expert in•houselempioyee staff members in these key RAN roles. Notjust for this contract but as the standard operation of our firm. Consistency, Continuing our relationship with the City of Santa Ana and being available to you for the years ahead, (especially in today's trying economic climate), necessitates the selection of a firm that's been around for a while and can assure you of consistency in management. OPC has been here in the Southland for more than 30 years. You will have the consistency you require If you select OPC. Adaptability. The final trait of a successful on -call R/W service provider is the firm's ability to adapt to the constantly - changing world In which you operate. Your objectives change with shifts In funding, priorities, politics, approvals, etc. We've seen It alt. Yet in spite of it all, we are able to quickly adapt, re- prioritize, and carry -on to meet the clients' objectives. At OPC, we never lose sight of the foetthat your mission is ours. ntfafpated Approach Early Project Planning and Management, The first, and probably the most important element of our Project Management Approach wilt be to meet with City staff early to determine the project requirements and objectives and establish lines of communication and reporting requirements. With each project CTO, OPC will create a comprehensive Right of Way Plan in compliance with the City's adopted Right of Way Policies and Procedures Manual, a schedule for completing the work and establish a fixed cost amount in compliance with the City of Santa Ana's CTO requirements. The tool OPC uses for this phase is a "Project Development Guide" (PDG). OPC has a PDG for acquisition (and a separate PDG for relocation assistance). The input of the PDG Is performed at the onset of a new project and is typically completed by OPC with collaboration among the client and the project engineer. The information derived from the PDG is input into OPC's case management system and allows us to create a formal Right of Way Plan and project schedule. CPC's Right of Way Plan and schedule will list each task and Identify the activities that must be completed immediately prior to the start of the next task, OPC's Right of Way Plan will encompass all phases of R/W work as well as other disciplines to ensure the entire right of way program is orchestrated effectively and efficiently, without delay to the construction schedule. The Page 4 25L -230 9.YfPf.TNP 4T.L i.F IC't CL f t I P. 1zF4 RFP No. 13-075 On -Call Right of Way Specialty Services key tracking device in OPC's Right of Way Plan Is our right of way acquisition case management system which holds all information about each parcel /interest and will be utilized to generate status reports, offers, deeds, documents, and any requested project certification. A right of way schedule will be utilized to monitor the completion of project milestone and the progress of individual cases. Preliminary Title Work. Early in design (usually In an earlier phase of project development), OPC All secure ,preliminary title information consisting of the property profiles and Assessors maps available from our subscription services. Once R/W Impacts are identified with certainty, OPC will procure preliminary title reports from a local title company or the preferred title company of the City, OPC also carafuity studies the existing use of the land and the ownership of adjacent lands to ensure that we do not miss any "larger parcel" identifications involving commonly- owned parcels not Impooted by tits project design. The title company will ultimately insure the title tothe Pre - Appraisal Activities, Prior to ordering real estate appraisals on the needed interests, we will carefully study the project (reeds to create an accurate scope of the .appraisal work. We will identify variable items such as length of time for TCE's, whether the interests need to be staked or not, preferred treatment of signs and improvements, what assumptions the apprafserwlll make regarding soils conditions, larger parcel °determinations, etc. We will ensure that proper appraisal maps artd construction drawings (likely at 65% complete) exist and that the legal descriptions and plat maps are delivered to the appraiser for Inclusion in the report, In this phase, OPC will prepare the acquisition filet; and present the property owner with preliminary information contained within a Notice of Decision to Appraise including the City's acquisition policies and procedure$. Acquisition and Negotiation. The Acquisition Package. OPC will receive and review the completed appraisal, have it reviewed as necessary based on project funding, and secure authorization from the City identifying the amount of just compensation to be offered. Using input from our Project Development Guide and Acquisition 'Plan, OPC will craft Individual 'offer and agreement packages for each needed ownership and have them signed by the City's authorized representative prior to delivery. On projects with Federal funding requiring the,use of Caitrans policies and procedures pursuant to a cooperative agreement, or for rights of way that will ultimately be transferred to State ownership, OPC; will coordinate with'Caltrans Local Assistance to ensure that our proposed agreement and deed formats comply with State policies. NegptiaJiop§ witb t'e Fee Owner. Before presenting the offer, a trained in -house OPC acquisition consultant will prepare for the negotiation by completing comprehensive review of all `title reports and underlying record documents, reviewing the appraisal and engineering plans; legal descriptions and right of way maps and other information relevant to the project, Our trained negotiators will personally deliver all offers and negotiate in good faith the acquisition of the Interest while keeping the Project Manager and the City informed of the status of the negotiation along the way. Negotiations will involve an interactive, face -to -face discussion with the property owner about his/her property, explanation of the project and its impacts to the property; explanation of the appraisal process and how the value was concluded, as well as answering any questions or concerns the owners may have. All of our agents are licensed with the DRE and trained to utilize a non - coercive, integrative negotiation style to overcome all hurdles in reaching a settlement in the most efficient manner possible. Our agents will negotiate in good faith, with an open mind for creative solutions that would be mutually beneficial to all parties involved. In the event a counter 25L -231 RFP No. 15- 044 — On -Call Right of Way Specialty Services proposal is made, OPC will evaluate its merits and make recommendations if It Is felt that an administrative adjustment or settlement is warranted based on the facts. - Supplemental negotiations may also include addressing any objection or question concerning the project the owner has by conferring with the City's Project Manager. Negotiations will continue to the point of acceptance or a determination that no acceptable settlement can be reached, (Sy way of example, however, OPO carries a 95% settlement rate). SettlementfClosin s. Upon City approval of the appropriate documents, our negotiator will request the opening of an escrow through our in-house escrow coordinator, by submitting an instruction letter and providing the purchase contract, requested title insurance coverage and notarized Deed to the escrow coordinator. OPC will have the title company handle the escrow activities -- typically the same company that supplied the preliminary title reports. OPC will assist with any due diligence requirements and resolve adverse title conditions preceding the close of escrow and will coordinate payment of just compensation, The;City of Santa Ana will be furnished +Frith copies of the recorded Deeds and title insurance policies following the close of escrow. In the event that the property cannot be acquired by good -faith negotiations, OPC's assigned negotiator or the Project Manager Will assist the City with condemnation support by ordering updated litigation guarantees, coordinating with the attorney and any other tasks necessary to take possession. During the course of the acquisition process, OPC will maintain a complete acquisition file of ell correspondence, offers and contacts with each property owner and the City. We will provide the City with- written status reports at the prescribed interval and confer with the City's Project Manager as needed. OPC will maintain a current Acquisition Checklist showing each successfully negotiated parcel and outline any special terms agreed to with a recommendation for City action. Escrow Coordination. If by Negotiated Settlement, OPC will assist the escrowititle company with the following. ,OPC will open escrow and coordinate execution of closing instructions providing for title insurance coverage at the settlement amount, We will provide the escrow officer with the fully executed acquisition contract and the notarized deed. OPC will - review settlement statements for accuracy and coordinate deposit of acquisition price and estimated closing costs With escrow. After the closing, we will review the title insurance policy for accuracy. Finally we will prepare and mail a letter to County Assessor requesting cancellation of taxes, if appropriate, Relocation Services. The first task in the planning phase of .a relocation project is the initial meeting with the affected occupants to provide them with an overview of the relocation process. During this meeting our agents will explain what they can expect from the relocation program, the benefits they are eligible to receive, and the advisory assistance that will be provided, The last task during the planning stage is the preparation of the Relocation Plan. The Relocation Plan will determine the level of service needed for subsequent relocation assistance activities based on the personal interviews conducted with all affected occupants. The Plan will thoroughly describe the affected project occupants, identify the procedures and the program the City will follow, identify the availability of comparable properties, and provide a relocation budget estimate. Once the OPC relocation agent confirms that the contact letter was provided to the owner or tenant (when offer was made), the relocation agent will begin to provide advisory services to any of the potential displacees, We will meet with the tenant in person to explain the relocation process, the likely timeline, and the claims - reimbursement policies of the City, One factor that differentiates us from others is the level of effort we devote to our claimants. We believe In routine personal visits with families being displaced and a lot of personal attention. This not only speeds up the process, but builds goodwill in the agency using our service. W-M 25L -232 VIP A Filth cUa4[n INC 5'V.tavaha 4A Cl EIYb iptU e. urt. RFP No, 13 -075 On -Gall Right of Way Specialty Services Specialty Area (A4) Acauisition, Relocation. and Prooertv Property Management. OPC has provided the City of Santa Ana with Property Management on many projects. In general, our property management services fall under the following four categories. Lease Agreements, OPC will provide our own lease agreements or use those provided by the City for all new and carry-over tenants. Lease agreements will be fully executed, with originals kept on file with terms regularly reviewed and enforced to help protect the City. Marketing and Leasing. OPC will conduct market surveys and provide results to the City with recommendations. Decisions will be made to continue renting to current tenants, re -rent vacant properties where appropriate, or adhere to a "no re- rent' policy for relocation projects where vacated units will not be made available for re- occupancy, whatever is most advantageous to the City. Accounting. OPC will establish an expense account on behalf of the City, collect rents, deposits and other income; pay vendor invoices, utility bills, refunds, and other expenses, maintain records per generally accepted accounting practices, and provide regular reporting to the City for complete transparency. Property Monitoring, Maintenance, and Repairs. CPC will secure properties, regularly monitor them for illegal activity, and perform or arrange for required maintenance and repairs to help protect the City's assets. Tasks Necessary For Successful Completion of Scope The following outlines the sequential and necessary activities to complete Acquisition and Relocation assignments. 5) and 3. 9) or Egye, ussaw ENuvi �ayq ,FCUCaas�!y ,v, gal ua, auyutnAUV,rN6�+1�kF� .. Negotiate Right of Way SettlementlPrepare Acquisition Documents 1) Establish /maintain complete record file for each ownership in form acceptable to City. 2) Receive and analyze title info,, approved appraisal reports, and legal descriptions in sufficient detail to negotiate with property owners and other parties. 3) Prepare offer letters, summary statements, and lists of compensable items of fixtures /equipment in accordance with state or federal regulations and approval of City. 4) Present written purchase offers to owners (or representatives) In person, when possible. Secure receipt of delivery of offer as practical and present and secure tenant info. statements, as applicable. 5) Notify relocation agent of initiation of negotiations within 2 business days and provide appraisal info., occupant contact info., and tenant Info., as necessary. 6) Follow- 25L -233 RFP No. 15-044 — on-Call Right of Way Specialty Services Specialty Area (A4) Acquisition/Relocation/PM Page 8 25L-234 RFP No. 13.075 4n -Call Right of Way Sr Specialty Area (A4) Acquisition, Relocatk hardships on claimants, referrals t( housing, and public services. 4) Docur returns, and /or cash affidavit. 6) Ass[ and tenant. 7) Create rent schedule ( claimant provide referrals with 3 sets available sites until at least one apprt exists. Provide evaluation form requ( secure response from claimant. 9) comparable with authorization of Cit findings /Impacts on occupant. Amend availability changes over course of as sites and Of Services party Management Services i with community service resources; public rent paid. 5) Verify income using pay stubs, tax .conciliation of FF &E ownership among owner by City). 8) Search /document comparables for housing referrals every 4 -6 weeks, search for as been found or determined that no such site ick as to suitability of site referral; attempt to ter of eligibility based on most appropriate ar letter of eligibility to claimant and discuss ibliity one time If economics of the comparable ) Prepare and deliver 90 -day notices to vacate of payments, and /or fixed payments, 1'7) Residential moves:. securelprocess an advance claim to assist with move and second final claim incorporating moving costs and rental /purchase differential payment once family has moved to site. Non - residential moves: secure /process moving assistance, re- establishment, In -lieu; or settlement claims ensuring no item was duplicated in acquisition process. 18) Claim will be signed by claimant, supported by appropriate back -up and reviewed by OPC's project manager for recommendation before submitting to City for approval. Each claim check will be delivered to claimant in person (as feasible) and a receipt of payment will be secured. claim processing. Post Possesslop l er' 17 objectives (if desired). 2) Ci' liectldelfver monthly whether there are any vacant nest to property owner, secure Prepare /present Loss: of Rent s vacated by relocation agents )tore and track vacate dates for rental agreements with project City. 3) Prepare /deliver required notices, 4) Manage emergency and unsafe condition repairs. 5) Contract on -going building /ground maintenance. 6) Manage payment of vendor fees 'and utility bills. 7) Collect keys /verify abandonment. 8) Provide monthly reporting to City. Post Possession: 1) Contract board -up, fencing, and security services as units become vacant. 2) Provide utility disconnection /meter removal. 3) Provide asbestos and demolition cost estimates. 4) Coordinate asbestos abatement and demolition contractors. Special Concerns We will continue to build our working relationship with the City of Santa Ana, and provide regular lines of communication to resolve any special concerns or issues that arise, reporting on any that need immediate resolution, We prefer proactive approaches to project issues, and provide thorough advanced planning to manage any project risks, Page 9 25L -235 EXHIBIT B FEE PROPOSAL 25L -236 m 9 OR V �a 0 U m U 8 Nei Uo U !� w oza 4 O U O �y 4 a d u a W O aU F z N O O Q O z U O U u ol b a, r� m vUy N I O O Qi C7 ho Hb b .n 8 O v M� vU G N m � Qa w o M O O W w Q [IZo F-I Q u • • J J 25L -237 w In 4 N H R ~ ac h 0 a a a = � 2a dF'w d J Y Y z Paz z z z O O 4 P 9 T P O O O O 4 0 0 0 0 0 0 0 0 0 4 0 4 0 0 0 0 0 0 0 0 0 0 � 9# �+i e�i e+i ni cri mim mttim m cri �+i rim mni mim mcri cri C c G a6 Hen^ meY m ,ry h•+N boo 90 +n 40 moo. -rnm'+m m V 6�0 mv� et m�e 00000 o In m,N, � Vi m N G O LAi v"h 5�q bh9 b@ 509 fi�A Ef} 69 fH 69 69 6m9 6m9 6m9 6m4 6m4 69 fi 6~4 6~9 V3 69 Q .0 In 'n N VI N 0 0 0 0 In In 0 0 In In In In 0 0 0 0 VI V1 V1 In In Y1 0 0 0 0 I In V) In In ti o a a o 0 � �1�'1�1 mm mmmmm n n�1 y.Ln y�im m m m � G* ul h V'1 Vf Vt Vt V1 Y1 Vl 4) h 4] h Ut V'1 V1 Vf Y] vl V1 N 4"1 O O O O O k-I ON O p O 0 0 C C 0 0 0 0 0 0 0 0 0 0 0 0 0 6 C 0 0 0 0 0 o a o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 mo 7 rnl�vi 000 mh Nh v1N Nan ryo�o N, MNba 1` mb �n.- �omrn�n Nbb h .�o mt- � n 5In as b`n vii �1r Fps fsi bs I P ss i in vs wi. G b0', tmn,�mh fib? ti O NT.� -� N�m}N E' ^ l Op WO [--V M 069 �.-n m �— Cq F �i rui rn v3 us Fn 54 s6�Ch'(�` 9 cn 59 -+�e� �r Y1 bs c9 v3 vs bs X949 F56969 Y CT W �QON rn w ry rn m N W e ry ^� N o w e bbC V'baa r; O �n w v h bmOIN o m �- m co er bryry ANNC o M O m O 'O � m b Oi N [V ' i' Ci [-- sh ba 55tltl b ka N al y� a O �] b N 4.�0n b, P. SQ, O � � � � F � ti R YY�� N O a O vJ "' ❑❑f iC qO ❑o o.� o'�nr Do km S old 25L -237 w In 4 N H R ~ ac h 0 a 2! �f \{ ) ) \ � ]/q . \Ej � \ \\ !f) 4{\ k)= ¥7< /#a {({ � §7§ §fs $�§ . ef) {�) | /\f k) 3 ;ew x 25L-238 ay F N N W 0 b M a m a QI V v V U (O� W❑z C W cl cz W O Q u .n 0 N N c m 0 U 25L -239 I z q � F m v •°o II U 0.Q V• ° 'wP, m im'. � •pFq� rd L p .G ��1 �• p p Wyp 6 Y o f5% •5 z � Z w O - m w C � '�W'• o N F v cnd0]d $ t3 I 4a1U 8 � •° � Vl N � � O F o 4 U- pl.ya �U,.71 Vl ° J7 E•1 A yUy II yO—. JY+ ey� A Qp •+ N M V h �O 1" W w1 z O U F U �ppp..777 — O _ � � O �A A d,' ¢�pU Fti ¢'aiiS 25L -239 I z q � m v •°o 0.Q V• ° 'wP, m im'. � •pFq� rd L p .G ��1 �• p p Wyp 6 Y o f5% •5 m w C � '�W'• o N v o $ t3 I 8 � •° � Vl N � w o 4 U- pl.ya Vl ° J7 E•1 A yUy yO—. JY+ ey� A yU •+ N M V h �O 1" W w1 RFP No. 15 -044 — On -Call Right of Way Specialty Services d. Firm and Team Experience tip `s Experience Overland, Pacific & Cutler (OPC) was established as a California Corporation in 1980 to provide professional services for clients with projects Involving right of way program management, land and right of way acquisition, feasibility analysis, real estate appraisal, appraisal review, relocation planning and implementation, property management, and utility coordination. Our fl €m was created to perform these services for transportation, development, public works, housing, community development, school distracts, energy, and utilities. Local, regional; state, and federal agencies call upon OPC to provide on -call and project based real estate services for their most challenging assignments, Project Team and Resumes The following outlines the proposed team, Including the (approximate) percentage of time each team member will devote to the project, One page resumes for the key team (denoted by `) are included on the next pages, (Truncated due to page limitations). Project ManagementfProject Initiation Mark La Bonte* Principal -in- Charge Darryl Root, R1W -RAC' Program Manager Daniela Borbe Project Manager! Property Management Supervisor Negotiation and Acquisition Services Roy Cuinalda Project Manager, Acquisition Mona Montano Sr, Acquisition Agent Mario Germ Sr. Acquisition Agent Albert Harmon Acquisition Agent Eddie Quintero Acquisition Agent Relocation Assistance cervices Michele Folk, SR/WA, R/W- Sr. Program Mgr., Relocation RAC, R/W -URAC, R/W -NAC Chad Wakefield Project Manager, Relocation Laura Kane, SR/WA, R!W -RAC Sr. Relocation Agent Middle Alfaro Sr. Relocation Agent Jill Craig Sr, Relocation Agent Karen Christie Sr. Relocation Agent Angle Luna Sr. Relocation Agent Eddie Quintero Sr. Relocation Agent Property Management & Maintenance Daniels Borbe Property Manager /Supervisor Karen Christie Registered Property Manager OPC Accounting /Finance Accounting, Billing, etc. OPC In -House Field Crews Property Maintenance Page io 25L -240 Percentage of titne to be doe goad to project �25% 40% 50% 30% 25% 25% 25% 25% 30% 30% 25% 25% 25% 25% 25% 25% 50% 50% As Needed 85% m ,h w� o� s m M w .n m a ry m :'a `.��a.n'- •.°om3N Cr,+�+. am. n'i�ry.�C. i^rv"a •-.i .„m a .`', cc �' N ..N � �l µ .+ {N"aAh h-4 n i. iy >. aim "�a A i. 5� N r1 �q +^I J1 ff! N ll1 N uZ tl O h al N M N 4p N N C N (} N Lq N N G 6 Q 4 9 m V 'p4p Q G m z � � � O 9 b qt"� 9 �' � � b � O •v b � ¢ 0. rv''.ry :v a �t v o� n� � � L L E r m x � � g e C G" EXHIBIT C CERTIFICATIONS 25L -242 APPENDIX ATTACHMENT 3 -I. NON - COLLUSION AT, FIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQ1JFST FOR PROPOSALS FOR ON -CAGE RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15-044 NON- CQLLUSION 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 pot 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 thereat, or divulged hiformadon 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 shell also constitute signature of this Non- collusion Affidavit, BIDDERS are cautioned that making a false certification may siibjePt-fheortifier 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 tie, — -Selo a4aer ed Notary Public Signature Notary Public Seat Ana F rge 28 25L -243 i A notary public or other officer completing this certificate verifies only the identity of the Individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document, State of California County ofkP Aed Subscribed and sword to (or affirmed) before me on this 2 day of ua.t za € by NIt� �rja, f i r�1 Lra proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. ltd.( 11 Qi k (Seal) Signature �i 1I t► DESCRIPTION OF THE ATTACHED DontroEf ri- (111 or deauipUcn of altach� �'srlL�e9! +— l5 tt4R (Ties ord criptian ofattaehad documantcenfinaed) Numberof Pages _L DocumentDateC& tom AMOOftal Intonnafon 9w5 Version vnvw.NotaryCtasses.com 8n(1- n98C'5 DANIELA BBRBE 9;5�0 ComfAA 20949 39 NOTARY P!I UCdALIFCRNIA N OPAR01 COON" W CbM EEp. JAN. 71,201 a# The wptdtn901911.10refs aempieead in caGIDmfa aBerAoRMTI, 2g15niustborn 'he form as set iota Mign En, Just There are tm socepoons:. it jurat to be completed doss net Ihoewthis romp, lim notary most entmot Me verbloge by using ajuratstamp containing 11w Mract poring or a8a0bing a Warata(uat Fenn such as this one with does eo IM Me .proper somfeg, In addsflon, . the notary Must raquim an oath or of oVaNan lima the document signor rmrsocAng the truihAdness of The awrtents of the tecumeat The decumonl mustbo signed AFTER the oath or afirmaftca. lflha documdnf wn t Pm*usfy signed, @mustba t"tgaedin frontofthe notarypubNc dudnp thaAutatprocess. • State and county information must be the state and county where the document signer(s) personally appeared before the notary public. • Rata of notarization must be the data the signer(s) personally appeared which must also be the same date the jurat process Is completed. • Pdnt the name(s) or the document signers) who personally appear at the time of notarization. a Signature of the notary public must insist' rho signature on file with the ofticeof the county clerk, • The notary seal impression must be clear and phetographlcally reproducible. Impression must not cover text or fines. If seat impression smudges, to-seal if a suffictant area permits, otherwise complete e different jurat form. # Additional information Is not required but carld help to ensure this rural, Is nor misused or attached to a different document. Indicate title or type of attached document. number of pages and date. • Securely attach this document to the signed document With a staple. 25L -244 APPENDIX ATTACHMENT 3 -2: NON - LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15 -044 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. Fin„ Overland, Pacific & WI Inc. Signed and Printed Name: 0-1 Mark La Bonte, SRMA Title Program Manager/Princip Date 6/8/2015 City of Santa Ana RFP 15 -044 Page 29 25L -245 APPENDIX ArFACUMENT 3-3. NON-DISCRIMINATION criminCATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOP, ON-CALL RIGHT OF WAY SPECIALTY SERVICES RF P NW 15-044 The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: 1, The Consultant „hall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The COnsultrant shall take affirmative action to ensure that -applicants are employed, and that employees arc treated during employment without, regard to their rare, 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 C , ousultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 1 The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union orworkers' 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. S. 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 put-poses of investigation, to ascertain compliance with such rides, regulations, and orders, 6. In the event of the Consultant's non-compliance with the notichsQrintination, 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 by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of City of Santa Ana RFP 16-044 Page 30 25L-246 September 24, t965, so that such provisions will be binding upon each X4444 i or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8, Pursuant to Cali forniaLabor 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 sax of such persons, except as provided in Section 1420, and any contractor of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed;. Ti le: Program anagor /Principal Firm: Overland, Pacific & Cutter, Inc, Date: 6/812015 City of Santa Ana RFP 15 -044 Page 31 25L -247 EXHIBIT D ADDITIONAL PROVISIONS 25L -248 Local Assistance Procedures Manual EXHIBIT 10 -01 Consultant Proposal DBE Commitment EXHIBIT 10 -01 CONSULTANT PROPOSAL DBE COMMITMENT (Inclusive of all DBEs listed at bid proposal. Refer to instructions on the reverse side of this form) Cons' PlntAo Carnplete thi& eo,#an 1. Local Agency Name: City of Santa Ana Santa Ana, CA 2. Project Location: 3. Project Description: On -Call Real Property Services 4. Consultant Name: Overland, Pacific & Cutler, Inc. 5. Contract DBE Coal %: 4 DBE Commitment Information 6. Description of Services to be Provided 7. DBE Finn Conhactbrfannation 8. DBE Cart. Number 9. DBE % 0 Local A enc to Complete this Section I0. Total Claimed 9 % 16. Local Agency Contract Number, 17, Federal -aid Project Number: 1R.Proposed Contract Execution Date: Local Agency certifies that all DBE certifications are valid and the information on this form is complete and accurate: 11. Preparat t Mark La Bonte, SRM1A 12. Prop ser's Name (Print) Program Manager /Principal 19. Local Agency Representative Name (Print) 20. Local Agency Representative Signature 21. Date 22. Local Agency Represemative Title 23. (Area Code) Tel. No. 13. Preparer's Title 6/8/2015 949.951.5263 14. Date 15. (Ar'ca Code) Tel. No. Distribution: (1) Original — Consultant submits to local agency with proposal (2) Copy — Local Agency files LPP 13 -01 25L -249 Page 1 of 2 May 8, 2013 Local Assistance Procedures Manual EXHIBIT 10-K Consultant Certification of Contract Costs and Financial Management System EXIIIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of DLA -OB 13 -07- Safe Harbor Indirect Cost Rate for Consultant Contracts found athttp.11www.dodca.gov /hq /Lo calPrograms/DLA ORIDLA_ OB. htm in lieu ofthisform.) Certification of Final Indirect Costs: Consultant Firm Name: Overland, Pacific & Cutler, Inc. 01101/2013- Indirect Cost Rate: 160% *for fiscal period 1 2131 /2 01 3 (mm /dd /yyyy to mm/dd /yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period), Local Government: City of Santa Ana Contract Number: On -Call Project Number: 15 -044 I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Manaeement Svstem: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CPR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar. Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $19,045,589 and the number of states in which the firm does business is 3 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: LPP 15 -01 25L -250 Page 1 of 2 January 14,2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ 200,000 Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying (Print Name and Title): Name: Mark La Bonte Title: Program Manager /Principal Consultant Certification Signature * *: Date of Certification (mm/dd/yyyy): 06/0812015 Consultant Contact Information: Email: mlabonte @opcservices.com Phone number: 949.951.5263 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 US. C. 112(6)(2)(8), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31. 23 CFR Part 172.3 Definitions state: Consultant means the individual orfirm providing engineering and design related services as a party to the contract. Therefore, subconsultams as parties ofa contract must complete a certification and send originals to A &1 and keep copies in Local Agency Project Files, Distribution: 1) Original to Caltrons Audits and Investigations 2) Retained in Local Agency Project Files LPP 15 -01 25L -251 Page 2 of 2 January 14, 2015 Ma � a w v Q a � Q a Q U x�oz z z o Q G a O Q@ B N o Q U II G B O O C O O p 0 0 0 0 0 0 0 0 0 0 0 O O O O O o 0 y Mmrimm H mmmmmm mrimm O UHU Q � � M N N h ti N OG V i 09 M V O HO m YI O O O O O w -+y as `�' M d' en N tom N Mm69 mml 64 69 6.9 69 69 uIaNO EI3 Z,; 69 � H U V9 69 44 6 Yi 64 9 p r. O II q G Q ,c N w h V> N p a p p Q h 4R Q O H Vt W V1 o o b 0 - ill - - - - 4 0 0 4 0 o - — Vt g p 0 0 0 m��'l1mmm rn - mQ m,Q m m .G �NC�3 mm hlN ��n Q+` Q..[� Sam C [�N N e�J e�� N.Ni��ti b 000a00000000000000000a ti ry aa OOOOOOOOa NOa000000a0000 �vtn 00 ENO ON 01 C• mo0� mac Oi vi �'Qi w 4 h�N O oN CaG '�Y�Ph NaOh u'J V� NM (N�+1 �� F4 r, O Oi 01 .�-�O ~M Y1 V'; mhl h^ pv O o �r 1969 O�NCI =i'.b. is 69696969 O m'*TO�aoh �,m+.°.m.. .mid s969 �p vl .ym ��sNS to Fpb sn 65 v3�en. V�� a W R l eq s g No V •F F f9 (fl 64 64 � i0i � r� .7 U Iv 25L -252 QN �a G ti PI O N .l �I Q Q a � Q a Q U x�oz z z z z G a O Q@ B B 6 0 C OO O O B D G B O O C O O p 0 0 0 0 0 0 0 0 0 0 0 O O O O O o 0 y Mmrimm M mmmcnm mmmmmm mrimm O UHU e .rr3 � M N N h ti N OG V i 09 M V O HO m YI O O O O O w -+y as `�' M d' en N tom N Mm69 mml 64 69 6.9 69 69 uIaNO EI3 Z,; 69 � H ffl 4g 63 69 V9 V9 69 44 6 Yi 64 9 �tl O {. pqq, Q ,c N w h V> N p a p p Q h 4R Q O H Vt W V1 o o b 0 - ill - - - - 4 0 0 4 0 o - — Vt g p 0 0 0 m��'l1mmm rn - mQ m,Q m m .G �NC�3 mm hlN ��n Q+` Q..[� Sam C [�N N e�J e�� N.Ni��ti b 000a00000000000000000a ti ry OOOOOOOOa NOa000000a0000 �vtn 00 ENO ON 01 C• mo0� mac Oi vi �'Qi w 4 h�N O oN CaG '�Y�Ph NaOh u'J V� NM (N�+1 �� F4 r, aGm �v1 W Oi 01 .�-�O ~M Y1 V'; mhl h^ ON1`�^SM �r 1969 O�NCI =i'.b. is 69696969 O m'*TO�aoh �,m+.°.m.. .mid s969 �p vl .ym ��sNS to Fpb sn 65 v3�en. V�� ' R l eq s I 69 £9 69 63 69 69 f9 (fl 64 64 6 9 69 i .7 lb u a Eo^ C � � M1 N •Y ,CCj NN � ,ld .� � wI ki �� y � � {�r; Q0a�¢�a 25L -252 QN �a G ti PI O N .l �I 2 § § ) § \ ■ a 25L-253 7} ) ) � . \ , }}� \{ ) ,k \ \\ rya . /§) � ] §) }�{ §k® §f) . \ }/ 2t\ { ,* {\ \\ \ \\ 'El !e ;, w '� \ \ 25L-253 Fps R d O .. a QI D U N O N m W 'H O � U .Z O ® O F v G a� p U � � U �d Pr q i �R H O N N Q u U O V U 25L -254 i u a O v U N N O O a Y 9 @ P •V r'� � m a E-� � Op G tA o .� q Y � o v N � w � u7 N WO r� P U 'a O [7 0 V1 N UJ U 4 •O ti rGy� /`� V {O 7 O CJ ii •5 � .a b"i b ,N F a � d B •A � � � p �'¢cdciFdaici •� O r� q 'O OR �p O V Rp ¢ E� Vy N y •VN F•f �7 g 3 � •° •d � y � p E � � � s '� ® ^yam' O yy �� •e �y� yays a � A A 4 q .: tti ni ti vi �c r oa N p�� r•7 W a z O V) QpN, W 'Q PA CJ tHp h'ti OIU U � zOF U m �o A Q �FGU F+�P?U 25L -254 i u a O v U N N O O a Y 9 @ P •V r'� � m a � Op G tA o .� q Y � o v 'Oq p � m w � u7 N WO P U [7 0 V1 N UJ U 4 •O ti rGy� /`� V 'O�• ii •5 � .a b"i b ,N a � d B •A � � � 0O+} •� O r� q 'O OR �p O V Rp ¢ J f�j' Vy N y •VN 3 � •° •d � y � p E � � � s '� ^yam' ja ❑ai Y yy �� •e �y� yays a � A A 4 q .: tti ni ti vi �c r oa N p�� r•7 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 5th day of August, 2015 by and between CivilSource, Incorporated, a sole ownership entity, (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of On -Call Right -of -Way Program Management Services. 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 those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $200,000 during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on August 5, 2018, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. Exhibit 9 25L -255 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. 25L -256 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. C. 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. 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. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terns of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 25L -257 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. 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 in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. 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: 25L -258 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: To Consultant: Fred Mousavipour, Executive. Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -5654 CivilSource,Inc. Amy Amirani, Principal 9890 Irvine Center Drive Irvine, CA 92618 amv &civil- source. com 949 -585 -0477 (Office) 949 -585 -0433 (Fax) Jose Sandoval Assistant City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714 - 647 -6515 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, commnunication 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. 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 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. 25L -259 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 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. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as farther specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 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. 25L -260 19, NUSCELL NEOUS PROVISIONS a, Additional provisions, if any are identified as Additional Provisions, Exhibit D, attached hereto and incorporated into this Agreemu-nt by reference; b. Each undersigned represents and warrants that its signature herein below has the poster, 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 sash 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 or this Agreement. IN WrTNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above writtem Marra D. Huizar Clerk. ofthe Council i f ! f k)NIA R. A+tiR AL HO City Attorney By Jos Sandoval `- -. Ass' taut City Attorney RECOMMENDED FOR APPROVAL: Fred Mousavipour Executive Director Public 'Works Agency CITY OF SANTA ANA David Cavazos City Manager CONSULTANT, CrvtIsource, hie. Amy Az drani, President Tax Ili #205729456 25L -261 EXHIBIT A SCOPE OF SERVICES 25L -262 M8392528�� 23MEM City of Santa Ana Santa Ana Public Works Agency 20 Civic Center Plaza Santa Ana, CA 92701 CivilSource, Inc. 9890 Irvine Center Drive Irvine, CA 92618 Tel: 949-585-0477 Fax: 949-585-0433 wwwAvil-source.com 25L-263 June 10, 2015 Kenny Nguyen, Project Manager City of Santa Ana Public Works Agency 20 Civic Center Plaza Santa Ana, CA 92701 RE, On -Call Right of Way Specialty Services for the RFP No. 15.044 Rear Mr. Nguyen, In response to the City of Santa Ana's (City) request for proposals, ClvilSource, Inc. (CivilSource) is pleased to present this proposal for On -Gall Right of Way Program Management Services (A5). We are committed to meeting the City's needs and offer the following: Qualifications, Capabilities and Experience. We offer our clients a highly competent team with an unparalleled reputation and proven capability and expertise in right of way services, The C1vilSource team will be led by Project Manager, Ms. Sour! Amirant, P.B. Ms. Amirani has over 35 years of experience with majority of those serving the City of Santa Ana in the capacity of Deputy City Engineer, During her tenure, she was responsible for successful completion of street Widening projeots involving numerous complex property acquisitions. Ms. Amirani brings to the City a strong technical familiarity with the City as well as established relationships that will move projects forward. She will be the point of contact for this contract and can negotiate with the City, Time Commitment and Response Time. CivilSource is committed to the tirriely completion of your projects, and will dedicate resources as required to support the project manager in achieving the goats of this contract. We have committed at [east 20 hours of the Project Manager to be available at the City of Santa Ana if so desired by the City. in addition, the Project Manager wilt be available to attend meetings with City departments or outside agencies including City Council and neighborhood meetings. Demonstrated Successful Experience, We have a proven track record of successfully providing professional right of way services to several cities, special districts, and local agencies including the cities of Alhambra, Alias Viejo, Bell, Compton, Costa Mesa, Culver City, Downey, El Segundo, Glendale, Huntington Beach, Irvine, La Canada Flintddge, Laguna Hills, Lake Forest, La Mirada, Lawndale, Long Beach, Lynwood, Mission Viejo, Placentia, Pomona, San Clemente, San Gabriel, San Juan Capistrano, Stanton, South Gate, Vista, and Yorba Linda; and agencies such as Metropolitan Water District (MWD), Vista irrigation District, Orange County Transportation Authority (OCTA), Caitrans, and Orange County Department of Public Works, Competitive Rates. We understand the budget constraints clients are often faced with. Our proposed rates are negotiable and our references will attest to our willingness to work within any budget. We believe these strengths make CivilSouroe uniquely qualified to provide the City with professional services. By selecting CiviiSource, the City will benefit from a team with varied and extensive engineering and construction management experience. We thank you for the opportunity to submit our proposal, and look forward to further discussions with you regarding your project, We also acknowledge receipt of one addendum. Should you have any questions or need additional information, please contact me at our office (949) 585 -0477 or by email at amy@civil- source.com. Respectfully submitted, C1vilSource, inc. Amy Amirani, P. E. Principal 25L -264 for the RFP SCOPE r Scope of Services CivilSource will provide the Right -of -Way Program Management Services as outlined in the RFP and is detailed in this proposal, in general the services include the overseeing of all the right -of -way and real estate services In accordance with the City, State, and Federal regulations and policies, The Project Manager will oversee the following tasks; CivilSource team will assist the City in administering the consultant contracts for acquisition, relocation, property management, appraisal, improvements pertaining to realty (fixtures & equipment), goodwill analysis, demolition and any other services deemed necessary by the City. At the onset and at the request of the City, CivilSource will review all contracts to ensure compliance with City policies and all the applicable regulation. CivilSource will prepare and keep current a comprehensive list of all the contracts, their budget, the scope of service and the contract expiration dates. Contracts will be monitored monthly and when a new notice of work to proceed is issued by the City. Invoices will be reviewed for accuracy and will be verified with the progress for that period and each contract and when verified, will be forwarded to the City Project Manager for processing. CivilSource will diligently review and monitor consultants requests for additional fee when submitted and will advise the City of the validity of the request and provide a plan of action. CivilSource will provide assistance to the City at all phases of street widening projects. We believe the key to a successful project is to have all the issues identified and alternatives analyzed at the onset of any road widening project, Therefore, It is important to Involve the services of right of way consultant at the conceptual level of the project if possible to ensure a realistic cost and budget. Funding sources are also a key factor in preparing budgets for the project. CivilSource will review the proposed road widening projects with the City's project manager and will also review all pertinent documents. Documents including but not limited to; environmental clearance, master plans, local, state and federal guidelines and policies and will advise the City of any issues facing the project and will provide solutions. CivDSoures will review the right-of-way maps, easements, deeds, temporary construction easements and any other related documents requested by the City for accuracy. Documents will be reviewed by CivilSource Project Manager as well as licensed surveyors for quality control. CivilSource will review and provide comments on all legal descriptions. Including but not limited to easements, permanent acquisition, temporary easements, temporary landscape easements, transfer deeds and dedications. BtJfe4 off }8 tie 9f)ris d ddenti ' eF`z1"Iff 1tPDC%Pt 119hon Title reports are legal documents prepared by Title companies any time there's a transaction of real property between two parties. It is especially important for the City to request tile reports for ail right-of- way acquisitions since the City's policy Is to acquire properties that have "clean title ". Any liens or encumbrances on the title of the property will be identified by the Title Company at the time the report is prepared. The report is typically guaranteed by the Title Company for period of 30 to 45 Mays. if title report Is olderthan that, usually an update is needed to ensure there have not been any changes to the n -, - - III 25L -265 title. Title reports will also show the unpaid taxes, mortgages, and if there are any other debts that put a burden on the title. Sometimes, other documents are recorded which are referenced in the title report, CMISource will assist the City to reviewing and interpreting all elements of title reports, Appraisal reports are the backbone of the real estate transactions. Public agencies are required to prepare appraisal reports done by qualified appraisers licensed in the state of California and prepared under Uniform Standards of Professional Appraisal Practice (USPAP). In addition federal funded projects require additional review and sometimes a second appraisal report. They must be prepared under the Uniform Act as well. CIvllSource will review appraisal reports prepared by the licensed appraisers For accuracy and conformance to the project goals and requirements. Reports will be reviewed against field conditions and if It meets the environmental reports and in conformance with site assessments for Phase 1. In addition to Real Estate appraisals, the improvements that are within a property must be appraised as it is required to be included in the offer package to the potential buyers, These movements are called furniture, fixture, and equipment or FFE. These are referred to any improvements that are attached to the property and cannot be moved. Appraisers who are experts to appraise the FFE are often not the ones that appraise the Real Property, Although a separate report is prepared by the FFE appraiser, it is important to coordinate the Real Estate appraisal with FFE to make sure there's no duplication and all the items are accounted for.. CivilSouroe will review and comment on the completeness of the report and also coordination with the Meal Estate appraisal report, Review and Cornment an Loss cs asoa vaif rafse Some real Estate acquisitions require the acquisition of businesses as well if the business cannot operate after the project is completed. These usually happens when full take of the property will remove all the parking or will impact the building in such a way that business is no longer be viable. in these instances, an appraisal of the value of the business is required to determine if there are damages to the business owner and the extent of it, These expert appraisers will review the business financials of several years to determine the existing value and then prepare the value after the project and prepare reports for the valuation. CiviiSource will review the report and provide comments to the City as to the accuracy and completeness of the report. ClvilSource will also analyze any other viable alternatives to a complete toss of business when suggested by appraiser. tisu,'esv arasP ts°orrrrrtenf orr En�°roratestFSl fsr r`es. Lead aarrt dtsfaestos All projects require preparation of an environmental study and report, All projects in California require GEQA and federally funded project require NEPA in addition to CEQA. Property acquisition and right- of-way is a critical element of an environmental report, In federally funded projects, sometimes the number of acquisitions will affect the level of the environmental report prepared and the amount of public review required. CivilSource will review and advise the City as to this issue and will propose alternatives. In addition to the CEQA & NEPA, property acquisitions require an environmental site assessment of the property to identify any potential hazardous materials on -site that will affect the property value, CivilSource will review and comment on the site assessments for properties require appraisal reports and will advise the City if further assessments are required. Federal projects require a Phase 11 In addition to Phase I. .., . i t A 25L -266 Offer packages are the legal documents sent to property owners for the purpose of purchasing the required right -nf -way for a proposed public project. Offer packages must Include certain items required by law and in accordance with the City"s purchase & sale contract, An important item in the offer package Is the Appraisal Summary, The appraisal summary is prepared by the appraiser and provided to the City in digital format to be included in the offer package. The offer amount is the appraised value including any compensation for FF &E is applicable, CivilSource will review all offer packages to ensure the accuracy of the document and inclusion of all pertinent information.. Other critical acquisition task item is the diary for each parcel. The acquisition agent must keep a diary of all correspondence with the property owners, The diary must accurately reflect all the communication between the agent and the property owner. CivilSource will also monitor the progress of the acquisition services conducted by the consultants. Relocation Plan is an important document prepared early In the process which sets the basis for the relocation needs of properties as a result of Implementation of a public works project. Relocation plan must Include a list of critical items as .required by law, Personal interview of potential relocates, a description of the project including pertinent maps, project schedule and timelines, the total assessed value of displaces. Other Items are the availability of residential housing resources, estimated relocation costs, eviction policies; grievances and the appeal process. This plan must be adopted by the City Council after review and approval by City staff, CivilSource will review the Relocation Plan for accuracy and monitor the progress of relocation efforts by each consultant. CivilSource will prepare a monthly report of all relocation cases from all the consultants and compile all In one circular for City review; %xt�rrlfos fyerrcttrari�+ns orae #f,iaer Ccsauffrrrrts As the program Manager for the City's right -of -way services, CivilSource's most important role is to ensure the consultants' work are per the contract's work and schedule and the progress is made to achieve the goal of the project; Acquisition consultants are responsible for negotiating a successful settlement with property owners, program manager will oversee and monitor the negotiation efforts very closely and Identify milestone=s for critical dates, Any delay with respect to those will be discussed with the consultant and will be brought to the City's attention. Progress reports will be prepared and presented to the City for review and plan of action will be discussed; Relocation consultants must work closely with acquisition agents to ensure a smooth transition for tenants when properties are acquired by the City. CivilSource will review and closely monitor these efforts and will alert the City of any potential eviction needed. All claims will be reviewed by CivilSource for accuracy and compliance with regulations. Claim forms will be reviewed for uniformity prior to submittal ErePsare Lt t�r8 =n. °atz �n irr srir =trfrve erdre per „' Administrative settlements documents are required when the city & property owners reach a settlement which is different than the offer value. Sometimes other factors require a settlement which is in the best interest of the City. CivilSource will prepare the documents to be reviewed and approved by the City's project manager. CivilSource will provide support to the City in anticipation of condemnation of properties and during the proceedings as required by the City's Project manager and City Attorney's office. CivilSource will assist Page 115 25L -267 in preparing the resolution of necessity, required notices on intent and review all the documents. CIVIISource's Project Manager was intimately involved In coordinating the prop" .acquisition of street widening projects with the City Attorney's office as Deputy City Engineer. During the litigation, Ms. Amiran€ was the City's expert accompanied the City Attorney in defending and advocating the project. She has gone through many depositions as the person most knowledgeable with the project and had appeared In courts as well„ Monitor Oemohlion Activities Civi €Source will assist the City in obtaining bids for demolition of the buildings and structures after completion of acquisition and relocation; Scope of the demolition along With schedule will be reviewed and discussed with the City to ensure compliance with the overall schedule. A list of properties along with schedule of acquisition, relocation and demolition if applicable will be prepared in order to ensure timely completion. ClvilSource will monitor utility disconnection, meter removal, asbestos and lead testing for all scheduled demolitions, f're re Pf crrrr�entPran r #aoftt of av fsrositlrarr After completion of the street widening projects, often portions of the acquired property will remain which €snot large enough to kie developed and if it remains in the public ownership will cause a nuisance or a maintenance burden. These remnant parcels must be identified and disposed of in order to reduce the City's liability. Somet€mes these remnant parcels have value only to the adjacent property owner. CivilSource will prepare a list to Identify these parcels and prepare a plan to dispose of these parcels as economically as possible. if it is determined that they have any values, they will be appraised and offered to adjacent owners, CivilSource will attend neighborhood & City Council meetings when required by the Glty's r'rotect Manager. ClvilSource will prepare progress reports as often as required by the City and make presentations to City staff. Public outreach and community involvement is a critical aspect of a successful project. Ms. Amirani, as a retired city of Santa Ana employee, was involved In numerous community and Council meetings presenting Public Works projects and obtaining their buy -in. She has a vast knowledge of the neighborhood's needs and their Issues regarding street widening projects and will ensure community support for the projects, ryierxarre afar Activities on Ci x°�usrs F',Ytprirtips Dudng the past several years, the City has accumulated a number of remnant parcels as a result of full acquisition of properties necessary for the widening of the arterial streets, Altar complet €tin of the projects, the rama €rider parcels bacatna surplus vacant Tots and are available for development. These lots are assets that could potentially generate mi €dons of dol €ors to tna City's Capital Irnprovament Program and be used for widening projects. CivllSource will set up procedures to best market and sell these surplus properties. In setting rap the procedures Civ €]Source will review the funding sources that were used to purchase the properties for any limitation of the re -use of the lots, and consult with al€ City departments having jurisdiction In the development of the parcels. CivilSource will prepare the RFP for marketing these lots to potential developers qualified to purchase the lots at maximum price, and develop the surplus lots with quality projects. Sale of these lots will not only generate revenue for the City's street widening and CIP, but will provide quality development in place of vacant lots which in turn will generate tax revenues for the City, In addition to the RFP, Civ €€Source will explore other avenues to sell the surplus properties, Some vacant lots might be offered to adjacent property owners to Include in their property for potential expansion of their property. Other 25L -268 On-Call Right of Way Specialty Services for the RFP No.: 15-044 G Y.tti 5010 Ana avenues will be marketing the lots on the open market only if the City's guideline will permit these transactions, 7 We are committed to meeting the City's schedule. We believe that the Project Manager will be required 20 hours per week, but we are willing to work additional hours as necessary to provide adequate services to the City. Our primary approach is to serve as a direct extension (Le, surrogate staff) of the City of Santa Ana Public Works Agency staff. Our approach is based on strong commitment to total quality assurance and follows a proven path of work elements and tasks to ensure a successful project. Working together with the City Project Manager, CivilSource's Project Manager, Ms. Sour! Amirani PE, Broker, will lead the project team. We have included the Fee Proposal in a separately sealed envelope, as specified In the Request for Proposal instructions. p Ana 117 25L -269 EXHIBIT B FEE PROPOSAL 25L -270 0, i �m�`�'tt,� $ } =0 .£uu?`'ai Project Director $155 Project Manager $155 Project Advisor $130 Technical Assistant $75.45 Contract Administrator $75.45 Range of Hourly Rates: All Employees in company /field office or in Client offices. Effective: For the duration of contract. CivilSource,Inc. • 9890 Irvine Center Drive, Irvine CA 92638 * Tel: 949 -585 -0477 - Fax; 949- 585.0433 , wwwxivil- source.com 25L -271 EXHIBIT C CERTIFICATI ®NS 25L -272 APPENDIX ATTACHMENT 34: NON - COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: 15 -044 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 maldng a false certification may subject the certifier to criminal prosecution. Signed County of Subscribed and swom to (or affirmed) befoul)" e�tr#la" day of 20_ by proved to me on the basis of satisfactory ev dence to be the persons) w t ed. ly P �>�. A notROary p�s narot ved san theign document towhich tl huthfulness, accui .SizCe »t,C- a1i16rni $ubsdriNed�ahQs ghthYs�ddy Not lic Signature Notary Public Seal by pcovvd tb fdeshjl c in K. 6ERGER COMM. #1978283 Notary Public Calif $a Ofanga County .karo 12, 2916 City of Santa Ana RFP 16 -044 Page 28 25L -273 K-7— ,20 tS , S71 f, satisfactory evidence re'd;Worerlse. APPENDIX F ATTACHMENT 3 -2: NON-LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: I5 -044 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 finds 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 malting 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 subj act 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 cattifleation be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firm t? ILL !�� 0 9 Cst✓ .'NG ' Signed and Printed Name: (V(ax rvt 7 etlul Title y i Vq/) G / pa'L Date__,r0_�4 - - City of Santa Ana RFP 15 -044 Page 29 25L -274 APPENDIX ATTACYIMENT 3 -3: NON - DISCRIMINATION CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO.: I5 -044 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 Consultrant 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 Iabor 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 furtber 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 by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of City of Santa Ana RFP 15 -044 Page 30 25L -275 September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved 'in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Tabor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: _ am_ Title: /'y'yl (j e p .Q Firm: Date: City of Santa Ana RPP 15 -044 Page 31 25L -276 EXHIBIT D ADDITIONAL PROVISIONS 25L -277 Local Assistance Procedures Manual malIBIT I0-X Cousultant Certitication or Contract Costs and.L'hrarreial Managemonk Syretorn 1,7 mniT 10 -K CONSULTANT CERTIFICATION 0Y CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note. If requesting to ritilize the Sgf°ellorbor Indirect Cost Rate subml3Attachmeni 1 of DLA..OB I3 -07- Sr fe Harbor Indirect Cost Rate for ConsuhanB Contracts found at blip: / /wsvw, dot, ca. govlhri /LocaCPrag),ams /DZA_OBIDLA OBhimMlieuofthisfoim.) CertlPicatyon of Final Indirect Costst ConaWa11t Firm Name: CLId .SOU /'CtJ �iiC Indirect Cost Rato: /997 * for fiscal period ^ 20�5- (uun/dd /yyyy to mm/dd /yyyy) $Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government; Contract Number: Project Number: / I, the undersigned, certify that I have reviewed the proposal to establish final induect ooet rates for the fiscal period as specified above and to the best of my knowledge and belief 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31, 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31, All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification ofFinancial1Vtannsam ntSvstom I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Corglicatlon of Dollar Amount for all A la Contracts' I, the undersigned, certify that the approximate dollar amount of all A&L+ contracts awarded by Caltrans or a Californj looal agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ / �i 004 0 00 and the number of states in which the firm does bus near is Cert ficatlun of Direct Costsl 1, the undersigned, certify to the best of my knowledge and belief that all direct costs identified ou the cost proposal(s) In this contract are reasonable, allowable and allocable to the contract in accordance whb the cost principles of the FAR of Title 48, CFR, Part 31, Allowable direct costs to a Government contract shall be: LPP 1501 25L -278 Page 1 or2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10.11 Consultant Certification of Contract Costs and Financial ManagementS atom 1. Compliant with Cianekraily Accepted AacoutiengPr nciples (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable), 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3, Not prohibited by 23 CFR, Chapter 1, part,l72—Adminishation of Engincering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts, All docutneittntion of compliance tnustbe retaimad in the projectflles, Sabconsultants (ifapplicabie) Proposed Contract Amount (or amount not to exceed if on -pal) contract); $ prime Consaltaats (iirapplicable) t] Proposed Total Contract Amoruit (or amount not to exceed if on -call contract); $ f Prime, list all subconsultamst and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying (Print Name and Title); Name Title: $ $ Consultant Certification Signature * *; Date of Cettification (mmtdd/yyyy): Consultant Contact Information, Phone number; fi' # - ✓ ' tifj 7 * *An individual executive or financial; officer of the consultant's organization at a level no lowerthsn a Vice, President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the indirect Cost Rate proposal sabmitted in canpurtotion witli the contract, Notc; Per23USr- Xt2( b) p,j( B}, Subconsuhants 'a I's tnatptyavr`th(heMA Cost h1 otpteawntaluedla48CA't3 Patin 23 C R eart 172.Mftnhiow slaw Constdami mean the individuut or, fh•tn pt avBNng arrgtneel inganddesign relatedaerutces as apapd, to fha aaturxzcG :hereftev, snbaansrtttants as parties ofa Contract must complete a cert$oatton andsend m1gtnatsto A &I and keep copies in Lanai AgeneyhvJect Flies. Distribution: I) C)dgind to CaltranD Audits and lnostigilim3 2) Retained in Lewd Ageney Feijest Flies Page, 2 of 2 UP 15.61 Januai y 14, 2625 25L -279 as ti P. q� V L 6 N �ff i a rl N A z 0 U z� 0 U z U C Q " e b c e � d C a v 03 p .9 w 25L -280 p N H av h S O N O Saw ray N y y p O b U v i7 at v p v � � a � p q ��g o -NM �7 W z °o °o oo• V) vj h h h In vi Yi Vt V1 Vi Yt V1 6A 0 o •� t+Ot+��mm MMM MMen s9 �Efl Yi U 69U 6S 6969 fig fig 6969 p M '3 d .°a ;: enoo W hm �a Sao �roo H �pnoa H H to rw ri H lC H H H 0000 H H 0000000a000 .-1 pF nh��• nn� hrh hh�n l^• hl� C~-S�r O ,—I ,--I r-I N rl rl r-I H H n-1 M �•I ,-1 M W rrn P`h h �^�h h iz hC'•l� W t�•c+t� l �o AFr �p d; vj b d; h l� M .+ V; �` rw V i� .� V cy �°; i�1"y •q ,� � NO vi �pn V NO �n ion OC^ mm� Vt <TM nnm v14\ rn�r w'1am oa Uj V1 69 fi4 69 69 69 69 69 E9 w � F a z b A � a b o 25L -280 p N H av h S O N O Saw ray N y y p O b U v i7 at v p v � � a � p q ��g o -NM �7 W b a d 0 F_ w9 a N N a 0 W U C H I kn cl O za I z S7 N A rn 0 25L -281 °z p v� U R F 5 b C7 O � dos Al l 4o tgw m POR 3 h rd 0 Zaapa U O Z W O U o H ° � U U O a U Q iH-1 F �d H Q'94d F F II U O Onq W Ca E N�<CmCJ Ca.? V 25L -281 °z p v� U R F 5 b C7 O � dos Al l 4o tgw m POR 3 h rd Local Assistance Procedures Manual EXI11f1IT 10.01 Consultant Pro osill OBE Coffimltment EXULOITIO -01 CONSULTANT ftOPOSALDHECOMMITMENT (inclusive, of all DBEs listed at bid proposal. Referto lnstruetions on the reverse side of this form) S 6 s e n . a 'rr4Ffi''Y, <re`r P a. P�'t� -8 1. Leant Ag<alcy Namno.. l�.l++ G7i- C# rP `o_ T€� 4 t ��tt 2. Project Location: %7` li / /{h - - 3. project Dascsiptlon:4i (' t?2 Q 12ft tMt ?'. /� 4, Consu €tantName:. (2; ytt 6, Contract DBE Coat %:—Az— DUE Commltmont Information 6. Despriptlon offloolces to be Provided 7. DBE Finn & DBE Can. 9. DBE % Co lactLtformati Number 1rrKG – I`V F3 '4+b �s- c"'- "'6, *ocfll eneyttb �GR711P� @I}. 1�§, e�4$vtt',n,�1.,t 16, Local Al ancy ContrautNumber. 17, Padetai•rdd ProjxF Nunebar.,W 18. Proluxed Caatraat Execution Date. Local Agency certifies that all DBE certifications are valid and the lnfomation on this form Is comptote and accurate: 19, Local Agency Representative Name (Pilot) • 2e. Local Alt enoY Representative Signamm 31. Dale 11, Loral Agency Rapresanlutive Tltlo 13, (Area Code) Tel. No. u a a � Van� Axf ,54Ei� �y , rSs_Y`L: ti. Propora ssignamre Il _lam i 11 Prep is Name (Print) ?Cie glmnI 13. Prepflrot's TIt�T- �FSF- i7 ,7. 14. Dole 13. (Arco Coda) Tal. No, lllstribanon: (t) Original– Cansnitarn submits to laanlaganoyivith Proposal (3) Copy –Loam Agency files Page 10172 LPP 13.01 May 8, 2013 25L -282 ks lzi AN g r t �a c t7 I z lb, F� 5, ZPI My ' all r: a L$T hryul it mt I S u U �s . 25L -283 25L -284 4 +w a u 3 C3 :n is � yI t7 . O O EI fl ^J .�A Y ,F✓ 5t � � [y.y €nJ 2+ ',= 8 R 0 T � 2 d •N va AV ��-. �y/Yjy N R} "� �w y `f iii �y y_q V CS •� 4 p {Sft T+ N U .n rI { � X1'4 G q (Y,�,! '4R CM � � 4I 'S? �y k�4 "n CN N W ..a •"' �Lj�T S`Y w a V vim, raw A 0 Gh 0.n A a2 M M re G 9 Q 7 �g b O z 20 A Ai . Do MM a" �a 25L -284 4 +w 0 M ry�ry O �qp3 p� CIS "•�yu� , e ... �Iw;. � Iloit' �` �qj fi'''ll 4i.r i5 .? •F;'f >. ; \.ip't yd t':[i+ m A tr; p �1 .Cp'Y'fw� •" !I, ''t' `',I (�� ;i,� rw,' rJy �y, +' 'Q't � i �Ik 4 +)'��{jry ltiii A�Mlq�k {YVy1 � VL Xi !C `d''; ��yc��° $^�G� � '::'Y�yb�' ;�:'u}iii��'�.@'I�/�,•� III, C9 � O A A R a 25L -285 25L -286 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 5a' day of August, 2015 by and between Paragon Partners Ltd., a sole ownership entity, (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of Property Management Services. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Consultant shall perform those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $200,000 during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on August 5, 2018, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. Exhibit 10 25L -287 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. 25L -288 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. 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. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terns of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 25L -289 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. 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 in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. 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: 25L -290 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: To Consultant: Fred Mousavipour, Executive. Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -5654 Paragon Partners, Ltd. Neilia La Valle, President and CEO 5762 Bolsa Avenue, Suite #201 Huntington Beach, CA 92649 neilia@paragon-partners.com 714 - 379 -3376 (Office) Jose Sandoval Assistant City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714 - 647 -6515 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. 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 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. 25L -291 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 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. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 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. 25L -292 19. MISCELLANEOUS PROVISIONS a. Additional provisions, if any are identified as Additional Provisions, Exhibit 1), attached hereto and incorporated into this Agreement by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their rcspective parties to each or 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 Agrcement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first abnve written, ATTEST; Maria D. fluizar Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney B 1 is au s dovat Ass stain tain City tyAttorticy RECOMMENDED FOR APPKOVAL-, Fred MousavipQur Executive Director Public Works Agency CITY OF SANTA ANA -6—avid Cavazos City Manager CONSULTANT. Paragon Partners Ltd, Neilhi La Valle, President and CEO Tax ID #33-0572526 25L-293 EXHIBIT A SCOPE OF SERVICES 25L -294 CITY OF SANTA ANA SANTA ASIA PUBLIC WORKS AGENCY PROPOSALFOR ,,uhIE 10. 2015 11X k �`4ir��lTVl�' Vii iN S ', N t x, 25L -295 June 10, 2415 Kenny Nguyen, Project Manager City of Santa Ana, Public Works Agency 20 Civic Center Plaza Santa Ana, CA, 92701 Dear Mr. Nguyen, Subject. Property Management Services PFP No�: 15 -043 Paragon Partners Ltd. (Paragon) is excited to submit this proposal to provide the City of Santa Ana (City) with property management services. We offer the following: Firm and Teana Experience. We have worked with the City throughout the past 15 years during which we have successfully completed several City projects requiring right of way specialty and property management services. We have gained an in -depth understanding of your processes, culture and dynamics. We acknowledge that a recent organizational change affected our work product; however, we assure the City that such changes were implemented to more effectively serve public agencies. We are confident in our renewed ability to serve the City and lookforward to the opportunity to once again assist in moving your projects forward. Understanding of Need. Based on our previous experience with the City and extensive background In property management services, we have developed a strong understanding of your needs, Our property managers are experts in short and long term property management services, They understand how to work with the Santa Ana community and are fully knowledgeable of the state and federal requirements that, govern their work. Further, due to our professionals` extensive experience working in and around Santa Ana, they are familiar with the cultural and political sensitives of the area,, Relevant Project Experience and References. In addition to our expert project team, Paragon offers the City a proven track record of successfully providing property Management services to public agencies In Grange County and Southern California. Further, we have a long - standing relationship with the City and have provided comprehensive right of way services on several projects since 1999. Paragon also maintains a proven track record of successfully providing comprehensive right of way services to nearby and neighboring cities and agencies, including. the City of Newport Beach; City of Costa Mesa; City of Irvine; City of Huntington Beach,, City ofYorba Linda; grange County Transportation Authority; and Alameda Corridor -East Construction Authority. We encourage the City to contact our references, listed on page 10, to verify the quality, timeliness and cost - effectiveness of our services.. Fees. We are sensitive to the budget constraints local agencies often face. We are willing to work within the City's budget and are submitted fees are negotiable. Please do not hesitate to reach out with additional questions, Your project manager and single point of contact, Jim Lemont, may be reached by phone at (714) 379.3376, or electrontcally at jlemontaparagon- partners.com, Sincerely, j Jay..- --.. Nelda LaValle, President & CEO (714) 379 -3376, ext. 2011 neilla@paragon- partners.com 5762 Bolsa Avenue, Suite 2011 Huntington Beach, California 92649 (714) 379 -3376 1 www,paragon- partners.com 25L -296 Paragon requests the following revisions to the City's sample consultant agreement. Fv ^ �Q��^h,BW$��m��orM��U�L��bV&^|U�unqn��^P|e� de|e��^o\yn��.Paragondoesput own any automobiles and, therefore, does not carry coverage for "oYYhed` autos, We carry coverage for "hired" and "non-owned" autos only and will provide a letter verifying that we do not own any automobiles. |[ Paragon purchases any vehicles Un the future K will obtain the required coverage and provide the City 0Y Santa Ana with revised insurance certifiumtem. PmgeZ� 6a,(M)'Pheane ad ten (1[) days prior notice for b ebtufpr0nounls^ UNDERSTANDING We understand that the City is seeking a qualified Right of Way Property,Management firm to provide as-needed post acquisition property rnanagement services during the transition from occupancy to demolition In addition to long term property management for City-owned properties, Work Mil be issued on a task order basis. Paragon will provide interim and long term property management. Interim management appliesto property acquired t*b8 used for project AuMst[Uct|Vn.LUPQte t is applicable for land and buildings that will ultimately be classified as excess to City project requirements, All activity Mill be carried out In a professional, cost effective, d timely `manner consistent with applicable state and federal regulations (ncludiUQOaltraDsp[0CedU/es and California Department 0fReal Estate requirements, Services include but are not limited tx� ^ all city properties and b/ confirm tenancy mfoccupants ^ Coordination mf utility connections and disconnections ^ Preparing and facilitating short-term rental agreements ° Rent collections « Providing eviction services ^ Property maintenance and security " Preparing and issuing notices to vacate |n accordance with state law ' <3O0rU|no*imn oY final .asbestos and lead surveys v M0nitor the demolition of structures and removal Vf underground storage tanks o[Other environmental concerns Further, sx» understand that Santa /Ana has a large Hispanic population. Paragon has bilingual managers who Vill ensure property owners and tenants understand the process. ��U �� K APPROACH Management of properties Is an integral part of the acquisition process. The tone set by the property management program will potentially impact displacees and will impact neighbors and the rest of the community. Paragon understands the Importance of this role and is prepared to manage all acquired properties until the properties are cleared and released for construction. PROJECT NIANAGEMIEW Upon request bvthe City, we will develop a Property Management Plan(PMP) for each project. The Plan will include all elements required to guide the property management tasksiIssues during the course of the project, It will include policies and procedures relating to coordination with the other members of our team, with displacees still in possession of leasehold interests, with neighbors, with suh-consultants and other City consultants, andwith governmental authorities. The PMP will delineate the requirements and procedures necessary lV take over and secure the property at close of escrow and 1omaintain the property prior to and after demolition. It will also outline the process for environmental testing and abatement prior to demolition of structures and define the role of sub-consultant contractors. Itwill define the property inspection schedule and record keeping reqVirenlentuYO[m|!propartier.Thmp[oc#dUoa8fnr leasing or renting of property prior to being needed for construction of the Project will also be addressed. �Prucedures%0r coordinating with the City's other contractors will also bo delineated. Finally, we will provide a:hesA||at for lead/asbestos testing and abatement and subsequent demolition. /\ Property Inventory Report (PIR) will be submitted monthly to the City by the date specified, It will list the properties owned by the City and their status. The P|R will contain the status of interim rental collections, lead and asbestos testing abatement, bnand-up. fencing and demolition data. Paragon also �will secure the property to protect the asset from trespassers, vandals, or looters, Unless the property is to be leased or rented, utility company notification for shUtOff will be made within one working day of close of escrow. As required, we will arrange for pest control, debris removal, and will deal with any other condition noted on a specif lo parcel as is prudent and necessary under the circumstances. PA PA �*CIFTS ��U �� 3 I (b go m (D 0 T m o CL > > (D M N *t Co ' > a E 0 ti 0 CL a) 0) Ze CL b 0 0 J4 CD m i5 a) O. M > (D (D 07 (D 0 ID > N 15 ro c 0 T5 L) E 0 w w t c E5 0) E n w > U CD 0 CL x Q. u M a3 0) OW —cu > E E (D (D 0 a > d) E 0 *6 E cL E C T7 0 0 (D 0 0 0 8 c F= 7 0 te 0 .2 2 � 0 ol 03 um, N 0 co O -0 C. E 3� M 41 Fi co T TD COX 0 a) :J co 0 0 CL 'D Q. z: cq 0 0 4) cu a 0) E tm m m . r fn N a) D 'a 0 6 r- �5 a cu co 9 w NN NY 0 w 0. O A- fD S ro E (D z 0 a) cn 25L-299 C c 0 E v U; CU =.Ze �m C cc 0 0 LIJ U) 0 a CM 0 3 E : . t 0 12 E'd) 0 a-0 e E am 0 CL of 0,6 C ca NC 0 Ll E � � Z UEa W 0 0 G t9 LT Wp w E 2 E co Co CL E "M 9�1 'CIO ca (15Z �Y) c .r- E co CL m �O'� CLO NBC` a) (D Q) CN W >= 0 0 3 E : . t 0 12 E'd) 0 a-0 e E am 0 CL of 0,6 C ca NC 0 Ll E � � Z UEa W 0 0 G t9 LT Wp w E 2 E co Co CL E "M 9�1 r w • r EE z,0a) 00 :50) c co .0 Ua oc5 E a)0 or (D 02 c 4r. @ 0 a) ec ° m � v •'c—` Q ,� -m o 0 0 � - O N -C >'S o CT C7G� ° X 00 E air° aiw c`u� c °m Z>,m 3` @��p o o E @ N U 4) U 0) > 0 CL C6 a) w a) 4. CL .'0-. O p 'tl C m 0 ? XRl6 00 N, r@nw a N 'yw b taliN U 'tl cl ca@ ala 5 -0a -0co a>4m� a) l° 00 gaa c _ o @cam Qc SEEcEE �°': oq mm CL C" w.m w.0 0w 0U CNM @E.�.. <r4to t7 q) 5�@ 0,0 0. 200t>_© ao v roctO@ a>cfc> > ago NNm a o°cE p• —� m mcma ar m 'Sroo mmia'S u?v�i>rw� .R G s i r a 6 a) 041 0 c ca zlro yn N'E romCac o m m� :Ga a)N CO c«5w.c 0) UaC. mc�corE(S nm c o `0C m. 'c am �03� pia@ �w�° �c M (v �c°r�?° a) '5(0 Nco.cm E@ccwuFa" a@ N� -° �C7m-0 pv °' m4�ct�`mmn mw vamME corm oa 'D� co "C� c4? 0 t°c o oarnc,E admen va) CL CL m3o cmarmmoa) @E >aEar w - >mar ccm.c c E co cc D Ems _ cc roc °o vw c " -a _0) m m'> V , c = a`l ° as @ o..cr'c' a cz;.� m c''y'- > o0c c,_ mE 7o§ 4) (a ma)c no.cv c>1 C 0mv E`mer nmz qm ESE mo a> U.- =.c oamim �arvCa °cc'aQ n� c�Q �roGl p'��'� >'Ev cwm�vmm° �Q (a m Na3 r- +- to ." @C7 N o,c cam) 4.JG�NQUU N!3 E a) a a ° ac zan °� a �° )o —m SCL•c) me @o cc� Q'DU•o cis ccama oEoa'.sa. a°ic rYai (o EQ to}ov�° ()mcscauoiW- ©moE.a C.)8 m)•3 °m a� Ur V vi iA C i6 Q1 N v7 u; Po U U A' o c E M a) >> > C G aye E N as.d ,-c o c a) c ql H-.c =3 ' C ° ow o U_ le U ti p" -0 a U 'U c Lai) s Z W E ' @ EE z,0a) 00 :50) c co .0 Ua oc5 E a)0 or (D 02 c 4r. @ 0 a) ec ° m � v •'c—` Q ,� -m o 0 0 � - O N -C >'S o CT C7G� ° X 00 E air° aiw c`u� c °m Z>,m 3` @��p o o E @ N U 4) U 0) > 0 CL C6 a) w a) 4. CL .'0-. O p 'tl C m 0 ? XRl6 00 N, r@nw a N 'yw b taliN U 'tl cl ca@ ala 5 -0a -0co a>4m� a) l° 00 gaa c _ o @cam Qc SEEcEE �°': oq mm CL C" w.m w.0 0w 0U CNM @E.�.. <r4to t7 q) 5�@ 0,0 0. 200t>_© ao v roctO@ a>cfc> > ago NNm a o°cE p• —� m mcma ar m 'Sroo mmia'S u?v�i>rw� .R G s i r a 6 a) 041 0 c ca zlro yn N'E romCac o m m� :Ga a)N CO c«5w.c 0) UaC. mc�corE(S nm c o `0C m. 'c am �03� pia@ �w�° �c M (v �c°r�?° a) '5(0 Nco.cm E@ccwuFa" a@ N� -° �C7m-0 pv °' m4�ct�`mmn mw vamME corm oa 'D� co "C� c4? 0 t°c o oarnc,E admen va) CL CL m3o cmarmmoa) @E >aEar w - >mar ccm.c c E co cc D Ems _ cc roc °o vw c " -a _0) m m'> V , c = a`l ° as @ o..cr'c' a cz;.� m c''y'- > o0c c,_ mE 7o§ 4) (a ma)c no.cv c>1 C 0mv E`mer nmz qm ESE mo a> U.- =.c oamim �arvCa °cc'aQ n� c�Q �roGl p'��'� >'Ev cwm�vmm° �Q (a m Na3 r- +- to ." @C7 N o,c cam) 4.JG�NQUU N!3 E a) a a ° ac zan °� a �° )o —m SCL•c) me @o cc� Q'DU•o cis ccama oEoa'.sa. a°ic rYai (o EQ to}ov�° ()mcscauoiW- ©moE.a C.)8 m)•3 °m a� 25L -300 N W f tCrr[[, ac � c o u; m m m m o c 25L -300 N W f tCrr[[, ac !1 i • I r M M 'a N U N `a N N m. N j °;.. } a amN. . qNj .0 N O N 'a Q�7 •O 4j Ys C Q' N 47 y 'a N C H. 'Ci.. N N 8 Cl, O a � N `O.N amp, y.O.N N m C N tll U w N ON E N Nam6„ e o a°c m tl7 ®;�y Oh'C7_a ro o� 'J >1 N roc`w ro N iO a= SO c' > cNq1. ao a'U N N 'NU rC> �Oa Ea m2 O a U, u 0 I dPa;SEV� cp^ O m mclopoc U O °a $ a1 0) O '- C w m co m E � N ,.C- �.'aC �},� (DM Fyn - :5Q..«= oEa) �� a E -od- c'a'aoO- u N._a N acE ro c O� Sao iw 809.aro b Ora Ldp EE m0"= �NNC a is Q>N�N v(D :3 m or ..gym 0ao "°' EN °.oa Uo n'�''Ec:�erys-NOm,cGi.w. c +a p, aN a) ? Or .c N c a co i:SCLU O 0 V - m° m o o T'ocu aac° EE IOD o aMcm vE °U Q-0— 3ioumc cos ooU ° > m � c 0 w �°c a°a o�'�n c a?o ro °[ri a oO a c ° a> E�o CU Ec c a Lm w .. at ._ to G CCU r N OtO ++tli N >, m E 45 N UacCUCD ao- �( oO -Nm O N m C �#� N..O, .� N NC`O ,„ Vi d? {6 cm7}L7.' �3 N. N U qt�p}' }. N G C N 9J {.i Cmz. N O. z � 9) N 0 CL `O � Li C.} O U fl. Ak 4 cx, E C * c o O 2 0E > cn c ac 02, c°< Zvi 0) rl. w>car 25L -301 v E C: m ui rn c O .a *- O 00 Am Q) 02 Om o 4 w O U O .a M vmcv m�c m O_ a U m C 'N p'Pvi 0 O c a �? m o Do m t'+ , W t �y! u: �n vz EXHIBIT B FEE PROPOSAL 25L -302 ri T 1 r t SANTA ANA PUBLIC WORKS AGENCY F, U I � PROPOSAL �Il Pr, 'N _1 i r% (v1,'3 JUNE 10, 2015 of FEE PROPOSAL. Paragon has provided our fee proposal (Exhibit 14 -H) and standard hourly fee schedule below. EXHIBIT i 0-H oe e �4 oil (jl P ELLU n ��AIH U� f y 6 r a n M Q nom" N Y Q ti c t= R Q C i� n e .S V Ca Q a:S � R R t^^ V l; /yVy t m 00 S {Si GJ dG � N �i l k. qq� 4 a PA12T E04 U� f y 6 r a n M Q nom" N Y Q ti c t= R Q C i� n e .S V Ca Q a:S � R R t^^ V l; /yVy t m 00 S {Si GJ 25L -304 dG � N �i l k. a G m a U w i a ij C m. ran �t to r°�+i 8 e. �ro V _ s V i u y H 'R VS 4^I 4q v II w g 5 LWw qw � h ,C err ai vs �b wa �F it lr�l A w"o Ht Q n S N_ pa 9 99 25L -304 REP PROPOSAL ( 2 dG � N �i l k. a G m a U w i P a 8 �ro V _ C o V i u v II w g LWw qw � h � err ai REP PROPOSAL ( 2 � t !G ; w � O � U i rl iI a i PPARRAGON' � % I'ATNE4 N M N O C ti !-i 9 25L -305 �L HUH od f•N ypp y {'+ ad U 0 d. FEE PROPOSAL 13 rU WWW F H H II Ey N A � q P E II o q 25L -305 �L HUH od f•N ypp y {'+ ad U 0 d. FEE PROPOSAL 13 Terms of Payment Net 30 days. Invoices will be submitted monthly. All rates are effective as of January 1, 2015. Rates may be revised annually on January 1st to reflect Increases in the cost of living and current business conditions, overtime for applicable labor classifications will be charged at 1.5 times the hourly rate in accordance with California law, IN 3, LLIJ it IL El 01 MI 7 I IIIRAGON ®( eAR�NER,s 25L -306 KE PROPOSAL 14 HOURLY KE SCHEDULE CLASSIFICATION HOURLY RATE PROJECT MANAGER $150.00 FROPERTYMANAGER $ 95.00 PROJECT COORDINATOR $ 75:00 DIRECT CHARGES Cost COPIES (XEROX) @ $0.15 each PAGERSICELLULAR @ D & E SIZE COPIES @ $5.00 each AIR TRAVEL & LODGING @ Cast REAL ESTATE DATA SERVICES Cost + 15% MILEAGE @ $0.575 per miW TELEPHONEtFAX Cost SUB- CONSULTANTS Cost +15% POSTAGEIFEDEX Cost OTHER EXPENSES Cost +'15 °!a * Or current IRS allo"bie Terms of Payment Net 30 days. Invoices will be submitted monthly. All rates are effective as of January 1, 2015. Rates may be revised annually on January 1st to reflect Increases in the cost of living and current business conditions, overtime for applicable labor classifications will be charged at 1.5 times the hourly rate in accordance with California law, IN 3, LLIJ it IL El 01 MI 7 I IIIRAGON ®( eAR�NER,s 25L -306 KE PROPOSAL 14 EXHIBIT C CERTIFICATIONS 25L -307 NOWCOLLUSION AFFIDAVIT APPENDIX ATTACHMENT 3 -1. NON - COLLUSION AFFIDAVIT CERTIFICATIONS CFFY OF SANTA ANA REQUEST FOR PROPOSALS FOR PROPERTY MANAGE, MENT SERVICES RFP NO.: 15 -043 NON•COLLUSrON AFFIDAVIT Critic 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS III accordance with Title 23 United States Code Section 112 and Public Contract Cade 7106 the BIDDER declares that the bid is not made in the interest of, or 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 atny other BIDDER to put in- a-falsev rsham bld,- and-has -mat directly or indirectly eofbader, conspired, connived or -- agreed with any BIDDER or anyone also 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 cast element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding tine contract of anyone interested in be 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 thereofto effectuate a collusive or sham bid. Note: The above Nan - collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereofshall also constitute signature of this Non- eallusfon Affidavit. BIDDERS are cautioned that making a false certification may subject the certifier to crminat prosecution. Signed State of California County of Orange Subscribed and sworn to (or affirmed) before me on this 30th day of Anne , 20i5 by Neilia LaValle proved to me on the basis of satisfactory evidence to be the persons) who appeared before me. Who proved tome on the basis of satisfactory evidence to be the person(s) whose names i are subscribed to the within Instrument and acknowledged to me that he sh they executed the samelnhis/ their authorized capacity(fes), and that by hisj e thelrsill nature(s) on the instrument the person (s), orthe entity upon behalf ofwhtch the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California th ntrt"a"ra ph is true a or LISA act. BMission � Atill 20539th Notary Public - California otanyPubliesign tore Notary Public Seat OtaaQaCaunty jjn.k[V.49N \ \�� r.Ale�r,�;F�s Page 20 25L -308 115 .A AI X TT�cnv�nT 3-2: NON-LOBBY ING IiG CERTZrICATroN CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR PROPERTY MANAGEMENT SERVICES RFP NW 15 -043 The, prospective participant eertffies, by signing and subinioing this bid or proposal, to the best of his or her knowledge and belief, that L 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 Member of Congress in connection with the awarding of any federal contract; the making of any federal grant, the snaking of any federal loan, the entering into ofany cooperative agreement, and the extension; continuation, renewal; amendment, or modification of any federal contract, grant loan, or cooperative agreement. If any funds other than federal appropriated finds have been paid or will be paid to any personfor influencing or attempting to influence any officer or employees of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of Member of Congress in connection wlth this federal contract, grant loan, load 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 enteringhato this transaction unposed by Section 1332,15de31, 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 proapective partieipunt also agrees by submitting his of her bid or proposal that he or she shall require that the language of this certification be included in all lower fier subcontracts, which exceed $160,00-0 and that allsuch sub recipients shall certify acid disclose accordingly. Firm Sign€ Title PresidentanclCEO Date June 10 2415 PAV,GION PARTNert 25L -309 116 I sdq• N— ISCRI lip.€ 1tF!?.. N CL -4,11 EC'S�....A3 R?.. N ATTACHMENT 3-3. NON-DISCRIMINATION CERT1FiCATEON CITY OF SANTA ANA ttEQUFST FOR PROPOSALS FOR PROPERTY MANAGEMENT SERVICES RV NO.: 15 -043 The undersigned consultant or corporate oftGeer, during the performance of this contract, certifies ae fbf(ows: I . The Consultant shall not discriminate against airy employee or appHeant for emplopinent because of race,, color, religion, sex; or national origin. The Consultant shalt 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, m all, solicitations or advertisements for employees placed by at on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without.regard to rare, color; religion, sex, or national origin. I The Consultant ,shall send to each tabor union or representative of workers with which 114he, has a collective bargaining agreement nr 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 paces available to employees and applicants for employment. 4. The Consultant shall comply with all provisions of Euecudve Order 11246 of September 24, 1965, and of the pules, 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 24,1.9$5, and by rules, regulafion%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 OrLaboi for purposes ofinvestigation, to ascertain compliance with such rules, regulations, and orders: 6. In the event of the Consultant's.noo- Omplianco 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 Girder 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 oftleptember 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 by rules, PAR PARAGON 25L -310 j17 regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that stab provisions will be binding upon each subcontract or purchass order as the administering agency may direct as means of enforcing such provisions, including sanctions for nonoomptlance, provider{, however, that In the event the Contractor becomes involved in, or is threatened with; litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States, S. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stars. 1935, and as amended, No discrimination shall be made in the employment of persona .upon public works, because of race, religious creed, color, national origin, ancostry, physical handicaps, mental condition, marital status, or scx of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all file penalties imposed for a violation of the Chapter. Signed: IT .!.p _ _ Neilla La Valle TWO: President and CEO - Firms" Para[ on Partners Ltd. Date; tuna 1Q, 2Q15 MR AWN PARI IGRS EM 25L -311 j 18 EXHIBIT D ADDITIONAL PROVISIONS 25L -312 EXHIBIT 104 1 NOTICE TO PI O R , DBE INFORMATION Local Assistance 'PrDeatlu res:Fintiun l EXIMIT 10 -I Notice to Proposers DBE Infurmatian Et1IIRIT 10 -1 NOTICE TO PROPOSERS D1[l WORMATION The Ageney has established a DBF goal for this Contract OR The Agency has not established n goal for this Contract, However, proposers are encouraged to obtain DBE participation for this contract. 1. TCRNISAS USED IN TRIS IDOCIIMENT a The tetra " isadvantaged Business Cnterprise "rnr "DI+F" means it fur- prafitsmall business concern awned and croarolled ky asocially and economically disadvantaged person(s) as defined in 11tie 44, Code of Fddend Regulations (CFR), Part 26.5, • The term rAgreemem° also means "Contract." • ,Agency also means the local entity entering into this contract with the contractor or Consultant, • The term "Small Business "or "SB'isasdeflinedin44 CPR 26.55, 2. AVTHORITY AND RESPONSIBILITY A, Ms and othersmall businesses are strongly encouraged in participate in the perflinnance of Contracts Enanoed in whole or to parttwith federal funds (Sec 49 CFR 26, "Participafmiby Disadvantaged Business Enterprises in DepartmentgfTransportation Financial Assistance Programs"). The Consultant :must entree that DBra and other small businesses have the opportunity to participate in the Performance of the work-that is thetamjcct of this solicitation and should take all necessary and reasonable steps for this assurance The proposer mustrtof discriminate on the basis of race, color, national origin, or sex in the award and perfomtanceofsubcontracts. LL Proposers are encouraged to use services offered by financial mSYtutionsow,ru d and controlled by DKi, 3, SUBMISSION OF DDE INFORtI4TFON Iftherc is it WE goal on the contract. Exhibit I0 -01 Consultant FroposaI D E Crn rniffoient must be included in the Request for Proposal, In order fora proposer to becoasidercd responsible and responsive, the Proposer must make good fifth efforts to Meet the goal established rot the contract. tribe goal is not met, the proposer ntustdugpment adequate good faith efforts. All DBF participation will be counted towards the contract goal, therefore, all'UBE participation shit[ be collected and reported. Exhibit 10.02 Cin sullani Contract DBElnfntvnado +t Most be included with'the Request For Proposal, Even if no DBE participation will be reported, the succesafvlproposer must execute and return the form., 4. B1BF. PAR7 tlCIPA'C10NGENCIIALINFORlMATIQN It is the proposals responsibility to be fully Informed regarding the requirements of 49 CPR, Part 26, and the Department's DBE program developed pursuant to the regulations: Particular attention is directed to the rollowiug: A. A DBE must be asmall business firm defined pursuant to 13 CFP 121 and be certified through the California Unified Certification Program (CI16P), Paste 100 3 I:'vP 13 -0I srlay 8, 2013 tie) `�.°' 25L -313 },19 V41BIT 10-01 1 CONSULTANT PROPOSAL DEE COMMITMENT PARAGON PART N'ERS Local Assistance Procedures Manual EX11I111'T 10.01 Corsnitaut Pro irml DBE Comnlitni oil t EXJIIBIT 10 -Clt CONSULTANTPROPOSAL DBE COMMITmvNT (lnolusive of all DEirs lists d. at bid plop nail, War to iflea uctioms ml tre reverse side atilus imm) Consultant to Complete this Section 1. Local Agency Name: City Of Santa Ana Pu611c Wart <sA enu�r_ m L project 1- oeal(on; City of Santa Ana 3. Project Description: Property Mana ement $erviees 4. Consultant Name, ParaQOn Partners t-td• • Cminoat DBP. Cron1 %: 4% DBE Commit ent trifonnation 6. Dcndidnn of Services to Se Provided T, DINT Film &DBE Cart. 9. DBE% Conan mfinmwi.. Numl+er Tilt) Local Agency to Complete this Section t9. Tuluf. %Clafficd 4% 16. 1.x.1 Agency Corned Nnmber: , 17. Fedend-und ProlutNombes: 18, Pmpoxd Cantina Ezocutian Dale: Lacni Agency certifies that all DBE certifications are valid and the repo r , ignan Jnfortnatian nn this talon i8 complete and ulunde: M Nellla taValle 12. Fmparo[ s Name (Print) 19. Local Agency Repmsentnnve Name (Print) President and CEO _ 13. Frepnrcr's Title 20. Local Agency Represemative Si@nntum 21. Date June 10.2015 714- 379 -3376 14. Davo 11(Ama Code) T'el. No. 92. f e Agency Reprewnnntivc Till¢ w27. (Area Code) To, No nislribution: (I) prigionl- CbuSUhant anbmil510 9oeal agcncy -5th propomt (2) Copy - Local Agency f➢cs Page 1 of 2 Up 13-01 May S, 2013 25L -314 ' 20 EXHIBIT 1 O-K I CONSULTANT CFRI-MCATION GIF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM -Local Assistance Procedures Manual i XMUIT 10 -K ConsultantC601fleation of Contract Costs andFlnanelof Management System .EXHIBIT IO -K CONSULTANT CRRTITICATIQN OF CONTRACT COSTS AND FINANCIAL 1t'frbNAGEMENT SYSTEM (lYnte; 1, f regnastllrgtp utllt2e 3�ieSafelLnGOr77Nflreot L`oc(Rnte sybtnilAlttrc &mwtt l nj DLA-01 1 13-07 - Safe Harhor Indirect Capt Rale -orConstillomtG'anhbctsforrall or)ulgi:J /rgryrv. dol. cngovJ lrq/ iootll' ibgrarnvlD .L,- OB/DLrIOD.trtto Ill floe ofM1,9 grin) t'au of Final Indirect Costs: Consultant Firm Namm Paragon Partners Ltd Indirect Cost Rate: Standardltotuly * Rar fiscal period 0610tnoisto '(mmiddlyyyytonruilddlyyyy) Rates Apply 721.1112016 . uFiscal period covered for Tndtrock Cost Rate developed (not the contract period). Local Govermmnit ;fin €Santa Ana Contract Number: T13D Project Number. RFPNo�15•A13 1, the undersigned, certify that heave reviewed thoprnposal to establlsbffntd Indirecteost rates for the fiscal period as specified above and to the best oFmykuowledge Anil belief L All Costs Included in this proposal to establish final Indirect CostRates are allowable In accordance with the costprhiciples of file Federal Acquisition Regolations(PAR) of Title 48,, Code ofpedeml Regulations (CFR), Part S 1. 2. This proposal does not lnalnde any costs which are expressly nuallowabletmder the cost principles of the RAIL of 48 CPR, Park 3l. All Imowuniateriel transactions or events that have oecurced affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial NTsrnaffmnant$ystatirt 1, the undersigned, certify to the best of my knowledge and _belief that our Financial Management System meets the standards For financial reporting, accounting records, lamina and budget control asset forth in the FAR of Title 49, GFR, Part 18,20 to the extent applicable to Consultant, Certification of Dollar Amonpt for all A&E Contracts 1, the undersigned, certify that the approximate dollar amount of all A &r contracts awardod by Caltrazs or California local agency to this firer within the last three (3) calendar years for all State DOT and Local Agencies Is $ and the. number of states in which the firm does business is J Certification. or$i •ect Costm 1, the undersigned,.certily to the best ofmy knowledge and belief thatall direct costs identifiedon the cost pr"oposel(s) in this Contract are reasonable, allowable and allowable to thecontract In accordance with the awl prhieililesofthaFAROrTYtla4B ,CPR,PartBl, Allowable direct oost swa Government contract shall be: UP 13 -01 MRAGON " 1ARTNER% 25L -315 January 21 Local Ass6stnace7h ocedurev Manual, EXTUBI IO-K Consultnnt Certification of Contract Costa and Financial MAnageurent$ystent 1. Compliant veRb Generally Accepted AecounfingPrinciples (GAAP) and standards promulgated by ilia Cost Accounting Standards Board (when applicable}; 2. Cornpl laut with the terms of tile contract and is lwwrrnd specifically for the contract. 1. Not prohibited by 23 CFR, Chapter 1, Part 172 —Administration of Engineering and Dosp Related Service Contracts to the extent req iteeruenfs are applicable to Consultant. All costs must be applied consistently and fahly to allpontmets. All documentation of oampliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on-call collcact). $ NA Prune Consultants (if applicable) Proposed To(al Commet Amount (or amount not to exceed if on-call coutract)i $_ NA_ Prime, Iist al subconsultants and proposed subcontract dollar amounts (attnah additional page Ifnccessary),, $ Consultant Certifying (Print Na1ne and Tit to)- Name. N�ILIA I�AVA'ld,� Consultant Certification Signature ax, Date of Certification (ran ') /dcllyyyy): U6t(1912(}1S Consultant ContactInfoxmationt Email; y12ti 61 A 7AV8�gDV1' ptRf ik pS, COM Phone number: eg- 7,0 ( **An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or eguivalaut, who has authority to represent thefrnancial information utilized to establish theindirect CostRate proposal submitted in conjunction witlrthe contract. Note, Per23U,. F. C. 1t1 @J(z)f6j,5 <i6epetsNlfmrlsrarvt camlr/y iVftlr fka hTeiR CAST P7Gteip(as oarUainoit Lr 48 CPR, ParOL 23 CrAFaav 172.3 D0111 iaussale: Consuffanta4an„'�toat &yrliVfdrmfor rot+ p+' nWdLrgengineer (pgane!cAstgrtretntastsarwlcesas aport), tofftoconract. irirol'EjJdre,StlbfiAlLiRIlnlVS aY)Iaf'lleSpQCaltfl'aCUlIILSf aaHl(Ti6reaCePf6a(16li Rnd6eN$oJi$flva/S to lfCanC(ECef3 CO(lfb5 in local Agency Projece ARits. nlstribi nun: I) original to (Utnm9 Audits and hivoligations 2) Retained to local Agency Pfoita Piles Paget 0f2 1,PP 15 -01 January 14,2015 PARAGON 'I ? PARrNras 25L -316 22 0 a FEE PROPOSAL Paragon has provided our fee proposal (Exhibit 14 -H) and standard hourly fee schedule below. EXHIBIT 10-H pS � M I �G x E� u 9 �+ r�niirrle�s � q k+ L v d p � d a a p F4 Gi ro ;n n a n it 0 o V .S GJ 0 c v n� V v r - o a c C rn i N +� M L y pN W q�f R �q V ct ro wLA � G A 99 A A a �a V A ➢ Q QO e u ri qO u ao w.. � x a wva �+pa H Ci Ci T i� .gyp vt vt 4l w4 �v}i zi z H i'i a m FF 25L -317 Fff PROPOSAI.1 2 +� M L y pN W q�f R �q V ct ro wLA w A a �a V A e u ri 0 5• � u ao w.. � Fff PROPOSAI.1 2 4� I� i,' 11'r H' jj� PARTNERS. �Ny P N C ti 25L -318 A H ` 1H I N ws lew 0 FEE PROPOSAL 13 G i igRJ N H h F a VH A O q ,I ? U a 9 1 8' W5 B �d�5 ¢Y VN AH 25L -318 A H ` 1H I N ws lew 0 FEE PROPOSAL 13 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 5a` day of August, 2015 by and between Overland, Pacific and Cutler, Incorporated, (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of Property Management Services. 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 those services as set forth in Exhibit A to this Agreement. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $200,000 during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on August 5, 2018, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. Exhibit 11 25L -319 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self- insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. 25L -320 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. 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. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 25L -321 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. 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. 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 in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. 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: 25L -322 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: To Consultant: Fred Mousavipour, Executive. Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647 -5654 Overland, Pacific & Cutler, Inc. Mark La Bonne, SR/WA, Vice President 1 Jenner, Suite #200 Irvine, CA 92618 mlabonteAoncservices.com 949 - 951 -5263 (Office) 949- 951 -6651 (Fax) Jose Sandoval Assistant City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax 714 - 647 -6515 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. 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 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. 25L -323 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 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 proposes 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. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 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. 25L -324 19. MISCELLANEOUS PROVISIONS a. Additional provisions, if any are identified as Additional Provisions, Exhibit D, attached hereto mid incorporated into this Agreement by reference. b, Each undersigned represents and warrants that its signature herein below has the power„ authority and right to bind their respective patties to each of the terms of this Agreement, and shalt 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, hello 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:: Maria D. Huizar Merk of the Council "PROVED AS TO FORM: SONIA R. CARVAI.H City Attorney B 76 &$andoval Asttorney RECOMMENDED FOR APPROVAL: Fred Mousavipour Executive Director Public Works Agency CITY OF SANTA ANA David Cavazos City manager CONSULTANT- Overland, Pacific & Cutler, Inc. Mark Ld Borne, Vice President Tax ID # _ 25L -325 EXHIBIT A SCOPE OF SERVICES 25L -326 June 9, 2015 Mr. Kenny Nguyen City of Santa Ana Public Works Agency 20 Civic Center Plaza; 3rd Floor Reception, Ross Annex Santa Ana, CA 92701 Re: RFP No. 15 -043 Property Management Services Dear Mr, Nguyen; Overland, Pacific & Cutler (OPC) understands the City of Santa Ana is seeking professional consulting firms to provide right of way and related services on an as- needed basis. We are pleased to submit this proposal to provide Property Management Services. OPC Is a California Corporation that has specialized In providing real estate services to government agencies since 1980. We are prepared to provide the City of Santa Ana with a qualified team out of our Irvine office that will successfully execute your projects, OPC has worked with the City of Santa Ana for almost 15 years, and have provided property management services on the Bristol Street Widening Project and the Grand Avenue Widening. We are excited about the opportunity of working with the City again. On behalf of Overland, Pacific & Cutler, Inc., I would like to thank you forgiving us the opportunity to submit this proposal to provide property management services to the City of Santa Ana. I will act as the Principal-In-Charge and the Point of Contact for the city. I can be reached in the Irvine office at 949.951,5263, or contacted via email at mlabonte o cservic s.com. We are committed to the City and we would be proud to be a part of your future projects, Sincerely, Overland, Pacific & Cutler, Inc. 1: Mark la 6onte, SRIWA Program Manager /Principal 25L -327 RFP No. 16-043 1. Statement of Qualification le. Agreement Statement OPC has reviewed the Agreement and we request no exceptions. c, Understanding of Needs /Requirements The information below Includes the typical scope of services and a general outline describing our understanding of the needs and requirements of providing Property Management Services. A, Property Management Responsibilities Office and field staff will be sufficient to perform property management services in a competent and timely manner. Property management services will include, but not be limited to the following minimum requirements and services' f. OPC will provide a 24- hour, 7 day a week emergency toll -free telephone number for Project tenants and others to call. 2. OPC will collect rent from tenants pursuant to existing rent statements and lease agreements, or those to be created and executed on behalf of the Client. Rents will be deposited into a bank account or delivered to the Client within 3 days of receipt. 1 OPC will notify tenants in writing of delinquent accounts, send out delinquent rent notices, and forward copies to the Client if requested. 4. OPC will adhere to a `No Re-Rent' policy for relocation projects which stipulates that vacated units will not be made available for re- occupancy. 5. OPC will provide marketing and leasing services for longer term tenancy projects which require the re- leasing of vacant units, 'These services include the placement of advertisements, responding to potential, tenant inquiries, showing vacant units, and lease negotiations. OPC will conduct new market surveys to determine appropriate rental rates. 6, OPC will issue an itemized monthly invoice to the Client for the prior month's services; fees, and charges. Such monthly Invoices will be approved by the Client, and upon approval deducted from the amount of rents collected or paid directly by the Client. 7, OPC will establish, on behalf of a Client, a non- interest bearing operating checking account for the payment of expenses Incidental to the 'Project. OPC`s designated principals will retain signatory authority on the bank account. OPC will provide monthly reconciliations and reports of all deposits to and drafts from the account rand, if necessary, request new funds to maintain an appropriate operating reserve. The operating reserve in this account should be at least $5,000 to avoid the payment of bank fees. S. OPC will maintain .a log of any and all informatlon received that a tenant will be vacating or has vacated any Project unft, and will provide this to the Client on a regular basis. 9. OPC will notify the Client in writing, and also the appropriate law enforcement authorities, in the event of any injuries, damages, illegal entry, illegal occupancy, or disturbances at any Project unit. O Vl KtAMU o.A 4IF if 6 25L -328 10, OPC will assist the Client and Client's Attorney when eviction becomes necessary, bPC will consult with the attorney and prepare recommendations regarding evictions . and other corrective actions. The Clients attorney or appropriate legal counsel though, will assume the lead role in all eviction proceedings, 11, OPC will Inform the Client and make recommendations when the Project is not In compliance with laws and ordinances, or when standard practices cannot be Implemented for property management activities. 12. OPC will serve as a liaison between. Project occupants and the Client, including verbal communication in Spanish If needed. 13. OPC will perform a pre and post close of escrow walk - through of the Project to help ensure the prior owner(s) have complied with the terms of theirescrow., 14. OPC will regularly perform Project inspections to determine if there are illegal occupants (squatters), or if there is any visually apparent (i.e„ noticeable without the need for extensive investigation) material damage to the ,Project. 15. OPO will obtain and maintain, throughout the contract torm, insurance coverage required by the Client. i . erpogdy LAgiliteriano OPC Will provide maintenance services as described below. Maintenance responsibilities will Include, but not be limited to the following: 1, OPC will direct immediate ,correctionstrepairs of Project safety violations or unsafe conditions, 2. OPC will provide a written report with pictures indicating any unusual corrective action that is needed to maintain or repair the Project. 3. OPC will provide a vendor /sub - consultant fee schedule for preventative maintenance, anticipated repairs etc. when requested. Records will be kept of any maintenance or repairs completed. 4. OPC will contract with and oversee vendors for landscape maintenance, weed abatement, board-up, and debris and graffiti removal services. 5. OPC will contract with and oversee vendors for services such as plumbing, pest control, waste removal.janitorial, handyman, and electrical repairs, or as required.. 6, OPC will respond to 'Work Requests" and "Tenant Complaints ". Initial response will be within 24 hours of receipt of a Work Request or Tenant Complaint, If the situation cannot be resolved within 24 hours, OPC will contact the tenant and Client, if requested, to provide an estimated resolution date.. ?. OPC will be responsible to oversee the removal of abandoned personal property within the Project. B. OPC will contract with and oversee vendors for demolition, site clearance, and temporary fencing services at an ektra cost if required, C: Rebortina Reaulrements OPC will Input and maintain current data and provide reports as described below, OPC agrees to utilize automated tracking and a regularly updated software system. Reports to Client will include, but not be limited to the following: 1. OPC will maintain accurate accounting for ail current and past Project tenants, Paga 8 25L -329 R,FP No. 15 -043 Property Management Services 2, CPC will provide, each month and at the end of tenancy, a rent payment history. Reconciliations of this will summarize payment history, delinquent rent payments, late fees, and deposits. 3: OPC will provide, on a regular basis, a vacancy report indicating all vacant units and the dates they were Inspected by OPC staff. qtr OPC will provide, each month, a report detailing amounts expended for utilities and other expenses. S. OPC will provide, each month, copies of work orders Indicating repairs made, when, and where if requested. 6. OPC will submit an accident/inctdent report within two business days of occurrence of any accident, injury, or incident causing significant property damage or illegal entry at the Project. ?, OPC will provide the following accounting reports each month: * income Statement (MTO and YTD) * g®lance Sheet * General ledgers showing all transactions during the month * Accounts Receivable Report * Accounts Payable Report * Check Registers Bank Statements Anticipated Approach Property Management In general, our property management services tail under the following four categories: Lease Agreements. OPC will provide our own tease agreements or use those provided by the City for all new and carry-aver tenants. Lease agreements will be fully executed, with originals kept on file with terms regularly reviewed and enforced to help protect the City. Marketing and Leasing, OPC will conduct market surveys and provide results to the City with recommendations. Decisions will be made to continue renting to current tenants, re -rent vacant properties where appropriate, or adhere to a 'no re- rentt' .policy for relocation projects where vacated units will not be made available for re- occupancy, whatever Is most advantageous to the City, Accounting. OPC will establish an expense account on behalf of the City, .collect rents, deposits and other income, pay vendor invoices, utility bills, refunds, and other expenses, maintain records per generally accepted accounting practices, and provide regular reporting to the City for complete transparency, Property Monitoring, Maintenance, and Repairs. OPC will secure properties, regularly monitor them for illegal activity, and perform or arrange for required maintenance and repairs to help protect the City's assets, Page 6 25L -330 RFP No, 15 -043 Pros perty Management Services Tasks Necessary For Successful Completion of Scope The following outlines the sequential activities required to provide Property Management Services. Property Management Seruioes, , negotiations). -; 2) Prepare /present Loss of Rent agreement to prop" owners; sei Wl cpnumon repairs. 5) Contract oh going building/ground maintenance, 6) Manage payment of vendorfees and utility bills, 7) Collect keys /verify abaidonment.`, 8) Prgvide monthly reporting to City. , Post Possession: 1) Contract board -up, fencing, and security services as units become vacant, L} F'roYide titility disconnection /meter removal. 3) Provide asbestos and demolition cast estimates: 4) Coordinate asbestos abatement and demolition contractors. Special Concerns We will continue our working relationship with the City, providing regular lines of communication to resolve any special issues and report on problems In need of immediate resolution. In regard to property management, we closely monitor projects to help protect the assets from illegal dumping, occupancy, and vandalism. OPC provides the repairs and maintenance necessary to help ensure safe access into properties owned by the City, and to emergency personnel, or others legally permitted to enter. We provide proactive approaches to emergencies and special project Issues by reviewing project areas to determine possible risks, and by establishing a plan to manage these risks. Page 7 25L -331 RFP No. 98-043 Property Management Services d. Firm and Team Experience ProfP3e of OPCs Experionce Overland', Pacific & Cutler (OPC) was established as a California Corporation in 1980 to provide professional services for clients with projects involving property management, right of way program management, land and right of way acquisition, feasibility analysis, real estate appraisal, appraisal review, relocation planning and implementation, and utility coordination. Our firm was created to perform these services for transportation, development, public works, housing, community development, school districts, energy, and utilities. Local, regional, state, and federal agencies call upon OPC to provide on -call and project based real estate services for their most challenging assignments. OPC`s'Property Management services include maintenance, landscaping, and debris removal, as well as leasing and marketing, rent collection and reporting, account reconciliation, property inspections, 2417 emergency response, in -house crews, security and board -up, handyman repairs, weed abatement, graffiti removal, and demolition coordination. We are the best suited firm to support the City of Santa Ana's property management goals. We are equipped to continue to provide excellent property management services on City of Santa Ana's future assignments. Project Team and Resunias The following section outlines the proposed team, including the (approximate) percentage of time each team member will devote to the project. Project M;magement/l reject Initiation Mark La Bonte, SR/WA Principal -in- Charge Program Manager* Daniela Borbe, Property Manager* Project Manager /Property Karen Christie Cameron Holleman Miguel Murriilo In -House Property Services Team In -House Accounting /Finance "Key Team Members Management Supervisor Registered Property Manager Project Support Project Support Property Services Crew Accounting, Billing, etc, Resumes for the key team members are included on the following pages. Pave 6 25L -332 Percentage of tirrto to be devcfed to project. 10% 50 % 50% 85% 85% 85% As Needed I \) §Kt a 8< � lo \ \ 8§ I \\ I j \% � > > / \ E 25L -334 N3 0 C'l1 x h i� T tl �dQQ hp�p �i N�NpY s; a EXHIBIT B FEE PROPOSAL 25L -335 x� y H � WE P. �V w a. 4 F� � L W F I 1�O F Li a u s O U m P O Cj o W Q � w U II 0 �+ Q u q F U .? b V + o C t. p b N � U O v G c q tn 4 a pro FG a m � by ^. P �y o • • u i • a • I 25L -336 a� 0 N Ls a a a h �q O a o �O a v a a v o 69 M mi O000Qo M M M m M M O ywy e .d O M d M V 0 0 O O 0 0 0 0 VI 0 0 o Chr w mN^ O 4 Foe 0 q y o b � �ww ww www�n � O A 0 0 0 4 4 4 0 0 0 r� NNn �n C� n�1�1 NNi mmm N�NI�� N „ww f 0 wpn ww wwww :n N N N, NN.ry �N�R W 8 eq � O O O O O p G Q 0 W P Q G 6 0 0 0 0 0 m 006 .N..N.. 06 b n Ny�dw' t- tf1npr� 00 N.N. C4 .N. oWopp 64 fR 6�FJ FwR 49 69 C9 E9 V) f� n K1h Vi 00 w� am FGF ��marn�nwwv P� ss es�v�sS F»v3 Fa va O.N Nq C-R In q mPnn��N�� CryryT (Pyo 14 0 Ppi 25L -336 a� 0 N H a <r" P+ h �q O a M O o � O q y o b � � O A O N „ww f N 8 eq �N m � • • a r7 N N N W [/Qy rV, V O F W U iQ. a. u 0 J h N N Ii I O va 0 25L -337 °z O R O kta H O N � D9 rvF?4 U V a pCp y i7 a � � �ro cc c e� d w R y o hO z q P O O o p Ei o y X O U �O7 fWy � O 3 ai' �i F] U 8� g o v �10. A Own CFtJU N 'Gtl ^.J Op, O dygi ❑ •:�`�j; pF� �" O 63 /�i a?P7U F cC�rrr.F� O .% N tai T vi 16 r� od N W r-1 A i8w � a z rq o U fay !W-J tt-Ji H A vi U E Q� Gq $ P7 CJ o � U v op `.1 U E. kC z E 5 E O 15 P W Q Q v v r � Ca Q ¢�44d W 25L -337 °z O R O kta H O N � D9 rvF?4 U V a pCp y i7 a � � �ro cc c e� d w R y o hO q P O o p Ei o y X O U �O7 fWy � O 3 ai' �i F] Q FL •F 8� g o v �10. N 'Gtl ^.J Op, O dygi ❑ •:�`�j; pF� pgUp O 63 m•��'�b T O cC�rrr.F� .% N tai T vi 16 r� od N W r-1 EXHIBIT C CERTIFICATIONS 25L -338 ATTACHMENT 3 -1t NON - COLLUSION AFFIDAVIT MY OF SANTA ANA REQUEST FOR PROPOSALS FOR PROPERTY AIANAGFME NT SERVICES RFP NO.: 15-043 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 }aid 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, iorthat anyone shall refrain from bidding, thatthe BIDDER has not In any manner; directly or indirectly; sought byagreament, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fu 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 tote; and, farther, 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, arm any member or agent thereof to effectuate a collusive or sham bid, Notes The above Non - collusion Affidavit is part of the Proposal„ Signing this Proposal on the signature portion thereof$hall also constitute signature of this Non- colluslon Affidavit. BIDDERS are cautioned that making a false certification may subi+;>WWcertifier to criminal prosecution. MM State of California County of Subscribed and sworn to (or affirmed) before the on this _ day of , 20 , by proved to me on the }}basis ofsatisfactory evidence to bethe persons) who appeared before me. net 6144ae 1�4 Notary Public Signature Notary Public Seal Olty of Santa Ana RFP 15 -043 Page 213 25L -339 R notary public or ether officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document, State of California County of, k 1 Subscribed and sworn to (or affirmed) before me on this day of (AAAe —, 24 ) by proved to me on the basis of satisfactory evidence to be the person(&} who appeared before me. Signature (Seal) DESCRIPTION OF THE ATTACHED DOCUMENT M 'A-- do'lluwva I AWrI (Title or diecripoon of attached document) (Tidsor adpfion ofadad�ed �cnmanfCanBnuad} Number of Pages __L Document Oafe Atitfonal Information 2016 Vaunon arwwMlaryC1a9sas.CoM 800 -B73 -9665 m, D4RIEtA BBRBE } 11, RatAAYkubLIC =CdUiaAW& O0.AMm€ $11.3 rd+�`" Y eoux. Eip. fAa. $1, i$t$'I The tvoNfngofaAdaralsaamptotedCd Cidirso tasRorJansozy f. 20T5mostba to are tam as set forth afthtn this durst 7hare are no itxcaphiap; ff s Juratto be completed does not fotoarthts farm, the notarymastcosect the treirk4re byysingoJuratstampcaatsintrrg the correct wording or altaoMraj a sepsrafojkal form such as Anne and Win does contain this proper woring. In gddift the rotary rust Map* an oaho or afrmaaon from the docunatnf signer regardGrg the frutrPo6oss of Hie contents of the decumint Tho docurantmust be ditiod AFTER the oath oreftlrtaUan, Nihe daunrant was prav,'ansy signed mvdbsresgnadln ronto tAa noaypubXadudngUoju alp coos& • State and county Infonnstton must be the state and county where the document signer(a) personally appeared before the notary public, • Date of notarisation mast be the date the signers} personally appeared which must also ba Hie same date the just process is completed. • Pont the name(&) of the document signer(a) who personally appear at the time of notarization. • Signature of the notary pvbiic must match the signature on file with the office of the county clerk. • The notary seal impression must be clear and photographically reproducible. Impression must not cover tern or imiss. If seal Impression smudges, re -seal If a sutfletent area permits, otherwise Complete a different just form. <* Additional tnfomrallon I3 not required but could help to ensure this turat is not misused or attached to a different document. Indicate ihte or type of attached document, number of pages and date, • Securely attach this document to the signed document with a staple. 25L -340 APPENDIX ATTACHMENT 3 -2: NON - LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR PROPERTY MANAGEMENT SERVICES REP NO.: 15 -043 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 Overland, Pacific & Cutler, Inc. Signed and Printed Name: Mark La Bonte, SR/WA Title Program Manager /Principal Date 6/812015 City of Santa Ana RFP 15 -043 Page 21 25L -341 ATTACHMENT 3 -3: CERTIFICATION N CITY OV SANTA ANA REQi7E87 FOR PROPOSALS FOR PROPERTY MANAGEMENT SERVICES RPP NO. -15 -043 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; xeligion, sex, or national origin. Such action shall include, but not be limited to, the following: employnent, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or terroina €ion; rates of pay or other trains 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 seating forth the provisions of this nondiscrimination clause. 2. The Consultant shall, in all solicitations or advwtisernents 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 contractor understanding, a notice to be provided advising the said labor union or workers' representatives of the Consultant's commitments under this section, and shalt 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 l t246 of September 24, 1,965, 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 byrules, 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 asewmin compliance with such rules, regulations, and orders. 6, to 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 11241 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 by rules, City of Santa Ana RFP 15 -043 Page 22 25L -342 regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a 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 pena °e ' posed for violation of the Chapter. Signed: Title: Program Manager /Principal Firm: Overland, Pacific & Cutler, Inc. Date: 6/8/2015 City of Santa Ana RFP 15 -043 Page 23 25L -343 EXHIBIT D ADDITIONAL PROVISIONS 25L -344 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cast Rate submit Attachment 1 of DLA -OB 13 -07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found athttp.11 www .dot.cagov/hq/LoealPrograms/DLA OBIDLA_ OB. htmin lieu ofthisform.) Certification of Final Indirect Costs: Consultant Firm Name: Overland, Pacific &Cutler, Inc. 01/01/2013 - Indirect Cost Rate: 160°/% *for fiscal period 12131/2013 (mm/dd/yyyy to mm/dd/yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: On -Call Project Number: 15 -044 I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $19,045,589 and the number of states in which the firm does business is 3 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP 15 -01 January 14, 2015 25L -345 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CPR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (if applicable) 200,000 Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying (Print Name and Title): Name: Mark La Bonte Title: Program Manager /Principal Consultant Certification Signature * *: ,- IA 7 Date of Certification (mm/dd/yyyy): 06108/2015 Consultant Contact Information: Email: mlabonte@opcservices.com Phone number: 949.951 Z263 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per23 U.S.C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31, 23 CFR Part 1723 Definitions state: Consultant means the individual or firm providing engineering and design related services as a party to the contract. Therefore, subconsultants as parties of a contract must complete a certification and send originals to AV and keep copies in Local Agency Project Files. Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Piles LPP 15 -01 25L -346 Page 2 of 2 January 14,2015 Local Assistance Procedures Manual EXHIBIT 10 -01 Consultant Proposal DBE Commitment EXHBIT 10 -01 CONSULTANT PROPOSAL DBE COMMITMENT (Inclusive of all DBEs listed at bid proposal. Refer to instructions on the reverse side of this form) 1. Local Agency Name: City of Santa Ana 2. Project Location: Santa Ana, CA 3. Project Description: On -Call Real Property Services 4. Consultant Name: Overland, Pacific & Cutler, Inc. 5. Contract DBE Goal %: 4 DBE Commitment Information 6. Description of Services to be Provided 1 7. DBE Firm 1 8. DBYc7---T 9. DBE % 16. Local Agency Contract Number: 17. Fedeml -aid Project Number: 18. Proposed Contract Execution Date: Local Agency certifies that all DBE certifications are valid and the information on this form is complete and accurate: 19. Local Agency Representative Name (Print) 20. Local Agency Representative Signature 21. Date 22. Local Agency Representative Title 23. (Area Code) Tel. No. Distribution: (1) Original — Consultant submits to local agency with proposal (2) Copy — Local Agency files LPP 13 -01 25L -347 I1] Mark La Bonte, SRMA 12. Preparer's Name (Print) Program Manager /Principal 13. Preparer's Title 6/812015 949.951.5263 14. Data 15. (Area Code) Tel. No Page 1 of 2 May 8, 2013 xw o �a a N ti 4 o e e a N h O 0 0 0 0 0 0 0 0 0 �O y tyo M ffl M M M M M f� }V3 O r Q W M O O 0 O O z o v � U � rn q Pd og 0 � O � U a �' aaP oa 0040 W O P P LZ tJ + h �f O U �Q � rh- �' O ozo �o M� Qi mf^ N U, OhaO M Nl�? M Qrz m O G gq p.o v3 64 69 q U �� pow a� OO eerc��'f��ad fff V36M4� P � ��69 6'369 + r a $ rMa O q �• v 4. � `H' m v 5 o q NU,8 C o o e e a a e ee o 0 0 0 0 0 0 0 0 y tyo M ffl M M M M M f� }V3 O r W M O O 0 O O 0000000 0 aaaNNaNNN a �' aaP oa 0040 W O P P a O O C O O h �f mho C o 00 7ooh � 64 6'3 69 �' 6�9 Hi 6~9 Vi fA �o M� Qi mf^ N OAT 00 OhaO M Nl�? M Qrz m O G gq p.o v3 64 69 �� pow a� �pPpo eerc��'f��ad fff V36M4� ��69 6'369 4. a 3 m v 5 o q NU,8 C 25L -348 oN �A A ti A �o] y n U b 0 A x A, y � �yp¢ L R au °' A❑❑ O O y v 9F u 8n8 ull y e s , z PQ ao W W CV M • • a N 48 Da! a °a rQI w T. h a a a h N N N Q p z A O U 25L -349 z °z C d 0 I O v; Yn m H 0 nip I U E Ely C � 4 H a .Ci C7 p Gi •� .rU p f$ .�' � •,�, {�] qq A � O P. pz� O W � O � l y �•� � SwF •�a U p N T It ~ W A � m � q W pN t1 d � •�� 'AO v"i QPI CJ Im ¢�RIU O � A � O w Q z Zo Q O O E V E. U �-7 <C H z o y R z � r A da��Ha�U 25L -349 z °z C d 0 I v; Yn m O nip �F E C a .Ci C7 p Gi •� .rU p f$ .�' � •,�, {�] qq A � O P. A � W � O � l y �•� � SwF •�a N T It ~ q W pN t1 d � •�� 'AO mg .° aa,wAme Im 25L -350 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: AGREEMENTS FOR ON -CALL ENGINEERING SERVICES (NON - GENERAL FUND) (STRATEGIC PLAN NO. 6,1G) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n° Reeding ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute ten on -call engineering services agreements with the firms listed below, subject to non - substantive changes approved by the City Manager and City Attorney, each for two -year terms expiring August 4, 2017, with provisions for up to two, one -year renewal options exercisable by the City Manager and City Attorney, for a total not -to- exceed amount of $250,000 for each firm over the entire life of the agreement, including any renewal period: • Harris & Associates • Psomas • Willdan • AECOM • Michael Baker (RBF) The total aggregate for all ten agreements agreements and is anticipated to be utilized Program budgets. • Kimley -Horn • Stantec Consulting Services • Mark Thomas & Company • VA Consulting KPFF shall not exceed $2,500,000 over the length of the based on the City's approved Capital Improvement Staff solicited proposals for on -call engineering services to support City staff in the delivery of time - sensitive Capital Improvement Program projects. On August 22, 2014, the Public Works Agency issued a Request for Qualifications to create a shortlist of qualified consulting firms. A 25M -1 Agreements for On -Call Engineering Services August 4, 2015 Page 2 total of 27 qualifications packages were received, reviewed, and ranked. On October 20, 2014, the top 11 qualified engineering firms were invited to submit proposals through a Request for Proposals (RFP) process that followed qualifications and selection guidelines for federally funded projects (RFP 14 -037). The proposals were reviewed and evaluated by a selection committee for content and responsiveness to the RFP requirements. As a follow -up to that review, it was decided to also utilize a process focused on local funding with a value -based selection process. The scope of work was also further broadened to be inclusive of water and sewer projects. On May 20, 2015, all 27 firms were invited to submit for the value based selection process for RFP 14 -037B, where cost and fee were considered as part of the initial rankings. Fourteen firms submitted proposals, and these were reviewed, evaluated and ranked by a selection committee for content and responsiveness to the follow -up RFP. Staff recommends that the top firms from each process be retained for on -call engineering services: Harris & Associates, Psomas, Willdan, AECOM (recently merged with URS), Michael Baker (RBF), Kimley -Hom, Stantec Consulting Services, Mark Thomas, VA Consulting, and KPFF. The ten highest- ranked firms from the entire process have demonstrated that they have the experience and resources needed to respond to a variety of the City s needs. Public Works will use a Task -Order system to ensure tasks are equitably allocated to all consultants. Initially, the top three qualified firms will prepare a scope of work and fee for the first task order. Proposals will be evaluated for value, the qualifications of the staff assigned, and the completeness of scope. Once a firm is assigned to a task, that firm will be moved to the bottom of the list to await potential future assignments. The remaining top qualified firms will continue to compete for the subsequent task orders. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the Citys Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action 25M -2 Agreements for On -Call Engineering Services August 4, 2015 Page 3 FISCAL IMPACT Funding for these on -call engineering services is available in the Fiscal Year 2015/16 Capital Improvement Program (CIP) and will be budgeted in future CIPs as identified in the attached expenditure plan (Exhibit 1). __ V k - Fre Mousa ipour Executive Director Public Works Agency FM /EWG /MS Exhibits: 1. Expenditure Plan 2. Agreement — Harris & Associates 3. Agreement — Psomas 4. Agreement — Willdan 5. Agreement —AECOM APPROVED AS TO FUNDS & ACCOUNTS: �E7✓ Francisco G ' rrez Executive Director Finance & Management Services Agency 6. Agreement — Michael Baker (RBF) 7. Agreement — Kimley -Horn 8. Agreement — Stantec Consulting Services 9. Agreement — Mark Thomas & Company 10. Agreement — VA Consulting 11. Agreement — KPFF 25M -3 25M -4 On -Call Engineering Services Expenditure Plan FUND ACCOUNT FY 2015/16 FY 2016/17 General Fund 01113250 $ 28,500 Donation - FOSAZ 02213200 $ 60,000 Measure M2 Fairshare 03217662 $ 280,000 Measure M2 Local Fairshare 03217662 $ 39,000 Measure M2: ACE 03217663 $ 18,510 Capital Outlay 05113263 $ 66,609 Sewer Connection Projects 05517660 $ 90,000 Fed. Clean Water 05717640 $ 343,050 RSTP 05917660 $ 100,000 Traffic Congest Relief HUT 2013 05917663 $ 30,000 Pavement Impact 05917664 $ 229,000 Water Capital 06617647 $ 65,000 Liability & Property Ins Fund 08009051 $ 216,000 CDBG 13518783 $ 336,123 CDBG 13518783 $ 71,988 ATP 14817613 $ 95,000 HRPP 16113262 $ 31,635 Drainage Assessment Fees 20217660 $ 1,342 Drainage Assessment Fees 20417660 $ 956 Drainage Assessment Fees 20517660 $ 542 Drainage Assessment Fees 20617660 $ 808 Drainage Assessment Fees 20717660 $ 20,000 Drainage Assessment Fees 21017660 $ 15,766 Drainage Assessment Fees 21117660 $ 182 Drainage Assessment Fees 21217660 $ 10 Drainage Assessment Fees 21317660 $ 5,923 Drainage Assessment Fees 22117660 $ 35,000 Drainage Assessment Fees 22217660 $ 35,000 Drainage Assessment Fees 22317660 $ 34,472 A & D Funds - District 1 31113260 $ 17,500 In Lieu - District 2 31213261 $ 57,084 In Lieu - District 2 31213261 $ 11,176 A & D and In Lieu - District 3 31313260 $ 148,824 A & D Funds - District 4 31413260 $ 15,000 $ 2,148,012 $ 351,988 $2,500,000 Exhibit 1 25M -5 25M -6 PROFESSIONAL SERVICES AGREEMENT CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES THIS AGREEMENT is made and entered into this 5th day of August 2015 by and between Harris & Associates (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of: On -Call Engineering Services to provide engineering services on an as- needed basis. Engineering services may include, but are not limited to, civil engineering, electrical engineering, traffic engineering, geotechnical, land /property surveying, structural, architecture and landscaping design services and grant writing services. Prior to issuing a Task Order, the City may request a detailed Scope of Work, for a specific project /task. If requested, the consultant would provide a task proposal, budget and schedule for the Task Order. From this the City may choose which consultant to assign the project/task to pursuant to this Agreement. 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 related field of expertise. 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. TERM This Agreement shall commence on the date first written above for a two (2) year term with the option for the City to grant up to two one -year renewal options exercisable by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below. Exhibit 2 25M -7 2. SCOPE OF WORK Consultant agrees to 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 Work - Exhibit A, attached hereto and incorporated by reference. Additional Agreement provisions, if any, may be contained in "Additional Provisions" attached hereto and incorporated into this Agreement as Exhibit C. 3. SCHEDULE OF SERVICES If a Task Order is issued, Consultant shall complete services and shall perform and deliver them to the City as described and detailed in Exhibit A and per the Task Order provided. The City may request that the Consultant provide a proposed scope of work, schedule and budget for a particular project or work product within a Task Order. If the City approves the Task Order, the City will issue a Notice to Proceed ( "NTP ") approved by the Executive Director of the Public Works Agency or his /her designee ( "Executive Director "). Consultant shall meet the work deliverables within the Task Order, the schedule and budget unless otherwise adjusted by the City. Such services shall be provided per written request of the Executive Director after the City's issuance of the NTP. 4. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates, fees, and charges identified in Exhibit B, "Compensation ", attached hereto, and incorporated by reference, in an amount not to exceed two hundred fifty thousand dollars ($250,000) over the entire life of the Agreement, including any renewal period(s). Exhibit B includes completed Federal Exhibits 10 -K and 10 -H along with all Consultant and subconsultant(s) rates and fees that comply with federal requirements. Exhibit D includes all previously completed Federal certification forms as part of the Proposal submittal in response to the Request for Proposals. These are attached hereto and incorporated herein as Attachment D- 1, D -2, D -3 and D -4. 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 disks (CD)s, USB jump drives or equivalent, 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 OA 25M -8 shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 6. PAYMENTS & INVOICES a. Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. b. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: i. Consultant's invoice number and City's agreement number ii. Beginning and ending dates for services iii. City Project and /or Task Order number andor name (if applicable) iv. Work site address /location (if applicable) V. Tasks or deliverables completed, and percentage ( %) of total services completed. vi. Remaining Overall and Task Order budget available City will, within 45 days of receiving such statement in a manner that meets the City's requirements, review the statement and subsequently pay the approved charges thereon. 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. 8. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which 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 25M -9 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, and $2,000,000, in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim and $2,000,000 annual aggregate shall be maintained. 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 in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City, except for 10 days' notice for non- payment of premium. 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 Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 4 25M -10 9. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), to any work performed or services provided under this Agreement arising out of, relating to or pertaining to the negligence, recklessness or willful misconduct of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 10. LAWS AND REGULATIONS Consultant shall keep itself fidly informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure to comply with such laws, rules or regulations. 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 5 25M -11 reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. (Also see Exhibit D.) 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 attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the authorized representatives of the parties. 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 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 the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product(s) 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. 11 25M -12 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. (Also see Exhibit D.) 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. The 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 facsimile 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 Facsimile (714) 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -5635 7 25M -13 To Consultant: Harris & Associates Randall Berry, PE 22 Executive Park, Suite 200 Irvine, CA 92614 Phone: (949) 655 -3900 ext. 2314 Facsimile: (949) 655 -3995 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 facsimile, 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. Additional provisions, if any, are identified as Additional Provisions — Exhibit C, attached hereto and incorporated herein by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25M -14 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR DAVID CAVAZOS Clerk of the Council City Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Lisa Stotck Assistant City Attorney RECOMMENDED FOR APPROVAL: CONSULTANT: FRED MOUSAVIPOUR Executive Director Public Works Agency (Name) (Title) 25M -15 EXHIBIT A SCOPE OF WORK CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES I. GENERAL The City of Santa Ana (City) solicited proposals from professional consulting firms (Consultant) to provide engineering services on an as- needed basis. Engineering services may include civil engineering, electrical engineering, traffic engineering, geotechnical, land/property surveying, structural, architecture and landscaping design services and grant writing services. A detailed Scope of Work will be outlined when /if a specific project or Task Order is assigned to the consultant. The work, in general, consists of general engineering design projects on arterial and local streets, bike paths, and public parks, citywide. Funding sources for each project may vary ranging from local, Measure M2, state and federal and each project/task order assignment shall comply with the funding agency's requirements. The projects may include storm drain improvements; sidewalks, bike paths, curb and gutter replacement; slurry seal of residential streets; repair and overlay of asphalt concrete and /or PCC streets; signing, striping, neighborhood traffic studies, traffic signal modifications; landscaping and irrigation systems; park and recreational design, grant application writing, and other related projects as required. On occasion, environmental and planning support services may also be requested. The City may need consultant services for survey, mapping and legal description preparation, construction management, staking and inspection. Occasionally, the City may also need geotechnical, mechanical, electrical and /or structural services. The Consultant shall be able to assist the City through this contract to provide the necessary services. The Consultant shall utilize in -house staff and/or sub - consultants to complete the assignments to meet the City standards. For specialized work for which the prime consultant shall require a sub - consultant, the prime consultant shall serve as an administrative liaison between the City and the sub - consultant. The prime Consultant mark -up for sub - consultants shall not exceed 10 %. II. PROPOSED SCOPE OF SERVICES In general, the Consultant shall perform above noted engineering design services resulting in contract documents (plans, specifications and cost estimates "PS &E ") for various projects on an as- needed basis. However, work tasks may include studies or a variety of engineering or other 10 25M -16 tasks. If requested by the City, the Consultant shall provide a Work Plan which includes a detailed schedule of the assigned project prior to the issuance of Notice to Proceed of that particular project and /or Task Order. Specific Task Orders with Notices to Proceed ( "NTPs ") will be provided for project(s) at the discretion of the City. Work required per Task Order shall comply with the Scope of Services and additional provisions in each Task Order and this agreement. The Consultant shall also provide all field survey work required as appropriate and shall have the necessary experience and required civil, traffic, electrical, structural, geotechnical, surveying, landscape architect and architectural licenses for those in responsible - charge of the work being completed. The Consultant's services for PS &E engineering project preparation shall include, but not be limited to, the following: Research existing records of utility companies and agencies and coordinate the proposed improvements with existing field conditions. Provide all field survey and topographic work necessary to complete the design effort. Design level survey and base mapping of the project site shall be prepared in US Customary English units by a California licensed Land Surveyor in accordance with the City guidelines and in Microstation V8i Computer Aided Design and Drafting (CADD) format. The horizontal datum shall be NAD 83 and the vertical datum shall be NAVD 88. All survey field notes shall be on forms provided by the City, shall be neatly completed in pencil, and shall become property of the City upon completion of the project. Informal field investigations including marking of removal areas may be required for some of the sidewalk, curb and gutter, and pavement replacement projects. Complete the design of projects including plans, specifications, and engineer's construction cost estimate. The Consultant shall contact manufacturers and /or contractors to verify the engineer's estimate prior to submitting to the City. Specifications shall be prepared in Microsoft Word and an electronic copy of the final version shall be furnished to the City. The City will provide the specification boiler plate to the Consultant. 4. If requested, all preliminary and bid sets of plans shall be plotted on bond or velum using the Microstation V8i CADD program. All drawings shall be completed per the City of Santa Ana CADD Standards. For interim submittals, the City may opt to receive only PDF versions of the plans for reviewing purposes. If so, the Consultant team will provided plans and /or specifications accordingly. 5. All original plan sheets, the title sheet of the specifications, calculations, and reports shall be signed and stamped by the Consultant's licensed professional engineer responsible /in- charge of the project. These signed originals shall then become the property of the City. 6. If a part of the on -call project scope, the Consultant shall provide support services during the bidding and construction phases of the project on an as needed basis, including, but not limited to: I1 25M -17 A. The Consultant shall respond to bidder inquiries during the bidding process, including preparation of any addenda. Following award of the construction contract, the Consultant shall attend the pre - construction meeting. B. The Consultant shall review and approve all submittals and shop plan drawings required supporting the construction contract. The Consultant shall complete shop drawings reviews within two (2) weeks of receipt. Contract Change Order reviews shall be completed within two (2) working days of receipt. C. The Consultant shall respond to written Requests for Information (RFI) to provide clarification or resolve discrepancies in the contract documents. Responses shall be completed within three (3) working days. D. The Consultant shall provide periodic field reviews and bring to the attention of the City of Santa Ana any defects or deficiencies in the work by the construction contractor which the Consultant may observe. The Consultant shall have no authority to issue instruction on behalf of the City of Santa Ana, or to deputize another to do so. 7. If included in the on -call project scope, upon completion of construction, the Consultant shall prepare as- builts and submit them to the City. The Consultant shall incorporate all changes to the plans electronically with all necessary revision notations. Once plans have been updated, a signed set of as -built mylars shall be submitted to the City with an electronic copy (in Microstation V8i CADD and pdf formats) of the final as -built drawings via CD or e -mail. 8. If included in the on -call project scope, the Consultant shall monitor the project progress, maintain project files, and control the quality of the work performed by in -house staff and/or sub- consultants. Incomplete (not meeting targeted completion) or poor quality work will not be accepted. The Consultant shall revise the documents within a revised schedule set by the City, which may require overtime. No additional compensation for regular or overtime hours necessary to complete this work to the satisfaction of the City shall be approved by the City for the required revisions. It is the responsibility of the Consultant to produce a professional - level quality of work product. 9. If included in the on -call project scope, attend meetings with the City staff as required 10. If included in the on -call project scope, the Consultant shall coordinate plan check, design topics, permits and any other issues with the City, other Agencies, and all utility companies as required. At the direction of the City, the Consultant shall be the liaison with affected agencies. 11. If included in the on -call project scope, the Consultant shall be responsible for reviewing and approving addenda and clarifications to plans and specifications. III. GENERAL REQUIREMENTS 1. All work shall be performed in conformance with the latest City of Santa Ana policies, procedures and standards, and applicable, regulatory, state and federal requirements. 2. Consultant shall carry out the instructions received from the City of Santa Ana and shall cooperate with the City of Santa Ana and any other involved agencies. 12 25M -18 3. The Consultant shall have complete responsibility for the accuracy and completeness of all documents and plans prepared and shall check all such materials accordingly. The plans will be reviewed by the City of Santa Ana for conformity with the requirements of the Agreement. Reviews by the City of Santa Ana do NOT include detailed review or checking of design or the accuracy with which such designs are depicted in the documents and the plans. The responsibility for accuracy and completeness of such items remains solely that of Consultant. 4. The documents and plans furnished under the Agreement shall be of a quality acceptable to the City of Santa Ana. The criteria for acceptance shall be a product of neat appearance, well organized, technically and grammatically correct, checked, and dated and having the maker and checker identified. 5. The Consultant shall have quality control procedures in effect during the entire time work is being performed under the Agreement. The quality control procedures shall establish a process which includes checking processes for PS &E preparation, an independent eonstructability review, correcting and back checking procedures, and all job related correspondence and memoranda dated and received by affected persons and then bound in appropriate job files. The City of Santa Ana reserves the right to request proof of said documentation. 6. The Consultant's work and all records shall be subject to inspections by representatives of the City of Santa Ana and funding agency requirements or audits if requested. Consultant certifies that it shall comply with the following regulations, as required by the (funding agency): a. Audit Records - With respect to all matters covered by this agreement all records shall be made available for audit and inspection by the City, the grant agency and /or their duly authorized representatives for a period of four (4) years from the termination of this Agreement. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant shall preserve and maintain all documents, papers and records relevant to the services provided in accordance with this Agreement, including the Attachments hereto. For the same time period, Consultant shall make said documents, papers and records available to City and the agency from which City received grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours. b. Information - Consultant shall provide to City all records and information requested by City for inclusion in quarterly reports and such other reports or records as City may be required to provide to the agency from which City received grant funds or other persons or agencies. 13 25M -19 C. Section 504 of the Rehabilitation Act of 1973 (Handicapped) - All recipients of federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act). Therefore, the federal funds recipient pursuant to the requirements of The Act hereby gives assurance that no otherwise qualified handicapped person shall, solely by reason of handicap be excluded from the participation in, be denied the benefits of or be subject to discrimination, including discrimination in employment, in any program or activity that receives or benefits from federal financial assistance. The Consultant agrees it will ensure that requirements of The Act shall be included in the agreements with and be binding on all of its contractors, subcontractors, assignees or successors. d. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable and the related guidelines that may be more recent. e. Political Activitv - None of the funds, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act ". f. Civil Rights Compliance and Notification of Findings - Consultant, and all its contractors (or sub - recipients) will comply, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789 (d), or Victims of Crime Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title lI of the Americans with Disabilities Act (ADA) (1.990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; Department of Justice Non - Discrimination Regulations, 28 CFR Part 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the event a Federal or State court, Federal or State administrative agency, or the Consultant makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Consultant will forward a copy of the findings to the City which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Department of Justice. g. Equal Employment Opportunity - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable. h. Anti - Kickback Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Copeland "Anti- Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29 CFR Part 3), as applicable. 14 25M -20 Davis -Bacon Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Davis -Bacon Act (40 U.S.C. 276a to 276a- 7) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. j. Contract Work and Safety Standards Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of Sections 103 and 107 of the Contract Work and Safety Standards Act (40 U.S.C. 327 -330) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. k. Clean Air Act - Consultant, and all its contractors (or sub - recipients) will comply, with all applicable standards, orders or requirements issued under Section 306 of the Clean Air Act (42 U.S.C. 1857(h)), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive Order 11738, and the Environmental Protection Agency regulations (40 CFR part 15), as applicable. Energy Policy and Conservation Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Energy Policy and Conservation Act (Pub. L. 94 -163, 89 Star. 871),(53 FR 8078, 8087, Mar. 11, 1988, as amended at 60 FR 19639, 19645, Apr. 19, 1995), as applicable. M. Patent - Consultant agrees that the funding agency shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with funding through this Agreement. n. Copyright - Consultant may copyright any books, publications or other copyrightable materials developed in the course of or under this Agreement. However, the federal awarding agency, State Administrative Agency (SAA) and City reserve a royalty -free, non - exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government, SAA and /or City purpose: i. the copyright in any work developed through this Agreement; and ii. any rights of copyright to which the subcontractor purchases ownership with support through this grant. The Federal government's, SAA's and City's rights identified above must be conveyed to the publisher and the language of the publisher's release form must ensure the preservation of these rights. IV. CITY RESPONSIBILITIES The City will provide the following: • All plan check coordination within the City • Sample boiler plate specifications to be utilized • Sample plans & City of Santa Ana's CADD Standards • Electronic files for title sheets and sheet borders 15 25M -21 EXHIBIT B COMPENSATION CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 25M -22 M� Harris & Associates® February 2, 2015 Monica M. Suter, PE, TE, PTOE City of Santa Ana Public Works Agency 20 Civic Center Plaza, 3rd Floor, Ross Annex Santa Ana, CA 92701 RE: Harris & Associates is a Trusted Resources Who Will Deliver For Santa Ana RFP No. 14 -037 Dear Monica: Per our conversation on February 2, 2015, we have prepared this package with Forms 10 -H and 10 -K for Harris & Associates as well as our subconsultants. Unless otherwise noted, all firms are in compliance with rate requirements. We have assumed annual growth rates. This submission supersedes all previous. The Harris team includes the following subconsultants: • Albert Grover & Associates • BGB Design Group • C Below, Inc. • LEE & RO, Inc. • LSA Associates, Inc. • KDM Meridian • Ninyo & Moore Forms 10 -H and 10 -K for non - compliant firms: • LOR Geotechnical Group -- Not currently compliant. May get compliance, if needed. • Blais & Associates, Inc. -- Not currently compliant but remain on our list for non - federally funded pursuits. • Ficcadenti Waggoner and Castle -- Not currently compliant. Presently pursuing a federal audit to assure their compliance. Randall Berry, PE, is authorized to bind Harris & Associates. Sincerely, Harris & Associates j L tiY C f_J Randall Berry, PE Director, Engineering Services Rmdall.BerlT@wearcharris.com (949) 655.3900 x2314 IQ f <ecutiv� P,rk. State ),,j,) Irvine. CA 92613 6553906 xR ao .y Q QI O WU 0 edn w r1 N w a F� d ur O a °a a F N 0 U a d x O W G '00 O 0.i u V A a F dUd �i F 0 U O U a .z. z Q z a W W z w O F V F z U O N 0 C� ^Y I� r O O z C 0 i N U O N n d O zz 1y O O C �G zU 0 �i U I 0 U U o � N 'ti f� G O U O O w G o .5 b b U N HU G � W O o O O o Y 4 Cq b9 W C, o 0 0 II 0 W w z C F Q C z z C F a C; 1-� rQ V C F aC L C Cs a 25M -24 d� O N Gr � C n 0 N rl a a xwoz z z z z z z z o e o o e e o o e o 0 0 0 0 0 0 0 0 0 0 0 0 o O o 0 0 0 0 0 N In M M M M M M In M M In M M M M fig O � v O _ N N b V 'n ONM MM W W Oi �D iD �O M M M In �O �D �D vi Vl vt v1 Vl vi N N N ^. .. ti 69 £A rR 69 69 V3 Y3 69 69 6/-] 69 69 64 rA � 69 69 V3 69 69 � ro Vi v; s9 o s, m T U A 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N N N N N N N N N N N�� N N N N N A ~ Q Q O (n M M M M (\ M O�1 M f\ M M M M �fn M On M M Q M fh M `W NN. N N Ni N N N N N N N N Ni PI N N N N N N 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N N N N N N N N N N N N N N�i N N N N N N N N w W 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 CO O M c0 lD h fn N V 1� O N 00 --i P M N O M O M l0 N C� Ol�b ooN� stn oo OMG� co <t '. '.bM b l� k N F: M M In N N N N N N �O sv EV SA Vi ss vj s9 fa fa sa fa v3 ss vj ss F»s�s9 azv v3 fa �s ro N7oo o n� w ty oo N o�w oma� oo a;-� -��?m cyM F fn V h 00 H b 00 O'J ti a b Vl b O O T o M to In M Hi 69 69 N N N N N Hi 69 (A l I 69 69 H3 V3 69 ER 69 69 69 69 Ni 69 .�i 69 b9 69 Y3 69 O o0 O In 00 tO h In l� to N O rn O N CO N 7 00 O h �D 00 N 00 N1 7 �D C; In O M M W 00 W m N - rn (n M N N N '. .~-� — ti f' — ,fin. — 69 H3 (/j Y] %3 69 69 fA H3 fA 64 fA 64 Y3 69 Hi fig 69 fR 69 Y3 ER 69 69 G W _ �o C Lrl � Q v Q OD U Q � s � W ❑ W ,W. F- •o .o m � •> U j U Cn 25M -24 d� O N Gr � C n 0 N rl a a x� O O ti G F V � o WU R ro u P. Ci V d' u 25M -25 N Vi y� O R N 0 a h N O U C S O z 3 U z z bp `O fy O R z z z 0 0 o e e e e o> o o <o 0 0 0 0 0 0 0 0 0 0 0 0 0 M M M cn cn M fry fn M M M fn M ti x d � U vt l�h cn O N �n vi NO Q\rb viNO O � U P. m s�- ti � U N W N 69 H3 6R 6R 69 V3 69 69 64 V3 fA 69 69 69 69 69 69 fA 69 3 ro 9 U y�y N N 04 d 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N N N N N N N N N N N N N N N N N N N 0 3 w M Q M M M M N N N N N N N (4 N N N N N N N hl N N N 0 O v O O O O O O O O O O O O O O O O O O O y � •.� i N G H 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Y3 69 69 G9 (i1 <H 64 69 69 69 69 69 fA £A 69 V3 69 69 69 Wy Vt lO W M M fn ul O OOO m wO\ NN rn d' � 77 � rnC d' V3 fA R69 696%4) ��6N9 4N9�� 6N4� �� M CO O fn N CO M 7 ti IN 4fi £fj Vi 4Y N Vi 69 Vi � 6NA � � 69 Yj 69 69 4H N3 4Y O O U U p, C C en b q G U I 25M -25 N Vi y� O R N 0 a h N O U C S O 3 U R bp `O fy O R U U U O W y W s. � N � .o O ti x d � U � O > � � d O � U P. m s�- ti � U N W N p � G y y O a 00 O 3 ro 9 U y�y N N 04 d U Y '- w 0 3 w 0 0 O v II y a.7 y � •.� i N G H 25M -25 Local Assistance Procedures Manual EXIIIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -I{ CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -OB 13 -07- Safe Harbor Indirect Cost Rate for Consultant Contracts found at httpr / /)vww. dot. ca. gov/ hq/ LoealPrograncs /DLA_OBIDLA_OB.htm in lieu of thisform.) Certification of Final Indirect Costs: Consultant Firm Name: Harris & Associates, Inc. _ Indirect Cost Rate: 170.82% * for fiscal period 01/01/2013- 12/31/2013 *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: _City of Santa Ana Contract Number: —14-037--- Project Number: I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: I. All costs included in this proposal to establish final hndirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A&eE Contracts: 1, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $130,500,000 and the number of states in which the firm does business is _3_ Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: LP'P 15 -01 25M -26 rage rmA January 14,2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (if applicable) (All Subconsultants included) Proposed Total Contract Amount (or amount not to exceed if on -ca[l contract): $ 200,000 Prime, list all Subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying (Print Name and Title): Name: Gary Weld Title: President & CFO Consultant Certification Signature *" Date of Certification (mm /dd /yyyy): Consultant Contact Information: $ Email: Randall.Berry @weareharris.com Phone number: (949) 655 -3900 , Ext 231 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultants Hurst comply with the FAR Cost Principles contained in 48 CFR, Part 31. 23 CPR Part 172.3 Definitions state: Consultant means the individual or firm providing engineering and design related services as a party to the contract. Therefore, subcomailtants as parties ofa contract must complete a rectification and send originals to A&I and keep copies in Local Agency Project Filer, Distribution: 1) Original to Cal trans Audits and Investigations 2) Retained in Local Agency Project Files Page 2 of 2 LPP 15 -01 January 14, 2015 25M -27 x� 00 �a H L O wv c bll 4 �L W 6 W Q G7 P. 0 U w a x x W 7 b 0 4 QI u 0 ti V O U O 0. z Q W z w z 0 U a 0 U 0 a U Y N U U b A O N N C N 'p N N O Q U 0 C` O\ O N II a o z � b C G U ,ti ¢ G 0 rn � g aJ N '00 � 7 �e �o dl + Is o� ti x ¢ o O x N �o z U w O 0 0 W w z 0 Q H d U Q U 0 O w z z a x G a bb U Q ¢ Q ¢ d xw a 00 00 0< vo 00 °o oa m M m rn M M rn rn rn m M m rn rn m v3 o° o C O v? N h N �T I'D h C� N N M It In �� V V V 7 Yi 6964 Vi rA 64 64 Ni 69 6R 69 £A 6469'69 696469 6469 Ni ` O V T 7 U ¢ F In 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 l7il 0 N N N 0 0 0 N 0 N N 0 N N N N N N N N O mmm r�mm r� mm Mm m mt� r� r\mm mmt� F" N N N Ni N N N c- N N N N— N N Ni N N N N Sap O N W0 0 0 0 0 0 0 0 0 0 0 0 \0 0 0 0 0 0 0 0 0 W 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 v FZm o T "i. M 00 rn lh r.j �' 7s Uj bN9 6N9 6N9 f!3' V? 6N9 Vi' H3 Eff fA 4A V? Vj rH �C 0 w � � 0 i4 15 25M -28 v� 0. d" L N 5 I 0 a. .a] i y O p SxC ° w� n N 9 U L QI N u d U a d ¢ d d d d d d d d d zz 'z z z z o 0 0 0 0 o e v o o o 0 o a o o e o M fh M M M M M M M M M M ffl Ol M M M M M M Cry fh 1p' 00 G1 OO N In Vl 11 lD 00 O M O N M Vl b 00 00 Vl Vl O O 00 00 01 V V V V 7 7 7 V V V V V V V V V V V M rn to rn In f1 7 N N N N N N N fA 69 69 69 69 Y3 !H 69 69 Yi fR 69 69 64 69 69 69 Vi 69 69 69 69 69 69 fA 69 Yi 69 £A 64 y9 69 V3 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N N N N N N N N N N N N N N N0 N N N N N N N N N N N � tn M In M M r\ M M M M M M M IN CN M �� fN M M P\ M N M M M fN M N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 0 0 0 0 0 0 0 0 0 0 0 0 0 o c o 0 0 0 0 0 0 0 0 0 0 0 0 0 o c o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 o0 O Vl 01 On M V 1p al vl N f�1 V �D M N In In M o0 M f1 00 N �--� �p p� V D\ fh h (V In M M \O O V h O r'1 O (V V cn V1 Ih � � Vi V3 69 69 s9 s9 Hi E/j 69 vi � 9 � � 69 EH vi vi 64 69 vi vi V3 69 vj EA Vi H3 6A fA V]-� (vh C Rt W u C W a y z Ln a d H .a rn Q q vi d n. cnp x d a W W W 25M -29 5 w ya G O � 7 � y U b U U W U O U U � Q � �F1 U N N O N a ❑ � y b � N w a � s by C p G C � U d U N OL u �3a y � 5 0 N N y v U pq m L F zww° Q� N • s N nNi yp O �p N a, dr A h 0 QI a Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe harbor Indirect Cost Rate submit Attachment I of DLA -OB I3 -07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found at http: / /www. dot. ca. gov/ hq/ Loca1Programs/DLA_OB/DLA_OB,htm in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: Albert Grover & Associates Indirect Cost Rate: 219.68% * for fiscal period 01/01/2014 to 12/31/2014 (mm /d&yyyy to mm /d&yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa An Contract Number: RFP # 14 -037 Project Number: I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $7,325,000 and the number of states in which the firm does business is 1. Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: LPP 15 -01 25M -30 Page 1 of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ n/a Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying (Print Name and Title): Name: Title: Vice President Consultant Certification Signature Date of Certification (mm /dd/yyyy): Consultant Contact Information: Email: mark@albertgrover.com Phone number: 714- 992 -2990 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S. C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31. 23 CFR Part 172.3 Definitions state: Consultant means the individual orfirm providing engineering and design related services as a party to the contract. Therefore, subconsultants as parties of a contract must complete a certification and send originals to A&l and keep copies in Local Agency Project Files. Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files Page 2 of 2 LPP 15 -01 January 14, 2015 25M -31 x� O O ^ CL H L O WU O C� a d O 0 °a QH O U a W 0 rl ti �yy VV W d O Y u 8 QI d u Y h a yF [4 z U O U W .7Z 6 W z c7 z W O F z U In 0 N N N N Q r to O a z U O M b O � d zA N � Iy aO x y � z� R �i N O Ci U O t^U+ 0 U 0 0 b � O 0 5 o b b b cd O U > O + c 0 W N o � +' S W b O N U w 0 a 0 C1] w z 0 O O U a U O E Q a C L z a 25M -32 vw d� � O O N L A a a 5 5 x. A G 9 O N iC � V U � � W J ti U w U 5 O N U ti .Y N x L W T ti u ^ � O H � J bOA b N O > � � Y ti bq y P o a a � 5 a.o L O Rj d b U 0 W }f U v G Y � o O O O nn o � y Lb a O �- � a 5 b 0ON 'v y Ci N 4 U `m r V ,ZW W Qw° o �n o�� w p N U N N ... .. ... .U. .U. a a U x�oz z z z z 0o ao 0o eo oe 00 00 00 00 00 u Mrn m m mM mm Mfg 64 � O s0. U o .5 IN O O N O O Vl rn O f0 N h O O In In N IN L O s0, 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N N O rn M C� M r\ M rQ M M Q� rQ f\ M M M F N N N N N N N N IN N N N N S O m 'OR 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 W 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 b M M k rl 0 1 (V Vl S O N CO o0 T h b N In f� r� O O O �� O 69 69 69 69 f9 fA 69 64 69 69 N3 69 N L- M ~ 00 In W Vl C1 In V 00 C1 N Vl O O"� 69 69 69 69 H3 69 49 b9 fR 69 69 Y3 69 69 V3 i b N T O b rn N b w N d O O N x0 O� O0 O0 M lO N M b c0 O r W O O N N N fn In 7i N 01 O O Yi --i f� Vi £A 69 69 69 EA rn V3 Vi 69 69 fA 69 V3 64 ..O 0 t4 w YU U ^ p a U O U ro pps 25M -32 vw d� � O O N L A a a 5 5 x. A G 9 O N iC � V U � � W J ti U w U 5 O N U ti .Y N x L W T ti u ^ � O H � J bOA b N O > � � Y ti bq y P o a a � 5 a.o L O Rj d b U 0 W }f U v G Y � o O O O nn o � y Lb a O �- � a 5 b 0ON 'v y Ci N 4 U `m r V ,ZW W Qw° o �n o�� w x� O p � p Pa p W U N N 0.i N a O a a w F V7 O U a x O x W cQ 0 w u a u ro n d U O U O W z W O U O Un N4 N N Q [LL W z U O U 7 y 0 U Do O N O 25M -33 I O z O �F T AV A b 4 v O Y Q N N p y V yp O c � O U R 3 v b F II U U N ro °• o O ro v ° �+ F U O O C ^N N x ° F GL z F z ° W C m ',S o o y q � GO G'OO ro 0 � o ° � R, Cy v a «• m U C O � U U (y N N a U � F b ~ N O V G F� � 9 U .��•Ob O d Y•° o'�,b 0p c � 3 O •G c � � v '� V] Q'LgU F d'P7U ♦' �' Tn+ C y 'O .'O U p .d .n H .a H F ® O U U H ZD o F_ ACy1 a � F F z a ^ F-I I"1 U aic4cS F ¢aim a F � O � U Q F F F F F U V, b4 O � O N4 I 25M -33 I O z O �F T AV A b 4 v O Y N N p y V yp O c � U R 3 v b U N ro °• o O ro v ° �+ O O C ^N ° GL W C m ',S o o y q GO G'OO ro vO°i ° � R, Cy v a «• m O U U (y N N b ~ N O V G F� � 9 U .��•Ob O d Y•° o'�,b 0p c � 3 •G c � � v '� ♦' �' Tn+ C y 'O .'O U p .d .n n i Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10-K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -OB 13 -07 - Safe Harbor Indirect Cost Rate for Consultant Con tracts,/bund'at hitp://www. dot. ca. gov/ hq/ LocalPrograms/DLA_OBIDLA_OB.htm in lieu ofthisform.) Certification of Final Indirect Costs: Consultant Firm Name: BGB Design Group Indirect Cost Rate: 188% * for fiscal period 1/1/2014 - 12/31/14 (mm /dd /yyyy to mm /dd /yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: RFP 14 -037 Project Number: I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ and the number of states in which the firm does business is 2 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: LPP 15 -01 25M -34 Page 1 of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -I{ Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying (Print Name and Title): Name: Title: Consultant Certification Signature * *: Im Date of Certification (mm /dd /yyyy): 1/30/2015 Consultant Contact Information: Email: artna bgb- ine.com Phone number: 714.545.2898 **An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 USC. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31. 23 CFR Part 172.3 Definitions state.: Consultant means the individual orfirm providing engineering and design related services as a party to the contract Therefore, subconsultants as parties of a contract must complete a certification and send originals to A &land keep copies in Local Agency Project Files. Distribution: t) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files Page 2 of 2 LPP 15 -01 January 14, 2015 25M -35 xi R O O ti C O � U 0 W a �i a 0 a 0 a F O U a x O W C 'CO W i �4 q Y ti U 0 h U U O U CW. Q a LW'-1 C7 z W 0 U a z u O N N N N Q M 0 a z R C. O Le O N w ill O a � zA N 7 4 6 x N C z� 0 U C �i N U U b b �r G 0 MW 0 O Y d 9- G O 'jy b A 0 0 N o M� b W � � W w c O II 0 w w A • J C F a C w z c a O O U N U U U w^ y L T td � a l� Vl M h Vl M h Vl f�1 xwoz <o 00 00 0o e 0 0 0 0 0 0 0 o p o 69 �y � O o .5 i� O N M O O IO In in In r h In �N N N N m M R1 M M M M [rt M M }] C!i 6R Y3 69 64 69 69 6R 69 64 (H vi 69 69 L O vim, O m 0 0 0 0 0 0 0 0 0 0 0 0 0 cl N W 0 O O O In 4n �O N N 000 00 W m W VNi b b d0' V oNa oo oa i F .+ --i •--i Yi V3 fA M In M 01 iG is s9 si sv 2s iA ss n vi OM In M Nn T� 64 V369 �36%�'6969�69696969 Y369 M N O O O ti M d. •--� M� � M d' 69 Uj 59 fA 69 H3 � 64 � s9 N3 69 � O (� iZy � �itil f/] o I �❑ Ip IC I P4 z 0 t U 9 > y U U U m a F F F 25M -36 v � y� O O N a ti C h 7s O � � O U C ti O N U U U W O � £ Y CL 4. U N ti W T N � a C b4 N O 5 =¢ w O y N P : C y p O � c � •ly U Y O �w y y v iR+ q y 5 � o en N y O y o V D u �e �r F C o_ U N x e .w 0.1 W N N N a d O ^^O I� H 0 5a O W R c F b V a u w u 0 W F 0 U O V a .Z. �z6] W 0 O 0 N N N Q M 0 z G O O V 0 h 0 25M -37 L1� F O z z H O T N A 9 w � " a � N .CV y 3 u b O Y b ON F itl oo ro K � S o o � a m v II U A > > O bO �-7 O C y vd ro R U a b � T a aW a C o c 'F. H F •Y � � b h � N s ti z a �� y N m p a „•3 . ro za E qq o F � y O� S O rte-• T N N N R > C 0.p O N V N y � �d y y N O O O z FQ o m a" E o z � R W pp ,b U .d u N F V ro ,G O N O O� O a '? � o � �n !a Vi ti � N N h H F O OF U II zz U F O a a � z N 0 P� w p N � � a .. r O W z Q �+ U N O N vUi ^ G. W P., 0 v°i — 25M -37 L1� F O z z H O f i T N A 9 w � " � N .CV y 3 u b Y b ON bC itl oo ro K � S o o � a m v A > > O bO �-7 O C y vd ro R U a b � T a aW a C o c 'F. •Y � � b h � N s ti a �� y N m p a „•3 . ro za E qq o y O� S O rte-• T N N N R > C 0.p O N V N y �d y y N O O O o m a" E o �• O P. O U N O b O R W pp ,b U .d u N F V ro ,G O N O O� O a '? �n f i Local Assistance Procedures Manual EXHIBIT 10 -I{ Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If'requesting to utilize the Safe harbor Indirect Cost Rate submit Attachment 1 of DLA -OB 13 -07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found at http:// www. dot.ca. gov/ hq/ LocalProgramsIDLA_OBIDLA_OB.htm in lieu of thisform.) Certification of Final Indirect Costs: Consultant Firm Name: Indirect Cost Rate: C Below, Inc 148.51% * for fiscal period (01/01/2013 to 12/31/2013) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: 14 -037 Project Number: I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ 50,000 and the number of states in which the firm does business is I Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: LPP 15 -01 25M -38 Page 1 of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ N/A Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all Subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying (Print Name and Title): Name: Michele Shams Title: Controller Consultant Certification Signature * *: --- -ids__ -- Date of Certification (01/30/2015): Consultant Contact Information: Email: micheles @cbelow.com Phone number: 909 - 606 -6111 EXT 801 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultantsmust comply with the FAR Cost Principles contained in 48 CFR, Part 31, 23 CFR Part 172.3 Definitions state: Consultant means the individual orfirm providing engineering and design related services as a party to the contract. Therefore, subconsidtants as parties of a contract must complete a certification and send originals to A&l and keep copies in Local Agency Project Files. Distribution: l) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files Page 2 of 2 LPP 15 -01 January 14, 2015 25M -39 x� aQ p L QI k O WU 0 N w N a G d UJ O a w U1 O U H �a W R L ro m u v a u ro .y u a B N �i V1 y O O N U � U M o L O N � G 0 U II v 0 3 FL o� x za w b 0 0. 'L z� O ti 0 w w C F QC G a C w z z C F Q G C Q C L a G k C `a C O O O y U CW. �yC O �Zy d N N ��d W LV O L C xw C7 M z z o Oz W � � + o 0 o C e F p z 0 0 O O 0 0 0 o O O O O U U o O N N Vl N V3 � v b 'Otl � P 0 L O L H o c o .S O N N O 3 FL o� x za w b 0 0. 'L z� O ti 0 w w C F QC G a C w z z C F Q G C Q C L a G k C `a C N � U T �y O L C xw 'z z z z Oz 0 o C e o o e o 0 0 O O 0 0 0 o O O O O U M M N N N Vl N N Vl N V3 � O U o .S N N O N �D O cY 'V O O N 0 0 0 0 Nfn �n NEON � BOO Omm OG1 C1 G1 •-'i In M M 7 M M d' N 69 69 69 64 H3 EA fA ff] Yi V3 Hi £A (A Hi 69 L o � v d � 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 T f\ M M M M C\ M M M M M F N Ni N N N N N N N N Ni N N Ni N 4- N R b � ti � N \O l� � � � ti � � _ _ •Ni •Ni .�-� j 0 0 0 0 0 0 0 0 0 0 0 0 N 0 0 0 N N N N N N N N N N N N N N 0 0 0 0 0 0 0 0- 0 0 0 0 0 0 W 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 6 d d d d N z z z z z NO z r, 'm T o T. 0 oo�oa�o.- .00N�o .-o BYO N W M O o0 ti N 01 nl W 7 M In Mi � 6N9 6N9 6N9 £A fA 69 6R 64 b9 69 69 69 69 69 69 O bq .� non •� •� y •a F �W o a3 ti U `?] ib z P7 � bq•� U q � Y 25M -40 C C C O G D O y O U U p w Pi O N s. u ti w T N 9 w cia S. ti � U Y an U a � y p o ❑ c O a � W o wai Tw T R.o ❑ U ° 3 y Y _ % o o* ro g`v v O T y a w U ro i H a o u u a 5 c ro a9i � O m b - � m i zcowo Q° W e•M 1n v� R fJ Or y^ R 9 A h 0 ti W a xN 0 0 a � L Q O W U R a G d L ^O u L O R i u a N � o F' N N a O y N A Q � cC 0 Y p ° N F� W a w N z z ro a x z a pa z_ Q u � ro O' ° z a U w x w W � O � o O z U xi ^ � w W O °x •V W 0 p 25M -41 UJ O z z H 0 � L b O N N b T rl N O O V y R rJ. o ro C O.� .0. q II N q N r q j N U " v q b � V ro ro W ti q .q. .4: U U O R N x p> v C7 °o y o v a o a •o o � o � m H aw q m o o w U'U F.aA U Z O d O >. 'q b � `n ZO V] c4 0 q FG ti H LL .q m V 'g ti U C U Rii > Ca > N Fn E O C avi � d lYl U F d Oa U H H rj O O U U II U z H H H F � Q o Oz Q O u en U A Q v > F d ro U d ro U H U H H z o d U H O O U O p" 0 Q of droll LH droLS 25M -41 UJ O z z H 0 C1 � L b O N N b T rl N O N V y R rJ. o ro C O.� .0. q N q N r q j N U " v q b � V ro ro W ti q .q. .4: U O R o p> v C7 °o y o v a o a •o o � o � m aw q m o o U'U F.aA N G N d O >. 'q b 0 LL .q m W ti U C U Rii O O e� Oy N Fn E O C avi 0 y O q rob O b0 y C1 Local Assistance Procedures Manual EXHIBIT 10 -I{ Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of DLA -OB 13 -07 - Safe Harbor Indirect Cost Rate for Consultant Contracts,found at http: / /www. dot. ca. gov/ hq/ LocalProgramsIDLA_OBIDLA_OB.htm in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: LEE & RO, Inc. Indirect Cost Rate: 170% for fiscal period 01/01/2015 to 12/31/2017 *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: Citv of Santa Ana Contract Number: 14 -037 Project Number: I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Cattrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $0.00 and the number of states in which the firm does business is 1_ Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: LPP 15 -01 25M -42 Page 1 of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all Subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying (Print Name and Title): Name: M. Steve Ro Title: President Consultant Certification Signature * *: 1 Date of Certification (mm /dd /yyyy): 01/30/2015 Consultant Contact Information: Email: rick.liskow @lee- ro.com Phone number: (626) 667 -5329 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31, 23 CFR Part 172.3 Definitions state: Consultant means the individual or firm providing engineering and design related services as a party to the contract. Therefore, subconsultants as parties ofa contract must complete a certification and send originals to A&I and keep copies in Local Agency Project Files. Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files Page 2 of 2 LPP 15 -01 January 14, 2015 25M -43 oa ti Q � fY O wU w m w N W .a W r7 O W °x a, F O U Fa VO 0 m ti W 7 Ot d `e O 0.i d U R y .y d u a 0 N O o U $ � o b II ° o 9 W o W U c^. � O O O O \ N U N O O ti •� V itl W Q ¢ N zz o W z e z 0o c7� 00 Y3 q [Z� 0 Y 0 + U U o ° o x o v ° o v N 00 7 ~ � b O M h N M I Vl r W C` C` h Vl V1 Vt Vt V1 Vl N Y3 64 A (H 69 69 ¢ O ¢ Iv O a + 0 7 N d O by VO- U o z In 0 Y � W 0 0 0 � W o z z 0 h O h U U IN I �i � O J x. 4^ 00 e o0 0o ao 00 Y3 q o ° 00 O N N 00 7 �/1 N 01 ¢M O M h N M I Vl r W C` C` h Vl V1 Vt Vt V1 Vl N Y3 64 A (H 69 69 69 69 fR O U ¢ .O 0 i0 0 0 0 0 0 0 0 O b 0 0 0 0 0 0 0 0 0 �� os000a000 0 0 0 W 0 0 0 0 0 0 \z N 'zz'z \z \z \zzz cl� O =F �4 0 L N 6N9��Hi Y369 V36969 U a w ¢ � v N L1n � U c Q x � 25M -44 w C O = � o N U O � � N yy �Os R G Y " Y W N � � 'y N «p � Y x � G ¢ U W � L Y � o 7 y G � 3 R ° ww.a w Y N A ++ Goy °a 0 y y zmu. cap° W� N N b w fq It a W Q 0 0 a P. H U a d 0 h W U V O U 4 z z 6 z W 0 z 0 v v� b4 N R L R G ti .-r O N N N Y Q r O V z 0 U ro ° ° A a L O Y O x� 0 0 H Q O W v R C d ro u c°. d G w d R e rl 25M -45 W O z O a T N p b W O T a N N 'O jT y yU U a " m C A r N� � b 7 O Y II N m C7 .c c z a m c o 0 7 H F ❑ N.:i 9 0 M O N .� V z O o o b O ° W � o U N z LC N V O .°i F 9 R O C a.0 O N'� 4 y Y V O OV �. .� L y U ° o S b w° y O V � C•W V cC F .WF. v � W m d H F O Q U F F� u A F F z F z 5 F Pa q N � Wi ¢PSu H ¢ aiL? U F 0 m � •° OQCi cC � hq q v°i d W U g H d CO V 25M -45 W O z O a 7 i T N p b W O T a N N 'O jT y yU U a " m C A r N� � b 7 O Y N m C7 .c c a m c o 0 7 O ❑ N.:i 9 0 M O N .� V C .v w •yN� O o o b O � o U N V U LC N V .°i F 9 R C a.0 O N'� 4 y Y V O OV �. .� L y U bA :2 .5 F o S b w° y O V � C•W V 7 i Local Assistance Procedures Manual EM-11BIT 10-K Consultant Certification of Contract Costs and Financial Management System FxllllllT 10-K CONSULTANT CERMICATION OF CONTRACT COSTS AND F[NANCJAI. MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate subunit Attachment I of DLA-OB 13-07 - Safi Harbor Indirect Cost Rate far Consultant Contracts found at http.Iltvwti,.doi.ea.govlhqlEocalPrograinsIDL4—OBIDL4-"r OB.htni in lieti of thisjurat.) Certification of Final Indirect Costs: Consultant Firm Name: Indirect Cost Rater 186.09!/jL * for fiscal period 06/01/2013 to 05/3112014 (maVdd/My to mnVdd/yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period), Local Government: City of Santa Ana Contract Number: 14-037 Project Number; L the tradersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief I , All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31, 2, This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System, 1, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18,20 to the extent applicable to Consultant. Certification of Dollar Amount for all A&E Contracts: 1, the undersigned, certify that the approximate dollar amount of all A&E contracts awarded by Caltrairs or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $27,185,628,03 and the number of states in which the firm does business is $, Certification of Direct Costs: 1, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31, Allowable direct costs to a Government contract shall be: Page I of 2 11pp 15-01 January 14,20B 25M-46 Local Assistance Procedures Manual EXHIBIT 10•K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). I Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on-call contract): $ TBD (On -Cali) Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on-call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary) Consultant Certifying (Print Name and Title): Name: Robert H. McCann Title: President Al CX/ Consultant Certification Signature": Date of Certification (mirilddlyyyy): 0113012015 Consultant Contact Information: Email: Rob,McCaxm@lsa-tissoc.com Phone number: 949-553-0666 **An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract, Note: Per23 U.S.C, 112(b)(2)(8), Subconsullants inust comply with the FAR Cmi Principles contained in 48 CFR, Part 31, 13 CFR Part 1723 Definillonsstacc, Consultant means the Individual orfirwiproviding engineering and design related services as aparly to the contract, 1herelere, saboonsuttancts as parries of contract mast complete a Certification andsend originals to Ml and keep copies in Local Agency Project Files. Distributiout 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Fito Page 2 of 2 11PP is-of 25M-47 January 14, 2015 x� 1 ti 0 0 .. a ixC o W V F J a � c C c a o t Es m xoy O ,a pF] y t=] U �y W � E � y a O U R 4 a w 0 Pr m G w .N d w 0 .a Q z 0 V O a � F L � z �z m z 0 �F G H e .a u V z Q P 0 z z a m 25M -48 G p lti K � O x n u'W u G � u � N y p � bll E � ° H E o v C� w v n m oa d y Q = ` v a v�� o c a p F O j G � G � V � � C E ^v ^ m T� T y + S a O O G y a r d v n m E E � m E c c a zm��q O n4Mz. 0 N .w N 1--1 0 vA F. W c T � 0 5 P M Q O z' » w» In wln a asswasa a as a ease a v f»ss a ss v. ��or �n nor �n to ran nor v� br M�a ran btu v+b r �r+br O O O O O O O O^1 O O O O O O O O O O O O O O O O O O O a ^ r. b r. b r h h b h b r E o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N o^ o�ro� b.o �G rn rer o b�PM N Nb ��nc b �n o3, rP obcocie �n -. o; PmP o a r i mhlo O E9 Vi a a W b3 d3 69 A fA E9 a Vf W a a a a d3 69 fA a E9 69 f9 aaa as � ar»a ss lnw aauaaa a »a aaar»ssa Ow N O P V M^ r w r v1 4 A P P P OI r b M M '. b M aav� vi nw waaaa.n ssav� avi ss ssaa aaa Inca b O y (l A :�J U p0 •_ > 11 N 25M -48 G p lti K � O x n u'W u G � u � N y p � bll E � ° H E o v C� w v n m oa d y Q = ` v a v�� o c a p F O j G � G � V � � C E ^v ^ m T� T y + S a O O G y a r d v n m E E � m E c c a zm��q O n4Mz. 0 N .w N 1--1 0 vA F. W O o ti (y H L Qq O WU 0 G A L u u V Y u w Q u 0 M 25M -49 F °z F a O 5 T p � b w � 6 N N 9 T O O O $ v o R a `tl o 3 � � a� Y O T U 0.O pN N G A N w 3 0 o T m •o ¢ w II ,� C O O b N 00 00 N � d F U 7> ti U U U N *� z H x A ou 5 - F a .n a � •3 � � .ter z � � U F U V N Vi N vl h•c .5 5zyb o 0> > A O'O b O m w o ti ro¢ c 0 b � 0 �`v o Ri d .-• � � b O O z U GG F F q vai QP]U H Q P7U F H F � O 0 V a z 0 o z m I�i q va, �oacS o F ¢ a v U F O F� N N iC i6 y 7 q HU Q'Q¢Q zu.:33 F z p W W 4 W W U F m HW $•o F v a g o � aoi q � 25M -49 F °z F a O 5 T p � b w � 6 N N 9 T O O O $ v o R a `tl o 3 � � a� Y O T U 0.O pN N G A N w 3 0 o T m •o ¢ w ,� C O O b N 00 00 N � d 7> ti U U U x A ou 5 - a .n a � •3 � � .ter U U V N Vi N vl h•c .5 5zyb o 0> > A O'O b O m w ti ro¢ c 0 b � 0 �`v o Ri d .-• � � b n Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EX11tBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEIMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of DLA -011 13 -07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found at http: / /www. dot. ca. gov/ hq/ LocalProgram &IDLA_OBIDLA_OB.htne in lieu ofthisfarm.) Certification of Final Indirect Costs: Consultant Firm Name: KDM Meridian Indirect Cost Rate: 181.0% * for fiscal period 0 1/0 1/2015 to 12/31/2017 (mm /dd/yyyy to mm/dd /yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: 14-037 Project Number: I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Manaaement System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ 950,000.00 and the number of states in which the firm does business is 1 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: LPP 15 -01 25M -50 Page 1 of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying (Print Name and Title): Name: Title: Consultant Certification Signature * *• Date of Certification (mm /dd /yyyy): 2/1/15 Consultant Contact Information: Email: accountinena kdmmeridian.com Phone number: (949 768 -0731 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(R), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31. 23 CFR Part 172.3 Definitions state: Consultant means the individual orfurm providing engineering and design related services as a parry to the contract Therefore, subconsultants as parties ofa contract must complete a certification and send originals to A&1 and keep copies in Local Agency Project Files. Distribution: t) Original to Calhans Audits and Investigations Page 2 of 2 LPP 15 -01 January 14, 2015 25M -51 x� ao a. x �I O WU R a c v v b V L W d V A F a+ y .N Q O ra N �1 O O F 0 U Q Q Q z a ai rl O L U c v o oa� •" o � z Gti � 2 U c O U U O 4F 0 4. U C1 y a h 0 U e a v a u e e e oq II II o ez o we L w F- L e a Q 2 Q d � ci e ae e goo o tG i O � Wpy b N 0 W C a C J c�cyy o C 25M -52 0 N 9 0 N I W P+ a pp1 c m m T t. X o e a° - 9 e O 6 6¢ d¢¢ d d d ¢¢ 6 ¢ C d z z 7. z z z z z¢ Z z Z. z z z z z z z z Z O N zzz zzz zzz zzz zzz ZZZ zZZ F e o q T O �1 b N N NW � 69 f9 W f9 M W M� W h � u KC O a` 25M -52 0 N 9 0 N I W P+ a 2) »E \\ 25M.52 \ \ i / \ ®! [ / \ _ "�\)\\ \( \ \ ^ t[ )! j} {\ a _ `* 2 y \/ =22 =Gj \ )// \ r> ) \7»> \\ _ e ) & \ ® §) � /\ = 2 4 25M.52 \ \ i / \ x� 0 0 .w p a 'k U n N L b 0 On u u 0 V ° l O 0 U Q Q Q W z� rOi. O U CL ,� U O v on C 1 � N Q � W 2 W z � L (� a O U U O Oa H V � r U ow. z N 0 7 0 U 0 U z v a o e tiV b OO_ o E �I e ez .n w 9 a Q v `e e ° e o O O � O O e d O e a � O O pq N N e w 0 O z o a T w p N N N ° m F N 6 tad N Q Q Q TE: e G ri m r� �n ° T ^ � � b 9 N F» N vi N vi � vii e3 es vii vi vii H � vii 6? vi N ss d 0 0 o O o 0 0 0 0 0 0 0 N N N N N N N N N N N N 0 m e c0 0 0 0 0 0 0 0 0 0 0 0 N W w M O N N N N N N N N N W Q Q Q o p T O M V, ^ O P o y V3 V3 Vf yj Ui � yj p Sq G9 N3 Y3 E: V a z q W 0 c7 z c7 z 25M -54 C� N -3 0 U O o y v � o a � Y W a � s 7 v o ° � a� F , � ~ O O � E O O a - N � N l] d U F^ U m w w L y O 3 � O N y O q s o -�v tiwb F 5 O a o � Q 00 v ' Q $ O z.• 0 N H ,r 0 A. a. .a Local Assistance Procedures Manual EXHBIT 10 -K Consultant Certification of Contract Costs and Financial Management System ICXHIDIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT ,SYSTEM (Note, If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of ALA -OB 13 -07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found at hitp.11 www ,doi.ca.gov/hq/LocalProgramsIOL, _OBIDLA_OB,him in lieu of this form,) Certification of Final Indirect Costs: Consultant Firm Name: Ninvo & Moore Indirect Cost Rate: 161 % Date of Proposal Preparation (mm/dd /yyyy): 01/30/2015 Fiscal Period Covered for Indirect Cost Rate Developed (mm /dd/yyyy to mm /cld /yyyy): Ul/2013 — 12/31/2013 Contract Number: NLA Project Number: N!A I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final indirect cost rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and indirect cost rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our financial management system meets the standards for financial reporting, accounting records, internal and budget control as set forth hi the FAR of Title 49, CFR, Part 18,20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E contracts: 1, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ 7 000 000 and the number of States in which the firm does business is 6 Certification of Direct Costs: 1, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 25M -55 Page 1 January 14, 2015 Local Assistance Procedures Manual FXHBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ TED Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): * Consultant Certification Signature: S—krr 7r 2. X Av06aAeA Consultant Certifying (Print Name and Title): Name: Tamera Richards Title: Consultant Contact Information: Email: trichardsna ninyoandmoore.corn Phone number: 858/576.1000 Date of Certification (mm /dd /yyyy): 01/30/2015 *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the indirect cost rate proposal submitted in conjunction with the contract. Note: Per 23 U.SC 112(6)(2)(13), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31, 23 CFR Part 172.3 Definitions state: Consultant means the individual or firm providing engineering and design related services as aparty to the contract, Therefore, subconsultants as parties ofa contract must complete a certification and send originals to A &1 and keep copies in Local Agency Project Files. Distribution: t) original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Piles Page 2 25M-56 January 14, 2015 x� 00 .. c Fq a � o WU O A L4 O a 1� F O U rW.l x 0 ti I O z U C Y \ y o U ..I v A C� Si � o fn U (J of II V � o Y CJ U U G I o z •� a U y a 3 •� Q ED c7 G U W C7 z � W � U N F � U z -a e x U O bq 'd o U 3 b ro w U � � o b ' O U v w) 0 Y N O � M Q o o O 9 U a o � � U U z� l O �I II 0 W w z c F Q a C C F' Q U a U r� u �1 25M -57 o U N O U w U rO O y ate.+ O O a o a � N � � U �^ vN, N b U N m � C -Y M ;a o E o o y � m d U �i U ti yU, ti W J ' o Yw y T iF T y + O U U ° T m o p U Xi N U � � ti a� ro p o zww -+ N rn nn � �p N a h 0 W a o U z z z z z z 00 oe o0 00 00 00 00 00 00 00 00 00 V 69 `� rn M M M M M M M rn M M M O U 0 L V f3 fA' £1j' V3 V3 69 69 69 69 69 Yi 69 fA 69 Y3 V3 Ef] 64 O � T O U Q � 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 M M M M M In M rn M M M N j 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N N N N N Q N N N N N N N N N N wW O O O ; O O O O O O O O O O O O O O O W ..... , 0 0 0 ,-. ,--� 0 0 0 .. 0 0 0 .-� .-� ...... 0 0 0 ,-� 0 0 0 0 0 0 oo�n oot�oo� oornooMOOo N O� r� O Oi DO O G\ 00 O m N O r h O b M O\ O 0 0 In M M M 0 0 M rn M N N N N Vt V1 �O N N N N N M N N N IU o E.9 69 ffl si 64 EA 69 69 69 64 69 G9 69 69 V3 64 64 69 1n yxj o Vl O n 0 l� o Vl o o rn 41 o M N o 'n Vl v. N M O h 0 l� O (V .� C v1 In Vt N r 06 r M W v� h n M to In m m, N rn M b� CO ti D\ b m� � N t n M NNN N N N .�i T 69 69 64 69 69 fR 69 69 64 69 H3 A 69 rA £A 69 6R 64 7 O O �n o0 0 0 0 0 O 01 o V1 0 0 �'y � O 07 00 O v1 O Vl O In O h "R O M h M � r/1 69 6N4 69 64 69 69 69 £A 69 69 69 69 69 69 69 64 69 ..c c o U � U N W U U FL 0. a4 V U ro I z Gn 25M -57 o U N O U w U rO O y ate.+ O O a o a � N � � U �^ vN, N b U N m � C -Y M ;a o E o o y � m d U �i U ti yU, ti W J ' o Yw y T iF T y + O U U ° T m o p U Xi N U � � ti a� ro p o zww -+ N rn nn � �p N a h 0 W a x� O O FA p" � o W U 7 d v b V 4 Qi d u .y U O m Q z y L K 3 „ 3 0 G N � a o � a o U v Ca C O v Q w° 0 M 4 N a G O ^o I� 0 U �aI !-r O FFM X W Q F U U � C U U Q V cw, ti °z y¢ G w O N O U ro U A O ti 9 25M -58 T zz Q P p b w � � F T v y 9 T � u m � 9 3 ° ° II T O, O O U m U « O vb 7 � o b V n b T H y V O N C a�tl aro. a Q O L 3 0 o c m H v a v m 5 a V N U bry V] z r1 a 'O iE 'O O � 0 ayUi ,L' 0 U b � H � � O 9 U Y N aC�2 q ro � w v v ++ T C- p a :5 e oa 3 p F' v2 o v c 7 N F p b v d F E° N a N In. V 1n h CO �I Uj 0 O QI ra V H A Q a a � z a F Fy W Ca U 7 F vai a,' P7 U 6' P? U F O H U O O U F F z � a O N WO N ro 25M -58 T zz Q P p b w � � ti T v y 9 T � u m � 9 3 ° ° T O, O O U m C C « vb 7 � o b V n b T H y V N C a�tl aro. a Q O L 3 0 o c m v a v m 5 V N U bry 'O iE 'O O ayUi ,L' b � 9 U Y N aC�2 q ro v v ++ T C- p a :5 e oa 3 p F' v2 o v c 7 N p b v d N a N In. V 1n h CO �I QI ra Local Assistance Procedures Manual EXHIBIT 10 -I{ Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -OB 13 -07- Safe Harbor Indirect Cost Rate for Consultant Contracts found at http.11www. dot ca gov1 hq1 Loca1Programs1DLA_OBIDLA_OB.htm in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: Ficcadenti Waggoner and Castle Structural Engineers (FWCSE)_ Indirect Cost Rate: _148.19% * for fiscal period _01/01/2014 to 12/31/2014 *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: _City of Santa Ana Contract Number: 14 -037 Project Number: I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Manasement Svstem: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ and the number of states in which the firm does business is 2 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP 15 -01 January 14, 2015 25M -59 Local Assistance Procedures Manual EY11I13IT 10 -I{ Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary) Consultant Certifying (Print Name and Title): Name: Mark Schroeder Title: _Principal Consultant Certification Signature * *: Date of Certification (mrn /dd /yyyy): _01/30/2015 Consultant Contact Information: Email: _mschroeder @fwcse.com Phone number: _(949) 474 -05 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 US.C. 112(b)(2)(B), Subconsulamis must comply with the FAR Cost Principles contained in 48 CFR, Part 31, 23 CFR Part 172.3 Definitions state.' Consultant means the individual orfirm providing engineering and design related services as a party to the contract. Therefore, subconsultants as parties of a contract must complete a certification and send originals to A &l and keep copies in Local Agency Project Files. Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files Page 2 of 2 LPP 15 -01 January 14, 2015 25M -60 N w� � 1 S U y 0 0 .. a � O O M V k U O � N \ 00 W 0.. U I o G w^ M N Q h V � II O � W Q Em W O U w N w� � � O M V O � 0.. G w^ N Q h V O � W O O ro o �Cw m W d' O 4 Oi O y V o0 00 >° �p P. ° O z a N ro w � O ti V w O O F � W 0 o z p" O o� � 0 vH � z U � is x W} U M O c W raj 2y N � C. U Sr U 0 0 0 0 0 0 0 0 0 0 0 0 0 a o I� N N N N Ni Ni N� Ni N N N N aY' GO v, U O � M N d o O � O v W 0 0 U •F O N N N N H N N Y ° z c F Ca G ce C z c F r- a L C F a z C z G � O V G w^ T U m W d' O 4 Oi O oe o0 00 >° N O ti V O O � 69 rH 4A Ni 69 M O a 0 0 0 0 0 0 0 0 0 0 0 0 1 N N N N Ni Ni N� Ni N N N d ro v 0 0 0 0 O N N N N N N N N 0 0 0 0 0 0 0 0 0 0 0 0 k Vl 7 �--� 7 V 'cY In M 64 69 69 69 69 Hi 64 Y3 64 69 69 64 a In ow rn ot�o. o rn oao0 0 o o 00 W o M W o o N rr rn o M h o M m In In In I In W v o C7 fp !Ti U � a 25M -61 p O N � U W 0 ❑� U p ^� W O O � W ti w T y � � N b � � C � bA p � C O C �.O o ro � U N W F OU a= O N +' T iF T A o 0 T4 a„ 0 p � . N += C U v II y a v vp °�b mq rC wU � v zww° caw H °• 0 d � pp o �p N h s 0 vA a a xy 00 F s°, 'n4 O W U 0 N m W a G d 0 0 x QI F 0 a H W A r b u i. Qi V V u 0 F z v V U a r °z a W z W O �r V O Q O z F O Q bA U U V N M N C pO A 0 i 25M -62 m F Q z z F O v w 9 W O rN! T d N N N ti v a O O y m A J ❑ a F h] V 3 ro v b O y � o C m O bq II u0, C m � C •y V > H � O 7 T N d Q TJ C% O V O A d z 4 F � y � pTpkb w "k _ a£� V p N V 0 vroi N a O'y p Cp pp C H � o y O O p y b0 _ p ti d U a p p O V d 5 O O� 0 0 0 3 0 C O k G o itl � m� N 4� .^ ry .HW v� P. Q W H � o ® II F H H z F O � o z O ® O � W Q U � ra F II U O O O O O O rV1 � O tS W p ti o O N �I v� F UUU U w v a Q Pa V Q Q 25M -62 m F Q z z F O v w 9 W O rN! T d N N N ti v O O y m A J ❑ a F h] V 3 ro v b y � o C m O bq �j O u0, C m � C •y V > O O 7 T N d CO TJ C% O V O A d d O 4 � y � pTpkb w "k _ a£� V p N V 0 vroi N ,vY� O'y p Cp pp C b y O p y b0 _ p ti d p p O V d O O� 0 0 0 3 0 C O k G o itl � m� 4� .^ ro❑ v� P. Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -OB 13 -07- Safe Harbor Indirect Cost Rate far Consultant Contracts found at http: / /www. dot. ca. gov/ hq/ EocalProgramsIDLA_OBIDLA_OB.him in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: LOR Geotechnical Group, Inc. Indirect Cost Rate: 137.37% * for fiscal period (01/01/2014 to 12/31/2014) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City Of Santa Ana Contract Number: 14 -037 Project Number: I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above, t,ertnlcatlon oT innanclai management lystem: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &F Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ 450.000 and the number of states in which the firm does business is one Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP 15 -01 January 14, 2015 25M -63 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all Subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying (Print Name and Title): Name: Title: Consultant Certification Signature Date of Certification (02/02/2015): Consultant Contact Information: Email: iletterCcilorgeo.com Phone number: 951- 653 -1760 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(8), Subconsulamis must comply with the FAR Cost Principles contained in 48 CFR, Pori 31. 23 CFR Part 172.3 Definitions stale: Consullant means the individnal orfrnn pro riding engineering and design related services as a party to the contract. Therefore, subconstdtanis as parties of a contact must complete a certification and send originals to A &I and keep copies in Local Agency Project Files, Distribution: 1) original to CnItnns Audits and Investigations 2) Retained in Local Agency P %jecl Files LPP 15 -01 25M -64 Page 2 of 2 January 14, 2015 x� ao F w° � W y WU 0 W w Q QI 0 U Pa H DS W A C R s. U Al Al d A N y U 0 a F z 0 U O U 4 ti Q yGQ fX w z w V O 0 z U avi 0 0 U w o b N 2y N p 0 �•N U I-1 0 M M 7 \° w o F4 z � b O U � N N U r O o b b b y � O � eUe U � W O O e O y N b O A p o N s. N roC O U by z� 0 O II 0 W w z 0 O O �i U d U O z wZO I-- z W c v� �e N a d^ 0 V U U U (roJ U a Q N (H �+ N U U U O xwaz d z z z z y � � T y o o< o0 00 00 M M M M fn M M fn fn M N y � U N �C, C o a J � yy y 9 0 a ati � a o N V a � W O O M O O M O O M O O M O O M � M 7 V1 M � V1 fn d' V1 M V V1 fn V N Q ny M fn M fn M M M fn M fn M M M M M F FA 69 69 69 69 69 69 V3 69 N3 64 £A 69 6R 69 N O y, p5� O J J o N -^ froJ a J � J II J Q S C O p zPa W o Qw° p N 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 �Nfh T N N N N N N N N N N N N N N N M— M M M !\ !n (\ Off' N N N N N N N N N N N N .0 ----------- O J 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 W 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 v (fi f9 64 69 69 V3 69 Vi 69 V3 69 V3 69 V3 69 !J �i V�1• Vl W m Vl W M M M M ti °. � N N ti ti N � N N, ln. N NN ti N F:, c<r v3 ss F» F» f» .N. fa vi ss . vj ss ss .i v� a ss T � 69 64 fA fFl F1 G9 69 64 64 69 69 Ff3 fA V3 V3 I o I I N t6 U ❑ F. 25M -65 v� �e N a d^ 0 5 a Q N (H �+ N U U U O d p « w y � � T y � •^Ci pip �N N � C J y � U N �C, C � yy y 9 0 a ati � a o N V a � W M " Q V � � N 7 9 0 p5� O J J o N -^ froJ a J II J a 4 C O p zPa W o Qw° p N a °z �Nfh a x� 0 0 E^ y Q� a W U N N 00 W N .W.1 G 0 0 O O H H W ro q b u QI u d u F F O 0 w z A z z z W V K F O Q O C. O 0 U 0 0 N C O Aw 25M -66 W F °z Z F O E T v � b ro O 4E N G U N ti d A > CL y H b T O H � abi O A U N N C N gyp• y i b � C b O ro O T b V b H � v b0 9 C �d « tC O N Q N C7 F .b L > W O 0 O ; Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of DLA -OB 13 -07 - Safe Harbor Indirect Cost Rate far Consultant Contracts found at httP ://www. dot. ca. gov/ hq/ LocalPrograms/DLA_OB/DLA— OB.htm in lieu ofthisform.) Certification of Final Indirect Costs: Consultant Firm Name: Blais & Associates, Inc. Indirect Cost Rate: 174.5% * for fiscal period 01/01/2015 — 12/31/2015 (mm/dd/yyyy to mm /dd /yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: RFP 14 -037 Project Number: I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $750,000 and the number of states in which the firm does business is 4. Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 3 L Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP 15 -01 January 14, 2015 25M -67 Local Assistance Procedures Manual EXHIBIT 10 -I£ Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying (Print Name and Title): Name: Neil C. Blais Title: President & CEO Consultant Certification Signature * *: Date of Certification (mm /dd/yyyy): 1/29/2015 Consultant Contact Information: Email: nblais @blaisassoc.com Phone number: (949) 589 -6338 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31. 23 CFR Part 172.3 Definitions state: Consultant means the individual orfirm providing engineering and design related services as a parry to the contract. Therefore, subconsultants as parties of a contract must complete a certification and send originals to A &1 and keep copies in Local Agency Project Files. Distribution: t) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files LPP 15 -01 25M -68 Page 2 of 2 January 14, 2015 EXHIBIT C ADDITIONAL PROVISIONS CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES The following documents in reference to the on -call engineering services hereunder are hereby on file with the City of Santa Ana's Public Works Agency and are hereby incorporated by reference: • Request for Qualifications (RFQ) — RFQ No. 14 -037 • Statement of Qualifications (SOQ) -- in response to RFQ No. 14 -037 • Request for Proposal (RFP) — RFP No. 14 -037 • Proposal - -in response to RFP No. 14 -037 25M -69 EXHIBIT D ATTACHMENTS D -1, D -2, D -3 & D -4 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 25M -70 APPENDIX ATTACHMENT D -1: NON - COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14 -037 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 cast 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 cerdill tien ay subject the certifier to criminal prosecution. Signed , < State of California County of t� Subscrl a and sworn o (or affirmed) before me on this _a— day of , 20(1 by proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. HILARY HYNEK GOSHERT Commission # 2078078 Notary Public California ZZ dl-- Orange County Nota ublic Si nature tJ Notary Public Seal My Ceram. Expires Au 16, 2018 PROPOSALSTHATDO City of Santa Ana RFP 14 -037 Page 26 25M -71 APPENDIX ATTACHMENT D -2: NON - LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14.037 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 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 Name Harris cS Associates, Inc Signed and Printed Name 1 Randall Berry, PE Date: November 17, 2014 PROPOSALS THAT DO NOT AND City of Santa Ana RFP 14 -037 Page 27 Hk, 1 5oc u��afic ons 25M -72 APPENDIX ATTACHMENT D -3: DEPARTMENT OF HOUSING & URBAN DEVELOPMENT SECTION 3 CONTRACT CLAUSE CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14 -037 DEPARTMENT OF HOUSING & URBAN DEVELOPMENT (HUDI SECTION 3 CONTRACT CLAUSE A. The work to be performed under this contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701 u (Section 3). The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD - assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low- and very low- income persons, particularly persons who are recipients of HUD assistance for housing. B. The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which implement Section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the part 135 regulations. C. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the contractors commitments under this Section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin. D. The contractor agrees to include the Section 3 clause in every subcontract subject to compliance with regulations in 24 CFR Part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this Section 3 clause, upon a finding that the subcontractor Is In violation of the regulations in 24 Cl Part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge of that the subcontractor has been found in violation of the regulations in 24 CFR Part 135, E. The Contractor will certify that any vacant employment positions, Including training positions, that are filled (1) after the contractor is selected, but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractors obligations under 24 CFR Part 135. F. Noncompliance with HUD's regulations in 24 CFR part 35 may result In sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts. City of Santa Ana RFP 14 -037 Page 28 H a rri S&AS6oriaie; I SeQi o n6: Cerh fca6onrd 33 25M -73 G. With respect to work performed In connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self - Determination and Education Assistance Act (25 U.S.C. 4500) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (1I) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the rip mery Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract In which the project is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower Income Individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area In which the project is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects In their neighborhoods. For fiscal year 1996 -97, minimum goal for each project is 30 %. The Contractor /Sub- contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub- contractor /Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his /her operations within the City of Santa Ana. Randall B—, PF. / 171r..rQr Engineering Services Signature Print Name and Title Signature Signature PROPOSALS Print Name and Title Print Name and Title November 17, 2014 Date City of Santa Ana RFP 14 -037 Page 29 'nrz. 25M -74 Ninyo and Moore G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self - Determination and Education Assistance Act (25 U.S.G. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (11) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indlan -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not In derogation of compliance with Section 7(b). For the purpose of training and employment the prime Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project is located. It Is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident Is any lower Income Individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area in which the project Is located (Orange County). A public housing resident Is defined by regulations as Section 3 resident, regardless of Income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1998 -97, minimum goal for each project is 30 %. The Contractor /Sub - contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub- contractor /Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his /her operations within the City of Santa Ana. e-,4 Signature Signature Signature Jalal Valcili, Principal Engineer Print Name and Title Print Name and Title Print Name and Title November 13, 2014 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL, PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14-037 Page 29 Harris &ASSnciaics i Seciioe h: i :cr :.iiicztirnr; 25M -75 LOR Geotechnical Group, Inc. G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self - Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (it) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the primary Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project Is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income Individual residing within the Section 3 area, whose total family income does not exceed 80%, of the median income of the metropolitan statistical area in which the project Is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects In their neighborhoods. For fiscal year 1996 -97, minimum goal for each project is 30 %. The Contractor /Sub - contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub- contractor/Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his /her operations within the City of Santa Ana. S Signature PROPOSALS THAT DO NOT �..JP.IG'tv(r Pc�S�cQoni�" Print Name and Title r Print Name and Title Print Name Date AND City of Santa Ana RFP 14 -037 Page 29 25M -76 LSA G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self - Determination and Education Assistance Act (25 U.S.C. 4509) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (11) preference In the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the p Ima_ry Section 3 covered project area Is the area in closest proximity to the actual construction work site within the US. Census Treat In which the project Is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income individual residing within the Section 3 area; whose total family income does not exceed 80% of the median income of the metropolitan statistical area In which the project is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of Income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower Income residents (local residents) and job opportunities In connection with projects In their neighborhoods. For fiscal. year 1996.97, minimum goal for each project is 30 %. The Contractor /Sub - contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub - contractor /Service Provider has read Section 3. requirements and accepts all Its requirements contalned therein for all of his /her operations within the City of Santa Ana. i _Ehroz Tany4l Chief Financial Officer Signature Print Name and Title Signature Print Name and Title Signature Print Name and City of Santa Ana RFP 14.037 Page 29 IiarrissA.�eciares Secflon S: Certifications 3v 25M -77 G. With respect to work performed In connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self- Determination and Education Assistance Act (25 U.S.C. 4501 also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (II) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the Prime Section 3 covered project area Is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project is located. It Is understood that priority for employment opportunity Is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower Income Individual residing within the Section 3 area, whose total family income does not exceed 80% of the median Income of the metropolitan statistical area in which the project Is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of Income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower Income residents (local residents) and job opportunities in connection with projects In their neighborhoods. For fiscal year 1996 -97, minimum goal for each project is 30 %. The Contractor /Sub- contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub- contractor /Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his /her operations within the City of Santa Ana. &' W""_ Signature Signature Signature Chris Loera/ Vice President Print Name and Title Print Name and Title Print Name and Title city of Santa Ana RFP 14 -037 Page 29 1„ r,£. P,SLO rn. Se ons 25M -78 C Below Ficcadend Waggoner and G. With respect to work performed In connection with Section 3 covers([ Indian housing assistance, :Section (7) b of the Indian Self- DetarmInatlon and Education. Assistance Act (26 U.S.C. 460e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (I) preference and opportunities for training and employment subcontracts shall be given to Indians, and (II) preference In the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not In derogation of compliance with Section 7(b). ' For the purpose of training and employment the i9p. mere Section 3 covered project area Is the area in closest proximity to the actual construction work site within the U.S. Census Tract In which the project Is located.. It Is understood that priority for employment opportunity is to be gl4en to residents residing within the primary Section 3 area .. as defined. A Section 3 area resident Is any lower Income Individual residing within the Section 3 area, whose total family Income does not exceed 60% of the median. Income of the metropolitan statistical area In which the project Is located (Orange County). A public housing resident Is defined by regulations as Section 3resident, regardless of Income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower Income residents (local residents) and job opportunities to connection with projects in their neighborhoods. For fiscal year 1096.97, minimum goal for each project is 30 %, The Contractor /Sub - contractor /Service Provider by the signature aff ixed herato declares under penalty of perjury: Contra( /Sub - contractor /Service Provider has read Section 3 requirements and accepts its requlnts contained therein for all of his /her operations within the City of Signature Signature V444- o ✓ y e, .,? f T'C- it- F.,c.. fit.,.. Print Name and Title Print Name and Title Print Name and Title City of Santa Ana RFP 14-037 Page 29 Harris & Associates l Section 6. Certifi cation 41 25M -79 Albert Grover & Associates G, With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self - Determination and Education Assistance Act (25 U.S.C. 4500) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (11) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of $action 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the prime Section 3 covered project area Is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident Is any lower income individual residing within the Section 3 area, whose total family Income does not exceed 80% of the median Income of the metropolitan statistical area in which the project Is located (Grange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities In connection with projects In their neighborhoods. For fiscal year 1996 -97, minimum goal for each project Is 30 %. The Contractor/Sub- contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub- contractor /Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of hislhar operations within the City of Santa Ana. i Mack KNr Vjf� Rcsoa�,t ignature Print Name and Title Signature Signature Print Name and Title Print Name and Title ) j ?_ Date fiber THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL.. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14.037 Page 29 �T C'n,,nne 25M -80 Borthwick Guy Bettenhausen, Inc. C. With respect to work performed in connection with Sectlon 3 covered Indian housing assistance, Section (7) b of the Indian Self - Determination and Education Assistance Act (25 U.S.C. 4500) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (il) preference In the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not In derogation of compliance with Section 7(b). For the purpose of training and employment the orlmar Sectlon 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract In which the project Is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident Is any lower Income Individual residing within the Section 3 area, whose total family Income does not exceed 80% of the median Income of the metropolitan statistical area In which the project Is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of Income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower Income residents (local residents) and job opportunities In connection with projects In their neighborhoods. For fiscal year 1996 -97, minimum goal for each project is 30%. The Contractor /Sub - contractor /Service Provldor by the signature affixed hereto declares under penalty of perjury: Contractor /Sub- contractor /Service Provider has read Section 3 requirements and accepts all Its requirements contained therein for all of his /her operations within the City of Santa Ana. Signature —r 74kt�nl Name and Itle � ` t Signature I/ Print Name and Title Signature p''rinlIt Name and �T_itl�e — S_i'�' Date City of Santa Ana RFP 14 -037 Page 29 t u'ris& As,ndaies 1 Snmon u. C.e.`ti;b_a'i . cc 25M -81 LEE & RO, Inc. G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self- Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (II) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the rlo mary Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract In which the project is located. It Is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income Individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area in which the project Is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1996 -97, minimum goal for each project is 30 %. The Contractor /Sub- contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Subcontractor /Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his /her operations within the City of Santa Ana. &-�' t Dhiru Patel, Sr. Vice President, LEE & RO, Inc. Signature Print. Name and Title Signature Print Name and Title Signature Print Name and Title November 13, 2014 City of Santa Ana RFP 14 -037 Page 29 25M -82 I'.I G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self- Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (11) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indlan -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the ipr mary Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project is located. It Is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower Income Individual residing within the Section 3 area, whose total family Income does not exceed 80% of the median income of the metropolitan statistical area in which the project Is located (Orange County). A public housing resident is defined by regulations as Seotion 3 resident, regardfess of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower Income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1996 -97, minimum goal for each project is 30 %. The Contractor /Sub- contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub- contractor /Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his /her operations within the City of Santa Ana. _ at _ Signure e Signature Signature V. HAHVL, P f✓NT' Print Name and Title Print Name and Title Print Name and Title 51.20 Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14 -037 Page 29 rlarris &Associates i Section Cer;.,hcacicns 25NI -83 Blais and Associates, Inc. G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian SeIFDaterminaticn and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (ii) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment tho litr mare Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project Is located. It Is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income Individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area in which the project Is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects to their neighborhoods. For fiscal year 1996 -97, minimum goal for each project Is 30 °!Q. The Contractor/Sub-contractor/Service Provider by the signature affixed hereto declares under penalty of perjury; Contractor /Sub »contractor /Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his/her operations within the City of Santa Arta. t-'-" `��_---.:...______...., �1� i 1 � L?J_G rs % res• �xT •`G`�3 ignatur Print Name and Title Signature V Print Name and Title Signature Print Name and Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL,, L PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14.097 Page 20 pis &Aaso _ed ., � r�ficz� -ns 25M -84 Borthwick Guy Bettenhausen, Inc. G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self - Determination and Education Assistance Act (25 U.S.C, 4509) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (II) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indlan -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the rin mare Section 3 covered project area is the area In closest proximity to the actual construction work site within the U.S. Census Tract In which the project Is located. It is understood that priority for employment opportunity Is to be given to residents residing within the primary Section 3 area as defined, A Section 3 area resident la any lower income Individual residing within the Section 3 area, whose total family Income does not exceed 80% of the median Income of the metropolitan statistical area in which the project Is located (Orange County), A public housing resident is defined by regulations as Section 3 resident, regardless of income, The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower Income residents (local residents) and job opportunities in connection with projects In their neighborhoods, For fiscal year 1996 -97, minimum goal for each project is 30 %. The ContractodSub- contractor / Servico Provider by the signature affixed hereto declares under penalty of perjury; Contractor /Sub- contractor /Service Provider has read Section 3 requirements and accepts all Its requirements contained therein for all of his/her operations within the City of Santa Ana, Signature Print Name andTitfo( flsJG� Signature Print Name and Title Signature Print Name and Title Date City of Santa Ana RFP 14 -037 Page 29 Harr:_; &ssc_iatms i. Section 6. Ct,, fiicztions 25M -85 APPENDIX ATTACHMENT D -4: CERTIFICATION OF NON - DISCRIMINATION BY CONSULTANTS CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14.037 As suppliers of goods or services to the City of Santa Ana, the Firm listed below certifies that it does not discriminate in its employment with regard to race, color, religion, sex, or national origin; that it is in compliance with all federal, state and local directives and executive orders regarding non - discrimination in employment and including, but not limited to, what is listed in the Non - Discrimination Clause in Exhibit 10 -V per: ho/ww dt caoLams /lam s /chaoter10 /10y- 2013- 05- 14.docx and that it agrees to demonstrate positively and aggressively the principle of equal opportunity in employment. The same shall apply and be included in all subconsultant agreements. WE AGREE SPECIFICALLY: 1. To take affirmative steps to hire minority employees with the company. 2. To establish or observe employment policies within affirmative promotion opportunities for minority persons at all job levels. 3. To communicate this policy to all persons concerned, including all company employees, outside recruiting services, especially those servicing minority communities, and to the minority communities at large. FIRM Harris& Associates, Inc. TITLE OF PERSON SIGNIN SIGNA' THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL, PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Sanfa Ana RFP 14 -037 rage su 25M -86 PROFESSIONAL SERVICES AGREEMENT CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES THIS AGREEMENT is made and entered into this 5th day of August 2015 by and between Psomas (hereinafter "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 (hereinafter "City"), RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of: On -Call Engineering Services to provide engineering services on an as- needed basis. Engineering services may include, but are not limited to, civil engineering, electrical engineering, traffic engineering, geotechnical, land /property surveying, structural, architecture and landscaping design services and grant writing services. Prior to issuing a Task Order, the City may request a detailed Scope of Work, for a specific project/task. If requested, the consultant would provide a task proposal, budget and schedule for the Task Order. From this the City may choose which consultant to assign the project/task to pursuant to this Agreement. 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 related field of expertise. 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. TERM This Agreement shall commence on the date first written above for a two (2) year term with the option for the City to grant up to two one -year renewal options exercisable by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below. Exhibit 3 25M -87 2. SCOPE OF WORK Consultant agrees to 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 Work - Exhibit A, attached hereto and incorporated by reference. Additional Agreement provisions, if any, may be contained in "Additional Provisions" attached hereto and incorporated into this Agreement as Exhibit C. 3. SCHEDULE OF SERVICES If a Task Order is issued, Consultant shall complete services and shall perform and deliver them to the City as described and detailed in Exhibit A and per the Task Order provided. The City may request that the Consultant provide a proposed scope of work, schedule and budget for a particular project or work product within a Task Order. If the City approves the Task Order, the City will issue a Notice to Proceed ( "NTP ") approved by the Executive Director of the Public Works Agency or his /her designee ( "Executive Director "). Consultant shall meet the work deliverables within the Task Order, the schedule and budget unless otherwise adjusted by the City. Such services shall be provided per written request of the Executive Director after the City's issuance of the NTP. 4. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates, fees, and charges identified in Exhibit B, "Compensation ", attached hereto, and incorporated by reference, in an amount not to exceed two hundred fifty thousand dollars ($250,000) over the entire life of the Agreement, including any renewal period(s). Exhibit B includes completed Federal Exhibits 10 -K and 10 -H along with all Consultant and subconsultant(s) rates and fees that comply with federal requirements. Exhibit D includes all previously completed Federal certification forms as part of the Proposal submittal in response to the Request for Proposals. These are attached hereto and incorporated herein as Attachment D- 1, D -21 D -3 and D -4. 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 disks (CD)s, USB jump drives or equivalent, 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 2 25M -88 shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 6. PAYMENTS & INVOICES a. Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. b. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: i. Consultant's invoice number and City's agreement number ii. Beginning and ending dates for services iii. City Project and/or Task Order number andor name (if applicable) iv. Work site address /location (if applicable) V. Tasks or deliverables completed, and percentage ( %) of total services completed. vi. Remaining Overall and Task Order budget available City will, within 45 days of receiving such statement in a manner that meets the City's requirements, review the statement and subsequently pay the approved charges thereon. 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, ajoint 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. 8. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which 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 25M -89 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, and $2,000,000, in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim and $2,000,000 annual aggregate shall be maintained. 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 in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City, except for 10 days' notice for non- payment of premium. 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 Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 25M -90 9. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), to any work performed or services provided under this Agreement arising out of, relating to or pertaining to the negligence, recklessness or willful misconduct of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 10. LAWS AND REGULATIONS Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure to comply with such laws, rules or regulations. 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 5 25M -91 reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. (Also see Exhibit D.) 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 attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the authorized representatives of the parties. 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 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 the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product(s) 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. C 25M -92 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. (Also see Exhibit D.) 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. The 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 facsimile 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 Facsimile (714) 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -5635 7 25M -93 To Consultant: Psomas Anissa Voyiatzes, PE, ENV SP 3 Hutton Center Drive, Suite 200 Santa Ana, CA 92707 Phone: (714) 751 -7373 Facsimile: (714) 545 -8883 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 facsimile, 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. Additional provisions, if any, are identified as Additional Provisions — Exhibit C, attached hereto and incorporated herein by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25M -94 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA MARIA D, HUIZAR DAVID CAVAZOS Clerk of the Council City Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney I3y: C-- Lisa Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: CONSULTANT: FRED MOUSAVIPOUR Executive Director Public Works Agency (Name) (Title) 9 25M -95 EXHIBIT A SCOPE OF WORT{ CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 1. GENERAL The City of Santa Ana (City) solicited proposals from professional consulting firms (Consultant) to provide engineering services on an as- needed basis. Engineering services may include civil engineering, electrical engineering, traffic engineering, geotechnical, land /property surveying, structural, architecture and landscaping design services and grant writing services. A detailed Scope of Work will be outlined when /if a specific project or Task Order is assigned to the consultant. The work, in general, consists of general engineering design projects on arterial and local streets, bike paths, and public parks, citywide. Funding sources for each project may vary ranging from local, Measure M2, state and federal and each project /task order assignment shall comply with the funding agency's requirements. The projects may include storm drain improvements; sidewalks, bike paths, curb and gutter replacement; slurry seal of residential streets; repair and overlay of asphalt concrete and /or PCC streets; signing, striping, neighborhood traffic studies, traffic signal modifications; landscaping and irrigation systems; park and recreational design, grant application writing, and other related projects as required. On occasion, environmental and planning support services may also be requested. The City may need consultant services for survey, mapping and legal description preparation, construction management, staking and inspection. Occasionally, the City may also need geotechnical, mechanical, electrical and /or structural services. The Consultant shall be able to assist the City through this contract to provide the necessary services. The Consultant shall utilize in -house staff and /or sub- consultants to complete the assignments to meet the City standards. For specialized work for which the prime consultant shall require a sub - consultant, the prime consultant shall serve as an administrative liaison between the City and the sub - consultant. The prime Consultant mark -up for sub - consultants shall not exceed 10 %. IL PROPOSED SCOPE OF SERVICES In general, the Consultant shall perform above noted engineering design services resulting in contract documents (plans, specifications and cost estimates "PS &E ") for various projects on an as- needed basis. However, work tasks may include studies or a variety of engineering or other 10 25M -96 tasks. If requested by the City, the Consultant shall provide a Work Plan which includes a detailed schedule of the assigned project prior to the issuance of Notice to Proceed of that particular project and /or Task Order. Specific Task Orders with Notices to Proceed ( "NTPs ") will be provided for project(s) at the discretion of the City. Work required per Task Order shall comply with the Scope of Services and additional provisions in each Task Order and this agreement. The Consultant shall also provide all field survey work required as appropriate and shall have the necessary experience and required civil, traffic, electrical, structural, geotechnical, surveying, landscape architect and architectural licenses for those in responsible- charge of the work being completed. The Consultant's services for PS &E engineering project preparation shall include, but not be limited to, the following: 1. Research existing records of utility companies and agencies and coordinate the proposed improvements with existing field conditions. 2. Provide all field survey and topographic work necessary to complete the design effort. Design level survey and base mapping of the project site shall be prepared in US Customary English units by a California licensed Land Surveyor in accordance with the City guidelines and in Microstation V8i Computer Aided Design and Drafting (CADD) format. The horizontal datum shall be NAD 83 and the vertical datum shall be NAVD 88. All survey field notes shall be on forms provided by the City, shall be neatly completed in pencil, and shall become property of the City upon completion of the project. Informal field investigations including marking of removal areas may be required for some of the sidewalk, curb and gutter, and pavement replacement projects. 3. Complete the design of projects including plans, specifications, and engineer's construction cost estimate. The Consultant shall contact manufacturers and /or contractors to verify the engineer's estimate prior to submitting to the City. Specifications shall be prepared in Microsoft Word and an electronic copy of the final version shall be furnished to the City. The City will provide the specification boiler plate to the Consultant. 4. If requested, all preliminary and bid sets of plans shall be plotted on bond or velum using the Microstation V8i CADD program. All drawings shall be completed per the City of Santa Ana CADD Standards. For interim submittals, the City may opt to receive only PDF versions of the plans for reviewing purposes. If so, the Consultant team will provided plans and /or specifications accordingly. 5. All original plan sheets, the title sheet of the specifications, calculations, and reports shall be signed and stamped by the Consultant's licensed professional engineer responsible /in- charge of the project. These signed originals shall then become the property of the City. 6. If a part of the on -call project scope, the Consultant shall provide support services during the bidding and construction phases of the project on an as needed basis, including, but not limited to: 11 25M -97 A. The Consultant shall respond to bidder inquiries during the bidding process, including preparation of any addenda. Following award of the construction contract, the Consultant shall attend the pre - construction meeting. B. The Consultant shall review and approve all submittals and shop plan drawings required supporting the construction contract. The Consultant shall complete shop drawings reviews within two (2) weeks of receipt. Contract Change Order reviews shall be completed within two (2) working days of receipt. C. The Consultant shall respond to written Requests for Information (RFI) to provide clarification or resolve discrepancies in the contract documents. Responses shall be completed within three (3) working days. D. The Consultant shall provide periodic field reviews and bring to the attention of the City of Santa Ana any defects or deficiencies in the work by the construction contractor which the Consultant may observe. The Consultant shall have no authority to issue instruction on behalf of the City of Santa Ana, or to deputize another to do so. 7. If included in the on -call project scope, upon completion of construction, the Consultant shall prepare as- builts and submit them to the City. The Consultant shall incorporate all changes to the plans electronically with all necessary revision notations. Once plans have been updated, a signed set of as -built mylars shall be submitted to the City with an electronic copy (in Microstation V8i CADD and pdf formats) of the final as -built drawings via CD or e -mail. 8. If included in the on -call project scope, the Consultant shall monitor the project progress, maintain project files, and control the quality of the work performed by in -house staff and/or sub - consultants. Incomplete (not meeting targeted completion) or poor quality work will not be accepted. The Consultant shall revise the documents within a revised schedule set by the City, which may require overtime. No additional compensation for regular or overtime hours necessary to complete this work to the satisfaction of the City shall be approved by the City for the required revisions. It is the responsibility of the Consultant to produce a professional - level quality of work product. 9. If included in the on -call project scope, attend meetings with the City staff as required. 10. If included in the on -call project scope, the Consultant shall coordinate plan check, design topics, permits and any other issues with the City, other Agencies, and all utility companies as required. At the direction of the City, the Consultant shall be the liaison with affected agencies. 11. If included in the on -call project scope, the Consultant shall be responsible for reviewing and approving addenda and clarifications to plans and specifications. III. GENERAL REQUIREMENTS 1. All work shall be performed in conformance with the latest City of Santa Ana policies, procedures and standards, and applicable, regulatory, state and federal requirements. 2. Consultant shall carry out the instructions received from the City of Santa Ana and shall cooperate with the City of Santa Ana and any other involved agencies. 12 25M -98 The Consultant shall have complete responsibility for the accuracy and completeness of all documents and plans prepared and shall check all such materials accordingly. The plans will be reviewed by the City of Santa Ana for conformity with the requirements of the Agreement. Reviews by the City of Santa Ana do NOT include detailed review or checking of design or the accuracy with which such designs are depicted in the documents and the plans. The responsibility for accuracy and completeness of such items remains solely that of Consultant. 4. The documents and plans furnished under the Agreement shall be of a quality acceptable to the City of Santa Ana. The criteria for acceptance shall be a product of neat appearance, well organized, technically and grammatically correct, checked, and dated and having the maker and checker identified. 5. The Consultant shall have quality control procedures in effect during the entire time work is being performed under the Agreement. The quality control procedures shall establish a process which includes checking processes for PS &E preparation, an independent constructability review, correcting and back checking procedures, and all job related correspondence and memoranda dated and received by affected persons and then bound in appropriate job files. The City of Santa Ana reserves the right to request proof of said documentation. 6. The Consultant's work and all records shall be subject to inspections by representatives of the City of Santa Ana and funding agency requirements or audits if requested. Consultant certifies that it shall comply with the following regulations, as required by the (funding agency): a. Audit Records - With respect to all matters covered by this agreement all records shall be made available for audit and inspection by the City, the grant agency and/or their duly authorized representatives for a period of four (4) years from the termination of this Agreement. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant shall preserve and maintain all documents, papers and records relevant to the services provided in accordance with this Agreement, including the Attachments hereto. For the same time period, Consultant shall make said documents, papers and records available to City and the agency from which City received grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours. b. Information - Consultant shall provide to City all records and information requested by City for inclusion in quarterly reports and such other reports or records as City may be required to provide to the agency from which City received grant funds or other persons or agencies. 13 25M -99 C. Section 504 of the Rehabilitation Act of 1973 (Handicapped) - All recipients of federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act). Therefore, the federal funds recipient pursuant to the requirements of The Act hereby gives assurance that no otherwise qualified handicapped person shall, solely by reason of handicap be excluded from the participation in, be denied the benefits of or be subject to discrimination, including discrimination in employment, in any program or activity that receives or benefits from federal financial assistance. The Consultant agrees it will ensure that requirements of The Act shall be included in the agreements with and be binding on all of its contractors, subcontractors, assignees or successors. d. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable and the related guidelines that may be more recent. e. Political Activity - None of the funds, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act ". f. Civil Rights Compliance and Notification of Findings - Consultant, and all its contractors (or sub- recipients) will comply, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789 (d), or Victims of Crime Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title 11 of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; Department of Justice Non - Discrimination Regulations, 28 CPR Part 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the event a Federal or State court, Federal or State administrative agency, or the Consultant makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Consultant will forward a copy of the findings to the City which will, in tum, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Department of Justice. g. Equal Employment Opportunity - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable. h. Anti - Kickback Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Copeland "Anti- Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29 CFR Part 3), as applicable. 14 25M -100 Davis -Bacon Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Davis -Bacon Act (40 U.S.C. 276a to 276a- 7) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. Contract Work and Safety Standards Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of Sections 103 and 107 of the Contract Work and Safety Standards Act (40 U.S.C. 327 -330) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. k. Clean Air Act - Consultant, and all its contractors (or sub - recipients) will comply, with all applicable standards, orders or requirements issued under Section 306 of the Clean Air Act (42 U.S.C. 1857(h)), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive Order 11738, and the Environmental Protection Agency regulations (40 CFR part 15), as applicable. 1. Energy and Conservation Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Energy Policy and Conservation Act (Pub. L. 94 -163, 89 Stat. 871),(53 FR 8078, 8087, Mar. 11, 1988, as amended at 60 FR 19639, 19645, Apr. 19, 1995), as applicable. m. Patent - Consultant agrees that the funding agency shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with funding through this Agreement. n. Copyright - Consultant may copyright any books, publications or other copyrightable materials developed in the course of or under this Agreement. However, the federal awarding agency, State Administrative Agency (SAA) and City reserve a royalty -free, non - exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government, SAA and /or City purpose: i. the copyright in any work developed through this Agreement; and ii. any rights of copyright to which the subcontractor purchases ownership with support through this grant. The Federal government's, SAA's and City's rights identified above must be conveyed to the publisher and the language of the publisher's release form must ensure the preservation of these rights. IV. CITY RESPONSIBILITIES The City will provide the following: • All plan check coordination within the City • Sample boiler plate specifications to be utilized • Sample plans & City of Santa Ana's CADD Standards • Electronic files for title sheets and sheet borders 15 25M -101 10414 COMPENSATION CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 25M -102 Balancing the Natural and Built Environment February 2, 2015 Monica Suter Design Engineering City of Santa Ana 20 Civic Center Drive Santa Ana, CA 92701 Re: On -Call Engineering Services, RFP 14 -037 — Team Form 10 -H and 10 -K Dear Monica: The following subconsultants rates meet the federal requirements: • Iteris • Lynn Capouya • Petra Structural Engineers • P2S Engineering, Inc. • LAE Associates, Inc. The following subconsultants rates DO NOT meet the federal requirements: • GMU Geotechnical, Inc. — Using Safe Harbor Rates • LaBelle Marvin, Inc. - In the process of obtaining compliance with the Federal rate requirements If you have any questions, please contact me at 714 - 481 -7998. Thank you. Sincerely, PSOM AS a I " S _ Anissa Voyiatzes, PE Vice President 3 Hutton Centre Drive Enclosure: Exhibit 1.0 -H & Exhibit 10 -K Suite zoo Santa Ana, CA 92707 -8794 Tel 714.751.7373 Fax 714.545.8883 www.Psomas.com 25M -103 EXHIBIT 10 -H 25M -104 EXHIBIT 10 -H City of Santa Ana On -Cell Engineering Service. Page 102 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES (RPP 14.0 37) COST PROPOSAL PRIME: PSOMAS SUBCONSULTANT: Attached Contract No.: Date: 113012015 Fringe Benefit Overhead General Administration Combined Indirect Cost Rate(ICR) NORMAL 44.90% + 125.70% + 0.00% = 170.60% FEE % = 10.00% 25M -105 - Effective dale of Nami Title /Classification Hourly Billing Rates' Hourly Rate Actuag Hourly Range Average %or$ for Classifications Slrai ht OT 1.54 OT 2x From To Hourly Rate' Increase only Steve Frisson, Officer- In- Chargo/Program Manager $238.16 -- - 01101115 12131115 $80.01 NotApplcable $245.30 01101116 12131116 $82,41 3% $252,66 -- - 01101117 12131117 $84.88 3% $26024 -- - 01101118 12131118 $87.43 3% 01101119 12131/19 $268.05 $90.05 1 3% AnissaVoyiatzes , CondacllProject Manager $195.47 -- - 01101115 12131115 $65.67 NotApplii $201.34 01101116 12131116 $67.64 3% $207.38 -- - 01101117 12131/17 $69.67 3% $213.60 -- - 01101118 12131118 $71.76 3% 01101119 12131119 $220.01 $73.91 3% Arief Naftali, OAIQC Manager /Project Manager $187.20 -- - 01/01115 12131115 $62.89 Not Applicable $192.81 01/01116 12131116 $64.78 3% $19860 -- 01101117 _ 12131117 _.,$6872 3% $204.56 -- - 01101118 12131118 $68.72 3% 01/01119 12131119 $210.69 $70.78 3% Alejandro Angel, Team Leader and PM, Execut6lManager $226.70 -- - 01/01115 12131115 $76.16 Not Applcable $233.50 -- -- 01101116 12131116 $78.44 3% $240.50 01101117 12131117 $80.80 3% $247.72 -- -- 01101118 12131118 $8322 3% 01/01119 12131119 $255.15 $85.72 3% Chris Massa, Senior Project Engineer, Engineer $16458 -- 01101115 12131115 $5529 NolApplicabk $169.51 -- -- 01101116 12131116 $56.95 3% $174.60 01101117 12131117 $58.66 3% $179.84 -- -- 01101118 12131118 $60.42 3% 01101119 12131119 $185.23 $62.23 3% Miss Day Senior Project Manager, Execulive /Manager $16458 -- -- 01101115 12131115 $5529 NotApplicabk $169.51 -- -- 01101116 12131116 $56.95 3% $174.60 01101117 12131117 $58.66 3% $17984 -- 01101/18 12131118 $6042 3% __. ..... 01101/79 12131119 $185.23 $62.23 3% Peter Fitzpatrick, Team Leader and PM, Execute /Manager $23256 -- -- 01101115 12131115 $7813 Not Applicable $239.54 -- -- 01101116 12131116 $80.47 3% $246.72 - -- 01101117 12131117 $82.89 3% $254.13 01101118 12131118 $85.37 3% -- 01101119 12131/19 $26175 - $8794 3% Reuben Tclemino, Team Leader and CM, Execurve /Manager $22619 -- - 01101115 12131115 $7599 NotApplcable $232.98 -- -- 01/01116 12131116 $78.27 3% $239.97 -- -- 01101117 12131117 $80.62 3% $247.17 01101118 12131118 $83.04 3% $254.58 01101119 12137119 $K53 3% Kathleen Brady, Team Leader, Execulive/Manager $255.78 -- - 01101115 12131115 $8593 Not Applicable $26345 -- 01101116 12131116 $8851 3% $271.36 - - 01101117 12131117 $91.16 3% $279.50 01101118 12131118 $93.90 3% $287.88 01101119 12131119 $96.71 3% Lisefte Bice, Assistant PM, Engineer $117.96 - - 01101116 12131115 $39.63 Not Applicable $12150 .; - 0 12/31116 $4082 3 %, $125.15 -- - 01/01117 12131117 $42.04 3% $728.90 -- - 01/01118 12131118 $43.30 3% 01/01119 12137179 $732.77 $44.60 3% 25M -105 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES (REP 14.037( COST PROPOSAL PRIME: PSOMAS SUBCONSULTANT: Attached Contract No.: Fringe Benefit Overhead General AdminisVatre, NORMAL 44,90% + 125.70% + 0.00% EXHIBIT IO -H Ch, of Santa Ana On-CaII Engineering Service¢ Page 2 of 2 Date: 113012015 Combined Indirect Cost Rate (ICR) 170.60% FEE %= 10.00% 1. Names and classfcaWns of consultant (key staff) team members must he listed. Provide separate sheeet for prime and all subconsullentflrms. 2, Billing rate= actual hourly rate' (1fICR)'(14 Fee) , Agreed upon billing rates are not adjustable for the term of contract 3, For named employees enter the actual hourly rate. For classifications only enter the average hourly rate for that classTcalion. Note: Denote all employees subject to prevailing wage with an asterisks' For "Other Direct CosP' Iising see page 2 25M -106 Effective date of Namogob TitlelClassification Hourly Billing Rate s' Hourly Rate Actual) Hourly Range Average % or$ for Classifications Straight OT 0.54 OT 24 From To H ought Rate' Increase only Brandon Gaunnoi CE Des igner ,Engineer $86.32 _ - 01101115 12131/15 $2900 Not Applicable $88.91 01/01116 12/31116 $29.87 3/ $91.58 -- - 01/01117 12/31117 $30.77 3% $9433 - 01IDV18 12131116 $3769 3% $97,16 01/01119 12131119 $32.64 1 3% Karen Nguyen, CE Designer, Engineer $86,77 - 01101115 _ 12/31115 $2915 Not Applicable $89,37 - -- 01/07116 12/31116 $3002 3% $92.05 01101117 12/31117 $30.93 3% $9481 -- - -, ,, 01/01118 12131118 $3185 3% $97.66 01/01119 12/31119 $32.81 3% Vincent Hollers, CE Designer, Engineer $97.90 - -- 01101115 12/31/15 $32.89 Not Applicable $100.84 „77, ., 011,01118 12131116 $3388 3% $103.86 -- -- 01/01117 12131117 $34.89 3% $106.98 -- -- 01101118 12131118 $3594 3% 01101119 12131119 $110.19 -- $37.02 3% John OlNer, CE Designer, Engineer $99.09 -- -- 01/01115 12131115 $33.29 Not Applicable $102.06 ' - :... 6 010 .�.�_. 12/31118 __. % ............... $105.13 - -- 01101/17 12131117 $35.32 3% $108.28 -- -- 01101118 12131118 $36.38 3% 01101119 12131119 $111.53 $37.47 3% Hugo Compares, CE Designer, Engineer $84.03 -- - 01101/15 12131115 $28.23 NotAppibable $86.55 -- -- 01101/16 12/31/16 $2908 3% $89.15 _ _ 01101/17 12/31117 $2995 3% $91.82 -- - 01101/18 12131/18 $30.85 3% 01101/19 12131119 $94.58 $31.77 3% Jacob Sharp, Project Manager, Executre /Manager $154.78 -- - 01/01/15 12131/15 $52.00 NotApplkable $159.43 -- - 01/01116 12/31/16 $53.56 3% $164.21 ., - 01101117 12131117 _ $5517 3% $169.14 -- - 01101118 12/31/18 $56,82 3% 01101119 12131/19 $174.21 $58,53 3% Joan Patronge Kelly, Biological Resource Manager $270.04 -- -- 01/01115 12/31/15 $9072 Not Applicable $278.14 -- -- 01101116 12131116 $93.44 3% $28648 „ -�,.,. 011,01117 12131117 _ $9624 3% $295,08 - -- 01101118 12/31118 $99.13 3% I 01101119 121311191 S303,93 $102.11 3% Irene Mendez Senior Project Manager ExecutivelManager $166.42 - - -.._ 01/01115 12131115 $5591 NotApplipa*,,,,., $171.41 01101116 12131116 $57.59 3/ $17656 �� 01/01117 12131/17 _ $5931 3% $181.85 - -- 01101118 12131118 $6109 9% - 01101/19 12131119 $187.31 $62.93 3% 12131115 $000 Not Appllpable,,,,,,, 01101116 12/31116 $0.00 3% 01101117 12131117 $0.00 3% 01101118 12/31/18 $000 3% 01/01/19 12/31119 $0.00 3/ 1. Names and classfcaWns of consultant (key staff) team members must he listed. Provide separate sheeet for prime and all subconsullentflrms. 2, Billing rate= actual hourly rate' (1fICR)'(14 Fee) , Agreed upon billing rates are not adjustable for the term of contract 3, For named employees enter the actual hourly rate. For classifications only enter the average hourly rate for that classTcalion. Note: Denote all employees subject to prevailing wage with an asterisks' For "Other Direct CosP' Iising see page 2 25M -106 EXHIBIT 10 -H City of Santa Ana On -Cell Engineering Services Page 1 of 1 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES (REP 14 -037) COST PROPOSAL PRIME: PSOMAS Contract No.: Date: 1 13012015 SCHEDULE OF OTHER DIRECT COST ITEMS Type of Expense Psomas Travel: Actual A. Arise x• B. Rental Car C. Personal Car D. Per Diem •• External Printing and Reproduction: Copying /Printing 81/2 "x11 "black and white Actual 11" x 17" black and while Actual 8 1/2" x 11" color Actual 11 "x 17" color Actual Delivery Services: Actual Miscellaneous: A. Actual IMPORTANT NOTES: 1. List direct cost items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentations. 2. Proposed items should be consistently billed directly to all clients (commerical entities, Federal govt., State Govt., and Local Govt. Agency), and not just when the client will pay for them as a direct cost. 3. Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate. 4. Items such as special tooling, will be reimbursed at actual cast with supporting documentation (invoice) 5. Item listed above that would be considered "tools of the trade" are not reimbursable as other direct cost. 6. Travel related costs should be pre- approved by the contracting agency. The rates should not exceed the State Department of Personnel Administration (DPA) requ 7. If mileage is charred. The rate should be properly supported by the consultant's calculations of their actual costs for company vehicles. In addition, the miles claimed should be supported by mileage logs. 8. If a consultant proposes rental costs for a vechicle, the company must demonstrate that this is their standard procedure for all of their contracts and that they do not own any vehicles that could be used for the same purpose. 25M -107 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES (RFP 14 -037) COST PROPOSAL PRIME: PSOMAS SUBCONSULTANT: Iterle, Inc. Contract No.: Fringe Benefit Overhead General Administration NORMAL 55.98% + 112.70% + 0.00% _ EXHIBIT 10 -H City of Banta Ana On {.all Engineering SaMCee Page 1 of 1 Date: 1/30/2015 Combined Indirect Cost Rate (ICR) 168.68% FEE % = 10.00% NamelJob Title /Classification' Hourly Billing Rates' Straight SIT (1.5x) OT (2x) Effective date of Hourly Rate From To Actuall Average Hourly Rate' %or$ Increase Hourly Range for Classifications off Bernard L'JAssociate Vice President $248,67 - 01101115 12131115 $84.14 _— __— Not Applicable _ _ _ $256.13 $263.82 -- _ __ —_ -- _ __ 01101116 01101177 —__ 12131116 12131117 $86.66 _$89.26 3% 3% $271.73 01101118 12131118 $91.94 3% _ $279.88 — 01101119 12131119 $94.70 3% Afoia Yang Renior Transportation Engineer ll $140.74 = _ __ 01101115_ 12131)15 __$47.62 --------Not Applicable _ $144.96 01101116 12131/16 $49.05 3% $149.37 $153.79 — -- 01101117 01101118 12131117 12131118 $50.52 $5204 3% 3% $158.40 01/01119 12131119 $53.60 3% Paul Frislie/Senior Transportation Engineer $144.58 $148.12 :- _ _ 01101115 01101/161 12131115 $48.92. $5039 _ 3% Not Applcable _ —_ —_ -- —_ —___ $153.39_ —__ —_ 01101117 _ 12131117_ $51.90 _3% _ _— _-- _ $157.99 0- 1101118 12/31118 $53.46 3% $162.73 01101/19 12131119 $55.06 3% 1. Names and classfications of consultant (key staff team members must be listed. Provide separate speech for prime and all subconsultant firms. 2. Billing rate = actual homy rate" (1dCR)1(1+Fee), Agreed upon billing rates are not adjustable for the term of contract. 3. For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Note. Denote all employees subject to prevailing wage with an asterisks' For "Other Direct Cost' using, see page 2 25M -108 EXHIBIT 10 -H City of Santa Ana On-Call Enginecring services Page 1 of 1 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES (RFP 14.037', COSTPROPOSAL PRIME: PSOMAS Contract No.: Date: 1130/2015 SCHEDULE OF OTHER DIRECT COST ITEMS Type of Expense - Psomas Iteris, Inc. Travel: Actual Actual A. Airfare " ** B. Rental Car " *" C. Personal Car "' $ 0.58 per mile D. Per Diem External Printing and Reproduction: Copying /Printing 81/2" x 11" black and white Actual Actual 11 "x 17" black and while Actual Actual 8 112" x 11" color Actual Actual 11 "x 17" color Actual Actual Delivery Services: Actual Actual Miscellaneous: A. Actual Actual IMPORTANT NOTES: 1. List direct cost items with estimated costs. These costs should be competitive in their respective Industries and supported with appropriate documentations. L. Proposed items should be consistently billed directly to all clients (Commerical entities, Federal govt., State (Jovt., and Local Govt. Agency), and not Just when the client will pay for them as a direct cost. 3. Items when incurred for the same purpose, In like circumstance, should not be included in any indirect cost pool or in the overhead rate. 4. Items such as special tooling, will be reimbursed at actual cost with supporting documentation (Invoice) 5. Item listed above that would be considered "tools of the trade" are not reimbursable as other direct cost. 6. Travel related costs should be pre- approved by the contracting agency. The rates should not exceed the State Department of Personnel Administration (DPA) requ 7. If mileage is blamed. The rate should be properly supported by the consultanfs calculations of their actual costs for company vehicles. In addition, the miles claimed should be supported by mileage lags. 8. If a consultant proposes rental costs for a vechicle, the company must demonstrate that this is their standard procedure for all of their contracts and that they do not own any vehicles that could be used for the same purpose. 25M -109 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES (RFP 1403]) COST PROPOSAL SDBCONSDLTANT: Lynn Capouya, Inc. Fringe Benefit Overhand NORMAL 0.00% + 0.00% EXWBIT la -u Cry or Santa Ana On-Call Engineering Sewrida Page 1 oft Contract ad, Date: 113012015 General Admindrou n Combined raddrab COSt Rate (ICR) 0.00% = 175.20% FEE % = 10.00% NamelJob TitlaCloadiflcatlon' Hourly Sllllng Rate.' Straight 01 1.Sx Of 2x Efiectivedateoi Hourly Rate From To Abdul Average Hourly Rat.' Y. Increase Hourly Range for Classifications only Lynn Depouya Principal in Charge $268.69 - - - - -- -- -- 01X7/15 01X1/19 01X1/17 01101118 12131115 MPH 12X7117 12/31118 $88.76 $93.20 $97.86 $102.75 $107.89 5% 6% 5% 5% Not Applicable $28213 $296.24 $311.05 $326.60 01101119 12/31119 Jane Decide Samar Project Manager $183.75 - - - - -- -- -- 01101115 01101116 01101117 01101118 12/31/15 12XV16 12131/17 12/31/18 $00.70 $63 .74 $66.92 $70.27 $73.78 6% 5% 5% 6% NotAppljcable _ $192.94 $202.59 $212,71 $22385 01X1/19 1231119 Gent' Ohta Pfcjact Manager $153,01 $171,17 - - - - -- -- - 01X1115 01/01/10 01IOV1] 01IOV10 1231115 12/31116 1231117 12131118 $53.85 $56.54 $59.37 $62.34 $65,46 $43,06 $45,21 $47,47 $49.85 $52.34 5% 5% 5% 5% Not Applicable $179,72 $168.71 $198.15 01X1/19 1231119 Soria Pay Project Designer /Landscape Archlted $130.35 - - - - - - - - 01/01/15 01/01/16 01101117 01101118 12131115 12131/18 12131117 12131/18 5% 5% 5% 5% Not Applicable $130.8] $143.71 $150.90 $158.44 01101119 1213VIg Ervin Parma, Project OeslgnerlLandecaps Architect $115.15 - - - - - -- -- - 01X7/15 01X1116 01101/17 01X1/18 12131/15 12/31118 12/31/17 12131/18 $38.04 $39.84 $41.94 $44.04 $46.2A 6% 5% 5% 5% Not Applicable $120.91 $126.96 $133.31 $139.97 01X AR 12/31119 Kevin Yamachlka Project peslgnerlLantluapa Architect $115.15 - - - - - -- - 01X1115 O1 /01110 01101/17 01RIMB 12/31115 12/31118 12X1117 12131116 538.04 $39.94 $41.94 $44.04 $49.24 5% 5% 5% 5% Not Applicable $720.91 $120.96 $133.31 $139.9] 01X1119 1231119 Gong Phui Call Irrigation Designer $122.84 - - - - -- -- -- 01X1115 01X1110 01101/17 01101/18 1231115 1231116 1231117 1231118 $40.58 $42.61 $44.74 $46.98 $4983 5% 5% 5% 5% Not Applicable $128,99 $135,44 $14221 $149,32 01/01119 12131118 Particle Lear Jab Captain $10220 - - - - - - - - 01101/15 611 01101117 01101118 12131115 12131116 12131/17 12131/18 $33.76 .$35,45 $37.22 $39.08 $41.04 5% 5% 5% 5% Not Applicable $107.31 $112.67 $116.31 $124.22 01101119 12137/79 Kan Curb Job Captain $96.87 - - - - - -- -- 001115 01X7/16 01X1/17 01X1/16 12/31/15 12/31/16 12137/77 12131118 $32.00 $33.60 $35.28 $37.04 $36.90 5% 5% 5% 1 5% Not Applicable $101.71 5106.80 $112.14 $117.75 01X1/19 12131119 Sam Ork Design Stag 11 $90.62 - - - - -- -- - 01101115 01101116 OW /17 01101/18 12/31/15 12/31/16 7231/17 12/31118 $30.00 $31.50 $33.08 $34.73 $36.47 5% 5% 5% 5% Not Applicable $95.36 $100.12 $105.13 $11089 01X1/19 121 1119 Joshua Van Late Design Staff ll $]285 - - - - - -- - 01X1115 01/01/10 0110111] 01101/18 1231/15 11/31/16 1231/17 1231/18 $24,00 $25.20 $26.45 $27.78 $29.17 5% 5% 5% 5% Not Applicable $7628 $80.10 $84.70 $88.31 01X1/19 12131/19 1, Names end olassfinallons of consultant less slag) team members must be listed. Provide separate sheeel for pnme and all sub 2, Blllin,cm,= aged hand, rate` 1- EFtel.Fee). Agreed upon billing rates are not adjustable for the tan ofogimot 3. For named employee. enter the actual hourly rate. For dessf efns only enter the avarege hourly rate for that calculation. Note' -O l y leol.cpmvailfng wage wllh an esledaks` -Far 'Oth.,Dlyd d '11,1ng sae page2 25M -110 EXHIBIT 10 -H City of Santa Ana On -Call Engineering Services Page 1 of 1 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES (RFP 14 -037) COSTPROPOSAL PRIME: PSOMAS Contract No.: Date: 1/3 012 01 6 SCHEDULE OF OTHER DIRECT COST ITEMS Type of Expense Lynn Capouya, Inc. Travel: A. Airfare B. Rental Car C. Personal Car D. Per Diem External Printing and Reproduction: Copying /Printing 8 1/2" x 11" black and white $0.15 sheet 11" x 17" black and white $0.15 sheet 8 1/2" x 11 "color $0.15 sheet 11 "x 17" color $0.15 sheet Delivery Services: Cost +10 Miscellaneous: A. IMPORTANT NOTES: 1. List direct cost Items with estimated costs. These costs should be competitive In their respective Industries and supported with appropriate documentations. 2. Proposed items should be consistently billed directly to all clients (commerical entitles, Federal govt., State Govt., and Local Govt. Agency), and notjust when the client will pay for them as a direct cost. 3. Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate. 4. Items such as special tooling, will be reimbursed at actual cost with supporting documentation (invoice) 5. Item listed above that would be considered "tools of the trade" are not reimbursable as other direct cost. 6. Travel related coats should be pre - approved by the contracting agency. The rates should not exceed the State Department of Personnel Administration (DPA) required 7. if mileage is charred. The rata should be properly supported by the consultant's calculations of their actual costs for company vehicles. In addition, the miles claimed should be supported by mileage logs. B. If a consultant proposes rental costs for a vechicle, the company must demonstrate that this is their standard procedure for all of their contracts and that they do not own any vehicles that could be used for the same purpose. 25M -111 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES (REP 14 -037) COSTPROPOSAL PRIME: PSOMAS SUBCONSULTANT: PETRA STRUCTURAL ENGINEERS Contract No.: Fringe Benefit Overhead General Adminish'agon NORMAL 48.00% + 98,00% + 10.00% EXHIBIT 1a -H clry of Santa zns on -cell Engineering services Peg. 1 air Date: 119012015 Combined Indirect Cost Rate (ICR) 156.00% FEE % = 10.00% t. Names and Classfmations of consultant (key staff team members must be listed, Provide separate shedder for prime and all subconsultant fins. 2. Billing raft= actual hourly rate' (1dCR)'(1iPee) , Agreed upon billing rates are not adjustable for the term of contract. 3. For named employees enter the actual hourly rate, For classifications only, enter the average hourly rate for that classifcaeon. Note: Denote all employees subject to prevailing wage with an asterisks' For "Other Direct Cost" Using, see page 2 25M -112 Effective date of drool TitlelClassifical Hardy Billing Rates' Hardy Rate Achall Hourly Range Average % or$ for ClassiReations Strai ht OT 1.54 OT 2x From To Hourly Rate' Increase only PETER SARKIS PRINCIPAL $211.20 ,,,,,,,,, -,,,, ,.01101115„ 12131115,.,...., $75.00,,,_,,,,.,.,, .,.... Not Applicable„.„., $221.76 - - 01101116 12131116 $78.75 5% $232.85 - - 01101117 12131117 $82.69 5% ............. ........._... ....,....,._ .................. $244.49.,.... - ....... 01101178 12131118 $256.71 01101119 1931119 $9115 5% Sean Gallemore, Project engineer $112.64 - - 01/01115 12131115 540,00 Not Applicable $118.27 - - 01101116 12131116 642,00 5% ............. $12x19 .... _. - ., 01101117 11131117 $44 10 ......5 %.. ............. .............. ................. $130.39 -- - 01AVIS 12131118 $4631 $136.91 01101/191 12/31119 $48.62 5% Rigo Lure, Project drafter $95.74 - - 01101115 12131115 $34.00 Not Applicable ....,........._. $100.53.,_., 77. ... ........7.... ...._...._. ............. ............._.. $105.56.,.... .... .._.....r.... 011,01117.. 12131117........ $3749....._5 ° / <.. ........,.,,... ........... ...._.... _. ........... ....... _.....,.,,, $110.84 -- - 01101118 12131118 $39.36 5% 01107119 12131119 $116.36 $41.33 S% $0.00 ,..,01107115 12131115,,.,..,. $0.00 -- - 01101116 1931/16 $oon $0.00 - 01107117 12131117 $0.00 $0.00 -- - 01107118 12OW8 $0.00 01101119 72137/79 S0.001 $0.00 $0.00 - 01101115 12131115 $000 Not App llcable___ $0.00 -- - 01101116 12/31116 $100 $0.00 -- - 01101117 12131117 $0.00 ................. $0.00....,. - 01101/18 12/31118 ........... .,,.,,.,..,. $0.00 01107119 12131119 $0.00 $0.00 -- - 01101)75 1931115 $0.00 Not Applicable $0,00 - - 01101)76 12131/15 $0.00 ................ .... .............. ................. $0,00...... ... ..,....,-..,. 01101117 $000 .,,......,,_ $0,00 - - 01101118 12131/18 $000 $0.00 01101119 12131119 $0.00 _._ $0.00 .. - _... 0110111 5 - 12131115 $000 _. - Not Applicable - _..._ _.__. _......._ ......... $000...... ..-..,. 01101176.. ..12131116....... $000............ ......_ ..... ................ .............. MSG .. -_.. 01101177 12131117 _. $000 $0.00 - 0101178 12131178 $0.00 011011191 12131119 $0.00 $0.00 $0.00 ..., .C... .... „07101175 „ 72131175....,.. loop Not Applicable,,,, „, .......... __._. __. $0.00 ..- -.... 01101!16 12131176 __..... $0.00 - 01101117 12131117 It $0.00 - - 01101118 12131118 $0.00 01101119 12131119 $0.00 $0.00 $0.00 -._ 01101115 12131115 Not Applicable_. $0.00 -- - 07/01116 12131116 $0.00 $0.00 -- - 01107117 72131117 $000 .... ...,. _, $000 . - 01/07118 12131118,,,__, 5000 .,. $0.00 -- - 01/07119 72131179 $0.00 t. Names and Classfmations of consultant (key staff team members must be listed, Provide separate shedder for prime and all subconsultant fins. 2. Billing raft= actual hourly rate' (1dCR)'(1iPee) , Agreed upon billing rates are not adjustable for the term of contract. 3. For named employees enter the actual hourly rate, For classifications only, enter the average hourly rate for that classifcaeon. Note: Denote all employees subject to prevailing wage with an asterisks' For "Other Direct Cost" Using, see page 2 25M -112 EXHIBIT 10 -H City of Santa Ana On -Call Engineering Services Page 1 of 1 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES (RFP 14 -037) COSTPROPOSAL PRIME: PSOMAS Contract No.: Date: 113012015 SCHEDULE OF OTHER DIRECT COST ITEMS Type of Expense Petra Structural Engineers Travel: Actual A. Airfare '^ B. Rental Car ** C. Personal Car '^ D. Per Diem ** External Printing and Reproduction: Copying /Printing 8 1/2" x 11" black and while Actual 11 "x 17" black and white Actual 8 1/2 "x 11" color Actual 11 "x 17" color Actual Delivery Services: Actual Miscellaneous: A. Actual IMPORTANT NOTES: 1. List direct cost items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentations. 2. Proposed items should be consistently billed directly to all clients (commerical entities, Federal govt., State Govt., and Local Govt. Agency), and not just when the client will pay for them as a direct cost. 3. Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate. 4. Items such as special tooling, will be reimbursed at actual cost with supporting documentation (invoice) 5. Item listed above that would be considered "tools of the trade" are not reimbursable as other direct cost. 6. Travel related costs should be pre - approved by the contracting agency. The rates should not exceed the State Department of Personnel Administration (DPA) requin 7. If mileage is claimed. The rate should be properly supported by the consultant's calculations of their actual costs for company vehicles. In addtion, the miles claimed should be supported by mileage logs. B. If a consultant proposes rental costs for a vechicle, the company must demonstrate that this is their standard procedure for all of their contracts and that they do not awn any vehicles that could be used for the same purpose. 25M -113 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 11114 -037) COSTPROPOSAL PRIME: PSOMAS SUBCONSULTANT: P2S Engineering, Inc. Contract No.: C000000 EXHIBIT 10 -H On, of Santa Ana On -CaY Engineering Services Page 1 of 1 Dale: 113012015 Fringe Benefit Overhead General Administration Combined Indirect Cost Rate III NORMAL 27.00% + 135.00% + 25.00% 187.00% FEE %= 15.00% t. Names and classficatons of consultant (key stag team members must be listed. Provide separate breach for prime and all subconsultant hums. 2. Billing rate = actual hourly rate' (141CR)'(1 -Fee). Agreed upon billing rates are not adjustable for the term of contract. 3, For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Note, • Denote all employees subject to prevailing wage with an asterisks" For "Other Direct Cost'lising, see page 2 25M -114 Effecgve dale of Nametion, TitlelClassiffcationl Hourly Billing Rates' Hourly Rate Actuall Hourly Range Average % or $ for Classifications Straight OT H.5kH OT 2x From To Hourly Rate' Increase and Aravind Batra/Prmmpa,),Engineer $250,84, ., .... , -_„ 01101115,. 12131115 _$.76.00 Applicable $260,87 -- — 01101/16 12/31116 $79.04 4% $271.31 -- — 01101/17 12/31117 $82.20 4% $282.16 01101/18 12/31118 $85.49 4% Thomas Swan Engineer Grade 04 $216.18 ._, -1111 01101115 12137115 $6550 Not Applicable $224.83 -- — 01/01116 12137116 $68.12 4% $233.82 -- — 01/01117 12131117 $70.84 4% $243.18 07107118 12131/16 $73.68 4% Malaga Jackson /Deslgn Engineer Grade 02 1111 $134.33 _ „ — 01101115 _ 12/31/15 1111_ $40.70, Not Applicable. $139.70 — — 01101116 12/31116 $42.33 4% $145.29 — — 01101117 12/31117 $44.02 4% $151.10 01101118 12)31118 $45.78 4% NIen SlylDesgn Engineer Grade 0l . a $118.32 -' _. -1111 01101116 0111_ .. 12131115 $3685 Not .Applicable __.. $123.06 ,1111— 01101/76 12131116 _. 4% 1111__. 1111_ $727.98 - 01101177 12)31)17 $38.78 4% $133.10 01101118 12)31)10 $40.33 4% t. Names and classficatons of consultant (key stag team members must be listed. Provide separate breach for prime and all subconsultant hums. 2. Billing rate = actual hourly rate' (141CR)'(1 -Fee). Agreed upon billing rates are not adjustable for the term of contract. 3, For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Note, • Denote all employees subject to prevailing wage with an asterisks" For "Other Direct Cost'lising, see page 2 25M -114 EXHIBIT 10-H City of Santa Ana On -Call Engineering Services Page 1 of 1 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES (RFP 14 -037) COSTPROPOSAL PRIME: PSOMAS Contract No.: C000000 Date: 113012015 SCHEDULE OF OTHER DIRECT COST ITEMS Type of Expense P2S Engineering Travel: Actual A. Airfare B. Rental Car C. Personal Car ** D. Per Diem External Printing and Reproduction: Copying /Printing 81/2" x 11" black and white Actual 11 "x 17" black and white Actual B 1/2" x 11" color Actual 11 "x 17" color Actual Delivery Services: Actual Miscellaneous: A. Actual IMPORTANT NOTES: 1. List direct cost items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentations. 2. Proposed items should be consistently billed directly to all clients (commerical entities, Federal govt., Slate Govt., and Local Govt. Agency), and notjust when the client will pay for them as a direct cost. 3. Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or In the overhead rate. 4. Items such as special tooling, will be reimbursed at actual cost with supporting documentallon (invoice) 5. Item listed above that would be considered "tools of the trade" are not reimbursable as other direct cost. 6. Travel related costs should be pre- approved by the contracting agency. The rates should not exceed the State Department of Personnel Administration (DPA) require 7. If mileage is planned. The rate should be properly supported by the consultant's calculations of their actual costs for company vehicles. In opinion, the miles claimed should be supported by mileage logs. B. If a consultant proposes rental costs for a vechicle, the company must demonstrate that this Is their standard procedure for all of their contracts and that they do not own any vehicles that could be used for the same purpose. 25M -115 MIDT I&H Pope 1 .11 CITY OF SANTA ANA ON-CALL ENGINEERING SERVICES (RFP 14-037) COST PROPOSAL PRIME: PSOMAS SUBCONSULTANT: LAEAvaroclatoa,fint. (LAE) Contrad No.: Prop, Benefit Overhead GenodAdmInistuallan NORMAL Q.DD% 175.00% 040% Order V112016 Corrunined Infivact Cost Ruder ([OR) 175.00% FEE%= 9.50% 1. Name; and team Manlove must be Ilsted. Provide separate abseethow prime and an subcomeniand burns Z Billen; nae - actual houldf rate* 0-ICRY(I400). Agreed upon Who name are net adjusuntra for the tan of contmet 3, For owed ompkrmas enter the anbed bout rate. For clamifflersions cm1b,, enter the average heart, rate for thad cloWflerbam. Note: Debate all empWan ubjut to prevalkV wage with a murrisk; F,-OmerOmcCmrWrf. sae page 2 25M -116 Effedve date of NamefJob Howit, BillIng pal Nearly Rate Actumil Hourt, Range Average Y.wS farclaselficamrs straight OT 0.54 or GO From TO Hourly Raw Increase an Fred Alamogwtla, 8 n 'm $15D.00 - 01101115 01101115 1701116 $50.00 $155.00 01"Ift .. 01)01116 -0- 12J31116 3% . . .... . .... ...... --------- - ------- 5159.00 .... . h01T OV01117 I! IN31117 $53.05 3% 1010 $164.00 01101118 12131118 $54.64 3% $169.00 I 01mills 12131119 $56.28 3% San AVd.9 Pappam Coordinator $6000 0I111I5 12131115 $20.00 NotAmbeable $0100 01101116 17131116 $2060 3% $6340 01101/17 12131117 $21.22 -.3% $65.00 01101118 17/31118 $21.05 ---F22 3% -3%- 167.00 0110111110111 9 1713119 5-1 50.00 01FOU15 I7J3VI5 $0.00 - ------------- $0.00 - - 0117118 17/31116 $0.00 - ------------- - . . ..... $0.0 01401117 IT31117 $0.00 ... . .... . .... . .......... ..... . . ............ ..... . $0.00 ...... OhOW8 12131118 $0.00 ... . . ............ $0.00 - DIM1119 12131119 $0.00 - 0101115 12131115 $0.00 .......... . Nunn IQ $0.00 01101/16 17131118 $000 WDO ------------- $000 $0.00 0101116 12131118 S50 $0A 0111A9 120119 50.00 $0.00 0101115 12131115 1010 50.00 NolfilmlimWe $0.00 1010 011111116 121311fil $0.00 50.00 $0.00 011111/17 12011ilf 50.00 -.10,00 001118 1701118 $0.00 01101119 12131119 iiii Itum 01101115 ---LOM. N . _01 Appa2n_... . ............. . . 1000 . . ... . ... . .. ............ . . _111tLl 21Iji � 1101. -------- ...... --- ---- 7 317 ... $0.00 „_......... so 00 7 10-.. _........___._._........_,.,.,. 0MV18 12rdi/18 $0.0 $0,00 . ......... $0,00 011911191 12)31/19 $0.00 $0.00 0110VIS $0.00 -Mt 50.00 01101/15 12f31116 50I00 01411117 IPJ31117 $0.00 $0.00 MUM 12131118 ___50.DD SO.DO OV01119 12131119 101101119 $0.0) 01101115 120115 -- $0.00 $0.00 01101116 1201116 __..__$0.00 $0.00 7 Ili $0.00 avollia IPJ31118 50.00 X00 - 1101__ - 1111....,...- 12131/19 KDO SUB - -1111...1101 0111 /15 12al/16 01,01110 12(31116 0.00 10.DD $000 11 1011 - 1101..- 1101 1111., �117 $040 $0.00 OV01118 IV31116 $0.00 $0.00 01101119 11/31119 50.00 $0.00 1111116 111115 $O.DO NA AW-bID - $0.00 -_ -- 11/31/16 (F $O.DO $0.00 17131117 - ------ $0.00 1010 OVDVIB 1231118 1010 $0.00 $0.00 01111I9 1211119 $QOD 1. Name; and team Manlove must be Ilsted. Provide separate abseethow prime and an subcomeniand burns Z Billen; nae - actual houldf rate* 0-ICRY(I400). Agreed upon Who name are net adjusuntra for the tan of contmet 3, For owed ompkrmas enter the anbed bout rate. For clamifflersions cm1b,, enter the average heart, rate for thad cloWflerbam. Note: Debate all empWan ubjut to prevalkV wage with a murrisk; F,-OmerOmcCmrWrf. sae page 2 25M -116 EXHIBIT 10.H Page 1 of 1 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES (RFP 14-037) COSTPROPOSAL PRIME: PSOMAS Contract I Date: 21112010 SCHEDULE OF OTHER DIRECT COST ITEMS Type of Expense LAE Travel: Actual A. Airfare B. Rental Car •• C. Personal Car •• D. Per Diem •' External Printing and Reproduction: CopyinglPdngng 812" x 11" black and white Actual 11" x 1r black and white Actual 812" x 11 "color Actual 11 "x 17" color Actual Delivery Services: Actual Miscellaneous: A. Actual IMPORTANT NOTES: 1. List direct cost Items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentations. 2. Proposed Items should be consistently billed directly to all clients (commerical entities, Federal govt., Stale GovL, and Local Govt Agency), and not just when the client will pay for them as a direct 0081. 3. Items when Incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate, 4. Items such as special tcoling, will be reimbursed at actual cost with supporting documentation (invoice) 8. Item listed above that would be considered "tools of the trade" are not reimbursable as other direct cost. e. Travel related costs should be pre - approved by the contracting agency. The rates should not exceed the State Department of Personnel Administration (DPA) root 7. It mileage is c iamed. The rate should be property supported by the consuhant's calculations of their actual costs for company vehicles. In Water, the miles claimed should be supported by mileage lags. 8. If a consultant proposes rental costs for a vechicle, the company must demonstrate that this is their standard procedure for all of their contracts and that they do not own any vehicles that could be used for the same purpose. 25M -117 x� ov m� x• o 0 YC v N Lr7 � •gyp M U G � ro ❑ W U � 0 O di U a Q b u � O � O � � v z o P. U O rn Z II W U V N � � o Q � b Q � U d id V N ®¢ z c7 U � F C W O F U_ O o •p U � b III��GIII U � >w U Oe z ° = M v y o L 9 d � r ao ®o ^� C H r•y o W Uw L O A w 0 5F W z 0 Q U U C F a C C L C a C 0 (CC0 rroj �+ N v o w o o xo� 69 ro p o e o 0 o e o 0 o e o o e o 0 0 aU. U O O O O O O O O O O O O O O O O o �h i lr�h i h L T Vl 01 vl 7 l� V 00 rn N CO O 00 N Y �' 00 b h h l� Vl O W O h b N In t1 r rn Qf h o0 M b T M 01 iD W N U a V a\ M Ni rn M mM In h to O N IN In b co r. M b fn b O d ..' 64 H3 69 69 fA � fA fig 69 69 V3 Y3 64 H3 69 69 69 (fi 64 69 69 ER (f] 69 b- w b h- b- to b l- to b t� W tD h m b l� tp 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 T N N N N N N N N N N N N N N N N N N N N N N N N Fes. r� r� r� \'. r� r\ r- r\ M —n r— - c— — r� r� � In In r� r\ w 0 0 0 0 ti 0 0 0 0 0 0 0 0 0 - 0 0 0 0 0 0 0 0 0 0 0 0 n b b .-� �--i ti .-r .-i r-i .-� O O O O O 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N N N N N N N W w 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N N N N N N N N N N N N N N N N N N N N N N N N 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 4 6A Vi ff3 69 (.9 Ef3 ffi 69 V3 69 6A Vi Vi F�49 Vi fH 69 b9 69 V? Vj 64 ff3 4% i OmO t`O N hh ODD --� rnO V �D OIL G1 vi b Nd'O I I rnG oo hrO rM tb �.: b �nNO ti M rn b O In O In In � 69 69 V3 H3 69 Yf FA 69 69 Y3 64 69 69 69 69 69 69 6q 6R Y3 64 69 69 69 b N tp N b (V O b rn rn 01 DO V1 l� O r f� oo b O ti �In� � va sNS SNS��v3 ss ss z^s��sn v�vi z°a cn zn v�si �n ti 4' w❑ W W v W C ,c b GA C F" U U > U 4 ❑dam, U C� >... bp C CW.B c ro��+ bq � .'� m .. LU 2 y YO f+ W ` •� �6Lla'C7P.w0.Lla..rGTvCOD ffi Vyl r°-'C] °mil Wa'F 25M -118 Y. c 0 U P � N O ^ U R% ro U � O � 0 R C Y W N O N a� m U T o '9 N O ro u N N � � N � � T a � p U � � W y OA y ai Y d O w F`' � ro T iF T U P V vU 0 tC o yv, d m 0 W •t�� T L ti au � E z3mw °« °c Q .. N rn* w 0 v bA 0. rl Q M '1 P. .i EXr lg -H City of Los Angeles Bureau of Engineering Pegs I of 1 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES (RFP 14 -037) COSTPROPOSAL PRIME: PSOMAS SUBCONSULTANT: LaBelle Marvin, Inc. Contract No.: auto: 113012015 Fringe Benefit Overhead General Administration Combined Indirect Cost Rate(ICR) NORMAL 0.00% + 0.00% + 0.00% = 0.00% FEE % = 0,00% 1. Names and classficarm s of consultant (key und) team members must be listed. Provide separate sheeet for prime and all subconsultant firms, 2. Billing rata = actual hourly mte' (I lCR)`(i 4ee). Agreed upon billing rates are not adjustable for the term of contract 3. For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Note, Denote all employees subject to prevailing wage with an asterisks • For "Other Direct CosP lising, see page 2 25M -119 Effective date of Nameflob TltlalClassificagonl Hourly Billing Rate,' Hourly Rate Actual/ Hourly Range Average % or$ for Classification Straight OT (1.5x) OT (2x) From To Hourly Rate' Increase only Steven R, Marvin, Principal Engineer $225.00 - - 01101115 12131115 $225.00 $225.00 - - 01101116 12131116 $225.00 ...... 0% .._ ............ ............... ................ .. _....,.. _. 5225.00 ....... -.. 5555.- ,5555.., 01101/17 ,1118,5555.. 12131117 $2..5.00 - 55$20_ 0% $225.00 '........ 01107118 .,. 72137178 ..........$ .. $225.00 - " " " " " " -- 0% ....,....,,...,,......,.. $225.00 5555.0.. 01101119 12131119 .......__ $225.0.. $225.00 0- " " " -_- 0% .___...___. Edward S. Perez, Project Engineer $175.00 - - 01101115 12131175 $1]5.00 0% Not Applicable .............. ................ ........................$2555._ $175.00 - 01101116 12131116 $175.00 --------------- - 0% $7]5.00 ......C.. ......., '....._. .. ,1/17,5555,. 01101117 5555.........._.. 7213717] 5555.. $1]5.00 ...._.. 0% .. .., .... ,......... , ......'.. .. 01101118 5$255.. 72137118 ......... _. ...... $175.00 --- " " " " -- 0% __._...__. $175.00 01101119 12137179 $7]5.00 ---- - - -"'" 05$25 0% Gri R, Marvin Engineering Aide .. ........ .. .,. $745.00 - ..._..... - 01101115 ,516,5555,. 72137115 516....._...$ $145.00.[ 0% Not Applicable ...,.,.,, $745.00 -.. '........ 01101/18 72137116 $746.00 0% ........._ __.__ __... ___.. $745.00 $2555. - - ' 0110711] _.__ 72137177 _.__.$14... $745.00 .......... 0% ...._. $145.00 - - 01101118 1 2131178 $145.00 0% $745.00 01101119 12137119 $745.00 _ ... .......... 0% Griffin R. Marvin, GPR Analysis __..... ........ ....__.. $145.00 01107115 12137115 $145.00 0% --- " " - " -- Not Applicable $145.00 - - 01107116 12137116 $745.00 0% ...._......... $145.00 - - 01/01/17 12131/17 $145.90 o% ................. ..,.,.,....,. .,.,....,..., .,.,.,.,,.,.,... $145.00 -.. C_...... 07107118 12131118 $145.00 --------------- 0% $14e.0o 5555... 5555... svovls 12131/19 .._........ 5555 s14e.90 --- -_ - " -- 9% .. .,...,,.......,.,...... Orihin R. Marvin, FWD Analysis $145.00 - - 07107115 12137115 $145.00 0% $2000-- " - " " -- Not Applicable $145.00 - - ovolns 1213v1s s145.90 9% .........._..... . . .... .................. _._........_ $745.00 ......,.,., 01107117 1213711] $745.00 - 0000 0055.. $145.00 _. -.. 55 55r..._... 1...1.1.8....,..... 01101118 ..,......,.$ 12131118 3145,00 -- --- 0000-- 0% ..., ......._..._....... $2555... ........ ..___. _.__.. $745.00 01101119 12137119 $745.00 - -- $2000 -- 0% _ .............. Technician $80.00 - - 07107115 12131115 $80,00 0% Not Applicable $eo.0o 07107116 16 $8000 0- $00.00 0710 1117 12 zr371ni] $80,00 0% . 01101f1B _..... 12131118 $80.00 0% $80.00 01101119 12131119 $80.00 ------ - - - -- 0 % 0% Report Pre(,,,,, ,,,,,,,,,,,,,,,,,, ,,,,,,,,,,,,,,,,,, ,,,,,,,,,,,,,, $70.00 - - 07107115 12/31/15.,,,.,..... $7000 0% Not Applicable,,,.,,, ,, $70.00 5555 ........ - 55,55.. 01101116 5555,., ... 12131116 570.00 - - - - -- 0% $70.00 ......'.. - ........ - 01101117 12/31117 $70.00 $70.00 0% $70,00 - - 01107118 12131178 $70.00 ----------""""- - 0% $70.00 01101178 12131179 $70.00 0% FWD Tech Recorder .......... $80.00 - - o7107115 5$2$25. 12131115 $80.00 0% __........ Not Applicable $80.00 - - 01101/16 12131178 .....__....... $80.00 0% __._.....__. $80.00 - - 0110111] 12/31/1] $80.00 -------- " " " " -- 0% _ .... .. ................ $80.00 - 01101/78 12131/70 $80.00 .-.--------.""- - 0% $80.00 ........ 07107/79 12131179 $80.00 0% 0% _....................._ Consider BoringwlTech $240.00 - - 01101175 12131175 $240.00 0% Not Applicable $240.00 - - 01/91116 lvmns $249.00 0% ........... ............. $zao.0o .. . ... - 1213n1 - - -o -.-% --_ ......... ..... ....... ..... $240.00 $za9.00 _..::.. 555$2 .a. .9011 8 .. O1/9111e ....... 1v1 .e .............._.$_2, $246.66 ------ .- .......__._.......... 5240.00 01)91119 12/31119 24490..00.0 . $240.00 000^r0-, -- -- - o ^r, ....._. Field Technician wee Nuclear Gauge $80.00 - - 01)(1115 12131115 $80.00 0% ------- " " " " -- Not Applicable .., .... ,5, _,......,..,_... .. ...._.__,...,. $80005555...: f.. .. .._'....,... 01101116 12131116.........._%8000 0% $80.00 07)01117 7213117] $80.00 0% $80.00 - - 01101118 12137178 $80 00 0% 07101119 72131179 $80.00 $80.00 0% 1. Names and classficarm s of consultant (key und) team members must be listed. Provide separate sheeet for prime and all subconsultant firms, 2. Billing rata = actual hourly mte' (I lCR)`(i 4ee). Agreed upon billing rates are not adjustable for the term of contract 3. For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Note, Denote all employees subject to prevailing wage with an asterisks • For "Other Direct CosP lising, see page 2 25M -119 EXHIBIT 10.H City of Los Angeles Bureau of Engineering Page 1 of 1 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES (RFP 14 -037 COSTPROPOSAL PRIME: PSOMAS Contract No.: Date: 113012015 SCHEDULE. ON OTHER DIRECT COST ITEMS Type of Expense PsomasLaBe Ile Marvin, Inc. Travel: Actual A. Airfare ** B. Rental Car ** C. Personal Car «« D. Per Diem External Printing and Reproduction: Copying /Printing 8 1/2" x I V black and white Actual I V x 17" black and while Actual 8 1/2" x 11 "prior Actual 11" x 17" color Actual Delivery Services: Actual Miscellaneous. A. Actual IMPORTANT NOTES: 1. List direct cost items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentations. 2. Proposed Items should be consistently billed directly to all clients (commerical entitles, Federal govt., State Govt., and Local Govt. Agency), and nctjust when the client will pay for them as a direct cost. 3. Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cast pool or In the overhead rate. 4. Items such as special tooling, will be reimbursed at actual cost with supporting documentation (invoice) 5. Item listed above that would be considered "tools of the trade" are not reimbursable as other direct cost. 6. Travel related costs should be pre - approved by the contracting agency. The rates should not exceed the Stale Department of Personnel Administration (DPA) requiren 7. If mileage Is charred. The rate should be properly supported by the consultant's calculations of their actual costs for company vehicles. In addition, the miles claimed should be supported by mileage logs. B. If a consultant proposes rental costs for a vechlcle, the company must demonstrate that this is their standard procedure for all of their contracts and that they do not awn any vehicles that could be used for the same purpose. 25M -120 EXHIBIT 10 -K 25M -121 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -OB 13 -07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found at http:/f)vww. dot. ea. govAaq/ LoealProgranis /DLA_OBIDLA_OB.htm'in lieu of this form.) Certification of Final Indirect Costs: Consultant Fhm Name: Psomas Indirect Cost Rate: 170.60% * for fiscal period 01/01/2013 to 12/31/2013 (mm /dd /yyyy to mm /dd/yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: Project Number: RFP No. 14 -037 I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2, This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ 99 Million and the number of states in which the firm does business is 3 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP 15 -01 January 14,2015 25M -122 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 —Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ _31.500 _ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ 200 0� 00 Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary) Consultant Certifying (Print Name and Title): Consultant Certification Signature * *: Date of Certification (m1n/dd /yyyy): 01/29/2015 y Consultant Contact Information: Email: nl yrialcoudis@psomas.com Phone number: * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Nate: Per 23 U.S.C. 112(b)(2)(B), Subconsultmats must comply with the FAR Cost Principles contained in 48 CFR, Pmt 31, 23 CFR Part 1723 Definitions state: Consultant means the individual or firm providing engineering and design related services as a party to the contract. Therefore, sulbconsultants as parties of a contract nnust complete a Certification and send originals to A&I and keep copies in Local Agency Project Files. Distribution; 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files Page 2 of 2 UP 15 -01 25M-123 January 14, 2015 25M -124 F.XHBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -OB 13 -07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found at hitp.11 www. (lot ca. gov1 hq/ Loca1Programs 1DLA_OBIDLA_OB.htrn in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: Iteris, Inc. Indirect Cost Rate: $168.68% * for fiscal period 04/01/2013 - 03/31 /2014 ( mm/dd/yyyy to mm/dd/yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract N umber: Project Number: RFP No. 14 -037 I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. CertificationofFinancial Management System: 1, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certificationof Dollar Amount for all Ac&EContracts: I, the undersigned, certify that the approximate dollar amount of all A&E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $_10,652,834_ and the number of states in which the frm does business is 42 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page] of 2 LPP 15 -01 January 14, 2015 25M -125 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 1 Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ 4,500 Prime Consultants (ifapplicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional pageif necessary): M Consultant Certifying (Print Name and Title): Name: Ramin Massoumi Title: Vice President Consultant Certification Signature Date of Certification (mm/dd/yyyy): 01/30/2015 Consultant Contact Information: Email: rmm @iteris,com Phone number: (949) 270 -9527 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Sub e..... hams must comply with the FAR Cost Principles contained in 48 CFR, ],art 31. 23 CFR Part 1723 Definitions state: Consultant means 9re individual orfirm providingenglneering and design related services as a party to the contract. Therefore, subconsultants as parties of a contract must complete a certification and send originals to A&] and keep copies in Local Agency Project files. Distribution: 1) Original to Cahrans Audits and avestigations 2) Retained in Local Agency Project Files UP 15 -01 25M -126 Page 2 of 2 January 14,2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of DLA -0B 13 -07- Safe Harbor Indirect Cost Rate for Consultant Contracts found at http: / /www. dot. ca. gov/ hq/ EocalProgrants IDLA_OBIDLA_OB.htm in lieu ofthisform.) Certification of Final Indirect Costs: Consultant Firm Name: Lynn pouya, Inc. Indirect Cost Rate: 175.2% * for fiscal period 09/01/2013 to 08/31/14 (mm /dd /yyyy to mm /dd /yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: Project Number: RFP No. 14 -037 I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: 1, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ 2,571,000 and the number of states in which the firm does business is one (1) California. Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP 15 -01 January 14, 2015 25M -127 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ 4,500 Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary) Consultant Certifying (Print Name and Title): Name: Lvnn Capouva Title: President Consultant Certification Signature * *: Date of Certification (mm /dd /yyyy): 01/30/2015 Consultant Contact Information: Email: 1 nn leaoouvacom Phone number: (949) 756 -0150 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S. C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31. 23 CFR Part 172.3 Definitions state: Consultant means the individual or firm providing engineering and design related services as a party to the contract. Therefore, subconsultants as parties of a contract must complete a certification and send originals to A&1 and keep copies in Local Agency Project Files, Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files Page 2 of 2 LPP 15 -01 January 14, 2015 25M -128 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of DLA -OB 13 -07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found at http: / /www.dot.ca. goy/ hq/ LocalPrograms/DLA_OB/DLA_OB.htm in lieu of thisform.) Certification of Final Indirect Costs: Consultant Firm Name: PETRA STRUCTURAL ENGINEERS Indirect Cost Rate: 156 %_ * for fiscal period 01/01/2015 TO 12/31/2015 *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: Project Number: RFP No. 14 -037 I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final ,Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $_50,000 and the number of states in which the firm does business is 1 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP 15 -01 January 14, 2015 25M -129 Local Assistance Procedures Manual EYHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terns of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ 4.500 Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary) Consultant Certifying (Print Name and Title): Name: PETER Title: PRINCIPAL Consultant Certification Signature ** Date of Certification (mm /dd /yyyy): _01/29/2015 Consultant Contact Information: Email: PSARKIS @PETRASTRUCTURAL.COM Phone number: 949- 329 -1049 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part31. 23 CFR Part 172.3 Definitions state.: Consultant means the individual orfirm providing engineering and design related services as aparry to the contract. Therefore, subconsultants as parties ofa contract must complete a certification and send originals to A&l and keep copies in Local Agency Project Files. Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files LPP 15 -01 25M -130 Page 2 of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -OB 13 -07 - Safe Harbor Indirect Cost Rate far Consultant Contracts found at hitp://www. dot. ca. gov/ hq/ LocalPrograms/DLA_OB/DLA_OB.htm in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: P2S Engineering Inc. Indirect Cost Rate: 187% * for fiscal period 1/1/14 to 12/31/14 (mm /dd /yyyy to mm /dd /yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: Project Number: RFP No. 14 -037 I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ $928,000 and the number of states in which the firm does business is 1 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). Page 1 of 2 LPP 15 -01 January 14, 2015 25M -131 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ 4,500 Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying (Print Name and Title): Name: Kent Peterson Title: Principal Vice President Consultant Certification Signature * *: Date of Certification (mm /dd /yyyy): Consultant Contact Information: Email: kelit peterson(obp2senR com Phone number: 562 -497- 2999 01 **An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultants mast comply with the FAR Cost Principles contained in 48 CFR, Part 31. 23 CFR Part 172.3 Definitions state, Consultant means the individual orfirm providing engineering and design related services as a party to the contract. Therefore, subconsultants as parties of a contract must complete a certification and send originals to A &I and Iceep copies in Local Agency Project Files. Distribution: I) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files LPP 15 -01 25M -132 Page 2 of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND 1+INANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -011 I3 -07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found at INtp.11www. dot. ca.gov/ Itq/ EocalPrograrns /DLA_OBIDLA_OB.him in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: LAE Associates. Inc. (LAE) Indirect Cost Rate: 175 %* for fiscal period 01/01/2013 to 12131/2013 (mm /dd/yyyy to mm/dd /yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa An Contract Number: Project Number: RFP No. 14 -037 I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: I. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: 1, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendaryears for all State DOT and Local Agencies is $609.264.00 and the number of states in which the firm does business is one (D. Certification of Direct Costs: 1, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). LPP 15 -01 25M -133 Page I of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 2, Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project fites. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $4,500 _ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): $ Consultant Certifying (Print Name and Title): Name: Fred d Alamolhoda Title: President Consultant Certification Signature Date of Certification (mm /dd /yyyy): 02/01/2015 Consultant Contact information: Email: FredA LAEassociates.coni Phone number: (714) 993 -2$40 * *An individual executive or financial officer of the consultant's organization at level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultants mast comply tech the MR Cast Principles container! in 48 CFR, Part 31, 23 CPR Part 172.3 Definitions state; Consultant rneans the individual or firm providing engineering and design related services as a party to the contract. Van- -fore, subconsultants as parties of a contract must complete a certfcation and send originals to rl &l and keep copies in Local Agency Project Files. Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Piles UP 15 -01 25M -134 Page 2 of 2 January 14, 2015 Local Assistance Procedures Manual EXHBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -0B 13-07- Safe Harbor Indirect Cost Rate for Consultant Contracts found at http: / /www. dot. ca. gov/ hq/ LocalProgramsIDLA_OBIDLA_OB.htm in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: GMU GEOTECHNICAL, INC. Indirect Cost Rate: Safe Harbor Indirect Cost Rate = 110% Date of Proposal Preparation (mm /dd /yyyy): 09/03/2014 Fiscal Period Covered for Indirect Cost Rate Developed: 02/01/2015 to 02/01/2018 Contract Number: Project Number: RFP No. 14 -037 I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final indirect cost rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and indirect cost rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our financial management system meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $4.5 million and the number of States in which the firm does business is 4. Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page 1 of 2 25M-135 January 30, 2015 Local Assistance Procedures Manual EXHBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $4,500 Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to Prime, list all subconsultants and proposed subcontract UNKNOWN * Consultant Certification Signature: AA Consultant Certifying (Print Name and Title): Name: Gregory Silver Title: President Consultant Contact Information: Email: gsilver(a gmu e� o.com Phone number: 949 - 888 -6513 Date of Certification (mm /dd /yyyy): 01/30/2015 if on -call contract): $ amounts (attach additional page if necessary): *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the indirect cost rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconeultanis must comply with the FAR Cost Principles contained in 48 CFR, Part 31, 23 CFR Part 172.3 Definitions state: Consultant means the individual or firm providing engineering and design related services as aparty to the contract. Therefore, subconsultants as parties of a contract must complete a certification and send originals to A &1 and keep copies in Local Agency Project Files. Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Piles Page 2 of 2 January 30, 2015 25M -136 EXHIBIT C ADDITIONAL PROVISIONS CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES The following documents in reference to the on -call engineering services hereunder are hereby on file with the City of Santa Ana's Public Works Agency and are hereby incorporated by reference: • Request for Qualifications (RFQ) — RFQ No. 14 -037 • Statement of Qualifications (SOQ) -- in response to RFQ No. 14 -037 • Request for Proposal (RFP) — RFP No. 14 -037 • Proposal - -in response to RFP No. 14 -037 25M -137 EXHIBIT D ATTACHMENTS D -1, D -2, D -3 & D -4 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 25M -138 APPENDIX ATTACHMENT U -1: NON- COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA AAA REQUEST FOR PROPOSALS • NON- gQLLUSION 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 BIDDiWR 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 oragentthereof to effectuate a collusive or sham bid. above Non - collusion Affidavit is part of the Proposal. Signing this Proposal on the signature sot hall also constitute signature of this Non - collusion Affidavit. BIDDERS are cautioned that Ise ertificatlon may subject the certifier to criminal prosecution. State of California County of Crange Ci #y of Santa Ana RFP 14.037 Page 26 25M -139 _._........ _ APPENDIX ATTACHMENT D -2: NON - LOBBYING CERTIFICATION CERTIFICATIONS _ CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14 -037 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 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 Vice President November 17, 2014 Anissa THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14 -037 Page 27 25M -140 APPENDIX ATTACHMENT D -3: DEPARTMENT OF HOUSING & URBAN DEVELOPMENT SECTION 3 CONTRACT CLAUSE CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14 -037 A. The work to be performed under this contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.G. 1701 u (Section 3). The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD - assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low- and very low- income persons, particularly persons who are recipients of HUD assistance for housing. B. The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which implement Section 3, As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other Impediment that would prevent them from complying with the part 135 regulations. C. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the contractor's commitments under this Section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin. D. The contractor agrees to Include the Section 3 clause in every subcontract subject to compliance with regulations in 24 CFR Part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this Section 3 clause; upon a finding that the subcontractor is in violation of the regulations in 24 CFR Part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge of that the subcontractor has been found in violation of the regulations in 24 CFR Part 135. E. The Contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor is selected, but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractor's obligations under 24 CFR Part 135. Noncompliance with HUD's regulations in 24 CFR part 35 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts. City of Santa Ana RFP 14 -037 _____ Page 28 25M -141 G, With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self - Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (ii) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the rip mary Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area in which the project is located (Orange County), A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1996 -97, minimum goal for each project is 30 %. The Contractor /Sub- contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub - contractor /Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his /her operations within the City of Santa Ana. Signature Signature Signature Anissa Voyiatzes, Vice President Print Name and Title Print Name and Title Print Name and Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14 -037 Page 29 25M -142 APPENDIX ATTACHMENT D -4: CERTIFICATION OF NON - DISCRIMINATION BY CONSULTANTS CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14.037 As suppliers of goods or services to the City of Santa Ana, the Firm listed below certifies that it does not discriminate in its employment with regard to race, color, religion, sex, or national origin; that it is in compliance with all federal, state and local directives and executive orders regarding non - discrimination in employment and including, but not limited to; what is listed in the Non - Discrimination Clause in Exhibit 10 -V per: http: / /Www.dot.ca.gov /hq /Local Prog rams /lamlform s /chapterl 0 /10v- 2013- 05- 14.docx and that it agrees to demonstrate positively and aggressively the principle of equal opportunity In employment. The same shall apply and be included in all subconsultant agreements. WE AGREE SPECIFICALLY: 1. To take affirmative steps to hire minority employees with the company. 2. To establish or observe employment policies within affirmative promotion opportunities for minority persons at all job levels. 3. To communicate this policy to all persons concerned, including all company employees, outside recruiting services, especially those servicing minority communities, and to the minority communities at large. FIRM TITLE OF PERSON SIGNING SIGNATURE 4 DATE PSOMAS Anissa Voyiatzes, Vice President November 17. 2014 Please include any additional information available regarding equal opportunity employment programs now in effect within your company, THIS FORM MUST BE COMPLETED AND INCLI PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL Page 30 25M -143 Balancing the NatUrth and Bulr [n,ronment EQUAL OPPORTUNITY POLICY STATEMENT Psomas is firmly committed to Equal Employment Opportunity (EEO) and to compliance with all Federal, State and local laws that prohibit employment discrimination on the basis of age, race, color, gender, national origin, religion, disability, protected veteran status and other protected classifications. This policy applies to all employment decisions including, but not limited to, recruiting, hiring, training, promotions, pay practices, benefits, disciplinary actions and terminations. As a government contractor, Psomas is also committed to taking affirmative action to hire and advance minorities and women, as well as qualified individuals with disabilities and covered veterans. We invite employees who are disabled or protected veterans and who wish to be included under our Affirmative Action Program to self - identify as such with the EEO Coordinator. This self - identification is strictly voluntary and confidential and will not result in retaliation of any sort. Employees of and applicants to Psomas will not be subjected to harassment, intimidation, threats, coercion, or discrimination because they have engaged or may engage in filing a complaint, assisting in a review, investigation, or hearing or have otherwise sought to obtain their legal rights related to any Federal, State, or local law regarding EEO for qualified individuals with disabilities or qualified protected veterans. As CEO of Psomas, I am committed to the principles of Affirmative Action and Equal Employment Opportunity. In order to ensure dissemination and implementation of equal employment opportunity and affinnative action throughout all levels of the Company, I have selected Caroline Yontez as the EEO Coordinator for Psomas. One of the EEO Coordinator's duties will be to establish and maintain an internal audit and reporting system to allow for effective measurement of the Company's programs. In furtherance of Psomas' policy regarding Affirmative Action and Equal Employment Opportunity, Psomas has developed a written Affirmative Action Program which sets forth the policies, practices and procedures which the Company is committed to applying in order to ensure that its policy of non - discrimination and affirmative action for qualified individuals with disabilities and qualified protected veterans is accomplished. This Affirmative Action Program for qualified individuals with disabilities and qualified protected veterans is available for inspection by any employee or applicant for employment upon request, between 9 am and 5 pm at the Human Resources department. Any questions should be directed to me, your supervisor, or Caroline Yontez, EEO Coordinator. 25M -144 CEO PROFESSIONAL SERVICES AGREEMENT CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES THIS AGREEMENT is made and entered into this 51h day of August 2015 by and between Willdan, Inc. (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of: On -Call Engineering Services to provide engineering services on an as- needed basis. Engineering services may include, but are not limited to, civil engineering, electrical engineering, traffic engineering, geotechnical, land /property surveying, structural, architecture and landscaping design services and grant writing services. Prior to issuing a Task Order, the City may request a detailed Scope of Work, for a specific project/task. If requested, the consultant would provide a task proposal, budget and schedule for the Task Order. From this the City may choose which consultant to assign the project /task to pursuant to this Agreement. 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 related field of expertise. 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. TERM This Agreement shall commence on the date first written above for a two (2) year term with the option for the City to grant up to two one -year renewal options exercisable by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below. Exhibit 4 25M -145 2. SCOPE OF WORT{ Consultant agrees to 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 Work - Exhibit A, attached hereto and incorporated by reference. Additional Agreement provisions, if any, may be contained in "Additional Provisions" attached hereto and incorporated into this Agreement as Exhibit C. 3. SCHEDULE OF SERVICES If a Task Order is issued, Consultant shall complete services and shall perform and deliver them to the City as described and detailed in Exhibit A and per the Task Order provided. The City may request that the Consultant provide a proposed scope of work, schedule and budget for a particular project or work product within a Task Order. If the City approves the Task Order, the City will issue a Notice to Proceed ( "NTP ") approved by the Executive Director of the Public Works Agency or his /her designee ( "Executive Director"). Consultant shall meet the work deliverables within the Task Order, the schedule and budget unless otherwise adjusted by the City. Such services shall be provided per written request of the Executive Director after the City's issuance of the NTP. 4. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates, fees, and charges identified in Exhibit B, "Compensation ", attached hereto, and incorporated by reference, in an amount not to exceed two hundred fifty thousand dollars ($250,000) over the entire life of the Agreement, including any renewal period(s). Exhibit B includes completed Federal Exhibits 10 -K and 10 -H along with all Consultant and subconsultant(s) rates and fees that comply with federal requirements. Exhibit D includes all previously completed Federal certification forms as part of the Proposal submittal in response to the Request for Proposals. These are attached hereto and incorporated herein as Attachment D- 1, D -2, D -3 and D -4. 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 disks (CD)s, USB jump drives or equivalent, 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 2 25M -146 shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 6. PAYMENTS & INVOICES a. Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. b. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: i. Consultant's invoice number and City's agreement number ii. Beginning and ending dates for services iii. City Project and /or Task Order number andor name (if applicable) iv. Work site address /location (if applicable) V. Tasks or deliverables completed, and percentage ( %) of total services completed. vi. Remaining Overall and Task Order budget available City will, within 45 days of receiving such statement in a manner that meets the City's requirements, review the statement and subsequently pay the approved charges thereon. 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. 8. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which 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 25M -147 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, and $2,000,000, in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. in accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim and $2,000,000 annual aggregate shall be maintained. 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 in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City, except for 10 days' notice for non- payment of premium. 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 Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 4 25M -148 9. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), to any work performed or services provided under this Agreement arising out of, relating to or pertaining to the negligence, recklessness or willful misconduct of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 10. LAWS AND REGULATIONS Consultant shall keep itself frilly informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure to comply with such laws, rules or regulations. 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 5 25M -149 reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. (Also see Exhibit D.) 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 attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the authorized representatives of the parties. 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 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 the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product(s) 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. rl 25M -150 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. (Also see Exhibit D.) 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. The 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 facsimile 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 Facsimile (714) 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -5635 7 25M -151 To Consultant: WILDAN Inc. Kenneth C. Taylor, PE 2401 East Katella Avenue, Suite 450 Anaheim, CA 92806 -5982 Phone: (714) 978 -8200 Facsimile: (714) 978 -8299 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 facsimile, 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. Additional provisions, if any, are identified as Additional Provisions — Exhibit C, attached hereto and incorporated herein by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25M -152 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: 1 L 1 _ Lisa Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director Public Works Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT: (Name) (Title) 25M -153 EXHIBIT A SCOPE OF WORK CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES I. GENERAL The City of Santa Ana (City) solicited proposals from professional consulting firms (Consultant) to provide engineering services on an as- needed basis. Engineering services may include civil engineering, electrical engineering, traffic engineering, geotechnical, land /property surveying, structural, architecture and landscaping design services and grant writing services. A detailed Scope of Work will be outlined when/if a specific project or Task Order is assigned to the consultant. The work, in general, consists of general engineering design projects on arterial and local streets, bike paths, and public parks, citywide. Funding sources for each project may vary ranging from local, Measure M2, state and federal and each project /task order assignment shall comply with the funding agency's requirements. The projects may include storm drain improvements; sidewalks, bike paths, curb and gutter replacement; slurry seal of residential streets; repair and overlay of asphalt concrete and /or PCC streets; signing, striping, neighborhood traffic studies, traffic signal modifications; landscaping and irrigation systems; park and recreational design, grant application writing, and other related projects as required. On occasion, environmental and planning support services may also be requested. The City may need consultant services for survey, mapping and legal description preparation, construction management, staking and inspection. Occasionally, the City may also need geotechnical, mechanical, electrical and /or structural services. The Consultant shall be able to assist the City through this contract to provide the necessary services. The Consultant shall utilize in -house staff and /or sub - consultants to complete the assignments to meet the City standards. For specialized work for which the prime consultant shall require a sub - consultant, the prime consultant shall serve as an administrative liaison between the City and the sub - consultant. The prime Consultant marls -up for sub - consultants shall not exceed 10 %. II. PROPOSED SCOPE OF SERVICES In general, the Consultant shall perform above noted engineering design services resulting in contract documents (plans, specifications and cost estimates "PS &E ") for various projects on an as- needed basis. However, work tasks may include studies or a variety of engineering or other 10 25M -154 tasks. If requested by the City, the Consultant shall provide a Work Plan which includes a detailed schedule of the assigned project prior to the issuance of Notice to Proceed of that particular project and /or Task Order. Specific Task Orders with Notices to Proceed ( "NTPs ") will be provided for project(s) at the discretion of the City. Work required per Task Order shall comply with the Scope of Services and additional provisions in each Task Order and this agreement. The Consultant shall also provide all field survey work required as appropriate and shall have the necessary experience and required civil, traffic, electrical, structural, geotechnical, surveying, landscape architect and architectural licenses for those in responsible- charge of the work being completed. The Consultant's services for PS &E engineering project preparation shall include, but not be limited to, the following: 1. Research existing records of utility companies and agencies and coordinate the proposed improvements with existing field conditions. 2. Provide all field survey and topographic work necessary to complete the design effort. Design level survey and base mapping of the project site shall be prepared in US Customary English units by a California licensed Land Surveyor in accordance with the City guidelines and in Microstation V8i Computer Aided Design and Drafting (CADD) format. The horizontal datum shall be NAD 83 and the vertical datum shall be NAVD 88. All survey field notes shall be on forms provided by the City, shall be neatly completed in pencil, and shall become property of the City upon completion of the project. Informal field investigations including marking of removal areas may be required for some of the sidewalk, curb and gutter, and pavement replacement projects. 3. Complete the design of projects including plans, specifications, and engineer's construction cost estimate. The Consultant shall contact manufacturers and /or contractors to verify the engineer's estimate prior to submitting to the City. Specifications shall be prepared in Microsoft Word and an electronic copy of the final version shall be furnished to the City. The City will provide the specification boiler plate to the Consultant. 4. If requested, all preliminary and bid sets of plans shall be plotted on bond or velum using the Microstation V8i CADD program. All drawings shall be completed per the City of Santa Ana CADD Standards. For interim submittals, the City may opt to receive only PDF versions of the plans for reviewing purposes. If so, the Consultant team will provided plans and /or specifications accordingly. 5. All original plan sheets, the title sheet of the specifications, calculations, and reports shall be signed and stamped by the Consultant's licensed professional engineer responsible /in- charge of the project. These signed originals shall then become the property of the City. 6. If a part of the on -call project scope, the Consultant shall provide support services during the bidding and construction phases of the project on an as needed basis, including, but not limited to: 25M -155 A. The Consultant shall respond to bidder inquiries during the bidding process, including preparation of any addenda. Following award of the construction contract, the Consultant shall attend the pre - construction meeting. B. The Consultant shall review and approve all submittals and shop plan drawings required supporting the construction contract. The Consultant shall complete shop drawings reviews within two (2) weeks of receipt. Contract Change Order reviews shall be completed within two (2) working days of receipt. C. The Consultant shall respond to written Requests for Information (RFI) to provide clarification or resolve discrepancies in the contract documents. Responses shall be completed within three (3) working days. D. The Consultant shall provide periodic field reviews and bring to the attention of the City of Santa Ana any defects or deficiencies in the work by the construction contractor which the Consultant may observe. The Consultant shall have no authority to issue instruction on behalf of the City of Santa Ana, or to deputize another to do so. 7. If included in the on -call project scope, upon completion of construction, the Consultant shall prepare as- builts and submit them to the City. The Consultant shall incorporate all changes to the plans electronically with all necessary revision notations. Once plans have been updated, a signed set of as -built mylars shall be submitted to the City with an electronic copy (in Microstation V8i CADD and pdf formats) of the final as -built drawings via CD or e -mail. 8. If included in the on -call project scope, the Consultant shall monitor the project progress, maintain project files, and control the quality of the work performed by in -house staff and/or sub - consultants. Incomplete (not meeting targeted completion) or poor quality work will not be accepted. The Consultant shall revise the documents within a revised schedule set by the City, which may require overtime. No additional compensation for regular or overtime hours necessary to complete this work to the satisfaction of the City shall be approved by the City for the required revisions. It is the responsibility of the Consultant to produce a professional - level quality of work product. 9. If included in the on -call project scope, attend meetings with the City staff as required. 10. If included in the on -call project scope, the Consultant shall coordinate plan check, design topics, permits and any other issues with the City, other Agencies, and all utility companies as required. At the direction of the City, the Consultant shall be the liaison with affected agencies. 11. If included in the on -call project scope, the Consultant shall be responsible for reviewing and approving addenda and clarifications to plans and specifications. III. GENERAL REQUIREMENTS 1. All work shall be performed in conformance with the latest City of Santa Ana policies, procedures and standards, and applicable, regulatory, state and federal requirements. 2. Consultant shall carry out the instructions received from the City of Santa Ana and shall cooperate with the City of Santa Ana and any other involved agencies. 12 25M -156 3. The Consultant shall have complete responsibility for the accuracy and completeness of all documents and plans prepared and shall check all such materials accordingly. The plans will be reviewed by the City of Santa Ana for conformity with the requirements of the Agreement. Reviews by the City of Santa Ana do NOT include detailed review or checking of design or the accuracy with which such designs are depicted in the documents and the plans. The responsibility for accuracy and completeness of such items remains solely that of Consultant. 4. The documents and plans furnished under the Agreement shall be of a quality acceptable to the City of Santa Ana. The criteria for acceptance shall be a product of neat appearance, well organized, technically and grammatically correct, checked, and dated and having the maker and checker identified. 5. The Consultant shall have quality control procedures in effect during the entire time work is being performed under the Agreement. The quality control procedures shall establish a process which includes checking processes for PS &E preparation, an independent constructability review, correcting and back checking procedures, and all job related correspondence and memoranda dated and received by affected persons and then bound in appropriate job files. The City of Santa Ana reserves the right to request proof of said documentation. 6. The Consultant's work and all records shall be subject to inspections by representatives of the City of Santa Ana and funding agency requirements or audits if requested. Consultant certifies that it shall comply with the following regulations, as required by the (funding agency): a. Audit Records - With respect to all matters covered by this agreement all records shall be made available for audit and inspection by the City, the grant agency and /or their duly authorized representatives for a period of four (4) years from the termination of this Agreement. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant shall preserve and maintain all documents, papers and records relevant to the services provided in accordance with this Agreement, including the Attachments hereto. For the same time period, Consultant shall make said documents, papers and records available to City and the agency from which City received grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours. b. Information - Consultant shall provide to City all records and information requested by City for inclusion in quarterly reports and such other reports or records as City may be required to provide to the agency from which City received grant funds or other persons or agencies. 13 25M -157 e. Section 504 of the Rehabilitation Act of 1973 (Handicapped) - All recipients of federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act). Therefore, the federal funds recipient pursuant to the requirements of The Act hereby gives assurance that no otherwise qualified handicapped person shall, solely by reason of handicap be excluded from the participation in, be denied the benefits of or be subject to discrimination, including discrimination in employment, in any program or activity that receives or benefits from federal financial assistance. The Consultant agrees it will ensure that requirements of The Act shall be included in the agreements with and be binding on all of its contractors, subcontractors, assignees or successors. d. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable and the related guidelines that may be more recent. e. Political Activity - None of the funds, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act ". f Civil Rights Compliance and Notification of Findings - Consultant, and all its contractors (or sub- recipients) will comply, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789 (d), or Victims of Crime Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title II of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; Department of Justice Non - Discrimination Regulations, 28 CPR Part 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the event a Federal or State court, Federal or State administrative agency, or the Consultant makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Consultant will forward a copy of the findings to the City which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Department of Justice. g. Equal Employment Opportunity - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable. h. Anti - Kickback Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Copeland "Anti- Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29 CFR Part 3), as applicable. 14 25M -158 Davis -Bacon Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Davis -Bacon Act (40 U.S.C. 276a to 276a- 7) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. Contract Work and Safety Standards Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of Sections 103 and 107 of the Contract Work and Safety Standards Act (40 U.S.C. 327 -330) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. k. Clean Air Act - Consultant, and all its contractors (or sub - recipients) will comply, with all applicable standards, orders or requirements issued under Section 306 of the Clean Air Act (42 U.S.C. 1857(h)), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive Order 11738, and the Environmental Protection Agency regulations (40 CFR part 15), as applicable. 1. Energy Policy and Conservation Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Energy Policy and Conservation Act (Pub. L. 94 -163, 89 Stat. 871),(53 FR 8078, 8087, Mar. 11, 1988, as amended at 60 FR 19639, 19645, Apr. 19, 1995), as applicable. M. Patent - Consultant agrees that the funding agency shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with funding through this Agreement. n. Copyrig ht - Consultant may copyright any books, publications or other copyrightable materials developed in the course of or under this Agreement. However, the federal awarding agency, State Administrative Agency (SAA) and City reserve a royalty -free, non - exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government, SAA and /or City purpose: i. the copyright in any work developed through this Agreement; and ii. any rights of copyright to which the subcontractor purchases ownership with support through this grant. The Federal government's, SAA's and City's rights identified above must be conveyed to the publisher and the language of the publisher's release form must ensure the preservation of these rights. IV. CITY RESPONSIBILITIES The City will provide the following: • All plan check coordination within the City • Sample boiler plate specifications to be utilized • Sample plans & City of Santa Ana's CADD Standards • Electronic files for title sheets and sheet borders 15 25M -159 EXHIBIT B COMPENSATION CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 25M -160 V i WILLDAN Celebrating 50 years oa ° set vice February 3, 2015 City of Santa Ana Attn: Monica M. Suter, PE, TE, PTOE Public Works Agency 20 Civic Center Plaza, 3`d Floor, Ross Annex Santa Ana, CA 92701 Re: Sealed Proposal for RFP No. 14 -037; On Call Engineering Services in the City of Santa Ana Dear Ms. Suter: Willdan Engineering (Willdan) is pleased to provide requested forms, Exhibit 10 -K and Exhibit 10 -H, for us and our subconsultants. We are including fully signed and compliant forms from Willdan Engineering and the following subconsultants: • Absolute Consulting Engineers • Black O'Dowd and Associates, DBE BOA Architecture • Coast Surveying, Inc. • Counts Unlimited, Inc. • WKE, Inc. Willdan has requested for RFP No. 14 -037, Exhibits 10 -K and 10 -H also from the following subconsultant, which is in the process of obtaining compliance with the Federal rate requirements and the above forms; however, has not yet, as their principal is currently out of the office on emergency leave: • OMB Electrical Engineers, Inc. Willdan understands that all information provided to date is available to the public, including the attached forms. By signing this letter, I agree that I am authorized to bind the firm. Willdan further understands that the update that consultant agreements will be fortwo years, with an optional extension of two additional years. Respectfully submitted, WILLDAN ENGINEERING Daniel Chow President and CEO Engineering and Planning I Enemy Efficiency and Sustainability I Financial and Economic Consulting I National Preparedness and Interoperability 714.978.8200 fax: 714.978.8299 1 2401 East Kateila Avenue, Suite 450, Anaheim, California 92805 -5982 1 www.willdan.com 25M -161 O N W 7 G d L .a U L a d y .N V a N W Fa W d m a O a f� O U .W7 x 0 W N w 0 v aNn a 4H W z 0 U O H U a z Z� w z 0 0 U y F 0 Aff 0 v ro x U c ° F o O O U � 0 0 ii 0 O N~ Q O O V � Co F w` 0 0 0 w w z 0 F U A F m d v � v o O o 0 w z z z z � � v3 ss v� v3 vs ss f» va ss s3 � o � y U � O 0 0 0 0 0 0 0 0 0 0 0 0 T N N N N N N N N N N N N In O s 0 0 0 o 0 0 0 0 0 0 0 0 0 m a 0 0 0 0 0 0 0 0 0 0 0 0 v p N N N N N N N N N N N N N y W k+ o00 000 000 000 D o c 0 0 0 0 0 0 0 0 0 (V _F 0 0, n o 0 0 �n c� �n o �n d• N N � 69 H3 EA rp 64 69 69 6R V3 69 fA 69 F r�- o � a V y fl C4 y o �4 � o ❑ 25M -162 4F O R R U R o N R 8 0 � a � R a. v N w L N _T w O N N b ay o F R b ti v � � p O Fo c P b U Q V Yom° ww T� T O N v ° T m O ❑ � O R � s � v -• v � o b N N ARi v C R — y � N rn dj z a� 3 w R 3 0 G N _ ca N N LL ti O � L ^o a�i U U N Q � O q w° H M en � R N a N b 0 M a a R � 0 r R L Qn O WU H U Q F O a w W a U N Q � U cdC O N U O U cp! Y Y « � W � N � T 0 O� � U P+ N S U U N N � A •S C a o � o c y = O N N U A N W fi o4 m U �w F T ±t T all S° 3 C � � O O N U y� O � Y N T � p a � O y U � N N N v II y zmw° z 25M -163 k S SiC 3 0 b�q N W tOi O a� O � V � N y y N T U O � a p °1 O Q w° N ti �p N W N 0 M rw Qr a o xwo z z z z z 69 � � o � O o e O •� � � � Moo .� Ooh O Ovi cO � Or W t`7 N 69 V3 69 69 69 64 69 69 69 69 69 69 69 69 69 0 N _T U W N b 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 v O N N N N N N N N N N N N N N N 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 W N N N N N N\ N N N N N N N N 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 � r M ti � ti K ti f�l Cfl M a '� N M 7 �O l� W 00 D1 O r W 00 N N N N 69 69 H3 --i •-- .Ni f/J H3 69 69 69 69 fA H' 69 69 cR 69 Ni C C � O L � � W a U N Q � U cdC O N U O U cp! Y Y « � W � N � T 0 O� � U P+ N S U U N N � A •S C a o � o c y = O N N U A N W fi o4 m U �w F T ±t T all S° 3 C � � O O N U y� O � Y N T � p a � O y U � N N N v II y zmw° z 25M -163 k S SiC 3 0 b�q N W tOi O a� O � V � N y y N T U O � a p °1 O Q w° N ti �p N W N 0 M rw Qr a x� 0 0 � a O W U 7 b d i b u L Pr u n N u a om J 2 J m C U � z z z 4A � O b9 Q � o t° N M V1 N M O t V1 �D �O 69 69 V3 Vl V1 1p £A 64 � Vl V1 vi 69 (A rfl vl vi �O 69 69 V3 N V) V1 H3 EA 69 M C d' 69 69 fA T N N N N N N- N N N N N N N N N N N r\ f\ f\ t O 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N N pN N N N N N N N N N N N N N N N N N w 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 W 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 X dZ V] 69 ff3 69 69 V3 69 fA 69 69 £� rag fA H3 69 rq fA 69 69 C y O p W q > tC H cC 25M -164 J U SC F O y � b � W O y cU N G U J a�Y O �- W s W N w+ N i W sR. J T J OG t>3 6 J N � N N U bq p o £ q,o U J £ � w b-0 U Y�o ww �U o 7 1` C O J O W y O R � N Z N w � T �y O F CL v J bb C C zww z x 'C w 3 w �Y m 3 0 b�q N sJ. J 0. y � bq J N y N O TU O aEi q O q w° M M v pp o Cg N W O N ^1 0 M i N O N W M xy O p 'a y � 4 wU F U U PW. �qz 6 z w O 5 z N O M p7 y Q M O z U 0 A 0 Y f i. O 9 25M -165 Vi °z F Q P N V R .Vi �b S V S ti m 3 6 v v° W � T C C o� S- b U S b V a oq Q n C v ` U U b � y Cd a r ti b y b '..A- .'^ 'F' 'y C � p ❑ m RAF y S U w o U ltl Va N m A 'O qA o N a N N N O U O �i NCy L rooS�a ��u�og L .-+ N r1 . Vi 16 r� W d' M pp O R N � O N O H QI a N N a r7 o z 0 F rF-i d P7 O F d Pa U W F O U � � A F w z o O � o�, � U F F � W La N N 1Tr vai d p7 V H d P7, U `� Q o U F F �+ of z �a o w � w w G7 � N N q rn F d 25M -165 Vi °z F Q P N V R .Vi �b S V S ti m 3 6 v v° W � T C C o� S- b U S b V a oq Q n C v ` U U b � y Cd a r ti b y b '..A- .'^ 'F' 'y C � p ❑ m RAF y S U w o U ltl Va N m A 'O qA o N a N N N O U O �i NCy L rooS�a ��u�og L .-+ N r1 . Vi 16 r� W d' M pp O R N � O N O H QI a Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Casts and Financial Management System FXHIBri, 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note; If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -013 13-07 - Safe Harbor Indirect Cost Rate, for Consultant Contracts found at htip.11www. dot. ca. govl hq/ LocalPrograms/DLA_OBIDLA_OB,htm in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: Willdan Engineering Indirect Cost Rate: 160.1'1% * for fiscal period 1/1/2013 to 12/31/2013 (mm /dd /yyyy to mm/dd/yyyy) *Fiscal period covered for indirect Cost Rate developed (not the contract period). Local Government: Sity of Santa Ana Contract Number: RFP No. 14 -037 Project Number: N/A f, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2, This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $32,939,260 and the number of states in which the firm does business is 6. Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP I5 -01 25M-166 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CPR, Chapter 1, Part 172— Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ 50,000* Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ 200,000* Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary) Absolute Consulting Engineers $ 8,000* BOA Architecture $ 8,000* Coast Surveying, Inc. $ 9,000* Counts Unlimited, Inc. $ 5,000* OMB Electrical Engineers, Inc. $ 10,000* WKF,, Inc. $ 10,000* *Estimated amount only Consultant Certifying (Print Name and Title): Name: Title: Consultant Certification Signature * *: Date of Certification (tnm/dd /yyyy): _January 30, 2015 Consultant Contact Information: Email: dchow(@,wilidan.com Phone number: 714.978.8200 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U,S.C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31, 23 CFR Part 172.3 Definitions state: Consultant means the individual or firm providing engineering and design related services as a parry to the contract. Therefore, ,subcon.sultants as parties ofa contract must complete a certlflicatUon and send originals to A&1 and keep copies in Local Agency Project Files. Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files Page 2 of 2 LPP 15 -01 25M-167 January 14, 2015 O O - a a � o W� A e e d d L a c Y y .N a N W O N m a, H n � � z W � H q z G Q U .a C4 O O Phi rdj (44n � O q C4 � O O O � � U v w z a 0 ¢ � w � W O C � U U W V1 O N O 0 r 0 w z U y O U 7 0 0 U 0 M. C y O U �o b C O i 0 N N N b 0 i 0 n N N 7 M + 0 w W w G W O x c v 0 s w 0 0 0 0 W w z 0 H Q d U U • • 25M -168 C a 0 U 9 � � U _ � W � p U a t° � o a � � rUn 'iY W t6 U a o � m d U n � C � v L � � o � 0 0 a._ U Y N [7y ti N T is T U� m q * N O U U U � T N O O vi � � U � y � o II b � C N d U C � z v. Y N N s W N 3 0 CN � U SY y O � U h p � ^N a�i U O U m Q �s °J O qw .a M �o ry N a Q N m e e h 0 a a C O O O � O 4y 0. Vi xwoz U O O a;A ¢ y s. c � v o00 d.°c vjss� �s`�seCOs 0 0 0 0 0 0 T N N N N N N M (h M M (\ M O L N N N N N N 0 0 b y O N N N N N N 0 Wo 0 0 0 0 0 0 0 0 0 0 k D\hO OooO rvn �. M o0 M N 00 d' U O V' In Ol I b In In In I 69 69 69 V3 69 69 O N O h M n In �T � Ef3 Y3 69 64 69 V3 T. 0 0 rn Fn ss F» es csi n ro � e O C U 'v, U N � U � d F � 0 z x ¢ 25M -168 C a 0 U 9 � � U _ � W � p U a t° � o a � � rUn 'iY W t6 U a o � m d U n � C � v L � � o � 0 0 a._ U Y N [7y ti N T is T U� m q * N O U U U � T N O O vi � � U � y � o II b � C N d U C � z v. Y N N s W N 3 0 CN � U SY y O � U h p � ^N a�i U O U m Q �s °J O qw .a M �o ry N a Q N m e e h 0 a a x� � O .y Q F y Pr 0 wV R G R 7 B 4 a V Y d O N iC W 0 U x GTa 0 bVU a H z O V 0 w w z U. z w H H O O N O M ti N Q O W z b 0 U O U V O U 25M -169 H °z H E a V dj G 3 id � O U N N V 3 Q^ � •a N C o r ar' C TJ V •d U N C7 ,L' et u w � U i w ❑> O bc� 8 Qy o g oo o A°N oS� ro N 'FJ Fl C A. ti H y LOy' N m �tl o A o w o U ti U N O y •+j U � N :� roil O T N v •� � 5 .0 d V N spyY';3a�o�� O U b tai ar'+ rn v °� p• W d y o a 4O vN' Rti V q J b N N V ro ..td. O .O N •O N c 7 r rr?? O O ,-:N cn d-vi�r o0 N M� � O R N � O N 7 ti r4 O M 'r P. O H N z Ul a o z Q (Yy H H U Ca vai Q W U F Q pa U w � F H oF U F ° o A xe F w z a w ep F O 5 U U Q v°i.��cgci H ¢mom O H 69 Fa Q 11 rl F N o z � O W � H o ty Q v°i d f-0 U H Q 0.l V 25M -169 H °z H E a V dj G 3 id � O U N N V 3 Q^ � •a N C o r ar' C TJ V •d U N C7 ,L' et u w � U i w ❑> O bc� 8 Qy o g oo o A°N oS� ro N 'FJ Fl C A. ti H y LOy' N m �tl o A o w o U ti U N O y •+j U � N :� roil O T N v •� � 5 .0 d V N spyY';3a�o�� O U b tai ar'+ rn v °� p• W d y o a 4O vN' Rti V q J b N N V ro ..td. O .O N •O N c 7 r rr?? O O ,-:N cn d-vi�r o0 N M� � O R N � O N 7 ti r4 O M 'r P. Local Assistance Procedures Manual EXHIBIT 10 -I{ Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -I{ CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -OB 13 -07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found at http: / /www. dot. ca. gov/ hq/ LocalPrograms,IDLA_OB/DLA_OB.htm in lieu ofthisform.) Certification of Final Indirect Costs: Consultant Firm Name: Absolute Consulting Engineers Indirect Cost Rate: 49.5% for fiscal period _2/1/2015- 2/1/2016_ (mm /dd /yyyy to mm /dd/yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: RFP No. 14 -037 Project Number: N/A I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $0.00 Direct [always indirect subcontractor to others] and the number of states in which the firm does business is 31. Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: LPP 15 -01 25M -170 Page 1 of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -I{ Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance ]oust be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all Subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): $ Consultant Certifying (Print Name and Title): Name: Khosrow Nourmohammadi Title: Professional Engineer Consultant Certification Signature Date of Certification (mm/ddlyyyy): January 30, 2015 Consultant Contact Information: Email: snour c(�absoluteco.com Phone number: 949 852 8700 **An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S. C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31. 23 CFR Part 172.3 Definitions state: Consultant means the individual or firm providing engineering and design related services as a party to the contract. Therefore, subconsultants as parties of a contract must complete a certification and send originals to A &I and keep copies in Local Agency Project Files. Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files Page 2 of 2 LPP 15 -01 January 14, 2015 25M -171 N W O N c". O O a � i4 O r� U 7 �i b U Y A W u 0 _i F 6 F O U O V W Q O a w W O U z U O w v U j Y O S y � h y U N a a � o b o 'd W � w ii i+ � O J U F i J o m i � o O H m C7 7 a a n o y N C O 5 b U J 4 y ICl/ a o ,O o g w FC b0�9 ti T e ory o • Lo i A ro U • i u • 25M -172 0 U P � rOj� O U N � U S'i y O N U U F 0 R � Y H Y W U W •n �' N �Yo N ro N b U N U N � P � T .o 0 � a o U ro m � � O v F/y a O O N W � T O � p � U O U b tYHtl N y � N zaw° z h � t+ 9 W 3 0 b9 N R w N R N U .5 o y N y N Q �o i] O Q ro .� Yo q w° ti M d � W G A N a p N U G h M a a H vi O O O O O i i i 1 N O H U e o c o c o 0 o e o .5 M f1 M M M M m M M bb ^� N T O O O O O O O O O w ,L' 69 fA � 69 69 Y3 fA A 64 In In In In O O O O O O T N N N O Y b y V1 V1 V_l V1 V1 V1 Vl In In O rOj N N N N N N N N N W 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Qj O W O 00 �n N O CO h � «^ M 69 M fH N 69 N Vj N H3 N 69 H3 Vi 69 F�49 x 5 C0 oo• oo °o °o, °o• o °0 0 Oi F m N O In n �i O 0 x S o 0 o S o o 0 0 In o 0 0 0 0 0 0 0 CI V] N3 N3 fFJ 69 IA 69 Ni 6r9 6�9 y N U bA w z o � U U � � � •i. W F 25M -172 0 U P � rOj� O U N � U S'i y O N U U F 0 R � Y H Y W U W •n �' N �Yo N ro N b U N U N � P � T .o 0 � a o U ro m � � O v F/y a O O N W � T O � p � U O U b tYHtl N y � N zaw° z h � t+ 9 W 3 0 b9 N R w N R N U .5 o y N y N Q �o i] O Q ro .� Yo q w° ti M d � W G A N a p N U G h M a a x� 0 0 � a CHI ii �U 7 C� 'b d u w d u 0 N N W O� H O y a A � Fy {xOW� F iry5 Z O a o O � � w a p � z a O H O w O w Z U � w a z � G � �vy¢ij W x �H O U � ti � O U W Py' v 0. ul N M Q 0 z U O U ti 0 U 0 U 25M -173 vi H z °z 6 O N i4 N 3 A y v N d � U N y ° 3 ¢ ° o, p C Is C ° y O aQ N a w p �tl O U m o w v q o 3 U Ste, „W�y � �ti appC 0 0 0 ° J V V N m N �H S�3�Aa a'di � ro o 0 D A Op,'y by O a> b e a.p o m 7 m O . ,O y O V ,ti •G b O F V� N bD b o m N M� �a �y N iS{ O N F h 0 c� W a d O H II N u F H y a O o z 0 H U " � U U � ro F U o x A 9z � _ H z O w O O F" II V p U H a H z � iTa w O �Q W 0 Fy H W � � Q v°i d W U F Q 60 U 25M -173 vi H z °z 6 O N i4 N 3 A y v N d � U N y ° 3 ¢ ° o, p C Is C ° y O aQ N a w p �tl O U m o w v q o 3 U Ste, „W�y � �ti appC 0 0 0 ° J V V N m N �H S�3�Aa a'di � ro o 0 D A Op,'y by O a> b e a.p o m 7 m O . ,O y O V ,ti •G b O F V� N bD b o m N M� �a �y N iS{ O N F h 0 c� W a x� oa W O W V i Cy d 4 b u 0 o: u G A y �y u 0 .a U N T D O O b T N N b N U E Q O U b 0 N O d O 4 6 a b tl m N .q N C 0 0 a c m 0 U N N V N a N 4 N W O O N ❑ y 4Ui N N N N O W O a a� a a �a C a O U m � rwi W 25M -174 M M d� �y N a N R" h n QI W ..7 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -OB 13 -07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found at http ✓ /www. dot. ca. gov1 hq/ LocalPrograms/DLA_OBIDLA_OB.htm in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: Black O'dowd and Associates. DBE BOA Architecture Indirect Cost Rate: 280% * for fiscal period 0 1/0 1/2015 — 12/31/2015 (mm/dd /yyyy to mrn/dd/yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: RFP No. 14 -037 Project Number: N/A I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my lmowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All Imown material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ 1.000,000 /yr and the nu nber of states in which the firm does business is 1 Certification of Direct Costs: I, the undersigned, certify to the best of my lmowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP 15 -01 January 14, 2015 25M -175 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3, Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if out -call contract): $ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): $ Consultant Certifying (Print Name and Title): Name: _Ednvarcl 1 ok Ng _ Title: - Architect Consultant Certification Signature " *: c!(.. -.t Date of Certification (mnnldd /yyyy): _7mnrmy 30, 2015 Consultant Contact Information: Email: lok ng�ba tarchitecinne.cam Phone number: O: 562 -912 -7900 C:310- 480 -7730 * *An individual executive or financial officer of the consultant's organization at a level no louver than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract Note: Pei-23 U.S.C. 112(h)(2)(B), Subconsultants durst comply with the FAR Cost Principles contained in 48 CPR, Part 31. 23 CFR Part 172.3 Definitions state: Consultant means the individual or firm providitig engineering and design related services as a pmvy to lire conhact. Therefore, subconsultants os parties ofa conhtact must complete a certification and send originals to Ml andkeep copies in Local Agency Project Files. Distribution: t) Origieat to Caltrmis Audits and bivestigations 2) Retained in Local Agency Project Piles LPP 15 -01 25M -176 Page 2 of 2 January 14, 2015 x� O p � 6 iF'y L ,W U 7 q A d 7 v v L d a m w 0 v A a F q F cl a O O � O q �r o W U "a Wa z a+ O c7 ¢ QC w W O p U o � W V F U1 0 M N O N 0 M +O+ Q � I I M O � o w C4 � O 0 z 0 U O G rob v ? N � � 4+ 0 e CI �y + V o N U �w U .. O Q 0 0 0 C� w %I O U U O w 25M -177 C O p � of O � � U vbw p O U � O U Q s. a�i p is N w � Y y T O O ass ro o c ro m � � m U J p N � R U T;t T v 7 U � O J N U N T N � o � U � N = O ti V N J I I J ro � N � zt4w° �N cn y z z 0 ¢ O U ¢ U y �Y � k •3 W pq -C m 3 0 b�q N N W > n tJ. O � N U •� � y O ti O � O � q N L O qw °C7 r+ M bA � �p N a N c ti 0 M H a a � C W V U U U U U J �+ N T ¢ ¢ ¢ ¢ ¢ x�oz z z z z N v 0 0 O O O O O O O O o •� M fn F1 M In M In M M M L O L O H O b N m b r O N h b O M �t;o Md� oai rn N M �o oo a; U ¢ z es Fss v3 v, ss v3 v, v, v, v3 s3 v, vs v> vj J o 0 0 0 0 0 0 0 0 0 0 o O o 0 N N N N N N N N N N N N N N N M f� Q Q fn M M fn M M fn j N N N N N N N N N N IIN N N N - s° 0 m 'a o 00 0 0 0 0 00 00 0 000 0 000 000 000 000 000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 w ¢ �n �D N to O •� N Vl O � mmm mmm NNN IN N m o ti m Vl CA' W fn 01 �D InM m N N N Mmv N N N oomo, •ti ti N N N N TO r •--� M Mi O V1 L O O V7 b ti ti ti V] � IN 6N9 4H 69 69 .N+ .�i fA 69 Y3 V3 fR 69 69 fA 64 s. C N •U ?T? � J � U7 • n T FJ c6 rn J q Y O O C4 3 ,C .O 25M -177 C O p � of O � � U vbw p O U � O U Q s. a�i p is N w � Y y T O O ass ro o c ro m � � m U J p N � R U T;t T v 7 U � O J N U N T N � o � U � N = O ti V N J I I J ro � N � zt4w° �N cn y z z 0 ¢ O U ¢ U y �Y � k •3 W pq -C m 3 0 b�q N N W > n tJ. O � N U •� � y O ti O � O � q N L O qw °C7 r+ M bA � �p N a N c ti 0 M H a a E 0 F W R 7 C i 0 i1 QI u 0 a U a K r w^ ° U b [ cU! U ro G ° ° 'L ° L N U L h 4' v mss° o ro ro � O U L � m a ro s % ILI to p ° � 0 0 U U � m O �N w w It N U ° C k tUE � � N tG ro T �N .b N � iFi zGOw 1 N s K 3 ti � t+ 3 0 w N G y s � FU. U a y 0 U •� U L -- y O O 0. L N Q o . � L •� fJ c� y s o z 25M -178 N M pdp o c0 N G4 N G h 0 M Q+ a L N T �y U Q Q Q Q xwoz z z z e fn M fn rn fn M M rn .� W Q � o � Q .G 69 V3 69 69 V3 69 V3 V3 64 fA (�] 69 0 0 0 0 0 0 0 0 0 0 0 0 s° 0 m -cs o 0 0 00 0 000 00 0 U N N N N N N N N N N N N w o 0 0 0 0 0 0 0 0 0 0 0 W Ooo l� nh V NOI� Oib a � � � � � 6N9 � 6N9 sN9 6N9 5NA 6N9 k Zvi d'd'vi Noo G1 NOID \O OO � ti N vl O 00 00 O V ^ G1 l� M .�. H N NNNNNN��N O O r* W 01 O 00 DA OA ti �Q 64 69 69 64 69 69 6R FA 64 69 69 69 a • O 7 00 cn N O M N N fti f In � N � r.4 In N N ti ti Vl 69 69 69 . - fR 69 69 69 H3 69 V3 69 FH G Lm U W r Y H U o � � z w v 2 c K r w^ ° U b [ cU! U ro G ° ° 'L ° L N U L h 4' v mss° o ro ro � O U L � m a ro s % ILI to p ° � 0 0 U U � m O �N w w It N U ° C k tUE � � N tG ro T �N .b N � iFi zGOw 1 N s K 3 ti � t+ 3 0 w N G y s � FU. U a y 0 U •� U L -- y O O 0. L N Q o . � L •� fJ c� y s o z 25M -178 N M pdp o c0 N G4 N G h 0 M Q+ a xy e oa H 4 � a U w R G N d L ^O 0 L N Y U On a ro a N � z 0 z O a ° U � QI O a � o � o W o z a a CA W O p U ti O vFi Q U GTa w U M O N O M Q M O Q. z m r O V) 2 0 r G 7 25M -179 a zz z F 0 I ro ❑ S V U N b � m q •o m L° G W m d q C ad m m V q' O t9tl O V N •a V $ Q��„ o S ° ro o o `a 5 v ti rV ^F 'd N C � 'a• aw S}9oco ;� C q goy � T OU U U N vi �N+ y 4p� ti O o .y 5 Y 'O V .4 4.5 5 O V C CL a a Gi pp U v o$ S 9 S ro Sam m -. (V M d' I. \O . V6 M M d � �o R N ao N Q ti 0 M ti a Fa F F II N 7-0 F F F Fa ° f0] ° Fyy W O � U La va, d W U F d CO U F H F � � F A F F• xt 4.W.i m F z o ro Con O F" II z U F o a0 z � F W w FG O Pr F � o U � Q Vl d W U q F d A] U 25M -179 a zz z F 0 I ro ❑ S V U N b � m q •o m L° G W m d q C ad m m V q' O t9tl O V N •a V $ Q��„ o S ° ro o o `a 5 v ti rV ^F 'd N C � 'a• aw S}9oco ;� C q goy � T OU U U N vi �N+ y 4p� ti O o .y 5 Y 'O V .4 4.5 5 O V C CL a a Gi pp U v o$ S 9 S ro Sam m -. (V M d' I. \O . V6 M M d � �o R N ao N Q ti 0 M ti a Fa Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -IC CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Nate: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -0B 13 -07- Safe Harbor Indirect Cost Rate for Consultant Contracts found at htgr. Orvww. dot.ca. gov/ hql LocalPrograms/DLA_OB/DLA_OB.htm in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: Coast Sucveyg, Ine. Indirect Cost Rate: 177.23% * for fiscal period 01101(2013 to 12/31/2013 *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: RFP No. 14 -037 Project Number: N/A 1, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 44, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: Certification of Direct Costs: 1, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: LPP 15 -01 25M -180 Page 1 of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 1 Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Sabcousultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ _ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subeonsultants and proposed subcontract dollar amounts (attach additional page if necessary) Consultant Certifying (Print Name and Title): Name: Ruel del Castillo Consultant Certification Signature * *: Date of Certification (mmlddlyyyy): _January 30. 2015 Consultant Contact Information: Email. ruel.dcicast Uggooastsiuvey.com Phone number: (714) 93 -6266 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. I12(b)p)(6), Subconsidtants must comply with the rAR Cost Principles contained in 48 CER Part 31. 23 CPR Part 172.3 Definitions state: Consultant means the individual or firm providing engineering and design relatedservices as a parry to the contract. Therefore, subconsultants as parties ofa contract must complete a certification and send ortgin als to A&I and keep copies in Local Agency Project Files. Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files LPP 15 -01 25M -181 Page 2 of January 14, 2015 x� O O �ti Oa Ly i' � a WU �a G v L b u a u Y y d U a w 0 v A w h U :v W � F G ¢ U O � � � W O a. p � z � o q CG O � z U " w ra ZO 2 Qy V6J W z o U � � F o x W � V PW. 0 M x O 5 b o O 4' N O v 0 0 0 W W W z Q F° Q w z z O d U d U 25M -182 E a O o E O U Y Y W N U U ~ y W y _T m « o N O j S C � N m — on o � N N 4:. N V VI � d U Y � O �ww " U � � u � w L O _T aLi 5 0 0 O N U y m ti m bA �3 � � o z w w NM dj z y A 3 3 0 = N •j R L � GL y O � .5 h � 0 o� a P: a5i q L � O q w° bL � A N � N d h 0 en QI a z + o O U U_ U U U =_ � b � U L � p U d ¢ d a xwoz z z z o I� U W 25M -182 E a O o E O U Y Y W N U U ~ y W y _T m « o N O j S C � N m — on o � N N 4:. N V VI � d U Y � O �ww " U � � u � w L O _T aLi 5 0 0 O N U y m ti m bA �3 � � o z w w NM dj z y A 3 3 0 = N •j R L � GL y O � .5 h � 0 o� a P: a5i q L � O q w° bL � A N � N d h 0 en QI a U_ U U_ U U U T ro 6 d d ¢ d U xwoz z z z z N 0 o a o 0 o v v o 0 o a o 0 o v o Lo i. V 00 00 00 00 W W 00 00 00 o0 00 00 O O O Vl N h l� P o0 00 00 L� P P 00 00 00 O d N N N N N N ti H3 Yi V3 � £A 69 V3 A V3 V3 69 69 Yi fA 6A 69 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 M In In M Ol W N v 0 0 0 0 0 0 0 0 0 0 0 0 0 0 W0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 69 69 69 69 H3 fA 69 Vi 69 69 69 Y3 69 fA 69 bA X ^ 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 F 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 a 0 x �r t\ t`n wcow 777 vv � o0n _ 00 � m o? W W N N N 07 W o0 00 00 00 Vl 69 Y3 69 69 fA fA 69 69 H3 V3 H3 fA 69 69 ER 0 w C C 'V ^^p U sppy O o N E W U O U X U 5 25M -182 E a O o E O U Y Y W N U U ~ y W y _T m « o N O j S C � N m — on o � N N 4:. N V VI � d U Y � O �ww " U � � u � w L O _T aLi 5 0 0 O N U y m ti m bA �3 � � o z w w NM dj z y A 3 3 0 = N •j R L � GL y O � .5 h � 0 o� a P: a5i q L � O q w° bL � A N � N d h 0 en QI a C O .r Q � L y Pr wU R C ti 7 d u L al d V Fa N N 00 a F F N � z �Q0.i Ca 75 Ca wz z 0 Q U ° Vl �-1 Uw O � a O a ° �i w U 2 w W z o F � of W w � U oU � ° z W U w w O N O U Q O a z O U C 0 U 0 it Q 25M -183 i z °z a N d U � A > hb � C C v O T 9 aQ 00 G d � C G d N O v m c d II S� �VOS� oCC O y O O W C FF p Q F UU Z V Vi N � 'O a.AOrot YE' o z y LUi O Ca rn Q FG U F Q FG U I� �y F Fc coc O F Z O F A F W � C W O � q � ¢coci H Qaici U a F II O F d � O z � F O W � a U U m � q u°i droll H dmc_i 25M -183 i z °z a N d U � A > hb � C C v O T 9 aQ 00 G d � C G d N O v m c d S� �VOS� oCC O y O O W C N p N r UU U N y V Vi N 'O a.AOrot YE' y LUi [n V Vl ,O r� CO N � bOn � ro N W � N d C n 0 Q�I a Local Assistance Procedures Manual ]EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS ANo FINANCIAL MANAGEMENT SYSTEM (4`iow !f `requesting to utilize the ;Safe Harbor Indirect Cost Rate submit Attachment I of DL4 -OB 13 -07 4 Vafe Harbor Intiireet Cost Rate for Consultant Contracts found at h1iln11wwn% trait. ca .gdvlltglioeatProgramslDl,,,Li BIDL4 OB.hiat in Ilea oftlitsform ) Certification of Final Indirect Costs: Consultant Firm Name: CCp :Unlimited Inc Indirect Cost Rate: _____35% * for fiscalperiod Q&i1i201.34/ lz<0I4(mmddfyyy tommlddlyyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government GigvofSantaka Contract Number: RFP No. 14, 0, Project Number: N/A 1, the undersigned, certify that I have revie-wed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my- knowledge and belief: I, All casts included in this proposal to establish filial Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Fall 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFI, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of date of proposal: preparation noted above. Certification of Financial Management item: 1, the undersigned, certify-to the best of nay knowledge and belief that our Financial Management System meets the standards for financial reporting aeeounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Fart 18.20 to the extent applicable to Consultant: Certification of Dollar Amount for all A&E Contracts. 1, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ 400 000 and the number of states in which the firm does business is 2 Certification of Direct Costs: 1, the undersigned, certify, to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 3 L Allowable direct costs to a Government contract shall be: LPP 15-01 25M -184 Page I of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K s I. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable), 2. Compliant with the terms of the contract and is incurred specifically for the contract. Not prohibited by 23 CPR, Chapter 1, Pail 172 — Administration of Engineering and Design Related Service Ccdmacts to the extent requirements are applicable to Consultant, All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (inapplicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary); $ $ $ Consultant Certifying (Print blame and Title): Name: Abraham F Campos Title,: Vice President Consultant Certification Signature ** Date of Certification (mmlddtyy}y): 3Aixu4ry1q 2Q15 Consultant Contact Information: Email: abefc nrttcti nited.coin Phone number; 451 -268 -5268 "An individual executive or financial officer of the consultant's organizati President or Chief Financial tike, or equivalent, who has authority to rel utilized to establish the Indirect Castigate proposal submitted in conjunctio Note: pro, 23t'&C 11 2(b)( 2)( m,. SubconsUllants must comp g wall the F'R Cost Prinedg�i 23 CFR Part 1723 &JInionns state: f onsadrant means the individual or firm providing cog mtiee contract. Tlier� {air. saz6consrdtrznGsn3 parries oler toretract rrncrtcretnplede a aer�ti�rtr in local olgencv Protect lines. Distribution; 1) Orional to Caluan5 Audits and towstigations n at a level no lower than a Vice :sent the financial information with the contract, contained in 48 CFR Part 31, oering and design related seriaeea as a party vt and send originals to Ad! and keep copies 2) Retained in Local Agency Project Fd s Page 2 of 2 LPP 15 -01 January 14, 2019 25M -185 xa 0 0 a a L k O W U G Q Q QI °a Qi F U W Q x 0 H ti W I 7 A v L U Pr u N d S r w 0 v a 0 b f� U v 0 U .f] ✓1 O O U 0 M II G ti o 0 0 Q o H N .c M O N Ica � C4 �% z b O U ox r �b o ? U N ti O W O f U O � �b c w g U a a iiiiii a W w z O F O F a U U O F CC O z 01 25M -186 w c 0 � c y O ^ U � � � U � � N U W � o +- y � W U O � N O T a � b � � O U O G � N G N y � U N p p z G O jo � G U � � N Q N U w w N T* T s 7 C * � O U U O T p � d O � T � V b y � m zmw z N s_ k 3 w N � .tJ 3 0 c fV R N 7 � v U LL y O � ,G N 0 o � G4 L m Q �o Q w° .-+ M v� oN W N h 0 M a o � xwoz z z z z O U O O O O O O O O O O Q mN L o ro M n O N Q 69 69 o-3 FA 69 E9 � H3 69 m In M M V3 H3 63 M m M M 69 69 69 ,L' 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 T N N N N N E \ N N N N N N\ N f� L N N� N Ni N N N N Ni N N N N O t3 •� �' o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N N N N N N N N N N N N N N N N � w o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 W 0 0 0 O O O O O O 0 0 0 O O O 'n '. N b D\ In V N O\ W O O iD n In 0 V O O 'n C N NU 1n N N N N N N D1 r b h In c0 In pa F � Q\ O N N M T EH GN4 6N9 bN9 6N9 bN9 64 � 69 6�9 � 69 6R V3 69 a In 0 N N In O 'n 'n P d\ N V V1 fA 69 69 V3 69 69 69 fA 69 V3 64 69 69 fA 69 YO N � U W U G ' ❑ d Q 25M -186 w c 0 � c y O ^ U � � � U � � N U W � o +- y � W U O � N O T a � b � � O U O G � N G N y � U N p p z G O jo � G U � � N Q N U w w N T* T s 7 C * � O U U O T p � d O � T � V b y � m zmw z N s_ k 3 w N � .tJ 3 0 c fV R N 7 � v U LL y O � ,G N 0 o � G4 L m Q �o Q w° .-+ M v� oN W N h 0 M a N O W a O O rl d � L � o WU 7 a ^a U L Cw d F O U O F W N .Z. °z �zQ] L� z W tO+ t+ a 0 U C W O p 0 h G 0 9 25M -187 F °z H F4 O I N ° d .V p i 3 6 U ro T Yryry � tom. a o ° ?50o ° mw v 3 c A y o p 5 a°i •o `� '� � r O O o q o N A •+y v 0 �i .� N a`y O m • U N =� �4J d O > d C dF O N 7 « a ZE' 3v o 0 0 yr 4 y'� °d w° :? � 4 C � � o,�� o•o ^ ti d p U Ni F 0. vi O -.N ,. d'i,�er co N � an o �N � N q h 0 M 00.. a II z a z a tCV'�'VC/W"Tl ti O F Vl � W U ° � � F H F � � F U u � F vFi 0 y G WrF.l � � zF 6 1+01 U w0 m as z a H II O o Q r N vri• F F O ss •� W W W � 0. O v a i 25M -187 F °z H F4 O I N ° d .V p i 3 6 U ro T Yryry � tom. a o ° ?50o ° mw v 3 c A y o p 5 a°i •o `� '� � r O O o q o N A •+y v 0 �i .� N a`y O m • U N =� �4J d O > d C dF O N 7 « a ZE' 3v o 0 0 yr 4 y'� °d w° :? � 4 C � � o,�� o•o ^ ti d p U Ni F 0. vi O -.N ,. d'i,�er co N � an o �N � N q h 0 M 00.. a Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of DLA -0B 13-07- Safe Harbor Indirect Cost Rate for Consultant Contracts found at http: / /www.dot.ca.govl fayl LocalPrograms /DLA_OBIDLA_OB.him in lieu ofthisform.) Certification of Final Indirect Costs: Consultant Firm Name: WKE Inc Indirect Cost Rate: _ 137.6% * for fiscal period 1/1/2013 to 12/31/2013 *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: Gity of Santa Ana _ Contract Number: RFP No. 14 -037 Project Number: N/A 1, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: I. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ 10.850,000 and the number of states in which the firm does business is I Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP15 -01 January 14, 2015 25M -188 Local Assistance Procedures Manual EXHIBIT 10 -M Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ _ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary); $ $ Consultant Certifying (Print Name and Title): Name: Title: President Consultant Certification Signature * *: Date of Certification (mm /dd /yyyy): January 30 2015 Consultant Contact Information: Email: wkoo(a),wke- inc.com Phone number: 714- 953 -2665 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31, 23 CFR Part 172.3 Definitions slate: Consultant means the individual or firm providing engineering and design related services as a party to the contract. Therefore, subconsultants as parties of a contract must complete a certification and send originals to A &I and keep copies in Local Agency Project Files. Distribution; 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files LPP 15 -01 25M -189 Page 2 of 2 January 14, 2015 EXHIBIT C ADDITIONAL PROVISIONS CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES The following documents in reference to the on -call engineering services hereunder are hereby on file with the City of Santa Ana's Public Works Agency and are hereby incorporated by reference: • Request for Qualifications (RFQ) — RFQ No. 14 -037 • Statement of Qualifications (SOQ) -- in response to RFQ No. 14 -037 • Request for Proposal (RFP) — RFP No. 14 -037 • Proposal - -in response to RFP No. 14 -037 25M -190 EXHIBIT D ATTACHMENTS D -1, D -2, D -3 & D -4 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 25M -191 APPENDIX -- - -� ATTACHMENT D -1: NUN - COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14 -037 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 portion thereof shall also constitute signature of this Non - collusion Affidavit making a false certification may subject the certifier to criminal prosecution. —' Signed ' A" _ State of California County of _2KW?o e_ this Proposal on the signature . BIDDERS are cautioned that THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14 -037 Page 26 25M -192 APPENDIX ATTACHMENT D -2: NON - LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14 -037 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 Willdan Engineering Director of Engineering Date: November 17, 2014 Kenneth C. Taylor THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14.037 Page 27 25M -193 APPENDIX ATTACHMENT D -3: DEPARTMENT OF HOUSING & URBAN DEVELOPMENT SECTION 3 CONTRACT CLAUSE CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14 -037 DEPARTMENT OF HOUSING & URBAN DEVELOPMENT THUD) SECTION 3 CONTRACT CLAUSE A. The work to be performed under this contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (Section 3). The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD - assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low- and very low- income persons, particularly persons who are recipients of HUD assistance for housing. B. The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which implement Section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the part 135 regulations. C. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the contractor's commitments under this Section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin. D. The contractor agrees to include the Section 3 clause in every subcontract subject to compliance with regulations in 24 CFR Part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this Section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR Part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge of that the subcontractor has been found in violation of the regulations in 24 CFR Part 135, The Contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor Is selected, but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractor's obligations under 24 CFR Part 135. Noncompliance with HUD's regulations in 24 CFR part 35 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts, City of Santa Ana RFP 14 -037 Page 2$ 25M -194 G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self- Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (I) preference and opportunities for training and employment subcontracts shall be given to Indians, and (11) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the ripe mary Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract In which the project is located. It Is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income Individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area in which the project Is located (Orange County), A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1996 -97, minimum goal for each project Is 30 %. The Contractor /Sub - contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub- contractor /Service Provider has read Section 3 requirements and accepts all Its requirements contained therein for all of his /her operations within the City of Santa Ana. S>�9 �— ture Signature Signature Kenneth C. Taylor, Director of Engineering Print Name and Print Name and Title Print Name and Title November 17, 2014 Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. _PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14-037 Page 29 25M -195 Absolute Consulting Engineers - Form D -3 Signature Page G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self- Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (11) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the rip mare Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income Individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area in which the project Is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects In their neighborhoods. For fiscal year 1996 -97, minimum goal for each project is 30 %. The Contractor /Sub - contractor /Service Provider by the signature affixed hereto declares under penalty of perjury; Contractor /Sub - contractor /Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his/her operations within the City of Santa Ana. Signature Signature Print Name and Title Print Name and Title fl /idlZ ©lam Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROP ®SAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. Scanned by CamScanner 25M -196 BOA Architecture- Form D -3 Signature Page G. With respect to work performed In connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self - Determination and Education Assistance Act (25 U.S.C. 4500) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indlans, and (11) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises, Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the iof mary Section 3 covered project area Is the area in closest proximity to the actual construction work site within the U.S. Census Tract In which the project Is located. It Is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income Individual residing within the Section 3 area, whose total family Income does not exceed 80% of the median income of the metropolitan statistical area In which the project is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income, The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower Income residents (local residents) and job opportunities In connection with projects in their neighborhoods. For fiscal year 1998 -97, minimum goal for each project is 30 %. The Contractor/Sub- contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub- contractor /Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of hislher operations within the City of Santa Ana. Sig%n`a`ture / Signature Signature Print Name and Title UwRyd Lok Na, NesiAeoy Print Name and TitlIe Print Name and Title THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL, PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL SE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14.037 Page 29 25M -197 Coast Survey - Form D -3 Signature Page G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self - Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (11) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian-owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the rio Mary Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area In which the project is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income, The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1996 -97, minimum goal for each project is 30 %. The Contractor /Sub - contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor/Sub-contractor/Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his/her operations within the City of Santa Aria. Signature Signature Print Name and Title�� Print Name and Title Print Name and Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14 -037 Page 29 25M -198 Counts Unlimited - Form D -3 Signature Page C. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self - Determination and Education Assistance Act (25 U.S:C. 450e) also applies to the work to be performed under this contract• Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indian, and (ii) preference In the award of contracts and subcontracts shall be given to Indian organizations and Indian -awned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the rip mare Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the 'project is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section '3 area resident is any lower income Individual residing within the Section 3 area, whose total family income does not exceed 80°,'ia of the median income of the metropolitan statistical` area in which the project is located (Orange County), A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects In their neighborhoods. For fiscal year 1986 -97, minimum goal for each project is 30% The Contractorl Sub- oontractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor( Sub - contractor /Service Provider has read Section :3 requirements and accepts all Its requirements contained therein for all of hWher operations within the City of Santa Ana, igna re Signature Signature Abe Campos, Project Manager #Print Name and Title Print Name and Title Print Name and Title IM 25M -199 OMB - Form D -3 Signature Page G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self - Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (11) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Partiss to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the rip mary Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income Individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area in which the project Is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1996 -97, minimum goal for each project is 30 %. The Contractor /Sub - contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub- contractor /Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his /her operations within the City of Santa Ana. Signature S' ure Signature rint Name and Title Jeffrey C. Overmyer P.E. President Print Name and Title Print Name and Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14.037 Page 29 25M -200 WKE - Form D -3 Signature Page G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self - Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (ii) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not In derogation of compliance with Section 7(b). For the purpose of training and employment the rio mare Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area in which the project Is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower Income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1996 -97, minimum goal for each project is 30 %. The Contractor /Sub - contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub- contractor /Service Provider has read Section 3 requirements and accepts all Its requirements contained therein for all of hislher operations within the City of Santa Ana, Signature Signature Signature Print ��Na //me and Title Print Name and Title Print Name and Title /zo AY Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL, PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14 -037 Page 29 25M -201 APPENDIX ATTACHMENT D -4: CERTIFICATION OF NON - DISCRIMINATION BY CONSULTANTS CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14.037 As suppliers of goods or services to the City of Santa Aria, the Firm listed below certifies that it does not discriminate in its employment with regard to race, color, religion, sex, or national origin; that it is in compliance with all federal, state and local directives and executive orders regarding non- discrimination in employment and including, but not limited to, what is listed In the Non - Discrimination Clause in Exhibit 10 -V per: http: / /www dot ca aov /hg /LocalPrograms /lam/ forms /chapterl0 /l0v- 2010 -05 14 do and that it agrees to demonstrate positively and aggressively the principle of equal opportunity in employment. The same shall apply and be included in all subconsultant agreements. WE AGREE SPECIFICALLY: To take affirmative steps to hire minority employees with the company. 2. To establish or observe employment policies within affirmative promotion opportunities for minority persons at all job levels. To communicate this policy to all persons concerned, including all company employees, outside recruiting services, especially those servicing minority communities, and to the minority communities at large. FIRM willdan Engineering TITLE OF PERSON SIGNING Director of Engineering SIGNATURE R• November 17, 2014 Please include any additional information available regarding equal opportunity em Ip ovment programs now in effect within your company. THIS FORM MUST BE COMPLETED AND PROPOSALS THAT DO NOT CONTAIN THIS FORA Page 30 25M -202 PROFESSIONAL SERVICES AGREEMENT CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES THIS AGREEMENT is made and entered into this 5th day of August 2015 by and between AECOM (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of: On -Call Engineering Services to provide engineering services on an as- needed basis. Engineering services may include, but are not limited to, civil engineering, electrical engineering, traffic engineering, geotechnical, land /property surveying, structural, architecture and landscaping design services and grant writing services. Prior to issuing a Task Order, the City may request a detailed Scope of Work, for a specific project /task. If requested, the consultant would provide a task proposal, budget and schedule for the Task Order. From this the City may choose which consultant to assign the project/task to pursuant to this Agreement. 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 related field of expertise. 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. TERM This Agreement shall commence on the date first written above for a two (2) year term with the option for the City to grant up to two one -year renewal options exercisable by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below. Exhibit 5 25M -203 2. SCOPE OF WORK Consultant agrees to 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 Work - Exhibit A, attached hereto and incorporated by reference. Additional Agreement provisions, if any, may be contained in "Additional Provisions" attached hereto and incorporated into this Agreement as Exhibit C. 3. SCHEDULE OF SERVICES If a Task Order is issued, Consultant shall complete services and shall perform and deliver them to the City as described and detailed in Exhibit A and per the Task Order provided. The City may request that the Consultant provide a proposed scope of work, schedule and budget for a particular project or work product within a Task Order. If the City approves the Task Order, the City will issue a Notice to Proceed ( "NTP ") approved by the Executive Director of the Public Works Agency or his /her designee ( "Executive Director "). Consultant shall meet the work deliverables within the Task Order, the schedule and budget unless otherwise adjusted by the City. Such services shall be provided per written request of the Executive Director after the City's issuance of the NTP. 4. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates, fees, and charges identified in Exhibit B, "Compensation ", attached hereto, and incorporated by reference, in an amount not to exceed two hundred fifty thousand dollars ($250,000) over the entire life of the Agreement, including any renewal period(s). Exhibit B includes completed Federal Exhibits 10 -K and 10 -H along with all Consultant and subconsultant(s) rates and fees that comply with federal requirements. Exhibit D includes all previously completed Federal certification forms as part of the Proposal submittal in response to the Request for Proposals. These are attached hereto and incorporated herein as Attachment D- 1, D -2, D -3 and D -4. 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 disks (CD)s, USB jump drives or equivalent, 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 2 25M -204 shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 6. PAYMENTS & INVOICES a. Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. b. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: i. Consultant's invoice number and City's agreement number ii. Beginning and ending dates for services iii. City Project and/or Task Order number andor name (if applicable) iv. Work site address /location (if applicable) V. Tasks or deliverables completed, and percentage ( %) of total services completed. vi. Remaining Overall and Task Order budget available City will, within 45 days of receiving such statement in a manner that meets the City's requirements, review the statement and subsequently pay the approved charges thereon. 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, ajoint 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. 8. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which 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 25M -205 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, and $2,000,000, in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self- insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim and $2,000,000 annual aggregate shall be maintained. 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 in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City, except for 10 days' notice for non- payment of premium. 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 Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 25M -206 9. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), to any work performed or services provided under this Agreement arising out of, relating to or pertaining to the negligence, recklessness or willful misconduct of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 10. LAWS AND REGULATIONS Consultant shall keep itself frilly informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure to comply with such laws, rules or regulations. 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 25M -207 reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. (Also see Exhibit D.) 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 attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the authorized representatives of the parties. 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 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 the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product(s) 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. 3 25M -208 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. (Also see Exhibit D.) 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. The 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 facsimile 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 Facsimile (714) 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -5635 7 25M -209 To Consultant: AECOM Matt Ulukaya, PE 999 Town and Country Road Orange, CA 92868 Phone: (714) 567 -2400 Facsimile: (714) 567 -2441 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 facsimile, 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. Additional provisions, if any, are identified as Additional Provisions — Exhibit C, attached hereto and incorporated herein by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25M -210 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HIIIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Lisa Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director Public Works Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT: (Name) (Title) 25M -211 WO SCOPE OF WORK CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES I. GENERAL The City of Santa Ana (City) solicited proposals from professional consulting firms (Consultant) to provide engineering services on an as- needed basis. Engineering services may include civil engineering, electrical engineering, traffic engineering, geotechnical, land /property surveying, structural, architecture and landscaping design services and grant writing services. A detailed Scope of Work will be outlined when /if a specific project or Task Order is assigned to the consultant. The work, in general, consists of general engineering design projects on arterial and local streets, bike paths, and public parks, citywide. Funding sources for each project may vary ranging from local, Measure M2, state and federal and each project /task order assignment shall comply with the funding agency's requirements. The projects may include storm drain improvements; sidewalks, bike paths, curb and gutter replacement; slurry seal of residential streets; repair and overlay of asphalt concrete and /or PCC streets; signing, striping, neighborhood traffic studies, traffic signal modifications; landscaping and irrigation systems; park and recreational design, grant application writing, and other related projects as required. On occasion, environmental and planning support services may also be requested. The City may need consultant services for survey, mapping and legal description preparation, construction management, staking and inspection. Occasionally, the City may also need geotechnical, mechanical, electrical and/or structural services. The Consultant shall be able to assist the City through this contract to provide the necessary services. The Consultant shall utilize in -house staff and /or sub- consultants to complete the assignments to meet the City standards. For specialized work for which the prime consultant shall require a sub - consultant, the prime consultant shall serve as an administrative liaison between the City and the sub - consultant. The prime Consultant mark -up for sub - consultants shall not exceed 10 %. II. PROPOSED SCOPE OF SERVICES In general, the Consultant shall perform above noted engineering design services resulting in contract documents (plans, specifications and cost estimates "PS &E ") for various projects on an as- needed basis. However, work tasks may include studies or a variety of engineering or other 10 25M -212 tasks. If requested by the City, the Consultant shall provide a Work Plan which includes a detailed schedule of the assigned project prior to the issuance of Notice to Proceed of that particular project and /or Task Order. Specific Task Orders with Notices to Proceed ( "NTPs ") will be provided for project(s) at the discretion of the City. Work required per Task Order shall comply with the Scope of Services and additional provisions in each Task Order and this agreement. The Consultant shall also provide all field survey work required as appropriate and shall have the necessary experience and required civil, traffic, electrical, structural, geotechnical, surveying, landscape architect and architectural licenses for those in responsible- charge of the work being completed. The Consultant's services for PS &E engineering project preparation shall include, but not be limited to, the following: 1. Research existing records of utility companies and agencies and coordinate the proposed improvements with existing field conditions. 2. Provide all field survey and topographic work necessary to complete the design effort. Design level survey and base mapping of the project site shall be prepared in US Customary English units by a California licensed Land Surveyor in accordance with the City guidelines and in Microstation V8i Computer Aided Design and Drafting (CADD) format. The horizontal datum shall be NAD 83 and the vertical datum shall be NAVD 88. All survey field notes shall be on forms provided by the City, shall be neatly completed in pencil, and shall become property of the City upon completion of the project. Informal field investigations including marking of removal areas may be required for some of the sidewalk, curb and gutter, and pavement replacement projects. 3. Complete the design of projects including plans, specifications, and engineer's construction cost estimate. The Consultant shall contact manufacturers and /or contractors to verify the engineer's estimate prior to submitting to the City. Specifications shall be prepared in Microsoft Word and an electronic copy of the final version shall be furnished to the City. The City will provide the specification boiler plate to the Consultant. 4. If requested, all preliminary and bid sets of plans shall be plotted on bond or velum using the Microstation V8i CADD program. All drawings shall be completed per the City of Santa Ana CADD Standards. For interim submittals, the City may opt to receive only PDF versions of the plans for reviewing purposes. If so, the Consultant team will provided plans and/or specifications accordingly. 5. All original plan sheets, the title sheet of the specifications, calculations, and reports shall be signed and stamped by the Consultant's licensed professional engineer responsible /in- charge of the project. These signed originals shall then become the property of the City. 6. If a part of the on -call project scope, the Consultant shall provide support services during the bidding and construction phases of the project on an as needed basis, including, but not limited to: 11 25M -213 A. The Consultant shall respond to bidder inquiries during the bidding process, including preparation of any addenda. Following award of the construction contract, the Consultant shall attend the pre - construction meeting. B. The Consultant shall review and approve all submittals and shop plan drawings required supporting the construction contract. The Consultant shall complete shop drawings reviews within two (2) weeks of receipt. Contract Change Order reviews shall be completed within two (2) working days of receipt. C. The Consultant shall respond to written Requests for Information (RFI) to provide clarification or resolve discrepancies in the contract documents. Responses shall be completed within three (3) working days. D. The Consultant shall provide periodic field reviews and bring to the attention of the City of Santa Ana any defects or deficiencies in the work by the construction contractor which the Consultant may observe. The Consultant shall have no authority to issue instruction on behalf of the City of Santa Ana, or to deputize another to do so. 7. If included in the on -call project scope, upon completion of construction, the Consultant shall prepare as- builts and submit them to the City. The Consultant shall incorporate all changes to the plans electronically with all necessary revision notations. Once plans have been updated, a signed set of as -built mylars shall be submitted to the City with an electronic copy (in Microstation V8i CADD and pdf formats) of the final as -built drawings via CD or e -mail. 8. If included in the on -call project scope, the Consultant shall monitor the project progress, maintain project files, and control the quality of the work performed by in -house staff and /or sub - consultants. Incomplete (not meeting targeted completion) or poor quality work will not be accepted. The Consultant shall revise the documents within a revised schedule set by the City, which may require overtime. No additional compensation for regular or overtime hours necessary to complete this work to the satisfaction of the City shall be approved by the City for the required revisions. It is the responsibility of the Consultant to produce a professional - level quality of work product. 9. If included in the on -call project scope, attend meetings with the City staff as required. 10. If included in the on -call project scope, the Consultant shall coordinate plan check, design topics, permits and any other issues with the City, other Agencies, and all utility companies as required. At the direction of the City, the Consultant shall be the liaison with affected agencies. 11. If included in the on -call project scope, the Consultant shall be responsible for reviewing and approving addenda and clarifications to plans and specifications. III. GENERAL REQUIREMENTS All work shall be performed in conformance with the latest City of Santa Ana policies, procedures and standards, and applicable, regulatory, state and federal requirements. Consultant shall carry out the instructions received from the City of Santa Ana and shall cooperate with the City of Santa Ana and any other involved agencies. 12 25M -214 The Consultant shall have complete responsibility for the accuracy and completeness of all documents and plans prepared and shall check all such materials accordingly. The plans will be reviewed by the City of Santa Ana for conformity with the requirements of the Agreement. Reviews by the City of Santa Ana do NOT include detailed review or checking of design or the accuracy with which such designs are depicted in the documents and the plans. The responsibility for accuracy and completeness of such items remains solely that of Consultant. 4. The documents and plans furnished under the Agreement shall be of a quality acceptable to the City of Santa Ana. The criteria for acceptance shall be a product of neat appearance, well organized, technically and grammatically correct, checked, and dated and having the maker and checker identified. The Consultant shall have quality control procedures in effect during the entire time work is being performed under the Agreement. The quality control procedures shall establish a process which includes checking processes for PS &E preparation, an independent constructability review, correcting and back checking procedures, and all job related correspondence and memoranda dated and received by affected persons and then bound in appropriate job files. The City of Santa Ana reserves the right to request proof of said documentation. 6. The Consultant's work and all records shall be subject to inspections by representatives of the City of Santa Ana and funding agency requirements or audits if requested. Consultant certifies that it shall comply with the following regulations, as required by the (funding agency): a. Audit Records - With respect to all matters covered by this agreement all records shall be made available for audit and inspection by the City, the grant agency and /or their duly authorized representatives for a period of four (4) years from the termination of this Agreement. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant shall preserve and maintain all documents, papers and records relevant to the services provided in accordance with this Agreement, including the Attachments hereto. For the same time period, Consultant shall make said documents, papers and records available to City and the agency from which City received grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours. b. Information - Consultant shall provide to City all records and information requested by City for inclusion in quarterly reports and such other reports or records as City may be required to provide to the agency from which City received grant funds or other persons or agencies. 13 25M -215 C. Section 504 of the Rehabilitation Act of 1973 (Handicapped) - All recipients of federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act). Therefore, the federal funds recipient pursuant to the requirements of The Act hereby gives assurance that no otherwise qualified handicapped person shall, solely by reason of handicap be excluded from the participation in, be denied the benefits of or be subject to discrimination, including discrimination in employment, in any program or activity that receives or benefits from federal financial assistance. The Consultant agrees it will ensure that requirements of The Act shall be included in the agreements with and be binding on all of its contractors, subcontractors, assignees or successors. d. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable and the related guidelines that may be more recent. C. Political Activity - None of the funds, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act ". f. Civil Rights Compliance and Notification of Findings - Consultant, and all its contractors (or sub- recipients) will comply, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789 (d), or Victims of Crime Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title 11 of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; Department of Justice Non - Discrimination Regulations, 28 CFR Part 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the event a Federal or State court, Federal or State administrative agency, or the Consultant makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Consultant will forward a copy of the findings to the City which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Department of Justice. g. Equal Employment Opportunity - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable. h. Anti - Kickback Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Copeland "Anti- Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29 CFR Part 3), as applicable. 14 25M -216 i. Davis -Bacon Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Davis -Bacon Act (40 U.S.C. 276a to 276a- 7) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. j. Contract Work and Safety Standards Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of Sections 103 and 107 of the Contract Work and Safety Standards Act (40 U.S.C. 327 -330) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. lc. Clean Air Act - Consultant, and all its contractors (or sub - recipients) will comply, with all applicable standards, orders or requirements issued under Section 306 of the Clean Air Act (42 U.S.C. 1857(h)), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive Order 11738, and the Environmental Protection Agency regulations (40 CFR part 15), as applicable. 1. Energy Policy and Conservation Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Energy Policy and Conservation Act (Pub. L. 94 -163, 89 Stat. 871),(53 FR 8078, 8087, Mar. 11, 1988, as amended at 60 FR 19639, 19645, Apr. 19, 1995), as applicable. M. Patent - Consultant agrees that the funding agency shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with funding through this Agreement. n. Copyright - Consultant may copyright any books, publications or other copyrightable materials developed in the course of or under this Agreement. However, the federal awarding agency, State Administrative Agency (SAA) and City reserve a royalty -free, non - exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government, SAA and /or City purpose: i. the copyright in any work developed through this Agreement; and ii. any rights of copyright to which the subcontractor purchases ownership with support through this grant. The Federal government's, SAA's and City's rights identified above must be conveyed to the publisher and the language of the publisher's release form must ensure the preservation of these rights. IV. CITY RESPONSIBILITIES The City will provide the following: • All plan check coordination within the City • Sample boiler plate specifications to be utilized • Sample plans & City of Santa Ana's CADD Standards • Electronic files for title sheets and sheet borders 15 25M -217 EXHIBIT B COMPENSATION CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 25M -218 .AXOM AECOM 714.567.2500 tel 999Townand Country Road 714.567.2441 fax Orange, CA 92868 www.aeconn.com February 2, 2015 City of Santa Ana Attn: Ms. Monica Suter, PE, TE, PTOE Public Works Agency 20 Civic Center Plaza, 3rd Floor, Ross Annex Santa Ana, CA 92701 Subject: Exhibit 10 -H and 10 -K Forms for On -Call Engineering Services — RFP No: 14.037 Dear Ms. Suter: As requested by the City for RFP No. 14-037, attached are the Exhibit 10 -H and 10 -K forms for AECOM, as well as our two subconsultants listed below: Diaz - Yourman & Associates (DYA) Guide Surveying, Inc. The rates for our two subconsultants are in compliance with the Federal rate requirements and the 10 -H and 10- K forms. As a vice president and officer -in- charge with AECOM, I am legally authorized to contractually bind the company. I will also serve as the contact person for any contract related issues. Please feel free to reach me at my e-mail (matt.ulukavaa,aecom.com) or phone number (714) 567 -2642 if you have any questions or need any additional information, Sincerely, Matt Ulukaya, PE Vice President 16` Kendall Zirk Project Manager 25M -219 x� ao �Q F L k O Fy U O O � a �z 0 U S yy a O U Fz � o x W R c c w d e d e a v V Q 0 .a e �i ti N O o> o O U�Oo L ro � o A o W U w d) Q II � e O y v ro C z ro Y C O U 0 V b N O O + d O <.5 N O � Pa C w 0 U 0 H CC O w _O F U 1-� U 0 F 0 w _a 25M -220 d� �N r4 L O .y H 0 M a .a � Q1 b � b � U N U N N U N 69 fA EA M xwoz z z z z z z 0o vo o< o0 oe o0 00 0> 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 y h �ri vi vi vi vi vi vi vi vi vi � � � vi vi `o U o .5 Ol�r a,aO mrn .-i Mtn Q; v� N MO01 d' i0 o0 N MO Y3 69 64 69 Vi 69 A 69 £A ti � V3 fH 69 69 Y3 69 69 FA 64 69 69 Y3 64 69 � y ro � C L 4 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 O Ol M fIn CIn M M M M Pry Pn M fm M M M F' N ti N N Ni N N N N Ni N N N N N N N- N N N N `� vier �� vie t` moron vier` met` vi row �n �n t� 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 W 0 0 0 0 0 0 0 0 0 0 0 0 0 W 0 0 0 0 CJ 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 C� 7 d' M d' l- r W Q C\ O0 O �ryy her N N N rn d' ut N N N o0 a1O N b.�. 00 W QiO N D\O N N �O N N .. Nth � O 69 of 69 fA 69 V3 69 Yi 69 6R V3 V3 V3 64 69 69 N3 69 V3 V3 69 Vi 69 ••• ,-- M b Vl b� r iD b O r� 01 a\ � b �D �G b l0 b� M O Q � � � T w V3 69 Vi !� Yi 69 69 69 H3 69 69 69 69 69 69 69 69 69 69 69 69 N P P O N vt Q1 P L� r W P P M w t 09 n p+ yy � O Vl h O r Vl M M DO � 01 V � m M �--� 7 C` r Vl 00 Cl 00 O �6N9 � � � 6N96N9� 6469 FA 69 £A 6969 fA 6N9� EA 6N9� F/i 6969 0 U ro o � 'o^ c 'o^ U •o .p o en cLqP. 25M -220 d� �N r4 L O .y H 0 M a .a x 0 ti x x W a d 7 Q O Qi V C v 0 a 25M -221 N �n � N R P. d^ .r a �n �n vt n vlb bbb MM �+ NMrn cs v3 fa sz vi ss ss ss vj zs v3 � zv ss ysv G o � .9 O l�bN N y V N O o0 'r vl M .v. b In . N O w �n h . . . . . N 00 In N r cl' O N M — �--� M h =\ 00 O\ O T H9 69 H3 (R Vi 69 69 69 £A Y3 V3 V3 64 fA fA U O a a v ti ro o � a � m 0 0 o a e o 0 0 0 0 O O 0 o O O O O O O v, vi �n vi �ri vi vi vi h vi vi N Si O U U _ � N O V c3 yy h O In IT M Vi 'bjp W M 4n N O 1-: M V� �'mU b h Q\ M M M O N M M In h It t} d' 7 b= M M rn M 7 V1 N N N 69 69 69 69 69 64 69 69 64 Y3 69 V3 64 69 Y3 O � T U o U tNtl s. 20 .a 0 U N In b r h b t- 'n b h 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 T N N N N N N N N N N N N N N N O M f� M M M M fn fn fn M rn M M M M O F' N N N NNN N N N N N N N N N w 0 0 b Mbr v�b l� Vlbh vlb l� �nbr 0 0 W 8-0880 0 0 0 0 0 0 0 0 0 0 O b vi l� oo b O oo N W N 1 N h V1 b b [� M fn N C V� V V) O\ V h0�7 �n o+M Mi Q\I N O 00 Oi O NNV In rvy H Vi 69 .. fA 69 (f3 .ti 'r .N-. N .N- .N- V O V3 69 64 fA fA 64 £A 69 69 69 00 00 00 1p b l� M rn h vt h o0 d; N vi Gl d' Vl a\M 01 h bM O b.y _ � � ~ r� � O � � � 6�9 � V3 •--� •Ni •Mi 6�9 � T fH 69 64 69 H3 64 69 49 V+ 0 0b vi t�oob Ooo vi v rn �O N Vl vi D1 d' �n rnrn f�O. v� In 0 O Ch 69 69 69 69 69 .-i 69 69 .� 69 64 Yi Q0 £A Vi V3 69 69 �O Y- .y N � a ti E' ti ti O � U W W w U 25M -221 N �n � N R P. d^ .r a h 7 G o � .9 O y V b A N V U O d w � W � � ryNry � O a a v ti ro o � a � m _. en a � a F O O N Si E y U _ � N O V c3 yy + 0 q + N r y U O U o tNtl s. 20 0 25M -221 x� O p eti G F sue, hl a O LTA U d O ai QI 0 U O W 0 ��QII li d 7 d Pw U w y U 0 Q F � o z o d U o O V cW, ti °z �z U W� ao O H F 0 v, 0 U 25M -222 I- O z zd ai Q I M �n w O ro d � ti 5 N 9 O TC h O N � o 3 � o b F � � C O G b U ,d a o m o C7 Y -P m > o y 5 0 0 a 0 > � G � .Xi ❑T❑ w z o� p� ova o a� U ro � U H .F. my Ca �� as 3 yy •„ �3p a� � .F ou'd a ti 5 � a n vai �LCIU F dML) o � ra y o w Y' CmC W M ri F O •`� F � U z z F Q N iF4 O U Lit O P. ro W Q N � 6'CL1U F d0.lU 25M -222 I- O z zd ai Q I M �n w O ro d � ti 5 N 9 O TC h O N � o 3 � o b C � � C O G b ,d a o m o C7 Y -P m > o y 5 0 0 a 0 > � G � .Xi ❑T❑ w p� ova o a� U ro � U my �� as 3 yy •„ �3p a� � .F ou'd a ti 5 � a n 8 3 7 d o � ra y o w Y' CmC M Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of DLA -OB 13 -07- Safe Harbor Indirect Cost Rate far Consultant Contracts found at http: / /www. dot. ca gov/ hq /LocalProgramsIDLA_OB/DLA_OBAtm in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: AECOM Indirect Cost Rate: 1.40.16 * for fiscal period 1/5/2015 through 9/2/2015 *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: RFP No. 14 -037 Project Number: I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ $42,225,166.20 and the number of states in which the firm does business is 50 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP 15 -01 January 14, 2015 25M -223 Local Assistance Procedures Manual EXHIBIT 10 -IC Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ 50,000.00 Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ 150.000.00 Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary) Diaz Yourman & Associates $ 25.000.00 Guida Surveying $ 25.000.00 Consultant Certifying (Print Name and Title): Name: Matt Ulukaya Title: Vice President Consultant Certification Signature ** ! Yy4 Date of Certification (mm /dd /yyyy): 01/30/2015 Consultant Contact Information: Email: Matt.Ulukayagaecom.com Phone number: (714) 567 -2642 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 US. C. 112(b)(2)(B), Subconsultanis must comply with the FAR Cost Principles contained in 48 CFR, Part 31. 23 CFR Part 172.3 Definitions state: Consultant means the individual orfarm providing engineering and design related services as a parry to the contract. Therefore, subconsultants as parties of a contract must complete a certification and send originals to A &I and keep copies in Local Agency Project Files. Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files LPP 15 -01 25M -224 Page 2 of 2 January 14, 2015 Name o Company Classification Project Classification `Hourly Billing Rate EXHIBIT 10 -H COST PROPOSAL Actual/ average hourly rate % or $ Increase.' Hourly Range for Class ON -CALL CONTRACT 1,5X .5 Subconsultant: Diaz.Yourman & Associates Contract No. RFQ14 -037 Date: 1/2912015 V.R. Nadeswaran Fringe Beneflt% Overhead% G &A % Combined % NORMAL Incl. in OH + 215.68% + incl. in OH = 215.68% OVERTIME Incl. in OH + 215.68% + Incl. In OH = 215.68% 244.25 244.25 FEE % = 10.00% 12/31/2016 BILLING INFORMATION 3.00% CALCULATION INFORMATION 256.48 Name o Company Classification Project Classification `Hourly Billing Rate Effective date of hourly rate Actual/ average hourly rate % or $ Increase.' Hourly Range for Class Normal. 1,5X .5 OT 2X From To V.R. Nadeswaran 237.14 237.14 237.14 2/1/2015 12/31/2015 68.29 N/A Principal Engineer Engineering QA /QC Exempt 244.25 244.25 244.25 1/1/2016 12/31/2016 70.34 3.00% N/A 256.48 256.48 256.48 1/1/2017 12/31/2017 73.86 5.00% N/A 269.29 269.29 269.29 1/1/2018 12131/2018 77.55 5.00% N/A S. Mar anon 179.11 179.11 179.11 2/1/2015 12131/2015 51.58 N/A _ Associate Engineer Project Manager Exempt 184.49 184.49 184.49 1/1/2016 12/31/2016 53.13 3.00% N/A 193.73 193.73 193.73 1/1/2017 12/31/2017 55.79 5.00% N/A 203.42 203.42 1 203.42 1/112018 12/31/2018 58.58 5.00% N/A 193.54 193.54 193.54 2/1/2015 12/31/2015 55.74 54.27 to 57.2 Associate Engineer ll Engineering Analyses, Reporting Exempt 199.36 199.36 199.36 1/1/2016 12/31/2016 57.41 3.007% N/A 209.32 209.32 209.32 1/1/2017 12/31/2017 60.28 5.00% N/A 219.77 219.77 219.77 1/1/2018 12/31/2018 63.29 5.00% N/A 173.03 173.03 173.03 211/2015 12/31/2015 49.83 48.08 to 51.58 Associate Engineer l Engineering Analyses, Reporting Exempt 178.21 178.21 178.21 1/1/2016 12/31/2016 51.32 3.00% N/A 187.13 187.13 187.13 1/1/2017 12/31/2017 53.89 5.00% N/A 196.47 196.47 196.47 1/1/2018 12/31/2018 56.58 5.00% N/A 150.25 150.25 150.25 2/1/2015 12/31/2015 43.27 N/A Project Engineer ll ISA Exempt 154.77 154.77 1 154.77 1/1/2016 12/31/2016 44.57 3.00% N/A 162.51 162.51 162.51 1/1/2017 12/31/2017 46.80 5.00% N/A 170.64 170.64 170.64 1/1/2018 12/31/2018 49.14 5.00% N/A 101.74 101.74 101.74 2/1/2015 12/31/2015 29.30 29.26 to 29.34 Staff Engineer ll Data Review, Engineering Analyses Exempt 104.80 104.80 104.80 1/1/2016 12/31/2016 30.18 3.00% N/A 110.04 110.04 110.04 1/1/2017 12/31/2017 31.69 5.00% N/A 115.53 115.53 115.53 1/1/2018 12131/2018 33.27 5.00% N/A 92.37 92.37 92.37 2/112015 12/31/2015 26.60 26.44 to 26.76 Staff Engineer Data Review, Engineering Analyses Exempt 95.15 95.15 95.15 1/112016 12/31/2016 27.40 3.00% N/A 99.90 99.90 99.90 1/1/2017 12/31/2017 28.77 5.00% N/A 104.90 104.90 1 104.90 1/1/2018 12/31/2018 30.21 5.00% N/A 76.64 114.96 153.28 2/1/2015 1 12/31/2015 22.07 N/A CADD Non-Exempt 78.93 118.39 157.86 1/1/2016 12/31/2016 22.73 3.00% N/A 82.89 124.33 165.78 1/1/2017 12/31/2017 23.87 5.00% N/A 87.02 130.53 174.04 1/1/2018 12/31/2018 25.06 5.00% N/A 116.88 175.33 233.77 2/1/2015 12/31/2015 33.66 N/A Technical Editor/ Word Processor Non-Exempt 120.39 180.59 240.78 1/1/2016 12/3112016 34.67 3.00% N/A 126.40 189.60 252.80 1/1/2017 12/31/2017 36.40 5.00% 1 N/A 1 132.72 199.08 265.44 111/2018 12/31/2018 1 38.22 1 5.00% 1 N/A 1. Names and classifications of consultant (key staff) team members must be listed. Provide separate sheets for prime and all subconsultants firms. 2. Billing rate = actual hourly rate * (1 +ICR)* (! +Fee). Agreed upon billing rates are not adjustable for the term of contract. 3. For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Note: Denote all employees subject to prevailing wage with an asterisk ( *) For "Other Direct Cost" listing, see page 2 of this Exhibit. 25M -225 i, O 0 U O a M 4 a C7 K C Z A G U Q k°. a 0 e F o v o a v E A u j q « Y « 4 h S A > C q T C v ° a a °a o 3 d en sT� q> A OW m � a C ] q w h � ° o fi E y W q e 25M -226 F O �zo F F F � U Q F o q z O � F S � U p W A U y m Q m U F Q m U � F � F U U o5p u° C ¢ Q A a1 a � r5� II w e a F O p [y O 6 F z a o y a `n y Cm du Jo m Q F F N F a z F U a 9 W q h U O z a Q d � F F Q m r� Q f-0 U F Q 61 U W F o v o a v E A u j q « Y « 4 h S A > C q T C v ° a a °a o 3 d en sT� q> A OW m � a C ] q w h � ° o fi E y W q e 25M -226 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -OB 13-07- Safe Harbor Indirect Cost Rate for Consultant Contracts found at hitpr//www. dot. ca. gov/ hq/ LocalPrograms/DLA_OB/DLA_OB.him in lieu of thisform.) Certification of Final Indirect Costs: Consultant Firm Name: Diaz Yourman & Associates Indirect Cost Rate: 215.68 * for fiscal period 01/01/2013 to 12/31/2013 (mm/dd/yyyy to mm /dd/yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: Qy of Santa Ana Contract Number: RFP No. 14 -037 Project Number; I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 44, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ _0_ _ and the number of states in which the firm does business is 3 Certification of Direct Costs! 1, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP 15 -01 25M -227 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10-K Consultant Certification of Contract Costs and Financial Management System I . Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ 25.000 Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary) Consultant Certifying (Print Name and Title): Name: Christopher M Diaz PE GE Title: Principal Consultant Certification Signature Date of Certification (mm /dd /)yyy): 01/29/2015 Consultant Contact Information: Email: chrised diyyinirman.com Phone number: 714 - 245 -2920 **An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31. 23 CFR Part 1723 Definitions state: Consultant means the individual or firm providing engineering and design related services as a party to the contract. Therefore, subconsultants as parties of a contract must complete a certification and send originals to AV and keep copies in Local Agency Project Files, Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files LPP 15 -01 25M -228 Page 2 of 2 January 14, 2015 N G W O G O 0 U W w �y a a p U o +' L w � o o o v' o cd Q U �p L ti 'O xwoz z ^c1 C .O U N M UO LO o 0 6aF o o � a v o F � p o (V N U F 6 � �n U U O .1 v', � O •p O U y O O L 0 0 0 O H fn O d' O �D O\ c} �i• 00 z 0 � d O � O N V OEM rr 00 �D rCO �NM o ' � w w vac vev F � � sv sz sn ss ss ss � � W W � O ro U 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 T N N N N N N O N N N r F v Or U K N � L w � O �I 0 0 L� w F O O ad U a U O O G G O 0 U K w � •- ,o a p o +' L w �I 0 0 L� w F O O ad U a U O O 25M -229 W Q O N U V ro py � C � O p F y O F U kf � Q N U U p V WIB N O L o a � � � O •D o 0 � A by a o �3 0 m ww �n U •� 3 0 O D U N U z W w o e � L 0 M w N M iy • • QI z a G O U U U � •- ,o a p xwoz z z U N LO o 0 o e o o v o v o CV (V N cV N <V CJ CV N 60 L 0 0 0 O H fn O d' O �D O\ c} �i• 00 � O N V OEM rr 00 �D rCO �NM o o0o rrr <r�� vac vev ¢' s° v3 bs � sv sz sn ss ss ss ss cs v� vi ss ss ro 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 T N N N N N N N N N N N N N N N W ro 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 W 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 l N N O r M M Cl! � N N ON ON N N N N N N N N N N N sa psi N si v3 r»�»ss ss cs sv vj v3 ss sv av3 �� rO N �rti Nh 00 bvl to N00� F' to 000 � W Q\ a1 �� 00� �6N96N9 ��6N9 OOO moo W TO 6N9 6N46N9� Eff ff]6~9 0 N o r al N� hONi,m rT. Dvr M Cn N It Oi ri N 4\ f�cgm �o� ceoaa omo aro� — — — — — Cam/] 6Nh 6A N N N a 'n m — 'O p O by N ❑ ro o U i a U b � 00 ❑ � L _U 25M -229 W Q O N U V ro py � C � O p F y O F U kf � Q N U U p V WIB N O L o a � � � O •D o 0 � A by a o �3 0 m ww �n U •� 3 0 O D U N U z W w o e � L 0 M w N M iy • • QI z a N N on a a 0 Pr °x Pr 0 `i 0 Pr W 6F F� z U 0 y Z °z Q z w W t� z U. O; N 0 N N Q O z c O 7 N O p 0 0 Aw 25M -230 W z z z H 0 a t� m n. J y- C N N G ° O C C O YCC C� N Y ti O N ro Q C eA ai r�. N U x GUi o p> U � a U O O O U a• V O 0. z b m ❑ a T ❑'y y'+w�' Y � - °' E 44, 5 V O ro ry O P. E U o 0 c 80 w > tl O� U 0A O r� o r.5 oa 1pF O V] a � F U � M U Par a U 7 F O U W F F � u H �A F ® o o m H O Z a O o Z z F O Pr W pr O rn p° F � o F w ; � Ca cn 6' 0.'1 U F Q 0.l U 25M -230 W z z z H 0 a t� m n. J y- C N N G ° C C O YCC C� N Y ti O N ro Q C eA ai r�. N U x GUi o p> U � a U O O O U a• V O 0. b m ❑ a T ❑'y y'+w�' Y - °' E 44, y f+ N V O ro ry O P. E U o 0 c 80 > tl O� U 0A O r� r.5 oa M Par a EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of DLA -OB I3 -07- Safe Harbor Indirect Cost Rate for Consultant Contracts found at http: / /www. dot .ca.govlhglLocalProgramsIDLA_OB /DLA OB.htin in lieu of thisform.) Certification of Final Indirect Costs: Consultant Firm Name: Guida Surveying Inc. Indirect Cost Rate: 176.27% * for fiscal period 01/01114 to 11/31 �1mm /dd /yyyy to mm/dd /yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: Project Number: RFQ - 037 I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management Svstem: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ 300,000 and the number of states in which the firm does business is 1 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Pagel of 2 LPP 15 -01 January 14, 2015 25M -231 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ 25,000.00 Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): $ Consultant Certifying (Print Name and Title): Name: Ralph W. Guida IV Title: President of Survey Operations Consultant Certification Signature * *: Date of Certification (mm /dd /yyyy): Consultant Contact Information: 01 -29 -15 Email: rguidaiv@guidasurveying.com Phone number: 949- 777 -2000 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 US. C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31. 23 CFR Part 172.3 Definitions state: Consultant means the individual orfirmproviding engineering and design related services as aparty to the contract. Therefore, subconsultants as parties ofa contract must complete a certification and send originals to A&I and keep copies in Local Agency Project Files. Distribution: 1) Original to Coltrane Audits and Investigations 2) Retained in Local Agency Project Files LPP 15 -01 25M -232 Page 2 of 2 January 14, 2015 EXHIBIT C ADDITIONAL PROVISIONS CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES The following documents in reference to the on -call engineering services hereunder are hereby on file with the City of Santa Ana's Public Works Agency and are hereby incorporated by reference: • Request for Qualifications (RFQ) — RFQ No. 14 -037 • Statement of Qualifications (SOQ) -- in response to RFQ No. 14 -037 • Request for Proposal (RFP) — RFP No. 14 -037 • Proposal - -in response to RFP No. 14 -037 25M -233 EXHIBIT D ATTACHMENTS D -1, D -2, D -3 & D -4 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 25M -234 re1YHUm City of Santa Ana Public Works Agency On -Call Engineering Services • RFP No.: 14 -037 APPENDIX ATTACHMENT D -1: NON - COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14.037 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 hot 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 pot 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 falser certification �may fsubject the certifier to criminal prosecution. SignedVt�`vcn<h`j" State of California Matt Ulukaya County of Subscribed and sworn to (or affirmed) before me on this J day of am n+taF 20J_+ by hqA±I_ij l uld,a.u( , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me: JULIE ANN NEAL Commlulon N 2027242 $ " Notary Public - California 2 ennen fmmN City of Santa Ana RFP 14 -037 Page 26 25M -235 City of Santa Ana Public Works Agency On -Call Engineering Services - RFP No.: 14 -037 FAMEALI — APPENDIX ATTACHMENT D -2: NON - LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14.037 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 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 Name AECOM Technical Services Signed and PrintedName:_�6�4 Matt Ulukaya Title: Vice President gate. November 17, 2014 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14.037 Page 2'7 25M -236 AECOM City of Santa Ana Public Works Agency O On -Call Engineering Services • RFP No.: 14 -037 APPENDIX ATTACHMENT D -3: DEPARTMENT OF HOUSING & URBAN DEVELOPMENT SECTION 3 CONTRACT CLAUSE CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14.037 DEPARTMENT OF HOUSING & URBAN DEVELOPMENT (HUD) SECTION 3 CONTRACT CLAUSE A. The work to be performed under this contract Is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701 u (Section 3). The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD- assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low- and very low- Income persons, particularly persons who are recipients of HUD assistance for housing. B. The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which implement Section 3, As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other Impediment that would prevent them from complying with the part 135 regulations. C. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the contractor's commitments under this Section 3 clause, and will post copies of the notice In conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin. D. The contractor agrees to include the Section 3 clause in every subcontract subject to compliance with regulations in 24 CFR Part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this Section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR Part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge of that the subcontractor has been found in violation of the regulations in 24 CFR Part 135. E. The Contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor is selected, but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractors obligations under 24 CFR Part 135. F. Noncompliance with HUD's regulations in 24 CFR part 35 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts. City of Santa Ana RFP 14 -037 Page 28 25M -237 City of Santa Ana Public Works Agency On -Call Engineering Services • RFP No.: 14 -037 AECOM G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) Is of the Indian Self - Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (I) preference and opportunities for training and employment subcontracts shall be given to Indians, and (il) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the rin mare Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract In which the project is located. It Is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income Individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area in which the project is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1996 -97, minimum goal for each project is 30 %. The Contractor /Sub- contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub - contractor /Service Provider has read Section 3 requirements and accepts all Its requirements contained therein for all of his /her operations within the City of Santa Ana. /1 nom Vero\ Signature Signature Signature Matt Ulukaya, Vice President Print Name and Title Print Name and Title Print Name and Title November 17, 2014 I THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14 -037 Page 29 25M -238 AECOM City of Santa Ana Public Works Agency On -Call Engineering Services - RFP No.: 14 -037 APPENDIX ATTACHMENT D -4: CERTIFICATION OF NON - DISCRIMINATION BY CONSULTANTS CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14.037 As suppliers of goods or services to the City of Santa Ana, the Firm listed below certifies that it does not discriminate in its employment with regard to race, color, religion, sex, or national origin; that it is in compliance with all federal, state and local directives and executive orders regarding non - discrimination in employment and including, but not limited to, what is listed in the Non - Discrimination Clause in Exhibit 10 -V per: httr)://www,dot.ca.gov/hq/LocalPrograms/lam/forms/chapterlO/l Ov-2013-05-14.docx and that it agrees to demonstrate positively and aggressively the principle of equal opportunity In employment. The same shall apply and be included in all subconsultant agreements. WE AGREE SPECIFICALLY: To take affirmative steps to hire minority employees with the company. 2. To establish or observe employment policies within affirmative promotion opportunities for minority persons at all job levels. 3. To communicate this policy to all persons concerned, including all company employees, outside recruiting services, especially those servicing minority communities, and to the minority communities at large. FIRM AECOM Technical Services TITLE OF PERSON SIGNING SIGNATURE DATE November 17,2014 M t Ulu aya, Vice President 0\ THIS FORM MUST BE COMPLETED AND PROPOSALS THAT DO NOT CONTAIN THIS FORA is Ana RFP 14 -037 Page 30 25M -239 25M -240 PROFESSIONAL SERVICES AGREEMENT CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES THIS AGREEMENT is made and entered into this 5th day of August 2015 by and between RBF Consulting, a Company of Michael Baker International (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of: On -Call Engineering Services to provide engineering services on an as- needed basis. Engineering services may include, but are not limited to, civil engineering, electrical engineering, traffic engineering, geotechnical, land /property surveying, structural, architecture and landscaping design services and grant writing services. Prior to issuing a Task Order, the City may request a detailed Scope of Work, for a specific project /task. If requested, the consultant would provide a task proposal, budget and schedule for the Task Order. From this the City may choose which consultant to assign the project/task to pursuant to this Agreement. 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 related field of expertise. 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. TERM This Agreement shall commence on the date first written above for a two (2) year term with the option for the City to grant up to two one -year renewal options exercisable by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below. Exhibit 6 I 25M -241 2. SCOPE OF WORK Consultant agrees to 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 Work - Exhibit A, attached hereto and incorporated by reference. Additional Agreement provisions, if any, may be contained in "Additional Provisions" attached hereto and incorporated into this Agreement as Exhibit C. 3. SCHEDULE OF SERVICES If a Task Order is issued, Consultant shall complete services and shall perform and deliver them to the City as described and detailed in Exhibit A and per the Task Order provided. The City may request that the Consultant provide a proposed scope of work, schedule and budget for a particular project or work product within a Task Order. If the City approves the Task Order, the City will issue a Notice to Proceed ( "NTP ") approved by the Executive Director of the Public Works Agency or his /her designee ( "Executive Director "). Consultant shall meet the work deliverables within the Task Order, the schedule and budget unless otherwise adjusted by the City. Such services shall be provided per written request of the Executive Director after the City's issuance of the NTP. 4. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates, fees, and charges identified in Exhibit B, "Compensation ", attached hereto, and incorporated by reference, in an amount not to exceed two hundred fifty thousand dollars ($250,000) over the entire life of the Agreement, including any renewal period(s). Exhibit B includes completed Federal Exhibits 10 -K and 10 -H along with all Consultant and subconsultant(s) rates and fees that comply with federal requirements. Exhibit D includes all previously completed Federal certification forms as part of the Proposal submittal in response to the Request for Proposals. These are attached hereto and incorporated herein as Attachment D- 1, D -2, D -3 and D -4. 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 disks (CD)s, USB jump drives or equivalent, 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 2 25M -242 shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 6. PAYMENTS & INVOICES a. Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. b. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: i. Consultant's invoice number and City's agreement number ii. Beginning and ending dates for services iii. City Project and /or Task Order number andor name (if applicable) iv. Work site address /location (if applicable) V. Tasks or deliverables completed, and percentage ( %) of total services completed. vi. Remaining Overall and Task Order budget available City will, within 45 days of receiving such statement in a manner that meets the City's requirements, review the statement and subsequently pay the approved charges thereon. 7. 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. 8. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which 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 3 25M -243 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, and $2,000,000, in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's 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. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work Linder this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim and $2,000,000 annual aggregate shall be maintained. 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 in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City, except for 10 days' notice for non- payment of premium. 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 Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 25M -244 9. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), to any work performed or services provided tinder this Agreement arising out of, relating to or pertaining to the negligence, recklessness or willful misconduct of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 10. LAWS AND REGULATIONS Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure to comply with such laws, rules or regulations. 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 5 25M -245 reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. (Also see Exhibit D.) 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 attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the authorized representatives of the parties. 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 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 the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product(s) 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. 6 25M -246 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. (Also see Exhibit D.) 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. The 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 facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Cleric of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Facsimile (714) 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -5635 F 25M -247 To Consultant: RBF Consulting, a Company of Michael Baker International Mike Chesney, PE 14725 Alton Parkway Irvine, CA 92618 Phone: (949) 855 -5792 Facsimile: (949) 330 -4130 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 facsimile, 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. Additional provisions, if any, are identified as Additional Provisions — Exhibit C, attached hereto and incorporated herein by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25M -248 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Lisa Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOU'R Executive Director Public Works Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT: (Name) (Title) 9 25M -249 SCOPE OF WORK CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES I. GENERAL The City of Santa Ana (City) solicited proposals from professional consulting firms (Consultant) to provide engineering services on an as- needed basis. Engineering services may include civil engineering, electrical engineering, traffic engineering, geotechnical, land /property surveying, structural, architecture and landscaping design services and grant writing services. A detailed Scope of Work will be outlined when /if a specific project or Task Order is assigned to the consultant. The work, in general, consists of general engineering design projects on arterial and local streets, bike paths, and public parks, citywide. Funding sources for each project may vary ranging from local, Measure M2, state and federal and each project /task order assignment shall comply with the funding agency's requirements. The projects may include storm drain improvements; sidewalks, bike paths, curb and gutter replacement; slurry seal of residential streets; repair and overlay of asphalt concrete and/or PCC streets; signing, striping, neighborhood traffic studies, traffic signal modifications; landscaping and irrigation systems; park and recreational design, grant application writing, and other related projects as required. On occasion, environmental and planning support services may also be requested. The City may need consultant services for survey, mapping and legal description preparation, construction management, staking and inspection. Occasionally, the City may also need geotechnical, mechanical, electrical and/or structural services. The Consultant shall be able to assist the City through this contract to provide the necessary services. The Consultant shall utilize in -house staff and /or sub- consultants to complete the assignments to meet the City standards. For specialized work for which the prime consultant shall require a sub - consultant, the prime consultant shall serve as an administrative liaison between the City and the sub - consultant. The prime Consultant marls -up for sub - consultants shall not exceed 10 %. II. PROPOSED SCOPE OF SERVICES In general, the Consultant shall perform above noted engineering design services resulting in contract documents (plans, specifications and cost estimates "PS &E ") for various projects on an as- needed basis. However, work tasks may include studies or a variety of engineering or other [G 25M -250 tasks. If requested by the City, the Consultant shall provide a Work Plan which includes a detailed schedule of the assigned project prior to the issuance of Notice to Proceed of that particular project and /or Task Order. Specific Task Orders with Notices to Proceed ( "NTPs ") will be provided for project(s) at the discretion of the City. Work required per Task Order shall comply with the Scope of Services and additional provisions in each Task Order and this agreement. The Consultant shall also provide all field survey work required as appropriate and shall have the necessary experience and required civil, traffic, electrical, structural, geotechnical, surveying, landscape architect and architectural licenses for those in responsible- charge of the work being completed. The Consultant's services for PS &E engineering project preparation shall include, but not be limited to, the following: 1. Research existing records of utility companies and agencies and coordinate the proposed improvements with existing field conditions. 2. Provide all field survey and topographic work necessary to complete the design effort. Design level survey and base mapping of the project site shall be prepared in US Customary English units by a California licensed Land Surveyor in accordance with the City guidelines and in Microstation V8i Computer Aided Design and Drafting (CADD) format. The horizontal datum shall be NAD 83 and the vertical dat un shall be NAVD 88. All survey field notes shall be on forms provided by the City, shall be neatly completed in pencil, and shall become property of the City upon completion of the project. Informal field investigations including marking of removal areas may be required for some of the sidewalk, curb and gutter, and pavement replacement projects. 3. Complete the design of projects including plans, specifications, and engineer's construction cost estimate. The Consultant shall contact manufacturers and /or contractors to verify the engineer's estimate prior to submitting to the City. Specifications shall be prepared in Microsoft Word and an electronic copy of the final version shall be furnished to the City. The City will provide the specification boiler plate to the Consultant. 4. If requested, all preliminary and bid sets of plans shall be plotted on bond or velum using the Microstation V8i CADD program. All drawings shall be completed per the City of Santa Ana CADD Standards. For interim submittals, the City may opt to receive only PDF versions of the plans for reviewing purposes. If so, the Consultant team will provided plans and /or specifications accordingly. 5. All original plan sheets, the title sheet of the specifications, calculations, and reports shall be signed and stamped by the Consultant's licensed professional engineer responsible /in- charge of the project. These signed originals shall then become the property of the City. 6. If a part of the on -call project scope, the Consultant shall provide support services during the bidding and construction phases of the project on an as needed basis, including, but not limited to: 11 25M -251 A. The Consultant shall respond to bidder inquiries during the bidding process, including preparation of any addenda. Following award of the construction contract, the Consultant shall attend the pre- construction meeting. B. The Consultant shall review and approve all submittals and shop plan drawings required supporting the construction contract. The Consultant shall complete shop drawings reviews within two (2) weeks of receipt. Contract Change Order reviews shall be completed within two (2) working days of receipt. C. The Consultant shall respond to written Requests for Information (RFI) to provide clarification or resolve discrepancies in the contract documents. Responses shall be completed within three (3) working days. D. The Consultant shall provide periodic field reviews and bring to the attention of the City of Santa Ana any defects or deficiencies in the work by the construction contractor which the Consultant may observe. The Consultant shall have no authority to issue instruction on behalf of the City of Santa Ana, or to deputize another to do so. 7. If included in the on -call project scope, upon completion of construction, the Consultant shall prepare as- builts and submit them to the City. The Consultant shall incorporate all changes to the plans electronically with all necessary revision notations. Once plans have been updated, a signed set of as -built mylars shall be submitted to the City with an electronic copy (in Microstation V8i CADD and pelf formats) of the final as -built drawings via CD or e -mail. 8. If included in the on -call project scope, the Consultant shall monitor the project progress, maintain project files, and control the quality of the work performed by in -house staff and /or sub - consultants. Incomplete (not meeting targeted completion) or poor quality work will not be accepted. The Consultant shall revise the documents within a revised schedule set by the City, which may require overtime. No additional compensation for regular or overtime hours necessary to complete this work to the satisfaction of the City shall be approved by the City for the required revisions. It is the responsibility of the Consultant to produce a professional - level quality of work product. 9. If included in the on -call project scope, attend meetings with the City staff as required 10. If included in the on -call project scope, the Consultant shall coordinate plan check, design topics, permits and any other issues with the City, other Agencies, and all utility companies as required. At the direction of the City, the Consultant shall be the liaison with affected agencies. 11. If included in the on -call project scope, the Consultant shall be responsible for reviewing and approving addenda and clarifications to plans and specifications. III. GENERAL REQUIREMENTS 1. All work shall be performed in conformance with the latest City of Santa Ana policies, procedures and standards, and applicable, regulatory, state and federal requirements. 2. Consultant shall carry out the instructions received from the City of Santa Ana and shall cooperate with the City of Santa Ana and any other involved agencies. 12 25M -252 3. The Consultant shall have complete responsibility for the accuracy and completeness of all documents and plans prepared and shall check all such materials accordingly. The plans will be reviewed by the City of Santa Ana for conformity with the requirements of the Agreement. Reviews by the City of Santa Ana do NOT include detailed review or checking of design or the accuracy with which such designs are depicted in the documents and the plans. The responsibility for accuracy and completeness of such items remains solely that of Consultant. 4. The documents and plans furnished under the Agreement shall be of a quality acceptable to the City of Santa Ana. The criteria for acceptance shall be a product of neat appearance, well organized, technically and grammatically correct, checked, and dated and having the maker and checker identified. 5. The Consultant shall have quality control procedures in effect during the entire time work is being performed under the Agreement. The quality control procedures shall establish a process which includes checking processes for PS &E preparation, an independent constructability review, correcting and back checking procedures, and all job related correspondence and memoranda dated and received by affected persons and then bound in appropriate job files. The City of Santa Ana reserves the right to request proof of said documentation. 6. The Consultant's work and all records shall be subject to inspections by representatives of the City of Santa Ana and funding agency requirements or audits if requested. Consultant certifies that it shall comply with the following regulations, as required by the (funding agency): a. Audit Records - With respect to all matters covered by this agreement all records shall be made available for audit and inspection by the City, the grant agency and /or their duly authorized representatives for a period of four (4) years from the termination of this Agreement. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant shall preserve and maintain all documents, papers and records relevant to the services provided in accordance with this Agreement, including the Attachments hereto. For the same time period, Consultant shall make said documents, papers and records available to City and the agency from which City received grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours. b. Information - Consultant shall provide to City all records and information requested by City for inclusion in quarterly reports and such other reports or records as City may be required to provide to the agency from which City received grant finds or other persons or agencies. 13 25M -253 C. Section 504 of the Rehabilitation Act of 1973 (Handicapped) - All recipients of federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act). Therefore, the federal funds recipient pursuant to the requirements of The Act hereby gives assurance that no otherwise qualified handicapped person shall, solely by reason of handicap be excluded from the participation in, be denied the benefits of or be subject to discrimination, including discrimination in employment, in any program or activity that receives or benefits from federal financial assistance. The Consultant agrees it will ensure that requirements of The Act shall be included in the agreements with and be binding on all of its contractors, subcontractors, assignees or successors. d. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable and the related guidelines that may be more recent. e. Political Activity - None of the funds, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act ". f Civil Rights Compliance and Notification of Findings - Consultant, and all its contractors (or sub - recipients) will comply, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789 (d), or Victims of Crime Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title I1 of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; Department of Justice Non - Discrimination Regulations, 28 CFR Part 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the event a Federal or State court, Federal or State administrative agency, or the Consultant makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Consultant will forward a copy of the findings to the City which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Department of Justice. g. Equal Employment Opportunity - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable. h. Anti - Kickback Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Copeland "Anti- Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29 CFR Part 3), as applicable. 14 25M -254 Davis -Bacon Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Davis -Bacon Act (40 U.S.C. 276a to 276a- 7) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. j. Contract Work and Safety Standards Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of Sections 103 and 107 of the Contract Work and Safety Standards Act (40 U.S.C. 327 -330) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. k. Clean Air Act - Consultant, and all its contractors (or sub - recipients) will comply, with all applicable standards, orders or requirements issued under Section 306 of the Clean Air Act (42 U.S.C. 1857(h)), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive Order 11738, and the Environmental Protection Agency regulations (40 CFR part 15), as applicable. 1. Energy Policy and Conservation Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Energy Policy and Conservation Act (Pub. L. 94 -163, 89 Star. 871),(53 FR 8078, 8087, Mar. 11, 1988, as amended at 60 FR 19639, 19645, Apr. 19, 1995), as applicable. m. Patent - Consultant agrees that the funding agency shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with funding through this Agreement. n. Copyright - Consultant may copyright any books, publications or other copyrightable materials developed in the course of or under this Agreement. However, the federal awarding agency, State Administrative Agency (SAA) and City reserve a royalty -free, non - exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government, SAA and /or City purpose: i. the copyright in any work developed through this Agreement; and ii. any rights of copyright to which the subcontractor purchases ownership with support through this grant. The Federal government's, SAA's and City's rights identified above must be conveyed to the publisher and the language of the publisher's release form must ensure the preservation of these rights. IV. CITY RESPONSIBILITIES The City will provide the following: • All plan check coordination within the City • Sample boiler plate specifications to be utilized • Sample plans & City of Santa Ana's CADD Standards • Electronic files for title sheets and sheet borders 15 25M -255 EXHIBIT B COMPENSATION CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 25M -256 We Make a Difference INTERNATIONAL February 2, 2015 Ms. Monica M. Suter, PE, TE, PTOE I Project Manager City of Santa Ana I Public Works Agency 20 Civic Center Plaza, 31d Floor, Ross Annex Santa Ana, CA 92701 Subject: Exhibits 10 -K and 10•H I RFP No. 14.037; On -Call Engineering Services Dear Ms. Suter: As requested for RFP No. 14 -037 On -Call Engineering Services, enclosed are the completed and signed Exhibit 10 -K Consultant Certification of Contract Costs and Financial Management System and 10 -H Cost Proposal forms for RBF Consulting, a Michael Baker International Company. Our team includes the following subconsultant firms: • Advanced Civil Technologies (ACT) Consulting • Diaz Yourman and Associates Should you have any questions, I can be contacted at 949.855.5792 or mchesnevCoimbakerintl.com. We look forward to supporting the City of Santa Ana though this contract. i 4725 Alton Parkway I Irvine, CA 92618 1ma �...e.. KAFkMAK ///snuvroL MBAKERIN'i'L.COM Office: 949.472.35051 Fax: 949.472 8373 25M -257 ao a L O m a X o W U 0 v m a J '^ ®Q v/ CL ^w LL N O U 2 0 r m W O C M N O a` N U C a@.r Q U J I 0 N 0 @ C @ 7 d l6 d R t O T C a E 0 U R o O) C w m a o U U � M y a� m C C O a N O C @ O u a � o C � O) n W E 0 U e o 09 N e � o L N d N 0 e d y o m c C IL II o O O LL Z O w U w J LL Q U Z _O CQ GNN LJ� O LL Z V Z J J m w d d) ry ¢ ¢ Q ¢ ¢ a a ¢ ¢ ¢ ¢ Q - Z z Q z Q z ¢ z z Z Z Z Z Z z z Z Z Z TU 0 d 0 0 0 0 e 0 0 0 0 0 0 0 0 0 0 0 a e O O 0 O N O 16 p O L6 0 ui 0 p O 0 0 p 0 0 0 T ai d O o M M M M M M M M M M M M M M M M a � >` d _ 0 d L W N N N N N N i N Q Q` Q x U U U U U U U U U U U U U U U U O N Z Z Z Z `Z Z `Z `Z Z Z Z Z Z Z z z d R rn c F x U U U U U U U U U U U U U U U U m O z Z Z Z Z Z Z z Z z z Z Z Z z Z T L 0 O 2 N O O N-- W W M N (O W O> Z N N N N M M - � N N N N N M N N N N Ol � d o •A U 0I C k W N � R C U Ti a � w a m� W �- d E a>i 3 E Y O x O > X > X @ N@ X w I H U La u 25M -258 �o O N m ,- m a � @ 7 O I CL a J O N r- O O m a` X U N _a d m a ♦Q♦� v/ O CL N w IL 0) O v i m W I O N M m c m d m r M O V d Z a LL N O U d d L U g 0 T C Q E O U d C W a+ Y o � O. O U v� LL y K BO C W w 0 U N O C m 0 U O D o d t0 0 E o r O LL Z O g o W () 0 o LL J � Q U e v o L N `d m O + Z e Q d Q y o d a O a LL. L Z V Z J JFO w d m Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z T (1 z 0 0 2 O p 0 0 0 p O 0 0 p O 0 0 p 0 0 0 e T i 0 jy t d O r O V M OR 0 0 N M (O m M n O Q � d 0 0 0 0 00 0 0 0 0 0 00 0 0 00 0 0 O it N N p 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 d d M M M M M M M M M M M M M M M M N A (O (D (0 (O (O (O (O N (O (O (D (O (O f0 (D (O D � 0 d L W H x U U U U U U U U U U U U U U U U O N Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z. v .. C L H X U U U U U U U U U U U U U U U U m O Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z T 0 O 2 � m c- M M 7 0 7 N 7 CO N N I- WU� (O m M V W (D M N Z ON N N N M O^ O M O O O r N N N M c 0 U d w N j d d 3 Q y c> c> m e > d E d d m U m U ❑ m U Z a C c 0_ 'o W 6 J W i. 6 G W i. 6 D _ O d p O d d d O d d F J W m d CL W Q U. CC W m a. of W 25M -259 LO O N N m Z a � c m f O N O r n ma X= N W U N O N a IQI^ V/ O a O a N O V 2 I r f° m 2 W m C f0 G N a U O IL U f0 N N Q U O J I O N O M m d m r M O d O Z a LL U £ c U d t O s a E a U E t C B B 0 ov U d M m C f0 rn O N O C m O U I- �6 0 � U r O LL z O Q J o w U UJ o LL J a r Gl c� L6 U 0 d L CJ d (L6O 0 z e QN d Q d r m d O c LL LL Z V z J J E5 25M -260 O N M d' N r m Z' a 3 c m O Lh d fl. J s d N N Q Q Q Q Q Q Q Q Q a Q a Q Q Q a Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z TU 0 0 S vs udi o 0 0 0 0 0 0 0 0 0 0 0 o o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 e C Ln to lfl L6 6 4) N N 0 T 0 a= a d N 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 O O ~ 0 0 0 0 0 O 0 0 0 0 0 O o 0 0 0 M M M M M M M M M M M M M M M M T d 7 � v Lo W O N\ N N N N N N N N N N N r r r r r r r r r r r r r ti Z Z Z Z N M V V N N M V M N N O ro O V r M C F X (Op V U U U U N Z Z Z Z r r N N 0 N T 3 O M V r N N E N m 0 V V tD m r (O Z e O d w .y C U C d N N N U m m n E m E m n E N Lu c uJ N f- C N d Ol C m E C7 .m VI m m o Z m O W O Z Z co -di 25M -260 O N M d' N r m Z' a 3 c m O Lh d fl. J ag a H O` ma X o W U N O d m a 0 L w 0L. N 0 U Z Q r m a X UJ I 0 N O M Z R c R m 0 0 d R s v O T C a E O v R C C i 9 Q o v U � LL m A m in C R 3 N O 4 U) O c R 0 U e c rn E O U e o V e a � o s N d � A e d d m c m a C LL ii o � o Q o 0 LL z Q J o � w () W J LL Q U z 0 cQ C 0 LL z 0 z J J m w d N N Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z TU 0 0 2 `o y ;\oo 00 0000 0000 000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 e � ui ui ui iri ui ui iri ui ui �n ui ui T i 0 R S y �O N N I� M N m O O R O V M V M I� N C) V d' Lq I� t0 0] �O W O) O (V W O M O (V (O O M L6 cf aW > R 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 O O ~ 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 M M M M M M M M M M M M M M M M a T d >_ e 0 d L IdJ E 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 LL o M c' c' O � � O c' •\- c' O •-- •\- •- O O N Z Z Z Z Z Z Z Z Z n O N H X M m U U U U U U U U U U U U m 0 L cli V - �ooZZZZZZZZZZZZ T O a O O O V N (q d'' CO 7 N N 01 01 C O O v= .y N R � R a Esw -u �w ?w Lzroo> E s o E . a w c E E X m o m U m o m z Win. i-w °a Hw ma ow 25M -261 wo O N V �J: N r (0 a � c m 0 a a J N 0 H O i• O O W U N O d m a Q N O a. O 0`. IrI^ v/ O U 2 LrL r W f0 G f0 N U O U C f0 N Q co J I O N O M c m m m v L V O A C 6 E O U m c rn« c o a a o U U CO N It m C W c 0 d N O m 0 U O � a d 1n o � W O Eo o U U LL Z O Q J o � W U e o LU JQ Q r U a d N d (MD 0 Z e d < oRI ry O C IL LL Z V Z J J_ m w d A N Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z AU 0 x d3 N o a o 0 0 0 0 0 0 0 0 0 p` a O O O o O O O o O O O a O O O 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 e � � ui ui � ir; vi vi ui ui � ui vi A 0 y� m r r r m in �n �n m w o in � co co m r v m 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 O N N N N N N N N N N N N N N N N o F 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 (O (O (O (O (D (O (O O M (O (D CO (O (O O M @ N A y 7 � F,- w U U U U U U U U U U U_ U U U U U Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z O N tm C _ x U U U U U U U U U U U U U U U U jn O `� Z Z Z Z Z Z `Z Z `Z Z Z Z Z Z Z Z A `a 0 2 @ V A r M M N r OOi CO (O r-� O m W m O N N M (r0 N dM' O N (OO r W Z N N N c O `o m � v Z m -O N Z N m W m W N LL Q m O a'i > E aOi E E -mO E U E c K s O 2 x m c m N_ O m E u W 0- Q W C) d O) W S J () W El R W 25M -262 wo O N t0 � N �- (0 Z' d � c f6 O r d d J _5 O N O H O m_ a` N m N 0 N a /J^^ V! IL O a O U a 0 `T` F�./-� W 2 X W I O N 0 m C @ N t0 M O V O z a LL m C U d r �L O C @ 6 E O U @ O C jV O � G o U U L d � m c C 0 a O c C 0 a, o O N � o C O) O s <d o E U O LL. Z 11 H O g e w (� e o LL J ca N � � U cl e a d o N d Q Z w O C ^Z d m O C LL IL Z iD Z J J_ m O r N O N (n d N r E D � - a C C O1 @ O ro ¢ ¢ ¢ 2 ¢ ¢ ¢ ¢ ¢ ¢ ¢ � � N m Z Z Z Z Z Z Z Z Z Z Z z T U m N @ m � T 0 N o @ O S a m 0 N N 0) � A D O j i Oc 0 2 N +� � m � N C N N @ N N T CD C O m N o 0 0 0 0 0 o e o @ ¢ O m N @ 4 4l LL @ 0 +- W T N ,@ Nui LL L V d' d' T + 7U = N N 0_ o E m E O w c 2 C 7E O j @ j m N - O @ O 9 y U O m 0 O m U n o m U m E T O II U L Q m 0 m@ E Z n II m s E F @- `o-Z Z0] LLZ 09 N O N � w H UZ N M d' 0 a a d J m 4'1 CO I� M N O r W N f0 1� W 0 0 0 0 0 0 0 0 0 0 0 0 O N\ N N 1 1 N N O a T y L L2 N O r N N O r N (D I� W C N O O O N O N\ N` O mr r r M r r M r r ifJ O (O N U Z Z Z Z Z Z Z Z �p N°. d x U U U U U U U U W O d. O V N m U Z Z Z Z Z Z Z Z N N M V 3 O S V (OD W OOi tND r W O) O O Z c O p N T m 'N 3 n N O O V C m N � O O O Om E U NVI O E ¢ o E w O m X m 2 O w'f ¢ w w o LL z 25M -263 r N O N (n N r E D � - a C C @ O O C � N t0 � � N m N � U U � O.O ..S. Q € O m N @ m � T @w= N o @ O S a m 0 N N 0) � A D j i Oc 0 N +� � m � N C N N @ N N T o C c C O m U @ ¢ O m N @ 4 4l LL @ 0 +- W T N ,@ LL L p + 7U = N N 0_ o E m E O w c 2 C 7E O j @ j m N - O @ O 9 y U O m 0 O m U n o m U m E T O II U L Q m 0 m@ E Z n II m s E F @- `o-Z Z0] LLZ 09 N O N � w H UZ N M d' 0 a a J aN 0 r Q H O m a` X o W U O N a ♦Q♦/� v/ O IL/ LL a cn O/ 6..% e r ry�yy 4Y X W C (6 N J 'D U O IL V c N Q U 0 J d O O c L O F U a O C a Q O N 0 M m c m N f6 e O N o R m O E O U II 6 U r r ° ° � Z LL m Q ° wO LU LL LL Z Z O ro r d N gG O E m @ U + d U � � J c N N Q Q Q Q Q Q Q a K R Z Z Z a d o o Z Z Z L c @ N 0 o U O O c C O !n O c O U e k d � o m N m � c LL Z O Q O LL Z z J J CD w wo O N O r d N a) � E m @ dl d � � c N N Q Q Q Q Q Q Q Q K R Z Z Z Z Z Z Z Z TU @ N 0 o U E — O o o x H L N A v N O t0 4 = O_ y6 N O N � N o 0 0 0 0 0 O O O O c o o e U 6 Ld In L6 Ln C C O = N � � o A T o , N d U 0 h E a N N as d mov @Q O N oM c0 r r Cv Ln (O m m M U W (O O V M N W (V a m rrommeo co cor m U N d N N Y O o o ° E m OC T C C U m C N N O > > N C 4 m N _ — N y s ? OT N N m ° ° > U �.n cor Mtn II L cn rco m m E z m O O O O O o o 0 O N N N N N N N N O ~ 0 0 0 0 6 6 0 0 O O a M M M M M M M M N b O (O CO (O (O f0 t0 (D a � T N "'�cor�Ln cor 0 t- E 0000 °aoo W 0 _N N N N N N `` c U U U_ _U U _ U _ U U O N N Z Z Z Z Z Z Z Z w LT = _ X U U U U U U U U O Z Z Z Z Z Z Z Z ED T 0 O x O M V N W m 0 Z e U O � v 3 N O N � U `m E E v.� c o O g 'Y Z O W O U o ¢ C m v m o `w m o a YC'Jw 25M -264 wo O N r d N a) � E m @ - d � � c m � w C O U n � O O IA @ N � N N N o U E — U aa� o o w m N H L N A O O N O t0 4 = O_ y6 N O N � N 3 N N -0 D Lp j 1 C L N ri � N � y C N � c n p C C O = N � � o T o , N d U n c h E a N N U n @Q O N N L L Yd LL N rn+ x 5i W T U N d N N Y O o o ° E m OC T C C U m C N N O > > N C 4 O N O U L _ — N y s ? OT N N m ° ° > U m E U O II L O N m m E z m C II t6 ECl _ U .00 O Z m Il Z O N L LU O �N aiv Z r a IL J O to r O O_ O m_ a` = N W U N O d m a ,J^^ vI O CL O O U 2 LTL Mr W X W J L (6 N U O d U C N N Q U 0 J I O N 0 M R C N R r O d' d Z a LL N G 0 U N d R O N Q W 6 R E N R N G O U 4 N O c m N 0 U e W W o L (O O a vi o O N U 0 Q o O LL LL Q ` Z_ ae U Z G O g + D U J Q U 0 a o R � d �O m N O N e d = L O mc d C li I/ V 7 u t f w N N N OI N � A N Q Q 2 C Q Q Q Q Q Q Q Q Q Q � b Z Z Z Z Z Z Z Z Z Z Z Z Z Z T U 0 N O 0 06 d N R o 0 0 o e o a c o 0 0 0 O O O O 0 0 0 0 0 O O O a O � m to m m N O N � m m o m C T O L W O 01 i0 of M (D r �- d" M (D m min n N d' m w N r N O M m (O tm a W Ifl 7 l0 01 aJ m (V d' t� LL'1 d 7 R �n cor mm rmrro rm 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 O O F- 0 L W M a- I- X U U_ U U U U U U U U U O D O N Z Z Z Z Z Z Z Z Z Z Z Z Z 110 Z Y R Ol L - X U U U U U U U U U U U U U U U U jn O o Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z T 3 O x � vrnv .- rrv�oMOrMmr I�o� voi corl��+i ai ni v r�i�oo Z N N N N r 0 0 ON O ON N N r O N L U U O C c N U N U N U - O o — y CD (D d W R L A E 3 c L c c c �m c �o� W W � Z d C R L N y R W e W m R o m o d ¢w w 1> Q_ uiCL j< 25M -265 O ON N 0 io a Co L fb 7 @ pm O �- O -1 u X o W U N O N m a v/ �Q�q O^ a- O i`L F- U) V! /O V 2 Q MrM W W t6 C f6 N J N U O CL U N y w Q U J I O O m @ i6 r M O V d Z a LL U c U N R O w Q 06 e @ E 0 } N O C 3 G U (n O m O U 0 N W o e ID O 9 i(j O £O N U O cV G a o LL a LL Z_ Z Q J U J Q v e a o N W L O d L6 QN x c O d � m ' d C = IL z _0 I" CQ G ry O LL Z_ Z J m w M r N N N N@ Q Q Q Q Q Q Q Q Q Q Q Q Q Q - Z Z Z Z Z Z Z � Z Z Z Z Z Z Z x N N d ui w @ o o a o 0 0 0 0 0 0 0 0 p` o O O O O O O O O O 0 0 0 . d �n m r w u; co r w in cp r m �n co c� 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 O N N N N N N N N N N `o F- `m fD �O mco co co co co co �`o <p mcn cflm m @ a w s W U_ O N Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z O A fY O) _ U U U U U U U U 000 U U U U U m O- Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z a z 0 x N � tal Z W e O F k N - w @ U d y - e c Z W u a W a W o Q m o aExi 0. x Q x W N W len Lx 10 W 25M -266 O N Q1 d: N � a � m O I CL CL J N N ° O N N a F o C) o m_a a ¢ a M = NO Z z Z z W U @ C 3 0 U 0 n C � O N x N N U @ D iJ C N N @ @ i6 t9 N A @ � U o U 6 O � O O O o E o- ¢U K 42 @ T Z z 0 0 N O _ iC L m = U _ a m y � V N `o L p D N > W z K ° 4 a L z A J a m O Z Q O O LL W U C O U o c O U W JL Z CO ~ 0 O@ O Z C E N LL z U D d D. Q m co m r Of a Z � LLO V + p O N W y • O N Y V 7 W + Z O Z_ o W O \ W 0 0 T z N> G i F' a o A m 0 � v O U a� � � uNi X LL N z a W ww _U Z _ Z Z v E m C II C v E L @= o- 00 U Z07 LLZ o LL %' �0 U w N 'o C X a N U U 16 m O N z z z z a a N J N J 3 o o @ W s a N N U C M 0O f6 N N N M � R N N — � @ Q o ` N o m °- U m U w a J N A e W W e L (O O o L6 o E N U O Q o � e O LL Q C_ LL z c� U z c O g + U J U a 9 0 d � s LO > N O e w = d O m C N U m L M z O N� LL O LL z V z J J m v w N N O N rn C) N a ¢ a a � Z z Z z aU @ C 0 U 0 n C � O N x N N U D iJ C N N @ @ t9 N A @ � U o U 6 O � O O O o E o- 42 @ T c ntn 0 N O _ iC L m = a m y � V D N > 0 0 1 C L A � N C N � @ _ N T N tp I� W C O C o c o 0 f2 o O ~ 0 0 0 0 m E N N E @ `m D d U E Q a co m co m � m 2� V + p y • O N Y U m N + N v @ W \ 0 0 0 L9 N> G i U 0 C N O O j > N G y � O N O U_ U U O N Z _U Z _ Z Z v E m C II C @ � � @= o- 00 Z07 LLZ �0 w L X U U U U m O N z z z z a a J O x @ W r W M O N N M Z — o ` N L y °- o 2 m U w a N A d � E Z m u o. E L N U X a w 25M -267 N O N C) N l0 � a � m @ C O U n C � O N N N U D iJ C N N @ @ @ � U U 6 ao� o E o- 42 @ c ntn @ O N O m = a m D N > 0 0 1 C L d @ � � N C N � @ _ N T @ n m 0 C O Esc 0 f2 o n 3 w E N N E @ `m U E Q a m N w C.- � V + p y • O N Y U m N + N v @ d N U N Y N> G i U 0 C N O O j > N G y � O N O @ E aII @ m a d U E @ E z N — E m C II C @ � � @= o- 00 Z07 LLZ �0 w F- O p Z . CL a J 25M -267 2 N O N O Q L: O m a` 2 W O W U N P a J Q U) O iL O w M O U r F- m W (0 c (6 "O U 0 n. U C N N Q U J O a z Z W a 0 O U 0 O U E5 N N M d z° a d N U C ° a 0 c m C U 25M -268 a 9 3 E 3 c N e 9 � s v G Q c5 u o a° 5 5 4 O H A A U s —� $ .9 T W $ � a 3 kk G N 0 z � a Q a a" L o A 3 t a = A 3 q� N 5 E � 9 d n° .y c z $ 5 3 "o a a a 3 pJ� AT T `V`LJ O g � T v $ a � ° a S � 3 O a � � 3e® a � � � o � � o E W F% °a a h e r� o O N r m Z' f0 j d C m O CL IL J a h O A G v p U U U U a N U Q QQQ CL � C m ual u�ugw �'� O N F W U v 4 H m J a m 7 O 0 v m 6 E N Z O N y a O d m s N� >° o > > `w_ y � a I- °o m W a d N'N N O ry O N= p N C0 W vd'd WU `�UF � U°iQroUO rQroU H VI 1¢- (n o U U U U F p - � aa aa sa an d v � c c W LU �' U Q 4 LL Z N z Q = W J O z v c u E D U) m o a Z n d p ® 0 a° s a c a W 2 7 N U A o p a S (� W aK D. iiU g Ur � (�Q 0]UO rQtt1U Q O r G m 0 0 0 0 r 0 0 r � � O 0 U UUUU U G U Q Q Q Q Q Q K o U ug ug ug ug ug ug '� z � Z ~ co c y uJ W v S u c E IL N U N O U d O N O N U oa N O fn W v �aLLU� =w `�Ur 0 UJ Q 0]U°LLlLL r `0 01U 25M -268 a 9 3 E 3 c N e 9 � s v G Q c5 u o a° 5 5 4 O H A A U s —� $ .9 T W $ � a 3 kk G N 0 z � a Q a a" L o A 3 t a = A 3 q� N 5 E � 9 d n° .y c z $ 5 3 "o a a a 3 pJ� AT T `V`LJ O g � T v $ a � ° a S � 3 O a � � 3e® a � � � o � � o E W F% °a a h e r� o O N r m Z' f0 j d C m O CL IL J Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXIIIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -OB 13 -07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found at http: / /www. dot. ea. gov/ hq/ LocalPrograms,IDLA_OBIDLA_OB.htm in lieu ofthisform.) Certification of Final Indirect Costs: Consultant Firm Name: RBF Consulting, a Company of Michael Baker Comoration Indirect Cost Rate: 156.95% * for fiscal period 01/01/2013 — 12/31/2013 (mm /dd /yyyy to mm /dd /yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana, California Contract Number: RFP No. 14 -307 Project Number: I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management Svstem: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: 1, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $245 Million and the number of states in which the firm does business is 45 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP 15 -01 January 14, 2015 25M -269 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ 23,640 it 1.82% of Estimated NTE Contract) Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ 200,000 (Estimated Not to Exceed) Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary) ACT Consulting Engineers, Inc. $11,820 (estimated) Diaz- Yourman & Associates, Inc. $11,820 (estimated) Consultant Certifying (Print Name and Title): Name: Mike Chesney PE Title: Vice President I Proiect Mana er Consultant Certification Signature * *: Air Date of Certification (mm /dd/yyyy): January 30 2015 Consultant Contact Information: Email: mchesnev rt mbakerinfl corn Phone number: 949.855.5792 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31. 23 CFR Part 172.3 Definitions state: Consultant means the individual orfirm providing engineering and design related services as aparty to the contract. Therefore, subeonsultants as parties of a contract must complete a certification and send originals to A&r1 and keep copies in Local Agency Project Files. Distribution: 1) Original to Calnans Audits and Investigations 2) Retained in Local Agency Project Files LPP 15 -01 25M -270 Page 2 of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of DLA -OB I3 -07- Safe Harbor Indirect Cost Rate for Consultant Contracts found at http,ll www .dotca.gov/hq/LocalPrograms/DLA OBIDLA OB.htminlieuofthisform,) Certification of Final Indirect Costs: Consultant Firm Name: Advanced Civil Technologies (ACT) Consulting Indirect Cost Rate: 159,22% * for Fiscal period 0110112013 to 12131/2013 (mm /dd /yyyy to mm /dd /yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: RFP No. 14 -037 Project Number: I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CPR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $1,900,000 and the number of states in which the firm does business is 1. Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: LPP 15 -01 25M -271 Page I of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part, 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ T13D Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying (Print Name and Title): Name: Karen Cohoe Title: Consultant Certification Signature Date of Certification (mm /dd /yyyy): Consultant Contact Information: Email: kcohoe(a advancedciviltech.com Phone number: 714.6622288 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31. 23 CFR Part 1723 Definitions state: Consultant means the individual or firm providing engineering and design related services as a party to the contract. Therefore, subconsultants as parties ofa contract must complete a certification and send originals to A &1 and keep copies in Local Agency Project Files. Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files LPP 15 -01 25M -272 Page 2 of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note, If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment d of DLA -OB 13 -07- Safe Harbor Indirect Cost Rate for Consultant Contracts found at hitp.11www. dot. ca. gov/ hq/ LocalPrograms/DLA_OBIDLA_OB.htm in lieu ofthisform-) Certification of Final Indirect Costs: Consultant Firm Name: Diaz Yourman & Associates Indirect Cost Rate: 215.68 * for fiscal period 01/01/2013 to 12/31/2013 (mm/dd /yyyy to mm/dd/yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: RFP No, 14 -037 Project Number: I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1, All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ 0 and the number of states in which the firm does business is 3 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page I of 2 LPP 15.01 January 14, 2015 25M -273 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 1 Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ TBD Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary) Consultant Certifying (Print Name and Title): Name: Christopher M. Diaz, PE, GE Title: Principal Consultant Certification Signature Date of Certification (mm /dd/yyyy): 01/29/2015 Consultant Contact Information: Email: chris@diazyourman.com Phone number: 714 - 245 -2920 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFA Part 31, 23 CFR Part 1723 Definitions state: Consultant means the individual orferm providing engineering and design related services as a party to the contract. Therefore, subconsultants as parties ofa contract must complete a certification and send originals to A &1 and keep copies In Local Agency Project Files. Distribution: I) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files LPP 15.01 25M -274 Page 2 of 2 January 14, 2015 EXHIBIT C ADDITIONAL PROVISIONS CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES The following documents in reference to the on -call engineering services hereunder are hereby on file with the City of Santa Ana's Public Works Agency and are hereby incorporated by reference: • Request for Qualifications (RFQ) — RFQ No. 14 -037 • Statement of Qualifications (SOQ) -- in response to RFQ No. 14 -037 • Request for Proposal (RFP) — RFP No. 14 -037 • Proposal - -in response to RFP No. 14 -037 25M -275 EXHIBIT D ATTACHMENTS D -1, D -2, D -3 & D -4 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 25M -276 APPENDIX ATTACHMENT D -1: NON- COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14.037 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 Orange _ Subscribed and sworn to (or affirmed) before me on this 14 day of November, 2014, by s RobertRaltgn PF cPn,_., proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14-037 Page 26 25M -277 APPENDIX ATTACHMENT D -2: NON-LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14037 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 anyfederal 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 Name RBF Consulting Signed and Printed Name: s Robert Kallenbaugb Pe THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE, City of Santa Aria RFP 14 -037 Page 27 25M -278 APPENDIX ATTACHMENT D -3: DEPARTMENT OF HOUSING & URBAN DEVELOPMENT SECTION 3 CONTRACT CLAUSE CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14 -037 DEPARTMENT OF HOUSING & URBAN DEVELOPMENT (HUD) SECTION 3 CONTRACT CLAUSE A. The work to be performed under this contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (Section 3). The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD- assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low- and very low- income persons, particularly persons who are recipients of HUD assistance for housing. S. The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which implement Section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the part 135 regulations. C. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the contractor's commitments under this Section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin. D. The contractor agrees to include the Section 3 clause in every subcontract subject to compliance with regulations in 24 CFR Part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this Section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR Part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge of that the subcontractor has been found in violation of the regulations in 24 CFR Part 135. The Contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor Is selected, but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractor's obligations under 24 CFR Part 135. F. Noncompliance with HUD's regulations in 24 CFR part 35 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts. City of Santa Ana RPP 14 -037 Page 28 25M -279 G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self-Determination and Education Assistance Act (26 U.S.C. 460e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (I) preference and opportunities for training and employment subcontracts shall be given to Indians, and (II) preference In the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but riot in derogation of compliance with Section 7(b). For the purpose of training and employment the rip mart Section 3 covered project area Is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project Is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income Individual residing within the Section 3 area, whose total family income does not exceed 60% of the median income of the metropolitan statistical area in which the project is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities In connection with projects in their neighborhoods. For fiscal year 1996 -97, minimum goal for each project is 30 %, The Contractor /Sub - contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub - contractor /Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his /her operations within the City of Santa Aria. Signature S. Robert Kallenbaugh, PE; CEO Print Name and Title Print Name and Title Print Name and Title November 14 2014 Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP '14.037 Page 29 25M -280 APPENDIX ATTACHMENT D -4: CERTIFICATION OF NON - DISCRIMINATION BY CONSULTANTS CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14 -037 As suppliers of goods or services to the City of Santa Ana, the Firm listed below certifies that it does not discriminate In its employment with regard to race, color, religion, sex, or national origin; that it Is in compliance with all federal, state and local directives and executive orders regarding non - discrimination in employment and including, but not limited to, what is listed in the Non - Discrimination Clause in Exhibit 10 -V per: http; / /www.dot.ca.gov /hg/L ocalProarams /lam /forms /chpRterl0 /10v- 2013- 05- 14,doex and that it agrees to demonstrate positively and aggressively the principle of equal opportunity in employment. The same shall apply and be included in all subconsultant agreements. WE AGREE SPECIFICALLY: To take affirmative steps to hire minority employees with the company. 2. To establish or observe employment policies within affirmative promotion opportunities for minority persons at all job levels. 3. To communicate this policy to all persons concerned, including all company employees, outside recruiting services, especially those servicing minority communities, and to the minority communities at large. FIRM RBFConsulting TITLE OF PERSON SIGNING S. Robert Kallenbaugh PE; CEO SIGNATURE DATE Novemb THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14 -037 Page 30 25M -281 25M -282 PROFESSIONAL SERVICES AGREEMENT CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES THIS AGREEMENT is made and entered into this 5th day of August 2015 . by and between Kimley -Horn (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of: On -Call Engineering Services to provide engineering services on an as- needed basis. Engineering services may include, but are not limited to, civil engineering, electrical engineering, traffic engineering, geotechnical, land /property surveying, structural, architecture and landscaping design services and grant writing services. Prior to issuing a Task Order, the City may request a detailed Scope of Work, for a specific project /task. If requested, the consultant would provide a task proposal, budget and schedule for the Task Order. From this the City may choose which consultant to assign the project /task to pursuant to this Agreement. 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 related field of expertise. 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: UN-61i -1 This Agreement shall commence on the date first written above for a two (2) year term with the option for the City to grant up to two one -year renewal options exercisable by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below. Exhibit 7 I 25M -283 2. SCOPE OF WORK Consultant agrees to 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 Work - Exhibit A, attached hereto and incorporated by reference. Additional Agreement provisions, if any, may be contained in "Additional Provisions" attached hereto and incorporated into this Agreement as Exhibit C. 3. SCHEDULE OF SERVICES If a Task Order is issued, Consultant shall complete services and shall perform and deliver them to the City as described and detailed in Exhibit A and per the Task Order provided. The City may request that the Consultant provide a proposed scope of work, schedule and budget for a particular project or work product within a Task Order. If the City approves the Task Order, the City will issue a Notice to Proceed ( "NTP ") approved by the Executive Director of the Public Works Agency or his /her designee ( "Executive Director "). Consultant shall meet the work deliverables within the Task Order, the schedule and budget unless otherwise adjusted by the City. Such services shall be provided per written request of the Executive Director after the City's issuance of the NTP. 4. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates, fees, and charges identified in Exhibit B, "Compensation ", attached hereto, and incorporated by reference, in an amount not to exceed two hundred fifty thousand dollars ($250,000) over the entire life of the Agreement, including any renewal period(s). Exhibit B includes completed Federal Exhibits 10 -K and 10 -H along with all Consultant and subconsultant(s) rates and fees that comply with federal requirements. Exhibit D includes all previously completed Federal certification forms as part of the Proposal submittal in response to the Request for Proposals. These are attached hereto and incorporated herein as Attachment D- 1, D -2, D -3 and D -4. 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 disks (CD)s, USB jump drives or equivalent, 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 2 25M -284 shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 6. PAYMENTS & INVOICES a. Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. b. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: i. Consultant's invoice number and City's agreement number ii. Beginning and ending dates for services iii. City Project and /or Task Order number andor name (if applicable) iv. Work site address /location (if applicable) V. Tasks or deliverables completed, and percentage ( %) of total services completed. vi. Remaining Overall and Task Order budget available City will, within 45 days of receiving such statement in a manner that meets the City's requirements, review the statement and subsequently pay the approved charges thereon. 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. 8. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which 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 25M -285 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, and $2,000,000, in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's 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. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim and $2,000,000 annual aggregate shall be maintained. 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 in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City, except for 10 days' notice for non- payment of premium. 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 Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 25M -286 9. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), to any work performed or services provided under this Agreement arising out of, relating to or pertaining to the negligence, recklessness or willful misconduct of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 10. LAWS AND REGULATIONS Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, rules and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure to comply with such laws, rules or regulations. 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 5 25M -287 reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. (Also see Exhibit D.) 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 attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the authorized representatives of the parties. 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 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 the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product(s) 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. 25M -288 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. (Also see Exhibit D.) 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. The 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 facsimile 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 Facsimile (714) 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -5635 25M -289 To Consultant: Kimley -Idorn Darren Adrian, PE 765 The City Drive, Suite 200 Orange, CA 92868 Phone: (714) 939 -1030 Facsimile: (714) 938 -9488 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 facsimile, 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. Additional provisions, if any, are identified as Additional Provisions — Exhibit C, attached hereto and incorporated herein by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25M -290 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA MARIA D, HUIZAR DAVID CAVAZOS Clerk of the Council City Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Lisa Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: CONSULTANT: FRED MOUSAVIPOUR (Name) Executive Director (Title) Public Works Agency 25M -291 EXHIBIT A SCOPE OF WORK CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 1. GENERAL The City of Santa Ana (City) solicited proposals from professional consulting firms (Consultant) to provide engineering services on an as- needed basis. Engineering services may include civil engineering, electrical engineering, traffic engineering, geotechnical, land /property surveying, structural, architecture and landscaping design services and grant writing services. A detailed Scope of Work will be outlined when /if a specific project or Task Order is assigned to the consultant. The work, in general, consists of general engineering design projects on arterial and local streets, bike paths, and public parks, citywide. Funding sources for each project may vary ranging from local, Measure M2, state and federal and each project /task order assignment shall comply with the funding agency's requirements. The projects may include storm drain improvements; sidewalks, bike paths, curb and gutter replacement; slurry seal of residential streets; repair and overlay of asphalt concrete and /or PCC streets; signing, striping, neighborhood traffic studies, traffic signal modifications; landscaping and irrigation systems; park and recreational design, grant application writing, and other related projects as required. On occasion, environmental and planning support services may also be requested. The City may need consultant services for survey, mapping and legal description preparation, construction management, staking and inspection. Occasionally, the City may also need geotechnical, mechanical, electrical and/or structural services. The Consultant shall be able to assist the City through this contract to provide the necessary services. The Consultant shall utilize in -house staff and /or sub - consultants to complete the assignments to meet the City standards. For specialized work for which the prime consultant shall require a sub - consultant, the prime consultant shall serve as an administrative liaison between the City and the sub - consultant. The prime Consultant mark -up for sub - consultants shall not exceed 10 %. II. PROPOSED SCOPE OF SERVICES In general, the Consultant shall perform above noted engineering design services resulting in contract documents (plans, specifications and cost estimates "PS &E ") for various projects on an as- needed basis. However, work tasks may include studies or a variety of engineering or other 10 25M -292 tasks. If requested by the City, the Consultant shall provide a Work Plan which includes a detailed schedule of the assigned project prior to the issuance of Notice to Proceed of that particular project and /or Task Order. Specific Task Orders with Notices to Proceed ( "NTPs ") will be provided for project(s) at the discretion of the City. Work required per Task Order shall comply with the Scope of Services and additional provisions in each Task Order and this agreement. The Consultant shall also provide all field survey work required as appropriate and shall have the necessary experience and required civil, traffic, electrical, structural, geotechnical, surveying, landscape architect and architectural licenses for those in responsible- charge of the work being completed. The Consultant's services for PS &E engineering project preparation shall include, but not be limited to, the following: Research existing records of utility companies and agencies and coordinate the proposed improvements with existing field conditions. 2. Provide all field survey and topographic work necessary to complete the design effort. Design level survey and base mapping of the project site shall be prepared in US Customary English units by a California licensed Land Surveyor in accordance with the City guidelines and in Microstation V8i Computer Aided Design and Drafting (CADD) format. The horizontal datum shall be NAD 83 and the vertical datum shall be NAVD 88. All survey field notes shall be on forms provided by the City, shall be neatly completed in pencil, and shall become property of the City upon completion of the project. Informal field investigations including marking of removal areas may be required for some of the sidewalk, curb and gutter, and pavement replacement projects. Complete the design of projects including plans, specifications, and engineer's construction cost estimate. The Consultant shall contact manufacturers and /or contractors to verify the engineer's estimate prior to submitting to the City. Specifications shall be prepared in Microsoft Word and an electronic copy of the final version shall be furnished to the City. The City will provide the specification boiler plate to the Consultant. 4. If requested, all preliminary and bid sets of plans shall be plotted on bond or velum using the Microstation V8i CADD program. All drawings shall be completed per the City of Santa Ana CADD Standards. For interim submittals, the City may opt to receive only PDF versions of the plans for reviewing purposes. If so, the Consultant team will provided plans and /or specifications accordingly. 5. All original plan sheets, the title sheet of the specifications, calculations, and reports shall be signed and stamped by the Consultant's licensed professional engineer responsible /in- charge of the project. These signed originals shall then become the property of the City. 6. If a part of the on -call project scope, the Consultant shall provide support services during the bidding and construction phases of the project on an as needed basis, including, but not limited to: 11 25M -293 A. The Consultant shall respond to bidder inquiries during the bidding process, including preparation of any addenda. Following award of the construction contract, the Consultant shall attend the pre - construction meeting. B. The Consultant shall review and approve all submittals and shop plan drawings required supporting the construction contract. The Consultant shall complete shop drawings reviews within two (2) weeks of receipt. Contract Change Order reviews shall be completed within two (2) working days of receipt. C. The Consultant shall respond to written Requests for Information (RFI) to provide clarification or resolve discrepancies in the contract documents. Responses shall be completed within three (3) working days. D. The Consultant shall provide periodic field reviews and bring to the attention of the City of Santa Ana any defects or deficiencies in the work by the construction contractor which the Consultant may observe. The Consultant shall have no authority to issue instruction on behalf of the City of Santa Ana, or to deputize another to do so. If included in the on -call project scope, upon completion of construction, the Consultant shall prepare as- builts and submit them to the City. The Consultant shall incorporate all changes to the plans electronically with all necessary revision notations. Once plans have been updated, a signed set of as -built mylars shall be submitted to the City with an electronic copy (in Microstation V8i CADD and pdf formats) of the final as -built drawings via CD or e -mail. 8. If included in the on -call project scope, the Consultant shall monitor the project progress, maintain project files, and control the quality of the work performed by in -house staff and/or sub- consultants. Incomplete (not meeting targeted completion) or poor quality work will not be accepted. The Consultant shall revise the documents within a revised schedule set by the City, which may require overtime. No additional compensation for regular or overtime hours necessary to complete this work to the satisfaction of the City shall be approved by the City for the required revisions. It is the responsibility of the Consultant to produce a professional - level quality of work product. 9. If included in the on -call project scope, attend meetings with the City staff as required. 10. If included in the on -call project scope, the Consultant shall coordinate plan check, design topics, permits and any other issues with the City, other Agencies, and all utility companies as required. At the direction of the City, the Consultant shall be the liaison with affected agencies. 11. If included in the on -call project scope, the Consultant shall be responsible for reviewing and approving addenda and clarifications to plans and specifications. III. GENERAL REQUIREMENTS All work shall be performed in conformance with the latest City of Santa Ana policies, procedures and standards, and applicable, regulatory, state and federal requirements. 2. Consultant shall carry out the instructions received from the City of Santa Ana and shall cooperate with the City of Santa Ana and any other involved agencies. 12 25M -294 3. The Consultant shall have complete responsibility for the accuracy and completeness of all documents and plans prepared and shall check all such materials accordingly. The plans will be reviewed by the City of Santa Ana for conformity with the requirements of the Agreement. Reviews by the City of Santa Ana do NOT include detailed review or checking of design or the accuracy with which such designs are depicted in the documents and the plans. The responsibility for accuracy and completeness of such items remains solely that of Consultant. 4. The documents and plans furnished under the Agreement shall be of a quality acceptable to the City of Santa Ana. The criteria for acceptance shall be a product of neat appearance, well organized, technically and grammatically correct, checked, and dated and having the maker and checker identified. 5. The Consultant shall have quality control procedures in effect during the entire time work is being performed under the Agreement. The quality control procedures shall establish a process which includes checking processes for PS &E preparation, an independent constructability review, correcting and back checking procedures, and all job related correspondence and memoranda dated and received by affected persons and then bound in appropriate job files. The City of Santa Ana reserves the right to request proof of said documentation. 6. The Consultant's work and all records shall be subject to inspections by representatives of the City of Santa Ana and funding agency requirements or audits if requested. Consultant certifies that it shall comply with the following regulations, as required by the (funding agency): a. Audit Records - With respect to all matters covered by this agreement all records shall be made available for audit and inspection by the City, the grant agency and /or their duly authorized representatives for a period of four (4) years from the termination of this Agreement. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant shall preserve and maintain all documents, papers and records relevant to the services provided in accordance with this Agreement, including the Attachments hereto. For the same time period, Consultant shall make said documents, papers and records available to City and the agency from which City received grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours. b. Information - Consultant shall provide to City all records and information requested by City for inclusion in quarterly reports and such other reports or records as City may be required to provide to the agency from which City received grant funds or other persons or agencies. 13 25M -295 C. Section 504 of the Rehabilitation Act of 1973 (Handicapped) - All recipients of federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act). Therefore, the federal fiords recipient pursuant to the requirements of The Act hereby gives assurance that no otherwise qualified handicapped person shall, solely by reason of handicap be excluded from the participation in, be denied the benefits of or be subject to discrimination, including discrimination in employment, in any program or activity that receives or benefits from federal financial assistance. The Consultant agrees it will ensure that requirements of The Act shall be included in the agreements with and be binding on all of its contractors, subcontractors, assignees or successors. d. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable and the related guidelines that may be more recent. C. Political Activity - None of the funds, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act ". f. Civil Rights Compliance and Notification of Findings - Consultant, and all its contractors (or sub - recipients) will comply, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789 (d), or Victims of Crime Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title II of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; Department of Justice Non - Discrimination Regulations, 28 CFR Part 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the event a Federal or State court, Federal or State administrative agency, or the Consultant makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Consultant will forward a copy of the findings to the City which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Department of Justice. g. Equal Employment Opportunity - Consultant, and all its contractors (or sub - recipients) will comply, with all. requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable. h. Anti - Kickback Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Copeland "Anti- Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29 CFR Part 3), as applicable. 14 25M -296 i. Davis -Bacon Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Davis -Bacon Act (40 U.S.C. 276a to 276a- 7) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. j. Contract Work and Safety Standards Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of Sections 103 and 107 of the Contract Work and Safety Standards Act (40 U.S.C. 327 -330) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. k. Clean Air Act - Consultant, and all its contractors (or sub - recipients) will comply, with all applicable standards, orders or requirements issued under Section 306 of the Clean Air Act (42 U.S.C. 1857(h)), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive Order 11738, and the Environmental Protection Agency regulations (40 CFR part 15), as applicable. 1. Energy Policy and Conservation Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Energy Policy and Conservation Act (Pub. L. 94 -163, 89 Star. 871),(53 FR 8078, 8087, Mar. 11, 1988, as amended at 60 FR 19639, 19645, Apr. 19, 1995), as applicable. m. Patent - Consultant agrees that the funding agency shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with funding through this Agreement. n. Copyright - Consultant may copyright any books, publications or other copyrightable materials developed in the course of or under this Agreement. However, the federal awarding agency, State Administrative Agency (SAA) and City reserve a royalty -free, non - exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government, SAA and /or City purpose: i. the copyright in any work developed through this Agreement; and ii. any rights of copyright to which the subcontractor purchases ownership with support through this grant. The Federal government's, SAA's and City's rights identified above must be conveyed to the publisher and the language of the publisher's release form must ensure the preservation of these rights. IV. CITY RESPONSIBILITIES The City will provide the following: • All plan check coordination within the City • Sample boiler plate specifications to be utilized • Sample plans & City of Santa Ana's CADD Standards • Electronic files for title sheets and sheet borders 15 25M -297 EXHIBIT B COMPENSATION CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 25M -298 M= February 2, 2015 Monica M, Suter City of Santa Ana, Publics Works Agency 20 Civic Center Plaza, 3ftl Floor, Ross Annex Santa Ana, CA 92701 RE: RFP 14.037 On -Call Engineering Services As requested, Kimley -Horn is providing the enclosed 10 -K and 10 -H forms (as applicable) for Itself and the Subconsultants listed below. Kimley -Horn will be utilizing the following Subconsultants for this Contract, as needed, and as listed on its 10 -K form. • Twining, Inc. • Canyon Consulting 1A -K and 10 -H forms have been enclosed for the following as applicable: • Kimley -Florn ® Forms 10 -H (Examples #2) and 10 -K • Twining • Forms 10 -H (Examples #2 & #3) and 10 -K • Schedule of Fees for Test'Equipment Rates • Canyon Consulting • Form 10 -H completed with full billing rates. • Form 10 -K not provided as Canyon does not have an audited overhead rate. • Canyon is not in the process of obtaining compliance with Federal Rate requirement and the above forms and is not likely to explore the use of the Federal Safe Harbor Rates due to the low Indirect Cost Rate provided under this program. With Kimley -Horn, you should expect more and will experience better. Please contact me at (714) 705 -1304 or darren.adrian(akimlev- horn.com should you require any further information related to the enclosed documentation. ncere , 4 Darren Adrian, P.E. Vice President 7l#Se City Dnve9aita 2b0Ora�ig e C rr32868 q4 ` " 74 930100 25M -299 x 0 F m W R R 0 d V o. N u C R R a O a F O U Y b b a• a� C �O U N Q O V N N 0. V � C .- O b 4� R v C F O. ti W N C p�U W vi O C N O U W a I O O M 0 r- O CrI .1 2 F. e a o F a L a Lju � G 0 C4 '. W O w o a F U ¢ N a 9 a U U z II C U o c o � m N C a N ro „ V C O N ¢ e e e o U U w 73 C O U � e e O N � � M CO y 09 J w F Q L C k 7L G a s yy C v N m v N -2 O x� z z z z z z �p eva ooe oee Boa voo awe „� nn "v d t` N IN N O W N In o0 O �n Oi N �O IO N �n n n In 7 � v3 sv » sa a v3 ss ss cz � ss ss a s� to cs v� ss ss ss v3 � � V G ¢ 'W 0 0 0 0 N N N N N N N N N N N i. N N N N N N N N N N N N N N � i r .-r r .r '+ i r w r — — W N b W In h W W W W 0 — 0 — 0 0 — 0 — 0 0 — 0 — 0 — — 0 0 0 — 0 — — 0 0 0 — 0 — — 0 0 0 — 0 — — 0 0 0 �y NQ N N N k F ¢ ¢ ¢ ¢ ¢ ¢ - z z z z z z O pn M M in W N r C^ b �n 01 N O V CO vt CO O nn M W CO N fn G� h n l� M .� rn ri M o co r cri M In m [�i ni N N CD W Ov N m �n C� V1 �O P r M� N N N 00 Gv O �n N N � � 6N9 � � � 6N9 6N9 69 A fH 69 69 69 69 b9 Yi 69 69 64 69 69 69 69 0 p U N N � C � U a � '�-• W W W R � aui Q C U C M O p> 'O p Qri wd 25M -300 N N N R c H 0 H a a J x O mH ti x is R_ L_ d U QI d V C y d' U e V ti O O N N � O N M Cr 25M -301 N O N N 3 C N O N N a J N 00 00 F Q Q U z O OC o6 C e o O ww7 C M O o H C W o � N fV o .O v w` � O o vi a 00 O N w W .-i m M O C � fA a 69 64 64 fA 69 N3 V3 N3 69 EA 69 fA EA 69 69 Y3 64 64 W .13 01 U Q C V a w P. 0. � U O r. � � U v C q O U o z rop II G b W � O � C O � G U C .. O b e 40 ro Yi 69 69 69 69 69 69 69 69 69 69 69 Y3 69 69 64 M 69 In M M fA 69 M Yf C W ti b u c Q � o � �� o o � w aee v o d aaa O v o U W 0 ro w } 0 o U o o 0 0 0. � c o o O o 0 O 0 0 0 0 0 D o c o 0 0 U U w 25M -301 N O N N 3 C N O N N a J 00 00 F O Q U e O OC o6 C N O ww7 C M O F C W � N fV o .O v w` M O N N vi a 25M -301 N O N N 3 C N O N N a J 00 00 O a b P V O OC o6 C N b O\ V �� N fV f�l .O D\ M O N N vi h 00 O N a� W .-i m M O C � fA 69 69 64 64 fA 69 N3 V3 N3 69 EA 69 fA EA 69 69 Y3 64 64 W .13 0. W V Ot h xi V Yi 69 69 69 69 69 69 69 69 69 69 69 Y3 69 69 64 M 69 In M M fA 69 M Yf �� o ooa ooa aee eae aaa O v o 0 0 0 0 o c o o 0 0 o c o o O o 0 0 0 0 0 0 D o c o 0 0 cu M ro o� h� G\ W vi N o b Vl 0 00 W .. Vl W W N h h D\ ti ti a fV d' IO �n M In M f� h h W Vl Vl b l0 d' V1 Vt � O V3 E9 69 69 fA £A 69 69 EA FA 69 69 69 fA 69 69 69 69 fA 69 69 69 69 F Q O .�i 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N 0 0 N N 0 N pM M M M M M M M M M M M f\ M <\ C\ M M M M M M M M 0 v 9 N o h b r oo .j w 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N W k O U U V V V (roJ a a a a n, as C .n z z z z z z � o 0 xi F O W M b .O N In b M In In In In ti � 4^ 69 69 69 69 6NR 69 69 69 Y3 69 6N9 69 V3 69 fA 69 Y3 69 69 b9 69 69 69 _C 0 ro U W � N � U Cam. U W ^. W F Q U � bOq r'Jn � ro ro 25M -301 N O N N 3 C N O N N a J x 0 F ca x w R O R O d u PL. u V C .y d 0 a O f� 0.. m C O b � b O F CO U �o ° U � SL V C O b❑❑ O N �' bq N L. � N C � O . � bCq C W v C U W ° F N O U v L7. N h O N O ° q O W 7 z ro C U ti N O Q N m O V 7 0 C U z e � o H o � o u e a � � w O 01 �y .a K U v cG� U U o c O � C b N d e e o U w n c a o C C � 7 ° F 7 C 7 w a 25M -302 7 � e � E V � C K � F 9 T r� C �o C1 O 0 U A v I a ! z2 � V b ` i 3 i f j'. I 1 C i f App i � w 3 h 0 bn N � a i u � o. N .O y 0 i T U � O 3 � q � m r G: � V Q LOc z N N C N O N a W O y C 69 Vi 69 69 Vj <�j Vi V? N ,r � V) q fn N m ti C` O n 00 eo ooa o00 ooa �m �{ a0 N CO lO a0 <n W O N 4 �+ C 69 yi 69 69 69 69 69 69 ro ° 0 0 0 0 0 0 0 0 N N N N N N O N b N W N N N N N N N N v N O O O O O H N Vj 69 54 4 ^ T O Vi 59 fH fP. 0 <n A 59 A E/i � Vj 64 H3 0 w N U H o a a ° z a b V� C V C o � O a 9 25M -302 7 � e � E V � C K � F 9 T r� C �o C1 O 0 U A v I a ! z2 � V b ` i 3 i f j'. I 1 C i f App i � w 3 h 0 bn N � a i u � o. N .O y 0 i T U � O 3 � q � m r G: � V Q LOc z N N C N O N a u a e w m e a E 0. 0 d F x e a n W 0 ti a o U m o o .�y o � o�w C O m W sa o v o w ti O v Q 0 7 ti O 0 U 25M -303 E as o � A � c _ ' a- ma � o �5� a e � g o a a v �xo o�A � d a r � N ` v vw .S o VOC a e m 4 o u S 9 p h E o v b bjY A u GGG c L A N .y O N V T N G R O F N II o O 5 � a n � F z U U � e r a evn a O � s � o w Q 6 0.S U F C m U � � O °o o FF H F v u F S zz F V) F O Q W o c v v w Q al Pi cJ F al cm U rl .c1 w O °o F v II �gg P .'J Ca ri w y F 9 N b0 F6+ c n a a Q v O y x w F � V] 8 d O ve c .v a 5_ O F Z r�C C L 25M -303 E as o � A � c _ ' a- ma � o �5� a e � g o a a v �xo o�A � d a r � N ` v vw .S o VOC a e m 4 o u S 9 p h E o v b bjY A u GGG c L A N .y O N V T N G R x 0 F �I i a A 4_ N Y O d v C N .N d V a 0 N d ro q O b ro N F O U ro q O U N U � C H O �O W v N q C o . m U]q aygi q G C 7 W O C 0 0 ro a 4: Y �n O N O N q M 0 P. c4 z O U 'a U N U b F. U 0 O dl p z d Iq. m + r. a zi U w A zi C O a N q q aA U � z o z u 0 o F aU U Ci Q a 7� G �i z L. T wo W q T 4= q V a000 aea vooa ooSo oo1S a000 0000 bu M� 6 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 O =T f.] '�3 0 V3 0 0 0 Vj 59 'A 0 49 0 0 0 69 SA `A 0 VjA 0 O O O Vi 69 49 O 2A O O O Vi Ni Y3 O 69 d .y.. rp r o0 O ti ^ W Ot O r0 P � p N N — — N N 0 0 0 0 0 N 0 0 0 N N 0 N 0 N 0 0 0 0 N N N N 0 N 0 0 0 0 N N N 0 N Q QM M M M M M M M M M <- M M M M M M M <Q M O N N � in in W 4\ in w 'ti o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 N N N N N N N IN N N N N N N N Cil N N N N N N N N N N N N N N N N N N N N N N N W O O O O O k N 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 H N IN h IN 0 0 0 0 0 0 0 0 0 0 O A N N N N N � 69 69 69 FA K S9 69 fA Yi rN,, � ss ss vj vj cv o a a a d a bq k q V1 G 0 0 0 0 0 h 0 V1 0 0 0 0 0 0 0 0 0 0 0 0 z 0 0 0 0 0 0 0 0 0 0 L W o7 c0 CD D\ 0 0 0 0 69 b9 fH 69 0 69 0 0 0 0 6? 69 69 69 0 EA T � Hi 69 A fA � O 0 0 0 0 0 0 0 0 0 0 •� v) in O O in O O IN iN O IN rl 11 � V3 Y3 69 64 Yi .N-i .N-i 69 64 Y3 69 69 C o m � � G � U J U a F V V O ? ro z N 3 �y N v a Q 25M -304 0 7 C O J rC y U Uy W r O V 1J v q A ^J a0 q N N m 4 q � a � g y w A O O� o b � y N y dW R V w d V W W y V T x T s o T L O � O A U � N ti m rp�� b0 4 07 W J [V m y 0 z N A r[ i y b0 3 " b9 N m a a y o � a y O U O � Q � o �i � GO- N N N l C O a J x a O F_ m W -- O O m WW m N R q C L d V cL e i y 6 u a° n M [�yJ U -+ b s% N N O C U o ro o z O U ro N rh U CL O o •o O � m W _ 7 U° v ti a ° O p 7 U C F" T Q e a U Q � Q 0 C e O p O C Q N N V of 0 e � U U w C F Q a °O C o m C k. a 25M -305 p E O jp N J o R �y R C C �yG E R O N GR C A O V N Q � W � yv a � w° ° � v y � T O u° N � N E U y N O ti R C U C m ,t0 .F ro v o m ° T Y N ry R P. Y Y z N N N 0 N a a J O U yj Ff3 U (p e e e e e a O e O o O o 0 0 0 0 0 O O O O 0 0 0 0 0 0 0 0 0 e S' Vl Vt Vt Vl Vt V1 Vt Vt H Vl h h in Vl V1 mM ° 6S Fig V: 69 69 69 69 69 69 69 69 69 Y3 N3 69 69 EA 69 EA 69 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 QM C'n M M M M M M M M M Q M M M M M M M N -o d o h b r m in b n m M m r m h b r m h b r m w 0 0 0 0 0 0 N 0 N 0 N 0 N 0 N� 0 0 0 0 0 0 0 0 0 0 V ti N N N N N N N N N N N N N N N W O d' M GO N r of o0 00 of o0 o In m as cn �n oc of 6 o H W H O r O on N M vi b N m vi sz Fa ss sR s9 v> vi z9 v3 bz s i bs u3 v3 v3 sv v3 cv sv z [� vi q vl O1 O d' lD O\ c0 V1 �D N V1 00 O V1 vl l0 00 V M In .N-i - W --i-i - — - — - — — W Q fH fA fH 69 69 fA Yi E9 59 69 69 69 69 69 64 64 6R 69 64 69 T 0 m m a� .. ca P b b r r N N r r C h cn O l� Oi n M M W m W 01 Ol O In CT V, .+ W M C O N ^I 0 0 Ni � Vi 69 69 V3 V3 Y3 69 69 63 69 69 A 69 fR 69 64 69 m W b U � K c q E o sl W C7 0 0 25M -305 p E O jp N J o R �y R C C �yG E R O N GR C A O V N Q � W � yv a � w° ° � v y � T O u° N � N E U y N O ti R C U C m ,t0 .F ro v o m ° T Y N ry R P. Y Y z N N N 0 N a a J Local Assistance Procedures Manual EXHIBIT 10 -11 Exhibit 10 -11 Sample Cost Proposal (Example #3) Cost Per Unit or Work Contracts (Geotechnical and Material testing) Consultant or Subconsultant Twining, Ina Contract No. TBD Date TBD Unit /Item of Work: Page t of l (Example: Log of Test Boring for Soils Report or ADL Testing for Hazardous Waste Material Study) Include as many Items as necessary. DIRECT LABOR Hours Hourly Billing Total ($) Rate ($) Project Engineer $189.80 Sub- professional/Teehnicala $10S.S8 Coring equipment $62.50 OTHER DIRECT COST Unit(s) Unit Cast R -Value (CTM 301) See Fee Schedule Moisture (ASTM D 2937) See Fee Schedule Maximum Density and Optimum Moisture (ASTM D 1557) See Fee Schedule Sive analysis including Wash for Soil Classification (ASTM Ct36, CTM 202) See Fee Schedule Atterberg Limits / Plasticity Index (CTM 204) See Fee Schedule TOTAL COST PER UNIT OF WORK Notes: • Denote labor subject to prevailing wage with asterisk ('). • Hourly billing rates should include prevailing wage rates and be Consistent with publicly advertised rates charged to all clients (Commercial, Private or Public). • Hourly billing rates include netfee/profit. • Mobilizat ion /De-mobiliettion is based on site location and mother and frequency oftes ts/itenrs, • CDC items should be based on actual costs and supported by historical data and other documentation. • CDC iteurs that would be considered "tools oftho trade'are not reimbursable, • Travel related costs should be pre- approved by the contracting agency, The rates should not exceed the State Department o£Perso rnel Administration (DPA) requirements. LPP15 -01 25M -306 January 14, 2015 ATWINING Schedule of Fees 2014 - 2015 NOTE: Rates will be adjusted annually each July tat to reflect increased costs. Personnel Rates: Per Hour Unless Otherwise Noted Task Non - Destructive Testing Personnel Rate 10401 Code En IneerYn a d Consultin Personnel 10403 Rate 70026 Senior Principal Advisor /Consultant $ 258.00 70001 Principal Engineer / Geologist $ 180.00 10017 Metallurgical Engineer $ 175.00 70000 Registered Geotechnical Engineer $ 175.00 10011 Technical Advisor $ 175.00 10011 Material Scientist, Welding/NDT Consultant $ 175.00 70003 Registered Geologist/Certified $ 165.00 95321 Engineering Geologist $ 20.00 95324 10003 Senior EngineerlGeologlst $ 160.00 10009 Registered Civil Engineer $ 155.00 60003 Roofing /Waterproofing Consultant $ 180.00 10013 Project Engineer /Manager $ 145.00 30000 Quality Control Manager $ 135.00 10005 Senior Staff Engineer /Geologist IS 135,00 10007 Staff EngineerlGeologlst $ 130.00 10015 Quality Control Administrator 5 115.00 10019 Metallurgical Technician $ 90.00 90001 CAOD Operator /Draftsperson $ 80.00 70107 Field SUPONSOr /Safety Manager 5 110,00 20000 Laboratory Manager $ 100.00 98000 Laboratory Technician $ 80.00 90005 Expert Witness Testimony $ 390.00 91010 Qualified SWPPP Developer $ 125.00 91000 Qualified SWPPP Practitioner $ 115,00 Task 20102 _ Standard Sample: Concrete Cylinders (Each) $ 20.00 Code Field Inspection Personnel $ 2000 . Rate 10101 Concrete /Remfomed Steel Inspector $ 101,00 10103 PrestressedlPost Tensioned Inspector $ 101.00 10105 Concrete ICC Inspector $ 101.00 10109 Dulled -In- Anchor Inspector $ 10100 10111 Gunite /Shotcrete Inspector $ 101,00 10113 Masonry Inspector $ 101.00 10201 Structural SteeVWelding Inspector $ 101.00 10203 AWS Certified Welding Inspector $ 101.00 10207 Fireproofing Inspector $ 101.00 10501 Lead Inspector $ 106.00 70109 I.A. DeputyGading Inspector $ 106.00 75001 Asphalt Field and Plant Inspectoraechnician $ 102.00 70103 Pile Driving Inspector $ 102.00 70101 Sells Technician $ 102.00 10107 Concrete Quality Control(ACI /Celtrans Technician) $ 101.00 60001 RoofinglWateryrocfing Inspector $ 107.00 10515 Mechanical Inspector $ 120.00 10519 Electrical Inspector $ 122.00 10521 Plumbing Inspector $ 122.00 10523 Building Inspector $ 122.00 50003 Field Engineering Technician $ 105.00 Task Shopl rspection Personnel Rate _Code 10301 ___ Structural Steel Fabrication Inspector $ 101.00 10309 Batch Plant Quality Control Technician /Inspector $ 101.00 10325 Glue- Laminated Fabrication Inspector Quotation 10328 Pre -cast concrete /Pipe Fabrication Inspector $ 101.00 Task Code Non - Destructive Testing Personnel Rate 10401 NDE Ultrasonic Testing Technician $ 106.00 10403 NDE Magnetic Particle Testing Technician $ 106,00 10405 NDE Dye Penetrant Testing Technician $ 106.00 10305 Combination NDE TechnlClal- Welding Inspector $ 106.00 10409 Radiographic Testing (crew of 2) $ 275.00 Task Cotle Equipment Usage (pony unlces_aherwtse NOted) Rate 95318 Skidmore $ 40.00 95309 Torque Wrench, Small $ 15.00 95312 Torque Wrench, Large $ 25.00 95315 Torque Multiplier $ 40.00 95321 Air Meter $ 20.00 95324 Brass Mad $ 2000 , 95343 Nuclear Gauge (Per Hour) $ 9.00 95333 Pull Test Equipment $ 60.00 95348 Concrete /Asphalt Coring Equipment (Per hour) $ 120,00 95327 Pachometer $ 55.00 95336 Floor Flatness(Dlpstick) $ 45,00 95330 Schmidt Hammer $ 2000 . 95341 Vapor Emission Test Kits $ 30.00 95342 Relative Humidity Probe $ 45,00 95339 V -Meter $ 100.90 95351 Fireproofing Adhesion /Cohesion(Per Test) $ 20.00 95300 A Scan Ultrasonic Equipment and Consumables $ 65.00 95303 Magnetic Particle Equipment and Consumables $ 30.00 95306 Liquid Penetrant Consumables $ 25,00 95307 Phased Array Ultrasonic Equipment (Per Hour) $ 50.00 95347 Ground Penetrating Ruder (Per Hour) $ 50.00 95345 Impact Echo $ 280.00 95359 California Pavement Profilogaph (Per Hour) $ 115.00 95349 Inertial Pichler (Per Hour) $ 250.00 95357 Project Dedicated Vehicle $ 75.00 Task Code Specimen Pick -Up Rate 20102 _ Standard Sample: Concrete Cylinders (Each) $ 20.00 20101 Standard Sample :Mortar /Grout Cubes and Cores, $ 2000 . Fireproofing, debar, and Epoxy Posms (Each) 20103/ Oversize Sample: Masonry Prisms, Shotcrete Panels, IS 47.00 20104 Flexural Beams (Each) 20107 Technician for Specimen Pick -Up Not Listed Above 8 80.00 (Per Hour, 2 -Hour Minimum) 20109 Technlclan for Specimen Pick -Up Before 5:00 a.m. 5 98.00 cr After 5:00 p.m. Monday thru Fnday, cr All Day Saturday (Per Hour, 2 -Hour Minimum Plus Mileage) Task Code Jobaite Trailer, Mobile or On site Laboralo Rate 95360 Mobile laboratory for rapid set concrete $ 375.90 (per shift not exceeding 12 hours) All others by quotation 25M -307 TWINING 'A Task Mortar Rate Code Concrete Tests (Field Made Specimens) Rate 20201 6" x12 "or4 "x8" Cylinder: Compression Strength $ 32.00 30219 (ASTM C39) $ 85.00 20203 Density of Structural Lightweight Concrete $ 75.00 30221 Equilibrium or Oven Dry Method (ASTM C567) $ 95.00 20205 Core Compression including Trimming (ASTM C42) $ 55.00 20207 6" x 6" x 18" Flexural Beams Not Exceeding $ 70.00 80194 Referenced Size (ASTM C78, C293 or CTM 523) $ 50000 20208 6" x 6'x 30" Flexural Beams (CTM 523) $ 8500 20209 Cylinders: Splitting Tensile Strength (ASTM 0496) is 85.00 20211 Modulus of Elasticity Test (ASTM C469) $ 140.00 $0003 Rapid Chloride Permeability Test. Cylinders or is 450.00 275.00 Cores (ASTM C1202) Collapse Potential /Index (ASTM D5333) 80006 Density, Absorption, and Voids in Hardened $ 350.00 30203 Concrete (ASTM C642) $ 800,96 40005 Flexural Toughness (ASTM C1809, Formerly $ 70000 ASTM C1018) Consolidation Test. Full Cycle (ASTM 2435, CTM 219) 40009 Coefficient of Thermal Expansion of Concrete is 500.00 30205 (CRD 39, AASHTO T336) $ 400.00 Task 4" x 4" Bars, Five Readings up to 28 Dry Days Code Concrete Specimen Preparation Rate 20151 Sawing of Specimens (Each) _ $ 25,00 20157 Coring of Specimens in Lab (Each) $ 25.00 Task Laboratory Trial Batch: Concrete, Cement and Code Mortar Rate 30217 Compression Testcylinders Made antl Testetl in $ 4550 80195 Laboratory ASTM C192, C35) per $ 1,000.00 30219 6" x 8" x 18" Flexural Beams Made and Tested in $ 85.00 80100 Laboratory (ASTM 0192, C78) $ 550.00 30221 6" x 6" x 30" Flexural Beams Made and Tested in $ 95.00 80103 Laboratory (ASTM 0192, C293) $ 550.00 30223 Splitting Tensile Strength Cylinders Made and Tested $ 100.00 80194 in Laboratory (ASTM C192, 0496) $ 50000 30225 Modulus of Elasticity Test Cylinders Made and Tested in $ 156.00 80106 Laboratory (ASTM C192, C469) Quotation 30227 Density of Structural Lightweight Concrete Made in the $ 86,00 30322 Laboratory, Equilibrium or Oven Dry Method (ASTM $ 275.00 C567) Collapse Potential /Index (ASTM D5333) 30201 Laboratory Trial Batch (ASTM C192) $ 400.00 30203 Laboratory Trial Batch: Packaged Dry Concrete $ 800,96 Including Verification of Slump, Air Content, Plastic Unit Weight, Six Cylinders for Compressive Strength (ASTM Consolidation Test. Full Cycle (ASTM 2435, CTM 219) $ C387 and C192) 70311 30205 Drying Shrinkage Up to 28 Days: Three 3" x 3" or $ 400.00 4" x 4" Bars, Five Readings up to 28 Dry Days (ASTM Or 57) Com ivity Series'. Sulfate, CI, pH, Resistivity 30230 Additional Reading, Per Set of Three Bars $ 45,00 30231 Storage over Ninety (90) Days, Per Set of $ 30.00 70315 Three Bars, Per Month $ 30207 Setting Time Up to 7 Hours (ASTM C403) 5 125.00 30209 Bleeding (ASTM C232) $ 125.00 30229 Concrete Restrained Expansion (ASTM C578) $ 450.00 30211 Mix, Make and Test Mortar or Grout Specimens for $ 400.00 225.00 Compressive Strength'. Set of 6 (ASTM C109, C942) 20263 Non - Shrink Grout: Height Change after Final $ 400.00 Set ASTM C1Ogi 20265 Non - Shrink Grout: Height Change at Early $ 950.00 Age (ASTM Cli 30232 Cracking Resistance, Set of Three Rings, $ 4,000.00 Laboratory Trial Bashing, Test Until Cracking or up to 28 Days (ASTM 1581) 30233 Evaluation of Pre- Packaged Masonry Mortars $ 1,100.00 (ASTM C270) Task Chemical Analysis and Petrographic Code Examination of Concrete v Rate 80120 Chemical Analysis for Water Soluble Sulfates $ 160,00 (ASTM C114) (includes sample prep) Task Code Chemical Analysis and Petrographic Examination of Concrete, continued _ Rate _$ 80126 Chemical Analysts for Water Soluble Chlodtles ____ 150.00 80195 (ASTM C1218) (includes sample prep) per $ 1,000.00 80123 Chemical Analysts for Acid Soluble Chlorides $ 220.00 80100 (ASTM Of 152) (includes sample prep) $ 550.00 80193 Chloride Diffusion Coefficient of Cementitiens $ 2,000.00 80103 Mixtures by Bulk Diffusion (ASTM 01556) $ 550.00 80129 Petrographic Examination of Hardened Quotation 80194 Concrete (ASTM 856) $ 50000 Task Abrasion'. LA Rattler (ASTM C535) $ Code Physical and Chemical Analysis of Cement Rata 80195 Physical Testing and Chemical Analysis of Portland Cement per $ 1,000.00 California Bearing Ratio Excluding Maximum Density Standard Requirements (ASTM 0150) 55000 80100 Chemical Analysis of Portland Cement per $ 550.00 Standard Requirements (ASTM C150) California Bearing Ratio Excluding Maximum Density 80103 Physical Testing of Portland Cement per $ 550.00 (ASTM D1883): Cement- Treated Sell Standard Requirements (ASTM Of 50) 80194 Physical Testing of Type K Cement Mortar $ 50000 130.00 Expansion (ASTM C866) Clay Lumps and Friable Period. (ASTM Or 42) 80106 Partial Analysis or Specific Physical Tests Quotation 80110 Sulfates Resistance of Hydraulic Quotation 30322 Cement (ASTM Ci 012) $ Task Abrasion'. LA Rattler (ASTM C535) $ Code Physicals rid C hem ical Analysis of MI In Rate 80140 Chemical Analysis of Fly Ash per _ $ 550.00 California Bearing Ratio Excluding Maximum Density Standard Requirements (ASTM C618) 55000 80143 Physical Testing of Fly Ash per Standard Requirements $ 530.00 (ASTM C618) California Bearing Ratio Excluding Maximum Density 80146 Partlel Analysis or Specific Physical Tests Quotation 80147 Chemical Analysis and Physical Testing of Fly Ash per $ 1,000.00 Standard Requirements (ASTM C1618) Task Physical Testing of Chemical Admixtures for Code Concrete Rate 00196 Qualiflcatlon of Admixture per ASTM C494 Quotation Task Code Soils and Aggregate Tests Rate 30503 Abrasion'. IA Rattler (ASTM C131)� r 3 185.00 30505 Abrasion'. LA Rattler (ASTM C535) $ 195.00 70301 Atterberg Limits /Plasticity Index (ASTM D4318, CTM204) $ 150.00 70303 California Bearing Ratio Excluding Maximum Density $ 55000 (ASTM D1883): 8.11 70304 California Bearing Ratio Excluding Maximum Density $ 650.00 (ASTM D1883): Cement- Treated Sell 70305 Chloride and Sulfate Content (CTM 417, CTM 422) s 130.00 30403 Clay Lumps and Friable Period. (ASTM Or 42) $ 175.00 30321 Cleanness Value: V x#4(CTM 227) $ 175.00 30322 Cleanness Value: 1.5" x 75" (CTM 227) $ 275.00 70393 Collapse Potential /Index (ASTM D5333) $ 175.00 70396 Compressive Strength of Molded Soil- Cement $ 105.00 Cylinders (ASTM D1633) 70309 Consolidation Test. Full Cycle (ASTM 2435, CTM 219) $ 195.00 70311 Consolidation Test', Time Rate per Load Increment $ 45.00 (ASTM D2435, CTM 219) 70313 Com ivity Series'. Sulfate, CI, pH, Resistivity $ 245.00 (CTM 643, 417, and 422) 70315 Crushed /Fractured Particles (ASTM D5821, CTM 205) $ 175,00 70317 Direct Shear Test: Remolded antl /or Residual $ 245.00 (ASTM D3080) 70319 Direct Shear Test: Undisturbed - Slow [CD] (ASTM D3080) 8 225.00 25M -308 TWINING Task Code Code Solis and Aggregate Tests, continued 75033 Rate _ 70321 , Direct Shear Test: Undisturbed - Fast [CU] �� $ 195.00 75036 (ASTM D308O) $ 70.00 70378 Durability Index'. Per Method - A,B,C, or $ 210,00 $ 150,00 (CTM 229, ASTM D3744) Extactlon: % Bitumen (CTM 362, ASTM D6307) $ 155.00 70325 Expansion Index ASTM D4829, UBC 18 -2) $ 180.00 75004 Fine Aggregate Angularity $ 185.00 $ 325.00 ( AASHTO T3O4, ASTM C1252, CTM 234) (CTM 382, ASTM D6307) 30507 Flat and Elongated Particle (ASTM D4791) $ 225.00 30508 Flat or Elongated Particle (ASTM D4791) $ 195.00 70331 Maximum Density: Methods A /B /C $ 180.00 75054 (ASTM D1557, D698, CTM 216) $ 325.00 70333 Maximum Density: Check Point $ 65.00 $ 200.00 (ASTM D1557, Di (CTM 304, CTM 366, ASTM DI 560, ASTM D7561) 70335 Maximum Density: AASHTO C [Modified] $ 195.00 3 briquettes (ASTM D6926 ASTM D2726) (PASHTO T -180) 75049 Lab Tested Maximum Density: Marshall 70337 Moisture Content (ASTM D221QCTM 226) $ 25.00 70339 Moisture and Density. Ring Sample (ASTM D2937) $ 30.00 70341 Moisture and Density Shelby Tube Sample $ 40.00 (ASTM D2937) (ASTM 06925, ASTM D2726) 70340 Moisture - Density Relations of Soil - Cement $ 225.00 Compacted Briquette, Parafin, 1 briquette Mixtures Premixed In the Field (ASTM 0556) (ASTM 06925, ASTM Of 188) 70342 Moisture- Density Relatons of Soil- Cement Mixtures S 295.00 Mixed In the Lab (ASTM D558) 75066 30401 Organic Impurities (ASTM C4O, CTM 213) IS 90.00 70343 Permeability (ASTM D5004) $ 250,00 80001 Potential Reactivity: Chemical Method (ASTM C289) $ 475,00 70394 Potential Reactivity: Matter Bar Expansion Method $ 700.00 14 -Day Exposure (ASTM C126O) Marshall Stability and Flow, Gyratory Compacted $ 225.00 70398 Potential Reactivity: Concrete Her Expansion, $ 2,400.00 (ASTM D6925, ASTM 05581) Method (ASTM C1293), 12 month 75107 Marshall Stability and Flow 6" Specimen, Premixed, 70399 Potential Reactivity: Concrete Bar Expansion, $ 2,600.00 75063 Method (ASTM C1293), 24 month $ 85.00 75005 70397 Potential Reactivity of Aggregate Combination, $ 900.00 $ 3,000,00 14 -Day Exposure, Mortar (ASTM C7567) Hveem Mix Design, with RAP (Excluding Aggregate $ 3,300.00 70345 R- Value'. Sail (ASTM 2844, CTM 301) $ 325.00 70347 R- Value'. Aggregate Base (ASTM D2844, CTM 301) $ 355.00 70349 Sand Equivalent (ASTM D2419, CTM 217) $ 125.00 70351 Sieve NOT Wash Only (ASTM D1140, CTM 202) $ 90.00 70353 Sieve with Hydrometer: 3/4" Gravel to Clay $ 225.00 (ASTM D422, CTM 203) Marshall Mix Design (Excluding Aggregate Quality Tests) $ 3,000.00 70355 Sieve with Hydrometer: Sand to Clay $ 21500 Quality Tests) (ASTM D422, CTM 203) 75090 Marshall Mu Design with Lime (Excluding Aggregate 70357 Sieve Analysis Including Wash $ 140,00 75083 (ASTM 0136, CTM 202) $ 1,350.00 70359 Sieve Analysis Without Wash (ASTM C136, CTM 202) $ 105,00 70360 Sieve Analysis: Split Sieve (ASTM C136, CTM 202) $ 215.00 70361 Sieve Analysis Without Wash: With Cobbles $ 210,00 Superpave Mix Design, with Rubber (ASTM C136, CTM 202) (Excluding Aggregate Quality Tests) 70363 Soundness'. Sodium or Magnesium Sulfate, $ 450.00 5 Cycles (ASTM C88) 75075 70365 Specific Gravity and Absta lon :Coarse $ 100.00 (ASTM 0127, CTM 206) Effect of Moisture on Asphalt Paving Mixtures, Pre -Mixed, 24- $ 1,150.00 70367 Specific Gravity and Absorption: Fine $ 165.00 ( AASHTO T283, ASTM D4867) (ASTM C728, CTM 207) 75064 Effect of Moisture an Asphalt Paving Mixtures 70369 Swell /Settlement Potential: One Dimensional $ 105,00 75065 (ASTM D4546) $ 1,700.00 70371 Trial Quotation 70373 Unconfined Compression (ASTM D2166, CTM 221) $ 135.00 30317 Unit Weight Per Cubic Foot (ASTM C29, CTM 212) $ 00.00 30319 Voids in Aggregate with Known Specific Gravity $ 80.00 (ASTM C29, CTM 212) Task Code le Asphalt Car Tests Rate 75033 Bulk Specific Gravity of Compacted Sample or �$ 45.00 Core '. 850 (CTM 3O8C and ASTM D2726) 75036 Bulk Specific Gravity of Compacted Sample or $ 70.00 Core: Parafin Coated (CTM 3O8A and ASTM D1188) 75040 Emulsion Residue, Evaporation (ASTM D244) $ 150,00 75024 Extactlon: % Bitumen (CTM 362, ASTM D6307) $ 155.00 75027 Extraction: % Bitumen and Gradation (CTM 382, $ 200.00 CTM 202, ASTM 06307, ASTM D5444) 75026 Extraction: % Bitumen, Correction Factor $ 325.00 (CTM 382, ASTM D6307) 75030 Chemical Extractlon: % Bitumen and Sieve Analysis $ 245.00 (ASTM D2172 Method A or B, ASTM D5444) 75042 Lab Tested Maximum Density. Hveem, 3 briquettes $ 200.00 (CTM 304, CTM 308, ASTM D1561. ASTM D11 BB) 75054 Hveem Stabilometer Test with Mixing, 3 briquettes $ 325.00 (CTM 304, CTM 366, ASTM Of %0, ASTM D1561) 75057 Hveem Stabllomater Test, Premixed, 3 briquettes $ 200.00 (CTM 304, CTM 366, ASTM DI 560, ASTM D7561) 75048 Lab Tested Maximum Density, Marshall, $ 200.00 3 briquettes (ASTM D6926 ASTM D2726) 75049 Lab Tested Maximum Density: Marshall $ 215.00 6" Specimen, 3 briquettes (ASTM D5581, ASTM D2726) 75050 Lab Tested Maximum Density: Superpave Gyratory $ 75.00 Compacted Briquette, SSD, 1 briquette (ASTM 06925, ASTM D2726) 75052 Lab Tested Maximum Density: Superyave Gyratory $ 85.00 Compacted Briquette, Parafin, 1 briquette (ASTM 06925, ASTM Of 188) 75051 Maximum Theoretical Specific Gravity [RICE] $ 150.00 (CTM 309, ASTM D2O41) 75066 Marshall Stability and Flow, Cored Sample, each $ 75.00 (ASTM D6927) 75069 Marshall Stability and Flaw, Premixed, 3 briquettes $ 200.00 (ASTM D8926, ASTM D6927) 75072 Marshall Stability and Flaw, with Mixing, 3 briquettes $ 325,00 (ASTM D6926, ASTM D8927) 75106 Marshall Stability and Flow, Gyratory Compacted $ 225.00 Specimen Pre -Mixed, 3 briquettes (ASTM D6925, ASTM 05581) 75107 Marshall Stability and Flow 6" Specimen, Premixed, $ 215.00 3 briquettes (ASTM 05581) 75063 Moisture Content (CTM 370) $ 85.00 75005 Wet Track Abrasion Test( ASTM D391O) $ 150.00 75093 Hveem Mix Design (Excluding Aggregate Quality Tests) $ 3,000,00 75096 Hveem Mix Design, with RAP (Excluding Aggregate $ 3,300.00 Quality Tests, RAP Qualification) 75099 Hveem Mix Design, with Lime (Excluding Aggregate $ 3,550.00 Quality Tests) 75094 Hveem Mix Design Caltrans Untreated Mix $ 4,200.00 (Including Aggregate Quality Tests) 75095 Hveem Mix Design Coltrane Lime Treated Mix $ 4,300.00 (Including Aggregate Quality Tests) 75084 Marshall Mix Design (Excluding Aggregate Quality Tests) $ 3,000.00 75087 Marshall Mix Design with RAP (Excluding Aggregate $ 3,300.00 Quality Tests) 75090 Marshall Mu Design with Lime (Excluding Aggregate $ 3,55000 Quality Tests) 75083 Open Grade Asphalt Concrete Mix Design $ 1,350.00 (CTM 368, ASTM 07064) 75109 Superpave Mix Design (Excluding Aggregate Quality Tests) $ 4,770.00 75113 Superpave Mix Design, with RAP $ 6,090.00 (Excluding Aggregate Quality Tests) 75114 Superpave Mix Design, with Rubber $ 6,200.00 (Excluding Aggregate Quality Tests) 75115 Superpave Mix Design, with Additives $ 5,590.00 (Excluding Aggregate Quality Tests) 75075 Effect of Moisture on Asphalt Paving Mixtures, Pre -Mixed $ 875.00 ( AASHTO T283, ASTM D4867) 75070 Effect of Moisture on Asphalt Paving Mixtures, Pre -Mixed, 24- $ 1,150.00 Hour Immersion Pre -Mixed ( AASHTO T283, ASTM D4867) 75064 Effect of Moisture an Asphalt Paving Mixtures $ 1,500.00 ( AASHTO T283, ASTM 04867) 75065 Effect of Moisture on Asphalt Paving Mixtures, One Freeze $ 1,700.00 Thaw Cycle (PASHTO T283, ASTM D4067) 25M -309 ATWINING 'Task Code _ Asphalt Concrete Tests, continued Rate 75102 Resistance of Compacted Bituminous Mixtures to $ 1,650.00 Moisture Induced Damage [TSR], Untreated (CTM 371) 75105 Resistance of Compacted Bituminous Mixtures to $ 1,800.00 Moisture Induced Damage [TSR], Lime Treated (CTM 371) 75104 Resistance of Compacted Bituminous Mixtures to $ 900.00 Moisture Induced Damage [TSR], Pre - Mixed (CTM 371) 75111 Hamburg Wheel Track Test 20,000 passes, 4 $ 1,000.00 briquettes (AASHTO T324) 75116 Hamburg Wheel Track Test 25,000passee4 $ 1,200.00 briquettes (AASHTO T324) 75039 Raveling Test of Cold Mixed Emulsified Asphalt $ 200.00 (ASTM D7196) 75067 Marshall Stability, wet set, 3 replicates (AASHTO T 245) $ 32500 75068 Marshall Stability, dry set, 3 replicates (AASHTO T 245) $ 275.00 Task Code Brick Masonry Tests, ASTM C67 Rate 20301 Modulus of Rupture: Flexural (5 Required Per ASTM) 5 45.00 20303 Compression Strength (3 Required Per ASTM) $ 45.00 20305 Absorption: 5 Hour or 24 Hour (5 Required) S 50,00 20307 Absorption (Boil): 1, 2 or 5 Hours (5 Required) S 80.00 20309 Initial Rate of Absorption (5 Required) $ 40.00 20311 Efflorescence (5 Required) $ 80.00 20313 Cores: Compression $ 55.00 20315 Shear Teston Brick Cores2 Faces $ 80.00 Task Weld', Macroetch Compression :2"x4 "MOdar Cyllnders(ASTM C760) $ Code Concrete Block, ASTM C140 Slippage Test- Coltrane (CTM Rate 20321 Compression (3 Required Per ASTM) 5 5000 20323 Absorption /Moisture ContenflOven Dry Density $ 80.00 20355 (3 Required Per ASTM) $ 30.00 20327 Linear Shrnkage(ASTM C426) $ 200.00 20335 Web and Face Shell Measurements 5 40,00 20329 Tierra. Test $ 150.00 20331 Core Compression $ 55,00 20333 Shear Test of Masonry Cores: 2 Faces S 75.00 20339 Efflorescence Tests(3 Required) 5 4000 Task 20361 Core Compression including Trimming ASTM C42) Code Masonry Prisms, ASTM C1314 Rate 20341 Compression Test Composite Masonry $ 185,00 3200 . Prisms Up To W x 16" 20343 Compression Teat. Composite Masonry $ 245,00 Prisms Larger Than e" x 16" 20346 Prism Cord Modulus of Elasticity $ 505,00 Task Concrete Roof Fill: Gypsum, Vermiculite, Penile, Code LightweightInsulating Concrete, Etc. Rate 20371 Compression Test (ASTM C495 and C472) $ 39.00 20373 Air Dry Density (ASTM C472) $ 30.00 20379 Oven Dry Density (ASTM 0495) $ 55.00 Task Code Reinforcing Steel, ASTM A615, A706 ^ _ Rate 20501 Tensile Test: #I I or Smaller $ 5200 . 20503 Bend Test is 11 or Smaller 20504 Bend Test #14 cr 418 20505 Tensile Test: # 14 20507 Tensile Test: # 18 $ 4600 $ 300.00 $ 20000 $ 300.00 Task Prism Cord Modulus of Elasticity with Transverse $ 630.00 20633 Code Reinforcing Steel - Welded or Coupled Specinumans Code Rate 20521 Tensile Test: WoodalCouple l 911 and Smaller $ 0200 , 20523 Tensile Test WeldedCCUpled #14 $ 220.00 20525 Tensile Test: WeldedlCoupled#18 Mortar and Grout $ 320,00 20529 Weld', Macroetch Compression :2"x4 "MOdar Cyllnders(ASTM C760) $ 65.00 20531 Slippage Test- Coltrane (CTM 670) $ 175.00 Task Code Metal and Steel Testing Rate 20601 Tensile Strength'. Up to 100K Pounds (Each) $ 50.00 20603 Tensile Strength'. Up to 200K Pounds (Each) 20605 Tensile Strength'. Up to 300K Pounds (Each) 20607 Tensile Strength', Up to 400K Pounds (Each) 20609 Tensile Strength'. 400K to 600K Pounds (Each) 20611 Tensile Strength Stress-Strain Percent Offset 20545 Weld. Macroetch 20547 Wald. Fracture 20615 Bend Test 20617 Flattening Test 20619 Brinnel and Rockwell Hardness Test (ASTM El 8) (Par Test) 20630 Bolt. Axial Tensile Test (Up to 7J8" diameter) 20631 Bolt. Wedge Tensile Test (Up to 7/8" diameter) 20632 20347 Prism Cord Modulus of Elasticity with Transverse $ 630.00 20633 Nut: Proof Load Test (Greater than 1 ") Strain (for double-wythe specimen) Code Masonry Specimen Preparation Rate 20634 Task $ 45.00 Task 20635 Code Mortar and Grout Rate 20351 Compression :2"x4 "MOdar Cyllnders(ASTM C760) $ 30.00 20636 20353 Compression: 3" x 3" x 6" Grout Prisms, $ 5200 . 20637 Task Includes Trimming (ASTM Cl 19) 80173 20355 Compression'. 2 " Cubes (ASTM Clog) $ 30.00 20636 20357 Compression'. Cores (ASTM C42) $ 55,00 20639 20640 Bolt Axial Tensile Test (Greater than 718" up to V diameter) Bolt Wedge Tensile Test (Greater than 7/8" up to V diameter) Ball Axial Tensile Test (Greater than 1" diameter) Bolt Wedge Tensile Test (Greater than 1" diameter) Bolt: Proof Load Test (Up to 7 /8 ") Boll: Proof Load Test (Greater than 7 /8" up to 1 "diameter) Bolt: Proof Load Test (Greater than 1 ") Nut: Proof Load Test (Up to 7/8 ") Nut: Proof Load Test (Greater than 7/8" up to V diameter) $ 55,00 $ 65.00 $ 110.00 $ 300.00 $ 150.00 $ 65.00 $ 30.00 $ 46,00 $ 55.00 $ 7200 . $ 40.06 $ 55.00 $ 60.00 $ 75.00 Quotation Quotation $ 65.00 $ 85.00 Quotation $ 45.00 $ 65.00 Task 20641 Nut: Proof Load Test (Greater than 1 ") Quotation Code Masonry Specimen Preparation Rate 20155 Cutting of Cubes or Prisms $ 45.00 Task Code Chemical Testing of Metal and Steal Rate 80170 Steel Chemical Analysis It 125.00 Task 80173 Weight of Galvanized Coating (ASTM A90) $ 75.00 Code Fireproofing Tests Rate 20401 Oven Dry Density(Per Sample) (ASTM E605) $ 80.00 Task Code Gunite and Electorate Tests Rate 20361 Core Compression including Trimming ASTM C42) $ 55, no 20353 Compression'. 8 "x12 "Cylinders $ 3200 . 20365 Compression', Cubes (Includes Saw Cutting) $ 74,00 25M -310 TWINING Task Machining and Preparation of Tensile and Code Code Bend Sample: Carbon Steel 20706 Rate 20751 Machinist: Initial Preparation from Mock -up, Etc ,'$ direction (ASTM D3039) 80.00 20707 (Per Hour) $ 250.00 Rate 20753 Sawcut to Overall Width (Per 0.5" Thickness or $ 40.00 $ 85.00 Fraction Thereof) (ASTM D3039) 20755 Machine to Test Configuration: Milled Specimens $ 55.00 20783 (Per 0.5" Thickness or Fraction Thereon $ 8200 , Cyclic and Fatigue Testing Programs an Special Products/Pars 20757 Machine to Test Configuration: Turned Specimens $ 110.00 (Per 0.5" Thickness or Fmction Thereof) 20759 Prepare Subaze Specimens (Per 0, 5" Thickness $ 72.00 or Fraction Thereof) Fastener /Coupling Full Testing Program Per New Regulations: Tension, Quotation Task Code Charity Impact Rate 20621 Charpy Impact Ambient Temperature, per sample $ 70.00 (Average of 3 Samples Typically Required) 20623 Charpy Impact Reduced Temperature, per sample $ 90.00 (Average of 3 Samples Typically Required) Task Code Polymer Matrix Composite Materials (Fi hery rap) Rate 20706 Tensile Strength— Set of 5 Specimens /batch/ $ 1,350.00 direction (ASTM D3039) in the ceramic the industry. A separate schedule of fees for these services 20707 Tensile Strength— Additional Specimens $ 250.00 Rate (ASTM D3039) 20708 Heating Chamber Time — Per 24 hr period $ 85.00 (ASTM D3039) Task Code Calibration Services and Unive Mac rsal hine Usage_ Rate 20801 CalibrationNerfication Services�� Quotation 20803 Universal Test Machine Usage (Per Hour) $ 250.00 Ceramic Tile 'resting Division General Conditions NOTE: Field inspection work conditions are established by contract with Operating Engineers, Local 12 NOTE: A minimum [of 24 hours notice is required for testing and Inspection services Administrative Fees All administrative casts including report distribution and the Twining ConstructionHive system are billed at 4% of monthly invoice total. Note that hard copies of reports will be sent only to governing lursdictions that mandate them. All other parties will receive reports electronically. The administrative fee above will be increased by 1 %if additional hard copies of reports are requested. Minimum Charges (Inspection and Technician Personnel Only - Other Personnel Charged on Portal to Portal Basis) 2 -Hour Minimum: Inspectorarrives atjobshe, no work to perform Inspectorarmers atfobslte, no work to perform 4 -Hour Minimum: 1 to 4 hours of inspection 1 to 4 hours of inspection e -Hour Minimum: Over 4 hours of inspection Over hours of Inspection Regular Time The first 8 hours worked Monday through Friday between 5:00 a.m. and 5:00 am Time and One -Half (All Types of Inspection) All shifts will be billed based on the time and date of their star. Any incrament past 8 hours through 12 hours worked Monday through Friday and the first 12 hours on Saturday Time and one -half will also be charged for any time before 5:00 a.m. and after 5:00 ark Double Time (All Types of Inspection) All shifts will be billed based on the time and date of their start. After the first 12 hours worked Monday through Saturday, all day Sunday, holidays, and the first Saturday following the first Friday In June and December. Holidays are New Yeats Day, Memorial Day, Independence Day, Labor Day, Veterans Day, Thanksgiving Day, the day after Thanksgiving, and Christmas Day. Meal Period When personnel are required by their duties to work more than five consecutive hours without a one -halt hour uninterrupted meal period,one half hour at double time rate will be charged in addition to any applicable overtime for actual hours worked. Shift Differential A $1.00 per hour shift differential premium will be charged for all inspection hours that fall outside of the 5:00 a.m. to 500 p.m. time period. Twining will require 48 -hour notice prior to beginning a shlit that will Include hours felling outside this time period. Should this notice not be provided, all work performed on that shift will be billed at the overtime rate. If three shifts per day are required, the first shift will be billed at the standard rate The second shift shall be billed In accordance with the previous paragraph. The third shift shall be billed at 8 hours for the first 61 /2 hours worked and overtime for all hours thereafter. 25M -311 The Ceramic Tile Institute of America (CTIOA) and Twining worked together to advance and develop technology designed to enhance the quality of materials and workmanship Task in the ceramic the industry. A separate schedule of fees for these services is available _Code Machining of Charpy Samples: Carbon Steel Rate upon request. 20780 Cutting and Mining (Per 0.5" or Fraction Thereafter) $ 7200 . (Average of 3 Samples Typically Required) 20783 Final Machining to Sample Configuration $ 8200 , Cyclic and Fatigue Testing Programs an Special Products/Pars Quotation (Average of 3 Samples Typically Required) Engineering and Technical supports/Design of Prototypes and Special Quotation Task Fastener /Coupling Full Testing Program Per New Regulations: Tension, Quotation Code Prestressing Wires and Tendons, ASTM A416 Rate Tension /Band, Shear, Double Shear, 8 Compressions 20701 Stress -Strain Analysls: Wire or Strands $ 170.00 Fiberglass /Composite Materials Field Testing Program (ASTM D4085, Quotation (Including Chad and Percent Offset) DI 143, 04923, D2584, 04476, D1242, 07901, 07921, and D732) 20703 Tensile Test Only $ 125.00 Field Testing of Structures and Structural Elements Quotation 20705 Tendons Quotation In -Place Shear Testing Quotation Materials and /or Product Evaluation Per Specifications Quotation Structural Dynamic Testing and Durability Analysis Quotation General Conditions NOTE: Field inspection work conditions are established by contract with Operating Engineers, Local 12 NOTE: A minimum [of 24 hours notice is required for testing and Inspection services Administrative Fees All administrative casts including report distribution and the Twining ConstructionHive system are billed at 4% of monthly invoice total. Note that hard copies of reports will be sent only to governing lursdictions that mandate them. All other parties will receive reports electronically. The administrative fee above will be increased by 1 %if additional hard copies of reports are requested. Minimum Charges (Inspection and Technician Personnel Only - Other Personnel Charged on Portal to Portal Basis) 2 -Hour Minimum: Inspectorarrives atjobshe, no work to perform Inspectorarmers atfobslte, no work to perform 4 -Hour Minimum: 1 to 4 hours of inspection 1 to 4 hours of inspection e -Hour Minimum: Over 4 hours of inspection Over hours of Inspection Regular Time The first 8 hours worked Monday through Friday between 5:00 a.m. and 5:00 am Time and One -Half (All Types of Inspection) All shifts will be billed based on the time and date of their star. Any incrament past 8 hours through 12 hours worked Monday through Friday and the first 12 hours on Saturday Time and one -half will also be charged for any time before 5:00 a.m. and after 5:00 ark Double Time (All Types of Inspection) All shifts will be billed based on the time and date of their start. After the first 12 hours worked Monday through Saturday, all day Sunday, holidays, and the first Saturday following the first Friday In June and December. Holidays are New Yeats Day, Memorial Day, Independence Day, Labor Day, Veterans Day, Thanksgiving Day, the day after Thanksgiving, and Christmas Day. Meal Period When personnel are required by their duties to work more than five consecutive hours without a one -halt hour uninterrupted meal period,one half hour at double time rate will be charged in addition to any applicable overtime for actual hours worked. Shift Differential A $1.00 per hour shift differential premium will be charged for all inspection hours that fall outside of the 5:00 a.m. to 500 p.m. time period. Twining will require 48 -hour notice prior to beginning a shlit that will Include hours felling outside this time period. Should this notice not be provided, all work performed on that shift will be billed at the overtime rate. If three shifts per day are required, the first shift will be billed at the standard rate The second shift shall be billed In accordance with the previous paragraph. The third shift shall be billed at 8 hours for the first 61 /2 hours worked and overtime for all hours thereafter. 25M -311 TWINING General Conditions, continued Travel Time and Mlleage For projects outside a 50 -mile radius from the nearest Twining facility, $0.60 per excess mile to and from the project will be charged for inspectors and technicians. Other Nan small tools, whenever project related equipment is required to be transported to and from the project site, time and mileage for inspectors and hold technicians will be billed on a portal to portal bests. For all projects, $0.60 per mile will be charged portal to portal for engineers, consultants, supervisors, and laboratory technicians from the laboratory, to the project site and return. Saturday Sample Pick-Ups In orderto be in strict conformance with testing standards, it may be required that Saturday pick -ups be performed (e, g, concrete specimens cast on Friday must be picked up on Saturday in order to be in conformance with ASTM C31 requiring specimens to be moved to their final curing location within 48 hours of casting.) Applicable charges for Saturday work will apply when this is required. Should these charges not be authorized then Twining will not be responsible for any negative consequences. Remote Jobs For projects In excess of 100 miles from Twining, travel tlme will be charged at the relevant straight time rate. Reimbursable Expenses Parking, airfare, car rental, food and lodging, etc, will be charged at cast plus 15% per processed invoice, unless provided by client Subsistence Subsistence on remote lobs will be charged per quotation. Laboratory Testing Hours Please note that laboratory testing will be billed on an hourly basis for non - standard tests. If testing is required to be performed on Saturdays, Sundays, holidays, or before 5:30 a.m. or after 4'.00 p. n. an weekdays, an additional hourly charge with a minimum of one hour will be applied for the laboratory technician. 1.5 x regular test rate will be charged for rush testing. Charges for Subcontracted Services Material sent to outside laboratory for testing: Cost plus 20% Material sent to outside forbearer or machine shop'. Cost plus 20% Glu-Lam beam inspection: Cost plus 20% Other subcontractors'. Cost plus 20% Project exclusive equipment purchase: Cost plus 20% Limit of Liability All contracts are subject to errors and omissions coverage limits of$50, 000.00, or contract amount whichever is greater. Higher limits avallable by quotation Certified Payroll Codified payroll will be provided, upon request, at an additional charge of $100,001month. Final Reports Required by Jurisdiction If a final report or affidavit is required, we must first review all inspection and testing reports and clear up any unresolved issues on these reports. These issues will typically require approval by the engineer or architect of record. This process can take several weeks or just a day, depending on the number and complexity of the issues. Cost for final reports will be billed hourly. Terms of Payment Fees charged are for professional and technical services and are due upon presentation If not paid within 30 days from data of Invoice, they are considered past due and a finance charge of 1 %% per month will be added to the unpaid balance (APR 1894), All Invoice errors or necessary corrections shall be brought to the attention of Twining within 15 days of receipt of Invoice. Thereafter, customer acknowledges invoices are correct and valid. Twining reserves the night to terminate its services to a customerwithout notice If all Invoices are not current. Upon such termination of services, the entire In the event of any litigation arising from or related to any agreement to provide services whether verbal smarted, the prevailing party shall be entitled to recover than the non- prevailing party all reasonable costs Incurred, including staff time, court costs, attorney's fees and all other related expenses in such litigation. Additionally, In the event of a ran Specimen Disposal Specimens will be discarded after testing unless Twining has been notified prior to testing that the customer wishes to retrieve the specimens or storage arrangements are made. Oversize Specimens An extra charge will be made when test specimens require more than one person to handle due to size or weight. 25M -312 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -OB 13 -07 -Safe Harbor Indirect Cost Rate for Consultant Contracts found at htip : / /www. dot. ca. gov/ hq/ LocalPrograms/DLA_OBIDLA_OB.him in lieu ofthisform.) Certification of Final Indirect Costs: Consultant Firm Name: Kimley -Horn and Associates, Inc. TBD Indirect Cost Rate: 194.16% *for fiscal period 111/13 to 12/31/13 (mm /dd /yyyy to mm /dd /yyyy) $200,000 *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana, CA Contract Number: TBD Project Number: RFP14 -037 I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31, 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ 62.19M(Transp. /ITS /Transit) and the number of states in which the firm does business is 5o Certification of Direct Costs: 1, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: LPP I5 -01 25M -313 Page I of 2 January 14,2015 Local Assistance Procedures Manual EXHIBIT 10-K Consultant Certification of Contract Costs and Financial Management System I. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terns of the contract and is incurred specifically for the contract. 1 Not prohibited by 23 CFR, Chapter 1, Part 172,— Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Primc Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Twining, Inc. Canyon Consulting $ TBD Consultant Certifying (Print Name and Title): Name: Mark E. Atkinson Title: Consultant Certification Signature * *: Date of Certification (mm /dd /yyyy): Consultant Contact Information: 1/29/15 Email: mark.atkinson@kimley-horn.com Phone number: 919- 677 -2000 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31, 23 CFR Part 172.3 Definitions state: Consultant means the individual or,rrm providing engineering and design related services as a party to the contract. Therefore, subconsultants as parties of a contract must complete a certification and send originals to A &I and keep copies in Local Agency Project Files. Distribution: I) Original to Cal trans Audits and Investigations 2) Retained in Local Agency Project Files LIT 15 -01 25M -314 Page 2 of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -I{ Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -IC CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment 1 of DLA -OB 13 -07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found at http:// www. dot. ca. gov/ hq1 LocalPrograms/DLA_OBIDLA_OB.htot in lieu ofthisform.) Certification of Final Indirect Costs: Consultant Firm Name: Twinii Indirect Cost Rate: 127.73% * for fiscal period 9/15/2014 (mm /dd /yyyy to mm/dd /yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana, CA Contract Number: TBD Project Number: RFP 14 -037 I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Manaeement System: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ 27,750,000 and the number of states in which the firm does business is 1 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: LPP 15 -01 25M -315 Page 1 of 2 January 14, 2015 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System t. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all Subconsultants and proposed subcontract dollar amounts (attach additional page if necessary): Consultant Certifying (Print Name and Title): Name: Linas Vitkus, PE, GE Title: Senior Vice President Consultant Certification Signature ** Date of Certification (mm /dd /yyyy): 1/30/2015 Consultant Contact Information: Email: Amir Ghavibazoo, PhD Phone number: 562.426.3355 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31, 23 CFR Part 172.3 Definitions state: Consultant means the individual orfirm providing engineering and design related services as a party to the contract. Therefore, subconsultants as parties of a contract must complete a certification and send originals to A &I and keep copies in Local Agency Project Files. Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files Page 2 of 2 LPP 15-01 25M-316 January 14, 2015 EXHIBIT C ADDITIONAL PROVISIONS CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES The following documents in reference to the on -call engineering services hereunder are hereby on file with the City of Santa Ana's Public Works Agency and are hereby incorporated by reference: • Request for Qualifications (RFQ) — RFQ No. 14 -037 • Statement of Qualifications (SOQ) -- in response to RFQ No. 14 -037 • Request for Proposal (RFP) — RFP No. 14 -037 • Proposal - -in response to RFP No. 14 -037 17 25M -317 EXHIBIT D ATTACHMENTS D -1, D -2, D -3 & D -4 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 18 25M -318 APPENDIX ATTACHMENT D -1: NON - COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14.037 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 to 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 bo Non- coilluusll ffidavit is part of the Proposal. Signing this Proposal on the signature portion ther of sh II also co titu a signature of this Non - collusion Affidavit. BIDDERS are cautioned that making a f e cer ification ay abject the certifier to criminal prosecution. Signed -I Z THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT 00 NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14 -037 Page 26 25M -319 APPENDIX �- ATTACHMENT D -2: NON - LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14.037 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 Name Kimley- Hornrand Associates, Inc. Signed and Printed Title: Vice President 11 -17 -2014 P.E. THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14 -037 Page 27 25M -320 APPENDIX ATTACHMENT D -3: DEPARTMENT OF HOUSING & URBAN DEVELOPMENT SECTION 3 CONTRACT CLAUSE CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14 -037 A. The work to be performed under this contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701 u (Section 3). The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD - assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low- and very low- income persons, particularly persons who are recipients of HUD assistance for housing. B. The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which implement Section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the part 135 regulations. C. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding,_ if any, a notice advising the labor organization or workers' representative of the contractor's commitments under this Section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin. D. The contractor agrees to include the Section 3 clause in every subcontract subject to compliance with regulations In 24 CFR Part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this Section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR Part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge of that the subcontractor has been found in violation of the regulations in 24 CFR Part 135, E. The Contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor is selected, but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractor's obligations under 24 CFR Part 135. Noncompliance with HUD's regulations In 24 CFR part 35 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts. City of Santa Ana RFP 14 -037 Page 28 25M -321 G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self - Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (11) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the rip mary Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S, Census Tract In which the project is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident Is any lower income individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area in which the project is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1996 -97, minimum goal for each project is 30 %. The Contractor /Sub - contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub- contractor /Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his /her operations within the City of Santa Ana. A, zk' Signature Signature Signature Darren Adrian, P E., Vice President Print Name and Title Name and Title Print Name and Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14 -037 Page 29 25M -322 APPENDIX ATTACHMENT D -3: DEPARTMENT OF HOUSING & URBAN DEVELOPMENT SECTION 3 CONTRACT CLAUSE CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14 -037 DEPARTMENT OF HOUSING & URBAN DEVELOPMENT (HUD) SECTION 3 CONTRACT CLAUSE A. The work to be performed under this contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (Section 3), The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD- assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low- and very low- Income persons, particularly persons who are recipients of HUD assistance for housing. B. The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which implement Section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the part 135 regulations. C. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the contractor's commitments under this Section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin. D. The contractor agrees to include the Section 3 clause in every subcontract subject to compliance with regulations in 24 CFR Part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this Section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR Part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge of that the subcontractor has been found in violation of the regulations in 24 CFR Part 135. E. The Contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor is selected, but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractor's obligations under 24 CFR Fart 135. Noncompliance with HUD's regulations in 24 CFR part 35 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts. City of Santa Ana RFP 14037 Page 28 25M -323 G. With respect to work performed in connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self- Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (I) preference and opportunities for training and employment subcontracts shail be given to Indians, and (11) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian -owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the rin mary Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income Individuai residing within the Section 3 area, whose total family income does not exceed 60% of the median income of the metropolitan statistical area in which the project is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of Income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1998 -97, minimum goal for each project Is 30 %. The Contractor/Sub- contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub , rontractor /Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of hislher operations within the City of Santa Ana. Signature Print Name and Title Signature Print Name and Title nature Print Name and Title 11 f 3 14-- Date THIS BE City of Santa Ana RFP 44.037 Page 29 25M -324 i PROFESSIONAL SERVICES AGREEMENT CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES THIS AGREEMENT is made and entered into this 5th day of August 2015 by and between Stantec Consulting Services, Inc. (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of: On -Call Engineering Services to provide engineering services on an as- needed basis. Engineering services may include, but are not limited to, civil engineering, electrical engineering, traffic engineering, geotechnical, land /property surveying, structural, architecture and landscaping design services and grant writing services. Prior to issuing a Task Order, the City may request a detailed Scope of Work, for a specific project/task. If requested, the consultant would provide a task proposal, budget and schedule for the Task Order. From this the City may choose which consultant to assign the project /task to pursuant to this Agreement. 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 related field of expertise. 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. TERM This Agreement shall commence on the date first written above for a two (2) year term with the option for the City to grant up to two one -year renewal options exercisable by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below. Exhibit 8 25M -325 2. SCOPE OF WORK Consultant agrees to perform daring 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 Work - Exhibit A, attached hereto and incorporated by reference. Additional Agreement provisions, if any, may be contained in "Additional Provisions" attached hereto and incorporated into this Agreement as Exhibit C. 3. SCHEDULE OF SERVICES If a Task Order is issued, Consultant shall complete services and shall perform and deliver them to the City as described and detailed in Exhibit A and per the Task Order provided. The City may request that the Consultant provide a proposed scope of work, schedule and budget for a particular project or work product within a Task Order. If the City approves the Task Order, the City will issue a Notice to Proceed ( "NTP ") approved by the Executive Director of the Public Works Agency or his /her designee ( "Executive Director "). Consultant shall meet the work deliverables within the Task Order, the schedule and budget unless otherwise adjusted by the City. Such services shall be provided per written request of the Executive Director after the City's issuance of the NTP. 4. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates, fees, and charges identified in Exhibit B, "Compensation ", attached hereto, and incorporated by reference, in an amount not to exceed two hundred fifty thousand dollars ($250,000) over the entire life of the Agreement, including any renewal period(s). Exhibit B includes completed Federal Exhibits 10 -K and 10 -H along with all Consultant and subconsultant(s) rates and fees that comply with federal requirements. Exhibit D includes all previously completed Federal certification forms as part of the Proposal submittal in response to the Request for Proposals. These are attached hereto and incorporated herein as Attachment D- 1, D -2, D -3 and D -4. 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 disks (CD)s, USB jump drives or equivalent, 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 2 25M -326 shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 6. PAYMENTS & INVOICES a. Consultant shall submit a monthly invoice by the fifteenth of the month to the City for the services rendered in the prior month. b. All invoices for work performed under this Agreement shall be submitted in a format approved by the City. Invoices shall include the following information at a minimum: i. Consultant's invoice number and City's agreement number ii. Beginning and ending dates for services iii. City Project and /or Task Order number andor name (if applicable) iv. Work site address /location (if applicable) V. Tasks or deliverables completed, and percentage ( %) of total services completed. vi. Remaining Overall and Task Order budget available City will, within 45 days of receiving such statement in a manner that meets the City's requirements, review the statement and subsequently pay the approved charges thereon. 7. 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. 8. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance which 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 I 25M -327 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, and $2,000,000, in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim and $2,000,000 annual aggregate shall be maintained. 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 in form by the City Attorney. iii. Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City, except for 10 days' notice for non- payment of premium. 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 Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 25M -328 9. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), to any work performed or services provided under this Agreement arising out of, relating to or pertaining to the negligence, recklessness or willful misconduct of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 10. LAWS AND REGULATIONS Consultant shall keep itself fully informed of and in compliance with all local, state and federal laws, rules and regulations in any manner affecting the performance of the Project or the services and shall give all notices required by law. Consultant shall be liable for all violations of such laws and regulations in connection with services. If the Consultant performs any work knowing it to be contrary to such laws, riles and regulations and without giving written notice to the City, Consultant shall be solely responsible for all costs arising wherefrom. Consultant shall defend, indemnify and hold City, its officials, directors, officers, employees and agents free and harmless, pursuant to the indemnification provisions of this Agreement, from any claim or liability arising out of any failure to comply with such laws, rules or regulations. 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 5 25M -329 reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. (Also see Exhibit D.) 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 attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the authorized representatives of the parties. 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 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 the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product(s) 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. 6 25M -330 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. (Also see Exhibit D.) 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. The 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 facsimile 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 Facsimile (714) 647 -6956 With courtesy copy to: Executive Director of Public Works City of Santa Ana 20 Civic Center Plaza (M -36) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647 -5635 7 25M -331 To Consultant: Stantec Consulting Services, Inc. Sherry Weinmeier, PE, LEED BD +C, ENV SP Project Manager 38 Technology Drive, Suite 100 Irvine, CA 92618 Phone: (949) 923 -6265 Facsimile: (949) 923 -6121 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 facsimile, 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. Additional provisions, if any, are identified as Additional Provisions — Exhibit C, attached hereto and incorporated herein by reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25M -332 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Lisa Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director Public Works Agency CITY OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT: (Name) (Title) 25M -333 EXHIBIT A SCOPE OF WORK CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES I. GENERAL The City of Santa Ana (City) solicited proposals from professional consulting firms (Consultant) to provide engineering services on an as- needed basis. Engineering services may include civil engineering, electrical engineering, traffic engineering, geotechnical, land /property surveying, structural, architecture and landscaping design services and grant writing services. A detailed Scope of Work will be outlined when /if a specific project or Task Order is assigned to the consultant. The work, in general, consists of general engineering design projects on arterial and local streets, bike paths, and public parks, citywide. Funding sources for each project may vary ranging from local, Measure M2, state and federal and each project/task order assignment shall comply with the funding agency's requirements. The projects may include storm drain improvements; sidewalks, bike paths, curb and gutter replacement; slurry seal of residential streets; repair and overlay of asphalt concrete and /or PCC streets; signing, striping, neighborhood traffic studies, traffic signal modifications; landscaping and irrigation systems; park and recreational design, grant application writing, and other related projects as required. On occasion, environmental and planning support services may also be requested. The City may need consultant services for survey, mapping and legal description preparation, construction management, staking and inspection. Occasionally, the City may also need geotechnical, mechanical, electrical and /or structural services. The Consultant shall be able to assist the City through this contract to provide the necessary services. The Consultant shall utilize in -house staff and /or sub - consultants to complete the assignments to meet the City standards. For specialized work for which the prime consultant shall require a sub- consultant, the prime consultant shall serve as an administrative liaison between the City and the sub - consultant. The prime Consultant mark -up for sub - consultants shall not exceed 10 %. II. PROPOSED SCOPE OF SERVICES In general, the Consultant shall perform above noted engineering design services resulting in contract documents (plans, specifications and cost estimates "PS &E ") for various projects on an as- needed basis. However, work tasks may include studies or a variety of engineering or other 10 25M -334 tasks. If requested by the City, the Consultant shall provide a Work Plan which includes a detailed schedule of the assigned project prior to the issuance of Notice to Proceed of that particular project and/or Task Order. Specific Task Orders with Notices to Proceed ( "NTPs ") will be provided for project(s) at the discretion of the City. Work required per Task Order shall comply with the Scope of Services and additional provisions in each Task Order and this agreement. The Consultant shall also provide all field survey work required as appropriate and shall have the necessary experience and required civil, traffic, electrical, structural, geotechnical, surveying, landscape architect and architectural licenses for those in responsible- charge of the work being completed. The Consultant's services for PS &E engineering project preparation shall include, but not be limited to, the following: 1. Research existing records of utility companies and agencies and coordinate the proposed improvements with existing field conditions. 2. Provide all field survey and topographic work necessary to complete the design effort. Design level survey and base mapping of the project site shall be prepared in US Customary English units by a California licensed Land Surveyor in accordance with the City guidelines and in Microstation V8i Computer Aided Design and Drafting (CADD) format. The horizontal datum shall be NAD 83 and the vertical datum shall be NAVD 88. All survey field notes shall be on forms provided by the City, shall be neatly completed in pencil, and shall become property of the City upon completion of the project. Informal field investigations including marking of removal areas may be required for some of the sidewalk, curb and gutter, and pavement replacement projects. 3. Complete the design of projects including plans, specifications, and engineer's construction cost estimate. The Consultant shall contact manufacturers and /or contractors to verify the engineer's estimate prior to submitting to the City. Specifications shall be prepared in Microsoft Word and an electronic copy of the final version shall be furnished to the City. The City will provide the specification boiler plate to the Consultant. 4. If requested, all preliminary and bid sets of plans shall be plotted on bond or velum using the Microstation V8i CADD program. All drawings shall be completed per the City of Santa Ana CADD Standards. For interim submittals, the City may opt to receive only PDF versions of the plans for reviewing purposes. If so, the Consultant team will provided plans and /or specifications accordingly. 5. All original plan sheets, the title sheet of the specifications, calculations, and reports shall be signed and stamped by the Consultant's licensed professional engineer responsible /in- charge of the project. These signed originals shall then become the property of the City. 6. If a part of the on -call project scope, the Consultant shall provide support services during the bidding and construction phases of the project on an as needed basis, including, but not limited to: 11 25M -335 A. The Consultant shall respond to bidder inquiries during the bidding process, including preparation of any addenda. Following award of the construction contract, the Consultant shall attend the pre - construction meeting. B. The Consultant shall review and approve all submittals and shop plan drawings required supporting the construction contract. The Consultant shall complete shop drawings reviews within two (2) weeks of receipt. Contract Change Order reviews shall be completed within two (2) working days of receipt. C. The Consultant shall respond to written Requests for Information (RFI) to provide clarification or resolve discrepancies in the contract documents. Responses shall be completed within three (3) working days. D. The Consultant shall provide periodic field reviews and bring to the attention of the City of Santa Ana any defects or deficiencies in the work by the construction contractor which the Consultant may observe. The Consultant shall have no authority to issue instruction on behalf of the City of Santa Ana, or to deputize another to do so. 7. If included in the on -call project scope, upon completion of construction, the Consultant shall prepare as- builts and submit them to the City. The Consultant shall incorporate all changes to the plans electronically with all necessary revision notations. Once plans have been updated, a signed set of as -built mylars shall be submitted to the City with an electronic copy (in Microstation V8i CADD and pdf formats) of the final as -built drawings via CD or e -mail. 8. If included in the on -call project scope, the Consultant shall monitor the project progress, maintain project files, and control the quality of the work performed by in -house staff and /or sub - consultants. Incomplete (not meeting targeted completion) or poor quality work will not be accepted. The Consultant shall revise the documents within a revised schedule set by the City, which may require overtime. No additional compensation for regular or overtime hours necessary to complete this work to the satisfaction of the City shall be approved by the City for the required revisions. It is the responsibility of the Consultant to produce a professional - level quality of work product. 9. If included in the on -call project scope, attend meetings with the City staff as required. 10. If included in the on -call project scope, the Consultant shall coordinate plan check, design topics, permits and any other issues with the City, other Agencies, and all utility companies as required. At the direction of the City, the Consultant shall be the liaison with affected agencies. 11. If included in the on -call project scope, the Consultant shall be responsible for reviewing and approving addenda and clarifications to plans and specifications. III. GENERAL REQUIREMENTS 1. All work shall be performed in conformance with the latest City of Santa Ana policies, procedures and standards, and applicable, regulatory, state and federal requirements. 2. Consultant shall carry out the instructions received from the City of Santa Ana and shall cooperate with the City of Santa Ana and any other involved agencies. 12 25M -336 3. The Consultant shall have complete responsibility for the accuracy and completeness of all documents and plans prepared and shall check all such materials accordingly. The plans will be reviewed by the City of Santa Ana for conformity with the requirements of the Agreement. Reviews by the City of Santa Ana do NOT include detailed review or checking of design or the accuracy with which such designs are depicted in the documents and the plans. The responsibility for accuracy and completeness of such items remains solely that of Consultant. 4. The documents and plans furnished under the Agreement shall be of a quality acceptable to the City of Santa Ana. The criteria for acceptance shall be a product of neat appearance, well organized, technically and grammatically correct, checked, and dated and having the maker and checker identified. 5. The Consultant shall have quality control procedures in effect during the entire time work is being performed under the Agreement. The quality control procedures shall establish a process which includes checking processes for PS &E preparation, an independent constructability review, correcting and back checking procedures, and all job related correspondence and memoranda dated and received by affected persons and then bound in appropriate job files. The City of Santa Ana reserves the right to request proof of said documentation. 6. The Consultant's work and all records shall be subject to inspections by representatives of the City of Santa Ana and funding agency requirements or audits if requested. Consultant certifies that it shall comply with the following regulations, as required by the (funding agency): a. Audit Records - With respect to all matters covered by this agreement all records shall be made available for audit and inspection by the City, the grant agency and /or their duly authorized representatives for a period of four (4) years from the termination of this Agreement. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant shall preserve and maintain all documents, papers and records relevant to the services provided in accordance with this Agreement, including the Attachments hereto. For the same time period, Consultant shall make said documents, papers and records available to City and the agency from which City received grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours. b. Information - Consultant shall provide to City all records and information requested by City for inclusion in quarterly reports and such other reports or records as City may be required to provide to the agency from which City received grant funds or other persons or agencies. 13 25M -337 C. Section 504 of the Rehabilitation Act of 1973 (Handicapped) - All recipients of federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act). Therefore, the federal funds recipient pursuant to the requirements of The Act hereby gives assurance that no otherwise qualified handicapped person shall, solely by reason of handicap be excluded from the participation in, be denied the benefits of or be subject to discrimination, including discrimination in employment, in any program or activity that receives or benefits from federal financial assistance. The Consultant agrees it will ensure that requirements of The Act shall be included in the agreements with and be binding on all of its contractors, subcontractors, assignees or successors. d. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable and the related guidelines that may be more recent. e. Political Activity - None of the funds, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act ". f Civil Rights Compliance and Notification of Findings - Consultant, and all its contractors (or sub - recipients) will comply, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789 (d), or Victims of Crime Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title lI of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; Department of Justice Non- Discrimination Regulations, 28 CFR Part 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the event a Federal or State court, Federal or State administrative agency, or the Consultant makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Consultant will forward a copy of the findings to the City which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Department of Justice. g. Equal Employment Opportunity - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable. h. Anti - Kickback Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Copeland "Anti - Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29 CFR Part 3), as applicable. 14 25M -338 Davis -Bacon Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Davis -Bacon Act (40 U.S.C. 276a to 276a- 7) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. j. Contract Work and Safety Standards Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of Sections 103 and 107 of the Contract Work and Safety Standards Act (40 U.S.C. 327 -330) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. k. Clean Air Act - Consultant, and all its contractors (or sub - recipients) will comply, with all applicable standards, orders or requirements issued under Section 306 of the Clean Air Act (42 U.S.C. 1857(h)), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive Order 11738, and the Environmental Protection Agency regulations (40 CFR part 15), as applicable. Energy Policy and Conservation Act - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Energy Policy and Conservation Act (Pub. L. 94 -163, 89 Stat. 871),(53 FR 8078, 8087, Mar. 11, 1988, as amended at 60 FR 19639, 19645, Apr. 19, 1995), as applicable. m. Patent - Consultant agrees that the funding agency shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with funding through this Agreement. n. Copyright - Consultant may copyright any books, publications or other copyrightable materials developed in the course of or under this Agreement. However, the federal awarding agency, State Administrative Agency (SAA) and City reserve a royalty -free, non - exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government, SAA and /or City purpose: i. the copyright in any work developed through this Agreement; and ii, any rights of copyright to which the subcontractor purchases ownership with support through this grant. The Federal government's, SAA's and City's rights identified above must be conveyed to the publisher and the language of the publisher's release form must ensure the preservation of these rights. IV. CITY RESPONSIBILITIES The City will provide the following: • All plan check coordination within the City • Sample boiler plate specifications to be utilized • Sample plans & City of Santa Ana's CADD Standards • Electronic files for title sheets and sheet borders 15 25M -339 I:i f`13M- :l COMPENSATION CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 25M -340 Stantec Consulting Services Inc. StanteC 38 Technology Drive Suite 100, Irvine CA 92618 -5312 February 3, 2015 Attention: Monica M. Suter, PE, TE, PTOE City of Santa Ana Public Works 20 Civic Center Plaza; Third Floor, Ross Annex Santa Ana, CA 92701 Dear Ms. Suter, Reference: Statement of Qualifications for RFQ No. 14 -037; On -Call Engineering Services in the City of Santa Ana Maintaining quality services for your community within funding constraints requires an effective approach. In the City of Santa Ana Public Works Department's (City) experience, an on -call consultant is the best way to efficiently manage and implement your upcoming projects. With an experienced and flexible team that can successfully support multiple civil engineering projects simultaneously, your projects will be in good hands. Stantec Consulting Services Inc.'s (Stantec) has designed a team specifically for you. We are proven and respected professionals who are committed to quickly responding to your needs. Following are a few qualifications that demonstrate how we are the best fit for your upcoming projects: Tears and Client Compatibility —Our key team members have worked with you for more than 30 years and we have developed a professional and successful relationship. Drawing on this experience, we will seamlessly merge with you to keep your projects a priority— moving forward efficiently and on schedule. Our multidisciplinary team and subconsultant partners have worked together for many years on numerous on -call, local, civil engineering projects — eliminating the learning curve. Our subconsultants who are included in the Exhibits 10 -K and 10 -H and their fully signed forms are attached: • Diaz Yourman & Associates - DYA's rates comply with Federal rate requirements and the 10- K and 10 -H forms. • PCR Services Corporation - PCR's rates do not comply with Federal rates and the 10 -H and 10 -K forms. They may explore the use of Federal Safe Harbor Rates. The Right Experience —For more than 30 years, we have worked extensively within the City — including recently completing the MacArthur Boulevard /Talbert Avenue Signal Synchronization Program —and nearby communities, as exemplified in our project experience on page 3. Our experience reflects the services you require — general engineering design expertise on arterial and local streets, bikeways, and public parks. As leaders and experts in our respective fields, we can proactively support countless engineering scenarios to help maintain your project continuity. We are committed and responsive, as proven on our current on -call agreements with the Cities of Anaheim, Downey, Newport Beach, Irvine, Lake Forest, and La Habra; Orange County Transportation Authority (Transportation Planning, Traffic Engineering, and Utility Coordination); and County of Orange Roads, Flood, and Parks Divisions. Design with ct,srmur?,ty in :vii, ^.d 25M -341 Chi' February 3, 2015 Monica M. Suter, PE, TE, PTOE Page 2 of 2 Reference: Statement of Qualifications for RFQ No. 14 -037; On-Call Engineering Services in the City of Santa Ana Project Creativity, Attention to Detail, ci.ndl Fsmctional Practica:.ity—We are committed to designing innovative, implementable, and safe public infrastructure throughout the City. We encourage you to contact our references provided in our proposal who can attest to our accurate, thoughtful, and advantageous approach and implementation. Having managed numerous roadway projects across North America and locally, our collaborative approach allows us to identify and explore a wide variety of alternative design options and improvements. We can provide full- services for any size project for this contract. Reputation for Reliability and Wall -ttilanaaed Projects— Locally based and just 12 miles from your office, we will respond quickly to your requests. We bring the depth of experience that comes with our national resources of more than 14,000 employees. We have developed a reputation for providing the right resources and expertise of a national firm to local projects performed by our more than 140 Irvine staff. Our references can also verify our responsiveness and collaborative approach. Cost Control—We carefully scope the necessary level of effort to successfully meet your goals, utilizing our staffing so you pay only for the needed level of support, saving you money. We believe that successful project delivery consists of not only completing the project on schedule, but also keeping within the given budget. We will work efficiently to maintain your budget, just as we have done on similar on -call contracts. Our project manager, Sherry Weinmeier, PE, LEED BD +C, ENV SP, is authorized to bind our team to all terms and conditions in your RFQ, as well as herein. Further, she is authorized to contractually bind our team and is the main point of contact for the City. Her contact information is provided below. Regards, STANTEC CONSULTING SERVICES INC. Sherry Welnme r, PE, LEED BD +C, ENV SP Project Manager Phone: (949) 923 -6265 Fax: (949) 923 -6121 Sherry.Weinmeler@stantec.com Jose de Jesus Mar inez, PE Principal -in- Charge Phone: (949) 923-6966 Fax: 949) 923 -6121 Jose.Martinez@stantec.com Monte. v: \2073 \bus1ness development \city -of_santa_ana \2014_on call \caltranscny forms and rates \let -cover sonta and_201502a.docx De5"gp with G r:S[Yfun ?t in rnind 25M -342 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit. Attachment I of DLA -0B 13 -07 - Safe Harbor Indirect Cost Rate for Consultant Contracts found at http: / /www.dot.ca gov/ hq/ LocalPrograms/DLA_OB/DLA_OB.htm in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: Stantee Consulting Services Inc. Indirect Cost Rate: 173.12% * for fiscal period 01/01/2013 — 12/31/2013 (mm /dd /yyyy to mm /dd /yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: Project Number: I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Managmment Svstem: I, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A &E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $24.5M and the number of states in which the firm does business is 40. Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposals) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 3l. Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP 15 -01 January 14, 2015 25M -343 Local Assistance Procedures Manual EXIIIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terns of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance trust be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ 0 Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ 159,279 Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary) Diaz Yourman & Associates $0 PCR Services Corporation $0 Consultant Certifying (Print Name and Title): Name: Dean Palumbo Title: Consultant Certification Signature * *: Date of Certification (mm /dd /yyyy): Consultant Contact Information: Email: dean.oalumbogstantec.com Phone number: (949) 923 -6020 * *An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S. C. 112(b)(2)(B), Subconsultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31. 23 CFR Part 172.3 Definitions state: Consultant means the individual or firm providing engineering and design related services as a party to the contract Therefore, subconsultants as parties of a contract must complete a certification and send originals to A&1 and keep copies in Local Agency Project Files. Distribution: 1) Original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files LPP 15 -01 25M -344 Page 2 of 2 January 14, 2015 O a O a` 0 u a n E a O 12 a c C G "U u n A c C O ° � L w L a m P.I V w o � c U m'm c w 2 O C x v o c ..0 i W ;n ' b a F-a m IN z u v � m u° .y S t+ ^ O v v 9 n a O � W U U u II II G a_ w 6 a a a o `v ZaZ Fa- N + + 3R 3° 0 °1 m L O +F+ Om «at°o c m w m 2° co LL n T S S S o v v v v v v v v a v v c o u u 'S u u 3 u 3 u u u 6 u u C u C u o ,° olrni 'o� 0 0 0 0 o a o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 E x m, z z z z z z z z z z z z z z z z z z Z Z z Z Z Z Z Z Z z z z --- 0 o m o m N k `o a av 0 V} VY K 2° 2° d° d° d° d° 3° 3° �° 2° Kv ry ry I I N rvry mw mm wh in I m m mm I m mm I 12: m 0 o u = 1 17 a amry N o Dory mw w �-IN �-Iw mw timmmpoN w.+ 0ow r V a � a mmmwww� a as O a In M V lO MN V I Ol o cv,n N m ,n v"'i N V ov vm Vl m m mN N m V' N N I tO Ol a v c m N a t- at KKKKihKKKKKK+AK KIRKKKKKKKKKKKKK K'1M1K K'VY LY L} vL0 >' ,R N r O O O t° r O O O n O O O N 40 n O O O Vl N r O O O V1 lO r O O O IR l° n O O O VI lO r O O O m b r- O O O N r O O O N- r O O O N b n O O O N~ O m ti I m ti I m N m m MM m�\ m m m m m m m m m�\\ N YfO, m � 9 > > a n = o a.. W V N VI N r 0 0 0 N tO r 0 0 0 ,R l0 n 0 0 0 vl t0 n 0 0 0 N lG r 0 0 0 IR t0 r 0 0 0 V1 N r 0 0 0 N lO r 0 0 0 N l° r 0 0 0 N r 0 0 0 V1 N r 0 0 0 V1 lO r N\\ N N N N N\ N N\ N \ \ti�ti\ � N N N N \I N `� N N ti v ° C - 0 mm W on N�-I N ..�O. -I o N a ao N Od l O rory N V OI(J rm O W r m N l0 N tior O] h gwooNm VW O W O n v E � 3 pp pp ° X W °Ol ONl ,mll d 6 tO m NM ,il N N M M b b N N N N M m a n C W N N N N N N N N H rl H H H fi V fi fi 1 fi 'i 'i M fl 'i ei N N N V fl fl fl N N N N N vl L � v ' � NL}L!+/FV}i/R+R iRKKKKKK1R ry v «� iR iRKKKKKKKKKKVl V4 iR KiR LiKN �LL ¢ v `" m N N N a O N N m ry n ry o �? .iry tO N m IQ t�p Ol In mow In Gon w ry om.i mm aotonry -' ' N x =1n ao wmm,nN oiv�Mdl�rvi�rvl�tioi m a as a vlo �r oco� m aN a to 0wN mm moiv �°n'�Nm000.INO ,: .. ri Imo x'" t -� viv -, .I �'Q KKKK4n Ki/} i/ RN V1iRKKKKKKKKKKKKV4 VIKKKKIR IRKKKKK j q "� 'o x ,nNmo .+mwvl a o w n M 0 m W W p �' w vl vo 'i N va; M W l0 tD m V O N Ol O d o w M rl a ry m O o a Ve-1i a =? o « m nid I�mrrJ viw N.+�rynrvtbmry to m Nm wocoN a KKNLiLIVI+/}NN------- IR'V)VYVI IR VY IR i/L LF LL 'IRKKV)V)VIiR VIKK p � a � v ✓ t d L o U v O u II N w tt m .mm a . > a 5 E -iu m E a o G ¢ E J Z m v, m 'Y0 '° � c 'eo w e u° = c 'm >. c - a m n = E m''m m u 0 1= viz 25M -345 N M O N M a v an .i `m c m tr 0 ¢ \ \ ) \{ / \ \\ / \\ \\ \\\ \ \ \ \ \ \ \ \ \ \ \\ \ \� \\ \ \ \�\ 25M-346 i{ \ §§ § } ) ® >§ \\\ \ ® z,§ \\ \\\ \ \ \ \ \ \ \ \ \ \ \\ \ \� \\ \ \ \�\ 25M-346 i{ Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System EXHIBIT 10 -K CONSULTANT CERTIFICATION OF CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If requesting to utilize the Safe Harbor Indirect Cost Rate submit Attachment I of DLA -OB 13 -07- Safe Harbor Indirect Cost Rate for Consultant Contracts found at hilp:// www. doica. gov/ hg2ocalProgranaIDL A_OBIDLA_OB.htm in lieu of this form.) Certification of Final Indirect Costs: Consultant Firm Name: Diaz Yourman & Associates Indirect Cost Rate: 215.68 * for fiscal period 0 1/0 1/2013 to 12/31/2013 (mm/dd /yyyy to mm/dd /yyyy) *Fiscal period covered for Indirect Cost Rate developed (not the contract period). Local Government: City of Santa Ana Contract Number: RFP No. 14 -037 Project Number: I, the undersigned, certify that I have reviewed the proposal to establish final indirect cost rates for the fiscal period as specified above and to the best of my knowledge and belief: 1. All costs included in this proposal to establish final Indirect Cost Rates are allowable in accordance with the cost principles of the Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31. 2. This proposal does not include any costs which are expressly unallowable under the cost principles of the FAR of 48 CFR, Part 31. All known material transactions or events that have occurred affecting the firm's ownership, organization, and Indirect Cost Rates have been disclosed as of the date of proposal preparation noted above. Certification of Financial Management System: 1, the undersigned, certify to the best of my knowledge and belief that our Financial Management System meets the standards for financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, CFR, Part 18.20 to the extent applicable to Consultant. Certification of Dollar Amount for all A&E Contracts: I, the undersigned, certify that the approximate dollar amount of all A &E contracts awarded by Caltrans or a California local agency to this firm within the last three (3) calendar years for all State DOT and Local Agencies is $ 0 and the number of states in which the firm does business is 3 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are reasonable, allowable and allocable to the contract in accordance with the cost principles of the FAR of Title 48, CFR, Part 31. Allowable direct costs to a Government contract shall be: Page 1 of 2 LPP 15 -01 January 14, 2015 25M -347 Local Assistance Procedures Manual EXHIBIT 10 -K Consultant Certification of Contract Costs and Financial Management System 1. Compliant with Generally Accepted Accounting Principles (GAAP) and standards promulgated by the Cost Accounting Standards Board (when applicable). 2. Compliant with the terms of the contract and is incurred specifically for the contract. 3. Not prohibited by 23 CFR, Chapter 1, Part 172 — Administration of Engineering and Design Related Service Contracts to the extent requirements are applicable to Consultant. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files. Subconsultants (if applicable) Proposed Contract Amount (or amount not to exceed if on -call contract): $ TBD Prime Consultants (if applicable) Proposed Total Contract Amount (or amount not to exceed if on -call contract): $ Prime, list all subconsultants and proposed subcontract dollar amounts (attach additional page if necessary) Consultant Certifying (Print Name and Title): Name: Christopher M. Diaz, PE, GE Title: Consultant Certification Signature * *: Date of Certification (mm /dd/yyyy): 01/29/2015 Consultant Contact Information: Email: chrisCdiazyourman.com Phone number: 714- 245 -2920 **An individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the Indirect Cost Rate proposal submitted in conjunction with the contract. Note: Per 23 U.S.C. 112(b)(2)(B), Subcoraultants must comply with the FAR Cost Principles contained in 48 CFR, Part 31, 23 CFR Part 1723 Defnitions state: Consultant means the individual or firm providing engineering and design related services as a party to the contract. Therefore, subconsultants as parties ofa contract must complete a certification and send originals to A &I and keep copies in Local Agency Project Files, Distribution: 1) original to Caltrans Audits and Investigations 2) Retained in Local Agency Project Files UP 15 -01 25M -348 Page 2 of 2 January 14,2015 Name Company Classification Project Classification - Hourly Billing Rate EXHIBIT 10 -H COST PROPOSAL Actual) ` average, hourly rate - % or$ Increase r - Hourly Range for Class ON -CALL CONTRACT OT 1.5 X Subconsultant: Diaz.Yourman & Associates Contract No. RFQ14 -037 Date: 1/29/2015 V.R. Nadeswaran Fringe Benefit% Overhead% G &A % Combined NORMAL Incl. In OH + 215.68% + Incl. in OH = 215.68% OVERTIME Incl. in OH + 215.68% + Incl. In OH = 215.68% 244.25 244.25 FEE % = 10.00% 12131/2016 BILLING INFORMATION 3.00% r:Al r.1 II ATInN INFORhnATInN 256.48 Name Company Classification Project Classification - Hourly Billing Rate Effective date of o l y rate hour t Actual) ` average, hourly rate - % or$ Increase r - Hourly Range for Class Normal OT 1.5 X OT 2 X From To V.R. Nadeswaran 237.14 237.14 237.14 2/1/2015 12/3112015 68.29 N/A Principal Engineer Engineering QA /QC Exempt 244.25 244.25 244.25 1/1/2016 12131/2016 70.34 3.00% N/A 256.48 256.48 256.48 1/1/2017 12/31/2017 73.86 5.00% N/A 269.29 269.29 269.29 1/1/2018 12/31/2018 77.55 5.00% N/A S._Nlranlanan 179.11 179.11 179.11 2/1/2015 12/31/2015 51.58 N/A Associate Engineer 1 Project Manager Exempt 184.49 184.49 184.49 1/1/2016 12/3112016 53.13 1 3.00% N/A 193.73 193.73 193.73 1/1/2017 12131/2017 55.79 5.00% N/A 203.42 203.42 1 203.42 1/1/2018 12/31/2018 58.58 5.00% N/A 19154 193.54 193.54 2/1/2015 12/31/2015 55.74 54.27 to 57.2 Associate Engineer 11 Engineering Analyses, Reporting Exempt 199.36 199.36 199.36 1/1/2016 12/3112016 57.41 3.00% N/A 209.32 209.32 209.32 1/1/2017 12131/2017 60.28 5.00% N/A 219.77 219.77 219.77 1/1/2018 12131/2018 63.29 5.00% N/A 173.03 173.03 173.03 2/1/2015 12/31/2015 49.83 48.08 to 51.58 Associate Engineer l Engineering Analyses, Reporting Exempt 178.21 178.21 178.21 1/112016 12/31/2016 51.32 3.00% N/A 187.13 187.13 187.13 1/1/2017 12/3112017 53.89 5.00% WA 196.47 196.47 196.47 111/2018 12/31/2018 56.58 5.00% N/A 150.25 150.25 150.25 2/112015 12/31/2015 43.27 N/A Project Engineer ll ISA Exempt 154.77 154.77 1 154.77 1/1/2016 12131/2016 44.57 3.00% N/A 162.51 162.51 162.51 1/112017 12/31/2017 46.80 5.00% N/A 170.64 170.64 170.64 1/1/2018 1213112018 49.14 5.00% N/A _ 101.74 101.74 101.74 2/1/2015 12/31/2015 29.30 29.26 to 29.34 Staff Engineer ll Data Review, Engineering Analyses Exempt 104.80 104.80 104.80 1/1/2016 12/31/2016 30.18 3.00% N/A 110.04 110.04 110.04 1/1/2017 12131/2017 31.69 5.00% N/A 115.53 115.53 115.53 1/112018 12/31/2018 33.27 5.00% N/A 92.37 92.37 92.37 2/1/2015 12/31/2015 26.60 26.44 to 26.76 Staff Engineer Data Review, Engineering Analyses Exempt 95.15 95.15 95.15 1/1/2016 12/31/2016 27.40 3.00% N/A 99.90 99.90 99.90 1/1/2017 1 12/31/2017 28.77 5.00% N/A 104.90 104.90 1 104.90 1/1/2018 12/31/2018 30.21 5.00% N/A 76.64 114.96 153.28 2/1/2015 12/31/2015 22.07 N/A CADD Non - Exempt 78.93 118.39 157.86 1/1/2016 12/31/2016 22.73 3.00% N/A 82.89 124.33 165.78 1/1/2017 12/31/2017 23.87 5.00% N/A 87.02 130.53 174.04 1/112018 12/31/2018 25.06 5.00% N/A 116.88 175.33 233.77 2/1/2015 12/31/2015 1 33.66 N/A Technical Editor / Word Processor Non - Exempt 120.39 180.59 240.78 1/112016 12/31/2016 34.67 3.00% N/A 126.40 189.60 252.80 1/1/2017 12/3112017 36.40 5.00% 1 N/A 132.72 199.08 265.44 1/1/2018 12/31/2018 1 38.22 5.00% 1 NIA 1. Names and classifications of consultant (key staff) team members must be listed. Provide separate sheets for prime and all subconsullants firms. 2. Billing rate = actual hourly rate * (1 +ICR)* (I +Fee). Agreed upon billing rates are not adjustable for the term of contract. 3. For named employees enter the actual hourly rate. For classifications only, enter the average hourly rate for that classification. Note: Denote all employees subject to prevailing wage with an asterisk ( *) For "Other Direct Cost' listing, see page 2 of this Exhibit. 25M -349 Lo \ } ( /) _ \�\ )§ ) {\ ) §) \ }\ ]2\ ! ^! \ ƒ(\ §(\\ 25M-350 / \� \ �»4 � ) # \ t! \E \)e §K \ ! ( ®� miul / § \) §! ( /) _ \�\ )§ ) {\ ) §) \ }\ ]2\ ! ^! \ ƒ(\ §(\\ 25M-350 January 29, 2015 Ms. Sherry Weinmeier, P.E., LEED AP, ENV SP Principal STANTEC 38 Technology Drive, Suite 100 Irvine, California 92618 -5312 in= Re: USE OF SAFE HARBOR INDIRECT COST RATE FOR THE CITY OF SANTA ANA ON -CALL ENGINEERING CONTRACT Dear Ms. Weinmeier: This letter serves as a follow -up to your request of a 10 -K form to supplement our submittal to serve as a subconsultant for the City of Santa Ana On -Call Engineering Contract. Our rates as they are structured are not compliant with the Federal Acquisition Regulation (FAR). As such, we have completed the Safe Harbor Indirect Cost Rate (SHR) paperwork (Attachment 1R and 2R) to serve as the substitute for form 10 -K and your request for our established Indirect Cost Rate. It is our understanding that compliance under this trial measure should suffice for these circumstances. Should you have any additional questions, please do not hesitate to contact me at (310) 451 -4488 or v.valderramaQa pemet.com. Sincerely, PCR SERVICES CORPORATION Vida Valderrama Vice President / Chief Financial Officer Attachments 201 Santa Monica Boulevard, Suite 500, Santa Monica, Q f i3 yp40�gj w .pernet.com TEL 310.451 4488 Faye 310.451.5279 Attachment 1R SAFE HARBOR RATE CONSULTANT CERTIFICATION OF ELIGIBILITY; AND CONTRACT COSTS AND FINANCIAL MANAGEMENT SYSTEM FOR FEDERAL -AID HIGHWAY PROJECTS Consultant Firm Name: PCR Services Corporation Local Agency (if applicable): Contract # (if applicable): Federal Project #: Contract Total: $ For Subconsultants - estimated % of work to be performed: % Safe Harbor Rate (Indirect Cost Rate): 110% Certification of Eliuibility: I, the undersigned, certify that I am eligible to use the safe harbor indirect cost rate as I: OR 1. Do not have relevant contract cost history to use as a base for developing a Federal Acquisition Regulations (FAR) of Title 48, Code of Federal Regulations (CFR), Part 31 compliant indirect cost rate (ICR). 2. Do not have a previously accepted ICR by a cognizant agency, or with an audited/accepted actual ICR, and do not have an existing contract with a provisional rate. Certification of Contract Costs: I, the undersigned, certify that I have reviewed the proposal for the above contract and to the best of my knowledge and belief: 1. All costs included in this proposal are allowable in accordance with the Safe Harbor Rate requirements and cost principles of the FAR of 48 CFR Part 31. 2. This proposal does not include any costs which are expressly unallowable with the Safe Harbor Rate requirements and cost principles of the FAR of 48 CFR Part 31. 3. All direct costs (direct labor /billing rates and other direct costs) included in this proposal are reasonable, allowable, and allocable to the contract in accordance with the Safe Harbor Rate requirements and cost principles of the FAR of 48 CFR Part 31. All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files for 3 years after final voucher of federal reimbursement. Certification of Financial Management System: I, the undersigned, certify that our financial management system in place for this contract and moving forward meets the standards for the Safe Harbor Rate requirements and financial reporting, accounting records, internal and budget control as set forth in the FAR of Title 49, 25M -352 Attachment 1R CFR, Part 18.20. These standards require consulting firms have an accounting system adequate to accumulate, and track allowable, allocable, and reasonable direct labor and other direct costs by contract; segregate indirect costs, and remove unallowable costs. * Consultant Certification Signature: Y y. frf�P tit ` trZ rGc Consultant Certifying (Printtity of Santa Ana Name: Vida Valderrama Title: CFO Consultant Contact Information: Email: v.valderrama @pcmet.com Phone: 310.451.4488 Date of Certification: January 29,2015 *An executive or financial officer of the contractor's organization who has authority to represent the financial information utilized to establish the proposal submitted in conjunction with the contract. ALSO REQUIRED Attach a copy of your completed: Safe Harbor Rate Questionnaire for Evaluating Consultant's Financial Management System Distribution: 1) Original to Caltrans A &I 2) DPAC Contract Files or Local Agency Files 3) Department ( Caltrans) Project Files (if applicable) 25M -353 Attachment 2R OCTOBER 2013 Safe Harbor Rate Questionnaire for Evaluating Consultant's Financial Management System For Federal -Aid Highway Projects Consultant Name: PCR Services Cot spgqkpnValrlp rama Headquarter Address: 201 Santa Monica Blvd Suite 500 Santa Monica, CA 90401 Location of Accounting Records: Headquarter Address Company contact for accounting system questions : Name: Vida Valderrama Title: CFO Phone Number: 310.451.4488 Email Address: v.vaiderrama@agpet.com Mailing Address: same as above Purpose: This questionnaire is a tool for the Department of Transportation (Caltrans) to evaluate the adequacy of the Consultant's financial management system to accumulate and track direct labor and other direct costs by contract, segregate indirect costs, and remove unallowable costs. Instructions: 1. This questionnaire should be completed by personnel (e.g. accounting staff) with working knowledge of the Consultant (Company)'s financial management system. 2. Answer all questions and provide an explanation and additional supporting documentation where requested. 3. For "No" responses, provide an explanation. 4. If additional space is required, please attach a separate sheet and refer to items being answered by number. IMPORTANTIII Definition of terms: Cost oblective is an agreement /contract, function or organizational subdivision, or other work unit for which the costs ofprocesses, products, jabs, or projects are accumulated and measured. An 'intermediate cost objective" is a cost objective used to accumulate costs that are subsequently allocated to one or more indirect cost pools and/or final cost objectives. Direct cost is any cost that is identified specifically with a particular cost objective. Direct costs are not limited to items that are incorporated in the end products as material or labor. Costs identified specifically with a contract are direct costs of that contract. All costs identified with other final cost objectives of the contractor are direct costs of those objective. (Federal Acquisition Regulations (FAR) 31.202) Indirect or overhead cost is any cost that is not directly identified with a single final cost objective, but is identified with two or more final cost objectives or with at least one intermediate cost objective. (FAR 31.203) Indirect cost pools are groupings of incurred costs identified with tow or more cost objectives but not identified specifically with any final cost objectives. (FAR 31.001) References: Title 49 Code of Federal Regulations (CFR) 18.2, Title 48 CFR 31, Title 48 CFR subpart 9900, and AASHTO Uniform Auditing & Accounting Guide (2012 Edition). 25M -354 Attachment 2R OCTOBER 2013 I. What form of business entity is the Company? ❑ Sole Proprietorship ❑ Partnership x C Corporation ❑ S Corporation ❑ Other 2. What types of services does the Company provide? (e.g. consultant - Architectural and Engineering Design, etc.) Environmental Consulting 3. Does the Company have prior government contracting experience? x Yes ❑ No If so, how many years of experience with government contracts? 40 years - municipal, local, etc. 4. What is the company's fiscal reporting period? (Start Date, —.. 1 -Jan 31 -Dec Has the company used the same fiscal reporting period for the past two years? x Yes ri No 5. What kind of accounting software does the Company use? ❑ Internally- developed system x Commercial System: Name of vendor BST ❑ Hybrid system: Please explain 6. What basis of accounting does the Company use to prepare general purpose financial statements? ❑ Cash x Accrual ❑ Hybrid Please explain "Hybrid" If response above is not "Accrual ", are year end accrual adjustments made for compliance with generally accepted accounting principles? ❑ Yes ❑ No If yes, please provide a listing of the accrual adjustments made. 7. Does the general ledger contain separate direct and indirect accounts for the following? a. Direct Labor costs (billable and separate non - billable accounts) x Yes ❑ No b. Non -labor costs (billable and separate non - billable accounts) x Yes ❑ No c. Unallowable costs x Yes ❑ No Note: This will support that all direct costs are accounted for and traceable from the job cost ledger to the general ledger. If responses are "Yes" to items "a" through "e ", please provide a copy of the Company's chart of accounts and identify account numbers /names (i.e. account series /grouping, categories) for the cost items listed below. (see attached) a. Direct Labor 60100, 601 l0, 60120 b. Other Direct Cost (ODC) 60200.60700 c. Indirect Labor 70100, 70110, 70130 d. Other Indirect Cost 70000 - 80000 Series e. Unallowable Cost 89100 8. Do you have written policies on identification of direct and indirect costs (labor and non - labor)? ❑ Yes If "Yes ", please provide copies. 9. Does the Company have a system in place to identify and remove from the indirect cost pools all unallowable costs, in accordance with 49 CFR Part 18.20, 48 CFR Part 31 and applicable Cost Accounting Standards? No. Please explain. _,.,,,; NIA - ,Please see attached letter Yes. If "yes ", please provide written policies and procedures for identifying and removing unallowable costs from the indirect cost pool, and answer a and b below: a. How are appropriate personnel trained to distinguish between allowable and unallowable costs? 2 25M -355 R421M Attachment 2R OCTOBER 2013 b. When does the primary review for allowability occur at time the transaction is recorded or later? lo. Are contracts /projects assigned a unique identification/project number in your accounting system? x Yes in No If "Yes ", please provide a complete list of current active contracts /projects with their respective identification number. See attached sample of project identifiers. Due to contractual confidentiality we cannot provide full list of 250+ active projects. 11. Do the Company's timesheets include reporting codes for both direct and indirect hours? x Yes ❑ No If "Yes ", do all employees, including managers and principles, record direct and indirect hours on their timesheets? x Yes ❑ No If "No ", then please explain the method used to segregate direct and indirect labor hours. 12. Does the Company record all hours worked by all employees, including managers and principals, regardless of whether the employees are exempt from overtime pay or whether all direct labor hours are billed to specific contracts /projects? ❑ No. If "No ", please explain. x Yes. If "Yes ", which of the following methods does the Company use to account for uncompensated overtime -the hours worked without additional compensation in excess of an average of 40 hours per week by direct - charge employee who are exempt from the Fair Labor Standards Act? ❑ Effective Rate Method. Please explain: ❑ Salary Variance Method. 'Please explain. (e.g., What was the total dollar amount of the salary /payroll variance for the year ?): $ x Other. Please explain: comp time offered on case by case basis 13. Is indirect and direct labor separated by contract /project /cost objectives on employee timesheets? x Yes ❑ No If "Yes ", please provide a copy of an approved timesheet that shows indirect and direct labor separated by contract/project/ cost objectives. See attached 14. IIow does the Company segregate work performed under a basic agreement /contract from work performed for contract changes /modifications? create separate budgets /phases within project structure for amendments /modifications 15. Besides labor, what other costs does the Company normally bill /invoice as direct contract /project costs? transportation costs, reprographics /printing, postage /delivery fees, archival materials, specialty photography /HABS photographs, research /museum fees, necessary field supplies Does your response include a complete list of all items you intend to bill /invoice for? x Yes ❑ No If "No ", please provide a listing of all those CDC items to be charged to the contract /project.. 16. Is your financial management capable of accumulating and summarizing costs including direct and indirect (including labor), unallowable, and ODCs by contract /project? x Yes o No If "Yes ", please provide a sample report from a currently active contract /project showing the accumulation and summarization of direct labor and ODCs by contract/project, if applicable. See attached 17. Do you have the ability to accumulate and summarize all contract /project costs even if they can not be billed directly? (i.e. non - reimbursable project costs) x Yes ❑ No 25M -356 Attachment 211 OCTOBER 2013 18. Describe the accounting treatment for direct costs not billable to clients. (Where/how are these costs recorded ?) non- billable phases within project structure 19. Does the Company reconcile the financial accounting system to the job -cost system? x N/A (no job -cost ledger used) ❑ No. Please explain. _ ❑ Yes. If "Yes ", how often? (Check all that applies.) ❑ Monthly ❑ Quarterly ❑ Semiannually ❑ Annually 20. As an attachment please describe (narrative or flow chart) your process for approving, recording, and invoicing contract /project costs that meet applicable federal and State rules and regulations. Distribute prebilling analysis (see attachment #16), Project Managers review /approve expended effort, Finance invoices client based on Project Manager's approval I certify that to the best of my knowledge and belief the responses to this questionnaire are accurate. Vida Valderrama Print N.ryme CFO Signature Title 25M -357 29 -Jan-15 Date Completed N O N Ol N d m 0 N I4 0 Q w O EC L G ® 0 Q yo V tm N 0 "m V N J C e QC O v 'a Q Q Q a Q ¢ ¢ Q 6 Q ¢ ¢ 6 Q ¢ Q ¢ Q �N N � a � ❑ ❑ ❑ ❑ ❑ a a � ❑ ❑ ❑ o a a a a �❑ ! N O O O ' O O O O O O O O O � O O N N N N N N N N N N N N N N N N N N t v m LL v U� zr m c =o Fn >v v° mti am hU Z Z Z Z Z Z Z z Z Z Z Z Z Z Z Z Z Z F QI Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z OU m 3 Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z a . v� v a v« v Ny ?� Q O m N 0 N 0 to m 9 as m � T C O U O d Q m a a K ? N N � G N � � N ❑ N N ? N J m m m 4R v m v ¢ ¢ ¢ a ¢ v m ; Z aV 1 U O O O O O O O O M 25M -358 ` ` N m m a N iv 0 m c� 0 N m N m `o w m 0 Q {f L G i E o l) CL o v � ++ m C M a 0[ C a U 0 O o. a o ¢ 6 ¢ ¢ ¢ Q ¢ Q ¢ ¢ ¢ Q ¢ ¢ ¢ ¢ ¢ ¢ �N ❑ ❑ u ❑ w. �+ u u u u Z r r Y r u r u O N 41 �p N O N W N N N N N N N N W N q o 0 o 0 0 o 0 a 0 o 0 0 0 0 0 o 0 a o o 0 a 0 o 0 0 0 0 0 0 0 0 0 0 0 0 m t N N N N N N N N Q N N N N N N N N N U \ o o a a o 0 0 0 0 0 0 0 0 o a o v v LL ry Uj ZH m C Dz Rl >p �F N Q aU ° z z z z z z z z z z z z z z z z z z Az z z z z z z z z Z z z z z z z Z z Z u6 O v vm K> Z Z Z Z z Z Z Z Z Z Z Z Z Z z Z Z z D . N-' X� LL� N d N` C- > W U) N <0 N N N Q 0 0 0 N N N 0 N w N 0 w N N V an z `m m n m > N m a � o o Q w m ° a U ., �` d d O Z ¢ E E i-- E¢ o¢ N¢ a¢ Q a Q Q ¢ a Q _v ¢ m¢ a¢ LL p LL ❑ IL LL ❑ O O ❑ ❑ N v ° E a E u E p p E w m E `m E .�v. m m 0¢ m¢ U¢ Q Q O Q U¢ Q Q O Q O Q Q Q Q¢¢ Q¢ Q Q Q Q Q O Q m Q E m z 8, D O O N N N C] Cl CNl a a a N N O O '2369 v � M N m a a Cl 0 m m C m N a a a ci N N N m m N 2- Q Q Q Q a 6 ¢ Q Q ¢ Q Q Q ¢ Q a Q Q 0 81 m N N (6 `o mG C of N w N N N N N N N 0 0 0 0 0 0 0 0 J L 0 N 0 N 0 N 0 N 0 N N 0 N 0 N 0 N N N N N N N N N N o 0 0 0 M I� h h r r r h h r r r h h h r r h N N zr m F_ c =o mz �N ON aU 0 .. o mm z z z z z z z z z z z z z z z z z z xu °¢ z z z Z Z z z z Z z z z Z z z z z z 0° 00 m W> Z z z z z z z z z z z z z z z z z z N a m t m N <0 0 y y ¢ N Q Q t/J m 0 y N a w y N N N /oe a G ❑ E E o m O J J J D 7j J J Q„ J J J J N J J J J J J J J N 0 O n N a d p >v q N T v v U O > J U T r m Q N r Q Q 6 Q N d J O. X J w n g J J m J a O J O J A J A J C '� J O J C N J J J E J a a ❑ T > ; °v E r t1 '� a a `o 'a J wawa o a n Q a a¢ a Q a a a a a a¢ Q a a a d a"¢ w a o a L N a z V � Q Oi a N O 00 O O N M N N N O N M N N N ryO O m N a a a ci N N N m m �(1 a Q 6 Q Q ¢ ¢ ¢ ¢ 6 6 6 Q Q Q ¢ ¢ Q ¢ v a] w N � a ai N 0 w m a E ❑ a o ❑ 0 0 0 U Z r/O� Y Y O � ❑ N v n+ «i v Y Y Y Y ❑ ❑ ❑ 0 a o 0 0 0 0 0 0 0 0 0 0 o a o 0 0 v LLry ZH m �c oz ¢I >a �r N Q� aU 0 o'o z z z z z z z z z z z z z z z z �u F¢ z z z z z z z z z z z z z z z z z z a(9 O K> > Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z vJ x 72 N a d N m G O v! N y Q 0 Q 0 N N N V) U) V) N N Q Q Q /1 O N ^ L Nry 0 ® CO) V/ N ` O N N r m° (/1 O N V7 ' � (� N h U) K u) �. � N N U1 O N N N _ U Im T LL O O E r O r J J J J °O N E W N N O a o s d o a J N 1- Q U Q ° J Q❑ Q J Q❑ Q J Q J Q d F Q W Q O Q U Q O U Q LL¢ V a O O O O O O O O O O O O O O N M V O o, d o o° 0 0 0 *26 0 0 ��ppp ry o o a N o M 0 o 0 a 0 o 0 A_361 N 0 N N d m 0 N (6 r O. K s7 L ® C m E L � ® ,^ CL �/ O ° V tm W N N� W^ � � a v IL Q fa v Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q v a N U° Z IT m �C E E m =0 E c c fL Z E o 0 o m m m a a a a o O o 0 0 N d K IT 'm m m m m m � a a a � � � '> '> 5 > ❑ a ❑ ❑ a a a a aU 0 0 0 0 0 0 o a o 0 0 0 0 o a o 0 o'o a a` z O M O ^ OI z z z z z z z z z z z xu N v a N U° Z IT m �C =0 fL Z N d K IT �N E!° aU 0 o'o a a` z z z z z z z z z z z z z z z z z z xu F Q z z z z z z z z z z Z Z z Z Z Z Z Z 0E� OU v Kj z z z z z z z z z z z z z z z z z z a . LL� N a v« 3 U v U H N E m z a Q; U Q Q Q Q Q Q Q Q Q Q N Q Q Q Q Q Q Q N Y W t m m m m of c y y G y y y G y y y C u) y E E E E U N v E E G E E E G E G> > m m `m m m m `m m m` m v v v v m W W W W W 'Wp W W ' M Wp W C O C K C C C x N N Q ON Q N Q N Q N Q N Q N Q N Q N Q N Q K Q UJ Q W Q Ul Q a Q> Q= Q❑ Q v v� co I� m m o N ro o a N M a o 0 ry o 0 0 o ry o g In N N M N N ,O YI M ,O N O O O O O O M M M M 25M -362 M M m m a ed V N O N N v Uv N 0 N N 4: m 0 N m a ^11 /1 L O G E L 3 O CL O U N zj d c O a (� U o a a v �y Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q 6 K E C ❑ = a 0 = 0 0 N a 0 N a 0 N a 0 C a 0 O ❑ C a 0 G 0 C 0 C 0 C o m C ❑ z m. r .. o ❑ ❑ ❑ ❑ ❑ m ❑ H ❑ ❑ ❑ ❑ ❑ h m N ❑ N � N ❑ N ❑ N a N a N a N a N a N a N � N a ¢ N a N a N a N a O � v � =0 0 0 O O o O o r o o a o O N J m O O O O O O O O O O O O O O O O O O >� d r N N N N N N N N N N N N N N N N LL ry Z� m C =0 m z Z Z z m m m m m m m m m m m m m m >� d r N N N N N N N N N N N N N N 0 0 0 v �N Q� 0 ` m aa z z z z } } } } } } } } } } } } } } -¢ z z z z z z z z z z z z z z z z z z U U U U U U U U U U U U U U ❑ e' ❑ ❑ ❑ ❑ ❑ ❑ ❑ O ❑ ❑ ❑ ❑ ❑ 00 O O O O O O O O O O O O O v vm K> Z Z z z z z Z Z z Z Z Z z Z z z z Z 0 0 0 0 o a o a o 0 0 0 o a a a o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 a . v= x� LL� N a U N U v 0 F N m E m z O� v Q U z z z Z } } } } } Y } } } } } } } Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q N N � O ❑ N v E c m uvi u� o ot v v o m ❑ @ v a LL W X> X= x U X LL X U X X X 'g X X X t X X X N � (J � � U T T T T O > N V ❑ 'q a � N i o Y Q❑ Q❑ Q❑ Q m Q U Q U Q U Q U Q C Q❑ Q LL Q T Q ILL Q 73 Q cC Q U Q:2 Q 0 (00 (00 l00 2�M 363 N N N N 0 (00 (00 0 (00 [00 0 (00 - v m a a M N N f2 N N N Q4 N N t6 O N (6 °p. K L o E E O CL o U y � � a � a o 0 3 ¢ ¢ Q Q Q Q ¢ Q Q Q Q Q Q ¢ Q Q Q 6 V«0 Km m m m m m m m m m m m m m m m m m m v T K H N O N O N O N O N O N O N O N O N O NO N O M O NO N O N O N O N O N O N N � aN U ❑ p ❑ ❑ ❑ O ❑ ❑ ❑ p ❑ p p ❑ ❑ p p ❑ 0 °0 m >m qo o >m >m m o 0 E ❑ o 0 0 m m o G N N N N N N N W N N N N N N N r Q y N Z z Z U Z z Z Z z Z z Z Z Z z Z U a p .. O O U ❑ O U 0 O U p O U ❑ O U ❑ O U ❑ O U ❑ O U ❑ O U 0 O U ❑ O m to U 0 O U ❑ O U ❑ O U 0 O U 0 O U ❑ O v K> Z Z Z z Z Z z z Z z z Z Z z z Z Z z O 0 o 0 O ° o 0 o 0 O 0 O o o O 0 o 0 o 0 O 0 o 0 0 o 0 a 0 O 0 o 0 0 0 J L O N N O N O N O N O N O N O N O N O N O N O N O O N O N O N O N O N N N LL Eli = O m z m m m m m m m m m m m m m m m m m m v T K H N O N O N O N O N O N O N O N O N O NO N O M O NO N O N O N O N O N O N aN U ❑ p ❑ ❑ ❑ O ❑ ❑ ❑ p ❑ p p ❑ ❑ p p ❑ 0 .o G r Q Z Z Z z Z Z Z z Z Z z Z z Z Z Z z Z U a p .. O O U ❑ O U 0 O U p O U ❑ O U ❑ O U ❑ O U ❑ O U ❑ O U 0 O U ❑ O m to U 0 O U ❑ O U ❑ O U 0 O U 0 O U ❑ O v K> Z Z Z z Z Z z z Z z z Z Z z z Z Z z O 0 o 0 O ° o 0 o 0 O 0 O o o O 0 o 0 o 0 O 0 o 0 0 o 0 a 0 O 0 o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 o a o 0 0 °v= x� LL� N d N N� >g 1 N U O 3 N v E m ; z Z > Y Y > > Y > r > Y r > Y r r > Y ¢ ¢ ¢ ¢ ¢ ¢ Q ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ N V o v n 0 N D N O v a .Y fj N N N O N v `ry N U y d OI `ry m v L A 2 dX O X° X n X X ;a X X X r X❑ X X X a X X a X w X v X U X U N C w 0 U � m o v v m v n K a > > > 2 Q m Q 2¢ O Q a Q a¢ d Q K Q K¢ K¢ in Q m¢ Q�¢ ¢� Q ti Q by Q °n o � � o M . . M 204 -U4 . I m N d a N 0 m 12 v C7 N N a N m N N v ul co a� `oa Q 6 Q ¢ 6 6 Q Q ¢ Q Q Q Q Q 6 Q Q Q m N d m 0 m @ C N G C C C C G E U o 0 o m o 0 o m m m o o m Of w ❑ u> ❑ ❑ a ❑ d a � d ❑ a a o � 0 � 0 � d a o � jq J O O O J O Ot N O N O N O N O N O N O N O N O N O N O O N O O N O O N O O N O O N O O N O O O O N a N a N \ N N N zq ` a a P a r h O O r M M r r N N LLN UT Zh m =o u]Z w Z Z Z Z Z Z Z i a ttH o 0 0 0 0 0 0 0 om 0 po a(d` > z z z >- z z z z z z z z z > z z > NU H Q Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z OU O W NN K> Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z 0 0 0 0 o O o 0 a . v- v a >� > Z Z z z z z z v � O � OI Q U Q Q Q Q Q Q Q Q Q fn Q Q Q Q ¢ Q Q Q /O A a a n v v CL � U v '� E o. L LL v a V X tl= X O X 6 O X p a X X X N X X X O X X ° X m a O m m m Q t o 0 0 «v Q N v v 0 C ¢ o ¢ 5 ¢ 5 ¢ a ¢ > ¢ g ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ L �F+ V C m m v v v v m o 0 °r on n 269-A5. N N a N m N N v N N N m O w m C °o. N o E L E O CL L o V C H C n cn � � a a Q � a Q ¢ Q ¢ Q Q Q ¢ Q ¢ 6 Q ¢ Q Q ¢ ¢ ¢ 3 o.- K� ZF m �C mZ Z Z Z z Z Z Z v 0 0 0 0 0 v o m 0 0 0 0 0 0 0 a O a � om 0 0 q p o 0 0 o a o 0 0 0 0 o a o 0 0 0 NO a s Z Z Z Z Z Z Z Z } Y } Z Y Y Z } Z Y QZ Z Z z Z Z Z Z Z Z Z Z Z Z z Z Z Z N W LL v U>n ZF m �C mZ Z Z Z z Z Z Z v 0 0 0 0 0 KH o 0 om 0 NO a s Z Z Z Z Z Z Z Z } Y } Z Y Y Z } Z Y QZ Z Z z Z Z Z Z Z Z Z Z Z Z z Z Z Z 00 v 03 Z Z z z z z z z z z Z z z z z z Z Z °o °o °o °o °o 0 4 m—' x° LL� N a v t U n y N E m z a Q; U z Z Z Z Z Z Z Q ¢ Q Q Q ¢ Q Q ¢ ¢ Q ¢ ¢ ¢ Q Q Q ¢ n n N 9 _ mL^ o x O W p G N y ❑ h vi Uo .� m E m S o o m °w o a X O X¢ X v X o X �°' X X X N X X X X O X LL X o X h X X X m E n (' O N O O O L O W W O m O Q Q Q Q U Q Q Q Q Q m Q tti Q- Q U Q ❑- U¢ U Q U Q❑ Q O Q O Q W Q U Q N M O O N COi Fl V V N ENO N N N On N 0 0 0 0 'p /o ya po {� 0 0 0 N N 0 0 0 0 0 0 n n n r !-5y �_V66 Y n n r r r n n m v a a ei N O N c O N O N m N N t0 O N N 0 a N /4 L Q E E o co C o U tm N z+ G8 i T � � a C a U U U o R� KU E Z mo N N LL R ❑ R ❑ R ❑ R ❑ N ❑ N ❑ o ❑ R ❑ � ❑ ❑ R ❑ R ❑ R ❑ R o R R ❑ R ❑ � O O O O O O R Z N yR� R R R d N 41 O c % N a o o a o 0 0 N N Q� O O O O O O O O O O O O p O O O O O O O O O O O O O O O O N O N M N C1 N V N V N M N r N V N n LV M N O N M N l+l N M N M N e` N P N W m �c Dz N Z Z Z Z Z Z Z Z >p K r a o o a o 0 0 N N Q� 0 Y > Y Y > > Z Z Z Z Y Z Z Z Z Z Z Z F Q I Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z z v �J vm K> °m x LL v a R G v m N_ ¢ 0 a N 8; Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z O o O o O pp p p p p p Op Z Z Z z z Z Z Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q N y� R N U N N N R N N U U E T U R R N J J LL C C E c G C E o v `m_ v R N @ @ m E N c Jo N X J X o X J_ X X O X R X O X X N X N X N X C X N X R X ` X v X � o X v0 LL ` � U ¢ ¢ U ¢ > ¢ Q Q w ¢ w Q i ¢ ¢ i ¢ o Q > Q Q ¢ ¢' ¢ ¢ ¢ r O O O O p O N O � O N p N f0 O to N M V N [p N N M M V V N Ln O O O O O O O O O p p O O O r n n r n2 �nA 367' O r n r r r r r r r 0 N m a a V N N °v C N N m N m 0 N (6 0 Q N I' L G O CL o V � N d W Gi C T N � a � O a a a p Q Q Q ¢ Q Q 6 Q Q Q Q 6 6 Q ¢ ¢ ¢ Q ON zr m tt =o Cc z z z z z z z z z >m a �ti o 0 0 0 0 0 C C C C C C C m aa° ` C C z z z > Y > z > z z z N N N VI Y E v v m I- Q Z Z o 0 o m m m o Z Z Z Z Z 2 Z Z Z Z E a o 0 0 0 m m m m m m m m mo m o N N N N N N N N N N N N N N N N N N L N N N N N N N N N �V N N N jV N N N N N N LLN U>n ON zr m =o Cc z z z z z z z z z >m a �ti o 0 0 0 0 0 0 0 �N ON 0 m aa° ` z z z z z > Y > z > z z z z } > > Y yNV I- Q Z Z Z Z Z Z Z Z Z Z Z Z Z Z 2 Z Z Z OU W NN K> Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z o °o Co °o °o Co yr x� LL� N a m� ]� Z Z Z z Z Z Z Z 0 v vy h <0 Q Q Q Q Q Q Q Q Q Q Q Q Q Q ¢ Q Q Q V �a a a 3 m K U o " o. n v v u o E D rn K c c m E w `ox x x x x x ox x vx w x ° v m $_ m > v o m v m Q m o o — v o N C7 Q Q J Q W Q S Q Q Q W Q 2 Q U Q U Q a Q d¢ C7 ¢¢¢¢¢ E z om o, v m n m u' o 0 0 0 � o 0 0 0 0 0 0 0 0 o m o 0 0 ¢; U r r r 204-368 r r > r r r r r r > N m m a N m r N N a `m N N N ai m 0 N 0 0 N Sy n I!1 C o G �C L G 0 n Q N o V V N zi Cf i a. � e O U v o o� xN E z N J J � Q Q Q¢¢¢ Q Q Q¢¢¢¢ Q Q Q¢¢ C d C C p N N z N N N N z N N N N d N N N N z z UT 0 0 0 0 0 0 0 ' ' a o 0 0 Zh 0 0 0 0 0 0 m m m m d d d N d d d y d d d d N N d d d N C a a O a a g W W U [O W N 10 0] ro Z Z W W ro 0) 0 O 0 O o O a O o O 0 O o O O a O o O 0 O 0 O 0 O 0 O 0 O 0 O 0 O 0 O N N N N N N N N N N N N N N N N N N N N N N N N N N c V V e- V V V M r O1 V V V 0 V O C M d d LL d z z z z z z z z z z z z z z z z z z UT 0 0 0 0 0 0 0 0 o a o 0 0 Zh 0 0 0 0 0 0 0 0 0 0 0 0 0 m C O 4]Z Z Z Z Z Z Z Z Z Z Z Z Z Z �n d T N N N N N N N N N N N N N KF- 0 0 0 o O o o a o 0 0 0 0 Z Z Z z Z Z Z Z Z Z Z Z Z om _ _ _ _ _ _ _ _ _ _ _ 0 o'o a a` z > > z } > > > z z } } > z > } } > u H¢ Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z -o d vm X> z z z z z z z z z z z z z z z z z z 0 0 0 0 0 0 0 0 o a o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 d. LL� d a mN Z Z Z z Z Z Z Z Z Z Z Z Z U d W u'>ti x m o O m W m n m a o o a 3 c m d < F X a X X m X a X X X t X d X y X¢ X X x d x o X x x c x m t o .t6 d 5 � 'm ° � o 0 0 � m � �1 r o R a 'C w c E a a Q ¢ U¢ >¢ 00 ¢ 2¢ Q ¢ a Q a¢ n. Q d Q m Q m Q d Q 2 Q d Q d Q E d z p O o N N CJ o Q. U 1261W 369 P � I n I I n TV d m a ry 0 m d U O N N m 0 N i a N K o E E L CL ♦O ' V tm V N •� w � = a � � a ® a gv o« �N E' z `w J a U v v LL v Un ZH m =0 a] Z Nn KH N Q aU 0 ¢ Q ¢ ¢ ¢ Q ¢ Q 6 ¢ ¢ Q Q Q Q ¢ Q ¢ C s 0 G a 0 C n o > m > m S m > m a o > m > v > v N a o > m > v > m > m > v > v m v m v v v v m v v v v v v v v v v a a a nv. a 0 0 0 0 0 0 m 0 0 oo 0 m 0 0 co 0 0 a 0 0 m 0 o N w 0 a a m 0 N 0 o ro 0 0 a oo 0 N m 0 0 N m 0 0 a 0 0 a a 0 N Z Z Z Z o 0 0 O Z Z Z Z Z Z 0 0 0 0 0 0 LL z z z z > z z z > > > z > > > > > > yV 'r Q Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z W K O N X LL N d N C N N N Q D i N Z z Z Z Z Z Z Z Z Z Z z Z Z Z Z Z Z 0 0 o O o O o 0 0 0 Z Z z Z Z Z Z z Z Z Q ¢ Q Q ¢ Q Q Q ¢ ¢ Q Q Q Q ¢ Q Q ¢ X� X� X o X� X X� X X a � X X X n X X m d¢ U¢ O¢ d¢ Y¢ r n 251 _3 0. n n . n . m m a a v 0 N N °v m 0 rn N d m 0 N t6 O N A o g L g A v O ' Y � Gi C T � = a o. a '2 ¢ ¢ 6 ¢ ¢ ¢ ¢ ¢ Q Q Q ¢ ¢ ¢ Q 6 ¢ ¢ �y m o N N N N N N N N N N N N N N N Z Z Z Z Z Z Z >n RAF O O O O O O O O O O O O O O O N m v N v v v v v v v v v v v v v ON a a g g g 0 p N o 0 m 0 m 0 m o m a m o m 0 m 0 m 0 m 0 m 0 m 0 m 0 m 0 m 0 m 0 J N N N N N N N N N N N N N N r N N N N I n ZF m o m Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z >n RAF O O O O O O O O O O O O O O O O ON 62 W a > z Z > } } } Y > > Y Y Y Y Y Y Y > ¢ z z z z z z z z z z z z z z z z z z U Li p0 v vm �> z z z z z z z z z z z z z z z z z z 0 0 0 0 o a ° 0 0 0 0 0 0 o a a 0 0 0 0 0 o 0 0 0 0 0 0 0 0 0 0 v . v« x� m a m1 j z Z z z z z z Z Z Z Z z Z Z Z Z U N N � �_ m Q O Q Q Q Q 6 Q Q Q Q ¢ Q ¢ Q Q ¢ Q Q Q O an O �F m ❑ N m m ❑ m gg N ❑ m V n \ v N N m N 22 a C N N V ❑ n � ❑ m N m m v v a m m S a ❑ a c x vx 8x x x �x �x ,:x mx x mx ox x �x �C o 0 0 U > Q Q U Q U Q❑ Q IW Q W Q E z U i 9 R N fp Ip (Np � O r N M V m N N N N N N M =3110 m m m a a N N N °v m N O N m N m 0 N (6 r O N L 0 GC G Q. o ( C coN y � � a � a V V 'o Q p w Q ¢ Q Q Q Q Q Q VR Z z z z z z z z z z z z z z z z z z �N °o °o ZF Co Co m N C C C N v= x� N N N C G C G N N =0 >m E m m m z o o m m 0 o m m m o ❑ ❑ ❑ o a O O O O O O O O O v m m m �F a o 0 0 m m m m m m N z z z z J O O O O O O O O O O O O O O O O s N v N �l N v N a N a N a N ry N v N a N v N m N c N v N o N m N a N m N U N N LLry Z z z z z z z z z z z z z z z z z z U° °o °o ZF Co Co m v= x� =0 NZ Z z z z a �F a o 0 0 N z z z z ON 0 0 a° z z Z Z Z z z Z z z z Z Z Z xL r Q z z z z Z Z z z z z z Z z z Z z Z z OU v m> Z z z z z z z z z z z z z z z z z z °o °o Co Co a v= x� LL� v a >� z z z z u v mN ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ ¢ as Z NF o w v G v n v G v v v G $ c x x x x x x x x > o m D v m o �x y �'a o Ex.Ba v axx a o m v o K O a N 0 o v U U m IL ° � m d N m m ¢ a ¢ ¢ ¢ m ¢ ¢ O Q C7 ¢ ¢ ¢ m m z °n n o aN o °m /� �m ° Q; U m ro m . 25 � j 4_3 72 m m m m m m ro m m m m m a a M ry N m `v O N m N N i0 O M 0 N A O YI� L Y IOC HIV/) CL v o V tm ++ Ai C A cn a ♦� 0 a N Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q Q O Km c O N N N N N N N g o g o g a a o � ❑" � o � o m 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 W W M N m N W N w N ro N ro h ro of W 9 LL N z z Z Z Z Z z Z Z Z Z 2 Z Z Z Z Z Z U �n, zr m N o z m° ¢H �N Q� ao 0 o'o a a` z z z z z z z z z z z z z z z z z z ii ¢ z z z z z z z z z z z z z z z z z z o(3 v m D;> m z z Z Z Z Z z Z Z Z Z 2 Z Z Z Z Z Z a . v LL � N n >� U N (/j N <0 Q a Q Q a Q ¢ a ¢ Q Q Q ¢ Q ¢ a Q Q O a_a T N N 7 O m r yOj O VI N N N v v .E C v W `w v `v E E o o n n n n n ¢ P ¢ x IE r ox �x �x�x�x�xjyx 0x 0x 0 x �x �x �x vx W �x �x �x :Q 0 0 0 o m E @ m m m w E m o o ¢ Q ¢ ¢ `0 0 0 `o `0 `0 0 0 E E fq N¢ W¢ U a K¢ K¢ O¢¢ U¢ U¢ U¢ V¢ U¢ U a U¢ U¢ w¢ w¢ U Q E z _ z U, 9 N O 00 O O N N l+I C"1 V V N N (p tp h ;26W;313; m m m N m m d a v v ci N O T `m N I U N N m N d m 0 m a m CC k 1 �CC R G o O ° V � � N � � a � 3 � a p� a ¢ ¢ a ¢ a ¢ ¢ ¢ ¢ 6 Q Q ¢ ¢ a ¢ a o.- K� c E m m o m m m m m m m m o m o o a a o o a g J O o 0 0 0 0 0 0 °0 0 0 0 0 °0 o a o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 m N N N N N N N N N N N N M N N CJ N W N 1(1 N N M m za N N LL m O mZ N ON LLU z z Z Z z z Z Z z Z Z z z Z Z Z Z Z Q I Z Z z z z Z Z z Z Z z z Z z z Z Z z N NN m> W-� L 2 LL N n N` Z Z z z z z Z z Z z z z Z Z Z Z Z z Q O Q Q ¢ ¢ Q Q ¢ ¢ Q ¢ a ¢ ¢ Q Q ¢ �(pI ¢ Q a N O N 41 _ SOH o � E E CI C G N N n o h a v 3 a 9 3 3 c k a o E 0 E 0 v v Z' Z F X X Q x a X° X¢ X° X �O x❑ X❑ x m X w X -° X -° X X m x m x m x V U Q ¢ D D U U '0 0 = v E E 0 r v v o p 0O H F o` o 0 in v ¢ m a m Q Z a a ¢ t ¢ a ¢ ¢ ¢ a z ¢ z ¢ E m z m m m m m m m m m m 2 5 M X7(4 I m N a a r M 0 N N v t9 25M -375 v m m a a c N N N 3 ^ N K� Q4 N \ N n 13 m � o a @ o C v r o E n z � � v !� mo a J m N li U o N n m m a v n ZF m �c a z m �r N Q aU 0 m aa` z NV r¢ z o E` OU m �3 vN K� Z v . N x� LL� N a m« m � m QO Q a C an O C mr i Y U °� N ® Q c U O e m c � ♦ o o' V n E L +e N = a v a U U iL 25M -375 v m m a a c N N N PCR - Sample Project Codes HST Code Project Name CIBHO05EA 9900 Wilshire Construction Monitor ENVLO03AQ ENVLO05AQ ENVL006AQ BCPT001EA FRKD001AQ CRBLO03AR CSUF001AR STNCO02AR Haynes Generation Project Scattergood Generating Station Burbank Power Plant Permitting 843/845 Seward Street Mount Palomar Resort Isla Verde Residential Development NAGPRA Inventory Correction La Costa Chevron Erosion Site 25M -376 Timesheet Summary Page 1 of I PCR Services Corporation Employee: 0443HHC He Chung Timesheet Summary Date: 1/29/2015 Period End Date: 1/15/2015 Time: 04:19 PM Regular Time Thu Fri Sal Sun Mon Tue Wed Thu Fri Sal Sun Mon Tue Wed Thu Total Project Name Prot Code Phase Task Org Cis Acty HT S Tax Writ 111 112 113 114 115 116 117 118 119 1110 1111 1112 1113 1114 1115 Hrs Alr Quallty Business AQBUSDEV CNSPONCONF 0523 55C "° "" " "' TCH 8.00 0.00 8.00 Development Holldays HOLIDAY "'" 1 0523 55C * "'* "" " "" TCH 9.00 9.00 Alr Quallty Dueness AQBUSDEV " " ^" MEET 0523 55C "'^ "' "' TCH 1.00 1.00 2.00 Development LA mixed -use JYUC001EP A 01 0523 55C "" "' ' '"' TCH 9.00 9.00 18.00 development EIR UTC - Rooketdyne Site BOG1001EP K 02 0523 55C "" •` `•' TCH 8.00 9.00 9.00 9.00 8.00 6.00 49.00 UTC - Rockefidyne Site BOG1001EP 02.AOC 01 0523 55C- "'_TCH _ _ _3_00 3.00 Total Hours For 111512016 9.00 8.00 0.00 0.00 9.00 9.00 9.00 9.00 0.00 0.00 0.00 9.00 9.00 9.00 9.00 88.00 Dotal Employee Status /Notes V20/2015 ]:2]:25 AM 0278MAG Melissa Ducts Posted 1/1612015 7:14:19 AM 0346HER Had Rents Approved 1115/2015 6:45:02 PM 0443HHC He Chung Signed a/ 5M -377 file: / / /C:/ Users /V.Valderrama /AppData /Loco STEnterprtse /Ti meSheetReports /Proddbhtt... 1/29/2015 Y N g o a � � U d Z � - @ T a od W 0 o @ d � U m � I o W N O N W V N U IL d m d d Q d u o U o O y = d = am 6'm V r N r M N r L W i (N w m N O E 6` m d N E a U Z c C _ L) m cc) M M OLL U O � a • o y 9 6 d O v v tq c m y d S v w ° O 0 0 0 0 0 0 O LL CR 0 O ON 0. 0H 0 0 ow W h t0 r-: f 0 V o DI o e o 0 0 0 0 0° d O W h t0 r-: O 0 V o G O 0 00 ❑ O O ( 0 C� O O N r O O O O O O O N O M O {V CI w .c w. td w w f0 {D N 0 n n w 2 D ❑ °o °o °o °o 7 c °o J0 m Co 0 0 0 0 0 o 00 0 00 0 00 0 0 4n m 1 � 'O O V1 O O IN N J pj w N c0 h r V M t0 O � O O M M a 0 0 0 M N N CM c 0 0'0 6 c -o i -.: O d 0 0 a - 6 6 0 w a.: H K O V m c V O N N F Q J N N N Q S 6 6 O d d 0 ? a ❑ 0 0 v o ai v 0 Qi ro d w N h T N w V V J Q r O (O YI Yl Fri � NN NN N 16 o G O 0 ❑ O O ( 0 O O O uJ O O Yl. N:ii w w w. td w w f0 {D m 2 D °o °o °o °o c °o J0 Co 0 0 0 0 0 4 c. o. mS 1 a 0 0 0 0 0 0 c'. 0 1 0 0'0 6 0 .. -o i -.: d 0 0 a - 6 6 0 6 0 a.: a K J m 6 6 d d 0 ? a J N O d u N J S Or N C m d 'o a `'-iS o m' O C ) d d '�O ❑I O '- U m m m Q U o Y Y Y Y Y Y 6 A @ @ @ @ @ N d H 6 � O L O L O aJ _V ILL r. 0 N P M N P Y F Uo Z N v _ ° • a T � o � d o � r c t w m m 2 N g I o m N O N � V N v or m v = R y m u or o U �_ O a• e o = y u E m y 05 c o y E p C a > O a J 0 rn o 0 o in QU U o O (� O N i fR � O N • a m a J a N J o y m L o y 0 0 m IL ms E5 x 0 I- Q W W W 5 N W I 0 0 0 0 0 O 0 0 0 0 0 Io Q O O O O N N U G I O O O N N J �r Jx U h+• 0 0 0 0 0 0 0 0 o c o La a N o 0 0 o a J J o 0 0 0 0 O° O O o O O �x a` of W of c0 of O b � O r Q � � �I O p O w y o 0 0 0 0 = . a N N N N N J m Y V1 0 W O m u a a a a a a a a 25M O = O v V d V V •� H N O N O N O O N N = 0 a O N O N N O c 0 wU o 0 0 o o y O O d O J y LL U ryJ N N N m 0 o c o .0 c a c '2 o E m o E O p o a o 0 0 o a� a i ar •C � v 0 v ° o m m O b � O r Q � � �I O p O y O yO o a = a = J m Y V1 0 W O m u N ~ I/1 p a a 25M O °o 0 p- °o 0 0 N N a O 2 a' ° o n wa O C a m Qme p� N � Y L � N 3 C y m 0 N M ,o ZS > J C O 2 C m Y b c o O 0 - o ° m U -2 U 0 m J v w, � a a K U J H a w a` ZM N ~ O 3 O mJ w ° Y N H 0 H v Z N m 0 m I U d a a O m Y V1 0 W O m O Q N ~ I/1 p a a 25M -379m 0 m J v w, � a a K U J H a w a` ZM N ~ O 3 O mJ w ° Y N H 0 H v Z N m 0 m I U d a a O C � 0 E .0 t. Q \ ^( q � U � k � ( \kƒ k )) !l ; ;� arl3; k \2o \ \\ \/} § �0 0 0 o c �\ ! :) k {% % !;@2 §! ,!a§§ {/\ \ }) �5�- §O v Y L O m C O Q O u d V •L v v a Y t0 d � G � �_ ry m 9 ?' a 3 � Vl m N O1 i� a lD N 1D O N Ol N 1p N 7 N N m O N O d m m W vt m la Ol o d' m O v m m m m N 3� v o� N Q � _ ry YO O v pn 'eq O O 0 p 00 O O C O v C O v O N O m m m m O y Q Y 0 O O v O v p N N U �p L O m L �- Q W h = o m a w Y a v m N Y iWu w v _ 4 G v = v C w w m N v Q _ C 'G o m L u 00 > O C .O = O. O Q 25M -381 d Y f6 A ti 3 O 2 O L R 2 w H C O f0 O O. O u v U .Z u d � N Y fu cc e � v 'm A 9 a o o S v. rn yr an .n +n vi. +n va .n rn a m tp rn Ot m M O) vt O N vt 4 a tp lD a M M N N a M m Q 9Ci Q 'O Vf 3 o m 0 � c m c m o m ap+ O 0 o s o O 0 o O c p a a v m � Q O M\ o a v m o 1O m O t � Q \ a N v a \ H m O 'm p p � m p O m p Y h m \ v v C W v C v C C � C c m u a v v C H w p 6 c m a D Q O h Q Q VII uvi l7 25M -382 EXHIBIT C ADDITIONAL PROVISIONS CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES The following documents in reference to the on -call engineering services hereunder are hereby on file with the City of Santa Ana's Public Works Agency and are hereby incorporated by reference: • Request for Qualifications (RFQ) — RFQ No. 14 -037 • Statement of Qualifications (SOQ) -- in response to RFQ No. 14 -037 • Request for Proposal (RFP) — RFP No. 14 -037 • Proposal - -in response to RFP No. 14 -037 25M -383 IJ WE ATTACHMENTS D -1, D -2, D -3 & D -4 CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES 25M -384 APPENDIX ATTACHMENT D -1; NON - COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14.037 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 County c Subscriber) and sworn to (or affirmed) before me on this J "day of KO V , 2*4 by iCiSf�k fh f proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. LINDA M. PHIS LLLIIPi$ Commission N 1932099 Notary Public - California orange County ( M Comm. Ex tires May 7, 2015 Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDEI PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE r�r City of Santa Ana RFP 14 -037 Page 26 Stantec City oR Santa Ana I Proposal for RFQ No 14 -037. Uri Call Engineering Servica_ 34 25M -385 APPENDIX ATTACHMENT D -2: NON - LOBBYING CERTIFICATION „^ CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14 -037 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 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 falls 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 Name Stantec Consulting Services, Inc. Signed and Printed Name: y�� Jose Martinez, PE Title: Senior Principal 11/14/2014 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14.037 Page 27 $tantec C=ity cf SqntU Anu ' f,r 12 Q no l OJ7:On -Call nqi[ oaring )cnlcz3 35 25M -386 APPENDIX ATTACHMENT D -3: DEPARTMENT OF HOUSING & URBAN DEVELOPMENT SECTION 3 CONTRACT CLAUSE CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14 -037 DEPARTMENT OF HOUSING & URBAN DEVELOPMENT (HUD) SECTION 3 CONTRACT CLAUSE A. The work to be performed under this contract Is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701 u (Section 3). The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD - assisted projects covered by Section 3, shall, to the greatest extent feasible, be directed to low- and very low- income persons, particularly persons who are recipients of HUD assistance for housing. B. The parties to this contract agree to comply with HUD's regulations in 24 CFR Part 135, which implement Section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the part 135 regulations. C. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the contractor's commitments under this Section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the Section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person($) taking applications for each of the positions; and the anticipated date the work shall begin. D. The contractor agrees to include the Section 3 clause in every subcontract subject to compliance with regulations in 24 CFR Part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this Section 3 clause, upon a finding that the subcontractor Is In violation of the regulations in 24 CFR Part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge of that the subcontractor has been found in violation of the regulations in 24 CFR Part 135. E. The Contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor Is selected, but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR Part 135 require employment opportunities to be directed, were not filled to circumvent the contractor's obligations under 24 CFR Part 135. Noncompliance with HUD's regulations in 24 CFR part 35 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts. City of Santa Ana RFP 14 -037 Page 28 Stantec City o`Sonia Ana I Propowoi'or RFO No 14- 037: On -Call Engineering Sefvice5 36 25M -387 G. With respect to work performed In connection with Section 3 covered Indian housing assistance, Section (7) b of the Indian Self- Determination and Education Assistance Act (25 U.S.C. 4509) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (1) preference and opportunities for training and employment subcontracts shall be given to Indians, and (11) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indlan-owned Economic Enterprises. Parties to this contract that are subject to the provisions of Section 3 and Section 7 (b) agree to comply with Section 3 to the maximum extent feasible, but not in derogation of compliance with Section 7(b). For the purpose of training and employment the riD maN Section 3 covered project area is the area in closest proximity to the actual construction work site within the U.S. Census Tract in which the project is located. It is understood that priority for employment opportunity is to be given to residents residing within the primary Section 3 area as defined. A Section 3 area resident is any lower income individual residing within the Section 3 area, whose total family income does not exceed 80% of the median income of the metropolitan statistical area in which the project is located (Orange County). A public housing resident is defined by regulations as Section 3 resident, regardless of income. The contractor and each subcontractor certifies that they will provide, to the greatest extent feasible, opportunities for employment to lower income residents (local residents) and job opportunities in connection with projects in their neighborhoods. For fiscal year 1996 -97, minimum goal for each project is 30 %. The Contractor /Sub- contractor /Service Provider by the signature affixed hereto declares under penalty of perjury: Contractor /Sub- contractor /Service Provider has read Section 3 requirements and accepts all its requirements contained therein for all of his /her operations within the City of Santa Ana, Signature Signature Signature Jose Martinez, PE, Senior Principal Print Name and Title Print Name and Title Print Name and Title 11/14/2014 Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL, PROPOSALS TWAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14 -0$7 Page 29 `- S'tan$9e (.,I h; U Scir, ta Ana I r'ro p. °.a! t-) 21 Q No li 037 On i:ul ! 37 25M -388 APPENDIX ATTACHMENT D -4: CERTIFICATION OF NON - DISCRIMINATION BY CONSULTANTS CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES RFP NO.: 14.037 As suppliers of goods or services to the City of Santa Ana, the Firm listed below certifies that it does not discriminate in its employment with regard to race, color, religion, sex, or national origin; that it is in compliance with all federal, state and local directives and executive orders regarding non - discrimination in employment and including, but not limited to, what is listed in the Nan - Discrimination Clause in Exhibit 10 -V per: http: / /www,dot.ca g_ov /ho /LocalProctrams /lam /forms /chai)terl0 /10v- 2013- 05- 14.docx and that it agrees to demonstrate positively and aggressively the principle of equal opportunity in employment. The same shall apply and be included in all subconsultant agreements. WE AGREE SPECIFICALLY: 1, To take affirmative steps to hire minority employees with the company. 2. To establish or observe employment policies within affirmative promotion opportunities for minority persons at all job levels. 3. To communicate this policy to all persons concerned, including all company employees, outside recruiting services, especially those servicing minority communities, and to the minority communities at large. FIRM Staniec Consulting Services, Inc. TITLE OF PERSON SIGNING Senior Principal SIGNATURE DATE 11/14/2014 Please include any additional information available re arq ding equal opportunity employment programs now in effect within your company. THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 14.037 Page 30 Stantec City of Sonia Ana I Pr000soi for RFQ No. 14 -097 N 25M -389 25M -390 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 5th day of August, 2015 by and between Mark Thomas and Company, (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of: On -Call Engineering Services to provide engineering services on an as- needed basis. Engineering services may include but are not limited to, civil engineering, electrical engineering, traffic engineering, geotechnical, land/property surveying, structural, storm drain, water or sewer line- related engineering, architecture and landscaping design services and grant writing services. Environmental and /or planning support services may also be requested. Prior to issuing a Task Order, the City may request a detailed Scope of Work, for a specific project /task. If requested, the consultant would provide a task proposal, budget and schedule for the Task Order. From this, the City may choose which consultant to assign the project/task to pursuant to this Agreement. 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 those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed Two Hundred Fifty Thousand Dollars ($250,000) over the entire life of the Agreement, including any renewal period(s). 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. Exhibit 9 25M -391 Page 11 C. Invoices should be submitted on the 15`1' of each month and shall include the following information at a minimum: i. Consultant's invoice number and City's agreement number ii. Beginning and ending dates for services iii. City Project and /or Task Order number and /or name (if applicable) iv. Work site address /location (if applicable) V. Tasks or deliverables completed, and percentage ( %) of total services completed. vi. Remaining Overall and Task Order budget available 3. TERM This Agreement shall commence on the date first written above for a two (2) year term with the option for the City to grant up to two one -year renewal options exercisable 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 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting 25M -392 Page i 2 therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. (iv) Consultant shall supply City with a fully executed additional insured endorsement. 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. 25M -393 Page i 3 7. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), to any work performed or services provided under this Agreement arising out of, relating to or pertaining to the negligence, recklessness or willful misconduct of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the 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 25M -394 Page 14 disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 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 in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. 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: Fred Mousavipour, Executive Director of Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Fax: 714- 647 -5635 Sonia R. Carvalho, City Attorney City Attorney's Office City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax: 714- 647 -6515 25M -395 Page 15 To Consultant: Robert A. Himes, PE President/Principal in Charge Mark Thomas & Company 16795 Von Karman Avenue, Suite 200 Irvine, CA 92606 Fax: 949 - 477 -4102 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. 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 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. 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 the City upon thirty (30) days written Page l6 25M -396 notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 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. MISCELLANEOUS PROVISIONS a. Additional provisions, if any are identified as Additional Provisions, Exhibit D, attached hereto and incorporated into this Agreement by Page 17 25M -397 reference. b, Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. 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: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney B and vat C ' of sistant City Attorne RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director Public Works Agency 25M -398 CITY OF SANTA ANA David Cavazos City Manager CONSULTANT: (name) (title) Tax ID# Page 18 EXHIBIT A SCOPE OF SERVICES 25M -399 25M -400 EXHIBIT A SCOPE OF SERVICES CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES I. DESCRIPTION OF WORK The City of Santa Ana (City) solicited proposals from professional consulting firms (Consultant) to provide engineering services on an on -call, as- needed basis. Engineering services may include civil engineering, electrical engineering, traffic engineering, geotechnical, land /property surveying, structural, storm drain, water or sewer line - related engineering, architecture and landscaping design services and grant writing services. Environmental and /or planning support services may also be requested. The City may need consultant services for survey, mapping and legal description preparation, construction management, staking and inspection or occasionally request mechanical, electrical and/or structural services. The work, in general, consists of general engineering design projects on arterial and local streets, bike paths, and public parks, citywide. The types of work efforts may include: • Underground utility design/modifications; sidewalks, bike paths, curb and gutter replacement; slurry seal of residential streets; repair and overlay of asphalt concrete and /or PCC streets; signing, striping, neighborhood traffic studies, traffic signal modifications; landscaping and irrigation systems; park and recreational design, grant application writing, building or facility work, other broader studies, and other related projects as required. • Amore detailed Scope of Work will be provided when /if a specific projector Task Order proposal is requested of a consultant. Funding sources will not include any state or federal funding. Projects for each project/task order shall generally include local funds. Each project/task order assignment shall comply with any and all agency funding requirements. The Sample Task Order was submitted with the proposal inclusive of the hours, hourly rate and totals in Attachment C for the qualifications and value -based RFP . Note, state prevailing wage requirements shall apply to work as required, and including but not limited to, survey and materials testing work, and per the below link: http://www.dir.ca.gov/publie-works/publicwori,s.htinl) Consultants and subconsultants completing any element of or type of work within projects /task orders that is subject to compliance monitoring and enforcement by the State of California Department of Industrial Relations, per Section 1771.4.a.1., shall inform themselves fully of conditions relating to construction and labor law under which any work will be performed. Any consulting contract entered into pursuant to this notice shall incorporate the provisions of the California State Labor Code wherever they may apply and all fees shall be inclusive of or exceed these requirements. City of Santa Ana Scope of Work Page 1 25M -401 The Consultant shall be able to assist the City through this contract to provide the necessary services. The Consultant shall utilize in -house staff and/or sub - consultants to complete the assignments to meet the City standards. For specialized work for which the prime consultant shall require a sub - consultant, the prime consultant shall serve as an administrative liaison between the City and the sub - consultant. The prime Consultant marls -up for sub - consultants shall not exceed 10 %. II. PROPOSED SCOPE OF SERVICES In general, the Consultant shall perform above noted engineering design services resulting in contract documents (plans, specifications and cost estimates "PS &E ") for various projects on an as- needed basis. However, work tasks may include studies or a variety of engineering or other tasks. If requested by the City, the Consultant shall provide a Work Plan which includes a detailed schedule of the assigned project prior to the issuance of Notice to Proceed of that particular project and/or Task Order. Specific Task Orders with Notices to Proceed ( "NTPs ") will be provided for project(s) at the discretion of the City. Work required per Task Order shall comply with the Scope of Services and additional provisions in each Task Order and this agreement. The Consultant shall also provide all field survey work required as appropriate and shall have the necessary experience and required civil, traffic, electrical, structural, geotechnical, surveying, landscape architect and architectural licenses for those in responsible- charge of the work being completed. The Consultant's services for PS &E engineering project preparation shall include, but not be limited to, the following: 1. Research existing records of utility companies and agencies and coordinate the proposed improvements with existing field conditions. 2. Provide all field survey and topographic work necessary to complete the design effort. Design level survey and base mapping of the project site shall be prepared in US Customary English units by a California licensed Land Surveyor in accordance with the City guidelines and in Microstation V8i Computer Aided Design and Drafting (CADD) format. The horizontal datum shall be NAD 83 and the vertical datum shall be NAVD 88. All survey field notes shall be on forms provided by the City, shall be neatly completed in pencil, and shall become property of the City upon completion of the project. Informal field investigations including marking of removal areas may be required for some of the sidewalk, curb and gutter, and pavement replacement projects. 3. Complete the design of projects including plans, specifications, and engineer's construction cost estimate. The Consultant shall contact manufacturers and/or contractors to verify the engineer's estimate prior to submitting to the City. Specifications shall be prepared in Microsoft Word and an electronic copy of the final version shall be furnished to the City. The City will provide the specification boiler plate to the Consultant. 4. If requested, all preliminary and bid sets of plans shall be plotted on bond or velum using the Microstation V8i CADD program. All drawings shall be completed per the City of Santa Ana CADD Standards. For interim submittals, the City may opt to receive only PDF versions of the plans for reviewing purposes. If so, the Consultant team will provided plans and/or specifications accordingly. City of Santa Ana Scope of Work Page 2 25M -402 5. All original plan sheets, the title sheet of the specifications, calculations, and reports shall be signed and stamped by the Consultant's licensed professional engineer responsible /in- charge of the project. These signed originals shall then become the property of the City. 6. If apart of the on -call project scope, the Consultant shall provide support services during the bidding and construction phases of the project on an as needed basis, including, but not limited to: A. The Consultant shall respond to bidder inquiries during the bidding process, including preparation of any addenda. Following award of the construction contract, the Consultant shall attend the pre - construction meeting. B. The Consultant shall review and approve all submittals and shop plan drawings required supporting the construction contract. The Consultant shall complete shop drawings reviews within two (2) weeks of receipt. Contract Change Order reviews shall be completed within two (2) working days of receipt. C. The Consultant shall respond to written Requests for Information (RFI) to provide clarification or resolve discrepancies in the contract documents. Responses shall be completed within three (3) working days. D. The Consultant shall provide periodic field reviews and bring to the attention of the City of Santa Ana any defects or deficiencies in the work by the construction contractor which the Consultant may observe. The Consultant shall have no authority to issue instruction on behalf of the City of Santa Ana, or to deputize another to do so. 7. If included in the on -call project scope, upon completion of construction, the Consultant shall prepare as- builts and submit them to the City. The Consultant shall incorporate all changes to the plans electronically with all necessary revision notations. Once plans have been updated, a signed set of as -built mylars shall be submitted to the City with an electronic copy (in Microstation V8i CADD and pdf formats) of the final as -built drawings via CD or e -mail. S. If included in the on -call project scope, the Consultant shall monitor the project progress, maintain project files, and control the quality of the work performed by in -house staff and/or sub - consultants. Incomplete (not meeting targeted completion) or poor quality work will not be accepted. The Consultant shall revise the documents within a revised schedule set by the City, which may require overtime. No additional compensation necessary for the consultant to complete this work to the satisfaction of the City shall be approved by the City for the required revisions. It is the responsibility of the Consultant to produce a professional -level quality of work product. 9. If included in the on -call project scope, attend meetings with the City staff as required 10. If included in the on -call project scope, the Consultant shall coordinate plan check, design topics, permits and any other issues with the City, other Agencies, and all utility companies as required. At the direction of the City, the Consultant shall be the liaison with affected agencies. 11. If included in the on -call project scope, the Consultant shall be responsible for reviewing and approving addenda and clarifications to plans and specifications. City of Santa Ana Scope of Work Page 3 25M -403 I1I. GENERAL REQUIREMENTS 1. All work shall be performed in conformance with the latest City of Santa Ana policies, procedures and standards, and applicable, regulatory, state and federal requirements, where they may also apply despite the focus on local funding. 2. Consultant shall carry out the instructions received from the City of Santa Ana and shall cooperate with the City of Santa Ana and any other involved agencies. 3. The Consultant shall have complete responsibility for the accuracy and completeness of all documents and plans prepared and shall check all such materials accordingly. The plans will be reviewed by the City of Santa Ana for conformity with the requirements of the Agreement. Reviews by the City of Santa Ana do NOT include detailed review or checking of design or the accuracy with which such designs are depicted in the documents and the plans. The responsibility for accuracy and completeness of such items remains solely that of Consultant. 4. The documents and plans furnished under the Agreement shall be of a quality acceptable to the City of Santa Ana. The criteria for acceptance shall be a product of neat appearance, well organized, technically and grarnmatically correct, checked, and dated and having the maker and checker identified. 5. The Consultant shall have quality control procedures in effect during the entire time work is being performed under the Agreement. The quality control procedures shall establish a process which includes checking processes for PS &E preparation, an independent constructability review, correcting and back checking procedures, and all job related correspondence and memoranda dated and received by affected persons and then bound in appropriate job files. The City of Santa Ana reserves the right to request proof of said documentation. 6. The Consultant's work and all records shall be subject to inspections by representatives of the City of Santa Ana and any funding agency requirements or audits if requested. Consultant certifies that it shall comply with the following regulations where applicable or others required by State or Federal Law, including, but not limited to the following: a. Audit Records - With respect to all matters covered by this agreement all records shall be made available for audit and inspection by the City, the grant agency and /or their duly authorized representatives for a period of four (4) years from the termination of this Agreement. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant shall preserve and maintain all documents, papers and records relevant to the services provided in accordance with this Agreement, including the Attachments hereto. For the same time period, Consultant shall make said documents, papers and records available to City and/or any other agency from which City received additional grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours. City of Santa Ana Scope of Work Page 4 25M -404 b. Information - Consultant shall provide to City all records and information requested by City for inclusion in quarterly reports and such other reports or records as City may be required to provide to the agency from which City received grant funds or other persons or agencies. d. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable and the related guidelines that may be more recent. e. Political Activity - None of the funds, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to farther the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act ". f. Civil Rights Compliance and Notification of Findings - Consultant, and all its contractors (or sub - recipients) will comply, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789 (d), or Victims of Crime Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title II of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; Department of Justice Non - Discrimination Regulations, 28 CFR Part 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the event a Federal or State court, Federal or State administrative agency, or the Consultant makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Consultant will forward a copy of the findings to the City which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Department of Justice. g. Equal Employment Opportunity - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable. h. Patent - Consultant agrees that the funding agency shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with funding through this Agreement. n. Copyright - Consultant may copyright any books, publications or other copyrightable materials developed in the course of or under this Agreement. However, the City reserves a royalty -free, non - exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use the above items as deemed necessary for the City's purpose: i. the copyright in any work developed through this Agreement; and ii. any rights of copyright to which the subcontractor purchases ownership with support through any grants if utilized. The City's rights identified above must be conveyed to the City of Santa Ana Scope of Work Page 5 25M -405 publisher and the language of the publisher's release form must ensure the preservation of these rights. IV. CITY RESPONSIBILITIES The City will provide the following: • All plan check coordination within the City • Sample boiler plate specifications to be utilized • Sample plans & City of Santa Ana's CADD Standards • Electronic files for title sheets and sheet borders City of Santa Ana Scope of Work Page 6 25M -406 i ATTACHMENT C Sample Task Order CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES As part of their proposal in response to RFP 14 -037B, the Consultant provided a Sample Task Order scope of work. This Sample Task Order included the following to provide a privacy wall design, minimum level of geotechnical /soils report, survey work, plans, specifications, and estimates: Hours by staffing level & category (provided in the Excel Spreadsheet* provided), Total Fee (in the Excel Spreadsheet provided), Most responsive schedule deemed feasible, As part of this Sample Task Order, a narrative scope of work was also provided with the following subtasks: o Project Kick - off /Meetings o Survey o Geotechnical Materials Testing & Soils Report o Privacy Wall Design Plans o Specifications o Engineer's Estimate o As -Built Plans The sample wall length was for an 800 LF for a privacy wall height varying from 10 -16 feet of exposed height where private property (homes) would abut the one side of the wall and public right -of -way would abut the other side of the wall. In a separate one -page narrative scope of work and project approach was provided for all tasks necessary to provide this privacy wall Sample PS &E Task Order project. Any additional standard plans proposed to be used for this design or other approaches necessary to address the parameters indicated herein were also included. For the plan and profile sheets, inclusive of any detail sheets /notes and the scale shall be at 20 -scale and conform to all requirements detailed in this RFP, the City's Standard plans and /or other recommended standard plans that the consultant may recommend. *Note: Prevailing wages may apply to this work. City of Santa Ana Scope of Work Page 7 25M -407 EXHIBIT B FEE PROPOSAL, including hourly rates (from separately sealed envelope included with Consultant Proposal) Attachment C Information 25M -408 Sample Project - Privacy Wall Design (800 LF) Deliverables, Test or Services Project Kick - off /Meetings Principal Engineer Project Manager Project Engineer Survev Two person survey crew* Project Surveyor Geotechnical & Soils Report Materials Testing (equipment and lab fees) Geotechnical Engineer (Licensed) Assistant Geotechnical Engineer Privacy Wall Design /CADD Plans Project Manager Project Engineer Design Engineer CADD person Specifications Project Manager Project Engineer Design Engineer Engineer's Estimate Project Manager Project Engineer Design Engineer As -Built Plans Hours Hourly Rate Total 2 $ 280 $ 560 10 $ 190 $ 1,900 10 $ 160 $ 1,600 8 $ 275 $ 2,200 16 $ 145 $ 2,320 $ 5,000 20 $ 165 $ 3,300 40 $ 137 $ 5,480 8 $ 190 $ 1,520 20 $ 160 $ 3,200 60 $ 115 $ 6,900 40 $ 120 $ 4,800 2 $ 190 $ 380 12 $ 160 $ 1,920 8 $ 115 $ 920 2 $ 190 $ 380 8 $ 160 $ 1,280 12 $ 115 $ 1,380 Project Engineer 4 $ Draftsperson 8 $ Total 268 *Some positions /work tasks will be subject to prevailing wages. 160 $ 640 120 $ 960 $ 46,640 Note: The listing of the specific positions above is not intended to mean that each position listed will necessarily have hours included in the above. The positions simply represent the types of positions that might be utilized for each subtask to streamline the City's review of this information. Please utilize the categories listed to the extent possible. 25M -409 EXHIBIT A MARK TIIOMAS & COMPANY, INC. CHARGE RATE SCHEDULE "I -1" Expires August 31, 2015 HOURLY CHARGE RATES PROFESSIONAL AND OFFICE Principal $ 280.00 per hour Structural Manager 265.00 per hour Engineering Manager 240.00 per hour Senior Project Manager 215.00 per hour Survey Manager 195.00 per hour Project Manager 190.00 per hour Senior Project Engineer 175.00 per hour Project Engineer 160.00 per hour Senior Design Engineer 150.00 per hour Design Engineer 115.00 per hour Land Surveyor 180.00 per hour Project Surveyor 145.00 per hour Engineering /Survey /CADD Technician 120.00 per hour Inspector 115.00 per hour Technical Writer 95.00 per hour Design (Tech Assistant) 65.00 per hour Survey (Tech Assistant) 65.00 per hour Administrative 80.00 per hour FIELD Single Chief without Equipment $ 115.00 per hour Single Chief with Equipment 165.00 per hour Single Chainman 92.00 per hour 2 Person Field Party and Vehicle 275.00 per hour 3 Person Field Party and Vehicle 350.00 per hour SPECIAL SERVICES Expert Witness $ 375.00 per hour Strategic Consulting (Principal) 375.00 per hour OTHER DIRECT COSTS Reimbursables including, but not limited to: Printing and Materials, Filing Fees, and Field Expenses -Cost plus 5% Outside Consultant Fees -Cost plus 5% 25M -410 A► SURVEYIl G, INC. 15031 PARKWAY LOOP SUITE B. TUSTIN CA 92780 -6527 714) 918 -6266 FAX (714) 918 -6277 January 1, 2015 to December 31, 2015 SCHEDULE OF CURRENT HOURLY RATES FOR SERVICES PERFORMED BY OUR COMPANY Project Management $188.00 Project Surveyor 160.00 Survey Technician 124.00 Clerical and Delivery Service 70.00 2 Person Survey Party w /Equipment 288.00 3 Person Survey Party w /Equipment 372.00 GPS Receivers (minimum of three) - $100.00 /day /receiver Monuments, prints, photocopies, research materials, and other incidental or special supplies. 25M -411 AT COST D I A Z • Y O U R M A N & ASSOCIATES DIAZ•YOURMAN & ASSOCIATES Schedule of Charges - 2015 i " 5"VA'eb'iL Professional Services StaffI ............................................................... ....... ... .......................................................... $118.00 /hour StaffII ............................................................................ ............................... .........................135.00 /hour Project1 .............................................................. .................................................................... 150.00 /hour Project11 .......................................... ................................... . ................................................... 165.00 /hour AssociateI .......................................................................... ............................... ....................199.00 /hour AssociateII .................................................................... ............................... .........................213.00 /hour Principal.................................................................................................. ............................... 238.00 /hour Support Services ............................... 90.00 /day CADD / Clerical ........................................................................................... ............................... 80.00/hour Technical Editing/Word Processing .................................... ............................... ....................118.00 /hour Technician......................................................................... ............................... ....................118.00 /hour Prevailing Wage Field Services Week Days (6 am to 5 pm) ......................................................... ..... ...................................... 137.00 /hour Weekday Overtime (first 4 hours) ....................................... ............................... ....................165.00 /hour Week Nights (5 pm to 6 am), Saturdays (0 to 12 hours) .... ............................... ....................165.00 /hour Sundays, Holidays, Other Overtime .................................... ............................... ....................192.00 /hour Equipment FieldTruck ........................................... .................................................................................... 17.00 /hour Mileage.................................................................... ............................... ............................IRS Rate /mile NuclearGauge ........................................................................................... ............................... 90.00 /day Manometer................................................................................................. ............................... 53.00 /day SlopeInclinometer ..................................................................................... ............................... 58.00 /day CoringMachine ........................................................................................ ............................... 210.00 /day Other Equipment.. ................................. Separate Schedule Outside direct costs such as subconsultants, equipment rental, outside services, printing, copying, travel, and subsistence............................................................................................. ............................... Cost + 15% For non prevailing wage field services provided by a staff engineer during night time (7 pm to 7 am) a $160 surcharge/ per night and a minimum per visit charge of 4 hours will apply. Contract personnel may be charged at the hourly rates listed above. Travel time will be charged at regular hourly rates. Appearances as a witness (including depositions and court appearances) will be charged at a rate of $400 /hour plus expenses, with a minimum daily charge of 4 hours. Preparation will be charged at regular hourly rates. These rates are subject to a minimum 3 percent escalation for services provided in subsequent years. Invoices are due upon receipt and are past due 30 days after the invoice date. A finance charge of 1.5 percent per month, or the maximum allowed by law, will be charged on past due invoices. Diaz•Yourman & Associates makes no warranty, either express or implied, to its statements, conclusions, findings, recommendations or specifications except that they are prepared and presented in accordance with generally accepted standard of care. T 1616 EAST 17th STREET, SANTA ANA, CA2W_9VtZ09 TEL (714) 245 -2920 FAX (714) 245 -2950 Hartzog & Crabill Consulting Engineers Schedule of Hourly Rates Classification Hourly Rates Expert Witness / Deposition .............. ............................... Litigation Consultation ...................... ............................... Two - Person Survey Crew ................. ............................... Litigation Field Evaluation ................ ............................... Principal Consultant .......................... ............................... Project Manager ................................ ............................... Registered Land Surveyor ........................... Senior Engineer ............ ............................... Storm Water Permit Compliance Engineer Associate Engineer..... Construction Manager ...... $260 ...... $232 ...... $232 ...... $207 ....... $160 ...... $150 ... I... $145 Traffic Signal System Supervisor ................................................. ............................... $135 $135 $130 $125 $125 MuralArtist ................................................................................... ............................... $125 SeniorDesigner ............................................................................. ............................... $120 Traffic Signal Systems Specialist .................................................. ............................... $115 AssistantEngineer ......................................................................... ............................... $110 Draftsperson................................................................................... ............................... $ 93 Technician...................................................................................... ............................... $ 78 WordProcessor .............................................................................. ............................... $ 62 Clerical........................................................................................... ............................... $ 52 * Traffic Counts (Cost, plus 10%) ............................................. ............................... $ * Note: Out of pocket expenses (blueprinting, reproduction, printing and delivery service) will be invoiced at Cost. These other direct costs are included in the not -to- exceed values for the aforementioned scope of services. A 10% fee for administration, coordination and handling will be added to subcontracted services. This Schedule of Hourly Rates is effective as of July 1, 2014. Rates may be adjusted after that date to compensate for increases of inflationary trends. Mileage shall be per current IRS rate (rate can be found at the following link: httl)://www.irs.gov/newsrooin/article/O,,id=232017,00.htm ). 17852 E. 17'' Street, Suite 101, • Tustin, CA 92780 • (714) 731 -9455 25M -413 IBI Group Rate Sheet Effective July 1, 2015 to June 30, 2016 Other Direct Costs Item , Labor Category Fully Loaded Hourly Rate David Chow P E., AICP Principal -in- Charge $345.23 Lydia La Point, PE, LEED AP Senior Transportation Engineer $149.28 William Delo, AICP Principal Transportation Planner $242.24 Christina de Freitas Senior Transportation Planner $130.22 Cathy Chea Assistant Transportation Planner $75.71 Karen Su'ata Assistant Transportation Planner $60.50 Yonathan Esquivel Assistant Transportation Planner $60.50 Jeanette Kwok Graphic Designer $85.50 Other Direct Costs Item , -Cost Mileage $0.575 /mile Color Prints $0.10/page B &W Prints $0.02 /pa e Courier/Postage At cost Outsourced Reproduction At cost 25M -414 1H W7N I� H W F z a /H 11 po W t F O a �d x u H U O � N a y 4N '6A 0 U y b9 W b4 � �pqy uiA� o�p? u bp fi/l Y .4 '69'b 'G p o P4 y -i e .c o 0 0 ca ro 8 '7a 7 U W y ¢ri a U� 6 G •^ N o 0 ti v r4' -�a a " w a¢v�ww W4 dw U p •u U �FU U W G _ N W w y U U� fL 0..ro y uN V] R ub.c b0 a¢�n a a w�,oxoo3w 25M -415 C O Qj O U �tl O N coo � O � y O a 0 0 � 4 � pp � N a U p U N 7 3 rp. qo o � �ro wa d T 00 b ° bo � 5 � O 7 N 0 0 � o m d 7 a d Nu bu " c 3 5 v o 0 � u o y 3 w N y F N TO. T ° O Hx 0 vt 0 LEA ASSOCIATES, INC. USA IN -HOUSE DIRECT EXPENSES JUNE 2015 htt p:// inLr aneL. Isacorp .intemataccounting/contract.docx a06 /15 /t5n 25M -416 Unit Cost Reproduction (8.5 x 11) B/W $.07 per page Reproduction (8.5 x I1) Color $.40 per page Reproduction (11 x 17) B/W $.10 per page Reproduction (11 x 17) Color $.75 per page CD Production $5.00 per CD Plotting $3.75 per sf Mileage On Road $.575 per mile Mileage Off -Road $.725 per mile GPS Unit $75.00 per day Total Station Surveying Instrument $50.00 per day Level (Laser or Optical) $25.00 per day Laser Rangefinder $25.00 per day Sound Meter $75.00 per day Aerial Photo Cost Boat Rental $125.00 /day Water Quality Meter $25.00 /day htt p:// inLr aneL. Isacorp .intemataccounting/contract.docx a06 /15 /t5n 25M -416 Sample Proiect - Privacv Wall Desian (800 LF Deliverables, Test or Services Hours Hourly Rate Proiect Kick - off /Meetings Principal Engineer 2 $ 280 $ Project Manager 10 $ 190 $ Project Engineer 10 $ 160 $ Survev Two person survey crew* 8 $ 275 $ Project Surveyor 16 $ 145 $ Geotechnical & Soils Report Materials Testing (equipment and lab fees) $ Geotechnical Engineer (Licensed) 20 $ 165 $ Assistant Geotechnical Engineer 40 $ 137 $ Privacy Wall Design /CADD Plans Project Manager 8 $ 190 $ Project Engineer 20 $ 160 $ Design Engineer 60 $ 115 $ CADD person 40 $ 120 $ Specifications Project Manager 2 $ 190 $ Project Engineer 12 $ 160 $ Design Engineer 8 $ 115 $ Engineer's Estimate Project Manager 2 $ 190 $ Project Engineer 8 $ 160 $ Design Engineer 12 $ 115 $ As -Built Plans Project Engineer 4 $ 160 $ Draftsperson 8 $ 120 $ Total 268 *Some positions /work tasks will be subject to prevailing wages. Total 560 1,900 1,600 2,200 2,320 5,000 3,300 5,480 1,520 3,200 6,900 4,800 380 1,920 920 380 1,280 1,380 640 960 46,640 Note: The listing of the specific positions above is not intended to mean that each position listed will necessarily have hours included in the above. The positions simply represent the types of positions that might be utilized for each subtask to streamline the City's review of this information. Please utilize the categories listed to the extent possible. 25M -417 ® CITY OF SANTA ANA On -Call EEnnglneeriin Services - Part B RFP 14 -0378 SICOPF or, y SCOPE WORK ITEMS .................................................................................................... ............................... R The following anticipated scope of work for the sample Provacy Wall project correlates to the technical P approach and management approach described in the previous sections of this proposal. ! TASK 1: PROJECT MANAGEMENT/MEETINGS ! MTGo's Project Manager will take the lead in coordinating all project activities, including monthly Meetings, including an initial kick -off meeting with the involved City of Santa Ana Staff. The meetings will ! be coordinated with the design submittal schedule to discuss any City comments and resolve any design ! issues. Meeting minutes will be prepared and sent to City for review /approval within five work days. ! Task 1 Deliverables: MTCo will schedule, attend, and conduct a Kick -Off meeting with the City to review execution. MTCo will schedule, attend, and conduct monthly meetings with the City throughout the performance of i the services. Three meetings are expected after the 65 %, 95 %, and 100% milestones, TASK 2: PROJECT DATA GATHERING MTCo will gather all relevant existing data, collect supplemental field topo and geotechnical information for the design of the wall footing. This task shall include the following tasks and deliverables: Task 2 Deliverables; MTCo will attend one field coordination meeting with the City of Santa Ana staff. MTCo will collect the property data, utility records and as- builts for the roadway to reference in the development of the design. • MTCo will use readily available georeferenced aerials topo, provided by the City or gathered from commercially available sources such as Google earth, for the background of the layout plans. • MTCo will conduct field survey for the project site to obtain elevation controls for the design of the wall profile. Survey shall be at the wall layout line and also at a 5 and 10 foot offset on both sides of the proposed wall layout line. • Diaz Yourman and Associates shall conduct geotechnical borings three at the proposed wall locationsand prepare a Geotechnical Design Report to provide MTCo with the recommended footing design. TASK 3 PLANS, SPECIFICATIONS AND ESTIMATE (PS &E) Plans: Final Plans will be completed to allow for bidability and constructability of the Project. The format of the plans will follow the City of Santa Ana CADD (Microstation V8i) and design standards. The proposed height (16 feet max.) of the perimeter wall does not allow the use of the City's wall standards, in this case a standard wall per Caltrans standard plans can be applied with the City's approval, this will avoid the design of a custom wall type for this project. Anticipated sheets include the following; title sheet, quantities, and typical section (1), Plan and Profile (1 " =20') (3), construction details (1). Total of five sheets anticipated. Specifications: Technical specifications will be developed using the City of Santa Ana's most recent street improvements provisions modified for this project and boilerplate specs provided by the City of Santa Ana, Engineer's Cost Estimate: MTCo will prepare the Engineer's Cast Estimate for the quantities anticipated at each milestone of the design phase, Igs 3 Deliverables,' • 65 %, 95% and 100% PS &E Submittals • As -built plan revisions after construction has been completed. oMARK THOMAS & COMPANY 25M -418 ® N ■ CITY OF SANTA ANA —.- On-Call Engineering Services - Part B RFP 14 -0376 SCHEDULE ...................................................................................................... ............................... The project schedule developed for the Privacy Walls Design project reflects the approach and the scope of work detailed in the previous sections as well as assumed review period durations by the City of Santa Ana. Our previous experience with similar projects demonstrated that the design can be completed in 11 weeks from NTP. Task Name (Duration , tart ^W� Pinish 8/5/15 i Task 2.3 Geotechnical Investigation and Report 3 wks Wed Notice to Proceed 1 day Tue 8/4/15 Tue 8/4/15 Task 1. Project Management 11 wks Wed 8/5/15 Tue 10/20/15 Task 2. Existing Data Gathering 15 days Wed WAS Tue 8/25115 Task 2.1 Research Utility anti as -built records 2 wks Wed 8/5/15 Tue 8/18/15 Task 2.2 Design Survey and ROW Mapping 2 Wks Wed 8/5/15 Tue 8/18/15 Task 2.3 Geotechnical Investigation and Report 3 wks Wed 8/5/15 Tue 8/25/15 - Task 3. Plans, Specifications and Estimate 45 days Wed 8/19/15 Tue 10/20/15 Task 3.1- 65 %PS &E 2wks Wed 8 /19/15 Tue 9/1/15 65% City review 2wks Wed 9/2/15 Tue 9/15/15 Task 3.2- 95 %PS &E 1wk Wed 9 /16/15 Tue 9 /22/15 95% City Review 2 wks Wed 9/23/15 Tue 10/6/15 Task 3.3 -100% PS &E i wk Wed 10/7/15 rue 10/13/15 Final City Review 1 wk Wed 10/14/15 Tue 10/20/15 MARK THOMAS K COMPANY 25M-419 01 tt N CITY OF SANTA ANA — On -Call Engineering Services - Part B RFP 14.0376 l �^ n DEMONSTRATED VALUE .................................................................................................... ............................... Below is staff hours estimate to complete the sample task order. Sample P'roiect - Privan�r Wal! Design (800 L�) Deliverables, Test or Services Hours Project Kick- off /Meetings Principal Engineer 2 Project Manager 10 Project Engineer 10 Survey Two person survey crew* g Project Surveyor 16 Geotechnical & Soils Report Materials "resting (equipment and lab fees) Geotechnical Engineer (Licensed) 20 Assistant Geotechnical Engineer 40 Privacy Wall Design /CARD Plans Project Manager g Project Engineer 20 Design Engineer 60 CADD person 40 Specifications Project Manager 2 Project Engineer 12 Design Engineer g Engineer's Estimate Project Manager 2 Project Engineer g Design Engineer 12 As -Built Plans Project Engineer 4 Draftsperson g Total 268 *Some positions /work tasks will be subject to prevailing wages. Jate: The listing of the specific positions above is not intended to mean that each position sted will necessarily have hours included in the above. The positions simply represent the Ypes of positions that might be utilized for each subtask to streamline the City's review of this formation. Please utilize the categories listed to the extent possible. MARK THOMAS & COMPANY 25M -420 w N 0 ■ CITY OF SANTA ANA On -Call Engineering Services-Part B RFP 14 -0376 DEMONSTRATED VALUE Below is staff hours estimate to complete the sample task order. 11 im Deliverables, Test or Services Project Kick - off /Meetings Principal Engineer Project Manager Project Engineer Survey Two person survey crew* Project Surveyor Geotechnical & Soils Report Materials Testing (equipment and lab fees) Geotechnical Engineer (Licensed) Assistant Geotechnical Engineer Privacy Wall Desion/CADD Plans Project Manager Project Engineer Design Engineer CARD person Specifications Project Manager Project Engineer Design Engineer Engineer's Estimate Project Manager Project Engineer Design Engineer AS -BUilt Plans Project Engineer Hours 2 10 10 I 20 40 8 20 60 40 2 12 8 2 8 12 I Total 268 *Some positions /work tasks will be subject to prevailing wages. Note: The listing of the specific positions above is not intended to mean that each position listed will necessarily have hours included in the above. The positions simply represent the types of positions that might be utilized for each subtask to streamline the City's review of this information. Please utilize the categories listed to the extent possible. MARX THOMAS & taMPANY - 25M-4 EXHIBIT C CERTIFICATIONS C -1 through C -3 25M -422 CITY OF SANTA ANA On -Call Enjineerinq Services. Part 8 RFP 14.0378 CERTIFICATIONS , 25M -423 ARK THOMAS Y ;Prrniding Engineering, Surveying & Planning Services APPENDIX ATTACHMENT 3 -1: NON - COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES — PART B REP NO.: 14-037B NON- COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Connect Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS mu rvaarea in accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares drat the bid Ilab ut Creek is not made in the interest of. or on behalf o£ any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not Collusive or sham; that die 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 indircedy, 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 ane; and, further, that the BIDDER has not, directly or indirectly, submitted his or tier bid price or any breakdown thereof, or the contents thereof, or divulged inforniation or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depositary, or to any member or agent thereof to effectuate a collusive or sham bid. Note: Tie ab n- collusion Affidavit is pail of the Proposal. Signing this Proposal on the signature portion thereof s I a eon ihit, sign rc f this Non - collision Affidavit. BIDDERS are cautioned that making a false certific,U n wee the certizr criminal prosecution. Signed State of California County of dI'l t Subscribed and sworn to (or affirmed) before me an this day of un� by M �,, i�4' 1l)f h,,W4 proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. 0 L 114111111"P11 LAM HARNEY Cafirifflikullon 7, t Notary Public - Net, Public S�igaawc Notary Public Send flacirams"to county t , , Mark Thomas & Company Inc. 16795 Von Karmon Avenue, Suile 200, Irvine, CA 92606 www.rnarkthornos.com (949[477-9000 fox: 19491477-4102 25M -424 0 111 ■ CITY OF SANTA ANA On -Call Engineering Services -Part B RFP 14 -0378 APPENDIX ATTACHMENT 3 -2; NON - LOBBYING CERTIFICATION CERTIFTC'ATION.0% CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES — PART B RFP NO.: 14 -037B 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 Ends other than federal appropriated finds 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 malting 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 lie or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firm Marl<Thomas & Signed and Printed Name: Title President Date June 1$, 2015 Robert A. Himes MARK THOMAS d COMPANY On -Call En Services - Part B RF � tneerin P 14 -0376 n i s CITY OF SANTA ANA .`. - APPENDIX AT'T'ACHMENT 3 -3: NON- DISCRIMINATION CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES - PART B RFP NO.: 14 -0375 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 riot be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2< The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 1 The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided, advising the said labor union or workers' representatives of the Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of ire 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 maybe canceled, terminated, or suspended in whole or in part and the Consultant may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, oMARK THOMAS g COMPANY n _ _ w ■ CITY OF SANTA ANA On -Call Engineering Services - Part B RFP 14 -0376 regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect die interests of the United States. B. 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 'o ' ed in Section 1420, and any consultant of public works violating this Section is subject to all the pen 'n os d for a vi a ion of the Clrapter. Signed: Title: President Fit Mark Thomas & Company, Inc. Date: June 18, 2015 'ARK THOMAS & COMPANY EXHIBIT D ADDITIONAL PROVISIONS The following documents in reference to the on -call engineering services hereunder are hereby on file with the City of Santa Ana's Public Works Agency and are hereby incorporated by reference: • Request for Qualificatons (RFQ) — RFQ No. 14 -037 • Statement of Qualifications (SOQ) — In response to RFQ No. 14 -037 • Request for Proposal (RFP) — RFP No. 14 -037B • Proposal —In response to RFP No. 14 -037B 25M -428 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 5th day of August, 2015 by and between VA Consulting, Inc., (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of On -Call Engineering Services to provide engineering services on an as- needed basis. Engineering services may include but are not limited to, civil engineering, electrical engineering, traffic engineering, geotechnical, land /property surveying, structural, storm drain, water or sewer line - related engineering, architecture and landscaping design services and grant writing services. Environmental and/or planning support services may also be requested. Prior to issuing a Task Order, the City may request a detailed Scope of Work, for a specific project/task. If requested, the consultant would provide a task proposal, budget and schedule for the Task Order. From this, the City may choose which consultant to assign the project/task to pursuant to this Agreement. 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 those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed Two Hundred Fifty Thousand Dollars ($250,000) over the entire life of the Agreement, including any renewal period(s). 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. Exhibit 10 25M -429 Page I 1 C. Invoices should be submitted on the 15`b of each month and shall include the following information at a minimum: i. Consultant's invoice number and City's agreement number ii. Beginning and ending dates for services iii. City Project and/or Task Order number and/or name (if applicable) iv. Work site address /location (if applicable) V. Tasks or deliverables completed, and percentage ( %) of total services completed. vi. Remaining Overall and Task Order budget available 3. TERM This Agreement shall commence on the date first written above for a two (2) year term with the option for the City to grant up to two one -year renewal options exercisable 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 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection Page 12 25M -430 against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's 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. hi accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. (iv) Consultant shall supply City with a fully executed additional insured endorsement. 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. 25M -431 Page i 3 7. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), to any work performed or services provided under this Agreement arising out of, relating to or pertaining to the negligence, recklessness or willful misconduct of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the 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 Page 14 25M -432 disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 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 in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. 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: Fred Mousavipour, Executive Director of Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Fax: 714- 647-5635 Sonia R. Carvalho, City Attorney City Attorney's Office City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax: 714- 647 -6515 25M -433 Page i 5 To Consultant: Max P. Vahid, PE President and CEO VA Consulting, Inc. 46 Discovery, Suite 250 Irvine, CA 92618 Fax: 949 - 261 -8482 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. 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 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 aclmowledges 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 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 the City upon thirty (30) days written Page 16 25M -434 notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 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. MISCELLANEOUS PROVISIONS a. Additional provisions, if any are identified as Additional Provisions, Exhibit D, attached hereto and incorporated into this Agreement by Page 17 25M -435 reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. 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: Maria D. Huizar Clerk of the Council SONIA R. CARVALHO City Attorney B' and val C ' of sistant City Attome RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director Public Works Agency 25M -436 CITY OF SANTA ANA David Cavazos City Manager CONSULTANT: (name) (title) Tax ID# Page 18 EXHIBIT A SCOPE OF SERVICES 25M -437 iW owl :i SCOPE OF SERVICES CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES I. DESCRIPTION OF WORK The City of Santa Ana (City) solicited proposals from professional consulting firms (Consultant) to provide engineering services on an on -call, as- needed basis. Engineering services may include civil engineering, electrical engineering, traffic engineering, geotechnical, land/property surveying, structural, storm drain, water or sewer line- related engineering, architecture and landscaping design services and grant writing services. Environmental and/or planning support services may also be requested. The City may need consultant services for survey, mapping and legal description preparation, construction management, staking and inspection or occasionally request mechanical, electrical and/or structural services. The work, in general, consists of general engineering design projects on arterial and local streets, bike paths, and public parks, citywide. The types of work efforts may include: • Underground utility design/modifications; sidewalks, bike paths, curb and gutter replacement; slung seal of residential streets; repair and overlay of asphalt concrete and/or PCC streets; signing, striping, neighborhood traffic studies, traffic signal modifications; landscaping and irrigation systems; park and recreational design, grant application writing, building or facility work, other broader studies, and other related projects as required. • Amore detailed Scope of Work will be provided when /if a specific projector Task Order proposal is requested of a consultant. Funding sources will not include any state or federal funding. Projects for each project/task order shall generally include local funds. Each project/task order assignment shall comply with any and all agency funding requirements. The Sample Task Order was submitted with the proposal inclusive of the hours, hourly rate and totals in Attachment C for the qualifications and value -based RFP . Note, state prevailing wage requirements shall apply to work as required, and including but not limited to, survey and materials testing work, and per the below link: httl)://www.dir.ca.gov/publie-wort,s/nublieworks,html) Consultants and subconsultants completing any element of or type of work within projects /task orders that is subject to compliance monitoring and enforcement by the State of California Department of Industrial Relations, per Section 1771.4.a.l., shall inform themselves fully of conditions relating to construction and labor law under which any work will be performed. Any consulting contract entered into pursuant to this notice shall incorporate the provisions of the California State Labor Code wherever they may apply and all fees shall be inclusive of or exceed these requirements. City of Santa Ana Scope of Work Page 1 25M -438 The Consultant shall be able to assist the City through this contract to provide the necessary services. The Consultant shall utilize in -house staff and/or sub - consultants to complete the assignments to meet the City standards. For specialized work for which the prime consultant shall require a sub - consultant, the prime consultant shall serve as an administrative liaison between the City and the sub - consultant. The prime Consultant marls -up for sub - consultants shall not exceed 10 %. II. PROPOSED SCOPE OF SERVICES In general, the Consultant shall perform above noted engineering design services resulting in contract documents (plans, specifications and cost estimates "PS &E ") for various projects on an as- needed basis. However, work tasks may include studies or a variety of engineering or other tasks. If requested by the City, the Consultant shall provide a Work Plan which includes a detailed schedule of the assigned project prior to the issuance of Notice to Proceed of that particular project and/or Task Order. Specific Task Orders with Notices to Proceed ( "NTPs ") will be provided for project(s) at the discretion of the City. Work required per Task Order shall comply with the Scope of Services and additional provisions in each Task Order and this agreement. The Consultant shall also provide all field survey work required as appropriate and shall have the necessary experience and required civil, traffic, electrical, structural, geotechnical, surveying, landscape architect and architectural licenses for those in responsible- charge of the work being completed. The Consultant's services for PS &E engineering project preparation shall include, but not be limited to, the following: 1. Research existing records of utility companies and agencies and coordinate the proposed improvements with existing field conditions. 2. Provide all field survey and topographic work necessary to complete the design effort. Design level survey and base mapping of the project site shall be prepared in US Customary English units by a California licensed Land Surveyor in accordance with the City guidelines and in Microstation V8i Computer Aided Design and Drafting (CADD) format. The horizontal datum shall be NAD 83 and the vertical datum shall be NAVD 88. All survey field notes shall be on forms provided by the City, shall be neatly completed in pencil, and shall become property of the City upon completion of the project. Informal field investigations including marking of removal areas may be required for some of the sidewalk, curb and gutter, and pavement replacement projects. 3. Complete the design of projects including plans, specifications, and engineer's construction cost estimate. The Consultant shall contact manufacturers and /or contractors to verify the engineer's estimate prior to submitting to the City. Specifications shall be prepared in Microsoft Word and an electronic copy of the final version shall be furnished to the City. The City will provide the specification boiler plate to the Consultant. 4. If requested, all preliminary and bid sets of plans shall be plotted on bond or velum using the Microstation V8i CADD program. All drawings shall be completed per the City of Santa Ana CADD Standards. For interim submittals, the City may opt to receive only PDF versions of the plans for reviewing purposes. If so, the Consultant team will provided plans and /or specifications accordingly. City of Santa Ana Scope of Work Page 2 25M -439 5. All original plan sheets, the title sheet of the specifications, calculations, and reports shall be signed and stamped by the Consultant's licensed professional engineer responsible /in- charge of the project. These signed originals shall then become the property of the City. 6. If apart of the on -call project scope, the Consultant shall provide support services during the bidding and construction phases of the project on an as needed basis, including, but not limited to: A. The Consultant shall respond to bidder inquiries during the bidding process, including preparation of any addenda. Following award of the construction contract, the Consultant shall attend the pre- construction meeting. B. The Consultant shall review and approve all submittals and shop plan drawings required supporting the construction contract. The Consultant shall complete shop drawings reviews within two (2) weeks of receipt. Contract Change Order reviews shall be completed within two (2) working days of receipt. C. The Consultant shall respond to written Requests for Information (RFI) to provide clarification or resolve discrepancies in the contract documents. Responses shall be completed within three (3) working days. D. The Consultant shall provide periodic field reviews and bring to the attention of the City of Santa Ana any defects or deficiencies in the work by the construction contractor which the Consultant may observe. The Consultant shall have no authority to issue instruction on behalf of the City of Santa Ana, or to deputize another to do so. 7. If included in the on -call project scope, upon completion of construction, the Consultant shall prepare as- builts and submit them to the City. The Consultant shall incorporate all changes to the plans electronically with all necessary revision notations. Once plans have been updated, a signed set of as -built mylars shall be submitted to the City with an electronic copy (in Microstation V8i CADD and pdf formats) of the final as -built drawings via CD or e -mail. 8. If included in the on -call project scope, the Consultant shall monitor the project progress, maintain project files, and control the quality of the work performed by in -house staff and /or sub - consultants. Incomplete (not meeting targeted completion) or poor quality work will not be accepted. The Consultant shall revise the documents within a revised schedule set by the City, which may require overtime. No additional compensation necessary for the consultant to complete this work to the satisfaction of the City shall be approved by the City for the required revisions. It is the responsibility of the Consultant to produce a professional -level quality of work product. 9. If included in the on -call project scope, attend meetings with the City staff as required. 10. If included in the on -call project scope, the Consultant shall coordinate plan check, design topics, permits and any other issues with the City, other Agencies, and all utility companies as required. At the direction of the City, the Consultant shall be the liaison with affected agencies. 11. If included in the on -call project scope, the Consultant shall be responsible for reviewing and approving addenda and clarifications to plans and specifications. City of Santa Ana Scope of Work Page 3 25M -440 III. GENERAL REQUIREMENTS 1. All work shall be performed in conformance with the latest City of Santa Ana policies, procedures and standards, and applicable, regulatory, state and federal requirements, where they may also apply despite the focus on local funding. 2. Consultant shall carry out the instructions received from the City of Santa Ana and shall cooperate with the City of Santa Ana and any other involved agencies. 3. The Consultant shall have complete responsibility for the accuracy and completeness of all documents and plans prepared and shall check all such materials accordingly. The plans will be reviewed by the City of Santa Ana for conformity with the requirements of the Agreement. Reviews by the City of Santa Ana do NOT include detailed review or checking of design or the accuracy with which such designs are depicted in the documents and the plans. The responsibility for accuracy and completeness of such items remains solely that of Consultant. 4. The documents and plans furnished under the Agreement shall be of a quality acceptable to the City of Santa Ana. The criteria for acceptance shall be a product of neat appearance, well organized, technically and grammatically correct, checked, and dated and having the maker and checker identified. 5. The Consultant shall have quality control procedures in effect during the entire time work is being performed under the Agreement. The quality control procedures shall establish a process which includes checking processes for PS &E preparation, an independent constructability review, correcting and back checking procedures, and all job related correspondence and memoranda dated and received by affected persons and then bound in appropriate job files. The City of Santa Ana reserves the right to request proof of said documentation. 6. The Consultant's work and all records shall be subject to inspections by representatives of the City of Santa Ana and any funding agency requirements or audits if requested. Consultant certifies that it shall comply with the following regulations where applicable or others required by State or Federal Law, including, but not limited to the following: a. Audit Records - With respect to all matters covered by this agreement all records shall be made available for audit and 'inspection by the City, the grant agency and/or their duly authorized representatives for a period of four (4) years from the termination of this Agreement. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant shall preserve and maintain all documents, papers and records relevant to the services provided in accordance with this Agreement, including the Attachments hereto. For the same time period, Consultant shall make said documents, papers and records available to City and /or any other agency from which City received additional grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours. City of Santa Ana Scope of Work Page 4 25M -441 b. Information - Consultant shall provide to City all records and information requested by City for inclusion in quarterly reports and such other reports or records as City may be required to provide to the agency from which City received grant fiords or other persons or agencies. d. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable and the related guidelines that may be more recent. e. Political Activity - None of the funds, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act ". f. Civil Rights Compliance and Notification of Findings -Consultant, and all its contractors (or sub - recipients) will comply, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789 (d), or Victims of Crime Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title II of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; Department of Justice Non - Discrimination Regulations, 28 CFR Part 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the event a Federal or State court, Federal or State administrative agency, or the Consultant makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Consultant will forward a copy of the findings to the City which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Department of Justice. g. Equal Employment Opportunity - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable. h. Patent - Consultant agrees that the funding agency shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with funding through this Agreement. n. Copyright - Consultant may copyright any books, publications or other copyrightable materials developed in the course of or under this Agreement. However, the City reserves a royalty -free, non - exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use the above items as deemed necessary for the City's purpose: i. the copyright in any work developed through this Agreement; and ii. any rights of copyright to which the subcontractor purchases ownership with support through any grants if utilized. The City's rights identified above must be conveyed to the City of Santa Ana Scope of Work Page 5 25M -442 publisher and the language of the publisher's release form must ensure the preservation of these rights. IV. CITY RESPONSIBILITIES The City will provide the following: • All plan check coordination within the City • Sample boiler plate specifications to be utilized • Sample plans & City of Santa Ana's CADD Standards • Electronic files for title sheets and sheet borders City of Santa Ana Scope of Work Page 6 25M -443 ATTACHMENT C Sample Task Order CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES As part of their proposal in response to RFP 14 -0378, the Consultant provided a Sample Task Order scope of work. This Sample Task Order included the following to provide a privacy wall design, minimum level of geotechnical /soils report, survey work, plans, specifications, and estimates: Hours by staffing level & category (provided in the Excel Spreadsheet* provided), Total Fee (in the Excel Spreadsheet provided), Most responsive schedule deemed feasible, As part of this Sample Task Order, a narrative scope of work was also provided with the following subtasks: o Project Kick - off /Meetings o Survey o Geotechnical Materials Testing & Soils Report o Privacy Wall Design Plans o Specifications o Engineer's Estimate o As -Built Plans The sample wall length was for an 800 LF for a privacy wall height varying from 10 -16 feet of exposed height where private property (homes) would abut the one side of the wall and public right -of -way would abut the other side of the wall. In a separate one -page narrative scope of work and project approach was provided for all tasks necessary to provide this privacy wall Sample PS &E Task Order project. Any additional standard plans proposed to be used for this design or other approaches necessary to address the parameters indicated herein were also included. For the plan and profile sheets, inclusive of any detail sheets /notes and the scale shall be at 20 -scale and conform to all requirements detailed in this RFP, the City's Standard plans and /or other recommended standard plans that the consultant may recommend. *Note: Prevailing wages may apply to this work. City of Santa Ana Scope of Work Page 7 25M -444 EXHIBIT B FEE PROPOSAL, including hourly rates (from separately sealed envelope included with Consultant Proposal) Attachment C Information 25M -445 1 I J 25M -446 VA� CONSULTING 1 VA will prepare improvement plans including structural calculations for approximately 800 linear feet of proposed privacy wall with10' to 16' in exposed height on City of Santa Ana title block. If necessary, VA will coordinate with the landscape architect for any required special architectural design details. Discussed below is a description of each task of the proposed VA work plan: 1- Kick -Off Meeting _and Data Collection ` VA will schedule and attend a Kick -Off Meeting with City Staff to initiate the Project; establish lines of communication; establish design guidelines; discuss Project parameters and constraints. This task provides for the collection and review of information from the City including relevant Project geotechnical investigations for the area and as -built plans for existing wet and dry utilities in relation to the proposed improvements. The acquired information will be used to establish the horizontal and vertical layout of the wall and to avoid utility conflicts. 2- Field Survey and Mapping The survey will include the development of a topographic map with 1 -foot contour intervals and will identify significant planimetric features such as utilities, trees, setback from homes, private and public street improvements. VA will compile City Right -of -Way and easement information and establish horizontal and vertical control at the Project site in order to maintain the proposed privacy wall improvement plans within City right -of -way. IN 3- Geotechnical and Structural Analysis of Privacy Wall VA will perform the structural analysis of the freestanding reinforced concrete block wall based on the geotechnical recommendations and civil layout. The footing configuration will be tailored to site ' conditions with provisions for descending or level slopes and possible retention to maximize constructability and minimize installation cost. These configurations may include reinforced concrete spread footings, trench footings, or grade beam on caissons. The Structural analysis will be performed using standard structural design procedures for external stability and overall structural integrity. VA will use load resistance factor design methods to determine slab thickness and reinforcement for the reinforced concrete and masonry construction, Applied loads will include self weight, earth pressure, adjacent traffic surcharge and controlling seismic or wind loads. Design and construction criteria will be in accordance with the latest editions of the California Building Code, FHWA Bridge Design Specifications, and ACI 318. If there is no retention required, Caltrans Standard Plans 815 -1 thru B15 -6 for soundwalls can also be utilized for the Project. 4- Prepare Plans Specifications and Cost Estimates (PS &E) The privacy wall plan set will include a title sheet with general notes, material specifications, and design data, two detail sheets with construction notes, quantities, architectural details, and wall structural details, and two (2) wall plan and profile view sheets at a scale of T" =20'. The plans will identify wall horizontal locations, pilaster locations, with top of privacy wall and top of footing elevations on profiles as necessary. VA will submit the wall improvement plans and supporting structural calculations to the City for review and approval. Project specifications and bid documents will be prepared for each item of work included in the project based on City supplied "boilerplate" based on the latest edition of the Standard Specifications for Public Works Construction (Greenbook). Quantities and an engineer's opinion of probable construction cost will be prepared for all the contract bid items with back -up quantities and unit costs. The project specifications and cost estimate will be submitted in both hardcopyand electronic formats. ■I 5- Prepare Record Drawings (As- Builts �i VA will prepare "as- built" plans based upon redlines provided by the City inspectors and the contractor. Electronic Submittal of Project Drawing Files will be provided on CD disk. / CITY OF SANTA ANA p 1NEERING SERVICES CONI,:;M; 25M-447 U) U- 0 N U) ui 2 w CO 0 z E ui LU Z uj C) 0 25M-448 ro E �3 E E Lu E4 w C L 0 N 0 0 U) > 06 .6 E U) LL LL LL LL w N N m m M Ln 0 N t0 0 -a- w 0 a 0 m m 0 0 0 L2 2- 0. x Lu x Lu 25M-448 ro E �3 E E Lu w C L 0 N 0 0 U) > 06 .6 E U) 25M-448 ro E �3 I D j 0 25M -449 VPx CONSULTING V�CIAVL Sample Task Order (Excel Spreadsheet) CONSULTING Description of Consultant Hours Hourly Rate Deliverables, Test or Services Project Kick- offlMeetings Principal Engineer 2 $ 175 $ Registered Engineer 4 $ 140 $ Project Manager /Proj Coordinator 4 $ 150 $ Assistant Level Design Engineer $ 100 Survey Three person survey crew* Two person survey crew* 20 $ 158 $ Survey Crew* ([not Field /Office, Avg Rate) Geotechnical & Soils Report Materials Testing* $ Geotechnical Engineer (Licensed) 6 $ 150 $ Assistant Geotechnical Engineer 20 $ 100 $ Admin/Typist 2 $ 70 $ Privacy Wall Design /CADD Plans Principal Engineer 2 $ 175 $ Registered Engineer 32 $ 140 $ Project Manager /Proj Coordinator 8 $ 150 $ Assistant Level Design Engineer 32 $ 100 $ CADD person 16 $ 80 $ Adm in/Typist $ Specifications Principal Engineer 1 $ 175 $ Registered Engineer 12 $ 140 $ 25M -450 Total 350 560 600 3,160 2,500 900 2,000 140 350 4,480 1,200 3,200 1,280 175 1,680 X. A CONSULTING Project Manager /Proj Coordinator 2 $ 150 $ 300 Assistant Level Design Engineer $ Draftsperson $ - Adminfrypist 2 $ 70 $ 140 Engineer's Estimate Principal Engineer 1 $ 175 $ 175 Registered Engineer 2 $ 140 $ 280 Project Manager /Proj Coordinator 2 $ 150 $ 300 Assistant Level Design Engineer 6 $ 100 $ 600 Draftsperson 6 $ 80 $ - Admin/Typist $ - As -Built Plans Principal Engineer $ 175 $ Registered Engineer 2 $ 140 $ 280 Project Manager /Proj Coordinator 2 $ 150 $ 300 Assistant Level Design Engineer 4 $ 100 $ 400 Draftsperson 6 $ 80 $ 480 Admin/Typlst $ - Total 180 $ 2,868 $ 25,830 `Some positions /work tasks will be subject to prevailing wages. Note: The listing of the specific positions above is not intended to mean that each position listed will necessarily have hours included in the above. The positions simply represent the types of positions that might be utilized for each subtask to streamline the City's review of this information. Pease utilize the categories listed to the extent possible. 25M -451 VA CONSULTING, INC v�ENGINEERS• PLANNERS - SURVEYORS 46 Discovery, Suite 250 Irvine, CA 92618 Phone (949) 474 -1400 Fax (949) 261 -8482 CONSULTING EXHIBIT "A" 2015 FEE SCHEDULE Staff Classification Civil Engineering and Planning Services Hourly Rate President.......................................................................................... ............................... $200 Division President /Division Manager ................................................ ............................... $175 Sr. Vice President/Vice President/ Exec. Director ............................ ............................... $165 Director............................................................................................ ............................... $163 Senior Project Manager ................................................................... ............................... $160 ProjectManager ............................................................................... ............................... $150 Assistant Project Manager ............................................................... ............................... $145 Senior Project Engineer /Senior Design Supervisor /Senior Planner .. ............................... $140 Project Engineer /Design Supervisor ................................................. ............................... $135 Senior Design Engineer /Senior Designer ......................................... ............................... $125 Design Engineer / Planner ...................................... ............................... ...........................$120 Designer.......................................................................................... ............................... $110 Assistant Engineer /Assistant Planner ............................................... ............................... $100 Research and Processing Coordinator ............................................. ............................... $ 95 Senior CADD Technician ................................................................. ............................... $ 90 JuniorEngineer ................................................................................. ..............................$ 85 CADDTechnician ............................................................................ ............................... $ 80 EngineeringIntern ............................................................................. ..............................$ 70 Office Support / Clerical ...................................................................... ..............................$ 70 Field Survey and Mapping Services Director of Survey and Mapping ....................................................... ............................... $163 Managerof Field Survey ...................................................................... ............................... $130 Survey and Mapping Associate ............................................................ ............................... $100 Survey and Mapping Technician ............................................................ ..............................$ 80 3 -Man GPS Crew ................................................................................. ............................... $250 2 -Man GPS Crew ................................................................................. ............................... $215 1 -Man GPS Crew ................................................................................. ............................... $175 Notes: 1. Invoices will be prepared for all services through the end of each calendar month. Invoices are due and payable upon presentation. 2. Overtime, when requested by the client, will be surcharged at a rate of 135% of the standard hourly rates. Sundays and holidays will be surcharged at a rate of 170% of the standard hourly rates. 3. Reprographics, messenger service, travel (including lodging and meals), and other direct expenses will be charged at cost plus 10 %. The services of outside consultants will be charged at cost plus 15% to cover administration and overhead. 4. In -house reprographics charges: B &W Bond copies $0.66 /sq.ft, Color Bond $6.00 /sq.ft. 5. Mileage will be billed at standard mileage rates set by IRS. 2015 rates currently listed at $0.575 per mile. 25M -452 CHAMBERS CROUP EQUIPMENT /OTHER DIRECT COSTS /OVERTIME POLICY OTHER DIRECT COSTS Copies - Internal UNIT per page UNIT COST $0.15 Color Copies 8 "X11" per page $1.00 Color Copies 8 "X17" per page $2.00 GIS Machine & license per hour $15.00 GIS Materials actual Rental Field vehicle 4WD per day $80.00 Field Vehicle Use: Off Road 4WD per day $65.00 Field Vehicle Use: On Road 2WD per day $45.00 Mileage per mile Fed Rate GPS — Real time, Trimble per day $60.00 CD -ROM's per CD $2.00 Mail /Delivery* actual Field Phone per day $2.00 Outside Printing* actual All Other Outside Services* actual Bio Survey /Monitoring Equipment per day $6.00 Bio Survey /JD /Restoration Equipment per day $8.00 Bio Fish Survey Equipment per day $15.00 Focused Plant Survey Equipment per day $10.00 Cultural Survey Equipment per day $6.00 Cultural Site Recording per day $8.00 Cultural Testing /Excavation per day $14.00 Cultural Monitoring Equipment per day $10.00 iGage per day $15.00 Sonabat per day $46.00 Electrofisher per day $200.00 • * = plus 15% handling fee • () California Natural Diversity Database • (2) California Natural Plant Society Electronic Inventory Database • All outside services and rentals etc. carry a 15% markup Equipment Rate sheet available upon request. OVERTIME All nonexempt employees who work more than 8 hours in one workday or more than 40 hours in one work week will receive overtime pay as follows: 1. Overtime compensated at the rate of 1.5 times the employee's regular hourly rate of pay will be provided for all hours worked on excess of 40 in one work week, for the first 4 hours in excess of 8 in any one workday, and for the first 8 hours on the seventh day in one workweek; and 2. Overtime compensated at the rate of two times the employee's regular hourly rate of pay will be provided for all hours worked in excess of 12 in one workday and for all hours worked in excess of 8 on the seventh day of work in one workweek. All overtime will be computed on actual minutes worked, adjusted to the nearest increment of 15 minutes. 25M -453 HOURLY RATES Title CHAMBERS <'lt GROUP FEE SCHEDULE January 1, 2015 Senior Director $210 Director /Program Manager $190 Sr. Project Manager $150 Project Manager /Sr. Project Specialist $128 Managing Biologist/Botanist $175 Senior Biologist/Botanist $139 Project Biologist /Botanist $118 Staff Biologist/Botanist $105 Biologist/Botanist $95 Asst. Biologist/Botanist $85 Managing Cultural Resources Spec $145 Senior Cultural Resources Spec $120 Project Cultural Resources Spec. $108 Staff Cultural Resources Spec $95 Cultural Resources Spec $82 Asst. Cultural Resources Spec $67 Managing Environmental Planner $175 Senior Environmental Planner $139 Project Environmental Planner $118 Staff Environmental Planner $105 Environmental Planner $95 Asst. Environmental Planner $85 Managing Air /Noise Specialist $175 Senior Air /Noise Specialist $139 Project Air /Noise Specialist $118 Staff Air /Noise Specialist $105 Air /Noise Specialist $95 Asst. Air /Noise Specialist $85 Senior GIS Analyst $134 Staff GIS Analyst $109 GIS Technician $92 Project Controls Specialist ** $85 Technical Editor /Project Asst ** $79 Word Processor ** $68 Clerical ** $56 25M -454 DAHL, TAYLOR & ASSOCIATES, INC. CONSULTING ENGINEERS MECHANICAL, ELECTRICAL and STRUCTURAL ENGINEERING SERVICES FEESCHEDULE 1. Classification Hourly Rate Principal Engineer $206.00 Senior Structural Engineer $197.00 Structural Engineer $178.00 Senior Meclianical/Electrical Engineer $176.00 Mechanical /Electrical Engineer $148.00 Senior Designer $115.00 CAD Designer $89.00 Technical Typist $71.00 2. Automobile Expenses: Mileage expense as allowed by IRS thereafter. Automobile Rental, Fuel Cost, Toll Fees, Parking Fees, and Air Fare shall be at Cost. 3. Per Diem Expenses at Cost. 4. Blue Printing and Reproductions at Cost Plus 5 %. 5. Consultant at Cost Plus 5 %. 6. Special Instrumentation, Outside Tests and Reports at Cost Plus 5 %. 7. Terms of Payment -- Net 30 Days; Interest Rate = 1-1/2% Effective January 1, 2015 -December 31, 2015 HEADQUARTERS: 2960 DAIMLER STREET, SANTA ANA, CA 92705D (949) 2548016 0 FAX (949) 502-0777 SANTA ANA 0 SAN DIEGO WWW.DAHLT25.M Q%1�sLTAYLOR.COM Z N U V I S HOURLY RATES: Professional services (including portal to portal domestic travel time) performed on an hourly basis will be billed at the following personnel rates. Corporate Principal $200.00 /hour Principal 172.00 /hour Senior Associate 155.00 /hour Associate 140.00 /hour CADD Technician I 130.00 /hour CADD Technician II 120.00 /hour Administrative 85.00 /hour DIRECT PROJECT EXPENSES: Direct Project Expenses (DPE) shall be billed to the CLIENT in addition to fees for professional scope of services at the multiplier of 1.15% of actual cost. They include, but may not be limited to, production 'materials' or expenditures on behalf of the project, including: computer related expenses (ie: plotting and digital transfer items); domestic courier delivery service and postage/ shipping/ overnight delivery; facsimile (outgoing); photography and related supplies; applicable travel expenses (including mileage at the current IRS rate); in -house printing /reproduction; special insurance coverage; and subconsultants not retained by the CLIENT. 3151 Airway Avenue, J3 I Costa Mesa, CA 92626 1 714.754.7311 1 nuvis -cm onuvisnet I www.nuvis.net I CAI 226, Nv396, At31507 25M -456 STANDARD SCHEDULE OF FEES Professional Services Staff Engineers, Geologist Project Engineers, Geologists Senior Engineers, Geologists Associate Engineers, Geologists Principal Engineers, Geologists Expert Witness Technical Services Clerical Word Processing, Technical Text Editing CADD Engineering Technician (Field and Laboratory) Senior Engineering Technician (Field and Laboratory) Minimum Field Services Fee Field Service Calls $95 /hour $115/hour $135/hour $145/hour $175/hour $260/hour $55/hour $55/hour $65/hour $65 /hour (non - prevailing wage) $95 /hour (prevailing wage) $73 /hour (non - prevailing wage) $95 /hour (prevailing wage) 4 -hour minimum fee Travel Travel time will be charged at our regular hourly rate, not to exceed 2 hours per day for sites within 60 miles from our office. Mileage will be charged at a rate of $0.65 per mile. Mileage will not be charged when field truck is used and charged. Overnight stay per diem will be charged $135 per day. Equipment Field Truck and Field Test (Nuclear Gage) Equipment $12/hour (max $90 /day) Field Truck $9/hour (max $70 /day) Vibration & Environmental Monitoring Equipment Separate Schedule Outside Services Rental of special equipment not ordinarily furnished by Hushmand Associates, Inc. and all other costs such as labor, special printing, expendable field supplies, etc. Cost + 15% Terms Billings are payable upon presentation and are past due 30 days from the invoice date. A finance charge of 1.5 percent per month, or the maximum amount allowed by law, will be charged on past -due accounts. 25M -457 r�r LABORATORY SCHEDULE OF FEES Item Type of Test Test Method Unit Price I. INDEX PROPERTIES 1.1 Visual Classification ASTM D 2488 $10.00 1.2 Moisture Content ASTM D 2216 $14.00 1.3 Moisture Content & Density (ASTM D 2937) a) Shelby Tube Sample $35.00 b Other Samples $20.00 1.4 Particle -Size Analysis of Soils (ASTM D422) a Sieve Only $70.00 b Sieve and Hydrometer $140.00 1.5 Percent Passing # 200 Sieve (ASTM D 1140) $55.00 1.6 Atterberg Limits (ASTM D 4318) a) Multi Points $120.00 b) One Point $60.00 c) Non Plastic $32.00 1.7 Specific Gravity ASTM D 854 $70.00 1.9 Sand Equivalent ASTM D 2419 $85.00 1.10 Ex anion Index ASTM D 4829 $130.00 IL SOIL CHEMISTRY 2.1 Soil PH (CTM 643 $40.00 2.2 Electrical Resistivity CTM 643 $85.00 2.3 Sulfate Content (CTM 417 $60.00 2.4 Chloride Content (CTM 422 ) $60.00 2.5 Organic Content ASTM D2974 $60.00 2.6 Soil Corrosivity Package (pH, Electrical Resistivity, Sulfate content, & Chloride Content ) $200.00 III. COMPACTION 3.1 Standard Proctor Compaction (ASTM D 698) a) 4" Mold $145.00 b) 6" Mold $170.00 3.2 Modified Proctor Compaction (ASTM D 1557) a 4" Mold $165.00 b) 6" Mold $195.00 IV. STRENGTH TESTS 4.1 R Value (CTM 301 $250.00 4.2 Unconfined Compression (ASTM D 2166) $80.00 Sample Remoldin or Unconfined Compression $45.00 4.3 Direct Shear, per point a Unconsolidated Test $53.00 b Consolidated Q Test $70.00 c Consolidated, Drained ASTM D 3080 $85.00 d Residual - per point $58.00 Sam le Remoldin for Direct Shear $48.00 4.4 Triaxial, per point (ASTM D 4767) Consolidated, Undrained $330.00 Sample Remolding for Triaxial $60.00 25M -458 Page 2 LABORATORY SCHEDULE OF FEES (continued) V. CONSOLIDATION 5.1 Consolidation (ASTM D 2435) a Up to 10 load /unload increments, one time reading $200.00 b Each additional time reading $60.00 o Each additional load increment $35.00 Sample Remoldin or Consolidation $45.00 5.2 Collapse Potential (ASTM D 5333) $110.00 Sam le Remolding or Collapse Potential $48.00 5.3 Swell or Settlement Potential (ASTM D 4546) $105.00 Sample Remoldin for Swell or Settlement Potential $48.00 VI. PERMEABILITY 6.1 Constant Head (ASTM D 2434) $175.00 Sam le Remoldin for Constant Head $55.00 6.2 Flexible Wall (ASTM D 5084) $220.00 Sample Remoldine, or Flexible Wall $55.00 Notes: I. Samples will be stored for 3 months. Prior notification is required if samples need to be stored for a longer period of time. A monthly storage fee of $4 /bag and $1 /sleeve will be applied. Prices shown above are based on the assumption that all soil samples are "clean" and that the turnaround time of results is standard (1 to 2 weeks). 2. Payment for services is due upon presentation. If not paid within 30 days of the invoice date, they will be considered past due and a carrying charge of 1.5% per month (or the maximum rate allowed by law) will be added to the unpaid balance. Any Attorney's fees or other costs incurred in collecting any delinquent accounts will be added to the amounts due and shall be paid by the party invoiced. 25M -459 EXHIBIT C CERTIFICATIONS C -1 through C -3 25M -460 25M -461 I J, 0 - - APPENDIX ATTACHMENT 3 -1: NON- COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES — PART B RFP NO.: 14 -037B 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 hi 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 share 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 certi4pr to criminal prosycution., Signed State of CalifQrnia County of _Oranges Subscribed and Notary Public Signature -- 4or--affi—nned) before me on this 18th day o 2015 by proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me, s �+��h ej A_1 _ -1 L Notary Public Seal 25M -462 CALIFORNIA JURAT WITH AFFIANT STATEMENT GOVERNMENT CODE § 8202 tAee Attached Document (Notary to cross out lines 1 -6 below) Q See Statement Below (Lines 1 -6 to be completed only by document signer(s], not Notary) Brgnature -of Doet3ment�igne+ -Ne: 7 Signature -ofDOCUment3igrrerido -2-(if -any} A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate Is attached, and not the truthfulness, accuracy, or validity of that document. State of California County of r� VERA AUGUSTA KLAIOH Commission # 2015205 Notary Public California z Orange dearly g 4 Comm 5 Ires NIN 26 2017 Subscribed and swer+ to (or affirmed) before me on this ) &� day of -- >J �, 20 )`J by Date Month Year (1) -2-1) r) h v-n ( ad 6- ( -1 e, G -4 Names) of Signer(s) proved to me on the basis of satisfactory evidence to be the person who appeared before me. Signature) _ Signature o otary Public r Seat 11 Place Notary Seal Above OPTIONAL Though this section is optional, completing this information can deter alteration of the document or I fraudulent reattachment of this form to an unintended document. Description of Attached Document Title or Type of Document: Document Date: Number of Pages: ____ Signer(s) Other Than Named Above: 02014 National Notary Association • www.NationalNotary,org - 1- 800 -US NOTARY (1 -8Q0- 878 -8827) Item H5$10 25M -463 lJ t, I CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES — PART B RFP NO.; 14 -037B The prospective participant certifies, by signing and submitbrg this bid or proposal, to the best of his or her lanowledge and belief, that: 1. No federal appropriated funds have been paid or will be paid, by or on behalf of die 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 finds other than federal appropriated Rinds 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 f contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure ■ of Lobbying Activities ". L 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 maldng 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 (hall $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firm Sign( Title Date 25M -464 APPENDIX ATTACHMENT 3 -3: NON- 'DISCRIMINATION CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES — PART B RFP NO.: 14 -037B The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: I 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 famish all infennation 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 Epurposes of investigation, to ascertain compliance with such riles, 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 rile, 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 by rules, 25M -465 I regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8, pursuant to California Labor Code Section 1735, as added by Chapter 643 Stars. 1939, and as amended, 1 No discrimination shall be made in the employment of persons upon public works because of race, religious 11 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; Division President Firm: VA Consulting, Inc. Date: June 18, 2015 25M -466 EXHIBIT D ADDITIONAL PROVISIONS The following documents in reference to the on -call engineering services hereunder are hereby on file with the City of Santa Ana's Public Works Agency and are hereby incorporated by reference: • Request for Qualificatons (RFQ) — RFQ No. 14 -037 • Statement of Qualifications (SOQ) — In response to RFQ No. 14 -037 • Request for Proposal (RFP) — RFP No. 14 -037B • Proposal — In response to RFP No. 14 -037B 25M -467 25M -468 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 5th day of August, 2015 by and between KPFF Consulting Engineering, (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of: On -Call Engineering Services to provide engineering services on an as- needed basis. Engineering services may include but are not limited to, civil engineering, electrical engineering, traffic engineering, geotechnical, land/property surveying, structural, storm drain, water or sewer line - related engineering, architecture and landscaping design services and grant writing services. Environmental and /or planning support services may also be requested. Prior to issuing a Task Order, the City may request a detailed Scope of Work, for a specific project /task. If requested, the consultant would provide a task proposal, budget and schedule for the Task Order. From this, the City may choose which consultant to assign the project/task to pursuant to this Agreement. 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 those services as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed Two Hundred Fifty Thousand Dollars ($250,000) over the entire life of the Agreement, including any renewal period(s). 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. Exhibit 11 25M -469 Page I 1 C. Invoices should be submitted on the 15'h of each month and shall include the following information at a minimum: i. Consultant's invoice number and City's agreement number ii. Beginning and ending dates for services iii. City Project and /or Task Order number and/or name (if applicable) iv. Work site address /location (if applicable) V. Tasks or deliverables completed, and percentage ( %) of total services completed. vi. Remaining Overall and Task Order budget available 3. TERM This Agreement shall commence on the date first written above for a two (2) year term with the option for the City to grant up to two one -year renewal options exercisable 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 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. 25M -470 Page i 2 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) narne the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insured's provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self- insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. 25M -471 Page 13 (iv) Consultant shall supply City with a fully executed additional insured endorsement. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to 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. 7. INDEMNIFICATION To the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), to any work performed or services provided under this Agreement arising out of, relating to or pertaining to the negligence, recklessness or willful misconduct of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them. Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the 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. Page 14 25M -472 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. IL 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 in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 12. 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: Fred Mousavipour, Executive Director of Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Fax: 714 -647 -5635 25M -473 Sonia R. Carval'ho, City Attorney City Attorney's Office City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax: 714 -647 -6515 Page 15 To Consultant: Ali Khamsi, PE Principal KPFF Consulting Engineering 18400 Von Karman Ave., Suite 600 Irvine, CA 92612 Fax: 949 - 252 -8082 A party may change its address by giving notice in writing to the other parry. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 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 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. 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 mill 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 the City upon thirty (30) days written Page 16 25M -474 notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications, Exhibit C, attached hereto and incorporated in this Agreement by reference. 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. MISCELLANEOUS PROVISIONS a. Additional provisions, if any are identified as Additional Provisions, Exhibit D, attached hereto and incorporated into this Agreement by Page l7 25M -475 reference. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. 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: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney #,ivtat I C 'af City Attorne RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director Public Works Agency 25M -476 CITY OF SANTA ANA David Cavazos City Manager CONSULTANT: (name) (title) Tax ID# Page 18 EXHIBIT A SCOPE OF SERVICES 25M -477 1041111 DIN SCOPE OF SERVICES CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES I. DESCRIPTION OF WORK The City of Santa Ana (City) solicited proposals from professional consulting firms (Consultant) to provide engineering services on an on -call, as- needed basis. Engineering services may include civil engineering, electrical engineering, traffic engineering, geotechnical, land /property surveying, structural, storm drain, water or sewer line - related engineering, architecture and landscaping design services and grant writing services. Environmental and /or planning support services may also be requested. The City may need consultant services for survey, mapping and legal description preparation, construction management, staking and inspection or occasionally request mechanical, electrical and/or structural services. The work, in general, consists of general engineering design projects on arterial and local streets, bike paths, and public parks, citywide. The types of work efforts may include: Underground utility design /modifications; sidewalks, bike paths, curb and gutter replacement; slurry seal of residential streets; repair and overlay of asphalt concrete and /or PCC streets; signing, striping, neighborhood traffic studies, traffic signal modifications; landscaping and irrigation systems; park and recreational design, grant application writing, building or facility work, other broader studies, and other related projects as required. A more detailed Scope of Work will be provided when /if a specific project or Task Order proposal is requested of a consultant. Funding sources will not include any state or federal funding. Projects for each project/task order shall generally include local funds. Each project /task order assignment shall comply with any and all agency funding requirements. The Sample Task Order was submitted with the proposal inclusive of the hours, hourly rate and totals in Attachment C for the qualifications and value -based RFP . Note, state prevailing wage requirements shall apply to work as required, and including but not limited to, survey and materials testing work, and per the below link: http://www.dir.ca.gov/public-works/publieworks.html ) Consultants and subconsultants completing any element of or type of work within projects /task orders that is subject to compliance monitoring and enforcement by the State of California Department of Industrial Relations, per Section 1771.4.a.1., shall inform themselves fully of conditions relating to construction and labor law under which any work will be performed. Any consulting contract entered into pursuant to this notice shall incorporate the provisions of the California State Labor Code wherever they may apply and all fees shall be inclusive of or exceed these requirements. City of Santa Ana Scope of Work Page 1 25M -478 The Consultant shall be able to assist the City through this contract to provide the necessary services. The Consultant shall utilize in -house staff and /or sub - consultants to complete the assignments to meet the City standards. For specialized work for which the prime consultant shall require a sub - consultant, the prime consultant shall serve as an administrative liaison between the City and the sub - consultant. The prime Consultant mark -up for stab- consultants shall not exceed 10 %. II. PROPOSED SCOPE OF SERVICES In general, the Consultant shall perform above noted engineering design services resulting in contract documents (plans, specifications and cost estimates "PS &E ") for various projects on an as- needed basis. However, work tasks may include studies or a variety of engineering or other tasks. If requested by the City, the Consultant shall provide a Work Plan which includes a detailed schedule of the assigned project prior to the issuance of Notice to Proceed of that particular project and /or Task Order. Specific Task Orders with Notices to Proceed ( "NTPs ") will be provided for project(s) at the discretion of the City. Work required per Task Order shall comply with the Scope of Services and additional provisions in each Task Order and this agreement. The Consultant shall also provide all field survey work required as appropriate and shall have the necessary experience and required civil, traffic, electrical, structural, geotechnical, surveying, landscape architect and architectural licenses for those in responsible- charge of the work being completed. The Consultant's services for PS &E engineering project preparation shall include, but not be limited to, the following: 1. Research existing records of utility companies and agencies and coordinate the proposed improvements with existing field conditions. 2. Provide all field survey and topographic work necessary to complete the design effort. Design level survey and base mapping of the project site shall be prepared in US Customary English units by a California licensed Land Surveyor in accordance with the City guidelines and in Microstation V8i Computer Aided Design and Drafting (CADD) format. The horizontal datum shall be NAD 83 and the vertical datum shall be NAVD 88. All survey field notes shall be on forms provided by the City, shall be neatly completed in pencil, and shall become property of the City upon completion of the project. Informal field investigations including marking of removal areas may be required for some of the sidewalk, curb and gutter, and pavement replacement projects. 3. Complete the design of projects including plans, specifications, and engineer's construction cost estimate. The Consultant shall contact manufacturers and /or contractors to verify the engineer's estimate prior to submitting to the City. Specifications shall be prepared in Microsoft Word and an electronic copy of the final version shall be furnished to the City. The City will provide the specification boiler plate to the Consultant. 4. If requested, all preliminary and bid sets of plans shall be plotted on bond or velum using the Mierostation V8i CADD program. All drawings shall be completed per the City of Santa Ana CADD Standards. For interim submittals, the City may opt to receive only PDF versions of the plans for reviewing purposes. If so, the Consultant team will provided plans and /or specifications accordingly. City of Santa Ana Scope of Work Page 2 25M -479 5. All original plan sheets, the title sheet of the specifications, calculations, and reports shall be signed and stamped by the Consultant's licensed professional engineer responsible /in- charge of the project. These signed originals shall then become the property of the City. 6. If a part of the on -call project scope, the Consultant shall provide support services during the bidding and construction phases of the project on an as needed basis, including, but not limited to: A. The Consultant shall respond to bidder inquiries during the bidding process, including preparation of any addenda. Following award of the construction contract, the Consultant shall attend the pre - construction meeting. B. The Consultant shall review and approve all submittals and shop plan drawings required supporting the construction contract. The Consultant shall complete shop drawings reviews within two (2) weeks of receipt. Contract Change Order reviews shall be completed within two (2) working days of receipt. C. The Consultant shall respond to written Requests for Information (RFI) to provide clarification or resolve discrepancies in the contract documents. Responses shall be completed within three (3) working days. D. The Consultant shall provide periodic field reviews and bring to the attention of the City of Santa Ana any defects or deficiencies in the work by the construction contractor which the Consultant may observe. The Consultant shall have no authority to issue instruction on behalf of the City of Santa Ana, or to deputize another to do so. 7. If included in the on -call project scope, upon completion of construction, the Consultant shall prepare as- builts and submit them to the City. The Consultant shall incorporate all changes to the plans electronically with all necessary revision notations. Once plans have been updated, a signed set of as -built mylars shall be submitted to the City with an electronic copy (in Microstation V8i CADD and pdf formats) of the final as-built drawings via CD or e -mail. S. If included in the on -call project scope, the Consultant shall monitor the project progress, maintain project files, and control the quality of the work performed by in -house staff and /or sub - consultants. Incomplete (not meeting targeted completion) or poor quality work will not be accepted. The Consultant shall revise the documents within a revised schedule set by the City, which may require overtime. No additional compensation necessary for the consultant to complete this work to the satisfaction of the City shall be approved by the City for the required revisions. It is the responsibility of the Consultant to produce a professional -level quality of work product. 9. If included in the on -call project scope, attend meetings with the City staff as required. 10. If included in the on -call project scope, the Consultant shall coordinate plan check, design topics, permits and any other issues with the City, other Agencies, and all utility companies as required. At the direction of the City, the Consultant shall be the liaison with affected agencies. 11. If included in the on -call project scope, the Consultant shall be responsible for reviewing and approving addenda and clarifications to plans and specifications. City of Santa Ana Scope of Work Page 3 25M -480 III. GENERAL REQUIREMENTS 1. All work shall be performed in conformance with the latest City of Santa Ana policies, procedures and standards, and applicable, regulatory, state and federal requirements, where they may also apply despite the focus on local funding. 2. Consultant shall carry out the instructions received from the City of Santa Ana and shall cooperate with the City of Santa Ana and any other involved agencies. 3. The Consultant shall have complete responsibility for the accuracy and completeness of all documents and plans prepared and shall check all such materials accordingly. The plans will be reviewed by the City of Santa Ana for conformity with the requirements of the Agreement. Reviews by the City of Santa Ana do NOT include detailed review or checking of design or the accuracy with which such designs are depicted in the documents and the plans. The responsibility for accuracy and completeness of such items remains solely that of Consultant. 4. The documents and plans furnished under the Agreement shall be of a quality acceptable to the City of Santa Ana. The criteria for acceptance shall be a product of neat appearance, well organized, technically and grammatically correct, checked, and dated and having the maker and checker identified. 5. The Consultant shall have quality control procedures in effect during the entire time work is being performed under the Agreement. The quality control procedures shall establish a process which includes checking processes for PS &E preparation, an independent constructability review, correcting and back checking procedures, and all job related correspondence and memoranda dated and received by affected persons and then bound in appropriate job files. The City of Santa Ana reserves the right to request proof of said documentation. 6. The Consultant's work and all records shall be subject to inspections by representatives of the City of Santa Ana and any funding agency requirements or audits if requested. Consultant certifies that it shall comply with the following regulations where applicable or others required by State or Federal Law, including, but not limited to the following: a. Audit Records - With respect to all matters covered by this agreement all records shall be made available for audit and inspection by the City, the grant agency and/or their duly authorized representatives for a period of four (4) years from the termination of this Agreement. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant shall preserve and maintain all documents, papers and records relevant to the services provided in accordance with this Agreement, including the Attachments hereto. For the same time period, Consultant shall make said documents, papers and records available to City and /or any other agency from which City received additional grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours. City of Santa Ana Scope of Work Page 4 25M -481 b. Infornlation - Consultant shall provide to City all records and information requested by City for inclusion in quarterly reports and such other reports or records as City may be required to provide to the agency from which City received grant funds or other persons or agencies. d. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable and the related guidelines that may be more recent. e. Political Activity - None of the funds, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act ". f. Civil Rights Compliance and Notification of Findings - Consultant, and all its contractors (or sub - recipients) will comply, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789 (d), or Victims of Crime Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title It of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; Department of Justice Non - Discrimination Regulations, 28 CFR Part 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the event a Federal or State court, Federal or State administrative agency, or the Consultant makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Consultant will forward a copy of the findings to the City which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Department of Justice. g. Equal Employment Opportunity - Consultant, and all its contractors (or sub - recipients) will comply, with all requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable. h. Patent - Consultant agrees that the funding agency shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with funding through this Agreement. n. Copyright - Consultant may copyright any books, publications or other copyrightable materials developed in the course of or under this Agreement. However, the City reserves a royalty -free, non - exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use the above items as deemed necessary for the City's purpose: i. the copyright in any work developed through this Agreement; and ii. any rights of copyright to which the subcontractor purchases ownership with support through any grants if utilized. The City's rights identified above must be conveyed to the City of Santa Ana Scope of Work Page 5 25M -482 publisher and the language of the publisher's release form must ensure the preservation of these rights. IV. CITY RESPONSIBILITIES The City will provide the following: • All plan check coordination within the City • Sample boiler plate specifications to be utilized • Sample plans & City of Santa Ana's CADD Standards • Electronic files for title sheets and sheet borders City of Santa Ana Scope of Work Page 6 25M -483 ATTACHMENT C Sample Task Order CITY OF SANTA ANA ON -CALL ENGINEERING SERVICES As part of their proposal in response to RFP 14 -0378, the Consultant provided a Sample Task Order scope of work. This Sample Task Order included the following to provide a privacy wall design, minimum level of geotechnical /soils report, survey work, plans, specifications, and estimates: 1. Hours by staffing level & category (provided in the Excel Spreadsheet* provided), 2. Total Fee (in the Excel Spreadsheet provided), 3. Most responsive schedule deemed feasible, 4. As part of this Sample Task Order, a narrative scope of work was also provided with the following subtasks: o Project Kick - off /Meetings o Survey o Geotechnical Materials Testing & Soils Report o Privacy Wall Design Plans o Specifications o Engineer's Estimate o As -Built Plans The sample wall length was for an 800 LF for a privacy wall height varying from 10 -16 feet of exposed height where private property (homes) would abut the one side of the wall and public right -of -way would abut the other side of the wall. In a separate one -page narrative scope of work and project approach was provided for all tasks necessary to provide this privacy wall Sample PS &E Task Order project. Any additional standard plans proposed to be used for this design or other approaches necessary to address the parameters indicated herein were also included. For the plan and profile sheets, inclusive of any detail sheets /notes and the scale shall be at 20 -scale and conform to all requirements detailed in this RFP, the City's Standard plans and /or other recommended standard plans that the consultant may recommend. *Note: Prevailing wages may apply to this work City of Santa Ana Scope of Work Page 7 25M -484 EXHIBIT B FEE PROPOSAL, including hourly rates (from separately sealed envelope included with Consultant Proposal) Attachment C Information 25M -485 Fee Proposal for Engineering Services City of Santa Ana On -Call Engineering Services - Part B RFP N0." 14 -037B Santa Ana Public Works Agency 20 Civic Center Plaza Santa Ana, CA 92701 June 18, 2015 18400 Von Karmon Ave .Suite 600 Irvine, CA 92612 949252.7022 kpff.com lqjff Fee Proposal We are proposing on individual task orders with scope of services defined, necessary consultants and hourly estimates for each task order based on the hourly rates attached. KPFF CONSULTING ENGINEERS IRVINE CIVIL HOURLY RATE SCHEDULE 2095 PRINCIPAL -IN- CHARGE SENIOR CIVIL ENGINEER.. PROJECT MANAGER PROJECT ENGINEER......... DESIGN ENGINEER ......................... CHIEF CAD DESIGNER .................... CAD OPERATOR /DESIGNER........... ADMINISTRATIVE /SECRETARY ..... ..................... $195.00 ..................... $175.00 ..................... $160.00 ..................... $130.00 ..................... $115.00 ..................... $145.00 ..................... $110.00 ....................... $85.00 Note: Hourly rates will be updated on an annual basis throughout the duration of the project, and services will be billed at the hourly rates in place at the time the service is provided. 25M -487 Monica M. Suter, PE, TE, PTOE, City of Santa Ana On -Call Engineering Services, Part B RFP no. 14 -037B Proposal for Civil Engineering Services KPFF Job #314072.00 June 16, 2015 Page 2 FUNDAMENT & ASSOCIATES, INC. HOURLY RATE SCHEDULE 2015 Principal Engineer ........ Senior Engineer (P.E. or LEED Certified) Project Engineer Project Designer CADD Designer............ Clerical / Administrative ................ $195.00/1-113 ................ $165.00/HR ................ $145.00/HR ................ $125.00/HR ................ $105.00 /HR ..................... $65.00 /HR 25M -488 Monica M. Suter, PE, TE, PTOE, City of Santa Ana On -Call Engineering Services, Part B RFP no. 14 -037B Proposal for Civil Engineering Services KPFF Job #314072.00 June 16, 2015 Page 3 transpogroup WHATTRAN&IXORrAIION OWN BE, TRANSPO BILLING RATE RANGE SCHEDULE EFFECTIVE JUNE 28, 2014 THROUGH JUNE 26, 2015 25M -489 E9'nerfPlaerIG�5t4ceveu.: f9 , EngineertPlannerlAnaly^stlProj Adrn Level 6 $165 $210 rne.d "'� ;"�"'��aa 1.titi �a"vS%`� �ax �'FRfl1nH�rff�17tF1Br�h�f�sil$^st � Engineer lPlannerlAnalysVProjAdrn- Level 4 $110 $145 e��F��S W � � '•• �TF+, ., aro. nan,awdn �, x`kn' ai3a a�Aa�s4�'�w �� Cw >'. EnglneerlPlannerlAnalystlProj Aunt - Level 2 $70 $110 'TV ma 00a M a1,3ryrX' .. Y 30 . F 25M -489 Monica M. Suter, PE, TE, PTOE, City of Santa Ana On-Call Engineering Services, Part B RFP no. 14-0378 Proposal for Civil Engineering Services KPFF Job #314072.00 June 16, 2015 Page 4 6_�C_ A VE AR T FT a a M92MIZchellSouth, SaltellO, Wme, CA 92614 p � 949,756.0150 t 949.756,1635 LYNN CAPOUYA, INC. HOURLY RATE SCHEDULE EFFECTIVE THROUGH 2018 Principal in Charge .............................................. . ........ $280 Senior Project Manager ........................... ... .. . .. ...... I ... $195 Project Manager ......................................... ................... $176 Project Designer/Landscape Arch . ...................................... $139 Certified Irrigation Designer ...................................... ........ $135 JobCaptain ............................................... .............. ...... $110 Design Staff .............. .................. ......................... ........ $105 Administration ................................................................... $85 25M-490 Monica M. Suter, PE, TE, PTOE, City of Santa Ana On -Call Engineering Services, Part B RFP no. 14 -037B Proposal for Civil Engineering Services KPFF Job #314072.00 June 16, 2015 Page 5 COAST SURVEYING, INC. PERFORMED BY OUR COMPANY 0 Project Management $106.00 Project Surveyor 160.00 Survey Technician 124,00 lericat and [Delivery Service 70.00 2 Person Survey Party w/Equipment e 3 Person Survey Party w/ Equipment 372,00 CPS Receivers (minimum of three) 100,00fdayireceiver Monuments, prints, photocopies, research materials, and other incidental or special supplies. 25M -491 Monica M. Suter, PE, TE, PTOE, City of Santa Ana On -Call Engineering Services, Part B RFP no. 14 -0378 Proposal for Civil Engineering Services KPFF Job #314072.00 June 18, 2016 Page 6 GEOTECHNICALAN'D (MOLOGICAL SCHEDULE OF CHARGES C10AIR£NSA"noiw Our cornpensatlon will be determined on the basis of One and expenses In accordance with the Poll Alln,g sdbeduto nrtlass a fixed fee amount Is so indicated in the proposal or services. agreement. Conu'acted professional and technical services will be charged at the applicable hourly rates as listed boloyr. Staff time spent to depositions, trial preparation, and vullrt or hearing tcsl'amonyuvill be billed at 1,5 to 2 times the below rates. Time spent in eblhe'a local or Enter-city travel, when travel is In the Interest of this contract, will be charged in accordance whit the'roregoing schedule; when traveling by Public carrier, a maximum charge or eight hours per daywill be made, Curren[ rates are as foliaws: PersonnelHourlyf4ate Personnel Support Staff $ 70 Los Angeles Deputy Grading Inspector Project Assistant $ 82 Techltltal Specialist I Senior Project Assistant $ as Technical Spedallst II 'fechnielan 1 $ 75 Senior 'tor[nical5peclxhsa 'Technician 11 $ 86 Pr•o)ect manager I . Senior Technician $ 92 Project manager fl . CAD $ 92 Senior Project Manager Staff I - S 96 Associate Staff 11 $ 110 Senior Assodma Staff 111 $121 Principal Equipment Air compressor. gonetatOr (per day) Cement amending field tool Cement scale and pan (per day) Core drill (per day) Crass-hole sonic logger (CSQ (per day) lalgltal Comore (per day) [Frilled sbaltinspection camera(OSIQ (per day, inaxim[un 51,785 Iron week} Field Callfurnia bemiring ratio ION equipment [per day) falling 'wcight dellectame[mr OPWD) (per day) FaIling wel,ght defleaGsmeter t `WV) With CPR fl er dayy Global poslttoninp system (CPS) - dlfferentlal (per day) Global positioning system (GP5) - hand -held (per day) Ground penetrating radar (13PR) - band,pushed (per day) • Ground penetrating radar (GPR) - truck- inounted timer day) Hand auger (per day) Flydroacovstic Mot }haring Equipment. (per day) - Nuclear density gauge equlprnent (per hour) Pile driving anali WDA) (per day) Pile liategrity tester iper day) • Resistivity motor (per day) . Slope Inclinometer equipment [furcasing) Soil aanlplas in brass or stainless sleeves (per sample) Stull samples in rings (persample) • Specially software IJMO nFLt)W, PLMIS, Slope/65r, etc., per hour) Total'. Station - Survey l:qulpinent (per hour„ maximum 3400 per day) Will& toompany) usage (full day plus $0.63 per inile charge) Ve'hido ipersanai) Llsage (per Milo) Vibrating wire pieznineter Vibration monitoring equipment (per day, inax €mum $265 perweek) Hourly Mate $ 97 $131 $145 519d $140 $149 $159 $174 $185 $203 Rate S 53 S 21 5 76 $ 210 $ 473 $ 69 $ 945 $ 131 11,780 $ 3,040 $ 100 S 3'0 $ 525 S I ,260 $ 37 S 263 $ 11 $ 52S $ 210 $ 105 5 79 $ 11 $ 11 $11.53 $ 53 $ 21 $ 0.63 $ 525 $ 55 Roproducllon Black/'Whito Color a% x l I(perilalshed page) 'S033 $ 117 11xII (per fheishedpmge) $013g S 1.58 G or d•size plats (black /while avid color • per finished plot) $25.25 V -size scan $12.60 OTHER SERVICES, SUPPLIES, AND SPECIAL TAXES Outside servlcas (equlprrienP, supplies, and facilities not furnished to accordance w th the above s- claedule, and any unusual itcons of expense not customarily incurred in our normal operations) are charged at cost plus 12 percent. This Includes shipping tbargus, subsistence, unulsporratian, printing and supplies and renrais, surveyyng services, drilling equipment, construction equipment, watercraft, aircraft, and special Insurance that may ice reclulmd, Speclahzed equipment wRl he quoted an a per-job basis, in -house disposable field supplies (routinely used field supplies stocked rn�house by GaoGasrgn) at current rates, List avaifabo upon request. Taxes rag[arad by local Jurisdictions for projects in specific geographic areas will 'be charged to larojects at direct cost. All rates are subject to charge upon noilflcafion. 25M -492 °!J The privacy wall project will initiate with a meeting with the City of Santa Ana and all required consultants during which the project scope of services, schedule and fees will be established. Once the project scope and fees are confirmed and the team is authorized to proceed, a kick -off meeting will be scheduled in order to bring the design team together to review the scope of services, project approach and schedule with the City for verification of project goals and expectations and to establish any milestone submittal or review deadlines. Determination of any public outreach needs will be established. Survey of the project site and geotechnicai field work will be scheduled and executed while a search for any available existing documents for utilities and public right -of -way improvements will be conducted. Site visits for consultants to review the existing site conditions will be scheduled. Appendix the foundation design parameters. The survey information will provide information Sample Task Order Narrative We understand the sample task order to be an 800 LF privacy wall height varying from 10 -16 feet of exposed height where private property (homes) abut the one side of the wall and public right -of -way abuts the other side of the wall. Based on this description, it is assumed that there is no need for lighting or power, landscaping, or disciplines other than outlined below. The privacy wall project will initiate with a meeting with the City of Santa Ana and all required consultants during which the project scope of services, schedule and fees will be established. Once the project scope and fees are confirmed and the team is authorized to proceed, a kick -off meeting will be scheduled in order to bring the design team together to review the scope of services, project approach and schedule with the City for verification of project goals and expectations and to establish any milestone submittal or review deadlines. Determination of any public outreach needs will be established. Survey of the project site and geotechnicai field work will be scheduled and executed while a search for any available existing documents for utilities and public right -of -way improvements will be conducted. Site visits for consultants to review the existing site conditions will be scheduled. During the construction, established meetings will be conducted to assist the contractor with any interpretation of the documents, review of construction progress and review of pay applications from the contractor as needed. As -built documentation from the contractor will be incorporated into the construction documents and provided to the City as Record Documents. On -Call Engineering Services — Part B - RFQ no. 14 -0378 25M -493 kPff Foundation design information from the geotechnical engineer's soils report will establish the foundation design parameters. The survey information will provide information needed to establish the top of wall, finish grade and top of footing elevations for the length of the wall. A review of the City Standard Plans for applicability to the project will be conducted and incorporated as appropriate. The structural design of the,privacy wall and foundations will be developed. A drawing package will be developed with general notes, plans, elevations and details for the construction of the wall based on the City CAD standards. Civil drawings establishing wall location, easements, existing utilities, drainage and grading information will be developed, Specifications for the project will be assembled along with the General Conditions from or in conjunction with the City's Supplemental Conditions. An estimate of the construction costs will be developed based on the drawing information and utilizing the City Schedule of Values or a Schedule of Values acceptable to the City. During the construction, established meetings will be conducted to assist the contractor with any interpretation of the documents, review of construction progress and review of pay applications from the contractor as needed. As -built documentation from the contractor will be incorporated into the construction documents and provided to the City as Record Documents. On -Call Engineering Services — Part B - RFQ no. 14 -0378 25M -493 kPff The document package will be provided to the City prior to submission for plan review for confirmation the project goals have been addressed. Documents will be provided to the City for plan review and any comments will be resolved so that the documents can be approved for construction. Assistance with bidding the documents and facilitating a pre - bid meeting with potential contractors will be conducted. Once the bids have been reviewed and evaluated by the City and the contract awarded to the successful contractor, a construction kick -of meeting will be facilitated during which the design team, City and contractor will confirm chain of communication, project revision processes, inspection requirements and as -built documentation. During the construction, established meetings will be conducted to assist the contractor with any interpretation of the documents, review of construction progress and review of pay applications from the contractor as needed. As -built documentation from the contractor will be incorporated into the construction documents and provided to the City as Record Documents. On -Call Engineering Services — Part B - RFQ no. 14 -0378 25M -493 kPff Appendix No 1 1.1 . 2 2.1 2.2 2.3 2.4 Taek' Contract Negotiation Notice to Proceed Kok-off Meeting with the Ctry ReNew of existing record drawings at the City Initiate topographic and existing condition survey .— Initiate geotechnical investigation and report Initiate field investigation and photography stare Date 7!1/2015 7(7/2015 /10/2015 7/10/2015 7/9/2015 7/9120'15 7/11/2015 End pate: 7/6(2015 717/2015 7!12/201.5 711212015 7/23/2015 7!30/2015 7/11(2015 -Be's 4 1 ' 2 10 15 1 -33 5 °la'Pv& Package-; ., 7(2712015 8/14/2015 15 3.1 Prepare 35% PS &E Package 8/1312015 8/14/2015 2 3.2 Prepare notification Utility Letters 1 8/17/2015 1 3.3 Submit 35°/u PS &E Package to the City for Redew 8!1712015 6/24/2015 5 3.4 City's Review of 35% PS &E Package . 4 90 T, &E Paokage -` _ ` - 8/25!2015 8/26!2015 2 4.1 Review City's 35% PS &E comments 8/27/2015 8/2712015 1 4.2 Meet with the City to 1 35% PS &E comments 8(28/2015 9/1 d/2015 �15 4.3 Prepare 90% PS &E Package 9/18/2015 911812015 1 4.4 Submit 90°! PS &E Package to the City for Relieve 5 4.5 City's ReHew of 90% PS &E Package 9/21/2015 9/25(2015 5 1 au /q, PS &E Package' - 9128/2015 9129/2015 2 5.1 Re\iew City's 90% PS &E comments 9/30/2015 9/30/2015 1 5.2 Meet with the City to rebtew 90 % PS &E comments 9/3012015 10114/2015 10 5,2 Prepare 100% PS &E Package 10/14/2015 10/14/2015 1 5.3 Submit100% PS &E Package to the City for Permit 10115/2015 11(12/2015 20 5.4 Approved Plans 6 Prepare Bid Oeeumerits 11116/2015 12111!2015 2 0 6.1 Bid Period 12!14(2015 12/18/2015 5 6.2 6.3 Bid ReNeW Contractor Negotiation and Notice to Proceed 12J21/2015 1/7/2016 14 9 Construction 4afmnisfretion =_d11120t6 3f14k2kHall 40 3/15(2016 3/17/2016 2 7.1 Prepare as -built drawin s On -Call Engineering Services — Part B - RFQ no. 14 -0378 22 25M -494 Sample Task Order (Excel Spreadsheet) Description of Consultant Hours Hourly Rate Total Deliverables, Test or Services Proiect Kick - off /Meetinas Principal Engineer 2 $ 195 $ 390 Project Manager /Prof Coordinator - $ 165 $ - Registered Engineer - $ 130 $ - Assistant Level Design Engineer - $ 115 $ - CADD person - $ 145 $ - Admin/Typist - $ 85 $ - drilling contractor 1 $ $ 390 Survev Two person survey crew* 16 $ 288 $ 4,608 Survey Analyst 16 $ 124 $ 1,984 Project Surveyor 8 $ 160 $ 1,280 Survey Manager 4 $ 188 $ 752 drilling contractor 1 $ 1,400 $ 8,624 Geotechnical & Soils Report Materials Testing* Geotechnical Engineer (Licensed) 3 $ 203 $ 609 Assistant Geotechnical Engineer 10 $ 121 $ 1,210 Admin /Typist 3 $ 88 $ 264 Geotech Lab Testing 1 $ 850 $ 850 drilling contractor 1 $ 1,400 $ 1,400 $ $ 4,333 Privacv Wall DesianlCADD Plans Principal Engineer 2 $ 195 $ 390 Project Manager /Proj Coordinator 4 $ 165 $ 660 Registered Engineer - $ 130 $ - Assistant Level Design Engineer 20 $ 115 $ 2,300 CADD person 28 $ 145 $ 4,060 Admin /Typist - $ 85 $ - $ 7,410 25M -495 Specifications Principal Engineer 1 $ 195 $ 195 Project Manager /Prof Coordinator 4 $ 165 $ 660 Registered Engineer - $ 130 $ - Assistant Level Design Engineer - $ 115 $ - CADD person - $ 145 $ - Admin /Typist 8 $ 85 $ 680 Admin /Typist - $ $ 1,535 Enaineer's Estimate Principal Engineer i $ 195 $ 195 Project Manager /Prof Coordinator 2 $ 165 $ 330 Registered Engineer 4 $ 130 $ 520 Assistant Level Design Engineer $ 115 $ - CADD person $ 145 $ - Admin/Typist 2 $ 85 $ 170 Admin /Typist - $ $ 1,215 As -Built Plans Principal Engineer 1 $ 195 $ 195 Project Manager /Prof Coordinator 2 $ 165 $ 330 Registered Engineer - $ 130 $ - Assistant Level Design Engineer - $ 115 $ - CADD person 4 $ 145 $ 580 Admin /Typist - $ 85 $ - $ 1,105 Total 145 $ 24,612 'Some positions /work tasks will be subject to prevailing wages. Note: The listing of the specific positions above is not intended to mean that each position listed will necessarily have hours included in the above. The positions simply represent the types of positions that might be utilized for each subtask to streamline the City's review of this information. Please utilize the categories listed to the extent possible. 25M -496 EXHIBIT C CERTIFICATIONS C -1 through C -3 25M -497 a APPENDIX ATTACHMENT 3 -1: NON - COLLUSION AFFIDAVIT CERTIFICATIONS J CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES — PART B RFP NO.: 14 -037B 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 BIDDERhas 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 certifie,to criminal prosecution. Signed State of California p County of Orange Subscribed and sworn to (or affirmed) before me on this 12 day of Gt , 20 by ! k proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. _ �; $HEt @tdA CHRISTIIVt ..�ndfY COMMIZISlon # 2009113 Notary '".,oiiC • C nde Orange County C Ex rBa Mar 1, 2017 APPENDIX ATTACHMENT 3 -2: NON- LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES - PART B RFP NO.: 14 -037B The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: I. 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 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. wm 2. If any fiords 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 ofthis 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 25M -499 T APPENDIX ATTACHMENT 3 -3; NON- DISCRIMINATION CERTIFICATION CERTIFICATIONS 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 by riles, to 25M -500 CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL ENGINEERING SERVICES — PART B RFP NO,: 14 -037B 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 dinning 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 farms 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. I 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 riles, 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 by riles, to 25M -500 regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United. States enter into such litigation to protect the interests of the.United States. on S. 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 Firm: KPFF Consulting Bn�ineers Date: June 12, 2015 25M -501 EXHIBIT D ADDITIONAL PROVISIONS The following documents in reference to the on -call engineering services hereunder are hereby on file with the City of Santa Ana's Public Works Agency and are hereby incorporated by reference: • 'Request for Qualificatons (RFQ) — RFQ No. 14 -037 • Statement of Qualifications (SOQ) —In response to RFQ No. 14 -037 • Request for Proposal (RFP) — RFP No. 14 -037B • Proposal — In response to RFP No. 14 -037B 25M -502 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: AGREEMENT WITH TANKO LIGHTING, INC., FOR FEASIBILITY STUDY AND ACQUISITION SUPPORT TO PURCHASE THE STREET LIGHT SYSTEM FROM SOUTHERN CALIFORNIA EDISON (RFP NO. 15063) (GENERAL FUND) (STRATEGIC PLAN NO. 6, 1C) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Tanko Lighting, Inc., the lowest responsible bidder, subject to nonsubstantive changes approved by the City Manager and City Attorney, to conduct a feasibility study and provide acquisition support to purchase the Citywide street light system from Southern California Edison, for a two -year term expiring on August 4, 2017, with a provision for one, one -year extension exercisable by written authorization of the City Manager and City Attorney, for a maximum term of three years, in a total amount not to exceed $267,313. In recent years, Southern California Edison (SCE) altered its long- standing corporate policy and established a Street Light Acquisition Program to allow local governments the opportunity to purchase SCE -awned street lights (LS -1) within their jurisdictions. SCE currently owns approximately 11,500 outdated LS -1 High - Pressure Sodium (HPS) street lights throughout the City, of which over 90 percent are available for purchase. Staff researched the feasibility of this acquisition and has concluded that City ownership of the street light system would result in substantial savings In operations and energy costs, yield more responsive maintenance and timely repairs, and allow for modernization of the entire system using the cost savings. SCE will be closing Its Street Light Acquisition Program in August 2015; however, they will complete their review of all applications, including Santa Ana's, that have been received before the deadline. Acquiring the street lights would allow the City to update the system with energy - efficient Light - Emitting Diode (LED) fixtures which have superior illumination compared to conventional HPS fixtures. In addition, LEDs have a 15 -year lifespan compared to the 3- to 5 -year lifespan for HPS, yielding significant savings in maintenance costs. As a result of conversion, the City's street light 25N -1 Agreement with Tanko Lighting, Inc., for Street Light Purchase Feasibility Study August 4, 2015 Page 2 energy rate will change from LS -1 to a lower LS -2 rate, which translates to a savings of approximately $8 per month in utility charges for each street light. The utility charge savings would be leveraged to cover the capital cost of system conversion and modernizations through a separate contract. Projects under consideration include state -of- the -art solar technology that would facilitate further reductions in energy consumption, a robust citywide Wi -Fi system utilizing the street light infrastructure, and added emergency response features for Fire and Police operations. In addition, the City would be able to maintain prudent and sufficient reserves for ongoing street light replacement, and establish performance standards to improve and expand continuous nighttime street lighting for the community. To purchase the street light system, the parties involved must follow procedures established by SCE and the California Public Utilities Commission (CPUC). Essentially, a detailed appraisal of the existing SCE -owned street light system is necessary to establish an equitable value using the Replacement- Cost - New - Less - Depreciation ( RCNLD) method. Should the City decide to move forward with the street light acquisition, the ownership transfer must be processed and approved by the CPUC. On May 19, 2015, the Public Works Agency issued a Request for Proposals (RFP) seeking qualified firms with expertise in municipal street lighting to evaluate the feasibility of acquiring the citywide street lighting system from SCE. The scope of services sought included the following: Phase 1: Initial Valuation and Street Light Assessment oAssist the City during SCE initial evaluation and assessment of street lights. o Develop an independent RCNLD evaluation. Phase 2: Final Valuation and Street Light Acquisition o Perform a detailed audit of the entire street light system. o Perform a GPS /GIS survey of the entire street light system. o Perform data analyses to reconcile survey /audit with SCE invoicing to identify billing discrepancies. oAssess street lighting enhancements to attain an improved distribution of nighttime illumination levels. Phase 3: Street Light Financial Analysis o Evaluate and recommend purchase alternatives, including financing options for the acquisition, construction, and maintenance of the street light system. oDetermine current and future costs of street lights, including tariffs, energy, distribution, etc. o Assist the City with the purchase negotiations and SCE formal appraisal. c Develop comparison analysis identifying positive cash flow savings and system efficiency. 25N -2 Agreement with Tanko Lighting, Inc., for Street Light Purchase Feasibility Study August 4, 2015 Page 3 If the financial analysis supports the street light acquisition and the City elects to continue with the project, the following phases would occur: Phase 4: Street Light Acquisition •Assist the City with the acquisition approval filing with the CPLIC. • Provide technical support to identify appropriate energy efficiency technology to retrofit existing street lights. • Provide recommendations and technical support to identify relevant control technology to incorporate into the street light program, including identifying potential revenue sources. Phase 5: Coordination of Commissioning & Conversion • Provide public outreach coordination and support. • Provide logistics support for commissioning of lights and installation of conversions. • Provide support for utility rebate documentation and filing. • Provide GIS -based mapping of retrofitted systems. Three proposals were received and evaluated based on each firm's technical experience in performing work of a similar nature; qualifications of project staff; depth of understanding of the scope of work and the City's requirements; quality of work plan; ability to meet the project deadline; and practicality and affordability of the proposed costs compared with other offers received. The results of the selection committee evaluation are as follows: Rank Firm Score 1 Tanko Lighting, Inc. 98 2 Southern Contracting 94 3 P &E Automation 51 Based on the evaluation, it is recommended that Tanko Lighting, Inc., be awarded the contract for Phases 1, 2, and 3, in an amount not to exceed $267,313. Approval of this recommended action will allow the City to obtain a full cost - benefit analysis of the street lighting system acquisition from SCE, including full physical and financial audit and evaluation. Should the City elect to continue with the project, Phases 4 and 5 would be awarded by future Council action. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard). 25N -3 Agreement with Tanko Lighting, Inc., for Street Light Purchase Feasibility Study August 4, 2015 Page 4 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds in the amount of $267,313 are budgeted and available for expenditure in Fiscal Year 2015- 16 Street Light Maintenance Fund (Account No. 01117630 - 62300). Executive Director Public Works Agency FM /EWG /kw Exhibits: 1. Agreement APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gu ierrez U k Executive Director Finance & Management Services Agency 25N -4 AGREEMENT FOR CITYWIDE STREETLIGHT ACQUISITION, FEASIBILITY STUDY & ENERGY EFFICIENCY ANYLSES PROJECT RFP #14 -020 THIS AGREEMENT, made and entered into this 5th day of August, 2015 by and between Tanko Streetlighting, Inc. dba Tanko Lighting (hereinafter "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 (hereinafter "City "). RECITALS A. The City desires to retain a Consultant having special skill and knowledge in the field of Street light acquisition and retrofit. B. Consultant represents that Consultant is able and willing to provide such services to the City and is licensed by the State of California to provide streetlight consultation services. 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 firm. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Consultant shall perform those services identified as Phase 1. 2. and 3 as set forth in Exhibit A to this Agreement. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for Phase 1 2 and 3 services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $267,313 during the term of this Agreement. 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. 3. TERM This Agreement shall commence on the date first written above and terminate on August 4, 2017, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended for a one year period upon a writing executed by the City Manager and the City Attorney. Exhibit 1 25N -5 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 Upon completion of all work under this Agreement, ownership and title to all reports, documents, tracings, plans, specifications, estimates and maps prepared or obtained under the terms of this Agreement shall be delivered to, and become the property of City. Basic survey notes and sketches, charts, computations, and other data prepared or obtained pursuant to this Agreement shall be made available upon request of the City without restriction or limitation on their use. Contractor shall furnish the City all necessary copies of data needed to complete the review and approval process. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of Insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Consultant shall supply City with a fully executed additional insured endorsement in substantially the form attached hereto as Exhibit C upon execution of this Agreement. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self- insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less 25N -6 than $1,000,000 per accident. d. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. (Iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect by Consultant without thirty (30) days prior written notice to the City. 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. 7. INOEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement to the extent that such liability is caused by the negligence of the Consultant. 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. In no case will Consultant be required to indemnify or hold harmless the City from injury, damages, just compensation, restitution, judicial or equitable relief caused by 3 25N -7 negligence of the City. 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. 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. 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 telefacsimile 4 25N -8 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 No. 714 -647 -6956 With courtesy copies to: Executive Director of the Public Works Agency City of Santa Ana 20 Civic Center Plaza (M -21) P.O. Box 1988 Santa Ana, California 92702 Fax No. 714 -647 -5622 and City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Fax No. 714- 647 -6515 To Consultant: Tanko Lighting Jason Tanko, President 1000 Quesada Avenue San Francisco, California 94124 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 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. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of 5 25N -9 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 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. 16. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 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. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the 25N -10 prayer, authoity and right to bind their respective parties to each of the terms Of this Agreement, and shalt indemnify City fully. Including reasonable oasts and attorney's Fees, for any injuries or damages to City in the evert that such authority or power is root, in fact, held by the signatory or is withdrawn. ta. All Exhibits referenced herein and attached hereto $hail be incorporated as if fully set forth in the body of this Agreement. IN WITNESS HEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST- .. *- CSI • . =rTty D CAyMainager i 25N -11 EXHIBIT A SCOPE OF SERVICES 25N -12 II. Scope of Services and Schedule Proposal shall include a Scope of Services and Schedule which details the work phases to be completed, the tasks to be accomplished, the deliverables to be provided, and the schedule timeline to complete the project, based upon the requested Scope of Work, shown in Attachment 1 in the Appendix of the RFP. Task is Development of initial RCNLD Valuation Tanko Lighting will develop and document an independent initial assessment of RCNLD valuation based on the City's audit data, information provided by SCE, PUC and public records. One item of note is that Tanko Lighting has a long and positive working relationship with the local manufacturer's representative agency that supplies SCE with many of its current system needs. Tanko Lighting will leverage this relationship to confirm SCE's recent supplies purchase costs for its system, thereby further validating the valuation amounts. Task 2: Coordinate Acquisition of Street Lighting System Tanko Lighting will coordinate as necessary to ensure a successful acquisition of the street lighting system. It is important to note that the City of Santa Ana is not the first municipality in SCE's territory to commence the acquisition process. As such, the City can benefit from the fact that SCE is becoming more accustomed to this process, which increases the likelihood that the City of Santa Ana will have a streamlined experience. further, in Tanko Lighting's experience, most recent acquisitions in California (including the City of Richmond just a few months ago) have not necessitated any outside legal resources and merely relied on internal legal staff to complete the acquisition process. Thus, Tanko Lighting does not anticipate the need for any additional subcontractors. However, should the acquisition process for some reason become more complicated and /or contentious, Tanko Lighting will work with qualified legal partners with experience in municipal street light acquisitions to bring additional resources to the project. Task 1: Comprehensive Street Lighting Audit Tanko Lighting will conduct a Geographic Information System (GIS) investment grade audit for this project that will be inclusive of both the approximate 11,545 street lights within the City's boundaries currently owned and operated by SCE, as well as the additional City -owned fixtures (which Tanko Lighting understands represent an estimated additional 3,000 fixtures). In Tanko Lighting's experience, a proper GIS audit is essential to equipping the City with a comprehensive and accurate understanding of its existing infrastructure. The GIS audit is pivotal, as the information it provides enables appropriate design and product procurement. Tanko Lighting's GIS audit also results in streamlined installation (should the City proceed to that phase), as it identifies potential obstructions and other on -site challenges. Tanko Lighting has significant expertise in Geographic Information System (GIS) auditing of street light systems. Unlike competitors, who might attempt to merely count fixtures in an audit, Tanko Lighting's auditors are highly trained in the technical nuances of street lighting systems and are experts at identifying existing infrastructure. Tanko Lighting's auditors will collect data and identify such on -site information as: • The Global Positioning System (GPS) coordinates (latitude, longitude) of each fixture location • Lamp type (e.g, high pressure sodium, metal halide, etc.) • Pole age /installation year (if available) • Light and pole tag number • Pole mounting configuration • Lamp wattage • Type of service (e.g. overhead, underground) • Other attachments to street light circuit (e.g. holiday lights, lighted signs, cameras, antennas, etc.) Tanko Ligliting Statement of Qua lificalion , -City of Santa Ma -- RFP 415 -063 25N -13 Page 17 of 26 • Any damage to pole /lamp; improvements to the pole /lamp to mitigate damage and date of improvement (where possible) • Pole height, mast arm length • Pole type (e.g, street light only, utility distribution, traffic signal, mast arm — including single /double and length, decorative, etc.) • Pole material (e.g. wood, metal, concrete, fiberglass) • Street name • Physical attributes and /or issues — such as paint color, electrical hazards, open hand holes, graffiti, tree obstructions, etc. Unlike other potential providers, Tanko Lighting is an industry expert focused solely on street lighting. Tanko Lighting has built its own in -house data team with the right blend of both street lighting technical expertise and data analysis skills to collect and reconcile accurate project data. Further, Tanko Lighting's field auditors have accurately collected data thousands of street light fixtures nationwide — ensuring that the City's audit will be conducted by highly qualified professionals with tremendous experience. This renders Tanko Lighting as the most qualified to perform the GIS audit, as its staff is extremely experienced in the nuances and characteristics of all street light installations. Drawing from these expertise, Tanko Lighting's auditors will collect and transmit data points daily, using GPS devices. Tanko Lighting will compile data weekly to provide the City with a Weekly Audit Report (see Appendix B for a sample report), which will enable the City to identify and address (or request SCE to address) any immediate safety concerns, as well as other issues — such as tree trimming — that may need attention prior to any future LED installation or maintenance phase. Once the on -site data is obtained (and cross - referenced with any other available system data via the Data Reconciliation Task below), Tanko Lighting will compile and provide this complete data to the City in an electronic Geographic Information System (GIS) file in the City's choice of either a shape file format, geodatabase and/or Excel file format with latitude /longitude coordinates at the conclusion of the project. Task 2: Data Reconciliation Simultaneously with the GIS audit, Tanko Lighting will conduct a thorough and detailed investigation of any available City and /or SCE records, including billing records and maps. Depending on the available data, Tanko Lighting will reconcile these records with the data from the citywide GIS audit to confirm such aspects as ownership and billing record accuracy. In Tanko Lighting's experience, cross referencing these various data sources results in extremely precise and clean data. Task 3: Pole Sampling Tanko Lighting will develop a representative sample of types of poles to form the basis of the final RCNLD study. Task 4: Accompany SCE (Sampling) Tanko Lighting will accompany SCE during its final survey and study of the street light system to ensure that a fair representative sample is used and that all parties agree on the facts associated with the initial SCE valuation. Task 5: Assess Cut -Over Costs Tanko Lighting will assess cut -over costs from the SCE system, including fees and physical cut -over requirements (i.e. id tags, lockouts, fuse kits, etc.). Tanko Lighting will use its extensive technical knowledge to ensure that any cut -over costs are equitable for the City. Task 6. Identify OverlUnder -Lit Areas At the City's option, Tanko Lighting will identify any over -lit areas of the City and recommend street light installations /removals based on minimum safe night -time lighting standards. In the event of any areas that are over -lit, Tanko Lighting will provide options for relocating fixtures in these areas to potentially under -lit areas (depending on relevant construction characteristics — such as pole type, etc.). Additionally, in areas that are under -lit, Tanko Lighting will present options for what could cost - effectively be achieved to address efficiency and light output needs. This will ensure that the City does not endure unnecessary costs. Tanko Lighting Statement of Qualifications — City of Santa Ana — RFP #15 -g53 Page 18 of 26 25N -14 Phase 3: Street Light Financial Analysis Task 9: Determine Current Costs Tanko Lighting will determine existing City costs related to street lighting, including energy, distribution, tariffs, etc. Task 2: Determine Financing Cost Tanko Lighting will determine the financing cost to acquire, energize, maintain, and improve the lighting system and cover liability (proposed costs). Task 3: CostlBenefit Analysis Tanko Lighting will provide a comparison analysis to identify positive cash flow savings or system efficiency or bath. Task 4: Identify FinancinglFunding Sources Tanko Lighting will identify alternative funding resources, such as grants and rebates, for which the City is eligible. Task 5: Develop Financial Options Tanko Lighting has extensive experience in partnering with reputable financing organizations that offer relevant products for street light acquisition and energy efficiency conversion projects. As such, Tanko Lighting will develop and provide the City with several financing option plans. Phase 4: Ntreet Li ht Ao uisition Task 9: Provide Recommendations 6 Technical Support to Identify Relevant Technology Tanko Lighting will provide recommendations and technical support to identify appropriate energy efficient technology (LED or approved equal) and relevant control technology to retrofit existing street lights, including detailed cost estimates. In Tanko Lighting's experience, a comprehensive LED street light conversion project is the ideal opportunity for a municipality to reassess its entire street lighting design and ensure that field conditions are optimized for all applications in the design. To achieve this, Tanko Lighting routinely conducts city -wide design reviews for each of its turn -key street lighting projects. Tanko Lighting will review the existing conditions, as well as industry standards (such as RPS, Trade Manual 12 -12, etc.) and any local standards and needs established by the City. Upon request, Tanko Lighting can also conduct in -field photopic /scotopic light measurements to determine light output needs of any problematic areas. Further, Tanko Lighting will utilize manufacturer photometrics to confirm that the recommended LED fixtures will sufficiently meet the light output needs. Tanko Lighting will provide a Replacement Plan that will include maps at the neighborhood level, consisting of recommendations on replacement wattages based on actual field conditions. The recommendations will consider the particular nuances of each neighborhood, so as to provide superior light output design for particular lighting challenges posed by areas such as high crime areas, cross walks, parks, schools, pedestrian zones, intersections and speed limits. Utilizing the neighborhood design approval approach will enable the City to be closely involved with the design process, provide necessary input, and be comfortable with the final recommendations. Please see below for a sample of the neighborhood review process. Tanko Lighting Statement of Qualifications -City of Santa Ann - RPP #15 -053 25N -15 Page 19 of 26 Sample Neighborhood Design Review EK ,A li Utilizing the neighborhood design approval approach will enable the City to be closely involved with the design process, provide necessary input, and be comfortable with the final recommendations. Please see an excerpt from a Replacement Plan map below. Sample Replacement Plan Map 9 a as m s Q e aa 0 a 0 0 a6n a 0 Rk a m- ®oamw4 9 NAO Q ®Sfl 9a 05 W A 2 a a n_ a 00 aW0 @.Pa a 04sa u 0 i m 0a 4m e 4 ®' as ae a'eree W4 W m b g B ®v O > 6 8 0 0 WW OOtla0W0 a 0 O0 W o cem a 4 o a ° � 0 8 070 a o e x m ok 4 9g 80 O A 8 gAa 9a O BW kk9A g 0 tl a¢A R a g pOa& ® ®3 kOkD 4 A 0 A W O a4 0 Yj 4 0 0 g A gq 0 O 09 0 04Po i A 4 ® B 0 O 0 O 8 O p �pgb p A ao q0 W a k 0 W @G p 440 ¢ a akW k 0 ao ' Wd a kg %ea O g 4k 0 0 0 9 0 G aA6 4 4 2 i 9 4 A 4W k 6 ID a O 4 4 Q p9 p 0 Opp @m 04 ® O f n O A 4LQF_ND ft-* \NATTA ;F_ &3 4CA. LED 0 '..90'fd LED TankoL,ght ru The overall benefits to Tanko Lighting's Replacement Plan approach include: • Standardization — The City is ensured that there is a consistent design method resulting in wattage continuity on its streets. Standardization also leads to a reduction in the variety of fixtures that the City must keep in its inventory • Safety — Based on the most updated field conditions, the City can be assured that the design matches the system's current needs and results in improved public safety from streets no longer being under or over lit • Efficiency —The process takes a very thorough approach by examining all relevant field factors and thereby maximizes the available savings by utilizing the most efficient design, while meeting light output needs Task 2: Transfer Strategy Tanko Lighting will develop a strategy to transfer ownership of the street lights. Task 3: Acquisition Support Tanko Lighting will coordinate as necessary to ensure a successful acquisition of the street lighting system, including cutover support and documentation. Tanko Lighting Statement of qualifications — City of Santa Ana — RFP IM -053 25N -16 Page 20 of 26 It is important to note that the City of Santa Ana is not the first municipality in SCE's territory to commence the acquisition process. As such, the City can benefit from the fact that SCE is becoming more accustomed to this process, which increases the likelihood that the City of Santa Ana will have a streamlined experience. Further, in Tanko Lighting's experience, most recent acquisitions in California (including the City of Richmond just a few months ago) have not necessitated any outside legal resources and merely relied on internal legal staff to complete the acquisition process. Thus, Tanko Lighting does not anticipate the need for any additional subcontractors. However, should the acquisition process for some reason become more complicated and /or contentious, Tanko Lighting will work with qualified legal partners with experience in municipal street light acquisitions to bring additional resources to the project (at an added cost). Phase 5: Streetlight Conversion Proiect Support Task 9: Conversion Support Tanko Lighting will provide technical and logistical support to City staff during the implementation of the retrofit project, including GPS verification and fixture installation. Specifically, Tanko Lighting's support will include the following elements: Stakeholder Outreach Tanko Lighting believes that proper coordination of information and outreach to stakeholders is an essential part of ensuring a successful street light conversion project. To that end, Tanko Lighting will coordinate with the City to develop a communication plan prior to the commencement of any conversion activities. The strategy will: • Develop appropriate project messaging • Provide a press release outlining the project's elements and benefits • Provide language and Frequency Asked Questions about the project for inclusion in the City's relevant website pages • Utilize the City's existing social media, public relations channels, and electronic media to broadcast the project information. This will ensure speedy message delivery and eliminate need for printed materials, thereby reducing cost and waste • Logistics Management Tanko Lighting will ensure that all logistics are carefully coordinated for the LED conversion phase. Tanko Lighting will ensure proper communication and coordination with installation crews and will coordinate pre - construction meetings and regular progress meetings with City staff and the installation contractor. Additionally, Tanko Lighting will equip installation crews with the similar devices that are used in the initial audit. Installers will utilize these devices to track the specific characteristics of daily installations, including confirmed pre- and post - installation wattage, compliant labeling and badging issues, pole number, and verified voltage prior to installation. Tanko Lighting will also provide installation maps showing street light locations and replacement fixtures to be installed to help direct installation crews and assist City inspectors with accurate project tracking. Tanko Lighting will provide the City with a Weekly Installation Report (see sample report in Appendix C) with the locations and characteristics of the new LED fixtures installed. Task 2: Installation Data Reconciliation Tanko Lighting will utilize the data collected during the installation process and compare it with the audit data to verify that all relevant locations were converted. This process will also identify any punch -list items and Tanko Lighting will continue to coordinate with the installation contractor to ensure that the final data set is accurate and complete. Tanko Lighting will provide the City with a complete commissioning report outlining any errors and actions taken to correct errors. Task 3: Rebate, Rate Change & Incentive Coordination Tanko Lighting will comply with all requirements to ensure replacement LED luminaires receive any available utility rebates, rate changes and any incentives (including greenhouse gas credits). Tanko Lighting will maintain close and ongoing communication with SCE to obtain status updates on submitted rebate applications and Tanko Lighting Statement of Qualifications — City of Santa Ana — RFP #15 -058 Page 21 of 28 25N -17 requests. Further, Tanko Lighting will be responsive to any inquiries that the utility may have regarding submitted rebate applications. Providing ongoing communication with the utility will improve the likelihood of a prompt rebate payment. Tanko Lighting will also coordinate with SCE on changing tariffs to the newly - installed fixture rates. Tanko Lighting will provide the administrative support to not only process the tariff changes, but also to amend billing records with the utility and to monitor future bills to ensure that the changes appropriately took effect. Further, Tanko Lighting will closely coordinate with City staff on the status of rebate and tariff changes on an ongoing basis, to troubleshoot any issues with the City, and to keep City staff informed of the status of the processes. Task 4., Final Deliverables A project is never completed until the final documentation and administrative requirements are met. Tanko Lighting understands that proper follow through is essential to considering a project successfully executed. To that end, Tanko Lighting will coordinate all final reporting and data requirements to ensure that the City considers the project is compliant and complete. This includes but is not limited to reporting of the following requirements: 1. As -built documentation and maps of completed project; and 2. Post - construction electronic GIS records for all newly installed street lights in the City in the form of electronic GIS records. Task 5: Develop Maintenance Agreement Options Tanko Lighting will develop several maintenance agreement options for long or short term maintenance of the newly acquired and existing street light systems, including provisions for knockdowns and extraordinary maintenance. Additionally, Tanko Lighting will define service levels and the type of service contract for a long and short term street light maintenance agreement, Task S: Technical Support of Web -Based Maintenance Programs Tanko Lighting will provide technical support to City staff to develop web -based maintenance programs. Task 7: Fieldwork to Cot /ect GPS Data to Track and Maintain System Tanko Lighting will perform fieldwork to capture detailed GPS data to track and monitor the street light system. Deliverables Phase 1 Deliverables + Initial RCNLD Assessment: A preliminary modeling of the value of the fixtures the City wishes to acquire from SCE. Phase 2 Deliverables • Weekly Audit Reports: A detailed listing of the locations completed during the data collection phase, along with a description of any issues that the City would need to devote immediate attention to — including electrical hazards, tree trimming needs, etc. • Pole Sampling Resort: A report based on pole characteristics (e.g. wood, metal, concrete, etc.) with associated remaining value and depreciation assigned, • Final SCE Survev Report: Documentation of Tanko Lighting's experience with SCE during its final field survey of the representative samples with any discrepancies of fact noted. • Cut -Over Cost Report: A report validating any SCE cut -over costs with explanations as to how these costs were optimized. • Over /Under -Lit Recommendations: A report of options regarding how to remedy any under or over -lit areas meeting minimum safe night -time lighting standards. Phase 3 Deliverables • Current Costs Analysis: A report of detailed current City costs for street lights, including energy, distribution, tariffs, etc. • Financing Cost Analysis: A report of detailed financing costs to acquire, energize, maintain, improve, and cover liability (proposed costs), • Cost /Benefit Analysis: Documentation identifying cash flow savings or system efficiency or both. Tanko Lighting Statement of Qualifications —City of Santa Ana — RFP #15-053 25N -18 Page 22 of 26 Financing /Funding Overview Report: A report providing additional sources of funding, including grants and rebates, available to the City. Financing Overview Report: A report providing several financing options to support the project. Phase 4 Deliverables • Relevant Technology Recommendations: A report providing recommendations and technical support identifying appropriate energy efficient technology (LED or approved equal) and relevant control technology to retrofit existing street lights, including detailed cost estimates. • Replacement Plan: A plan providing the recommended replacement fixtures for the existing luminaires. • Ownership Transfer Strategy: Documentation of the recommended strategy to transfer ownership of the street lights. Phase 5 Deliverables • Stakeholder Outreach Materials: Relevant messaging and draft materials (such as press release and Frequently Asked Questions) to support the City's outreach efforts. • Weekly Installation Report: A detailed listing of the locations completed during the installation phase, along with maps corresponding to locations. Rebate and Tariff Change Documentation: A compilation of copies of paperwork submitted and processed with the utility regarding any applicable rebate applications and tariff changes. The information will also include reports on any issues that arose during the process and actions taken to correct the issues. • Commissioning Report: Detailed analysis of final installation verification and testing, including an outline of any errors and actions taken to correct errors. • Final Report: A final project report that will include all documentation requirements, including final utility rebate and rate change requirements, as -built documentation and maps of completed project and pre- and post - construction electronic GIS records. • Maintenance Agreement Options: A report detailing several maintenance agreement options for long or short term maintenance of the newly acquired and existing streetlight systems. • Maintenance GPS Data: Ongoing GIS records based on fieldwork captured to track and monitor the street light system. • Over /Under -Lit Recommendations: A report of options regarding how to remedy any under or over -lit areas meeting minimum safe night -time lighting standards. Schedule Because the acquisition process with SCE is still being determined by the initial municipal participants, it is difficult to provide an initial schedule for the entire project with any certainty, as there are many elements outside of Tanko Lighting's control. However, Tanko Lighting will streamline tasks so as to expedite the process and enable the City to commence energy savings as soon as possible. Below is a table with a preliminary schedule of how Tanko Lighting believes the project could progress: Tanko lighting Statement of Qualifications —City of Santa Ana — RFP 1115 -053 Page 23 of 28 25N -19 Preliminary Project Schedule Phase Task Expected Completion Phase 1: Initial Valuation and 1. RCNLD Valuation 4 weeks from receipt of a complete data set Street Light Assessment 2. Acquisition Coordination Ongoing Task 1. Complete Audit 15 working weeks from Notice to Proceed 6 working weeks from completion of Task 2. Data Reconciliation Comprehensive Audit 2 working weeks from completion of Data Phase 2: Final Valuation, Audit, Task 3. Pole Sampling Reconciliation and Lighting Assessment Tasl<4. Accompany SCE TBD - Dependent upon SCE's schedule /availability _ _(Sampling) Task 5. Assess Cut -Over 4 working weeks from completion of Data Costs Reconciliation Task 6. ID Under /Over -Lit 2 working weeks from completion of Data Areas Reconciliation Task 1. Determine Current 2 working weeks from completion of Data Phase 3: Streetlight Financial Costs Reconciliation Analysis Task 2. Determine Financing 2 working weeks from completion of Data Cost Reconciliation Tasl<3. Cost/BenefitAnalysis 2 working weeks from completion of Data Reconciliation Task 4. ID Financing/Funding 2 working weeks from completion of Data Sources Reconciliation Task S. Develop Financial 2 working weeks from completion of Data Options Reconciliation Task 1. Provide Recommendations & 4- 6 workingweeks from Notice to Proceed Technical Support to ID Relevant Technology Phase 4: Acquisition 2 working weeks from completion of the Recommendations & Technical Support to ID Task 2.Transfer Strategy Relevant Technology Task 3. Acquisition Support Ongoing Task 1. Conversion Support TBD - Depends on installation schedule Task 2. Installation Data TBD - Depends on installation schedule Reconciliation Task 3. Rebate, Rate Change, TBD - Depends on installation schedule & Incentive Coordination Task 4. Final Deliverables TBD - Depends on installation schedule Phase 5: Streetlight Conversion Task 5. Develop Maintenance 4 - 6 weeks from Notice to Proceed Project Support Agreement Options Task 6. Technical Support of Web -Based Maintenance TBD - Depends on the City's schedule /availability Programs Task 7. Fieldwork to Collect GPS Data to Track and TBD Maintain System Task 8. ID Over /Underlit TBD Areas Tanko Lighting Statement of Qualifications —City of Santa Ann — RFP #15 -053 25N -20 Page 24 of 25 Carbon Credit Captions Based on Tanko Lighting's understanding of current market conditions, it does not appear that the potential carbon savings generated by an LED street light conversion for the City would result in an opportunity for added "carbon revenue" from the sale of any carbon credits. There are two reasons for this result. First, AB 32 currently only regulates two sectors in California — heavy Industrial Businesses and Utilities. Due to this, a municipality does not need to lower its carbon production because of a regulated market cap, so the offset in carbon does not create a tradable asset in The AB 32 Marketplace. Secondly, utilities must purchase offsets that are generated outside of the capped sectors and offsets must be approved on the California Air and Resource Board - Approved Offset Protocols. These protocols further nullify an opportunity for municipalities to generate additional revenue in The AB 32 Marketplace because they would fall within the capped Utility Sector. Further, currently there is no other carbon market in the US that utilizes "Carbon Reduction Asset" via improved energy efficiency from a utility ratepayer. Other carbon markets outside of California would accept an offset from a California based source, but unfortunately this form of "Carbon Reduction Asset" does not appear to be currently approved in any of the carbon markets. Should the City be interested in other revenue generating activities related to its street light infrastructure, such as wireless generation from leasing space on the poles to telecommunications carriers, Tanko Lighting can assist by providing models and options that are available. City Staff Support Tanko Lighting's ultimate role is to alleviate burden from City staff and execute a successful project that meets the City's objectives. Accomplishing this requires close coordination and a strong working relationship with City staff. Tanko Lighting will provide the technical expertise, project management, recommendations, and installation support for the project. Tanko Lighting expects that the City staff's role will be to: • Assist the Team in understanding existing City protocols and procedures related to the project • Provide an engineering and technician /field liaison who is knowledgeable in the City's infrastructure and street lighting needs and will be available to assist in any technical or troubleshooting issues • Provide knowledgeable staff to assist with the various acquisition and conversion strategies • Offer a contracts /legal liaison to assist with negotiations, interpretation and enforcement of contract issues • Provide a day -to -day main point of contact to assist the Team's project management efforts and to participate in Kick -off, weekly and /or monthly project meetings • Maintain an ongoing schedule of regular meetings with the Team to monitor project progress • Provide a liaison to the City Council, so that the Team can provide ongoing communication to Council Members • Respond to requests for information in a timely fashion • It is premature to provide a payment schedule for the project, given that there are several elements of the project that are still to be determined. Thus, upon establishment of a mutually - agreeable payment schedule, Tanko Lighting will expect the City honor the committed timeframes and communicate in the event that there are unforeseen delays • Acknowledge Tanko Lighting as a partner focused on mutual goals and provide timely feedback throughout the project's progression 119. Certifications The following forms, Included in Attachment 3 in the Appendix of this RFP shall be signed and included as part of the proposal submittal package: 1. Attachment 3 -1: Non - Collusion Affidavit 2. Attachment 3.2: Non - Lobbying Certification 3. Attachment 3.3 -: Non - Discrimination Certificate Please find these required Certifications in Appendix D. Tanko Lighting Statement of Qualifications — City of Santa Ana — RFP 015 -053 Page 28 of 28 25N -21 FEE SCHEDULE (OR) RATES AND CHARGES 9 25N -22 �aasr- Tanko Lighting Statement of Qualifications —City of Santa Ana — RFP #15 -053 Page 2 of 6 25N -24 Cover Letter Kurt Wiemann June 16, 2015 Projects Manager Public Works Agency City of Santa Ana 20 Civic Center Plaza; 3rd Floor, Ross Annex Santa Ana, CA 92702 RE: Fee Proposal for City of Santa Ana's Request for Proposals for Streetlight Acquisition Feasibility Study & Energy Efficiency Analyses Project (RFP #15 -053) Dear Mr. Wiemann, Per the City of Santa Ana's Request for Proposals (RFP) for Streetlight Acquisition Feasibility Study & Energy Efficiency Analyses Project (RFP #15 -053), please find enclosed Tanko Lighting's Fee Proposal. Please note that this Fee Proposal is meant to accompany Tanko Lighting's submitted Statement of Qualifications (under separate cover). We look forward to your feedback. Regards, r "f ` Jason Tanko President, Tanko Lighting 1000 Quesada Avenue San Francisco, CA 94124 415.254.7579 ason@tankolighting.com Enclosures Tanko Lighting Statement of Qualifications — City of Santa Ana — RFP #15 -053 Page 3 of 6 25N -25 Fee Proposal Costs Standard Hourly Fee Schedule Rosition H.04v Rate Principal $ 250.00 Project Engineer $ 220.00 Project Manager $ 188.00 Project Associate $ 156.00 Data Analyst $ 156.00 Auditor $ 125.00 Project Fee Schedule Fha's Task Postktan . Hours Rate, Tio at Pfrasa 1, RCNLD Valuation _ Principal y.. 18 ry_ S 250 $ 4,504 Prnjaet Mana�ar _. - .._i..__?B_..__� 188 $ 3,175 Acquisition Coordination _ Pfin cfpxl =- 36 _$ _ 230 , 5 9,000_ Project Manager 36 i $ IN $ 6,750 ��•" " =M� �� - . Phase 1 Ndt"ra tix�ead'total � � 23,,6'25;_. Phase 2 I Complete Audit (14,500) Auditor SpD $ - 125_ S 100,006 _T Data Analyst 66 $ 156 $ 9,3iS 36 $ i88 $ 6,750 ___._..®...._._ Data Reconciliation . -. Pole Sampling Data Analyst i 400 $ 156 PrinnipalLL 6 250 y 5 62,500 Accompany SC£ JsSmpling)_, ,_..._�r .- .�?_._ Project Manager -r 6 S lag Principal ar Praj_ect Ma or..M 24 ._1.,500 .. _ _ h5.... -1as Cutovsr Cost — Project Manager 24 S 188 j 4500 ID Over /Undarlit areas Principal_, $. _._ 250 $_ 9,000 Project Manager Phasa2Met %aeed,Tota( q Phase 3 Date rmina Current City Costs Manager i 12 $ 188 $ 2,250 Project Associate 24 $ 156 $ 3,750 Determine Financing Cost to Acquire and Convert Primal 18 $ 250 $ 4,500 �.�. Prolact, Mattager 36 $ 1 &8 $_.. 6,750 Cost/8enafit Analysis __j, Pra cot Associate 60 $ 1S6 Prnjec8 Manager 1 6 $ iBB $ $ 9 375 1,125 Project Associate + a $ 156 5 438 10 Financing /Funding Sources _ Principal__ 6 $ 250 I $ 5 1,500 j._.._.�..._.,..._._...... -._. .._..._�._...._ ,_... Project Managar.T� _ ._. . 12 $.188. 2,250 _ Develop Financial Options Develop Principal _ - 12 $ 250 $ .� 3,000 PrajacY Manager 12 $ 188 $ 2,254 � � ` +� ' »s ;� ,� x " �£,t �Egce 1 ., M1f °° � � {s , � =ate.; ` �;• �" 3Td$8 ,�. ,pia 267,313 Tanko Lighting Statement of Qualifications — City of Santa Ana — RFP #15 -053 Page 4 of 6 25N -26 T Phases 1.3 Not to Exceed Totat; $ 2677313 Phase 4 Provide Recommendations & Technical Support to ID Principal 16 1 $ 250 $ 4,000 Relevant Technology o� ct Manager i 32 $ 18$ - $ 6c00p - ProJsetAssociate 240 $ 156 $ 37,500 Transfer Strategy Principal 40 $ 250 $ 10,000 ��__.._... ___ .._ j PrtlJOC# Manage� rr � 40 $ _1$8 _ $ 7,500 I I Acquisition Support Principal _ 80 Lam 250 $ 20080 .._..._ Project Manager So $ 188 1 $ 15,000 7Phasa4 Not to Exceed Totel. Phase S I Conversion Support Princat 80! S 250 $_ 20,000 __.__�.�__ Protect Mana er 240 r$ 188 $ 45,000 ._..__...____ Installation Data Reconciliation _.._..__ _____...__0__._ Data Anal st _r , 320 Project Anal stte 160 {_,_��.._...__,.__...._.. i $ 156 $ 156 ' S 50000 �$ 25,000 Rebate, Rate Change, & Incentive Coordination Data Analyst 80 —.... .._._....._........_ ...._--- r----- ...___..__..._.__ .^� 156 $ 12,500 ._.—._ --__ —. Associate 1 8o ' $ 156 $ 121504 final Deliverables -- Prajetf Manager ,__.G 12 $ 188$. 2,250 ,_ Profe¢t Asvwata _ 32 S 156 ' $ 5,000 Maintenance Agreement Options' - - - - -- Data Analyst '1.6_0- - -5— 156 I $ 25 Opo _Principai_��I 16 I S 250 4,000 - Project Project 3 Manager 188 6_0 Y. Pro'ectAssociate i , _ __ 32 _�. 1 $ 56 50 $ ,00 Technical Support of web -Based Maintenance Programs - . PToh!q Mansur G 32 --I4 Data Analyst 40 _ __188 ' __.. $ 6,000 Fieldwork to Collect GPS Data Track Maintain S 156 $ 6,250 to and System sID Auditor so I S 125 $ 10,000 Ovar /underrt areas Principal 16 S 250 $_ 4,000 Project agar 32 �- ' G 188 6,000 Data Analyst Y st 32 ^..48 156 Project Assotiata.a� $ 156 $ 7,500 ': (I?(iiHSe.'SNot`tol;xteedTOtelt ,. r '' r`" `$. X5_7, ;0t14'. Phases 1- 5 Not to Exceed Total* $ 624,313 t Ass um ptionsiRationale • Per the City's RFP, Phase 1, Task 2 includes support of acquisition. It is unclear as to what at this stage will be needed for acquisition support, given that the City will still be in the feasibility analysis phase at this point. However, Tanko Lighting retained this in its approach to be consistent with the City's RFP and included a minimum number of hours to support this goal. If the City provides a better definition of this Task, Tanko Lighting may need to add additional hours to support a more robust expectation. • Per the City's RFP, Phases 2 and 5 include an identical task of Identifying Over /Under -Lit Areas. Tanko Lighting took a conservative approach by including them in both Phases, assuming that planning will take place in Phase 2 and implementation will take place in Phase 5. However, if the City later determines that this is redundant, Tanko Lighting can eliminate this Task from one of the Phases (per the City's preference). • Tanko Lighting priced the Phase 2 Task 1 audit task based on the inclusion of both the SCE -owned fixtures (approximately 11,545 fixtures) as well as the City -owned fixtures (approximately 3,000 fixtures) and a comprehensive scope of work. However, should the City be interested in a more cost effective approach, Tanko Lighting can minimize the efforts with the audit for the locations where the City has already conducted an audit and simply provide commissioning (a drive -by level of effort) for these locations, combined with a comprehensive approach targeted to just the areas where the City has not previously conducted an audit. Assuming that approximately 60 percent of the City has already been comprehensively audited — and that Tanko Lighting would only be comprehensively auditing approximately 40 percent of the City's remaining fixtures (and applying the drive -by level of effort to 60 percent of the fixtures), this approach would save the City approximately $85,875 from Tanko Lighting's Project Fee Schedule for that task. • Given Tanko Lighting's experience with the SCE acquisition process in other cities, the final stage before the completion of the acquisition includes SCE visiting every fixture for final fixture crossover analyses. Tanko Lighting Statement of Qualifications — City of Santa Ana — RFP #15 -053 Page 5 of 6 25N -27 While to date, there has not yet been a city that has completed this phase, the City of Santa Ana should be aware that this may be an added cost unforeseen in the scope, of work in Its RFP. It remains to be seen whether or not SCE will proceed with such a robust approach (as it might realize what a tremendous resource strain this approach will be for its staff). However, in the event that the City requires more robust support for this element, it will be an added cost of $72,350 that will be integrated into Phase 4 activities. It was not clear from the City's RFP what the purpose was of Phase 5, Task 7. Tanko Lighting included minimal hours to provide basic support but is uncertain whether this is necessary. Should further discussions with the City result in an understanding of this Task as more robust, Tanko Lighting will provide as an added cost. Indicative Pricing Please find Tanko Lighting's programmatic proposal with indicative pricing for just Phases 4 and 5 of the project (and for just the estimated 11,545 SCE -owned fixtures) in Appendix A. Please find the electronic Excel file of this data enclosed in the sealed envelope in which this Fee Proposal is contained (note that the Excel file is a proprietary template and is thus confidential and not intended for public record). Please note that the indicative pricing includes a specified first -year annual savings of $1,375,647, plus a one -time payment of approximately $716,559 in rebates in the first year. Assumptions /Rationale • Pricing for Phase 5 includes: • Leotek Green Cobra LED Fixture Series as part of the Phase 5 LED conversion process with a standard photocell (note that Tanko Lighting is product agnostic and merely included the Leotek brand for demonstration purposes only. Tanko Lighting will work with the City to determine the best product options to meet its needs during Phase 4 activities) • A control -ready seven -pin photocell receptacle on each LED fixture • Assumed 4,140 annual operating hours • Installation fees estimated at $65 per fixture • Sales tax (@ 8 percent) • An assumed acquisition price of $850 per pole location • A rebate amount of $0.14 per kWh saved • A 10 -year warranty on material • A 1 -year warranty on installation • HPS maintenance costs based on 17 percent annual turnover rate (@ $75 per fixture maintenance cost) • LED maintenance costs based on 2 percent annual turnover rate (@ $125 per fixture maintenance cost) • Financing costs are excluded Draft Letter of Intent Please find Tanko Lighting's draft Letter of Intent for Phases 1 — 3 in Appendix B. Financial Stability Tanko Lighting is a financially stable company that has successively operated profitably for more than a decade. As a privately -held company with just two shareholders, Tanko Lighting is tightly controlled, enabling sound financial and business decisions. Since 2010, the company has experienced rapid growth and expanded its core business model — all while maintaining zero long -term debt. With a clear understanding of its core competencies, significant knowledge of the municipal street lighting market, and sound leadership, Tanko Lighting continues to experience sustainable growth while reinforcing its triple bottom line values: People, Planet, and Profit. Please find Tanko Lighting's Financial Statements in Appendix C. Please note that all Included Financial Statements are confidential and not intended for public record. Appendices • Appendix A: Programmatic Proposal with Indicative Pricing (Excel Files are Proprietary & Confidential) • Appendix B: Draft Letter of Intent • Appendix C: Financial Statements (Confidential) Tanko Lighting Statement of Qualifications — City of Santa Ana — RFP #15 -053 Page 6 of 6 25N -28 100111 IY�i7 ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ( "additional insureds ") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective this endorsement form as a part of Policy # Issued to Named Insured Countersigned by Authorized Representative 10 25N -29 25N -30 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: CONDITIONAL USE PERMIT NO. 2015-14 TO ALLOW A 50 -FOOT HIGH WIRELESS FACILITY FOR VERIZON AT 3420 SOUTH BRISTOL STREET - VINCULUMS SERVICES INC., APPLICANT {STRATEGIC PLAN O. 3, 2 �t2 �. GI ✓Ta of CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1° Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2015 -14 as conditioned. PLANNING COMMISSION ACTION At its regular meeting on July 13, 2015 by a vote of 7:0, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2015 -14 as conditioned to allow a 50 -foot high wireless communication tower stealthed as a monopine and equipment facility at 3420 South Bristol Street located in the Planned Shopping Center (C4) zoning district. The Planning Commission made no changes to the recommendation outlined in the attached staff report (Exhibit A). DISCUSSION The proposal is to construct a 50 -foot high Verizon Wireless facility disguised as a pine tree. The proposed monopine is to be constructed on a 0.87 -acre parcel of land located on Bristol Street, north of MacArthur Boulevard. The subject property is occupied by the China Garden Restaurant, and is a part of a larger integrated commercial development. The facility is intended to provide increased cellular coverage and call capacity in this area of the city. Full sized plans are available for public viewing in the Clerk of the Council Office STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 2 (create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies). 31A-1 Conditional Use Permit No. 2015 -14 August 4, 2015 Page 2 There is no fiscal impact associated with this action. weav( assan Hai ani, ICP Executive Director Planning & Building Agency MM:rb MM!RSpoiUNC=P15- 14VeH=nWad Exhibit: A. Planning Commission Staff Report 31A-2 REQUEST PLANNING COMMISSION MEETING DATE: JULY 13, 2015 TITLE: PUBLIC HEARING - FILED BY VINCULUMS SERVICES INC. FOR CONDITIONAL USE PERMIT NO, 2015 -14 TO ALLOW A 50 -FOOT HIGH WIRELESS FACILITY FOR VERIZON AT 3420 SOUTH BRISTOL STREET {STRATEGIC PLAN NO. 3,2) Prepared by Melanie G. McCann PLANNING COMMISSION SECRETARY APPROVED • As Recommended • As Amended • Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO eWl Director Acting P��ing My�hager RECOMMENDED ACTION Adopt a resolution approving Conditional Use Permit No. 2015 -14 as conditioned. Request of Applicant Vinculums Services Inc., representing Verizon Wireless, is requesting approval of a 50 -foot high wireless facility disguised as a pine tree at 3420 South Bristol Street. Major wireless communication facilities require approval of a conditional use permit pursuant to Section 41- 198.3(b) of the Santa Ana Municipal Code (SAMC). Project Location and Site Description The project site consists of a 39,996 square foot parcel that is part of a larger integrated commercial development. Located on Bristol Street, north of MacArthur Boulevard, the subject property is adjacent to commercial and retail businesses to the north, south and east. Multiple family residential developments are located to the west of the project site (Exhibits 1, 2 and 3). The site is Currently improved with a 6,274 square foot eating establishment occupied by the China Garden Restaurant. Proiect Description Verizon is proposing to construct a 50 -foot high wireless facility disguised as a pine tree. This facility is intended to provide increased cellular coverage and call capacity in this area of the City. To give the facility the appearance of a natural tree, the tower has been designed to have branches that will extend seven feet above the antennas to a maximum height of 50 feet. Equipment for the wireless facility will be installed within an equipment enclosure that measures approximately 22 -feet by 20 -feet for a total of 440 square feet. This proposed equipment enclosure will contain one stand -by generator, two equipment cabinets, two battery cabinets, and two GPS antennas. The enclosure will be located west of the existing restaurant building with the monopole itself surrounded by the concrete masonry block wall equipment enclosure, and a two -foot landscape planter at the base. EXHIBIT A 31A-3 CUP No. 2015 -14 July 13, 2015 Page 2 The applicant proposes to add two 36 -inch box pine trees to assist with the stealthing of the monopole. One tree will be located in the new planter adjacent to the facility and the second tree within an existing planter in the middle of the parking lot (Exhibits 4, 5 and 6). In addition to the monopole and equipment enclosure, the applicant proposes to provide site improvements including the repair and re -slurry the site parking area and a new trash enclosure to meet City standards. The proposed Monopine wireless facility will contain three sectors. Each sector will contain four eighth -foot Panel Antennas, as well as four Remote Radio Units (RRU) mounted behind the proposed antennas. With four panel antennas on each side, there will be a total of 12 panel antennas and 12 RRU's. W. In August 2014, plans were submitted on behalf of Verizon Wireless to install a new wireless facility at this location. After a review of the proposal, staff recommended the applicant pursue alternative locations and /or reduce the height of the monopole from 60 feet to 50 feet. This request was based on Bristol Street's designation in the City's General Plan Scenic Corridor Element as a Secondary Scenic Corridor. The reduction in height is intended to mitigate the visual impact from both the scenic corridor and nearby residential properties. The site was developed in 1977 and is presently owned by MCG MacArthur Corner LLC. City records show the existing restaurant use has operated at this location since 2001. The property owners will be leasing a 488 square foot area at the north section of the site to Verizon for the Installation of the monopole and equipment enclosure. General Plan and Zonina Consistency The General Plan land use designation for the site is District Center (DC), which allows higher intensity mixed use and residential development with a maximum floor area ration of 1.0. Uses such as wireless facilities are consistent with this General Plan land use designation. Per the General Plan Scenic Corridor Element, Bristol Street is designated as a Secondary Scenic Corridor and is intended to preserve scale and aesthetics along the corridor to limit obtrusive land uses. The zoning for the site is Planned Shopping Center (C -4), which allows for a variety of commercial and service uses to serve the community. The existing restaurant use of the property is a conforming use, and the proposed wireless communication facility is consistent with the zoning designation. 31A-4 CUP No. 2015 -14 July 13, 2015 Page 3 Project Analvsls In July 1998, the City Council adopted Ordinance No. NS -2356, which established regulations for wireless communication facilities throughout the City. Major wireless communication facilities such as the proposed Verizon facility are required to have a stealth design and be located in an area that provides the greatest amount of visual screening. Further, these major facilities require the approval of a conditional use permit. Further, Section 41 -198.4 of the Santa Ana Municipal Code (SAMC) identifies several site improvements that may be required at sites with major wireless facilities. These improvements include: 1. Landscaping around the base of the facility, including vines, groundcover and a 24 -inch box tree; 2. Decorative fencing (wrought iron or block) around the facility; 3. A six -foot high solid wall between the facility and property zoned or used for residential; 4. One parking space, if on -site parking is not available; 5. Repairing, repaving and restriping of a parking lot which is in poor condition; 6. The repainting of buildings on a site; and 7. The construction of a new trash enclosure. As part of the development review portion of the project, staff worked with the applicant to identify improvements to be required in tandem with the proposed monopole and equipment enclosure. These improvements reflect the requirement to screen the facility from view, to provide enhanced landscaping through the planting of a new tree and vines, to deter graffiti through the planting and maintenance of landscaping materials, to enhance the site parking surfaces, and to minimize the project's overall impacts on the surrounding community. Conditional use permits are governed by Section 41 -638 of the SAMC. Conditional use permits may be granted when it can be shown that the following can be established: • That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or community. • That the proposed use will not, under the circumstances of the particular case, be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. • That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. • That the proposed use will comply with the regulations and conditions specified in Chapter 41 for such use. • That the proposed use will not adversely affect the General Plan of the city or any specific plan applicable to the area of the proposed use. 31A-5 CUP No. 2015 -14 July 13, 2015 Page 4 If these findings can be made, then it is appropriate to grant the conditional use permit. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which, in turn forms the basis for the recommendation contained in this report. In analyzing the conditional use permit request, staff believes that the following findings of fact warrant approval of the conditional use permit. Section 41- 198.5(b) of the SAMC establishes site selection order of preference criteria for wireless facilities. These provisions require the exploration of various options before proposing a new monopole. The applicant has explored alternatives to this monopole, including providing a roof mounted facility on an existing building in the area and co- locating on another facility. The heights of the buildings (predominantly one -story) in the immediate area do not provide the necessary height to provide adequate service. Also, there are no wireless facilities close enough to provide the necessary coverage and capacity that Verizon requires. The project will provide a service or facility which will contribute to the community. The proposed monopole will provide a service to Santa Ana residents, businesses and motorists who subscribe to Verizon's services by reducing the gaps in cellular service and providing additional calling capacity for its users in the southern sector of Santa Ana. • The proposed wireless facility at this location will not be detrimental to persons residing or working in the area as the proposed facility will be in compliance with Federal law that govern health related issues for wireless facilities, including safety regulations from the Federal Communications Commission (FCC) and Federal Aviation Administration (FAA). • The proposed monopole, in conjunction with the new live pine trees and site improvements, will be compatible with the surrounding area and will not adversely affect the economic viability in the area. The stealth appearance and site enhancements will maintain and increase the economic stability for development by providing an additional service for business owners, workers, and residents in the area. • The use will comply with all provisions pertaining to the construction and installation of wireless facilities identified in Chapter 41 (Zoning Code) of the Santa Ana Municipal Code. The proposed facility will be stealthed as a pine tree, will feature new and enhanced landscaping, will provide screening from adjacent uses, and will comply with other standards outlined in the SAMC. • The proposed monopole will not adversely affect the General Plan as cellular facilities that are designed to be compatible with the surrounding environment are consistent with the goals and objectives of the Land Use Element. Goal 1 promotes a balance of land uses to address community needs, which includes means of communication that will be served by the proposed monopole. In addition, Goals 3 and 5 require preservation of neighborhood character and integrity 31A-6 CUP No. 2015 -14 July 13, 2015 Page 5 as well as mitigation of developments' impacts. The proposed monopole is designed to minimize visual impact on the area through additional landscaping and the stealthing of the monopole at the project site. Further, Policy 2.2 encourages land uses that accommodate the City's needs for services. Enhancing a cell phone provider's coverage in the area enhances services that are readily available for business owners, workers, and residents in the immediate vicinity. A facility disguised as a pine tree would provide the best stealth possible for this location, The facility is located within a commercial district and will be installed toward the north of the site, approximately 152 feet away existing residential uses. There is a mixture of tree species including pine trees located adjacent to Bristol Street and on the adjacent multiple family residential site. Thus, the pine tree design will blend into the area and has been designed to minimize visual impacts to adjacent residence and travelers along the Bristol Street scenic corridor. All associated wiring and conduit for the facility will be underground or hidden within the interior of the monopole. This location is also optimal to provide the coverage necessary for existing and expanding service. The proposed cellular antennas will provide a benefit to Santa Ana residents, businesses and motorists who subscribe to Verizon by closing service gaps and providing enhanced cellular service in the area. Equipment for the facility will be located within a new enclosure behind the restaurant building, with vines planted on the block wails to assist in screening the wireless facility on the site. The proposed wireless facility complies with the City's Wireless Communications Facility Ordinance and will provide needed service to this area of the City. Further, the project is consistent with the goals and objectives of the General Plan that safeguard residents and workers in the area while encouraging land uses that accommodate the City's needs for services. Public Notification The project site is located south of the Republic Homes Neighborhood Association boundaries and east of South Coast Neighborhood Association. However, staff contacted the presidents of these neighborhood associations to ensure that they were notified of this project and to identify any areas of concern. The presidents did not identify any concerns with the project. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and notices were sent to all property owners and occupants within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public, CEQA Compliance This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The project is exempt from further review pursuant to Section 15303. This Class 3 exemption allows in -fill developments for the construction and location of limited numbers of new, small facilities or structures; the installation of small new equipment and facilities in small structures; and the conversion of existing small structures from one use to another. 31A-7 CUP No. 2015 -14 July 13, 2015 Page 6 The wireless facility is a new, small facility that has been found by the City's development review agencies to not create any adverse impacts such as noise, traffic, or safety concerns. As a result, Categorical Exemption Environmental Review No. 2015 -34 will be filed for this project. Strategic Plan Alicinment Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 2 (create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies). Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit No. 2015 -14 as conditioned. Melanie G. McCann, AICP Associate Planner MM:jm Attachments: Exhibit 1 - Vicinity Map Exhibit 2 - Location Map Exhibit 3 - Site Photo Exhibit 4 - Site Plan Exhibit 5 - Elevations Exhibit 6 - Photo Simulations 31A-8 C I , r Al GENERAL AGRICULTURAL I B PARKING MODIFICATION C -SM COMMERCIAL SOUTH MAIN CI COMMUPRTY COMMERCIAL. C1-MD COMM, COMMERC;IA JMUEEUM ISIS '1I1ICT C2 GENERAI. COMMERCIAL C3 CENTRAL BUSINESS C3 -A CENT RAL BUUNCSS- ARTISTVILLAGE Cn PLANNED SHOPPING CENTER C.5 ARTEMALCOMMERCIAL 0 CR GC MI ME MD U P PCD PLO COMMERCIALRESIDEN'"AL GOVMNMANTCENTER LIGHTINOU51RIAL HEAVY INDUSTRIAL MIIJTARY OPERATIONS OPEN SPACE PROFESSIONAL PLANNED COMMUNITY DEVELOPMENT PLANNED RESIDENTIAL DEVELOPMENI M e , Al SINGLE FAMILY RLSIDEN RAL R3 TWO FAMILY RESIDENCE R3 MULTIPLE DEN5ITY MULTIPLE FAMILY RESIDENCE IN SUBURBAN APARTMENTS RE RESIDENTIAL ESTATE 50 SPLCIMCDEVELOPMENT SP SPECIFIC PLAN �j CUP 2015 -14 VERIZON WIRELESS FACILITY GXY„ PMrc,In, , 3420 SOUTH BRISTOL STREET - - =500 FEET 1" -1000 FEET P L A N N I N G A N D B U I L D I N G A G E N C Y EXHIBIT 1 31A-9 I 0 M U L T I - PAM ILY \(`F RE5I QENCE NI U L T I- r A M I L Y R E 5 1 D E N C E C 0 M M E R C I A L MAC ARTHUR C 0 NI M E R C I A Fc U M M E R C 1 A L COMMERCIAL CUP 2015 -14 VERIZON WIRELESS FACILITY All 3420 SOUTH BRISTOL STREET SV P L A N N I N G A N 0 B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 31A -10 P.ROJECT', SITE h o C+ � 0] BOULEVARD Fc U M M E R C 1 A L COMMERCIAL CUP 2015 -14 VERIZON WIRELESS FACILITY All 3420 SOUTH BRISTOL STREET SV P L A N N I N G A N 0 B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 31A -10 A^ CUP 2015.14 VERIZON TELECOMMUNICATION 3420 SOUTH BRISTOL STREET 31A-1 1 - i taxi €RE �9gce m �• 4 z U gg SO$ x„ a r is�/s�sdG/$�\ R. /fi�/s� �/@� / / /@ m 9F15 TPL STft EE7 Z�'� o w - 1 $ 1 4j lq I 4 � �i �+ `✓ ° a TO C pg y� % pp 4 "v 9�3d IV a d7 -4 37 P O g 1 p e e E 5 0. / N EXHIBIT 4 31A -12 �9gce m 4 U gg SO$ x„ a r is�/s�sdG/$�\ R. /fi�/s� �/@� / / /@ a TO C pg y� % pp 4 "v 9�3d IV a d7 -4 37 P O g 1 p e e E 5 0. / N EXHIBIT 4 31A -12 iCX ry L$ FY j I� P�Og IT LiAl1 $y Q ggg Y ° '» • app . i b 88§ "i7. as §�i 5 dd I_ kAagT+Q �P"rir q+"�vk F- i MCCG J _C14 em d a e Tqz b �35 ANa FR <->o 1 z EXHIBIT 5 p31R -1 3 df e S $ T yyvv a "4 ��4 in t :a ✓ `� 39b � � v iNo a ° g is •y3 W d g i Rey r3 Y a €b er a s� � �' *� �a•sYS � Ye7✓4 ,•+ � P t. � u'd.� a� t R t €"3Ya pie §s (> Page 2 of 2 31A -14 (wo c me c 3Q5s5s A € GkE� W % 3 .✓y 'd 5 � k r � �SdtlB df e S $ T yyvv a "4 ��4 in t :a ✓ `� 39b � � v iNo a ° g is •y3 W d g i Rey r3 Y a €b er a s� � �' *� �a•sYS � Ye7✓4 ,•+ � P t. � u'd.� a� t R t €"3Ya pie §s (> Page 2 of 2 31A -14 • �(� 4 � 4 �, C 2n °S 4. z- x .,E_.. , S ,. f f 1 I A v I t] 1 R _� b 4.�ti s }.v ( r yK T � 1 AF—' Yj ♦ E r 5 � � gp ter. a f °S 4. iE f f 1 I A v I t] 1 R _� b 4.�ti s }.v ( r yK T � 1 AF—' Yj ♦ E r 5 � � gp ter. a f rp E E u v� E E� all Is V i F LI w F UI 0 F N N 1p F U O K r Page 2 of 3 31A -16 e�I !i i T fy V P S \` i T fy V i S \` LS 7.6.15 RESOLUTION NO. 2015 -23 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2015 -14 TO ALLOW A 50 -FOOT HIGH WIRELESS FACILITY ON THE PROPERTY LOCATED AT 3420 SOUTH BRISTOL STREET BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Conditional Use Permit No. 2015 -14 was filed with the City of Santa Ana seeking to allow a 50 -foot high wireless facility disguised as a pine tree on the property located at 3420 South Bristol Street. B. Pursuant to Santa Ana Municipal Code Sections 41 -198.3 and 41- 198.10, a Conditional Use Permit is required for major wireless communication facilities established in the City of Santa Ana. C. Conditional Use Permit No. 2015 -14 came before the Planning Commission of the City of Santa Ana for a duly noticed public hearing on July 13, 2015. D. Santa Ana Municipal Code Section 41 -638 authorizes the Planning Commission to grant a conditional use permit upon making certain findings. 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The project will provide a service or facility which will contribute to the community. The proposed monopole will provide a service to Santa Ana residents, businesses and motorists who subscribe to Verizon's services by reducing the gaps in cellular service and providing additional calling capacity for its users in the southern sector of Santa Ana. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? Resolution No. 2015 -23 Page 1 of 6 31A -18 The proposed wireless facility at this location will not be detrimental to persons residing or working in the area as the proposed facility will be in compliance with Federal laws that govern health related issues for wireless facilities, including safety regulations from the Federal Communications Commission (FCC) and Federal Aviation Administration (FAA). 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed monopole, in conjunction with the new live pine trees and site improvements, will be compatible with the surrounding area and will not adversely affect the economic viability in the area. The stealth appearance and site enhancements will maintain and increase the economic stability for development by providing an additional service for business owners, workers, and residents in the area. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? The use will comply with all provisions pertaining to the construction and installation of wireless facilities identified in Chapter 41 (Zoning Code) of the Santa Ana Municipal Code. The proposed facility will be stealthed as a pine tree, featuring new landscaping, provide upgrades to the parking lot and trash enclosure for the existing restaurant operation, and will comply with other standards outlined in the Santa Ana Municipal Code. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? Resolution No. 2015 -23 Page 2 of 6 The proposed monopole will not adversely affect the General Plan as cellular facilities that are designed to be compatible with the surrounding environment are consistent with the goals and objectives of the Land Use Element. Goal 1 promotes a balance of land uses to address community needs, which includes means of communication that will be served by the proposed monopole. In addition, Goals 3 and 5 require preservation of neighborhood character and integrity as well as mitigation of developments' impacts. The proposed monopole is designed to minimize visual impact on the area and provide site improvements to assist with the aesthetics and maintenance of the project site. Further, Policy 2.2 encourages land uses that accommodate the City's needs 31A -19 for services. Enhancing a cell phone provider's coverage in the area enhances services that are readily available for business owners, workers, and residents in the immediate vicinity. E. This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The project is exempt from further review pursuant to Section 15303. This Class 3 exemption allows in -fill developments for the construction and location of limited numbers of new, small facilities or structures; the installation of small new equipment and facilities in small structures; and the conversion of existing small structures from one use to another. The wireless facility is a new, small facility that has been found by the City's development review agencies to not create any adverse impacts such as noise, traffic, or safety concerns. As a result, categorical Exemption Environmental Review No. 2015 -34 will be filed for this project. Section 2. The Planning Commission, after conducting the public hearing, hereby approves Conditional Use Permit No. 2015 -14 as conditioned in Exhibit "A" attached hereto and incorporated herein. This decision is based upon the evidence submitted at said public hearing, which includes, but is not limited to: the Request for Planning Commission Action dated July 13, 2015, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2015 -23 Page 3 of 6 31A-20 . ADOPTED this 13th day of July, 2015 by the following vote: AYES: Commissioners: Alderete, Bacerra, Bauer, Gartner, Mill, Nalle, Verino (7) NOES: Commissioners: None (0) ABSENT: Commissioners: None (0) ABSTENTIONS: Commissioners: None (0) James Gartner Chairperson APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Lisa Storck Assistant City Attorney [ y�: i11�[ �7drL�i] y: ��l�� :��[�7►I:1►1Zi7;1[eIRG1��i1 I, KAREN GERARDO, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2015 -23 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on July 13, 2015. Date: Resolution No. 2015 -23 Page 4 of 6 Planning Commission Secretary City of Santa Ana 31A-21 trNal 11 .1111 W-11 Conditions for Approval for Conditional Use Permit No. 2015 -14 Conditional Use Permit No. 2015 -14 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. A. Planning Division 1. The applicant must comply with all conditions and requirements of the Development Review Committee for the development project (DP No. 2014 -34). 2. Any amendment to this conditional use permit must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the conditional use permit must be amended. 3. The proposed monopole shall be constructed as per approved plans and any existing landscaping shall be protected in place during the construction period for the 50 -foot wireless facility. 4. The proposed monopole shall be constructed per the following specifications: a. The monopine facility should have 3.1 branches per foot for full density coverage with limited spacing between the branches; 70 percent of the branches should be eight feet or longer. b. Branch disbursement should be random so that longer branches and shorter branches are intermingled to give a natural appearance. c. Branches should exceed all antennas by a minimum of 12 inches. d. Branches should start at 15 feet above the ground. e. There should be a minimum space of seven feet between the top of the antenna and the top of the branches. f. Branches should have a sweep similar to that of an actual Pine Tree. g. Branch foliage color should be an olive or forest green with some other appropriate coloring to match an actual Pine Tree. A sample shall be submitted for approval prior to fabrication. h. Full bark cladding with a custom color should be submitted for approval prior to fabrication. Resolution No. 2015 -23 Page 5 of 6 31A-22 i. All antennas shall be covered with "antenna socks" that match the approved foliage color. j. All "stand -off mounts" and support pipe mounts shall be concealed behind antennas and painted a darker shade or green (or black) with a "flat" paint finish to reduce reflection and visibility of the mounting. k. Include the tree specifications (selected manufacturers and models) with photo simulations (also a site plan review requirement). Show the location of the GPS antenna on all elevations. m. Provide a "unistrut" detail for the utility cabinet; an "H- frame" is not acceptable. n. Provide a note on the plans stating "install underground utilities sleeving for two carriers during construction of the structure ". Shrouds on the outside of the pole are not acceptable. o. All exterior conduit and electrical meters shall be installed and screened in one metal enclosure painted to match the structure. 5. The permit applicant shall provide a 24 -hour phone number to which interference problems may be reported. This condition will also apply to all existing facilities in the City of Santa Ana. 6. The permit applicant will provide a "single point of contact" in its Engineering and Maintenance Departments to insure continuity on all interference issues. The name, telephone number, fax number and e-mail address of that person shall be provided to the City's designated representative upon activation of the facility. 7. The permit applicant shall insure that lessee or other user(s) shall comply with the terms and conditions of this permit, and shall be responsible for the failure of any lessee or other users under the control of permit applicant to comply. 8. Locate all equipment and related appurtenances (appleton plug and electric meter) on the inside of the existing equipment enclosure or inside the building and underground all electrical power from the utility source as shown on the approved site plan. 9. Conditional Use Permit No. 2015 -14 expires 10 years from the date of City Council approval. Resolution No. 2015 -23 Page 6 of 6 31A-23 31A-24 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: VARIANCE NO. 2015-06 TO ALLOW ADDITIONAL WALL SIGNS ON THE PRIMARY ELEVATION FOR SMART & FINAL LOCATED AT 1308 WEST EDINGER AVENUE - NEIL MCNAUGHT, APPLICANT {ST TEG P NO. 3, 2), p �1ii42.�'y CITY MANAGER CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 10 Reading ❑ Ordinance on a Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Variance No. 2015 -05 as conditioned. PLANNING COMMISSION ACTION At its regular meeting on July 13, 2015 by a vote of 7:0, the Planning Commission adopted a resolution approving Variance No. 2015 -05 as conditioned to allow two additional wall signs on the primary elevation for the Smart & Final retail store building at 1308 West Edinger Avenue in the Planned Shopping Center (C4) zoning district. The Planning Commission made no changes to the recommendation outlined in the attached staff report (Exhibit A). Generally, Smart & Final has been known as a small warehouse grocery chain that caters to eating establishments and other businesses that shop in bulk. However, today, Smart & Final has transformed and diversified their target market to include households by rebranding themselves as "Smart & Final Extrel," offering farm fresh produce, a large selection of fresh meat and convenient size products. To advertise and market that transformation, Smart & Final is requesting approval of two additional secondary wall signs to describe goods sold at the existing grocery store. If approved, the variance would allow for the installation of two additional wall signs for a total of three wall signs on the north elevation of the existing commercial building. The signs would be placed on two existing architectural fagade elements to the west and east of the existing primary wall sign. The proposed signs would include one 18.83 -square foot "Fresh Meat" sign and one 33.37 -square foot "Farm Fresh Produce" sign, Full -sized plans are available for public viewing in the Clerk of the Council Office. 31 B -1 Variance No. 2015 -05 September 16, 2014 Page 2 Approval of this Item supports the City's efforts to meet Goal No. 3 Objective No. 2 (create new opportunities for business/job growth development through new General Plan and Zoning Ordinance policies). There is no fiscal impact associated with this action. ;ssan He hani, ICP Executive Director Planning & Building Agency RS:rb Rsv",fttVAR 201643 SMART & FINAL.00 Exhibit: A. Planning Commission Staff Report 31 B -2 Economic Development, and encourage private PUBLIC HEARING - FILED BY NICK McNAUGHT FOR VARIANCE NO. 2015-05 TO ALLOW ADDITIONAL WALL SIGNS ON THE PRIMARY ELEVATION FOR SMART & FINAL LOCATED AT 1308 WEST EDINGER AVENUE {STRATEGIC PLAN NO. 3, 21 Prepared by Ricardo Soto E cuti rector - -- — RECOMMENDED ACTION PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED ❑ Applicant's Request ❑ Staff Recommendation CONTINUED TO _ A_......-, Acting Planning an er Adopt a resolution approving Variance No. 2015 -05 as conditioned. Request of Applicant Nick McNaught, representing Smart & Final, is requesting approval of a variance from the Santa Ana Municipal Code (SAMC) in order to allow more than one wall sign on the primary elevation of a Smart & Final retail store building at 1308 West Edinger Avenue. Specifically, the applicant is requesting a variance from Section 41- 863(a) of the SAMC to allow two additional secondary wall signs to describe goods sold at an existing retail grocery store. Proiect Location and Site Description The subject property is approximately three acres in size and is part of a larger integrated commercial center that is located on the southwest corner of Edinger Avenue and Bristol Street. The site is anchored by Smart & Final, which completed significant tenant improvements in 2014 and contains numerous retail and eating establishments. The subject property is developed with a 31,372 square foot commercial building. The building frontage is set back approximately 350 feet from Edinger Avenue and is set back approximately 30 feet from Bristol Street. Line of sight to the building from Edinger Avenue is obstructed by a free- standing commercial building and a large parking lot. The site is surrounded by commercial and residential uses to the north and west, a school use to the east, and residential and religious institution uses to the south. Tenants of the commercial center share parking stalls that are provided in surface parking lots on site (Exhibits 1, 2, 3 and 4). Proiect Description Smart & Final is requesting approval of two additional secondary wall signs to describe goods sold at the existing grocery store. Pursuant to Section 41- 863(x) of the SAMC, no more than one wall sign shall be permitted for each primary elevation of a leasable tenant space. EXHIBIT A 31 B -3 Variance No. 2015 -05 July 13, 2015 Page 2 If approved, the variance would allow for the installation of two additional wall signs for a total of three wall signs on the north elevation of the existing commercial building located at 1308 West Edinger Avenue. The signs would be placed on two existing architectural fagade elements to the west and east of the existing primary wall sign. The proposed signs would include one 18.63- square foot "Fresh Meat" sign and one 33.37 - square foot "Farm Fresh Produce" sign. The site currently has one wall sign on the primary (north) elevation and one wall sign on the secondary (east) elevation that would be retained as part of this project (Exhibit 5). - Generally, Smart & Final has been known as a small warehouse grocery chain that caters to eating establishments and other businesses that shop in bulk. However, today, Smart & Final has transformed and diversified their target market to include households by rebranding themselves as "Smart & Final Extra!" offering farm fresh produce, a large selection of fresh meat, and convenient size products. Smart & Final is headquartered in Los Angeles and currently operates two other stores in Santa Ana, which are located at 1523 West Seventeenth Street and 3430 South Bristol Street. Smart & Final recently re- tenanted the building previously occupied by El Metate Market. Though not part of this application, the applicant applied for and obtained Conditional Use Permit No. 2013 -49 to allow the off - premise sale of beer, wine and distilled spirits as part of its retail operation. In addition, various site improvements including a new fagade, parking lot resurfacing and landscape improvements were approved and recently completed. General Plan and Zoning Consistency The General Plan land use designation for the site is General Commercial (GC), which supports important neighborhood facilities and services such as this shopping center. General Commercial districts are key components and provide highly visible and accessible commercial development along the City's arterial transportation corridors such as Edinger Avenue. The project site is consistent with this General Plan land use designation. The site is located within the Planned Shopping Center (C4) zoning district and the Bristol Street Corridor Specific Plan (SP -1). The C4 zoning district allows for retail and service uses such as markets, making the proposed use consistent with the zoning code. Further, the building and uses on the property will not be impacted by the proposed street widening projects in the SP -1. Proiect Anal sis Variance requests are governed by Section 41 -638 of the SAMC. Variance requests may be granted when it can be shown that the following can be established: That there exists a special circumstance related to the property, such as size, shape, topography, location or surroundings. 31 B -4 Variance No. 2015 -05 July 13, 2015 Page 3 That the granting of the variance is necessary for the preservation and enjoyment of substantial property rights. That the granting of the variance will not be detrimental to the public or surrounding property. That the granting of the variance will not adversely affect the General Plan. If these findings can be made, then it is appropriate to grant the variance. Conversely, the inability to make these findings would result in a denial. Using this information, staff has prepared the following analysis which in turn forms the basis for the recommendation contained in this report, Smart & Final is located in a multi - tenant commercial center. The site contains several structures of varying heights that are set back a considerable distance from Edinger Avenue. Section 41 -863 of the SAMC contains provisions for wall and canopy signs, which are intended to ensure that businesses have adequate signage to promote successful commerce while preserving the quality of the visual environment by preventing sign clutter, and providing for public safety by disallowing signs that may distract drivers or impede the use of sidewalks. Pursuant to this SAMC section, Smart & Final would be permitted one sign on the north (primary) elevation. However, special site characteristics and architectural components of the building have resulted in a configuration in which strict application of the SAMC would limit the tenants advertising and branding ability. These characteristics and components include the following; building placement both on and off -site that limits exposure and view; and a building design that has resulted in a segmented building elevation beyond that of a traditional building fagade. In analyzing the applicants request for Variance No. 2015 -05, staff believes that the following findings of fact warrant approval of the variance: The project site has special circumstances related to its location, surroundings, and design. As detailed above, the distance of the existing building from Edinger Avenue is approximately 350 linear feet. The large setback from the roadway, which is developed as a large parking lot, has reduced visibility of the tenant's sign from potential patrons travelling along Edinger Avenue. In addition to being set back a considerable distance from Edinger Avenue, there is an existing free - standing commercial building located on an adjacent property that is part of the integrated shopping center that is blocking visibility of the subject site from the roadway. The existing location of the subject building and adjacent buildings has resulted in poor visibility of the commercial tenant from adjacent roadways. Moreover, the current fagade design of the subject site makes having the secondary signage advertising goods sold impossible to accommodate on the same signable area without resulting in sign clutter. Approval of the variance would create opportunities on the project site to brand and advertise the goods provided by the tenant while also balancing site aesthetics and avoiding visual clutter. 31 B -5 Variance No. 2015 -05 July 13, 2015 Page 4 • The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. Additional secondary signage to advertise goods sold at the commercial tenant space would assist in identification and advertisement, reducing vacancy rates, increasing commercial activity, and allowing the property owner the ability to maximize the existing structure to their fullest potential. The number and placement of additional signs has been carefully analyzed and will reduce visual clutter while also increasing the visibility and advertisement efforts of the tenant. • The granting of the variance will not be detrimental to the public or surrounding properties. The signs are intended to be visible from heavily traveled commercial corridors. The site location and building placement minimizes any possible visual intrusion onto surrounding commercial properties. Moreover, the nearest residential communities are located nearly 500 feet away to the north, southwest and northeast. • Finally, the project will not adversely affect the General Plan as the proposed signage is consistent with several goals of the General Plan. Approval of the variance supports Policies 4.3, 4.4, and 4.5 of Goal 2 (to protect and enhance development sites that are unique community assets) and Policies 2.7 and 2.8 of Goal 4 of the Land Use Element (Promote land uses which enhance the City's economic and fiscal viability). In addition, approval of the variance is consistent with the intent and purpose of Goals 1 and 2 of the Urban Design Element (to improve the physical appearance of the City through creating a sense of place, positive community image, and quality environment, and to improve the physical appearance of the City through development that is proportional and aesthetically related to its district setting). The project site is located within the boundaries of the Shadow Run Neighborhood Association and near the Santa Ana Memorial Park and Mid -City Neighborhood Associations, respectively. Staff contacted the presidents of all three associations, who identified no concerns with the project. The project site was also posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter, and mailed notices were sent to all property owners and tenants within 500 feet of the project site. At the time of printing of this report, no areas of concern were raised, nor had any correspondence, either written or electronic, been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended action is exempt from further review per Section 15301. This Class 1 exemption allows the operation, repair, maintenance, permitting, or leasing of existing structures, RIUM Variance No. 2015 -05 July 13, 2015 Page 5 The project consists of a variance to allow two additional wall mounted signs. No expansion of square footage or interior reconfigurations of square footages are proposed as part of the project, In addition, the structure is already served by municipal services, such as roadways, utilities, and parking. Categorical Exemption Environmental Review No. 2015 -13 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No, 2 (create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies). Conclusion Based on analysis provided within this report, staff recommends that the Planning Commission approve Variance No. 2015 -05 as conditioned. Assistant Planner I RS:jm R&mpo0MVAR 2015 ,05 SMART & FINAL.pc Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Land Use Map Exhibit 3 — Site Photo Exhibit 4 — Site Plan Exhibit 5 — Proposed Elevation 31 B -7 -- -- ----- --- —A, 0 R3 !LL 13LIR d -A 12 FERTi R2 R2 R2 PJ,1[12 R2� R2 R2 � Eli I A, Rl Rl RI 81 RI' III RI CIL n� RI JR1 . .... . — RI 31 RI III RI R 1 p I R I III =91 E BE E R RI AT RI R7 E Rl f AN < N1 I E R[ III S. PI 0H sj Alk RI All I RI R1 RI PI jl� R R RI ,;[ p:I Rl Fl] H E 5 H EHE EW A AV, RI Al C4 Ri s` a PU [N2 j 2 RI R, T-R cl �D E El R ER I PROJECT R I PI'D I RI srrE =1 R1 -Pao 0 nnl nt RI 91 R1 F� R1 91 IT, R I E fti l� NN R7 Ill ]RI Al Ri R7 n14, R7 RI al A Rl Rl IN lm-n R RI I a R7 RI Ri Ill RI IT, M �X RI IT I RI .M RI RI C) R7 P1 R3 ll RI C2 RI. P7 R1 0 SD 2 RI Rl III RI ' RI p" EP F Al GENERAL AGRICULTURAq CA COMMERCIALRESIDENTIAL ni 5 IN MCLE FAMILY RESIDENITAL .0 PARKINGMCOWCATION CC GOVERNMENT CENTER R2 NNOGAMAYPE51DENCE C-sm COMMERC[ALSOOTH MAIN MI LIGHTINDUSTMAL R3 MULTIPLE DEN51 I Y MULTIPLE Cl CONVAUNTYCOMMUCIAL M2 HEAVYINDUSTRIAL FAMILYRILSIDENCE CI-MD COMA COMMERCIAQW&EUM DISTRICT MO MILITARYOPERATIONS ft< SUBURMNAPARTMENIS cz GENHIALCOMMEAC)AL 0 OPHN SPACE PC RESIDENTIAL ESTATE C3 CENTRAL BUSINESS p PROFESSIONAL ED SPECIFICIDEVELOPMENT 0A CENTRAL 5USINEiSARTCI VILLAGE PCD PLANNED COMMUNITY DEVELOPMENT SP SPEOPICIPLAN C1 PLANNED SHOPPING CENTER PAT) PLANNED RESIDENTIAL DEVELOPMENT C5 ARTERIAL COMMERCIAL VAR 2015-5 , SMART & FINAL SIGN VARIANCE 4? m 1308 WEST EDINGER AVENUE I 1000 FLET L A N N I N G A N D 8 U I L D I IN G A G E N C Y EXHIBIT 1 Maw: a R E 1 A 1 L ,�.. LL W EDINGER AVENUE V U V Q PROJECT v SITE C U NI M E R C A L 0 r a C H U R C H d Ln m C O M M E R C I A L VAR 2015 -5 SMART & FINAL SIGN VARIANCE 1308 WEST EDINGER AVENUE P L A N N I N G A N D B U I L D I N G A G E N C Y f airii�7 31 B -9 VAR 2015 -05 Smart & Final Sign Variance 1308 West Edinger Avenue SITE PHOTO EXHIBIT 3 31 B -10 r. i � y Y { 1 y Y t "b :A ,p \�1C 9 • Y� w. L« « ® .x F m CO � k F ft� %% t .0%09 ¢ EXHIBIT 4 31 B -11 31 B -12 v a "o 0 LS 7.8.15 RESOLUTION NO. 2015 -22 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING VARIANCE NO. 2015 -05, AS CONDITIONED, TO ALLOW TWO ADDITIONAL WALL SIGNS AT THE SMART & FINAL BUILDING ON THE PROPERTY LOCATED AT 1308 WEST EDINGER AVENUE BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of Variance 2015 -05 to allow two (2) additional wall signs at Smart & Final located at 1308 West Edinger Avenue. B. Smart & Final is located in a commercial center that contains numerous retail and eating establishments. The subject property is developed with a 31,372 square foot commercial building and is located within the Planned Shopping Center (C4) zoning district and the Bristol Street Corridor Specific Plan (SP -1). C. Pursuant to Section 41- 863(a) of the Santa Ana Municipal Code (SAMC) no more than one (1) wall sign shall be permitted for each primary elevation of a leasable tenant space. D. Variance No. 2015 -05 came before the Planning Commission on July 13, 2015, for a duly noticed public hearing. Variance 2015 -05 would allow two (2) additional wall signs for a total of three (3) wall signs on the north elevation of the existing commercial building located at 1308 West Edinger Avenue. E. The Planning Commission determines that for Variance No. 2015 -05 the following findings, which must be established pursuant to Santa Ana Municipal Code Section 41 -638 in order to grant a variance from the provisions of the Santa Ana Municipal Code, have been established: 1. That because of special circumstances applicable to the subject property, including size, shape, topography, location, or surroundings, the strict application of the zoning ordinance is found to deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this Chapter. Resolution No. 2015 -22 Page 1 of 5 31 B -13 The project site has special circumstances related to its location, surroundings, and design. As detailed above, the distance of the existing building from Edinger Avenue is approximately 350 linear feet. The large setback from the roadway, which is developed as a large parking lot, has reduced visibility of the tenant's sign from potential patrons travelling along Edinger Avenue. In addition to being set back a considerable distance from Edinger Avenue, there is an existing free - standing commercial building located on an adjacent property that is part of the integrated shopping center that is blocking visibility of the subject site from the roadway. The existing location of the subject building and adjacent buildings has resulted in poor visibility of the commercial tenant from adjacent roadways. Moreover, the current fagade design of the subject site makes having the secondary signage advertising goods sold impossible to accommodate on the same signable area without resulting in sign clutter. Approval of the variance would create opportunities on the project site to brand and advertise the goods provided by the tenant while also balancing site aesthetics and avoiding visual clutter. 2. That the granting of a variance is necessary for the preservation and enjoyment of one or more substantial property rights. The granting of the variance is necessary for the preservation and enjoyment of substantial property rights. Additional secondary signage to advertise goods sold at the commercial tenant space would assist in identification and advertisement, reducing vacancy rates, increasing commercial activity, and allowing the property owner the ability to maximize the existing structure to their fullest potential. The number and placement of additional signs has been carefully analyzed and will reduce visual clutter while also increasing the visibility and advertisement efforts of the tenant. 3. That the granting of a variance will not be materially detrimental to the public welfare or injurious to surrounding property. The granting of the variance will not be detrimental to the public or surrounding properties. The signs are intended to be visible from heavily traveled commercial corridors. The site location and building placement minimizes any possible visual intrusion onto surrounding commercial properties. Moreover, the nearest residential communities are located nearly 500 feet away to the north, southwest and northeast. Resolution No, 2015 -22 Page 2 of 5 31B-14 4. That the granting of a variance will not adversely affect the General Plan of the City. The project will not adversely affect the General Plan as the proposed signage is consistent with several goals of the General Plan. Approval of the variance supports Policies 4.3, 4.4, and 4.5 of Goal 2 (to protect and enhance development sites that are unique community assets) and Policies 2.7 and 2.8 of Goal 4 of the Land Use Element (Promote land uses which enhance the City's economic and fiscal viability). In addition, approval of the variance is consistent with the intent and purpose of Goals 1 and 2 of the Urban Design Element (to improve the physical appearance of the City through creating a sense of place, positive community image, and quality environment, and to improve the physical appearance of the City through development that is proportional and aesthetically related to its district setting). F. In accordance with the California Environmental Quality Act, the recommended action is exempt from further review per Section 15301. This Class 1 exemption allows the operation, repair, maintenance, permitting, or leasing of existing structures. The project consists of a variance to allow two additional wall mounted signs. No expansion of square footage or interior reconfigurations of square footages are proposed as part of the project. In addition, the structure is already served by municipal services, such as roadways, utilities, and parking. Categorical Exemption Environmental Review No. 2015 -13 will be filed for this project. Section 2. The applicant agrees to indemnify, hold harmless, and defend the City of Santa Ana, its officials, officers, agents, and employees, from any and all liability, claims, actions or proceedings that may be brought arising out of its approval of this project, and any approvals associated with the project, including, without limitation, any environmental review or approval, except to the extent caused by the negligence of the City of Santa Ana. Section 3. The Planning Commission of the City of Santa Ana, after conducting the public hearing, hereby approves Variance No. 2015 -05 for 1308 West Edinger Avenue as conditioned in Exhibit A attached hereto and incorporated herein as though fully set forth. This decision is based upon the evidence submitted at the abovesaid hearing, which includes, but is not limited to: the Staff reports and exhibits attached thereto; and, the public testimony, all of which are incorporated herein by this reference. Resolution No. 2015 -22 Page 3 of 5 31 B -15 ADOPTED this 13th day of July, 2015, by the following vote: AYES: Commissioners: Alderete, Bacerra, Bauer, Gartner, Mill, Nalle, Verino (7) NOES: Commissioners: None (0) ABSENT: Commissioners: None (0) ABSTENTIONS: Commissioners: None (0) James Gartner Chairperson APPROVED AS TO FORM: Sonia Carvalho, City Attorney Lisa Storck Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Karen Gerardo, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2015 -22 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on July 13, 2015. Date: Planning Commission Secretary City of Santa Ana 31 B -16 Resolution No. 2015 -22 Page 4 of 5 Conditions of Approval Variance No. 2015 -05 (1308 West Edinger Avenue) is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. In addition, it shall meet the following conditions of approval: The applicant must comply with each and every condition listed below rip or to exercising the rights conferred by this variance. The applicant must remain in compliance with all conditions listed below throughout the life of the variance. Failure to comply with each and every condition may result in the revocation of the variance. A. Planning Division 1. The project shall remain in compliance with Development Project Review DP No. 2015 -13 and the staff report exhibits. 2. Any amendment to this variance must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or if the variance must be amended. 3. The proposed signs will be limited to the location and size as indicated on the approved plan per the attached exhibit. Resolution No. 2015 -22 Page 5 of 5 31 B -17 31 B -18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: TENTATIVE TRACT MAP NO. 2015 -02 (COUNTY MAP NO. 17636) AND INCLUSIONARY HOUSING AGREEMENT TO ALLOW A SUBDIVISION FOR 79 CONDOMINIUM UNITS AT 1010 SOUTH HARBOR BOULEVARD - SANTA ANA 5, LLC, APPLICANT (STRATEGIC PLAN NOS. 3, 2�; 3, 5; 5, 3; 5, 4) b. (j4 -f'gzs CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Tentative Tract Map No. 2015 -02 (County Map No. 17636) as conditioned. 2. Approve an Inclusionary Housing Agreement with Santa Ana 5, LLC. PLANNING COMMISSION ACTION At its regular meeting on July 13, 2015 by a vote of 7:0, the Planning Commission adopted a resolution approving Tentative Tract Map No. 2015 -02 (County Map No. 17636) as conditioned to subdivide the property for 79 for -sale condominium units at 1010 South Harbor Boulevard located in the Harbor Mixed Use Transit Corridor Specific Plan (SP2) zoning district. DISCUSSION Kim Prijatel, representing Santa Ana 5, LLC, is requesting approval of a tentative tract map to allow an air -right subdivision and allow the sale of the 79 condominium units. The project site consists of a 3.9 -acre parcel of land on the west side of Harbor Boulevard between Kent and Lilac Avenues. All units will take access from private alleys within the project site. Existing infrastructure in the area will be upgraded to service the project. These upgrades include construction of new driveways, sidewalks, curbs and gutters; planting of new trees in the landscape parkway; and new street lighting, all per City standards. The project has been designed to be in compliance with the applicable development standards found in Chapters 34 (Subdivision) and 41 (Zoning) of the Santa Ana Municipal Code, as well as the provisions of the Harbor Mixed Use Transit Corridor Specific Plan (SP -2). Full sized site plans are available for public viewing in the Clerk of the Council Office. 32A -1 Tentative Tract No. 2015 -02 & Incluslonary Housing Agreement August 4, 2015 Page 2 In addition to the action taken by the Planning Commission, the applicant Is proposing to satisfy the Housing Opportunity Ordinance (H00) by providing inclusionary units on -site. In the case of this project, the applicant must provide 12 for -sale units (15 percent of 79 total units) meeting the affordability guidelines for Moderate Income. The applicant is required to submit both an Incluslonary Housing Plan and Incluslonary Housing Agreement to be approved by the Community Development Agency and the City Council (Exhibits B & C). The Incluslonary Housing Agreement will also be recorded against the property. Approval of the Incluslonary Housing Plan will allow for the construction of a new 79 -unit townhome project on a 3.9 -acre site located In the Harbor Mixed Use Transit Corridor Specific Plan area (SP -2). * M1111 .0 Approval of this Item supports the Citys efforts to meet Goal No, 3 Economic Development, Objectives No. 2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies) and No. 5 (leverage private investment that results In tax base expansion and job creation citywide) of the Santa Ana Strategic Plan. Moreover, approval of this Item supports Goal No. 5 Community Health, Livability, Engagement & Sustalnability, Objectives No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods) and No. 4 (support neighborhood vitality and livability). FISCAL IMPACT There is no fiscal impact associated with this action. ; assen Haghary', AICP Executive Direc }or Planning & Building Agency AN; rb sMwp51101&nC*M\TTM1 E -02 1010ftWtc Exhibit A. Planning Commission Staff Report B. Incluslonary Housing Plan C. Incluslonary Housing Agreement Kelly MerVers Executive Director Community Development Agency 32A -2 REQUEST FOR PLANNING COMMISSION MEETING DATE. JULY 13, 2015 TITLE: PUBLIC HEARING — FILED BY SANTA ANA 5, FOR TENTATIVE TRACT MAP NO. 2015 -02 (COUNTY MAP NO. 17636) TO ALLOW A SUBDIVISION FOR 79 CONDOMINIUM UNITS AT 1010 SOUTH HARBOR BOULEVARD {STRATEGIC PLAN NOS. 3, 2; 3, 5; 5, 3; 5, 4} Prepared by Ann Hsin -An Ni xecu ` Director PLANNING COMMISSION SECRETARY APPROVED CI As Recommended LLC Cl As Amended ❑ Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO Acting Planning Manager Adopt a resolution approving Tentative Tract Map No. 2015 -02 as conditioned. Re guest of the Applicant Kim Prijatel, representing Santa Ana 5, LLC, is requesting approval of a tentative tract map to allow an air -right subdivision for 79 condominium units. Applications for subdivisions over four parcels require approval of a tentative tract map by the Planning Commission pursuant to Section 34 -127 of the Santa Ana Municipal Code (SAMC). Project Location and Site Description The project site consists of a 3.9 -acre parcel of land on the west side of Harbor Boulevard between Kent and Lilac Avenues. The project site is flat and rectangular in shape. The lot is currently vacant with a deteriorated paved portion in the front near Harbor Boulevard. Land uses surrounding the site include commercial uses to the north, single - family dwellings to the west, multi - family dwellings to the south, and commercial uses to the east across Harbor Boulevard (Exhibits 1, 2 and 3). The project is located within the Corridor district of the Harbor Mixed Use Transit Corridor Specific Plan (SP -2), which is comprised of nearly two miles of properties along Harbor Boulevard in an area generally bounded by Westminster Avenue to the north and the City limits near Lilac Avenue to the south. EXHIBIT A 32A -3 Tentative Tract Map No. 2015 -02 July 13, 2015 Page 2 Proiect Descriotion Subdlyision Summary — The applicant proposes a subdivision in conjunction with a 79 -unit alley loaded townhome development. All units will take access from private alleys within the project site. A tentative tract map is proposed for the project that will allow the sale of the 79 condominium units. Existing infrastructure in the area will be upgraded to service the project. These upgrades include construction of new driveways, sidewalks, curbs and gutters; planting of new trees in the landscape parkway; and new street lighting, all per City standards. Development Summary — The proposed project involves the construction of 79 new alley - loaded homes and the subdivision of 79 air -right condominiums. Each residence will contain between 1,219 square feet and 1,882 square feet of living area. A minimum of two bedrooms and a maximum of four bedrooms will be provided'. Each residence will take vehicular access from private alleys and will contain a two -car, side by side or tandem garage. The architectural style proposed delineates individual buildings with a slight difference in materials, coloration and embellishment as required by the Harbor Mix Use Transit Corridor Specific Plan. The project will provide 158 parking spaces inside garages, and an additional 40 spaces on surface parking along private streets, for a total of 198 on -site parking spaces. The proposed parking exceeds the minimum 139 spaces required by the Harbor Mixed Use Transit Corridor Specific Plan. Guests and visitors will be able to park on the private drive within the gate. Access to the project will be provided from a single entrance on Kent Avenue. A variety of open spaces are planned for the development. Exterior amenities include a recreation area, courtyards and paseos. The primary recreation area will feature four pocket parks, including an artificial turf green area, a tot lot park, a bocce court and a citrus garden. in addition, courtyards and paseos will provide additional open space areas and will be programmed with amenities for passive recreation (Exhibits 4 and 5). Inclusionary Housing — The proposed project is subject to the requirements of the Housing Opportunity Ordinance (HOO), which contains inclusionary unit requirements for projects that consist of the construction of five or more dwelling units (SAMC Sections 41 -1900 et. al.). The applicant is requesting approval to subdivide the property to allow the sale of air -right condominium units at market rates. The developer will provide a minimum of 15 percent of the total number of units, equivalent to 12 units in the project, for sale to moderate or lower- income households. An Inclusionary Housing Agreement will be recorded against the property, approved by the Executive Director of Community Development and the City Attorney prior to the issuance of a building permit. 32A -4 Tentative Tract Map No. 2015 -02 July 13, 2015 Page 3 Proiect Background In October 2014, the City Council adopted the Harbor Mixed Use Transit Corridor Specific Plan, which replaced the North Harbor Specific Plan and allows for a greater amount of residential, commercial, and mixed -use projects in the Specific Plan area. In anticipation of the Specific Plan's adoption, the applicant submitted plans for a mixed -use community on the project site. After working with staff to comply with the provisions of the Harbor Plan, the applicant moved forward with the current proposal, which provides a traditional single - family neighborhood character to assist with blending in with current development patterns in the project vicinity. General Plan and Zonina Analysis The General Plan land use designation for the site is Urban Neighborhood (UN). Urban Neighborhood land -use districts allow a mix of residential uses and housing types, such as low to mid -rise multiple family dwellings, townhouses and single family dwellings, with some opportunities for live -work, neighborhood serving retail and service, public spaces and uses, and other amenities. The project site is consistent with this General Plan land use designation. The project site is located within the Corridor district of the Harbor Mixed Use Transit Corridor Specific Plan (SP -2). The Specific Plan allows for residential developments, making the subject application consistent with the zoning designation. Proiect Analvsis Tentative tract map requests are governed by Sections 34 -119 through 34 -318 of the SAMC. Tentative tract map requests may be granted when it can be shown that the following can be established. • The proposed project, as conditioned, and its design and improvements are consistent with the UN land use designation of the General Plan and are otherwise consistent with all other elements of the General Plan and any applicable specific plans. • The proposed project, as conditioned, conforms to all applicable requirements of the zoning and subdivision codes as well as other applicable City ordinances. • The project site is physically suitable for the type and density of the proposed project. • The design and improvements of the proposed project will not cause substantial environmental damage or substantially and avoidably injure fish and wildlife or their habitat. The design or improvements of the proposed project will not cause serious public health problems. 32A -5 Tentative Tract Map No. 2015 -02 July 13, 2015 Page 4 • The design or improvements of the proposed project will not conflict with easements necessary for public access through or use of the property within the proposed project. If these findings can be made, then it is appropriate to grant the tentative tract map. Conversely, the inability to make these findings would result in a denial. Using this information, staff has prepared the following analysis, which forms the basis for the recommendation contained in this report. Based on a review of the tentative map by the Planning Division and Public Works Agency, the project has been designed to be in compliance with the applicable development standards found in Chapters 34 (Subdivision) and 41 (Zoning) of the Santa Ana Municipal Code, as well as the provisions of the Harbor Mixed Use Transit Corridor Specific Plan (SP -2). Further, approval of the map will be consistent with the goals and policies identified in the City's General Plan. The proposed subdivision, Tentative Tract Map No. 2015 -02, is consistent with the Urban Neighborhood land use designation and density prescribed and all other elements of the General Plan. Specifically, the proposed subdivision is consistent with several policies within the Land Use Element of the General Plan, including: Policy 1.5 (Maintain and foster a variety of residential land uses in the City) Policy 1.7 (Support open space in underserved areas); and Policy 3.1 (Support development which provides a positive contribution to neighborhood character and identity). • The proposed subdivision conforms to the minimum requirements as well as meets the letter and intent of the State of California Subdivision Map Act provisions. Tentative Tract Map No. 2015 -02 is in keeping with the site plan review for the project as well as Chapters 34 and 41 of the Santa Ana Municipal Code. Covenants, Conditions and Restrictions (CC &Rs) are required for the project, which need to be approved by the City prior to the recordation of the final map. • There are no physical constraints on the site that preclude development of the site. The proposed site consists of approximately 3.9 acres of land within the Harbor Mixed Use Transit Corridor Specific Plan (SP -2), which is physically suitable for the residential development as proposed. Access to the site will occur from a single point on Kent Avenue. The site is surrounded by a combination of single - family, multi - family residential and commercial uses, and is determined to have the capability to support the type and density of the project. • The proposed subdivision will not cause any substantial environmental damage or substantially and avoidably injure fish and wildlife or their habitat. A program -level Environmental Impact Report (EIR) was prepared pursuant to the California Environment Quality Act for the new Harbor Mixed Use 'Transit Corridor Specific Plan that anticipated up to 2,000 residential units being built in the Specific Plan area. The project site is located in an urbanized area, and there are no known fish orwildlife populations existing on the project site. 32A -6 Tentative Tract Map No. 2015 -02 July 13, 2015 Page 5 • The proposed subdivision will not have any detrimental effects upon the general public. The short -term and long -term unavoidable adverse impacts identified in Environmental Impact Report No. 2014 -01 were addressed by the adoption of a Statement of Overriding Considerations by the City Council. Any other negative or adverse impacts will be mitigated through mitigation measures identified in Environmental Impact Report No. 2014 -01 and conditions of approval for the vesting map. The internal street and alleyways are designed to be private and will be maintained by the Homeowner Association. The width and turning radius of the internal street and alleyways are adequate to accommodate Orange County Fire Authority emergency vehicles as well as Waste Management waste collection services. Additionally, each residence will have sewer, water and the necessary infrastructure improvements as conditioned in Development Project Review No. 2013 -25. + The design or improvements of the proposed project will not conflict with easements necessary for public access through or use of the property within the proposed project since there is no public access easement located within this property. Public access will be allowed to the site through the gated entrance with homeowner or homeowner association's authorization. Public Notification The project is located within the boundaries of the Riverview West Neighborhood Association. Staff gave a presentation on the project at their neighborhood association meeting on February 17, 2015 and June 23, 2015 at the Newhope Branch Library. At these meetings, the Association expressed support for the proposed project. In addition, a community meeting was held on February 5, 2015 at Newhope Elementary School in accordance with the Sunshine Ordinance (Exhibit 7). The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), the recommended action has been determined to be adequately evaluated in the previously certified EIR No. 2014 -01 as per Sections 15162 and 15168 of the CEQA guidelines. All mitigation measures in EIR No. 2014 -01 and associated Mitigation Monitoring and Reporting Program (MMRP) have been enforced and continue to apply to the proposed project. As required by the MMPR, a traffic impact analysis was performed to analyze any potential changes in area traffic as a result of the proposed development. The study concluded that no additional significant impacts would trigger the requirement for additional environmental review. 32A -7 Tentative Tract Map No. 2015 -02 July13, 2015 Page 6 u Iit Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objectives No. 2 (create new opportunities for business /job growth avid encourage private development through new General Plan and Zoning Ordinance policies) and No. 5 (leverage private investment that results in tax base expansion and job creation citywide) of the Santa Ana Strategic Plan. Moreover, approval of this item supports Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objectives No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods) and No. 4 (support neighborhood vitality and livability). Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Tentative Tract Map No. 2015 -02 as conditioned. Ann Hsin -An Ni Associate Planner AN:jm an lwp51lplancommUM05- 02 1010HmWro pc Attachments: Exhibit 1 — General Vicinity Map Exhibit 2 — Land Use Map Exhibit 3 — Site Photo Exhibit 4 — Site Plan Exhibit 5 — Floor Plans, Building Elevations & Landscape Plans Exhibit 6 — Tentative Tract Map Exhibit 7 — Community Meeting Minutes 32A -8 FIRST ST, U I i L_J LJ I_{ C O L — ua C2- C2 , SP -2 rlx'vl 11 Ilit ,`, SP-2 I�r I mn 5D- 32I iI . kit Q I1 II I R7 It IJ' __ iP- R2 5D-34 �R21��D II IL __MS I 2 ,..I 1 �,� R3 Ir lli jl it li �i -- - - -W -� m 3 fl2 R2 R2 pVy112 tilt / ____ •_li iI_�I i�src.�_- SP-2 II tlt� 111` R2 F- -7 --- G Ir'ir'Ir- Ir'- Ir -Ir'li R2 R2 fl2 m G z -- In -- II II II II II II II i A71I li_ii_ii_.ii_�i._; I -,, �F —IN. � cWUea — R2 E Nz _ 1�.__J Ir'r'r-r'r'r'I 2 i II R1 k ft2 li Q At 11___11_ "I II 11 11 II II II 115P .0 .. AT t lq R2 Y INN , ua i q ``� F n I ...' sr.: sr:z D 0.L. r 1. .!/ �1 AI _ _ AI 1�At `ten: 111 0 SP-2 A sP -2 e R1 IIR1 RI R7 1 6 q Hi r .... .......� ¢ `\ Rl•" R1 At R7 N a nrtA Z P R1 3 �- .— Ri R1 n �r R7 3 Al RI PI fli PROlECTSITE o-. R7 MAC AVE. At GENERALAGRCUL7URAL1 Cl2 COMMMALFESDLTILIAL RI SWAEFAMILYR?IOMAL .6 FII}WNGMCDINCA'NDN W,' GCVEINNA dI P1 TAIL FAMILY ('1091CL- GGvI COMMMALSOn-IMAIN MIT UG- INOUSTRAL AT MULFIJUD13tq YMULiINE C7 00MMUNIIY0OMMER7AL M2 HEAWINDUSIRAL FAMILYP00E4CE CI -M0 COMM. COMMEMALIMUEEUM 0 SMOT INTO MILITAWQPHAWNS RI G. WROANAPAIUMENIS m COEPALCOMMIIJUAL U OFENWE f€ FE1DMIAL6ATE C3 CETPALEUSNEES P G%]Ft350NN- m SIPMMCDEk1GWINT C1A WFALWISHMARFISMLWGE FCD FIANNEDCOMMUNIIY DEVELOFIAW SP SPIMPICtIAN G FIANNEDGiOMNGGHJ'6i FFm I' 1.ANNEI!T"DENTIALDEVB9Rd8VT C5 ARR3dALMMMMAL � TM 2015 -2 Ind tL� HARBOR AND KENTTOWNHOMES 1010 SOUTH HARBOR BOULEVARD SOOREEr i 1000 F� P L A N AN I N G A N D B U I L D I N G A G E N C Y EXHIBIT 1 VICINITY MAP 32A -9 TM 2015 -02 HARBOR AND KENT TOWNHOMES,\ 1010 SOUTH HARBOR BOULEVARD W P L A N N I N G A N D 8 U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 32A -10 W J J V ~ w V U w w w L REST CE s W O w w I- LL � v z KENT AV E. 5 KENT AVE. RE IL�E C W J 'Xa SINGLE- AMILY Ln J � n 0 SfTEp - �_ 0 cc w w W b° J 47 Z z w IN G L - FAMILY R E S I D E N C E CITY OF FOUNTAIN VALLEY TM 2015 -02 HARBOR AND KENT TOWNHOMES,\ 1010 SOUTH HARBOR BOULEVARD W P L A N N I N G A N D 8 U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 32A -10 fi 1 Exhibit 3 Site Photo 32A -11 fag k: YEt ASS Sg V m O d O I 1 LO u u AA AA A AA '7 J LIJ L11J L' LL1 L -, UL L -- �-i. .._._ _ -.. 7 V V l�` -) obz C � V v � �) • I li A A' $ A A A A A A A A "99rTnFir! nn ui `�i � C i� I ". LILT 7 4 OK 1 J , A A A A A A A A .JL ULJ ulu u, ± J LJ °� 1")n C7CliR 1l nn -t� says I eft I na e m g5�56 aa��& bay SSA $ 7I LIL ort z° — �, A A A n A n A k V M�w k tl MuM 5m a .eAV iUa>j r E .. 0 too to, m EXHIBIT 4 s oz o a 32A -12 1h Noll ; 31s F] 8 a8ks?�'t9!• 1� �l W en J H a W I I O 0 41 di 0 0 z 0 C) O EXHIBIT 5 3A 7 A3 44 0 110D uk 1! 1 0 A l 41 di 0 0 z 0 C) O EXHIBIT 5 3A 7 A3 CL ol IiG aQ ------------------- 1. b ri T 4-4 lag 0 0 0 A z ZI Sl ai ol Page 2 of 7 32A-14 0 Q. Di C - M Ll 0 jai 0 S E cg 0 HII 01 0 0 ti 0 Page 2 of 7 32A-14 0 Ll 0 0 I r1061111H HII 0 0 �\ , / \\ `\ ¢ 2 � 0 . .... ..... 0 0 a Page 3 y! 22A.15 V p OR. \\ 0 0 ■ 0 Q� 0 f 1 Y� � V P i Al `� P Ip I �L GN 3 J •� T r i f> W W 3. �s s x I Q E 3fAl5 z O w J W z O G� W — O � O W O? Sp z� � ro r F-. c w O U >G w J c1 t^. )�. . } \djA ° � « z * ( |.. . ... :< ^ .: -,- �� :�� . < < K« \� \ O O ub I El CL CL 0 .0 tg � E N 0 ol yV an I VJ co 80 LL IL CC W Oz 8 OO to Lw L LL F- � A IMi-L I e3 £Ea I j�a in Hill, No Ti. HIM I N H I al E om ji�f M; zn; i I I "ig M, " -3- is M! Hh + , iq : -4 AnNta; 1 !Ut ai eji� �k §x33.x ix L MN A Wail, Mw N":;UM Hq 32A-20 Sunshine Ordinance Meeting— Harbor & Kent Project February 5, 2015 6:30 p.m. Newhope Elementary School 18 people in attendance (including Ann Ni) Meeting Notes + Concern about live /work units —add itiona I traffic on Kent, note no ugh parking for commercial use • Existing parking issue on residential street west of site, add more parking spaces in the project • Requested no trash enclosures adjacent to wall along western PL (next to existing 5FD) • Some wanted to see If the City would add parking back on Kent but others very opposed • Happy with price point, good for property values in the area + Liked the elevations EXHIBIT 7 32A -21 LS 7.8.15 RESOLUTION NO. 2015 -25 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING TENTATIVE PARCEL MAP NO. 2015 -02 AS CONDITIONED FOR THE PROPERTY LOCATED AT 1010 SOUTH HARBOR BOULEVARD BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. The Applicant is requesting approval of a tentative parcel map to allow an air -right subdivision for seventy -nine (79) condominium units at 1010 South Harbor Boulevard. B. Tentative Parcel Map No. 2015 -02 came before the Planning Commission of the City of Santa Ana for a duly noticed public hearing on July 13, 2015. C. For Tentative Parcel Map No. 2015 -02, the Planning Commission of the City of Santa Ana determines that the following findings have been established: 1. The proposed project, as conditioned, and its design and improvements are consistent with the Urban Neighborhood (UN) land use designation of the General Plan and are otherwise consistent with all other Elements of the General Plan and applicable Specific Plans. The proposed subdivision, Tentative Parcel Map No. 2015- 02, as conditioned, is consistent with the Urban Neighborhood land use designation and density prescribed and all other elements of the General Plan. Specifically, the proposed subdivision is consistent with several policies within the Land Use Element of the General Plan, including: Policy 1.5 (Maintain and foster a variety of residential land uses in the City); Policy 1.7 (Support open space in underserved areas); and Policy 3.1 (Support development which provides a positive contribution to neighborhood character and identity). Resolution No. 2015 -25 Page 1 of 6 32A -22 2. The proposed project, as requirements of the zoninc applicable City ordinances. conditioned, conforms to all applicable and subdivision codes as well as other The proposed subdivision conforms to the minimum requirements as well as meets the letter and intent of the State of California Subdivision Map Act provisions. Tentative Tract Map No. 2015 -02 is in keeping with the site plan review for the project as well as Chapters 34 and 41 of the Santa Ana Municipal Code. Covenants, Conditions and Restrictions (CC &Rs) are required for the project, which need to be approved by the City prior to the recordation of the final map. 3. The project site is physically suitable for the type and density of the proposed project. There are no physical constraints on the site that preclude development of the site. The proposed site consists of approximately 3.9 acres of land within the Harbor Mixed Use Transit Corridor Specific Plan (SP -2), which is physically suitable for the residential development as proposed. Access to the site will occur from a single point on Kent Avenue. The site is surrounded by a combination of single - family, multi - family residential and commercial uses, and is determined to have the capability to support the type and density of the project. 4. The design and improvements of the proposed project will not cause substantial environmental damage or substantially and avoidably injure fish or wildlife or their habitat. The proposed subdivision will not cause any substantial environmental damage or substantially and avoidably injure fish and wildlife or their habitat. A program -level Environmental Impact Report (EIR) was prepared pursuant to the California Environment Quality Act for the new Harbor Mixed Use Transit Corridor Specific Plan that anticipated up to 2,000 residential units being built in the Specific Plan area. The project site is located in an urbanized area, and there are no known fish or wildlife populations existing on the project site. 5. The design or improvements of the proposed project will not cause serious public health problems. Resolution No. 2015 -25 Page 2 of 6 32A -23 The proposed subdivision will not have any detrimental effects upon the general public. The short -term and long- term unavoidable adverse impacts identified in Environmental Impact Report No. 2014 -01 were addressed by the adoption of a Statement of Overriding Considerations by the City Council. Any other negative or adverse impacts will be mitigated through mitigation measures identified in Environmental Impact Report No. 2014 -01 and conditions of approval for the vesting map. The internal street and alleyways are designed to be private and will be maintained by the Homeowner Association. The width and turning radius of the internal street and alleyways are adequate to accommodate Orange County Fire Authority emergency vehicles as well as Waste Management waste collection services. Additionally, each residence will have sewer, water and the necessary infrastructure improvements as conditioned in Development Project Review No. 2013 -25. 6. The design or improvements of the proposed project will not conflict with easements necessary for public access through or use of property within the proposed project. The design or improvements of the proposed project will not conflict with easements necessary for public access through or use of the property within the proposed project since there is no public access easement located within this property. Public access will be allowed to the site through the gated entrance with homeowner or homeowner association's authorization. Section 2. In accordance with the California Environmental Quality Act (CEQA), the recommended action has been determined to be adequately evaluated in the previously certified EIR No. 2014 -01 as per Sections 15162 and 15168 of the CEQA guidelines. All mitigation measures in EIR No. 2014 -01 and associated Mitigation Monitoring and Reporting Program (MMRP) have been enforced and continue to apply to the proposed project. As required by the MMPR, a traffic impact analysis was performed to analyze any potential changes in area traffic as a result of the proposed development. The study concluded that no additional significant impacts would trigger the requirement for additional environmental review. Section 3. The applicant agrees to indemnify, hold harmless, and defend the City of Santa Ana, its officials, officers, agents, and employees, from any and all liability, claims, actions or proceedings that may be brought arising out of its approval of this project, and any approvals associated with the project, including, without limitation, any environmental review or approval, except to the extent caused by the negligence of the City of Santa Ana. Resolution No. 2015 -25 Page 3 of 6 32A -24 Section 4. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves Tentative Parcel Map No. 2015 -01 as conditioned in Exhibit A, attached hereto and incorporated herein, for the project located at 1010 S. Harbor Boulevard. This decision is based upon the evidence submitted at the abovesaid hearing, which includes, but is not limited to: the Request for Planning Commission Action dated July 13, 2015, and exhibits attached thereto; and, the public testimony, written and oral, all of which are incorporated herein by this reference. ADOPTED this 13th day of July, 2015. AYES: Commissioners: Alderete, Bacerra, Bauer, Gartner, Mill, Nalle, Verino (7) NOES: Commissioners: None (0) ABSENT: Commissioners: None (0) ABSTENTIONS: Commissioners: None (0) James Gartner Chairperson APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa Storck Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2015 -25 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on July 13, 2015. Date: Planning Commission Secretary City of Santa Ana 32A -25 Resolution No. 2015 -25 Page 4 of 6 EXHIBIT A Conditions of Approval for Tentative Tract Map No. 2015 -02 Tentative Tract Map No. 2015 -02 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below rip or to exercising the rights conferred by this approval. The applicant must remain in compliance with all conditions listed below throughout the life of the tentative tract map. Failure to comply with each and every condition may result in the revocation of the tentative tract map. A. Planning Division 1. An Inclusionary Housing Agreement will be recorded against the property, approved by the Executive Director of Community Development and the City Attorney prior to issuance of building permit. 2. Two copies of the recorded final tract map shall be submitted each to the Planning Division, Building Division and Public Works Agency within 10 days of recordation. 3. The tentative tract map, final map and all improvements required to be made or installed by the subdivider shall be in accordance with the requirements and design standards and specifications of the City of Santa Ana and the requirements of the State Subdivision Map Act. 4, Two copies of the recorded final map and CC &Rs shall be submitted each to the Planning Division, Fire Department, Building Division, and Public Works Agency within 10 days of recordation. 5. After project occupancy, landscaping is to be maintained in accordance with the landscape plan approved for the project. This shall include the minimum levels of plant materials shown on the landscape plan and installed at the time of occupancy. 6. All real estate signage must be removed from the site within one year from the date of installation. An extension of time may be granted as determined by the Planning Manager. Resolution No. 2015 -25 Page 5 of 6 32A -26 7. The final map must be approved and recorded prior to issuance of building permits. 8. Development within the area of the map is subject to development and permit fees in effect at the time of permit issuance. 9. Development within the area of the map is subject to design and development standards in effect at the time of permit issuance. 10. The project must be in compliance with the provisions of Site Plan Review (DP No. 2013 -25). B. Police Department 1. Building and unit addressing must comply with the City's emergency service standards. 2. Prior to submittal into Building plan check, the applicant shall provide a photometric study to the Police Department showing compliance with the 1 footcandle requirement for the project site. C. Public Works 1. Refuse collection must comply with Santa Ana Municipal Code Section 16- 37. Pick -up volume shall include both trash and recyclables at a minimum two (2) times per week. Resolution No. 2015 -25 Page 6 of 6 32A -27 32A -28 Planning and Building Agency {. L Planning Division t I. 20 Civic Canter Plam P.O. Sax 1888 (M•20) Sande Ana, CA 02702 tl l (714) 647.6304 www,santa.ana,org INCLUSIONARY HOUSING PLAN O4WNERIAPPLICANT INFORMATION W Legal Owner itLt L2M-1 /s ++ q� Pull name of Perea�n,,�Men 0. C•orpmaUon Area Codo Prinna Number i—A ").%..Ls�e"' I �5'"'ii1 iv.Ait7 _ .r,•i7 °71 Applicant ._ L-1 Full nvma of Pereon, Finn or Conporndon Ama Code Phmra Numbar�F� VA- CA Num _.._ ��olling A4rraes� -�'r Arse Cade Faxrtber Contact Parson -.__d� i `' f,_,tJ._____...._.......__._..' rt.i"I.':el_'' -C'_ r !%'r•ar'�5, rcwn Fu!I name of Person, N n or Carparanlan Em I adGt as Mailing Adrimad Area Carte Phone Number Aram Cade Mubiin Phone Number Area Cada f=nx Mumhar P OJECT DESCRIPTION Project Address: Assessor Parcel Number(s): _L "7 Z, - a? Total number of units proposed: w3— Number of Rental Units: 6 Number of For Sale units: Number of 15% Inciuslonary obligation: _,1L_. _I -J Identify the gross livable area of the proposed project (including private balconies, decks and patios), square feet Will the project be constructed in phases? X ,Yes No Is a density bonus being requested? Yes ._ No CITY APPROVALS III* applicable) INCLUSIONARY HOUSING PLAN NO. ('APPROVE ❑ DENY Date:rl��_1�`'..... Page "of4 S:PlanNnalCl xlenb0aunier re'ane'I0nePPIlC.41w Ma EXHIBIT B 32A -29 HOUSING ALTERNATIVES Select the applicable alternatives to indicate how the project will comply with the Inoiuslonary housing requirement: On -site construction of Inclusionary units In -lieu fee payment for entire obligation' In -lieu fee payment for fractional unit Land dedication Note: For development projects with more than 20 units requesting in -lieu fee payment to fulfill their inclusionary obligation, "substantial evidence" that the cost of providing inciusionary units on site would substantially exceed the amount of the applicable in -lieu fee is to be provided with this application, Please complete the following table(s) as It applies to your project proposal: Prod;„ Rental Wauai„� fro acts: I If the calculation a( the number of required Incluslonary housing units msuits In a fraction, the developer bas the option to (a) pmvldo an additional inclusionary housing unit or (b) pay an In -tiou Fee equal to the percentage represented by the fractions] Incluslonary housing unit multiplied by the applicable In•Ueu Fen Page 2 of 4 S�PlonnlnaiCladwl- COUnlur Fo nQu400amgloatim ills 32A -30 Number of Unit Size Number of I Number of Very-Low Total Percent Number of (Square Market Rate Low Income Income Number of Total Bedrooms Feel) Units Units Units of Units Units 1 _ _ , I If the calculation a( the number of required Incluslonary housing units msuits In a fraction, the developer bas the option to (a) pmvldo an additional inclusionary housing unit or (b) pay an In -tiou Fee equal to the percentage represented by the fractions] Incluslonary housing unit multiplied by the applicable In•Ueu Fen Page 2 of 4 S�PlonnlnaiCladwl- COUnlur Fo nQu400amgloatim ills 32A -30 Proaosed gwnershitx Houslna Aroiects: Required Sxhtbius to the tnctusionary Mousing Alan A . I K Narrative description of the entire project; 3.,U Site plan that depicts the entire project (minimum I V x IT); C. �K Depiction of the location of the inclusionary housing units; and C. a If applicable, a phasing plan that provides for the proportionate number of the total incluslonary housing unit requirement to be built within each phase of the project. S. El if applicable, provide the In -Lieu Calculation Summary for the project. IJ Page 3 of 4 S'PlanninglCloACal- CbuNUr FormalHOOnppllta0an Il1fi 32A -31 I Unit Size Number of Number of Total Number of i (square Market Rate Moderate Number of Percent of Bedroom,, I Fe _Units rcorr a Unit , Units Total Units �.n_.. i t 10, _2 L _.�7atal._� --_– l_._ _ W_� - - -- –_..� ` ------ _ ----- -- — Required Sxhtbius to the tnctusionary Mousing Alan A . I K Narrative description of the entire project; 3.,U Site plan that depicts the entire project (minimum I V x IT); C. �K Depiction of the location of the inclusionary housing units; and C. a If applicable, a phasing plan that provides for the proportionate number of the total incluslonary housing unit requirement to be built within each phase of the project. S. El if applicable, provide the In -Lieu Calculation Summary for the project. IJ Page 3 of 4 S'PlanninglCloACal- CbuNUr FormalHOOnppllta0an Il1fi 32A -31 Property OWNER'S AFFIDAVIT I hereby certify that I am the legally authorized owner of all property involved in this application or have been empowered to sign as the property owner on behalf of a corporation, partnership, business, etc., as evidenced by separate instrument attached herewith. I hereby grant to the applicant submitting this form full power to sign all documents related to this application, including any conditions or litigation measures as may be deemed necessary. I declare under penalty of perjury that the foregoing is true and correct. Executed on (Date) _ ee / t J Rat Ylv ^ California Property Owner's Signature 7l Property Owner's Printed Name � +na- few, cf�c. APPLICANT'S AFFIDAVIT I hereby certify that the statements furnished above and in the attached exhibits represent the data and Information required for this Initial evaluation and that the facts, statements and information presented are true and correct to the best of my knowledge and belief. Further, should the stated information be found false or insufficient, I agree to the return of this form for appropriate revisions, understanding the City of Santa Ana cannot process this form until all applicable information is corrected or provided by the applicant. I hereby certify that I have been legally authorized by the property owner to present this application and to sign on behalf of all documents related to this application, including any conditions or litigation measures as may be deemed necessary. Note: When the applicant is a corporation, partnership, business, etc., a separate document verifying the authorization to sign for such applicant Is required. I declare under penalty of perjury that the foregoing is true and correct. Executed on (Date) Applicant's Signature Applicant's Printed Name '5; _OL S:planninglClarbal•0nuntar Fo mmH00aPNlcmlon at California Page 4 of 32A -32 Project Description Proposed New Residential Development 1010 S. Harbor Blvd, Santa Ana CV Santa Ana 5 Inv., LLC (City Ventures) is proposing to develop 79 townhomes on the property located at 1010 S. Harbor Boulevard within the North Harbor Specific Plan area, Corridor District. There are two product types proposed including Tuck-Under Townhomes and Courtyard Townhomes as defined in the Specific Plan. Units range In size from 1,259 to 1,913 square feet with 2.4 bedrooms and attached two car garages (tandem and side by side), There are several open space areas within the project including a tot lot, bocce ball court, citrus garden, small dog park and a village green for throwing a ball or just relaxing on a bench. In order to meet the requirement of the City's Inclusionary Housing Ordinance, 12 of the homes will be reserved for moderate income households. 32A -33 I 'i I I I C I 0 a� � M 4 •aAV Juay 32A -34 a 3a$ yy 3 a FA 611 81vill ;I q ii ssojtj 11 :ION elm I m wo City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92701 Attention: Housing Manager To be recorded without fee. Above This Line �for ReooMWs Use Only} (Government Code, §§ 0103 and 27383) Wif 14911 1xW2VJ1%rFAVVJ OWNERSHIP PROJECT THIS INCLUSIONARY HOUSING AGREEMENT Is dated as of August 2015, by and between the CITY OF SANTA ANA, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California, and Santa Ana 5 Inv. LLC, a Delaware limited lkbffty-corx pang ("Developer"). RECITALS A. The City's Housing Opportunity ("Ordinance") was adopted by the City Council on November 28, 2011and is codified in Article XVIIIA Section 41 —1900 of the City's Municipal Code, B. The Developer Is the fee owner of the Property located at 1010 S. Harbor Blvd, Santa Ana, California. C. The Developer desires to, at the Developer's sole cost and expense, develop a seventy-nine (R) unit Project an the Property. D. On August 4; 2015 the City Council/Planning Commission approved Resolution Number_, which sets forth the City Approvals for the Project, EXHIBIT C ------ — ----- nduslonary daushng Agroeniont - Ownorehip Pcojoa Pago I City or 8 anta Ana J091ulry 2015 32A-35 E. On June 17, 2016, the Program Director, acting on behalf of the City, approved an Inclusionary Housing Plan that was prepared by the Developer in accordance with the requirements imposed by the Ordinance and the Administrative Procedures Manua[ established by the City Council to Implement the Ordinance requirements. F. This Inclusionary Housing Agreement, when fully executed by the City and the Developer and recorded, is intended to satisfy the requirement that the Developer enter into an Inclusionary Housing Agreement, as set forth in the Ordinance and the conditions to City Approvals, NOW, THEREFORE, in consideration of the mutual promises set forth in this Inclusionary Housing Agreement and other good and valuable consideration, the receipt and sufficiency of which is acknowledged by the City and the Developer, the Parties, agree as follows: The following words, terms and phrases are used in this Inclusionary Housing Agreement, as follows, unless the particular context of usage of a word, term or phrase requires another interpretation. Administrative Procedures means the regulations promulgated by the Executive Director pursuant to the Ordinance. Administrative Procedures Manual is the Affordable Ownership Housing Administrative Procedures Manual — Developer Requirements dated January 2014, which has been prepared by the City for the implementation and enforGOMent of the Ordinance. A copy of the Administrative Procedures Manual shall be maintained on file with the City, and shall be provided to each Developer of Inclusionary Units. Affordability Gap Is equal to the difference between the Fair Market Value of the InclusionM Unit and the Affordable Sales Price for the Incluslonary Unit at the time of acquisition by the Homebuyer. Affordability Period shall be defined for each Inclusionary Unit in the Inclusionary Housing Covenants Declaration recorded on legal title to the Property. Indu5ionary Housing Agreement - ownership Project Paget City of Santa Ana January 2015 32A-36 Affordable Housing Cost means the maximum costs that can be borne by Moderate Income Household based on the requirements imposed by H &SC Section 50052.5, The calculation methodology is described in Section Vl of the Administrative Procedures Manual: Affordable Sales Price means the maximum sales price that can be charged for an Inbluslonary Unit. The Affordable Sales Price is equal to the lesser of. 1. The sum of the Supportable Mortgage plus the Benchmark flown Payment: or 2:. The purchase price prospective buyers are willing to pay in return for purchasing a home that is subject to restrictive covenants. The statutorily set Affordable Sales Prices for the initial sale of each Indusionary' Unit are shown in Exhibit 8 to this Inclusionary Housing Agreement, The Affordable Sales Prices for Incluslonary Units shall be adjusted quarterly. Benchmark Down Payment is a component of the Affordable Sales Price calculations, For the purposes of these Administrative Procedures, the Benchmark Down Payment is set at 5% of the total Affordable Sales Price. California Health and 'Safety Cade ( "HSCC ° ") provides definitions of household income and affordable housing casts that are used in this Incluslonary Housing ,Agreement. City means the City of Santa Aria, California, City Approvals are defined as the entitlement approvals and the Incluslonary Housing Plan that must be approved by the Program Director prior to the issuance of building permits for the Project. City Council means the City of Santa Ana City Council, City Deed of Trust means a deed of trust, that secures the Owner's obligation to comply with the obligations imposed by the Inclusionary Housing Covenant Declaration. Default means the failure of a Party to perform any action or covenant required by this Incllrslonary Housing Agreement within the time period provided herein following notice and opportunity to cure, as set forth in Article 3 -- Section I of this Inclusionary Housing Agreement. Inr,lu5i4ri�Ey r€QUSin9 nq�ani k;rak - otYner�hik7 Project '� r'ape 3. City of Santa Ani January 2015 32A -37 Delivery Date means the date on which an Incluslonary Unit Escrow closes and the Homebuyer acquires a fee title interest In the completed Inclusionary Unit, Developer means the developer of the Project. Effective Date means the date on which this Inclusionary Housing Agreement Is approved and executed by appropriate authorities of the Developer and the City; and this Incluslonary Housing Agreement is delivered to the Developer, Eligible Purchaser shall mean a Homebuyer who meets the eligibility criteria set forth In the Administrative Procedures. Executive Director is the Executive D[reotor of the Community Development Agency of the City. The Executive Director, or designee, has the ultimate authority to evaluate appeals submitted in relation to the Administrative PrDcodures. Exhibits means the exhibits to this Incluslonary Housing Agreement, which are listed in Article 1 - Section V. Fair Market Value means the value of the Inclusionary Unit under normal circumstances in which the seller and the buyer freely negotiate the terms of the transfer of ownership. The Fair Market Value must be established by a licensed Real Estate agent based on three comparable properties. Gross Household Income means all income from whatever source from all Adult Household members, which is anticipated to be received during the 12- month period following the date of the determination of Gross Household Income. The applicable sources of income are defined in California Code of Regulations Title 25 Housing and Community Development Section 6914, The definition includes the following specific requirements: 1 Except as provided in subdivision (2), all payments from all sources received by the head of Household (even if temporarily absent) and each additional member of the Household who is not a minor shall be Included in the annual income of a Household. Gross Household Income shall include, but not be limited to: a. The gross amount, before any payroll deductions, of wages and salaries, overtime pay, commissions, fees, tips and bonuses; Indusionary Homing Agreement , ()- narshlp Project NaFe —4 City of Santa Ana January 2015 32A-38 b. The net income from operation of a business or profession or from rental or real or personal property (for this purpose, expenditures for business expansion or amortization of capital indebtedness shall not be deducted to determine the net income from a buslness); C. Interest and dividends; d. The full amount of periodic payments received from social security, annuities, insurance policies, retirement funds, pensions, disability or death benefits and other similar types of periodic receipts (but see subdivision (2)(c)); 0. Payments in lieu of earnings, such as unemployment And disability compensation, workers compensation and severance pay; f. Public Assistance. If the public assistance payment includes an amount specifically designated for shelter and utilities which is subject to adjustment by the public assistance agency in accordance with the actual cost of shelter and utilities, the amount of public assistance Income to be included as income shall consist of The amount of the allowance or grant exclusive of the amount specifically designated for shelter and utilities, plus ii. The maximum amount which the public assistance agency could in fact allow for the Household for shelter and utilities. 9. Periodic and determinable allowances such as alimony and child support payments, and regular contributions or gifts received from persons not residing in the dwelling; h. All regular pay, special pay and allowances of a member of the Armed Forces (whether or not living in the dwelling) who is head of the Household or spouse or domestic partner (but see subdivision (2)(e)); Where a Household has net assets in excess of $5,000, income shall include the actual amount of income, if any, derived from all of the net Household assets or 10 percent of the value of all such assets, whichever is greater. For purposes of this section, not Nnemhlp Project Page .5 Oty of Santa Ann Jano-ary 205 32A-39 Household assets means value of equity in real property other than the Household's full-time residence, savings, stocks, bonds, and other forms of capital Investment. The value of necessary items such as furniture and automobiles shall be excluded. Z The following Items shall not be considered as income: a. Casual, sporadic or irregular gifts; b. Amounts which are specifically for or in reimbursement of the cost of medical expenses; C. Lump-surn additions to Household assets, such as Inheritances, insurance payments (including payments under health and accident insurance and worker's compensation), capital gains and settlement for personal or property losses; 6 Amounts of educational scholarships paid directly to the student or to the educational institution, and amounts paid by the government to a veteran for use in meeting the costs of tuition, fees, books and equipment. Any amounts of such scholarships, or payments to veterans not used for the above purposes of which are available for subsistence are to be included in Income; e. The special pay to a serviceman head of a Household away from home and exposed to hostile fire; f. Relocation payments made pursuant to federal, state, or local relocation law 91 Foster child care payments: K The value of coupon allotments for the purchase of food pursuant to the Food Stamp Act of 1964 which Is in excess of the amount actually charged the eligible Household; Payments received pursuant to participation in the following volunteer programs under the ACTION Agency: National Volunteer Antipoverty Programs which include VISTA, Service Learning Programs and Special Volunteer Programs. _Bn_c I iis I _onaryl-roua In _Pi6; 6 - City at Santa Apa January 2015 32A-40 ii. National Older American Volunteer Programs for persons aged 30 andr over which include Retired Senior Volunteer Programs, roster Grandparent Program, Older American Community Services Program, and National Volunteer Program to Assist Small Business Experience, Service Corps of Retired Executive (SCORE) and Active Corps of Executives (ACE), Homebuyer means an Eligible Purchaser that has executed an agreement to purchase an [nclusionary Unit. Household means all the persons who will occupy the Inclusionary Unit as their Primary Residence. A child who Is subject to a [egally-binding shared-custody agreement, in which the child resides with the Household at least 50% of the time, Is counted as a member of the Household, Excluded from the definition of Household are live-in caregiversIcaretakers, foster children, unborn children and children being pursued for legal custody or adoption that are not currently living with the Household. Housing Cost means and includes all of the following costs associated with ownership of an I nclusionary Unit as defined in Title 25 of the California Code of Regulations Section 6920: 1. Principal and interest on a mortgage loan at the defined interest rate; 2. Property tax and assessments: 3. Fire and casualty insurance covering replacement value of property improvements; 4. Property maintenance and repairs; 5. A reasonable utility allowance, as determined by the City; and 6, Homeowner Association assessments and dues. HCD means the California Department of Housing and Community Development. HUD means the United States Department of Housing and Urban Development, lndus�onary Housing Agreament - Ownemhip Pro*t Pagel City of Sant Ma Ja nuary 2015 32A-41 Incluslonary Housing Covenants Declaration means the Declaration of Inclusionary Housing Covenants, Conditions and Restrictions attached hereto as Exhibit 5. Inclusionary Housing Fund means a separate fund of the City which Is codified in Article XVlll;'t Section 41 -1909 of the City's Municipal Cade. The fund was established for the specific purpose of providing the City with funds to assist in the development of housing that is affordable to low and moderate income households. The allowable uses of Incluslonary Housing Funds, and the related reporting are described in Attachment I of the Administrative Procedures manual, Inclusionary Housing Plan means a plan submitted for approval to the Program Director that details the manner in which the Incluslonary Housing obligations will be fulfilled by the Project, The Incluslonary Housing Plan form Is presented in Attachment 8 of the Administrative Procedures Manual, and also attached as Exhibit 3 to this Inclusionary Housing Agreement, Inclusionary Unit means a completed affordable owner- occupied housing unit, including the landscape improvements thereon, if any, that is made available for sale to an Eligible Purchaser. The location of each Inclusionary Unit In the Project is shown on Exhibit 3 to this Inclusionary Housing Agreement. Inclusionary Unit Escrow means the escrow transaction by and between the Developer and each Homebuyer, through which the Developer shall transfer fee title in each completed Incluslonary Unit to an Eligible Purchaser. In•Lieu. Fee refers to a fee that may be paid by the Property Owner in specific circumstances in lieu of providing Inclusionary Units within a Project. These circumstances are Identified in Section II -A of the Administrative Procedures Manual, The In -Lieu Fee calculation worksheet is updated quarterly. The current Affordable Housing In -Lieu Fee calculation worksheet schedule is presented in Attachment of the Administrative Procedures Manual. Market Rate Unit means any unit in the Project that is not restricted for ownership and occupancy by Eligible Purchasers. Median Income is calculated by HCD using non - aggregated census income data and applying trending factors for metropolitan statistical areas (MSA) throughout the country. The MSrAforSanta Ana is Orange County, The current household income information is presented in Attachment I of the Administrative Procedures Manual. Irid6_sionery Rousing !Agreement . Ovmorship Pro'jeG't Pale 8 City of Santa Ma January 2015 32A -42 Moderate Income refers to Households whose Incomes meek the standards defined by the H &SC Section 80093, Generally, Moderate Income means household income that does not exceed 120% of the County Median Income, as adjusted for Household size The maximum household Income amount for Moderate Income Households shall be set at the amount published by HCD annually: Moderate Income Household shall mean individuals or Households who have an adjusted Gross Income that does not exceed Moderate Income. Ordinance means the Housing Opportunity Ordinance adopted by the City Council on November 28, 2011, which Is codified in Article XVIII.1 Section 41- 1900 et seq. of the City's Municipal Code; Owner means the current owner of an Incluslonary Unit. Party and Parties mean the City and the Developer as parties to this Incluslonary Housing Agreement. Program Director has the day - today authority for making determination$ related to the Ordinance and Administrative Procedures Manual. The Program Director will be appointed by the Executive Director. Project means the owner - occupied housing project proposed to be developed on the Property at the Developers sole cost and expense. Property means the real property, as shown on Exhibit 2 attached to this Incluslonary Housing Agreement, on which the Project is to be developed, for which the legal description is provided in Exhibit 1 to this Inclusionary Housing Agreement, Supportable Mortgage means the mortgage amount that can be supported by a Moderate Income Household based on the Affordable Housing Cost calculations. The mortgage calculation is based on the prevailing market interest rate for a 30- year fully amortizing mortgage with a fixed interest rate. See Section VI-13 of the Administrative Procedures Manual for an explanation of the calculation methodology. Incluslonary Housing Agroornent - CmarshlsP €oioot Page City of Santa Alta Jon nary 2845 32A -43 ARTICLE 1 YARTIES- REPRESENTATIONS AND WARRANT[W EFFECTIVE DATE; RECITALS; AND EXHIBIT$ 1. Parties to this Incluslonary Housing Agreement ll-A. City. The City is a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California. The address of the City, for the purposes of this Inclusionary Housing Agreement, is; City of Santa Ana Community Development Agency 20 Civic Center Plaza, M-25 Santa Ana, California 92701 Attention: Program Director Facsimile Number t1141647-6549 I-B. Developer, The Developer is a Santa Ana 5 Inv., LLC. The principal office and address of the Developer, for the purposes of this Inclusionary Housing Agreement, Is: Santa Ana 5 Inv, LLC 3121 Michelson, Suite #150 Irvine, CA 92612 Attention: Kim Prij I ate], VP of Development Facsimile Number. JE4EL136-4349 If. Developer Representations And Warranties The representations and warranties of the Developer contained in Article I — Section 11 shall be based upon the actual knowledge of the Developer as of the Effective Date, and are true and correct as of the Effective Date, The Developer's liability for misrepresentation or breach of warranty, representation —nn—clusionsfy F4oiisin Adriemerd - Ovmemhip —Project- Page 10 City of Santa Ana Januaw2015 32A-44 or covenant, wherever contained In this Inclusionary Housing Agreement, shall survive the execution and delivery of this Incluslonary Housing Agreement. The Developer hereby makes the following representations, covenants and warranties, and Developer acknowledges that the execution of this Inclusionary Housing Agreement by the City has been made in material reliance by the City on such covenants, representations and warranties: ll-A. The Developer Is a Santa Ana 6 Inv., LLB, lawfully entitled to do business In the State of California and the City, The Developer has the legal right, power and authority to enter Into this Inclusionary Housing Agreement and the instruments and documents referenced herein and to consummate the transaction contemplated hereby. The persons executing this Inclusionary Housing Agreement and the instruments referenced herein on behalf of the Developer hereby represent and warrant that such persons have the power, right and authority to bind the Developer. 11-6, The Developer has taken all requisite action and obtained all requisite consents In connection with entering into this Inclu5ionary Housing Agreement and the instruments and documents referenced herein and the consummation of the transactions contemplated hereby, and no consent of any other party is required for the Developers authorization to enter into this Inclusionary Housing Agreement. 11-0. Neither the execution of this Inclusionary Housing Agreement nor the consummation of the transactions contemplated hereby shall result in a breach of or constitute a default under any other agreement, document, instrument, or other obligation to which the Developer is a party or by which the Developer may be bound, or to the best of the Developer's knowledge, under any law, statute, ordinance, governmental regulation or any writ, injunction, order or decree of any court or governmental body applicable to the Developer or to the Property. It -M This lncluslonary Housing Agreement is, and all agreements, instruments and documents to be executed by the Developer pursuant to this Incluslonary Housing Agreement shall be duly executed by, and to the best of the Developer's knowledge, are or shall be valid and legally binding upon the Developer and enforceable in accordance with their respective terms. Indusioniry Housing Akjmmont - OmeNhlp Prolea Page 11 MY of Santa Ma JanuaTy 2015 32A-45 III. Effective Gate This Inclusionary Housing Agreement is dated August 4, 2015 for reference purposes only. This Inclusionary Housing Agreement shall not go into effect before the Effective Date IV. Recitals The Recitals set forth above are true and correct. The Recitals are incorporated Into this Incluslonary Housing Agreement in their entirety by this reference. V. Exhibit List The following is a list of the exhibits attached to this Inclusionary Housing Agreement. Each of the exhibits is Incorporated by reference Into the team of this Inclusionary Housing Agre =ement. Exhibit 1 Legal Description of Property Exhibit 2 Site leap Depicting Property and Zoning Designations Exhibit 3 Inclusionary Housing Plan Exhibit 4 Schedule of Performance for Construction of Inclusionary Units Exhibit 5 Inolusianary Housing Covenants Declaration Exhibit City ;Deed of Trust Exhibit 7 Calculations of Affordable Sales Prices Exhibit 8 Developer's Chasing flap Exhibit 9 Legal Description of Incluslonary units Incluslohary Housing Agrewiern • Ownership Punt Page 12 city of Santa Aeia January 2615 32A -46 1110 R 1163 iNCLUSIONARY HOUSING COVENANTS Developer Compliance with the Ordinance The Developer acknowledges that the City has provided the Developer with copies of the [ordinance and the Administrative Procedures Manual. The Developer Is familiar with the requirements of all the foregoing documents and shall ensure that the Project complies in all material respects with this Inclusionary Housing Agreement and the requirements set forth in all the foregoing documents. It. Inclusionary Housing Covenants The Developer covenants and agrees that Ewelve 12) of the units to be developed on the Property shall be Inclusionary Units reserved for sale at the Affordable Sales Price and occupancy by Homebuyers whose gross Household Income at the time of occupancy of each Inclusionary Unit clods not exceed the household income qualification limits ofa Moderate Income Household. This covenant and agreement shall be binding on the successors and assigns of Developer, as set forth herein and in the Inclusjonary Housing Covenants Declaration (Exhibit 5) and the City Deed of Trust (Exhibit 6). {I -A. The Inclusionary Units to be developed on the Property shall be reasonably dispersed throughout the market rate project as depicted on Exhibit 3. The Developer may change the location of any Incluslonary Unit to another area within the Project upon approval of the Program Director. Changes in the location of Inclusionary Units as approved on the Tentative Subdivision Map in which the Project is included shall be made consistent with all requirements of the Ordinance and the Administrative Procedures Manual, and shall be subject to the approval of the Program Director, such approval not to be unreasonably withheld. II -B, The Inclusionary Units to be developed on the Property shall be proportional in the number of bedrooms to the market rate units in the Project; they shall be comparable to the market rate units in terms of design, materials, finished quality and appearance; and be permitted the same access to the Project amenities and recreation facilities as the market rate units. FncI us ion ary Housing Ague -einai t - 0— "iarshlp Project W# 1j_ City +oF Santa. Ana January 2015 32A -47 II-C. The Inclusionary Units to be developed on the Property shall be constructed concurrently with, or prior to, the Market Rate Units in the Project. if the Project is phased, the Inclusionary Units shall be constructed in accordance with the phasing plan included as Exhibit 8 to this Inclusionary Housing Agreement. If the Developer wishes to change the timing and/or phasing of the Project's construction, the City agrees to amend said schedule in a manner consistent with such change so long as the revised schedule continues to ensure that the Inclusionary Units will be constructed concurrently with, or prior to, the Market Rate Units. II-D. The Developer shall affirmatively market the Inclusionary Units to Moderate Income Households in accordance with the Administrative Procedures Manual. Sale of finclusionary Units Each of the Incluslonary Units shall be sold to a Moderate Income Household as set forth in the Inclusionary Housing Plan. The purchaser of each Incluslonary Unit shall qualify as an Eligible Purchaser, as defined in the Administrative Procedures Manual. IV. Selection of Eligible Purchaser The Developer shall, at its sole cost and expense, conduct all procedures and comply with all requirements as set forth in the Ordinance and the Administrative Procedures Manual in selecting qualified Eligible Purchasers for each of the Incluslonary Units, Specific procedures are set forth in Attachment D In the Administrative Procedures Manual. If a prospective Homebuyer qualifies as an Eligible Purchaser, as defined herein, the Homebuyer shall be required to execute the Developer's standard purchase agreement for the purchase and sale of an Incluslonary Unit. The Developer shall seek and obtain all approvals required from the City pursuant to the Ordinance and the Administrative Procedures Manual, and shall provide the City with all documentation required pursuant to the Administrative Procedures Manual. Indusionary Houalng Agreement • ownership Project Page 14 ciryof Santa ma January 2015 32A-48 V, Execution of Inclusionary Housing Covenants Declaration and City Deed of Trust The Developer shall not sell an Inclusionary Unit unless and until the City has reviewed and approved the Homebuyer as an Eligible Purchaser for the purchase of the Inclusionary Housing Unit, and the Homebuyer has executed and submitted to the Program Director, in recordable form, the Incluslonary Housing Covenants Declaration and the City Heed of Trust, The forms to be used are found in Exhibits 5 and 6, respectively, to this Inclusionary Housing Agreement. Vi. Enforcement of Inclusionary dousing Covenants Declaration The Developer Irrevocably stipulates and agrees that breach of the Inclusionary Housing Covenants set forth above in Article 2 — Section II will result in great and irreparable damage to the City, and will result in damages to the City that are either Impracticable or extremely difficult to quantify. Accordingly, upon the breach of the Inclusionary Housing Covenants Declaration set forth above in Article 2 — Section ll, the City may 'institute an action for injunctive relief and/or specific performance for the remedy of such breach. V11. Recordation of Inclusionary Housing Covenants. Declaration and City Deed of Trust Prior to the close: of each Inclusionary Unit Escrow, each Homebuyer shall sign, and the City shall cause to be recorded, the City Deed of Trust and the Inclusionary Housing Covenants Declaration. Inclusionary Housing A4raamant- Owncrchip Project Page 9a- City of Santa. Airs January 2D 32A -49 L Default If either Party defaults With regard to any provision of this Incluslonary Housing Agreement, the rion-defaulting Party shall serve written notice of such default upon the defaulting Party. If, after the service of written notice of such default, the defaulting Party does not cure such default within thirty (30) calendar days after service of the notice of default (or, if such cure reasonably takes longer than thirty (30) days, if such cure has not been commenced within the thirty (30) day period or is not diligently completed within a reasonable time, not to exceed an additional sixty (60) calendar days), the defaulting Party shall be in Default of the terms of this Inclusionary Housing Agreement, and shall be liable to the other Party for damages caused by such Default. Alternatively, the non-defaulting Party, at its option, may institute an action for specific performance of the terms of this Inclusionary Housing Agreement. 11. Legal Actions In the event of a breach or potential breach of program requirements, in addition to any other rights or remedies, either Party may institute legal action to cure, correct or remedy any Default, to recover damages for any Default, or to obtain any other remedy consistent with the purposes of this Inclusionary Housing Agreement. II•A, The City's actions may Include, but are not limited to, the following: The following legal actions; Actions to enforce compliance with the program requirements and to enjoin any actions by the Developer that violate program requirements; b. Actions to disapprove, revoke or suspend any permit, including a Building Permit, Certificate of Occupancy or other discretionary approval; G. Injunctive relief and damages; and Indusionary Housing Agmomani = Otwiar, liip PmJocF_ Pap 10' City of Santa Ana January 2645 32A-50 d, Civil citations with monetary penalties for violations of the Incluslonary Housing Agreement. 2. If the Developer rents any of the Incluslonary Units in violation of this Incluslonary Housing Agreement, as restitution to the City, the Developer shall forfeit all monetary amounts obtained through the rental of the InclusionM Units. 1 If the Developer sells any of the Incluslonary Units in violation of this lnclusionary Housing Agreement, as restitution to the City, the Developer shall forfeit all monetary amounts obtained from the sale of the Inclusionary Units that are In excess of the Affordable Sales Price permitted by this Incluslonary Housing Agreement for such Incluslonary Units. 4, All such restitution shall be made to the City. Any funds received by the City under this provision of this Incluslonary Housing Agreement shall be placed in the City's lnolusionary Housing Fund. ll -B. The laws of the State of California shall govern the interpretation and enforcement of this Incluslonary Housing agreement. II -C. In the event that any legal action is commenced by the Developer against the City, service of process on the City shall be made by personal service upon the Clerk of the City Council, or In such other manner as may be provided by taw. II -D. In the event that any legal action is commenced by the City against the Developer, service, of process shall be made by personal service on the Developer's designated agent at such address as may specified in written notice to the City, or in such other manner as may be provided by law, and shall be valid whether made within or without the State of California. The rights and remedies of the Parties are cumulative and the exercise by either Party of one or more of such rights or remedies shall not preclude the exercise by It, at the same or different times, of any other rights or remedies for the same Default or any other Default by the other Party. of Banta Ana January 2015 32A -51 ARTICLE GENERAL PROVISIONS Notices, Demands and Communications Between the Parties Any and all notices, demands or communications submitted by any Party to another Party pursuant to, or required by, this tnclusionary Housing Agreement shall be proper if in writing and dispatched by messenger for immediate personal delivery, or by registered or certified United States snail, postage prepaid, return receipt requested, to the address of the City and Developer, as applicable, as designated in Article I — Section I of this Inclustonary dousing Agreement. Such written notices; demands and communications may be sent In the same manner to such other addresses as either Party may from time -to -time designate as provided in this Section. Any notice, demand or communication small be deemed to be received by the addressee, on the day that It is personally delivered, if dispatched by messenger, or two (2) Calendar days after it is placed in the United States mail. in addition to the submission of notices, demands or communications to the Parties via Unite =d States mail, copies of all notices shall also be delivered by facsimile to the facsimile numbers designated in Article 1 — Section I. fl. Conflict of interest No council member, official, contractor, consultant, attorney or employee of the City Laving any conflict of interest, direct or indirect, related to this Inclusionary Rousing Agreement, or in the development of the Property, shall participate in any decision relating to this Inctusionary Rousing Agreement. The Parties represent and warrant that they do not have knowledge of any such conflict of interest. ill, Non-liability of City or City Officials and Employees No council member, official, contractor, consultant„ attorney or employee of the City shall be personally liable to the Developer, any voluntary or involuntary successors and assignees, or any tender or other party holding any interest in the Property, in the event of any default or breach by the City, or for any amount which may become due to the Developer or to its successors or assignees, or on any obligations arising under this Inclusionary Rousing Agreement. lnclusio HoL3ingAAiC eeirauit 4wnershlpProje 0 Page 1S City of Sanwa Ana January 20115 32A -52 IV. Indemnification The Developer agrees to indemnify and hold the City, and their officers, employees and agents, harmless from and against all damages, judgments, costs, expenses and fees arising from or related to any negligent or wrongful act or omission of the Developer In performing its obligations hereunder, The City agrees to indemnify and hold the Developer and its officers, employees and agents, harmless from and against all damages, judgments, costs expanses and fees arising from or related to any negligent or wrongful act or omission of the City in performing its obligations hereunder. V. No Waiver Failure to insist upon strict compliance with any of the terms, covenants, conditions and restrictions hereof on any one occasion shall not be deemed a waiver of such term, covenant, condition or restriction, Any waiver or relinquishment of rights or powers hereunder at any one time or more times shall not be deemed a waiver or relinquishment of such other rights or powers at any other time or times, VI. Attorneys' Fees and Costs If either Party hereto files any action, or brings any action or proceeding against the other arising out this inclusionary Housing ,Agreement, the prevailing Party shall be entitled to recover its reasonable attorneys' fees and assts. The recovery shall be treated as an element of its costs of the suit, and not as damages. The amount of the recovery shall be fixed by the court in such action or proceeding, or in a separate action or proceeding brought to recover such attorneys' fees and costs, VII. Jurisdiction and Venue Any legal action or proceeding concerning this Inclusionary Housing Agreement shall be filed and prosecuted in the appropriate State of California court in Grange County, California. Each Party hereto irrevocably consents to the personal jurisdiction of that court, The City and the Developer each hereby expressly waive the benefit of any provision of federal or state law orjudicial decision providing for the filing, removal, or change of venue to any other court or jurisdiction, Including without implied limitation federal district court clue to any of the following. aanvorY 2095 32A -53 Any diversity of citizenship between the City and the Developer; or 2. The fact that the City Is a party to such action or proceeding; or 3. That a federal question or federal right is involved or alleged to be involved. Without limiting the generality of the foregoing, the Developer and the City specifically waive any rights provided to it pursuant to California Code of Civil Procedure 394. The Developer acknowledges that the provisions of this Article 3 — Section Vill are material consideration to the City for its entry into this Incluslonary Housing Agreement, in that the City will avoid the potential cost, expense and inconvenience of litigating in a distant forum. Vill, Inspection of Books and Records To enforce Its rights under this Incluslonary Housing Agreement, the City shall have the right at all reasonable times and upon reasonable advance notice, at the City's cost and expense, to inspect the books and records of the Developer that are not privileged, confidential, trade secrets or othervvise protected from disclosure and that pertain to the sale of the Inclusionary Units at the Property. Matters discovered by the City shall not be disclosed to third parties unless required by law, or unless otherwise resulting from or related to the pursuit of any remedies or the assertion of any rights of the City hereunder subject to, however, any right of the Developer to seek a protective order to prevent the disclosure of any confidential or privileged infonnation. IX Successors and Assigns This Inclusionary Housing Agreement shall be binding upon, and inure to the benefit of, the Parties hereto and their respective heirs, executors, administrators, legal representatives, successors and assigns. r a I Mrs I MMEMMEM The performance of the City's and the Developers respective obligations under this Incluslonary Housing Agreement are not intended to benefit any party other than the City or the Developer, except as expressly provided otherwise herein. No person or entity not a signatory to this Inclusionary Housing Agreement shall have any rights or causes of action against any Party to this Incluslonary Housing Agreement as a result of that Party's performance or non-performance under this I n duaGrIkuy it Ownership Project poge 20 City or Sant© Ana January 2015 32A-54 Inclusionary Housing Agreement, or for the enforcement of any provisions of this Agreement, except as expressly provided otherwise herein, XI. Entire Agreement This Incluslonary Housing Agreement Integrates all of the terms and conditions mentioned herein or incidental hereto, This Incluslonary Housing Agreement supersedes all negotiations or previous agreement between the Parties with respect to all or any portion of the Property and the Project thereof. V14 1 M 0=6 q =0 The Developer and the City agree to permit recordation of this Inclusionary Housing Agreement, against the Inclusionary Units in the Office of the County Recorder of Orange County, California. The legal description for the Inclusionary Units Is provided in Exhibit 10 to this Inclusionary Housing Agreement. XIII. Tormination Except as set forth elsewhere, this Inclusionary Housing Agreement shall be effective until all of the following have been completed: 1 All of the lnclusiqnary Units have been constructed and sold by the Developer to Eligible Purchasers; 2. The Inciuslonary Housing Covenants Declaration (Exhibit 5) has been recorded against each Inclusionary Unit; 3. The City Deed of Trust (Exhibit 6) has been recorded against each Inclusionary Unit. Upon satisfaction of the above-referenced items, this Inclusionary Housing Agreement shall automatically and immediately terminate and shall have no further force and effect, Upon the termination of this Inclusionary Housing Agreement, the Developer shall have no further obligations or liability hereunder, or any responsibility with respect to the Inclusionary Units. The City and the Developer agree to promptly execute, acknowledge and deliver for recordation any documents that may be necessary to remove this Inclusionary Housing Agreement as encumbrance against title to any portion of the Property, IN WITNESS WHEREOF, the Parties hereto have duly executed this Inclusionary Housing Agreement as of the dates set forth below. ]Ddusionary HausINAqmement - Ownership Projeo Pogo 21 City of Santa Ana January 2015 32A-55 [Signatures on Following Pages] Indwionary Housing Agreement - OwnefshIp Project Page 22 City of Santa Ana January 2015 32A-56 Im SIGNATURE PAGE To INCLUSIONARY HOUSING AGREEMENT AsMant COAttorney City of Santa Ana CITY: CITY OF SANTA ANA A California Charter City and Municipal Corporation m Name: David Cavazos Its: City Manager 3113 Induslaaary Housing Agreement - Gmership Pm+ od Page 23... CRY of Santa Ana January 2035 32A-57 SIGNATURE PAGE TO Santa Ana 5 Inv- LLC A Delaware limited liability cqMpany 0 Name: Kim Prilatel Its: Vice President of DgvelgpMent Date: Indusionary Housing Agreement - Ownership Projact City of Sonto Ars January 2015 32A-58 I nd us iertary Huuslrig Agreement- O mer5hip Pmje A _..._ City of Santa Ana January 2l#16 32A -59 OrderNum4er: NFISC-Q36517 (50) Page Number: 9 Iv ;1q-'Ta, Uj= Real property In the City of Santa Ana, County of Orange, State of California, described as follows: PARCEL 2 OF A PARCEL MAP, IN THE CM OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS RECORDED IN PARCEL MAP BOOK 72, PAGE 42 IN THE OFFICE OF THE COUNTY RECORDER OF ORANGE COUNTY, CALIFORNIA. APN: 108-722.49 and 108-722 -50 First Amevio,7,7 7-We 32A-60 EXHIBIT 2 v VIA 11 I nicluslonar• Housing A City of Santa Ana January 2016 32A-61 G:9, I 32A-62 /./ EXHIBIT 3 IN LUSION'ARY HOUSING PLAN Inclusianary HQusfng Ag ranioat — OwneNhf p Prmj5ct City of Santa Aza .January 2015 32A -63 Planning: and Building A9000y f 1 Plonnfog plvlaron A9tg Cc6s F?wna NnnEb&r - 1 t1 20 CfvlcCmnterPlaza P.4. Box i DUO (M-20) Arai C,yya 1=ar. Ninefaer _ v ry Sane An R, CA 97,7o2 1 S 1714) 647 -Mad Er au9d, IiNCLUSIONARYHOUSING RL W Cda1Fn#f Fddt6Na ONE' ER APPLICANT INFORMATION Legal Owner F a aaa ai#s,� Pitta €C9rdG33L�Yd }'rrea 0sa€4 PL�+me tium�ar rxa BvSAalur Applloanty i v� n f 1 r?u'I rsenarri3`ar5un, P'�aR of C,a7s3tVILrvn A9tg Cc6s F?wna NnnEb&r - •�.�.. «••�•.� '3ha�n4 AtltJrage Arai C,yya 1=ar. Ninefaer y Contact Pecs ar7 �i ��V ud I+tnrna ru FFa�swn cs C£+'C�m.Qarx Er au9d, Cda1Fn#f Fddt6Na Arne urrxa �Ncnk Nui#ilx5r Aron Coda —3tr Yom�er Am Coda fax Numtwr PROJECT DESCRIPTION Project Address: { L . ,4" a'r.�% d an r1 7 Assessor Parcel flumbar(a) (, 7 Total number of units proposed: Number of Rental Units:`! Number of For Sale unfits; Number of 15% lncluslonary obligation: ldantlfy the grass livable area of the proposed project (including private balconies, decke and patios). _ square feet Will the projoot tae constructed In phases?--g—yes ®hio lea density bonus being requested? Yes _X— CrtY APPROVAL$ (It apPafaabls) INCLU81MARY NQUsIll PLAN N7, APPROVE U DENY Pape ' of A S :planinq�ClefGSli:�ti.V.St €Wr11i'NCl4kppl1Glll4. kH l 32A -64 HOUSING ALTERNATIVES Select the applicable alternatives to Indicate how the protect will comply with the Incfusionary housing requirement: On -site construction of inelus €onory units _. In -lieu Pee payment for on Ore obiiga,ticn' In-lieu fee payment fDr fractlonal unit t and dedication Note: For development projects wan more than 20 units requesting In -lteu tee payment to fulfill their Inclusionary obligation, "substantial evidence" that the cast of providing Iriclusionary units on site woufd substantially exceed the amount of the applicable to -lieu fee is to be provided with this application Please complete the following Whigs) as it applies to your project proposal; Proposed mental Homo Pmisctst Unit Size l Numborof Nwmber of (Square Market Rate a Bedrooms Feel) Units Humber of Humberof I Very -Low 'total Percent Low Income j interne Number of Total Units ; Units of UnIts Units Iif€hoe&uraWn at irte mwbet d mluirodlafuslonary houftfq wpA msulls In e. k4on [ho lysrboo? rw the oplko to tal rMok On additw5l rn lualonury . ouuslnp unit or () pay on Li Uou ras asuar to tha pamontop mpeon ;ad by fne r aco am Intuslonery hwul q vnft mulllpiled by the appkabl s lit L%v F na Pogo 3 of S-F1a�iHnp+7uici�b4u.inlur FcnisatM15�5�Pdixearc if15 32A -65 Paotat gad y�ners € ausir rea Esc, Required Exhlbli`s to the incluatonM Housing Plan A. 0 Narrative desOptloh of the entire project: 3,eff SO plan that deplets the entire project (minimum 11° x IT); . �_KDaplctlon of the location of the lnclusionary housing units, and D, TB� If applicable, a phasing plan that provides for the proportlortate number of the total fWusionary housing unit requlrrement to be built within each phase of the project, E. El If applicable, provide the In -Lleu Calculation Summary toe the project. IJ Iii' Page 3 of d 5PwintngiCtaa�N- CawAUtF+4'+ne'wgOepp�vUvn Eli& 32A -66 Property OWNER'S AFFIDAVIT I hereby certify that I am the legally authorized owner of all property Involved In this app €Ica €ion or have been empowered to sign as the property owner can behalf of a corporation, partnership, business, etc., as evidenced by separate instrument attached herewith, 1 hereby grant to the applicant submitting this form full power to sign all documents related to this application, including any conditions or litigation measures as may be deemed necessary, declare under penalty of perjury that the foregoing Is true and correct, Executed on (Date) �m _ at %/I California Property Owner's Signature i Property Owner's Printed Name. 4gn? _ � � r Gr•, t 3a APPLICANT'S AFFIDAVIT I hereby certify that the statements furnished above and In the attached exhibits represent the data and information required for this inliial evaluation and that the facts, statements and information presented are true and correct to the best of my knowledge and belief. Further, should the stated information be found false or insufficient I agree to the return of this form for appropriate revislon$i, understanding the City of Santa Ana' cannot process this form until all applicable information is corrected or provided by the applicant. I hereby certify that I have been legally authorized by the property owner to present this application and to sign on behalf of all documents related to this application; Including any conditions or litigations measures as may be deemed necessary. Note; When the applicant is a corporation, partnership, business, etc., a separate document verifying the authorization to sign for such applicant is required, I declare under penalty of perjury that the foregoing Is true and correct. Executed on (gate) j S at r lru California Applicant's Slgnature Applicants Printed Name Nee 4 of 4 SPleniin�V.; ll• ICbi�ea ?in:aifaezrsti+OOtiir�Alcaiirn ti'I5 32A -67 Project Descrliptivn Proposed New Residential Development 1010 S. Harbor Blvd, Santa Ana CV Santa Ana 5 Inv,, ILLC (City Venture!;] is proposing to develop 79 townhornes on the property located at 1010 S. Harbor Boulevard within the North Harbor Specific Kan area, Corridor District. There are two product types proposed including Tuck-Under Townhorrws and Courtyard Townhoines as defined in the 5peciflc Plan, Units range In size from 1,259 to 1,913 square feet with 2-4 bedecoens and attached two car garages (tandem and side by side). There are several open space areas within the prGject Including a tot lot, bocce ball court, citrus gstdon, small dog park and a village green for throwing a ball or just relaxing on n herich, in order to meet thin requirement of thR City's Inclusionary Housing Ordinance, 12 o he homes will he reserved for moderate income households. 32A-68 it �i s Ii i v 32A -69 EXHIBIT 4 .: INCLUSIONARY Inclusiorar�ry Hsausing ReJreemen4— C7rvnershlp Pra�ecl .,.�,wLL. . ". City of Santa Ana January 2615 32A -70 32A-71 fi its a Inclusloflary Housing Agreernom— O"arship ProjncI. City of gents Ana Jarmar/ 2015 32A-72 City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92701 Attention: City Clerk (SpaoaAbov �T%LlneFoI �sbW—Oflly) (Gmernment Code, §§ 6103 and 27383) M IBM AT (PROPERTY ADDRESS) This DECLARATION OF INCLUSIONARY HOUSING COVENANTS, RESALE RESTRICTIONS AND CITY'S OPTION TO PURCHASE AGREEMENT ("Inclusionary Housing Covenants Declaration"), dated as of , I is made by and between - (" Homebuyer") and the CITY OF SANTA ANA ("City"), a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California. 91k XMIM A. The Homebuyer is acquiring title town Incluslonary Unit, which is more particularly described in Exhibit 1, The Incluslortary Unit was originally constructed as part of a development that was approved by the City Subject to the requirement that one or more of the units be designated and maintained as affordable to Moderate Income Households, B. The Homabuyer is a Moderate Income Household as defined in this Incluslonary Housing Covenant Declaration, and meets the eligibility requirements necessary to acquire the Inclusionary Unit as set forth in Section tV of the Administrative Procedures Manual. City of Santa A4ia .January 201 32A-73 C. The Hornebuyer is acquiring the Inclusionary Unit at the Affordable Sales Price, which is less than the Fair Market Value for the Inclusionary Unit. The Inclusionary Unit is being sold for a reduced price as a direct result of the requirements imposed pursuant to the City's Housing Opportunity Ordinanoe("Ordinance"). In consideration for the right to acquire the Incluslonary Unit at a reduced price, the Homebuyer, its successors and assigns agree to enter into, and be bound by, the terms and conditions of this Inclusionary Housing Covenants Declaration. D The purpose of this InGtiuslonary Housing Covenants Declaration is to ensure that the Inclusionary Unit is only purchased and occupied by a Moderate Income Household. This Inclusionary Housing Covenants Declaration accomplishes this purpose by, among other things, imposing conditions on the Owner's future resale of the [ncluslonary Unit, and requiring that the Owner maintain the Inclusionary Unit as the Owner's Primary Residence. The Homebuyer is required to execute this Inclusionary Housing Covenants Declaration as a condition of purchasing the Incluslonary Unit. This Inclusionary Housing Covenants Declaration is secured by the City Deed of Trust executed by the Homebuyer, Now, therefore, in consideration of the mutual promises set forth in this Inclusionary Housing Covenants Declaration, the receipt and sufficiency of which is acknowledged by the City and the Homebuyer, the Parties agree as follow& I ndvajpnqry Housing Covenads Cedaratlon Page 2 City of Santa Ana January 2016 32A-74 As used in this i nclusionary Housing Covenants Declaration, the terms set forth below shall have the following meanings: Adjusted Household Size Appropriate for the Unit is based on the H&SC Section 500152,5 definition, and is only used in the Affordable Housing Cost calculations. For Affordable Housing Cost calculation purposes, the household size is set at one person in the case of a studio unit, two persons in the cage of a one-bedroom unit, three persons in the case of a two-bedroom unit, four persons in the case of a three-bedroom unit, and five persons in the case of a four bedroom unit. This household size standard is used in the Affordable Housing Cost calculations; It Is not an occupancy limit Administrative Procedures means the Affordable Ownership Housing Administrative Procedures promulgated by the Executive Director pursuant to the Ordinance. Administrative Procedures Manual is the Affordable Ownership Housing Administrative Procedures Manual — Owner Requirements dated January 2015, which has been prepared by the City for the implementation and enforcement of the Ordinance. A copy of the Administrative Procedures Manual shall be maintained on file with the City, and shall be provided to each Homebuyer of an Incluslonary Unit. Affordable Housing Cost means Use maximum costs that can be borne by Moderate Income Household based on the requirements Imposed by H&$C Section 50052.5. The Calculation methodology is described in' Section VI of the Administrative Procedures Manual, Affordability Period shall be set at 45 years in the Inclusionary Housing Covenant Declaration recorded on legal title to the Incluslonary Unit, The covenant period Is set at 45 years following the date of the first sale of the I ncluslonary Unit, Affordable Sales Price means the maximum price that can be charged for an Incluslonary Unit, The Affordable Sales Price is equal to the lesser of The sum of the Supportable Mortgage plus the Benchmark Down Payment; or R&Gjoi,ory V N00 3 7[06'%1ng City of Santa Ana hnuiiq 2M 32A-75 2. The purchase price prospective buyers are willing to pay in return for purchasing a home that Is subject to restrictive covenants, The statutorily set Affordable Sales Prices for the initial sale of each Inclusionary, Unit are shown in Exhibit 5 to the Incluslonary Housing Agreement. The Affordable Sales Prices for Inclusionary Units shall be adjusted quarterly, Assumption Agreement means the Disclosure, Acknowledgement and Assumption Agreement in the form attached as Exhibit 4 to this Incluslonary Housing Covenants Declaration that shall be entered into between the City and a transferee as a. condition of an Exempt Transfer. Benchmark Household Income is used in the Affordable Housling Cost calculations, and is based on the requirements Imposed by H&SC Section 50052.5. For a Moderate Income Household, the Benchmark Household Income is based on 110% of the County Median Income for an Adjusted Household Size Appropriate for the Unft: City means the City of Santa Ana, California. City Deed of Trust means a deed of trust, that secures the Owner's obligation to comply with the obligations Imposed by the Inclusionary Housing Covenant Declaration. City Manager means the CIty Manager of the City of Santa Ana, City's Purchase Option means the irrevocable option that the Owner must offer to the City under the circumstances defined in Article 3 - Section 11 of this Inclusionary Housing Covenants Declaration. City's Share of Excess Proceeds means 50% of the Excess Proceeds generated under an Extraordinary Sale. The City's Share of Excess Proceeds, if received, shall be deposited in the City's Inclusionary Housing Fund. County means the County of Orange. County Median Income shall mean the Median Income adjusted by actual household size as published annually by HCD for the County. Default means the failure of an Owner to perform any action or covenant required by this Inclusionary Housing Covenants Declaration within the time I mdusionar/ Housing Covenants Dedamtlofl page 4 City of Santa Ann January K115 32A-76 period provided herein following notice and opportunity to cure, as set forth in Article 6 — Section III of this Inclusionary Housing Covenants Declaration, Eligible Purchaser shall mean a Homebuyer who meets the eligibility criteria set forth in these Administrative Procedures: Excess Proceeds means the difference between the Extraordinary Sales Price and the Affordable Sales Price the Incluslonary Unit at the time of the Extraordinary Sale. Executive Director is the Executive Director of the Community Development Agency of the City. The Executive [director, or designee, has the ultimate authority to evaluate appeals submitted In relation to the Administrative Procedures, Exempt Transfer means the following; 1, A transfer resulting from the death of the Owner 2, A transfer by the Owner where the spouse or domestic partner becomes a co-owner of the Inclusionary Unit; 3. A transfer of title to a spouse or domestic partner as part of divorce or dissolution proceedings, and 4. A transfer by the Owner into ,a trust in which the Owner or Owners are beneficiaries, provided that the Owner or Owners continue to maintain the Inclus unary Unit as their Primary Residence. 5. A transfer by the Owner of a non -possessory Interest in the Property, such as an easement or license for utilities or other tike purposes the granting of ingress or egress rights over or across the Property or a portion thereof; or a modification to the non -exclusive common area rights of any Owner located in a common interest subdivision development, 6. A condemnation, or conveyance in lieu of condemnation, that does not preclude the Owner's Continued use and occupancy of the Inclusionary Unit, such as a street widening or other incidental taking that does not preclude continued occupancy of the Inclusionary Unit, or a taking of an interest In a portion of the common area appurtenant to any Inclusionary Unit located in a common interest development. €nalusiorrary 5—ec Bration City of Santa Ana January 2M 32A -77 Exhibits The fallowing exhibits, are attached to this Inclusionaryr Housing Covenants Declaration and Incorporated herein by this reference: 1. Exhibit 1: Property Description 2. Exhibit 2: Occupancy Recertification Form 3, Exhibit 3: Notice of Intent to Transfer 4. Exhibit 4; Assumption Agreement 5. Exhibit 5: Notice of Intent to 'Sell 6. Exhibit 6: Notice of Extraordinary Sale Extraordinary Sale means a sale of the lnclusionary Unit to a buyer who is not an Eligible Purchaser, when an Eligible Purchaser has not been secured within the timefrarmes required by this lnclusionary Housing Covenants Declaration, and the City has opted not to exercise the City's Purchase Option, within the timeframes allowed pursuant to this lnclusionary Housing Covenants Declaration. Extraordinary Sales Price means the grass sales proceeds generated by an Extraordinary; Sales executed under the terms included in Article 3 - Section III of this lnclusionary Housing Covenants Declaration. Fair Market Value means the value of the lnclusionary Unit under normal circumstances in which the seller and the buyer freely negotiate the terms of the transfer of ownership. The Fair Market Value must be established by a licensed Beal Estate agent based on three comparable properties. Gross Household Income means all income from whatever source from all Adult Household members, which Is anticipated to be received during the 12- month period following the date of the determination of Gross Income: The applicable sources of income are defined in California Code of regulations Title 25 Housing and Community Development Section 6914. The definition includes the fallowing specific requirements: 1. Except as provided in subdivision (2), all payments from all sources received by the head of Household (even if temporarily absent) and each additional member of the Household who is not a minor shall be included in the annual Income of a Household. Gross Income shall include, but not be limited to: Indusianary Housing Covenants Declaration City of Santa Ana January 2M 32A -78 a. The gross amount, before any payroll deductions, of wages and salaries, overtime pay, commissions, fees, tips and bonuses; b. The net income from operation of a business or profession or from rental or real or personal property (for this purpose, expenditures for business expansion or amortization of capital Indebtedness shall not be deducted to determine the net Income from a business); 0. Interest and dividends; d. The full amount of periodic payments received from social security, annuities, insurance policies, retirement funds, pensions, disability or death benefits and,other similar types of periodic receipts (but see subdivision (2)(c)): a. Payments in lieu of earnings, such as unemployment and disability compensation, worker's compensation and severance pay; Public Assistance, If the public assistance payment includes an amount specifically designated for shelter and utilities which is subject to adjustment by the public assistance agency in accordance with the actual cost of shelter and utilities, the amount of public assistance Income to be included as income shall consist ofi The amou nt of the allowance or grant exclusive of the amount specifically designated for shelter and utilities, plus ii. The maximum amount which the public assistance agency could in fact allow for the Household for shelter and utilities. g. Periodic and determinable allowances such as allmony and child support payments, and regular contributions or gifts received from persons not residing in the dwelling; All regular pay, special pay and allowances of a member of the Armed Forces (whether or not living In the dwelling) who is head of the Household or spouse or domestic partner (but see subdivision (2)(e)); I. Whore a Household has net assets in excess of $5,000, income shall include the actual amount of income, if any, derived from all of hidudanary Housing Covenants Dedanallon Page 7 City of Santa Am January 2015 32A-79 the net Household assets or 10 percent of the value of all such assets, whichever Is greater. For purposes of this section, net Household assets means value of equity in real property other than the Household's full-time residence, savings, stocks, bonds, and other forms of capital investment, The value of necessary items such as furniture and automobiles shall be excluded. Z The following items shall not be considered as income: a. Casual, sporadic or irregular gifts; lo. Amounts which are specifically for or in reimbursement of the cost of medical expenses; C. Lump-skim additions to Household assets, such as Inheritances, insurance payments (including payments under health and accident insurance and worker's compensation), capital gains and settlement for personal or property losses; d. Amounts of educational scholarships paid directly to the student or to the educational institution, and amounts paid by the government to a veteran for use In meeting the costs of tuition, fees, books and equipment. Any amounts of such scholarships, or payments to veterans not used for the above purposes of which are available for subsistence are to be included in Income; The Special pay to a serviceman head of a Household away from home and exposed to hostile fire; Relocation payments made pursuant to federal, state, or local relocation law; 9r Foster child care payments; h. The value of coupon allotments, for the purchase of food pursuant to the Food Stamp Act of 1964 which is In excess of the amount actually charged the eligible HDusehold; Payments received pursuant to participation in the following volunteer programs under the ACTION Agency: Indusionary Floailng Covaunis City of Santa Ana January 24115 32A-80 L National Volunteer Antipoverty Programs which include Vi TA, Service Learning Programs and Special Volunteer Programs. L National Older American Volunteer Programs for persons aged 60 and over which Include Retired Senior Volunteer Programs, Foster Grandparent Program, Older American Community Services Program, and National Volunteer Program to Assist Small Business Experience, Service Corps of Retired Executive (SCORE) and Active Corps of Executives (ACE), Homebuyer means an Eligible Purchaser that has executed an agreement to purchase an Inclusloriary Unit, Hornebuyer Purchase Price means the means the original price paid by the Homebuyer to purchase the Incluslonary Unit, exclusive of any closing or transaction ousts. The Homebuyer Purchase Price shall not exceed the Affordable Sales Price, HGD means the California Housing and Community Development Department, H&SC shall mean the California Health and Safety'Code, Household means all the persons who will occupy the Inclusionary Unitas their Primary Residence. A child who is subjectto a legally-binding shared-custody agreement, in which the child resides with the Household at least 50% of the time, is counted as a member of the Household. Excluded from the definition of Household are live-[n Garegiverstcaretakers, faster children, unborn children and children being pursued for legal custody or adoption that are not currently living with the Household, Incluslonary Housing Covenants Declaration means Oils Declaration of Inolusionary Housing Covenants, Conditions and Restrictions, Inclusionary Housing Fund means a separate fund of the City which is codified in Article XVIIIA Section 41-1909 of the City's Municipal Code, The fund was established for the specific purpose of providing the City with funds to assist in the development of housing that Is affordable to low and moderate income households, The allowable uses of linclusionary Housing Funds, and the related reporting are described in Attachment I of the Administrative Procedures Manual, fmdummq Housing Govonants Ndara [bn Pago 1) Qity of Stints Ana January 2016 32A-81 Incluslonary Unit means a home in Santa Ana that is trade: affordable by an Inclusionary Housing Covenant Declaration that restricts ownership, occupancy and the Affordable Sales Price as described in the Administrative Procedures Manual: Median Income Is calculated by HCD using non - aggregated census income data and applying trending factors for metropolitan statistical areas (MSA) throughout the country. The MSA for Santa Ana is Grange County, Moderate Income refers to Households whose incomes meet the standards defined by the H &5G Section 50093, Generally, Moderate Income means household income that does not exceed 120% of the County Median Income, as adjusted for Household size, The maxim urn household income amount for Moderate Income Households shall he set at the amount published by HCD annually. Moderate Incomme Household shall mean individuals or Households who have an adjusted Gross Income that does not exceed Moderate Income. Net Resale Proceeds means the Resale Price for the Inclus onary Unit minus the following amounts and casts in the following priority order 1. Escrow fees, transfer taxes, recording fees, and any other customary non- recurring closing costs, 2. Brokerage commissions and similar transaction costs; and 3. Repayment of the outstanding balance of the Senior Loan. Notice of Extraordinary Sate means the form provided in Exhibit E to this Incluslonary Housing Covenants Declaration. Notice of Intent to Sell means the farm provided in Exhibit 5 to this Inclusionary Housing Covenants Declaration. Notice of Intent to Transfer means the form provided in Exhibit 3 to this Inclusionary Housing Covenants Declaration. Ordinance means the Housing Opportunity Ordinance adopted by the City Council on November 28, 2011, which is codified In Article XVIIIA Section 4'1- 1900 et seq. of the City's Municipal Code, to mu onary Housing Gavonants DadaidGnn Pago 1O City of Santa Ana January 2415 32A -82 Owner means the current owner of an Inclusionary Unit. Party and Parties mean the City and the Homebuyer as parties to the Inclusionary Housing Covenants Declaration, Permitted Sales are defined as a sale to an Eligible Purchaser or a sale executed under the Ck's Purchase Option. Primary Residence is defined as the only home that may be owned by the Owner. The Owner must reside in the Inclusionary Unit for not less than 10 out of every 12 months. Program Director has the day-tc-day authority for making determinations related to the Ordinance and Administrative Procedures Manual. The Program Director will be appointed by the Executive Director. Prohibited Sales and Transfers are defined as any sale or transfer that is not explicitly allowed by this Incluslonary Housing Covenants Declaration. Prohibited Transfers specifically include any transfer of a use, rental or leasehold interest in the Inclusionary Unit. Project means the owner-occupied housing project proposed to be developed on the Property at the Developer's sole cost and expense. Project CO&Rs means the Declaration of Covenants, Conditions and Restrictions of the Project recorded or to be recorded against the entirety of the Property and applicable to the Inclusionary Unit and the Homebuyer. Property means the real property on which the Project is to be developed, for which the legal description is provided in Exhibit 1 to the Incluslonary Housing Agreement. Recordation Date means the date of recording in the Official Records of the County of Orange, California of the City Deed of Trust and the Inclusionary Housing Covenants Declaration. Resale means the resale of the Inclusionary Unit by the Owner. Prior to the Resale of the Incluslonary, Unit, the Owner must submit a Notice of Resale to the City as set forth in Exhibit 4 to this I nclusionary Housing Covenants Declaration. Resale Price is defined as the lesser of the Fair Market Value or the Affordable Sales Price. iqnk W€ Iaration Page t I City of Santa Ana January 2015 32A-83 Seller means the current Owner of the Inclusionary Unit in the context of the sale of the Inclusionary Unit. Senior Lender means a bank, savings and loan association, insurance company, pension fund, publicly traded real estate investment trust, governmental agency, charitable organization or other governmentally regulated entity regularly engaged in making residential real estate loans. Senior Loan means a purchase money loan of funds to be used by the Homebuyerfor financing the acquisition of the Incluslonary Unit, or a refinancing approved by the City, which loan is in a lien position prior to this Inclusionary Housing Covenants Declaration, Supportable Mortgage means the mortgage amount that can be supported by a Moderate Income Household based on the Affordable Housing Cost calculations. The mortgage calculation is based on the prevailing market interest rate for a 30- year fully amortizing mortgage with a fixed interest rate, See Section V1-13 of the Administrative Procedures Manual for an explanation of the calculation methodology. Transfer shall mean any sale, transfer, lease, exchange, assignment or conveyance of an Inclusionary Unit, including any portion or interest in an Inclusionary Unit or other disposition of any interest in an Incluslonary Unit, whether voluntary or involuntary, Indusiawy Housing Govortonts Dedamtion Page 12 City of Sar)W Ana January 2Q15 32A-84 ARTICLE I RESTRICTIONS Owner Acknowledgments and Agreements: Owner hereby acknowledges and agrees that taking title to the Inclusionary Unit shall constitute Owner's acknowledgment of and agreement to the following: Occupancy Requirements J-A. The Owner shall occupy and continually use the Inclusionary Unitas the Owner's Primary Residence during the Affordability Period, On an annual basis, the Incluslonary Program Director will send the Owner an Occupancy Recertification Form to be filled out and returned to the City within thirty (30) days of receipt. The Owner shall affirm that they are occupying the Inclusforiary Unit as their Primary Residence. The Owner will be required to submit copies of two current utility bills, or other evidence of occupancy that is acceptable to the City, as part of the annual recertification process. I- B, If an Owner vacates the Inclusionary Unit, or for any reason does not continue to Occupy the Inclusionary Unit as its Primary Residence, the City may declare the Owner in Default pursuant to Article 1- Section I of this Inclusionary Housing Covenants Declaration, and exercise any or all of its rights and remedies hereunder, including without limitation the City's Purchase Option pursuant to Article 3 - Section 11 of this Inclusionary Housing Covenants Declaration. If. Resale and Transfer Restrictions Il•A. The Inclusionary Unit is being acquired by the Hornebuyerat a cost that is below the Fair Market Value for the Inclusionary Unit, and that such Inclusionary Unit is subject to resale restrictions and the City's Purchase Option contained in this Inclusionary Housing Covenants Declaration. Any resale or transfer of the Inclusionary Unit in violation of this Inclusionary Housing Covenants Declaration shall be voidable by the City„ 11-8. The Owner's right to resell the I nQlusion2ry Unit at the Fair Market Value is very limited, and in certain instances, the City will have the option to purchase the Inclusionary Unit from the Owner at the Affordable Sales PrIQo, Indu5ionary Howing Coyenants Dedamlion Page 13 City of Soma Aria January 2015 32A-85 II-C. The Inclusionary Unit will not necessarily appreciate in value during the duration of its ownership, and the Affordable Sales Price may decrease from the amount the Owner paid to acquire the Incluslonary Unit. Thus, when the Owner resells the Inctusionary Unit, the sales proceeds received by the Owner may be less than the amount the Owner paid to acquire the Inclusionary Unit. II -D, In the event that the Inclusionary Unit is sold for the Fair Market Value, either through an Extraordinary Sale or pursuant to a foreclosure sale, the Owner must pay to the City the City Share of Excess Proceeds, which is set at fifty percent (50%) of the difference between the Affordable Sates Price and the Not Resale Proceeds received from the sale of the Inclusionary Unit. lil. Refinancing Limits III -A. The Owner is not permitted to refinance a Senior Loan for more than the outstanding principal amount of the Senior Loan, plus the cost of Qualified Capital Improvements, plus the customary fees and costs associated with obtaining the new Senior Loan However, in no event can the refinanced Senior Loran be set at an amount that exceeds the then current Supportable Mortgage. III -B. If an Owner refinances the Senior Loan in violation of the requirements imposed in the Administrative Procedures Manual and this Inclusionary Housing Covenants Declaration, the City may declare the Owner In Default pursuant to Article I - Section Ili of this Inclusionary Housing Covenants Declaration, and exercise any or all of its rights and remedies hereunder. ZMERIZOMMOMM The Inclusionary Unit is subject to the Project CC &Rs. The Homebuyer acknowledges and agrees that the Homebuyer is obligated to comply With all of the terms, conditions, covenants and restrictions set forth in the Project CC &Rs. I ndusianary Housing Gaa'enans QedaraWn Page 14 Cily of Santa Ana January 2015 Exempt Transfers of the Incluslonary Unit The following transfer procedures apply to Exempt Transfers: I-A. Transfer by Inheritance: If an Exempt Transfer is made by inheritance or rights of survival, the trustee, executor or now Owner shall notify the City in writing of the change in ownership of the Inclusionary Unit within 20 days of such event giving rise to such Exempt Transfer. Any such transferee shall be bound by and subject to the provisions of this Incluslonary Housing Covenants Declaration and the City Deed of Trust. The trustee, executor or new Owner shall execute, acknowledge and deliver to the City, within such 45-day period, an Assumption Agreement whereby the transferee agrees to be bound by such documents, 3. The failure to notify the City in writing and execute an Assumption Agreement Within the t1meframes required by this Section shall constitute a Default; provided that such transferee shall be bound by and subject to the provisions of this Incluslonary Housing Covenants Declaration and the City Dead of Trust notwithstanding its failure to deliver such executed and recordable Assumption Agreement. 1-13. Other Exempt Transfers; If the Owner desires to transfer the Inolusionary Unit by an Exempt Transfer other than inheritance, the Owner shall provide the City With a Notice of intent to Transfer in the form attached as Exhibit 3 to this Inclusionary Housing Covenants Declaration, together with any other documentation the City may reasonably request in order to ensure that the transfer is an Exempt Transfer. 11, Notice of Intent to Transfer — Exempt Transfer In the case of an Exempt Transfer, this Incluslonary Housing Covenants Declaration imposes the following noticing obligations on the City and the Owner: II-A. City Obligations: Ind u�iona ry Housing Covwinnts D I imtion Page Is city of Santa Ana Januiry 2015 32A-87 The City shall have 45 days after receipt by the City of a Notice of Intent to Transfer and other documentation to deliver written notice to the Owner that the City either approves the transfer as an Exempt Transfer or disapproves the transfer. 2. The transfer shall be deemed an Exempt Transfer if the City fails to disapprove the proposed transfer within such 45 -day period. It-B, Owner Obhgations: The Owner shall complete the Exempt Transfer, including recordation of all applicable documents, within 60 days after receipt of approval, or deemed approval, of the transfer.. 2. Any such transferee of the fee interest in the Inciuslonary Unit shall be bound by and subject to the provisions of this Inclusianary Housing Covenants Declaration and the City Deed of Trust as the Owner and, as a condition to the conveyance of the Inclusionary Unit, shall execute, acknowledge and deliver to the City an Assumption Agreement. 1 The failure to comply with the requirements of this Section in undertaking any transfer of the Inclusionary Unit shall constitute a Default, provided that any transferee of the Inclusionary Unit shall be bound by and subject to the provisions of this Inclusionary Housing Covenants Declaration and the City [Deed of Trust as the Owner notwithstanding its failure to deliver such executed and recordable Assumption Agreement. Ill. Transfer of the Incluslonary Unit without the City's Approval III -A. If the City determines that a proposed transfer is a Prohibited Transfer, the Owner shall not transfer the Inclusionary Unit.. III -B, Any transfer of an Inclusionary Unit without the City's approval shall be voidable. In addition to all other rights and remedies the City may have under this Inclusionary Housing Covenants Declaration, the City shall have the right to exercise the City's Purchase Option. This may be exercised against the transferee or the Owner under such Prohibited Transfer, ry Gnglusinna HHpustrtji Covenants Dac)amoofl Pas;e16 city of Santa Ana January 2015 L R A I. Permitted Sale I -A. Notice of Permitted Sale: If an Owner desires to sell the Inclusionary Unit, the Owner shall provide City with a Notice of Intent to Sell in the form attached as Exhibit ht 1, Within fifteen (15) business days after recent of such Notice, City shall provide the Owner with the Affordable Sales Price and the maximum incomes of Eligible Purchasers, 2. The Owner shall market the Incluslonary Unit to Eligible Purchasers for a period of not less than ninety (90) days from providing the Notice. 3. If the Owner is unable to locate an Eligible Purchaser who is ready, willing and able to enter into a purchase agreement for the Inclusionary unit Within the 90 -day period: a. The Owner must demonstrate to thelnclusionary Program Director that all reasonable efforts were made to diligently market the Inclusionary Unit. If the Incluslonary Program Director determines that adequate marketing efforts were pursued, the City shall have 30 days from after the expiration of the period to exercise City's Purchase Option under Article 3 - Section II. C. If the City does not exercise the City's Purchase Option, the Owner may sell the I nclusianary unit to a brayer is not an Eligible Purchaser under the Extraordinary Sale terms identified in Article - Section HI, l -B, Inspection and Repair Costs: Upon receipt of a Notice of intent to Sell, the City shall have the right to inspect the lnclusionary lint to determine whether any violations of applicable laws or ordinances exist. 1. The City may hire a third party to undertake the inspection. Induefu,rrdry Housing Govenants Dedara bon � F9p917 My or'an[n Ana January 2046 32A -89 2, The inspection shall take place within fifteen (15) days after receipt of the Notice of Intent to Sell. 3, The City shall undertake the inspection at a reasonable time, and provide the Owner with at feast 24 advance notice prior to the inspection. 4. In the event any violations are discovered, within thirty (30) days, the City shall provide the Owner with a written report describing the necessary reppirs, 5, The Owner shall have the option to either; a. Repair or replace the items on such report at Owner's cast prior to closing, without extending the closing date; or b. At closing, cause the escrow holder to pay the repair costs to the buyer out of Seller's gross proceeds of the safe, 5. If an Owner elects to repair or replace the items on such report, the tatty shall have the right to re- inspect the Inclusionary Unit after the repairs and/or replacements are complete. If City determines that deficiencies still remain, the Owner shall cause the escrow agent at closing to pay to buyer from Sellers grass proceeds the repair costs in such amounts as the City determines are necessary to complete the remaining repairs and/or replacements, The City's determination shall be final. I -C. Sales price; `rhe sale of the Inclusionary Unit pursuant to this Section may only be made to an Eligible Purchaser at a price that does not exceed the lesser of the Affordable Sales Price or the Fair Market Value of the Incluslonary Unit. I -D. At close of escrow, the Eligibie Purchaser shall deliver or cause to be delivered into escrow; A Declaration of Inclusionary Housing Covenants, Resale Restrictions and City's Option to Purchase Agreement in substantially the form of this Inclusionary Housing Covenants Declaration, approved by the City, and executed by the City and the Eligible Purchaser, together with a City Deed of Trust securing the obligations thereunder. 2, The required down payment and all documents required by the Eligible Purchaser's Senior Lender. Inc1ualanary Hou�inff Cbwnarr[s DadaraSnn � �� Paps 19 CRy W Santa Ana January 2015 32A -90 t -E. Proceeds from Permitted Sale, To the extent funds are available, the gross proceeds from a Permitted Sale shall be distributed in the followings priority: Escrow fees, transfer taxes, recording fees, and any other customary non- recurring closing costs 2, Brokerage commissions and similar transaction costs; I Repayment of the.outstanding.balance of the Senior Loan;. 4, Reimbursement to the buyer of all repair costs funded by the buyer pursuant to this Section; and 5. Any remaining amounts shall be paid to the Seller, I-R Personal Property: Any sums paid to an Owner by an Eligible Purchaser for personat property shall not be part of the Affordable Sales Price. Any consideration, of any nature whatsoever, paid by an Eligible Purchaser to the Owner must be fully disclosed to and approved by the City in advance, I- G, Clcsing. 1. At closing, the Owner shall convey fee title to the Eligible Purchaser by standard title company form grant deed, 2. The Owner shall cause the title company to issue to the Eligible Purchaser a CLTA standard coverage owner's faun of title insurance policy in the amount of the Affordable Sales Price insuring title to the tndusionary Unit is vested' in the Eligible Purchaser, subject to the following exclusions from coverage; a, Current taxes and assessments not yet due; b. This lnclusionary Housing Covenants [declaration and all documents recorded pursuant to this Inclusionary Housing Covenants Declaration; and G, Such other matters (other than encumbrances created or suffered by the Owner) that were exceptions to title on the date of this lnclusionary Housing Covenants Declaration. Inolusisnw� Housing Covenants Delos lon � Page 99 City of Sonia Ana January 2015 32A -91 3. All father closing costs shall be paid by the Seller or the Eligible Purchaser pursuant to the custom in Orange County, It. City's purchase Option II -.A. Purchase Option: By taking Title to the Inclusionary Unit, the Owner Irrevocably grants the city's Purchase Option upon the occurrence of any of the following: The owner is unable to identify an Eligible Purchaser pursuant to and within the times set forth in Article 3 - Section I; 2. Any Prohibited Transferor Prohibited Sale by the Owner; 3, The Owner is in default of the occupancy requirement set forth In Article 1 — Sect'lon 1; and 4. An Event of Default as defined in Article 1: a. City's Purchase Option shall be in addition to any other remedy provided in this Inclusiondry Housing Covenants Declaration for an Event of Default: b. By taking title to the Incluslosnary Unit, the Owner agrees that City's facilitation of the transfers contemplated hereby constitute adequate consideration for the grant of the City's Purchase Option in the Event of Default. II-B. 'Procedure Upon Exercise of Option , The City shall exercise the City's Purchase Option by delivering written notice to the Owner (and to transferee, if applicable). 2. Closing of escrow shall occur within 120 days (plus anytime delays caused by the Owner), or such additional time as reasonably determined by the City is necessary under the circumstances after the date of the City's written notice exercising the City's Purchase Option. 3. Proceeds from the sale shall be distributed in the manner provided in this Section. Inch ipnay. Housing Covenants Declazarion Page 20 CAy of Sonia Ana Januaey 2015 32A -92 4; dosing shall scour in the manner provided In this Section, with the City having the rights and responsibilities of the Eligible Purchaser provided thereunder. tl -C; Assignment of City's Purchase Option: After the City has exercised the City's Purchase Option, the City may, without the Owner's or transferee's consent, assign the City's Purchase Optlon to an Eligible Purchaser or to a government or non - profit organization that agrees to be subject to this Inclusionary Housing Covenants Declaration, Such assignment shall not extend any time limits contained in this Inclusionary Housing Covenants Declaration, 11-0. Failure to Close: 1. If the City exercises the City's Purchase Option pursuant to this Section, and falls to close escrow pursuant to the identified timeframes, the Owner may conduct an Extraordinary Sale under Article 3 - Section 111. If the City exercises the City's purchase Option pursuant to a Prohibited Transfer, a Prohibited Sale or an Event of Default, and the City fails to close escrow pursuant to this Section, then the City shall be deemed to retain all remedies available under Article 5 - Section IV. II -E. Bower of Attorney. By taking title to the Inclusionary Unit, the Owner grants to the City an irrevocable power of attorney that authorizes the City to act on the Owner's behalf to execute, acknowledge and deliver any and all documents related to the City's Purchase Option, Ill. Extraordinary Safe The purpose of this Section is to permit the sale of the Incluslonary Unit to a buyer who is not an Eligible Purchaser when an Eligible Purchaser has not been secured and the City's Purchase Option has not been exercised. Ill -& Notice of Extraordinary Sale: The Owner shall notify the City of the Owner's intent to make an Extraordinary Sale by delivering a Notice of Extraordinary Sale in the form attached as Exhibit 6. 1. The Notice of Extraordinary Sale shell identify the Fair Market Value of the Inclus onary Unit. Ir�clo�eiorraryl4pusui� C:'oJprpa+�l�pr�tlas€�11om � 7+�9e 2q City of Santa Ana Janwwy 20i5 32A -93 2, The Owner stall be required to sell the Inclusionary Unit at a price not leas than the Fair Market Value, unless otherwise approved by the City in writing. All transfer documents relating to the Extraordinary Sale shall be submitted to the City for its review and approval as consistent with the terms of this Inclusionary Housing Covenants Declaration, 111-5. Distribution of Proceeds; The Extraordinary Sales Price shall be distributed in the following priority to the extent funds are available, Escrow fees, transfer taxes, recording fees, and any other customary non- recurring closing costs;> Brokerage commissions and stmilar transaction costs; 2. Repayment of the outstanding balance of the Senior Loan; 3. Payment to the City of the City Share of Excess Sales Proceeds; and Any remaining amounts skull be paid to the Seller. III -C. Effect of E=xtraordinary Sale: Upon the close of escrow for an Extraordinary Sale in compliance with the provisions of this Section, the purchaser shall acquire title to the Inclusionary Unit free and clear of the provisions of this Inclusionary Housing Covenants Declaration, including the City's Purchase Option, Pursuant to Article 5 - Section 1, and in accordance with this Section, the City agrees to execute, acknowledge and record a release of the Inclusionary Unit from the provisions of this Inclusionary Housing Covenants Declaration, III -. Foreclosure Sale: In the event of a foreclosure sale, this Section shall impose the same obligations on the Owner and the City as in an Extraordinary Sale, All references to the "close of escrow" shall be replaced by "foreclosure sale.' Inclu3ibn3 ry Housing Covensnts Declaration � Page 22 City of Santa Ana January 2045 32A -94 Senior Loan Mortgages, deeds of trust, or any other form of conveyance required for any reasonable method of financing as a Senior Loan are permitted, but only as follows: I•A, For the sole purpose of securing a purchase money loan of funds to be used by an Owner for financing the acquisition of the Inclusionary Unit, The Senior Loan must comply with the requirements imposed by Section iV-D of the Administrative Procedures Manual, or I-B. For the sole purpose of refinancing a Senior Loan that was obtained by the Owner, and approved by the City, provided that the principal amount of such refinancing shall be limited to the outstanding principal then owed on the existing Senior Loan, plus any customary fees and costs associated with such current refinancing, II. Subordination It-A. This lnclusionary Housing Covenants Declaration shall be subordinate to the Senior Loan, so long as the Senior Lender agrees to the default and foreclosure provisions set forth in this Iriclusionary Housing Covenants Declaration, or other alternative provisions proposed by the Senior Lender, and acceptable to the City in its sole discretion, 11-B. In the event the City fails to timely cure a default under Such Senior Loan, and the Senior Lender proceeds with foreclosure, or deed in lieu of foreclosure, of such Senior Loan, then any provisions herein or in any other collateral agreement restricting the use of the Incluslonary Unit to Moderate Income Households or otherwise restricting the Senior Lender's ability to sell the Incluslonary Unit based upon income qualification of the purchaser shall terminate and shall have no further force or effect on subsequent owners or purchasers of the Incluslonary Unit, 11-C. In that event, any person, including the Senior Lender's successors and assigns, receiving' fige to the Inclusionary Unit through foreclosure, or deed in lieu of foreclosure, of such Senior Loan shall receive title to the Indusionary Housing Coyonari[s Dadaration Raffo 23 City of Santa Ana January 20f5 32A-95 Property free and clear from such restrictions. The City shall promptly execute, acknowledge and deliver for recordation such subordination documents or agreements as necessary to confirm the foregoing subordination. Ill. Default and Foreclosure Ill-A. The City shall record a request for notice of default and any notice of sale under any deed of trust or mortgage with a power of sale encumbering the Inclusion@ry Unit pursuant to California Civil Code Section 2924b. Whether or not a request for a notice of default is recorded, the Owner shall provide a true and correct copy of any notice of default to the City within three (3) business days of the Owners receipt. 1111-13. In the event of default and foreclosure, the City shall have the same rights as the Owner to cure any defaults and reinstate the Senior Loan prior to foreclosure sale or the acceptance of a deed in lieu of foreclosure by the Senior Lender. Such reinstatement shall be subject to the same fees, charges and penalties that would otherwise be assessed agatnst the Owner. Nothing herein shall be construed as creating any obligation on the part of the City to cure any such default, nor shall this right to cure and reinstate operate to extend any time limitations in the default provisions of the underlying deed of trust or mortgage. III-C. If the trustee set forth In Senior Lender's deed of trust sells the I nclusionary Unit at a foreclosure sale, the proceeds shall be delivered in the following priority to the extent funds are available: Payment of all delinquent assessments, if any, to the extent required by the Pro] . ect CC&Rs; Payment of all sums due and owing under the Senior Loan, including without limitation the principal amount, interest, fees and costs of sale; 3. Payment to the City of the City Share of Excess Sales Proceeds; 4. Repayment of all sums due and owing to junior creditors; and 5. Any remaining amounts shall be paid to the Owner. ill -D. By taking a loan from a Senior Lender, the Owner represents that it has provided the Senior Lender with the necessary consent and authorization I ndusionary I fousIng GovonftnW Cgdatafion PMlQ 24 My of Santa Ana January 2015 32A-96 to provide a monthly report: of the payment status of the Owner and all other financial information concerning the Owner that the City reasonably requests, III-E. Except as otherwise expressly provided in a City approved subordination agreement, by making a loan to the Owner, Senior Lender grants to the City the option to purchase the Senior Loan from the Senior Lender at any time after the fling of a notice of default under the Senior Loan, but prior to consurnmation of the foreclosure or the giving of a deed -in -lieu of foreclosure for an amount equal to the entire indebtedness secured by the Senior Lender Deed of Trust 1. The City may exercise this option by giving Senior Lender written notice of its intent to do so: a. with respect to a foreclosure, at any time prior to the filing of a notice of sale under the Senior Loan; and b. with respect to a deed-in-lieu of foreclosure, within ten (10) days after receiving written notice from Senior Lender of Its intent to accept deed -in -lieu of foreclosure with respect to the Inclusionary Unit. Z Upon receipt of such written notice from the City, the Senior Lender shall promptly give the City a written statement setting forth the amount of the total indebtedness secured by the Senior Lender Deed of Trust, which shall be the purchase price for the Senior Loan, and a copy of the policy of title insurance insuring the priority and validity of the Senior Lender Deed of Trust.. 1 Within ten (10) days after the City gives such written notice, the City shall establish an escrow at the title company insuring the Senior Lender Deed of Trust and concurrently therewith give the Senior Lender written notice thereof, and the City shall deposit the purchase price in such escrow. 4. Within fifteen (15) days after the Senior Lender's receipt of notice of the opening of the escrow, the Senior Lender shall deposit in the escrow; a the promissory note evidencing the Senior Loan endorsed in favor of the City; �� Incfusl�jn ry+Hc usi�iq Yu'�•�n�rul5 oudatarion Paga2 -5 City of Santa Ana January 2M 32A -97 b. the original of the Senior Lender Deed of Trust; C. an assignment of the Senior Lender Deed of Trust duly executed by the Senior Lender and in recordable form: and all other documents, instruments, agreements, certificates and other Items that evidence or secure the Senior Loan. III•F. The Senior Lender and the City shall execute and deliver escrow instructions and such other documents as may be reasonably necessary or appropriate In connection with such escrow and to implement the Intent hereof. lll-G, The escrow holder shall be instructed to close the escrow within two (2) business days after receipt of all such items and upon such close of escrow to issue to the City a CLTA Form No. 104,11 endorsement to the title policy, showing the City as Senior Lender's assignee with respect to the Senior Lender Deed of Trust. 111-H. The City shall pay the escrow fees (Irrespective of whether the escrow closes), recording fees and the premium for the CLTA Form No. 104.1 endorsement. InclusiDnary HOLISiRij Covenants Declamdon Peije 26 City of SanW Ana January 2716 32A-98 Term of the Inclusionary Housing Covenants Declaration This Inclusenary Housing' Covenants Declaration shall become effective upon its execution and delivery, 2, This Inclusionary Housing Covenants Declaration shall terminate as to the Inclusionary Unit at the earliest of,. a. as provided under the terms and conditions of any subordination agreement between a Senior Lender and the City; or b. upon the close of escrow for an Extraordinary Sale; or G. at the end of the Affordability Period, S. Upon termination of the Affordability Period, on request of the then record Owner of the Property, the City shall execute, acknowledge and record a termination of the Inclusionary Housing Covenants Declaration and the City Deed of Trust. To the extent permitted by law, any unfulfilled obligations of any Owner shall survive the termination of the Inclusionary Housing Covenants Declaration, but it shall no longer affect title to the Property, 11, Maintenance and Use The owner shall maintain the Interior and 0XG1USIVe use areas of the Inclusionary Unit in a clean, well maintained condition consistent with the neighborhood, as set forth in the Project CC&Rs, The InGlusionary Unit shall be used and occupied by the Owner solely for residential purposes, and in addition to the residential purpose may also be used for any accessory uses that comply with the provisions of the Santa Ana Municipal Code, as it may be amended from time to time. No Owner shall grant use of, rent or lease all or any part of the Incluslonary Unit, but shall occupy the Inclusionary Unitas its Primary Residence. snorts Pagel -27 City of Santa Ana January. 2016 32A-99 4. The Owner shall comply with all of the use and maintenance provisions and obligations set forth in the Project CC&Rs. If the Owner defaults in the' performance or observance of any covenant, condition or restriction of the Owner set forth in this Inclusionary Housing Covenants Declaration, and if such default remains uncured for a period of thirty (30) days after written notice has been given by the City (or, if such cure reasonably takes longer than thirty (30) days, if such cure has not been commenced within the thirty (30) day period or is not diligently completed within a reasonable time, not to exceed an additional sixty (60) calendar days), or in the event the Owner has provided false information or documentation required in connection with the purchase or resale of an Inclusionary Unit, then the City may declare an Event of Default has occurred, In that event, the City may exercise any or all of its rights or remedies under this Inclusionary Housing Covenants Declaration, including without limitation any or all of the following: I by any suit, action or proceeding at law or in equity, require the Owner to perform its obligations and covenants under this Inclusionary Housing Covenants Declaration or enjoin any unlawful acts; 2. take such other action at law or in equity as may appear necessary or desirable to enforce the Owner's obligations, covenants and agroement% and 3. in addition to the foregoing remedies, in the event that the Owner rents or resells the Incluslonary Unit in violation of this Inclusioriary Housing Covenants Declaration, as restitution, the Owner shall forfeit, and the City shall have the right to recover the following monetary amounts: a. If the Owner rents the Inclusionary Unit in violation of this Inclusionary Housing Covenants Declaration, the Owner shall forfeit all monetary amounts obtained through the rental of the Inclusionary Unit, b. If the Owner resells the Incluslonary Unit in violation of this Inclusionary Housing Covenants Declaration, the Seller and the new Owner shall be jointly and severally liable to the City for an amount equal to difference between the Fair Market Value and the Affordable Sales Price for the Incluslonary Unit. However, the I nduglanary Housing Cov nanka Dedamdon Pag& 28 Cily of SAflia Ana Janmry 2015 32A -100 Executive Director has the discretion to allow the Seller and the new Owner to cure a violation of the resale requirements imposed by this Incluslonary Housing Covenants Declaration. All such restitution shall be made to the City. Any funds received by the City under this provision of the Inclusionary Housing Covenants Declaration shall be placed in the City's Incluslonary Housing Fund, IV. Default Remedies In addition to any other rights or remedies set forth in this Incluslonary Housing Covenants Declaration, or allowed by law or equity, in the event of a default by an Owner of any of the Owner's obligations under this Incluslonary Housing Covenants Declaration, that Is not cured within the cure period provided below, the City may apply to a court of competent jurisdiction for specific performance of this Inclusionary Housing Covenants Declaration, or for an Injunction prohibiting a proposed resale or transfer in violation of this InGluslonary Housiflg Covenants Declaration. V. Distribution of Insurance and Condemnation Proceeds If the Inclusionary, Unit Is condemned or the improvements damaged or destroyed, all proceeds from insurance or condemnation shall be distributed to the Owner, for purposes of restoring o ' r replacing the Inclusionary Unit, unless the Senior Lander Deed of Trust, the City Deed of Trust or the Project CC Rs provide otherwise. In that case, the Senior Lender Deed of Trust, the City Deed of Trust and the Project CC&Rs shall control, in that order of prlorlty: V1. Attorneys' Fees and Costs If any action Is brought to enforce the terms of this Inclusionary Housing Covenants Declaration, the prevailing party shall be entitled to reasonable attorneys' fees and costs. VI 1. Controlling Agreement The Owner covenants that it has not knovoingly executed, and will not knowingly execute, without the Cry's prior written approval, any other agreements With provisions contradictory to or in opposition to the provisions of this Incluslonary Housing Covenants Declaration, Ind Womy Flous ng Cawflanla Dedwa [Ion Page 20 City of Sanug Am January 2015 32A-101 Vill, Severability If any one or more of the provisions contained in this Inclusionary Housing Covenants Declaration for any reason shall be held to be invalid, illegal or unenforceable in any respect, then such provision or provisions shall be deemed severable from the remaining provisions contained in this Incluslonary Housing Covenants Declaration, and this Incluslonary Housing Covenants Declaration shall be construed as if such invalid, illegal or unenforceable provisions had never been contained herein. IX. Time of the Essence Time is of the essence for this entire Inclusionary Housing Covenants Declaration. Whenever the time for performance falls on a day which Is not a business day, such time for performance shall be extended to the next business day. X. Covenants Running with the Land All provisions of this Incluslonary Housing Covenants Declaration, including the benefits and burdens, are equitable servitudes, run with the land and are binding upon the heirs, successors, assigns and personal representatives of the Owner hereto and inure to the benefit of the City and permitted successors and assigns, The covenants benefit and bind the City, the Inclusionary Unit and the Owner thereto, Each and every contract, deed or other instrument covering, conveying or otherwise transferring the Incluslonary Unit or any interest therein shall conclusively be held to have been executed, delivered and accepted subject to this Inclusionary Housing Covenants Declaration regardless of whether the other party or parties have actual knowledge of this Incluslonary Housing Covenants Declaration. X1. Construction The rule of strict construction does not apply to this Indus[onary Housing Covenants Declaration. This Inclusionary Housing Covenants Declaration shall be given a reasonable construction to prevent any use of the Incluslonary Unit in violation of this Incluslonary Housing Covenants Declaration. Whenever the context and construction so requires, all words used in the singular shall be deemed to be used in the plural, all masculine pronouns shall Include the feminine and neuter, and vice versa, Indw,ionary Hou lng Govan@M Dadaration Pago 30 fifty of Santa Ana danmy 2W 32A -102 XII. Indemnification The Owner agrees to indemnify and hold, harmless the City and its respectIve officers, directors, employees and agents from and against all liabilities, losses, claims, damages, judgments, costs and expenses (including, Without limitation, reasonable attorney's fees) incurred by the City arising out of or relating to any negligent or wrongful action by the Owner with respectio the Inclusionary Unit, The Owner agrees that if any claims, demands, suits or other legal proceedings are made or instituted by any person against the City that arise out of any of the matters relating to this Incluslonary Housing Covenants Declaration, the Owner shall cooperate fully with the City in the defense or other disposition. XIII, Entire Inclusionary Housing Covenants Declaration and Modifications This Inclusionary Housing Covenants Declaration may be modified only in a writing duly signed by the Owner and an authorized agent of the City. The modifications shall become effective when recorded In the official records of Orange County, California. XIV. No Discrimination NoWithstanding the following, the Owner acknowledges under this Inclusionary Housing Covenants Declaration that it is expressly prohibited from renting or leasing the Inclusionary Unit, and is required to occupy the Inclusionery Unit as its Primary Residence at all times: I The Owner covenants by and for itself, Its successors, and its assigns that there shall be no discrimination against or segregation of any person or group of persons on account of race, color, creed, religion, sex, marital status, sexual orientation, source of income, age, physical or mental handicap, medical condition, ancestry or national origin in the sale, lease, sublease, transfer, use, occupancy, tenure or enjoyment of the Inclusionary Unit, The foregoing covenants shall run with the [and and shall remain in effect in perpetuity, 2. All deeds and contracts made relative to the Inclusionary Unit shall contain or be subject to the following non-dikrimination or non-segregatlon clauses set forth in H&SC Section 33436 in substantially the same form: Iricitmionory Housing CovpnaOs VaAlirefon Page 31 City a f Santa Ana January 2015 32A -103 a. deeds: "The grantee herein covenants by and for himself or herself, his or her heirs, executors, administrators, and assigns, and all persons claiming under or through them, that there shall be no discrimination against or segregation of any person or group of persons on any basis listed in subdivision (a) or (d) of Section 12926, 12926.1, subdivision (m) and paragraph (1) of subdivision (p) of Section 12955, and Section 12955.2 of the Government Code in the sale, lease, sublease, transfer, use, occupancy, tenure or enjoyment of the land herein conveyed. The foregoing covenants shall rUri with the land." b. In contracts: "There shall be no discrimination against or segregation of any person or group of persons on any basis listed in subdivision (a) or (d) of Section 12926, 12926.1, subdivision (m) and paragraph (1) of subdivision (p) of Section 12955, and Section 12955.2 of the Government Code in the sale, lease, sublease, transfer, use, occupancy, tenure or enjoyment of the land herein conveyed. The foregoing covenants shall run with the land." XV. Notices 1, All notices, demands, requests for approval and other communications provided for in this Incluslonary Housing Covenants Declaration shall be in writing and shall be deemed received if sent to the addresses set forth below: a, on the date of delivery when personally delivered; b, one business day after deposit with a reputable overnight courier or delivery service with all delivery charges paid; or C. date of receipt by party if deposited in the United States first class mail, postage prepaid, registered or certified, return receipt requested, 2. Either party may change its address by notice delivered in the manner speclfled above, usippa,r Houoing Coveminm Dedarifion Pago 32 CHV of Sarah Ana ARLary 2015 32A -104 If to City; City Manager City of Santa Ana 29 Civic Center Plaza Santa Ana, California 92701 If to Owner; at the Incluslonary Unit address, IN WITNESS WHEREOF, the City and the Homebuyer have duly executed this inclusionary Housing Covenants Declaration as of the dates sat forth below, Inclusianary {uuain fgvenarrRs pclralsr�n rage 33 City of Santa Amt jmuary x315 32A -105 W rk T11 MR WIT-0 M CITY: CITY OF SANTA ANA A California Charter City and Municipal Corporation ms Its: bate: APPROVED AS TO LEGAL FORM: 0 City Attorney City of Santa Ana Indmicnery Hawing Ccwewtz Pago 34 0 [y of $apta ARa January 2015 32A -106 UZZA023MM BE INCLUSIONARY HOUSING COVENANTS DECLARATION am= M Name: M in Name: ■ induslonory ldouaingoonnanw page g5 City of 3onta Ana January 2015 32A -107 [To Be Inserted] Intl uslonary+ Housing Covenants DaclaraGcn Properly Descripton 32A -108 January 2015 Indusionary Housing Gwonants Dqdwaticii Occupancy R eWiimqdm Fon January 2015 32A -109 MM Owner(s) Name: Address•, We are the Owners of an Inclusionary Unit that was produced under the requirements of the City of Santa Ana Inclusionary Housing Ordinance, We understand and agree that the Inclusionary Unit must be used as our Primary Residence and for no other purpose. By this Certification, we declare under penalty of perjury that: We currently occupy the Inclusionary Unit; and 2. We have occupied the Inclusionary Unit for at least 10 out of the past 12 mantis and 3, We have not used the Inclusionary Unit for any other purpose than as our Primary Residence; and 4. We are not ranting or leasing any part of the Inclusionary Unit to another party, We have attached true and accurate copies of two utility bills or other documentation evidencing our continued occupancy of the InGlUsionary Unit We acknowledge that any intentional or negligent misrepresentation in this Certification may result In civil liability and/or criminal penalties Including, but not limited to, fine or imprisonment, or both, and liability for monetary damages under the provisions of Title 18, United States Code, Section 1001, at seq, NEMM�. .:� Inclustorary Housing covenants Declaration aao 1 Occupincy Romt1ficatlan Form January 2015 32A -110 MIT D-UNTAR73M KA Owner: Signature: Signature: Print Name: Print Name: MM Telephone: IMM Telephone: Co: Owner nduqiar,qry Hpwslng Cmenants Dedarition Page 2 Ovalpancy RecortificatIon Form January 415 32A -111 EXHIBIT 3 NOTICE OF INTENT TO TRANSFER Indmonary Housing Covenants Docloration Notice of Intent to Transfer 32A -112 January 2015 Date To: City Manager City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92709 The undersigned —' Owner of the Incluslonary Unit located at , Santa Ana, California, hereby notifies you of Itsiintentto transfer in compliance with Article 2 of the Incluslonary Housing Covenants Declaration, The reason or circumstances relating to such transfer are as follows. . Any additional information reasonably required regarding the proposed transferee shall be provided to you Immediately upon request. The undersigned acknowledges that all applicable time periods under the Incluslonary Housing Covenants Declaration cormmnce only upon the City's receipt of this notice. The undersigned further acknowledges and agrees that any such transfer shall be subject to the provisions of the Incluslonary Housing Covenants Declaration. Owner I nolusiunu ry Hwnfng CrreenanN Declaration � . ", Paga 1 Nolico of intent to Trimsfer ..Iaisuary 2075 32A -113 EXHIBIT 4 dh� 61 fincluaimry l4lonIng Covenarili Declamdon Asswptfon Agroemeflt Janus ry 2015 32A -114 City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92701 Attention: City Clerk Yo be iecoldedwdShaut Eec,' {Space Ab"V LInO For aerarr7ePS iPSe onm (Government Code, H 6903 and 27383). DISCLOSURE, ACKNOWLEDGMENT FIND ASSUMPTION AGREEMENT THIS DISCLOSURE, ACKNOWLEDGMENT AND ASSUMPTION AGREEMENT (Assumption Agreement) made among COwner" ), (' Transferee ") and the CITY OF SANTA ANA "City ") RECITALS A. The Owner is the current owner of the real property commonly known as Santa Ana Califorma,'and now particularly described on Exhibit A, which together with all improvements located thereon is refereed to in this Assumption Agreement as the "Inclusionary Unit ": S. The Owner wishes to transfer and convey to the Transferee the inclusonary Unit; and C, The Inclusionary Unit is subject to the restrictions applied by the Inclusionary Housing Covenants, Resale Restrictions and City's Option to Purchase; Agreement recorded on 2U_, as Document No in the Official Records of Orange County, California (the "Inclusionary Housing Covenants Declaration ") that Imposes resale controls on the lncluslonary Unit; and Inctusioem3ry Hovsirsg Cen;an�nts G1alnratiaa Page 9 Aseurmptlan Agreement clammy 3056 32A -115 D. The obligations set forth in the Incluslonary Housing Covenants Declaration are secured by a Deed of Trust recorded against the InClUsionary Unit on 20—, as Document No. in the Official Records of Orange County, California (the "City Deed of Trust ); and E. The Transferee is acquiring, the Inclusionary Unit and will assume the obligations of an Owner under the Inolusionary Housing Covenants Declaration and as Truster under the City Deed of Trust. Capitalized terms used herein, and not defined in this Assumption Agreement, shall have the meanings set forth in the Inclus[onary Housing Covenants Declaration and the City Deed of Trust. The parties to this Assumption Agreement agree to the following: The Transferee hereby acknowledges and -agrees to the followingi The Incluslonary Unit is subject to the Inclusionary Housing Covenants Declaration that are secured by the City Deed of Trust. The Transferee acknowledges that it has received a copy of the Incluslonary Housing Covenants Declaration, and agrees to be bound by all the conditions and covenants contained therein. b, The Transferee shall occupy and continually use the Incluslonary Unit as the Transferee's Primary Residence during the Affordability Period as defined in the Incluslonary Housing Covenants Declaration. C. The Transferee's right to resell the Inclusionary Unit at the Fair Market Value is very limited, and in certain instances, the City wit] have the option to purchase the Incluslonary Unit from the Transferee at the Affordable Sales Price: Under a Permitted Sale, the Incluslonary Unit must be sold at the Affordable Sales Price. The Incluslonary Unit will not necessarily appreciate in value during the duration of its ownership, L In the event that the Inclusionary Unitas sold for the Fair Market Value, either through an Extraordinary Sale or Indusinmy Homing covenants Dediration Page 2 Assuropllon Agreement J anuvry 2015 32A -116 pursuant to a foreclosure sale, the Transferee must pay to the City the City Share of Excess Proceeds, which is set at fifty percent (50%) of the difference between the Affordable Sales Price and the Net Resale Proceeds received from the sale of the Incluslonary Unit, iii. Any resale or transfer of the Incluslonary Unit in violation of the Inclusionary Housing Covenants Declaration shall be voidable by the City. d. The Transferee is not permitted to refinance a Senior Loan that is secured by the Property for more than the outstanding principal amount of that Senior Loan plus the customary fees and costs associated with obtaining the new Senior Loan. a. The Inclusionary Unit is subject to the Project CC&Rs, The Transferee acknowledges and agrees that it is obligated to comply With all of the terms, conditions, covenants and restrictions set forth in the Project CC&Rs, 3. The City hereby consents to the transfer of the Inclusionary Unit to the Transferee under a Permitted Transfer as defined in the I ncluslonary Housing Covenants Declaration. 4. All questions with respect to the interpretation of this Assumption Agreement, and the rights and liabilities of the parties hereto, shall be governed by the laws of the State of California. 5. This Assumption Agreement shall inure to the benefit of, and shall be binding upon, the assigns, successors in interest, personal representatives, estates, heirs and legatees of each of the parties hereto. 6. The Transferee hereby grants to the City an irrevocable power of attorney coupled with an interest to act an Buyers behalf to execute, acknowledge and deliver any and all documents relating to the City's Purchase Option under Article 3 — Section 11 of the Inclusionary Housing Covenants Declaration, Executed on 1, 20—, at Santa Ana, California. [Signatures on Following Pages] -------------- ndusionarry Housing Cavunpflls Declaration Pago Al 5wiplion Aojrvon-mnI .January 2015 32A -117 SM M 0 M M Owner: MM Transferee: Data' City: Datw Attest Indusiongry Housing Covananta Docla ration Page 4 Assumption Agreement January 2015 32A -118 EXHIBIT LEGAL DESCRIPTION [To Be Insertedj 9rralasl ©nary Noosing C� onanN Ndarab&i Pogo Mumption Age em eat — Loyal DoscrIplion January 2065 32A -119 EXHIBIT 5 NOTICE OF INTENT TO SELL Indusfonarl Housing CovormanIs Dadarallon Notice of Intent to 6d January 2015 32A -120 Date To: City Manager City of Santa Ana 2D Civic Center Plaza Santa Ana, California 92701 The undersigned_ , Owner of the InGlusloraq/ Unit located at , Santa Ana, California, hereby notifies you of its intent to resell the Incluslonary Unit in compliance with the requirements imposed by Article 3 of the Incluslonary Housing Covenants Declaration.. The undersigned acknowledges that all applicable time periods under the Inclusionary Housing Covenants Declaration commence only upon the City's receipt of this notice, Owner I nclusiona ry Housing Covenants Doclar@ Pago I Notice of Intent to Sell ,January 2015 32A -121 mGIimonary Ho�'nsinq<nienarrls Pedv ration _ No[Ico of Lxtmordlmry Sala January 2015 32A -122 The undersigned —, is the Owner of the Incluslonary Unit located at Santa Ana, California. On 20_, Owner provided City with written notice of its intent to sell the Inclusionary Unit. Owner has failed to identify an Eligible Purchaser in accordance with Article 3 — Section I of the Inclusionary Housing Covenants Declaration, and the City has failed to exercise the City's Purchase Option pursuant to Article 3 — Section 11. Accordingly, Owner hereby notices the City of its intent to make an Extraordinary Sale of the Incluslonary Unit in accordance with Article 3 — Section III of the Inclusionary Housing Covenants Declaration. Attached herewith is the estimate of the Fair Market Value for the I nclusionary Unit as defined in the Incluslonary Housing Covenants Declaration. Owner hereby acknowledges that the City shall retain City's Purchase Option until the time that Owner has accepted in writing an offer to purchase the Inclusionary Unit from a buyer, and that all applicable time periods for an Extraordinary Sale under the Agreement commence only upon City's receipt of this Notice, Owner ndu5ion9ry Housing Covenants Dadirudan Papa 1 Notiow Of EANAW01flary $910 January �VB 32A -123 Ind usionar/ Housing Apmemeni — Gwrerzhip Pmject City of SAM@ Ana January 2015 32A -124 a !•i City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92701 Attention: Housing Manager To be recorded wllhout €ee. (Space Above This.Une Far Recorder's Use Only) (Governmont Code, §§ 6103 end M$3) APN: Re be insertedi There are restrictions on the sale of the Property encumbered by this City Deed of Trust, as contained In that certain Incluslonary Housing Covenants, Resale Restrictions and City's Option to Purchase Agreement ( "Inclusionary Housing Covenants Declaration" ). Except for a Transfer to the City of Santa Ana ( "City ") or City's assignee fallowing the City's exercise of the City' Purchase Option, this Property may only be sold to an Eligible Purchaser at a price not to exceed the defined Affordable Sales Price. The lnclusionary Housing Covenants Declaration also restricts the extent to which this property maybe encumbered by junior financing and limits the Trustor's rights to refinance Senior Loans, THIS DEED CP TRUST AND SECURITY AGREEMENT ( "City Creed of Trust') is made this day of , 20__, among {insertnarraeof Trusto ( "Trtistor "), whose address is !insert address ref Frusfori, insert name of title comon ("Trustee"), whose address is !invert veer ess t f title companyl, and the City of Santa Ana (referred to variously as "City" or "Beneficiary'), whose address is 20 Civic Center Plaza, California 92701 as Beneficiary. Trustor irrevocably grants, conveys, transfers and assigns to Trustee in trust, with power of sale: and right of entry and possession, all of Trus war's right, title and Interest now owned or hereafter acquired in and to the real property in the City of Inclus'sonary Housing Covenants Declaration Page 1 Assurnokh l Agraerhent January 2016 32A -125 Santa Ana, Orange County, California, described on Exhibit 1, attached hereto and incorporated herein by this reference, together with the Improvements constructed thereon and all other property and interests of any kind or character that may be reasonably necessary or desirable to promote the present and future beneficial use and enjoyment of such real property and improvements. A. Truster is the owner of the Property located at , Santa Ana, California and more particularly described in the attached Exhibit A. B. The Truster's predecessor in interest developed the Property pursuant to the City's Housing Opportunity Ordinance ('`Ordinance "), which regulations require developers of ownership housing to construct within their projects units that are affordable to Moderate Income Households. These regulations require the Property to be subjected to restrictions on resale that ensure that the Property remains affordable, C. In connection with the Ordinance, Beneficiary and Truster entered into a Inclusionary Housing Covenants Declaration dated as of and recorded in the Official Records of Orange County substantially concurrently herewith (capitalized terms used without definition herein have the meaning ascribed to such terms In the Incluslonary Housing Covenants Declaration). D. Pursuant to the Inclusionary Housing Covenants Declaration, the Trustor is obligated, among other requirements, to sell the Property only to Eligible Purchasers at a price not in excess of the Affordable Sales Price, P. The Inclusionaty Housing Covenants Declaration also provides that: Truster is obligated to notify the Beneficiary of the Truster's intent to sell the Property in order to enable Beneficiary to exercise the City's Purchase Option at the Affordable Sales Pric% The Beneficiary may exercise the City's Purchase Option if the Truster defaults under the Inclusionary Housing Covenants Declaration; and Inclusion" Housing Cawrants Dedaraffm Pap 2 Ass umptlam AqoumoaL Jalwary 2015 32A -126 I There are restrictions on Trustor'sebillty to encumber the Property and to refinance the Senior Loans secured by the Property, Aust"Otion Agmement 32A -127 DEFINITION OF TERMS As used in this City Deed of Trust, the terms set forth below shall have the following meanings: Administrative Procedures means the Affordable Ownership Housing Administrative Procedures promulgated by the Executive Director pursuant to the Ordinance. Affordable Housing Cost means the maximum price of an Inclusionary Unit, as calculated under the requirements imposed by H&SC Section 50052.5. The calculation methodology is described in Section VI of the Affordable Ownership Housing Administrative Procedures Manual. Affordability Gap is equal to the difference between the Fair Market Value of the Incluslonary Unit and the Affordable Sales Price for the Inclusionary Unit at the time of acquisition by the Homebuyer. Affordable Sales Price means the maximum price that can be charged for an Incluslonary Unit. The Affordable Sales Price is equal to the lesser of. The sum of the Supportable Mortgage plus the Benchmark Down Payment; or 2. The purchase price prospective buyers are willing to pay in return for purchasing a home that Is subject to restrictive covenants. The statutorily set Affordable Sales Prices for the initial sale of each Inolusionary Unit are shown in Exhibit 8 to the Inclusionary Housing Agreement, The Affordable Sales Prices for Incluslonary Units shall be adjusted quarterly, Benchmark Down Payment is a component of the Affordable Sales Price calculations, For the purposes of the Administrative Procedures, the Benchmark Down Payment is set at 5% of the total Affordable Sales Price. Beneficiary refers to the City as the provider of the City Shared Appreciation Loan, and otherwise defined as the Subordinate Lender, Truster means the person or persons described as the Truster in the introductory paragraph of this City Deed of Trust, Indusionary Housing Covenants Dcdirzi6on Pago 4 Assumption Agreement January 2016 32A -128 City means the City of Santa Ana, California. City Deed of Trust means a deed of trust, that secures the Owners obligation to comply with the obligations imposed by the Inclusionary Housing Covenant Declaration, City's Purchase Option means the irrevocable option that the Owner must offer to the City under the circumstances defined In Article 3 — Section I I of the Inclusionary Housing Covenants Declaration, Eligible Purchaser shall mean a Homebuyer who meets the eligibility criteria set forth in the Administrative Procedures, Exempt Transfer means the following: 1 A transfer resulting from the death of the Owner; A transfer by the Owner where the spouse or domestic partner becomes a co-owner of the Inriusionary Unit; 2. A transfer of title to a spouse or domestic partner as part of divorce or dissolution proceedlngs; and A transfer by the Owner into a trust in which the Owner or Owners are beneficiaries, provided that the Owner or Owners continue to maintain the Inclusionary Unit as s their Primary Residence. A transfer by the Owner of a non-possessory interest in the Property, such as an easement or license for utilities or other like purposes; the granting of ingress or egress rights over or across the Property or a portion thereof; or a modification to the non-exclusive common area rights of any Owner located in a common interest subdivision development, 5. A condemnation, or conveyance in lieu of condemnation, that does not preclude the Owner's continued use and occupancy of the Incluslonary Unit, such as a street widening or other incidental taking that does not preclude continued occupancy of the Inclusionary Unit, or a taking of an interest in a portion of the common area appurtenant to any Inclusionary Unit located in a common interest development. Extraordinary Sale means a sale of the Incluslonary Unit to a buyer who is not an Eligible Purchaser, when an Eligible Purchaser has not been secured within IndusimaTy Housing Covenapts C�dqradon Rap 5 Assumption Agreement January d i I'l 32A -129 the timeframes required by this Inclusionary Housing Covenants Declaration, and the City has opted not to exercise the City's Purchase Option within the th-neframes allowed pursuant to this Inclusionary Housing Covenants Declaration. Fair Market Value means the value of the Incluslonary Unit under normal circumstances in which the seller and the buyer freely negotiate the terms of the transfer of ownership. The Fair Market Value must be established by a licensed Real Estate agent based on three comparable properties. H&SC shall mean the California Health and Safety Code, Inclusionary Housing Covenants Declaration means the Declaration of Incluslonary Housing Covenants, Conditions and Restrictions, Inclusionary Unit means the completed affordable owner-occupied housing unit, that is being purchased by the Trustor, Moderate Income refers to Households whose incomes meet the standards defined by the H&SC Section 500W. Generally, Moderate Income means household income that does not exceed 120% of the County Median Income, as adjusted for Household size, The maximum household income amount for Moderate Income Households shall be set at the amount published by HCD annually, Moderate Income Household shall mean individuals or Households who have an adjusted Gross Income that does not exceed Moderate Income. Ordinance means the Housing Opportunity Ordinance adopted by the City Council on November 28, 2011, which is codified in Article XVIII.1 Section 41- 1900 et seq. of the City's Municipal Code. Owner means the current owner of the Inclusicnary Unit. Primary Residence is defined as the only home that may be owned by the Owner, The Owner must reside in the Incluslonary Unit for not less than 10 out of every 12 months. Property means the real property on which the Project Is to be developed, for which the legal description is provided in Exhibit I to this City Deed of Trust. Rents means all rents, issues, profits, royalties, revenues, income and other benefits derived from the Property. Induslonary Housing Covananf5 Ndaobun Pogo Fi Aasunpgon Ag mement January 2£116 32A -130 Senior Lender means a bank savings and loan association, insurance company, pension fund, publicly traded real estate investment trust, governmental agency, charitable organization or other governmentally regulated'. entity regularly engaged in making residential real estate loans. Senior loan means a purchase money [can of funds to be used by the Hornebuyferforfinancing the acquisition of the Inclusionary Unit, or a refinancing approved by the City, which loan is in a lien position prior to the Inolus unary Housing Covenants Declaration. Supportable Mortgage means the mortgage amount that can be supported by a Moderate Income Household based on the Affordable Housing Cost calculations: The mortgage calculation is based on the prevailing market interest rate for a 3t7- year fully amortizing mortgage with a fixed interest rate, See Section VI -B of the Administrative Procedures Manual for an explanation of the calculation methodology. Trustee means the title company that insures title for the Inclusionary Unit that is subject to the City Deed of Trust: Trustor means the Trustor that enters into the City Deed of Trust that secures the City Shared Appreciation loan. Inciuslonrny= I =IOUSirxJ Cbvenan[st}ac prat un Paym7 AsSLIMptlon .Agreement Jgwaiy 20 15 32A -131 I . Grant in Trust. Truster, in consideration of the promises heroin recited and the trust herein created, hereby irrevocably and unconditionally grants, transfers, conveys and assigns to Trustee, in trust for the benefit of Beneficiary, with power of sale„ all estate, right title and interest which Truster now has or rrtay later acquire the Property together with all of the following; all improvements now or hereafter located or constructed on the Property and all replacements and additions thereto; all easements, rights of way, appurtenances and other rights used in connection with the Property or as a means of access thereto, all fixtures now or hereafter attached to or used in and about the Property or the improvements located thereon or hereafter located or constructed on the Property„ and all renewals or replacements thereof or articles in substitution therefor, whether or not the sage are, or shall be attached to the improvements in any manner; and ail fuses, subleases, licenses and other agreements relating to use or occupancy of the Property, and all rents or other payments that may now or hereafter accrue or otherwise become payable to or for the benefit of Truster (whether or not such Leases and Rents are permitted by the Incluslonary Housing Covenants Declaration), All of the above - referenced Property, improvements, appurtenance, fixtures and equipment, leases and rents are herein referred to collectively as the "Security'. 2. Secured Obligations, Truster makes the grant, conveyance, transfer and assignment herein for the purpose of securing payment and performance of the following: (a) the City Share of Excess Proceeds in the event of an Extraordinary Sale or 'a Foreclosure sale; and (b) Trustor's obligations under the term of the Incluslonary Housing Covenants Declaration. 3. Maintenance and Repair. Truster shall (a) keep the Property in goad condition and repair and not remove or demolish any building; (b) complete or restore promptly and in goad and workmanlike manner any building which may be constructed, damaged or destroyed; (c) pay when clue all claims for tabor performed and materials furnished; (d) comply with all laws affecting the Property or requiring any alterations or improvements to be made; (e) not commit or permit waste; and (f) cultivate, irrigate, fertilize, fumigate, prune and do all other acts which from the character or use of the Property may be reasonably necessary. InC €LIGI "1Tr'F Housing Covenants Gaclaratsnn _ Page 8 Assumption Agreement Jan U ry 2QJ6 32A -132 4. Insurance. Trustor shall maintain hazard insurance against loss by fire, hazards Included with the term "extended coverage, " and any other hazards for which Beneficiary requires insurance, and liability insurance. The insurance carrier and the insurance policies and amounts of coverage shall set at the full replacement value of the Inclusionary Unit based on the then current City Building Cade. The liability policy shall name Beneficiary as an additional insured, and shall require 30 days' prior notice to Beneficiary before the policy is modified or terminated; & Defense of Security. Trustor shall appear in and defend any action or proceeding purporting to affect the security or the rights or powers of Beneficiary or Trustee. Trustor shall pay all costs and expenses, including costs of evidence of title and attorneys' fees, in any such action or proceeding in which Trustee or Beneficiary may appear, and In any suit brought by Beneficiary to foreclose this City Deed of Trust. 6. Payment of Taxes and [:lens. Trustor shall pay (a) at least 10 days before delinquency, all tuxes and assessments affecting the Property, including water stock assessments; (b) when due, all encumbrances, charges and liens, with interest, on the Property, which are or appear to be prior or superior to this City Deed of Trust; and (c) upon demand all costs; fees and expenses of this City Deed of Trust. If Trustor fails to make any payment or to do any act provided for in this City Geed of Trust, then Beneficiary or Trustee may, . without obligation to do so, and with or without notice to or demand upon Trustor, and without releasing Trustor from any obligation under this City Deed of Trust; (1) make or do the same in such manner and to such extent as either may deem necessary to protect the security, Beneficiary or Trustee being authorized to enter upon the Property for such purposes; (ii) appear in or commence any action or proceeding purporting to affect the security, or the rights or powers of Beneficiary or Trustee; (iii) pay, purchase, contest or settle any encumbrance, charge or Tien which In the judgment of either appears to be senior to this City Oeed of Trust and (iv) in exercising any such powers, pay allowable expenses, including attorneys' fees. 7. Reimbursement of Costs. Truster shall pay upon demand all sums expended. by Beneficiary or Trustee provided for In this City Geed of Trustier allowed by law, ,, ith interest from date of expenditure at the maximum rate allowed by law. 1rioiusiansry Housing Cavenanla UWaration _. Pao Assurnplion Agmemonl January 2015 32A -133 8. No Waiver. By accepting payment of anysum after its due date, Beneficiary does neat waive Its right either to require prompt payment when due of all other sums or declare a default for failure to pay. 9. Reconveyance. That upon written request of Beneficiary stating that the Secured Obligations have been fulfilled, and upon surrender of this City Dead of Trust, Trustee shall reconvey, without warranty, the property then held hereunder. The recitals of such reconveyance of any matters or facts shall be conclusive proof of the truthfulness thereof. The grantee in such reconvoyance may be described as "the person or persons legally entitled themo." to, Default and Foreclosure, Upon default by Truster in performance of any Secured Obligation, Beneficiary may deliver to Trustee a declaration of default and demand for sale and of a notice of default and a notice of sale, which notice Trustee shall cause to be filed for record, Beneficiary also shall deposit with Trustee this City Deed of Trust and all documents evidencing the Secured Obligations and expenditures, if any, secured by this City Deed of Trust, Upon default of any obligation secured by this City Deed of Trust and acceleration of all sums due, if any, Beneficiary may instruct Trustee to proceed with a sale of the Property under the power of sale granted in this City Deed of Trust, noticed and held in accordance with California Civil Code Sections 2924, et seq., as such statutes may be amended from time to time, Truster waives all rights it may have to require marshaling of assets or to require sales of assets in any particular order, including any rights under California Civil Code Sections 2899 and 3433. 11. Substitution of Trustee. Beneficiary, or any successor beneficiary of the Secured Obligations or of any indebtedness secured hereby, may from time to time, by instrument In writing, substitute a successor or successors to any Trustee named herein or acting hereunder, which instrument executed by the Beneficiary and duly acknowledged and recorded In the office of the recorder of the county or counties where the Property is situated, shall be conclusive proof of proper substitution of such successor Trustee or Trustees, who shall, without conveyance from the Trustee predecessor, succeed to all its title, estate, rights, powers and duties. Said instrument must contain the name of the original Truster, Trustee and Beneficiary hereunder, the book and page where this City Deed of Trust is recorded and the name and address of the new Trustee. Kluziorwy Housing covenants Da-cliratlm Page 16 Assumption Agmement January .1015 32A -134 12, Successors and Assigns. This City Deed of Trust applies to, inures to the benefit of, and binds all parties hereto, their heirs, legatees; devisees, administrators, executors, successors and assigns; The term "Beneficiary" shall mesa the holder, including pledgees, of the covenants set forth in the Incluslonary Mousing Covenants Declaration whether or not named as Beneficiary herein, 13, Trustee Acceptance. Trustee accepts this trust when this City Deed of Trust, duly executed and acknowledged, is made a public record as provided by law. Trustee is not obligated to notify any party hereto of pending sale under any other deed of trust or of any action or proceeding in which Trustor, Beneficiary or Trustee shall be a party unless brought by Trustee. lit. Further Assurances.. Trustor shall, at its own cost and expense, do, execute, acknowledge, and deliver all and every such further acts, deeds, conveyances, mortgages, assignments, notices of assignments, transfers, and assurances as Trustee or Beneficiary shall from time to time require, for better assuring, conveying, assigning, transferring, and confirming unto Trustee the Property and rights hereby conveyed or assigned or intended now or hereafter so to be, or which Trustor may be or may hereafter become bound to convey or assign to Trustee, or for carrying out the intention or facilitating the performance of the terms of this City Creed of Trust, or for filing; registering, or recording this City Creed of Trust. Trustor shall, on demand, execute and deliver, and hereby authorizes Trustee and Beneficlary, or either of therm, to execute in the name of Trustor, to the extent it may lawfully do so, one or more financing statements; chattel mortgages, or comparable security instruments, to evidence more effectively the lien hereof. Immediately upon the execution and delivery of this City Deed of Trust, and thereafter from tirne to time, Trustor shall cause this City Deed of Trust, and any security instruments creating a lien or evidencing the lien hereof upon any personal property and each instrument of further assurance, to be filed, registered, or recorded in such manner and in such places as may be required by any present or future law in order to publish notice of and fully to protect the lien hereof upon, and the title of Trustee to, the Property encumbered hereby. 15. Condemnation and Insurance Proceeds. Immediately upon obtaining knowledge of the institution of any proceedings for the condemnation or other taking of all or any portion of the Property, or knowledge of any casualty damage to the Property, or damage in any other manner, Trustor shall immediately notify Beneficiary thereof. Trustor hereby authorizes and Ai�luskaneayN�ruslny C:a��risnts l]e�eraSlar� Pa51t�tP Assumption A{gream"t January 2015 32A -135 empowers Beneficiary as attorney -in -fact for Truster to make proof of loss, to adjust and compromise any claim under the insurance policies covering the Property, to appear in and prosecute any action arising from such insurance policies, to collect and receive insurance proceeds, and to deduct therefrom Beneficiary's expenses incurred in the collection of such proceeds; provided, however, that nothing contained in this Section shall require Beneficiary to Incur any expense or take any action hereunder. Truster hereby authortzes and empowers Beneficiary, at Beneficiary's option, as attorney-in -fact for Truster, to commence, appear in and prosecute, in Berieficiarys or Trustees name, any action or proceeding relating to any condemnation or other taking of all or any part of the Property, whether direct or indirect, and to settle or compromise any claim in connection with such condemnation or other taking. The proceeds of any award payment or claim for damages, direct or consequential, In connection with any condemnation or other taking, whether direct or indirect, of the Property, or any part thereof, or for conveyances in lieu of the Property, or any part thereof, shall be paid to Beneficiary. The foregoing powers of attorney are coupled with an interest and are irrevocable, Trustor hereby authorizes Beneficiary to apply such awards, payments, proceeds or damages relating to condemnation of the Property and insurance covering the Property, after the deduction of Beneficiary's expenses incurred in the collection of such amounts, at Beneficiary's option, subject to the requirements of applicable law and the provisions hereof, to restoration or repair of the Property or to payment of the sums secured by this City Deed of Trust, Beneficiary shall be under no obligation to question the amount of any compensation, awards, proceeds, damages, claims, rights of action, and payments relating to condemnation or other taking of the Property or insured casualty affecting the Property, and may accept the same in the amount in which the same shall be paid. Truster shall execute such further evidence of assignment of any awards, proceeds damages or claims arising in connection with such condemnation or taking or such insurance as Beneficiary may require. 16. Severability. If any one or more of the provisions contained In this City Deed of Trust shall for any reason beheld to be invalid, illegal, or unenforceable in any respect, such Invalidity, illegality, or unenforceability shall not affect any other provisions of this City Deed of Trust, but this City Deed of Trust shall be construed as if such Invalid, illegal, or unenforceable provision had never been contained herein or therein, but only to the extent of such invalidity, ficlusionnty Housing Covenants D"laration Page 12 A.mumirUon Agreement January 2015 32A -136 17. Estoppel Certificate. Trustor shall, within ten (10) days of a written request from Beneficiary, furnish Beneficiary with a written statement, duly acknowledged, setting forth t1he sums secured by this City Deed of Trust and any right of set-off, counterclaim or other defense which exists against such sums and the obligations of this City Deed of Trust. 18. Due-On-Sale or Encumbrance. Except for Exempt Transfers approved by the City, if all or any part of the Property, or any interest therein, or any beneficial interest in Trustor (if Trustor is not a natural person or persons but is a corporation, partnership, trust, limited liability company or other legal entity), is sold, transferred, mortgaged, assigned, pledged, or further encumbered, whether directly or Indirectly, whether voluntarily or involuntarily or by operational law, Beneficiary may, at Beneficiary's option invoke any remedies permitted by this City Dead of Trust. 19. Subordination. This City Deed of Trust shall be subordinate to the Senior Loan, so long as the Senior Lander agrees to the default and foreclosure provisions set forth In the Inclusionary Housing Covenants Declaration, or other alternative: provisions proposed by the Senior Lender, and acceptable to the City in Its sole discretion. In the event the City fails to timely cure a default under such Senior Loan, and the Senior Lender proceeds with foreclosure, or deed in lieu of foreclosure, of such Senior Loan, then any provisions herein or in any other collateral agreement restricting the use of the Inclusenary Unit to Moderate income households or otherwise restricting the Senior Lender's ability to sell the Inclusionary Unit based upon income qualification of the purchaser shall terminate and shall have no further force or affect on subsequent owners or purchasers of the Incluslonary Unit. In that event, any person, including the Senior Lender's successors and assigns, receiving title to the Inclusionary Unit through foreclosure, or deed in lieu of foreclosure, of such Senior Loan shall receive title to the Property free and clear from such restrictions. The City shall promptly execute, acknowledge and deliver for recordation such subordination documents or agreements as necessary to confirm the foregoing subordination, 11dwiDnar, Hmj$lnq CQuenants Owlaration pagp 13 Assumption AtIroomani January 2015 32A -137 The undersigned Trustorrequests that a copy of any Notice of Default and of any Notice of Sale hereunder be mailed to Trustor at Trustcr`s address hereinbefore set forth. TRUSTOR: By: Name: By: Name; tnelusiarYary €Ipualrt]ravenaMs Uechraflonw.��. Page 14 Ap:^lump0n Agraamant January 2915 32A -138 EXHIBIT 'I LEGAL DESCRIPTION Situated in the State of California, City of Santa Ana, County of Orange, and described as follows: ['Insert legal description] Esaed of mist- Lagal 6escnptian Page 1 City of Santa Arta 32A -139 tAdd Mp aEy Acknowledgments) food of Trust —Notary Ackno�nlodgomoma - - page 1 City of Santa Ana 32A -140 EXHIBIT 7 §ncEusl�inary liauslr�.�<afb�msn;- 6wvisrshlp Pra @eat - '�'� City of Santa Ana January 2015 32A -141 induslonanr Housing Agreement— Cmamhip Wmject City of Santa Ana January 2 015 32A -142 i a f i y y i 'I Li3A4 tN;IY lY'1.51 32A -143 k t Rn� u 4 y I M �X �a pG ee 8 k �e V VJ K EXHIBIT --EGIL DESCRIPTION O 9 F INCLUSIONARY UNIT-Q Owierghip Pm in City of Santa Ana January 2015 32A-144 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: VESTING TENTATIVE TRACT MAP NO. 2015 -01 (COUNTY MAP NO. 17786) AND INCLUSIONARY HOUSING AGREEMENT TO ALLOW A SUBDIVISION FOR INDIVIDUAL LOTS AT 520 SOUTH HARBOR BOULEVARD — TODD COTTLE, APPLICANT (S TE P NOS. 3, 2; 3, C, 6, 3; 6, 4) —O CITY MANAGER CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1' Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER RECOMMENDED ACTION 1. Receive and file the staff report approving Vesting Tentative Tract Map No. 2015 -01 as conditioned. 2. Approve an Inclusionary Housing Agreement with 520 South Harbor, LLC for the payment of an in -lieu fee for a residential development. PLANNING COMMISSION ACTION At its regular meeting on June 22, 2015 by a vote of 6:0 (Mill absent), the Planning Commission adopted a resolution approving a proposal to subdivide an existing parcel into 35 individual lots for single - family residences and 10 lettered lots for common areas and private streets at 520 South Harbor Boulevard located in the Harbor Mixed Use Transit Corridor Specific Plan (SP2) zoning district. The Planning Commission made no changes to the recommendation outlined in the attached staff report (Exhibit A). DISCUSSION The applicant proposes to construct a 35 -unit single - family residential development at 520 South Harbor Boulevard. All units will take access from a single private street off Harbor Boulevard, and four units will have frontage directly onto Harbor Boulevard. A vesting tract map is proposed for the project that will allow the sale of the 35 single - family units and to create 10 lettered lots for private streets and common area purposes. Existing infrastructure in the area will be upgraded to service the project. These upgrades include construction of new driveways, sidewalks, curbs and gutters, the planting of new trees in the landscape parkway, and new street lighting per City standards. Full sized site plans are available for public viewing in the Clerk of the Council Office. In addition to the action taken by the Planning Commission, the applicant is proposing to satisfy the Housing Opportunity Ordinance (HOO) by payment of an in -lieu fee. The HOO allows payment of a fee if substantial evidence supports that the cost of providing inclusionary units on- site would substantially exceed the amount of the in -lieu fee. Pursuant to the provisions of the 32B -1 VTTM No. 2015 -01 & Inclusionary Housing Agreement August 4, 2015 Page 2 current ordinance, the amount of the fee is based on the affordability gap associated with fulfilling the required affordable housing units on -site within the development. A calculation was performed to determine the fee amount. The fee calculation is based on the affordability gap of $92,500 per unit, which results in a total in -lieu fee of $484,575 under the current ordinance to be paid prior to issuance of a building permit for any portion of the project. The applicant has elected to proceed with the current agreement pending potential changes to the HOO that could retroactively result in a modified in -lieu fee calculation; should the HOO change in the future, the applicant would be required to request modification of the in -lieu amount if he elects to pursue modification (Exhibit B). Approval of the in -lieu fee will allow for the construction of a new mixed - use multi - family project on a 2.27 -acre site located in the Harbor Mixed Use Transit Corridor Specific Plan area (SP -2). STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objectives No. 2 (create new opportunities for businessfiob growth and encourage private development through new General Plan and Zoning Ordinance policies) and No. 5 (leverage private investment that results in tax base expansion and job creation citywide) of the Santa Ana Strategic Plan. Moreover, approval of this item supports Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objectives No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods) and No. 4 (support neighborhood vitality and livability). FISCAL IMPACT If the developer is issued permits to proceed with the project, payment of the in -lieu fees will be paid at that time and this may occur in FY 15116. Upon receipt, the estimated fees in the amount of $484,575 will be deposited into the Inclusionary Housing Fund revenue account (no. 41718002- 57896). Hassan Hagtldni, AI Executive Director Planning & Building Agency Kelly Reendfrs / Executive Director v Community Development Agency APPROVED y(4 TO FUNDS AND ACCOUNTS: r-rapclsco uutierrez _5F, Executive Director Finance & Management Services Agency AP:rb apiRoxir1515teg Reports far CWTTiAl "l C &C Single Family Hoes and In Lieu Fe&w Exhibit: A. Planning Commission Staff Report B. Inclusionary Housing Agreement 32B -2 REQUESTFOR PLANNING COMMISSION MEETING DATE: JUNE 22, 2015 TITLE: PUBLIC HEARING — FILED BY TODD COTTLE FOR VESTING TENTATIVE TRACT MAP NO. 2015 -01 (COUNTY MAP NO. 17786) TO ALLOW A SUBDIVISION FOR INDIVIDUAL LOTS AT 520 SOUTH HARBOR BOULEVARD (STRATEGIC PLAN NOS. 3, 2; 3, 5; 5, 3; 5, 4) Prepared by Ali Pezeshkpour PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended • As Amended • Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO Executive Director ( Actin Plannin anager RECOMMENDED ACTION Adopt a resolution approving Vesting Tentative Tract Map No. 2015 -01 as conditioned. Request of the Applicant Todd Cottle, representing 520 South Harbor, LLC, is requesting approval of a vesting tentative tract map to subdivide an existing parcel into 35 individual lots for single- family residences and 10 lettered lots for common areas and private streets. Applications for subdivisions over four parcels require approval of a tentative tract map by the Planning Commission pursuant to Section 34 -127 of the Santa Ana Municipal Code (SAMC). Project Location and Site Description The project site consists of a single, 2.27 -acre parcel on the west side of Harbor Boulevard between First Street and McFadden Avenue. The project site is flat and rectangular in shape. The lot is currently vacant with a deteriorated paved portion in the front near Harbor Boulevard. Land uses surrounding the site include multiple - family residences to the north, multiple- family dwellings to the west, single - family dwellings and commercial to the south, and commercial uses to the east across Harbor Boulevard (Exhibits 1, 2, and 3). The project is located within the Corridor district of the Harbor Mixed Use Transit Corridor Specific Plan (SP -2), which is comprised of nearly two miles of properties along Harbor Boulevard in an area generally bounded by Westminster Avenue to the north and the City limits near Lilac Avenue to the south. The 305 -acre specific plan area is designated in the General Plan as Urban Neighborhood (UN) and District Center (DC) and is currently developed with a mixture of land uses, including residential, commercial, industrial, open space, public and vacant properties. EXHIBIT A 32B -3 VTTM No. 2015 -01 June 22, 2015 Page 2 Project Description Subdivision Summary — The applicant proposes a subdivision in conjunction with a 35 -unit single - family residential development. All units will take access from a single private street off Harbor Boulevard, and four units will have frontage directly onto Harbor Boulevard. A vesting tract map is proposed for the project that will allow the sale of the 35 single - family units and to create 10 lettered lots for private streets and common area purposes. Existing infrastructure in the area will be upgraded to service the project. These upgrades include construction of new driveways, sidewalks, curbs and gutters; planting of new trees in the landscape parkway; and new street lighting, all per City standards. Development Summary — The project proposes 35 single - family residences with common areas to serve the residents of the development. Of the 35 residences, 18 are proposed to contain two bedrooms, a den and four baths with 1,849 square feet. The remaining 17 are proposed to contain four bedrooms and four baths with 1,825 square feet. Each residential structure will take vehicular access from private alleys and will contain two -car garages. With the exception of the four units containing frontage on Harbor Boulevard, all units will face common area courtyards and paseos. The four units on Harbor Boulevard will be elevated above surrounding grade to establish privacy for the residents and to enhance the structure's presence on the surrounding streetscape. To generate the sense of a traditional single - family residential neighborhood, a mixture of architectural styles is proposed for the single - family dwellings, with variations in color and materials among each style. The project will provide 70 parking spaces inside garages, and an additional 21 spaces on surface parking along private streets, for a total of 91 on -site parking spaces. The proposed parking exceeds the rnininrum 61 parking spaces that are required by the Harbor Mixed Use Transit Corridor Specific Plan. Guests and visitors will be able to park in parallel parking spaces on the private street. Access to the project will be provided from a single entrance on Harbor Boulevard. No gates or other private entries are proposed at this time. A variety of open spaces are planned for the development. Exterior amenities include a recreation area, courtyards and paseos. The primary recreation area will feature a barbecue area, tables and benches, a dog park, and bicycle racks. In addition, courtyards and paseos will provide additional open space areas and will be programmed with amenities for passive recreation (Exhibits 4 and 5). Inciusionary Housing — The proposed project is subject to the requirements of the Housing Opportunity Ordinance (HOO), which contains inclusionary unit requirements for projects that consist of the construction of five or more dwelling units (SAMC Sections 41 -1900 et ai.). The applicant is requesting approval to subdivide the property to allow the sale of individual lots for single - family residences at market rates. In accordance with the HOO, the applicant has provided substantial evidence that supports a finding that the cost of providing inclusionary units on -site would substantially exceed the amount of the applicable in -lieu fee (SAMC Section 41- 1904). As a result, the applicant will be requesting Council approval to pay an in -lieu fee. 32B -4 VTTM No. 2015 -01 June 22, 2015 Page 3 Proiect Background In October 2014, the City Council adopted the Harbor Mixed Use Transit Corridor Specific Plan, which replaced the North Harbor Specific Plan and allows for a greater amount of residential, commercial, and mixed -use projects in the Specific Plan area. In anticipation of the Specific Plan's adoption, the applicant submitted plans for a mixed -use community on the project site. After working with staff to comply with the provisions of the Harbor Plan, the applicant moved forward with the current proposal, which provides a traditional single - family neighborhood character to assist with blending in with current development patterns in the project vicinity. General Plan and Zoning Analysis The General Plan land use designation for the site is Urban Neighborhood (UN). Urban Neighborhood land -use districts allow a mix of residential uses and housing types, such as low to mid -rise multiple family dwellings, townhouses and single family dwellings, with some opportunities for live -work, neighborhood serving retail and service, public spaces and uses, and other amenities. The project site is consistent with this General Plan land use designation. The project site is located within the Corridor district of the Harbor Mixed Use Transit Corridor Specific Plan (SP -2). The Specific Plan allows for residential developments, making the subject application consistent with the zoning designation. Proiect Analysis Vesting tentative tract map requests are governed by Section 34 -119 through 34 -318 of the SAMC. Vesting tentative tract map requests may be granted when it can be shown that the following can be established: • The proposed project, as conditioned, and its design and improvements are consistent with the Urban Neighborhood land use designation of the General Plan and are otherwise consistent with all other elements of the General Plan and any applicable specific plans. • The proposed project, as conditioned, conforms to all applicable requirements of the zoning and subdivision codes as well as other applicable City ordinances. • The project site is physically suitable for the type and density of the proposed project. • The design and improvements of the proposed project will not cause substantial environmental damage or substantially and avoidably injure fish and wildlife or their habitat. 32B -5 VTTM No. 2015 -01 June 22, 2015 Page 4 • The design or improvements of the proposed project will not cause serious public health problems. The design or improvements of the proposed project will not conflict with easements necessary for public access through or use of the property within the proposed project. If these findings can be made, then it is appropriate to grant the vesting tentative tract map. Conversely, the inability to make these findings would result in a denial. Using this information, staff has prepared the following analysis, which forms the basis for the recommendation contained in this report. Based on a review of the tentative map by the Planning Division and Public Works Agency, the project has been designed to be in compliance with the applicable development standards found in Chapters 34 (Subdivision) and 41 (Zoning) of the Santa Ana Municipal Code, as well as the provisions of the Harbor Mixed Use Transit Corridor Specific Plan (SP -2). Further, approval of the map will be consistent with the goals and policies identified in the City's General Plan. The proposed subdivision, Vesting Tentative Tract Map No. 2015 -01, is consistent with the Urban Neighborhood land use designation and density prescribed and all other elements of the General Plan. Specifically, the proposed subdivision is consistent with several policies within the Land Use Element of the General Plan, including: Policy 1.5 (Maintain and foster a variety of residential land uses in the City); Policy 1.7 (Support open space in underserved areas); and Policy 3.1 (Support development which provides a positive contribution to neighborhood character and identity). • The proposed subdivision conforms to the minimum requirements as well as meets the letter and intent of the State of California Subdivision Map Act provisions. Vesting Tentative Tract Map No. 2015 -01 is in keeping with the site plan review for the project as well as Chapters 34 and 41 of the Santa Ana Municipal Code. Covenants, Conditions and Restrictions (CC &Rs) are required for the project, which need to be approved by the City prior to the recordation of the final map. There are no physical constraints on the site that preclude development of the site. The proposed site consists of approximately 2.27 acres of land within the Harbor Mixed Use Transit Corridor Specific Plan (SP -2), which is physically suitable for the residential development as proposed. Access to the site will occur from a single poinl on Harbor Boulevard. The proposed subdivision will not cause any substantial environmental damage or substantially and avoidably injure fish and wildlife or their habitat. A program -level Environmental Impact Report (EIR) was prepared pursuant to the California Environment Quality Act for the new Harbor Mixed Use Transit. Corridor Specific Plan that anticipated up to 2,000 residential units being built in the Specific Plan area. The project site is located in an urbanized area, and there are no known fish or wildlife populations existing on the project site. RKEW VTTM No. 2015 -01 June 22, 2015 Page 5 • The proposed subdivision will not have any detrimental effects upon the general public. The short -term and long -term unavoidable adverse impacts identified in Environmental Impact Report No. 2014 -01 were addressed by the adoption of a Statement of Overriding Considerations by the City Council. Any other negative or adverse impacts will be mitigated through mitigation measures identified in Environmental Impact Report No. 2014 -01 and conditions of approval for the vesting map. • The design or improvements of the proposed project will not conflict with easements necessary for public access through or use of the property within the proposed project since there is no public access easement located within this property. Public Notification On November 12, 2014, the applicant held a community meeting in accordance with the provisions of the Santa Ana Sunshine Ordinance (Ordinance No. NS- 2838). Approximately eight local residents and property owners attended the meeting, as well as the project developers, architects and City staff. Attendees asked questions on topics such as parking, floor plans, construction impacts and outreach, environmental design, and sales prices. Attendees also expressed support for the sale of the units to individual property owners. Following the meeting, the applicant provided an affidavit to City staff containing meeting information, minutes, and a statement that the meeting was held in compliance with the Sunshine Ordinance's requirements. The project is located within the boundaries of the Riverview West Neighborhood Association. Staff contacted the president of the Riverview West Association as well as the nearby Santa Anita Neighborhood Association to ensure that they were notified of this project and to identify any areas of concern. Neither president identified any concerns with the proposed project. The project site was also posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter, and mailed notices were sent to all property owners and tenants within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act (CEQA), the recommended action has been determined to be adequately evaluated in the previously certified EIR No. 2014 -01 as per Sections 15162 and 15168 of the CEQA guidelines. All mitigation measures in EIR No. 2014 -01 and associated Mitigation Monitoring and Reporting Program (MMRP) have been enforced and continue to apply to the proposed project. As required by the MMPR, a traffic impact analysis was performed to analyze any potential changes in area traffic as a result of the proposed development. The study concluded that no additional significant impacts that would trigger the requirement for additional environmental review. 32B -7 VTTM No. 2015 -01 June 22, 2015 Page 6 Strateaic Plan Allanment Approval of this item supports the City's efforts to meet Goal No. 3 Economic, Development, Objectives No. 2 (create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies) and No. 5 (leverage private investment that results in tax base expansion and job creation citywide) of the Santa Ana Strategic Plan. Moreover, approval of this item supports Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objectives No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods) and No. 4 (support neighborhood vitality and livability). Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Vesting Tentative Tract Map No. 2015 -01 as conditioned. All Pezeshl<pour Assistant Planner I AP:jm apWARepons\Slalf Reports for PCNT-1 "M15.01 C &C Single Family Hames.pc Attachments: Exhibit 1 — General Vicinity Map Exhibit 2 — Land Use Map Exhibit 3 — Site Photo Exhibit 4 — Site Plan Exhibit 5 — Building Elevations Exhibit 6 — Vesting Tentative Tract Map VTTM 2015 -1 ' C &C SINGLE- FAMILY HOMES Q 520 SOUTH HARBOR BOULEVARD - - =5CDFE =, DOD FEET P L A N "N I N G A N B U I L D I N G A G E N C Y EXHIBIT 1 VICINITY MAP 32B -9 FIRST �J I l_1 L__J U L_.i + SP-2 rPl>;! i; 5P -2 $ d I II - -I 1 I M • ` ft21i., Mt SD -32 °tg II II 1� I I -A9 <. i� "� SU j� 1 ° .:-ryll II II I I nz Ih� :nonce P I/_ R2 �.u�na ) ♦____CC_� � 0 II II If I /( �_ II IL_______ R2 R3 II i I`yl II R2 SP-2 R2 R2 R2 ,$ -1___� II II II jl II II 6 �•. C �li__ 1 �I_al vi_�I_�I_�I _.Iii r- _Ir_Ir_Ir °Ir °II n� R2 R2 R2 q Al Ir—i li_�._li__ 1 II II II it II II SP I I !i I I I it 2 -u..._ - �- I nu AI - -II " 1 RS ry III J�•.p rl I [ROJEC JrM R2 $ mama AT r SP.Z .�P -1 q /N z Al AT o I� RI Ri ";s "" „`. Sp_2 II 9 SP 2 i i I Rl R1 R7 R1 Rl a .n II Y e ” I, 6 Ri A aR, m i� Rt wu a 1 0, RI RI y RI ce on. 2 a Y s m Ho„ rAi R1 Y — Rl I Y' Y O I — R1 fti RI m 5P -2 G � SP � � Ri nl I .I s � Al RI Ri. ii iI it ii I I__ _ 3 JL__l.__JL_IL_J LILk AVE. Al GEJEMLACRWLTUML} CR OWMEY7ALFOD9tlilAL RI EINGLEFAMILYPESDET MAL -B FAPo4NGMODIFlGYRON Gc 00WRNMEJ a"TE R P2 TAODMILYREEDE CE GSrt WNIMEd7ALSDUIHMAN M, IJCMINDUSMAL Ri MULRP.EE8JDWNIULIRE CI WAMtMUNWCOMMECIA.L Ma FIFAHINWMAL FAMII.YSESDEa CLMD 00MM. OCMMEMAUMDF UM DISM7 MO MIUTARl0PEi411GNS Rt 9JOJFMARIRRAEMS O2 GENETALCOMMETUAL 0 OPEN SAM FE PRIDMILALES7A7 Q (: RALWANE`.S P PF()FES30NAL E1 914RCOMOPMEJT aA CUITMLTILMNESSARtMSrMUAM R"0 RANNH) CCMMUNRY DE9.OPMEJT S' 97iINCRAN G PLANNm910PRNGCEFITM F'RD PLANNED (d•5DGJ11ALCkVELOR1FNf C5 AMEPLAU MMEPDAL. VTTM 2015 -1 ' C &C SINGLE- FAMILY HOMES Q 520 SOUTH HARBOR BOULEVARD - - =5CDFE =, DOD FEET P L A N "N I N G A N B U I L D I N G A G E N C Y EXHIBIT 1 VICINITY MAP 32B -9 COMM. COMM. L I- A IL R D N E � V MOBILE HOME PARK w H o � INDUSTRIAL SCHOOL z COMM. d w in w J J w w 2E U z ¢ � w COMMERCIAL � w � z w McFADDEN AVENUE 0 COM `° COMM CIAL ¢ COMMERCIAL x COMMERCIAL COMM. M L I- A IL R D N E � V COMM. S lRff'. S ULTI R SI FAMI EPIC Y w H o � INDUSTRIAL SCHOOL z VTTM 2015 -1 C &C SINGLE- FAMILY HOMES 520 SOUTH HARBOR BOULEVARD^ P L A N N I N G A N D B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT2 32B -10 ""�uas�aae no.ac .. �. #) ! \{ / jf\\ }E\ ) !!! !§ — ®/ §)§ \\ EXHIBIT 22B.12 \) / 3 e %)K \ƒ\ w3; \)© / j( 7( _! / � f g tSf m 19 ma 0VA17noe � e r. 3 q ® ¢' Z U'` 5 �Q U, 5 z 5 u �"^D 107 JL M9 Sbt r g a�WB� 3 yB �er g a5 =/ e� 0VA17noe � e r. 3 q ® ¢' Z U'` 5 �Q U, 5 z 5 u i �"^D 107 M9 Sbt r J[i �15in °if�1.� i — 19 t. rcr 19tlU1 i I " tl :ii, y$ V ag x t! 173W08 P F a � �a ygg aY g 9 yy ^i Ya l g k; gigpp ppk is 3 - s au a- y33 a qq �3 _ da 'y3pa y$ yj FggFk @�'6a�; ;33j 8 ®� 84, @Pa 0;1, x¢ ia3i6 lQ,k pp� f fig"& ap{g5e n�Ega " y � 20 a Fo 04 s�o ma iwp y ml � € €�dYayy go Y 4 S§ eY 7`g C d y� RyAp3psy� g��p�g�p °$�(Y)� 6Fi:1��0 �� yw i $ kYB�'2hi33. gAYB FgBfi2 { N �J.Jl U^ YYpa, s YY q a+ �: R• ? n YP.� a 12WR g tl will 'VI W4 p 6 as INN � R11 4 sI�a�t 32 VxgVT 6 - - - -.._ m �"^D 107 M9 Sbt e� 01 s PI1 ' — 19 t. rcr 19tlU1 i I " tl :ii, y$ V ag x t! 173W08 P F a � �a ygg aY g 9 yy ^i Ya l g k; gigpp ppk is 3 - s au a- y33 a qq �3 _ da 'y3pa y$ yj FggFk @�'6a�; ;33j 8 ®� 84, @Pa 0;1, x¢ ia3i6 lQ,k pp� f fig"& ap{g5e n�Ega " y � 20 a Fo 04 s�o ma iwp y ml � € €�dYayy go Y 4 S§ eY 7`g C d y� RyAp3psy� g��p�g�p °$�(Y)� 6Fi:1��0 �� yw i $ kYB�'2hi33. gAYB FgBfi2 { N �J.Jl U^ YYpa, s YY q a+ �: R• ? n YP.� a 12WR g tl will 'VI W4 p 6 as INN � R11 4 sI�a�t 32 VxgVT 6 - - - -.._ m LS 6.12.15 RESOLUTION NO. 2015 -21 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING VESTING TENTATIVE TRACT MAP NO. 2015 -01 AS CONDITIONED TO ALLOW A SUBDIVISION FOR INDIVIDUAL LOTS FOR SINGLE FAMILY RESIDENCES FOR THE PROPERTY LOCATED AT 520 SOUTH HARBOR BOULEVARD BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of Vesting Tentative Tract Map No. 2015- 01 to allow subdivision of one existing parcel into 35 individual lots for single - family residences, and 10 lettered lots for common areas and private streets for the property located at 520 South Harbor Boulevard. B. Santa Ana Municipal Code Section 34 -127 requires Planning Commission approval of a tentative tract map for subdivisions. C. On June 22, 2015, the Planning Commission held a duly noticed public hearing on Vesting Tentative Tract Map No. 2015 -01. D. In order to adopt a Vesting Tentative Tract Map, California Government Code Section 66474 requires the following findings: 1. The proposed project, as conditioned, and its design and improvements are consistent with the Industrial land use designation of the General Plan and are otherwise consistent with all other elements of the General Plan and any applicable specific plans. The proposed subdivision, Vesting Tentative Tract Map No. 2015 -01, is consistent with the Urban Neighborhood land use designation and density prescribed and all other elements of the General Plan. Specifically, the proposed subdivision is consistent with several policies within the Land Use Element of the General Plan, including: Policy 1.5 (Maintain and foster a variety of residential land uses in the City); Policy 1.7 (Support open space in underserved areas); and Policy 3.1 (Support development which provides a positive contribution to neighborhood character and identity). Resolution No. 2015 -21 Page 1 of 6 32B -15 The proposed project, as conditioned, conforms to all applicable requirements of the zoning and subdivision codes as well as other applicable City ordinances. The proposed subdivision conforms to the minimum requirements, as well as meets the letter and intent of the State of California Subdivision Map Act provisions. Vesting Tentative Tract Map No. 2015 -01 is in keeping with the site plan review for the project as well as Chapters 34 and 41 of the Santa Ana Municipal Code. Covenants, Conditions and Restrictions (CC &Rs) are required for the project, which need to be approved by the City prior to the recordation of the final map. The project site is physically suitable for the type and density of the proposed project. There are no physical constraints on the site that preclude development of the site. The proposed site consists of approximately 2.27 acres of land within the Harbor Mixed Use Transit Corridor Specific Plan (SP -2), which is physically suitable for the residential development as proposed. Access to the site will occur from a single point on Harbor Boulevard. The design and improvements of the proposed project will not cause substantial environmental damage or substantially and avoidably injure fish or wildlife or their habitat. A proposed subdivision will not cause any substantial environmental damage or substantially and avoidably injure fish and wildlife or their habitat. A program -level Environmental Impact Report (EIR) was prepared pursuant to the California Environment Quality Act for the new Harbor Mixed Use Transit Corridor Specific Plan that anticipated up to 2,000 residential units being built in the Specific Plan area. The project site is located in an urbanized area, and there are no known fish or wildlife populations existing on the project site. The design or improvements of the proposed project will not cause serious public health problems. The proposed subdivision will not have any detrimental effects upon the general public. The short -term and long- term unavoidable adverse impacts identified in Environmental Impact Report No. 2014 -01 were addressed Resolution No. 2015 -21 Page 2 of 6 32B -16 by the adoption of a Statement of Overriding Considerations by the City Council. Any other negative or adverse impacts will be mitigated through mitigation measures identified in Environmental Impact Report No. 2014 -01 and conditions of approval for the vesting map. 6. The design or improvements of the proposed project will not conflict with easements necessary for public access through or use of the property within the proposed project. The design or improvements of the proposed project will not conflict with easements necessary for public access through or use of the property within the proposed project since there is no public access easement located within this property. E. In accordance with the California Environmental Quality Act (CEQA), the recommended action has been determined to be adequately evaluated in the previously certified EIR No. 2014 -01 as per Sections 15162 and 15168 of the CEQA guidelines. All mitigation measures in EIR No. 2014 -01 and associated Mitigation Monitoring and Reporting Program (MMRP) have been enforced and continue to apply to the proposed project. As required by the MMPR, a traffic impact analysis was performed to analyze any potential changes in area traffic as a result of the proposed development. The study concluded that no additional significant impacts that would trigger the requirement for additional environmental review. F. The applicant agrees to indemnify, hold harmless, and defend the City of Santa Ana, its officials, officers, agents, and employees, from any and all liability, claims, actions or proceedings that may be brought arising out of its approval of this project, and any approvals associated with the project, including, without limitation, any environmental review or approval, except to the extent caused by the negligence of the City of Santa Ana. Section 2. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves Vesting Tentative Tract Map No. 2015 -01 as conditioned in Exhibit A, attached hereto and incorporated as though fully set forth herein. This decision is based upon the evidence submitted at the abovesaid hearing, which includes but is not limited to: the Request for Planning Commission Action dated June 22, 2015 and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2015 -21 Page 3 of 6 32B -17 ADOPTED this 22nd day of June 2015 by the following vote: AYES: Commissioners: Alderete, Bacerra, Bauer, Gartner, Nalle, Verino (6) NOES: Commissioners: None (0) ABSENT: Commissioners: Mill (1) ABSTENTIONS: Commissioners: None (0) James Gartner Chairman APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa Storck Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2015 -21 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on June 22, 2015. Date: Planning Commission Secretary City of Santa Ana 32B -18 Resolution No. 2015 -21 Page 4 of 6 EXHIBIT A Conditions of Approval for Vestina Tentative Tract Map No. 2015 -01 Vesting Tentative Tract Map No. 2015 -01 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below rip or to exercising the rights conferred by this vesting tentative tract map. The applicant must remain in compliance with all conditions listed below throughout the life of the vesting tentative tract map. Failure to comply with each and every condition may result in the revocation of the vesting tentative tract map. A. Planning Division 1. The project shall comply with all conditions, standards, requirements, plans, and elevations approved by the Development Review Committee (DRC) for the development project (DP No. 2014 -23). 2. Covenants, Conditions and Restrictions (CC &Rs) for this project must be reviewed and approved by City prior to approval of the final tract map. At a minimum, the CC &Rs shall include provisions pertaining to owner occupancy, restrictions on home -based businesses, the prohibition of storage on balconies, means for securing any publicly - accessible open spaces, and a restriction on truck delivery hours to non -peak periods. 3. The final landscape plan shall depict installation of a perimeter block wall on the project site except in front yard setback areas. The landscape plan shall also contain perimeter block wall construction details, finishes, decorative elements, and accommodation for landscaping to deter graffiti. 4. All real estate signage must be removed from the site within one year from the date of installation. An extension of time may be granted as determined by the Planning Manager. 5. All site activities associated with grading and construction shall be screened by temporary construction fencing. Such fencing shall be secured and contain durable green mesh. 6. Graffiti on any portion of the project site before, during, and after construction shall be removed within 24 hours of first appearance. 7. Should the project be built in phases, any phase shall at all times comply with the standards of the Harbor Mixed Use Transit Corridor Specific Plan. Resolution No. 2015 -21 Page 5 of 6 32B -19 8. The final map must be approved and recorded prior to the sale of the first unit. 9. The final map and all improvements required to be made or installed by the subdivider must be in accordance with the design standards and specifications of the Santa Ana Municipal Code and the requirements of the State Subdivision Map Act. 10. Development within the area of the map is subject to development and permit fees in effect at the time of permit issuance. 11. Development within the area of the map is subject to design and development standards in effect at the time of permit issuance. 12. Two copies of the recorded final map and CC &Rs shall be submitted each to the Planning Division, Fire Department, Building Division, and Public Works Agency within 10 days of recordation. 13. Pursuant to Section 66474.9(b) of the Subdivision Map Act, the applicant shall defend, indemnify, and hold harmless the City, and its agents, officers, and employees from any claim, action, or proceeding against the City or its agents, officers, or employees to attack, set aside, void, or annul, any approval of the City concerning this subdivision application, which action is brought within the time period provided for in Section 66499.37. B. Police Department 1. Building and unit addressing must comply with the City's emergency service standards. 2. Prior to submittal into Building plan check, the applicant shall provide a photometric study to the Police Department showing compliance with the 1 footcandle requirement for the project site. Resolution No. 2015 -21 Page 6 of 6 32B -20 RECORDING REQUESTED BY AND WHEN RECORDED MAIL TO City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92702 Attention. City Clerk To be recorded without fee. (Space Above This Line For Recorder's Use Only) (Government Code, §§ 6103 and 27363) INCLUS1ONARY HOUSING AGREEMENT THIS INCLUSIONARY HOUSING AGREEMENT is dated as of , 2015, by and between the CITY OF Santa Ana, a charter city and California municipal corporation, and 520 South Harbor, LLC a California limited liability company ( "Developer "), A. The City's Inclusionary Housing Ordinance ( "Ordinance"} became effective on November 28, 2011: B. The City's Ordinance is being reviewed and updated by the City Council. Developer will be able to choose to comply with the Ordinance as it currently reads, or can choose to comply with the Ordinance as revised. If the in -lieu fee described herein is revised due to changes in the Ordinance, this Agreement and any relevant exhibits can be revised without the requirement of subsequent City Council approval C. The Developer is the fee owner of the Property located at 520 S. Harbor Boulevard, Santa Ana, California. D. The Developer desires to, at the Developer's sole cost and expense, develop a thirty -five (35) unit Project on the Property. E. On 2015, the City Council approved Ordinance /Resolution Number _ , which sets forth the City Approvals for the Project. EXHIBIT B Incluslonary Housing Agreement Pagel City of Santa Ana �� _� February 17, 2015 1 S03 \14 \'1854522.2 F. On 2015, the Santa Ana City Council reviewed and approved an Inclusionary Housing Plan that was prepared by the Developer in accordance with the requirements imposed by the Ordinance and the Administrative Procedures Manual established by the City Council to implement the Ordinance requirements. G. Pursuant to Santa Ana Municipal Code section 41- 1904(c)(2), any application to pay a fee in lieu of constructing some or all of the required inclusionary units for a project comprised of more than twenty residential units shall be subject to the review and approval of the City Council, which may grant such request if substantial evidence supports a finding that the cost of providing inclusionary units on site would substantially exceed the amount of the applicable in -lieu fee, H. This Inclusionary Housing Agreement, when fully executed by the City and the Developer and recorded, is intended to satisfy the requirement that the Developer enter into an Inclusionary Housing Agreement, as set forth in the Ordinance and the conditions to City Approvals. NOW, THEREFORE, in consideration of the mutual promises set forth in this Inclusionary Housing Agreement and other good and valuable consideration; the receipt and sufficiency of which is acknowledged by the City and the Developer, the Parties, agree as follows: DEFINITIONS OF TERMS The following words, terms and phrases are used in this Inclusionary Housing ;Agreement, as follows, unless the particular context of usage of a word, term or phrase requires another interpretation. Administrative Procedures Manual is this administrative procedures manual, which has been prepared by the City for the implementation and enforcement of the Ordinance. A copy of the Administrative Procedures Manual shall be maintained on fife with the City, and shall be provided to the Developer. Affordability Gap is equal to the difference between the Fair Market Value of the Inclusionary Unit and the Affordable Sales Price for the Inclusionary Unit. inclusionary Housing Agreement Page 2 City of Santa Ana February 17, 2015 1603\M1 654522.2 32B-22 Affordable dousing Cost means the maximum costs that can be borne by a Low or Moderate Income Household based on the requirements imposed by HSC Section 50052.5. The calculation methodology is described in the Administrative Procedures Manual, California Health and Safety Code ( "HSC ") provides definitions of household income and affordable housing costs that are used in this Inclusionary Housing Agreement. City means the City of Santa Ana, California. City Approvals are defined as the entitlement approvals and the Inclusionary Housing Plan that must be approved by the City Council prior to the issuance of building permits for the Project. City Council means the City of Santa Ana City Council, City Manager is the City Manager of the City of Santa Ana, Default means the failure of a Party to perform any action or covenant required by this Inclusionary Housing Agreement within the time period provided herein following notice and opportunity to cure, as set forth in Article 3 — Section 1 of this Inclusionary Housing Agreement, Developer means the developer of the residential project that is subject to this Inclusionary Housing Agreement and its successors and assigns. Effective Date means the date on which the Inclusionary Housing Agreement is approved and executed by appropriate authorities of the Developer and the City; and the Inclusionary Housing Agreement is executed by the authorized representatives of the City and delivered to the Developer. Exhibits means the exhibits to this Inclusionary Housing Agreement, which are listed in Article V. Fair Market Value means the value of the Inclusionary Unit under normal circumstances in which the seller and the buyer freely negotiate the terms of the transfer of ownership. The Fair Market Value is estimated based on the assumption that no income or affordability restrictions are placed on the Inclusionary Unit. odusionary Housing Agreement page 3 City of Santa Ana February 17, 2015 1603114116545222 32B-23 Gross Income means all income from whatever source from all adult household members for the previous calendar year as defined in California Code of Regulations Title 25 Housing and Community Development Section 6914. The definition includes the following specific requirements; 1, Except as provided in subdivision (2), all payments from all sources received by the head of household (even if temporarily absent) and each additional member of the household who is not a minor shall be included in the annual income of a household. Gross Income shall include, but not be limited to: a. The gross amount, before any payroll deductions, of wages and salaries, overtime pay, commissions, fees, tips and bonuses; b. The net income from operation of a business or profession or from rental or real or personal property (for this purpose, expenditures for business expansion or amortization of capital indebtedness shall not be deducted to determine the net income from a business); C. Interest and dividends; d. The full amount of periodic payments received from social security, annuities, insurance policies, retirement funds, pensions, disability or death benefits and other similar types of periodic receipts (but see subdivision (2)(c)); e. Payments in lieu of earnings, such as unemployment and disability compensation, worker's compensation and severance pay. f. Public Assistance. If the public assistance payment includes an amount specifically designated for shelter and utilities which is subject to adjustment by the public assistance agency in accordance with the actual cost of shelter and utilities, the amount of public assistance income to be included as income shall consist of: The amount of the allowance or grant exclusive of the amount specifically designated for shelter and utilities, plus ii. The maximum amount which the public assistance agency could in fact allow for the household for shelter and utilities, Inclusionary Housing Agreement, page 4 City of Santa Ana February 17, 2015 160311411654522.2 32B-24 g Periodic and determinable allowances such as alimony and child support payments, and regular contributions or gifts received from persons not residing in the dwelling; h. All regular pay, special pay and allowances of a member of the Armed Forces (whether or not living in the dwelling) who is head of the household or spouse {but see subdivision (2)(e)). i. Where a household has net assets in excess of $5,000, income shall include the actual amount of income, if any, derived from all of the net household assets or 10 percent (10 %) of the value of all such assets, whichever is greater. For purposes of this section, net households assets means value of equity in real property other than the household's full -time residence, savings, stocks, bonds, and other forms of capital investment. The value of necessary items such as furniture and automobiles shall be excluded. Z The following items shall not be considered as income: a. Casual; sporadic or irregular gifts; b. Amounts which are specifically for or in reimbursement of the cost of medical expenses; C. Lump -sum additions to household assets, such as inheritances, insurance payments (including payments under health and accident insurance and worker's compensation), capital gains and settlement for personal or property losses; d. Amounts of educational scholarships paid directly to the student or to the educational institution; and amounts paid by the government to a veteran for use in meeting the costs of tuition, fees, books and equipment. Any amounts of such scholarships, or payments to veterans not used for the above purposes of which are available for subsistence are to be included in income; e. The special pay to a serviceman head of a household away from home and exposed to hostile fire, f. Relocation payments made pursuant to federal, state, or local relocation law; Inclusibnary Housing Agreement Page City of Santa Ana- February 17, 2615 1893114,16545222 32B-25 g. Foster child care payments; h, The value of coupon allotments for the purchase of food pursuant to the Food Stamp Act of 1964 which is in excess of the amount . actually charged the eligible household; i. Payments received pursuant to participation in the following volunteer programs under the ACTION Agency: L National Volunteer Antipoverty Programs which include VISTA, Service Learning Programs and Special Volunteer Programs. ii. National Older American Volunteer Programs for persons aged 60 and over which include Retired Senior Volunteer Programs, Foster Grandparent Program, Older American Community Services Program, and National Volunteer Program to Assist Small Business Experience, Service Corps of Retired Executive (SCORE) and Active Corps of Executives (ACE). HCD means the California Department of Housing and Community Development HUD means the United States Department of Housing and Urban Development. Inclusionary Housing Administrator has the day -to -day . authority for making determinations related to the Ordinance and Administrative Procedures Manual. The Inclusionary Housing Administrator will be appointed by the City Manager. Inclusionary Housing Fund means a separate fund of the City established pursuant to the Housing Opportunity Ordinance of the Santa Ana Municipal Code. The fund was established for the specific purpose of providing the City with funds to assist in the development of housing that is affordable to Low and Moderate Income Households. The allowable uses of Inclusionary Housing Funds, and the related reporting are described in the Administrative Procedures Manual. Inclusionary Housing Plan means an in -lieu fee submitted for approval to the Inclusionary Housing Administrator that details the manner in which the Inclusionary Housing obligations will be fulfilled by the project. The Inclusionary Housing Plan form is presented in the Administrative Procedures Manual. Inclusionary Housing Agreement Page 6 City of Santa Ana February 17, 2015 1 80311 411 654 5 2 2.2 32B-26 In -Lieu Fee refers to a fee that may be paid by a developer in specific circumstances in lieu of providing Inclusionary Units within a project. Orange County Median Income is calculated by HCD using non - aggregated census income data and applying trending factors for metropolitan statistical areas (MSA) throughout the country. The MSA for Santa Ana is Orange County. The current household income information is presented in Attachment I of the Administrative Procedures Manual, Low Income Household refers to households whose incomes meet the standards defined Title 25 of the California Code of Regulations Section 6932, and by the HSC Section 50079,5. The maximum household income amount for Low Income Households shall be the amount published by HCD as adjusted to reflect the household size of the Homebuyer of the Inclusionary Unit. Market Rate Unit means any unit in the project that is not restricted for ownership and occupancy by Eligible Purchaser. Moderate Income Household refers to households whose income meets the standards defined Title 25 of the California Code of Regulations Section 6932, and by the HSC Section 50093. The maximum household income amount for Moderate Income Households shall be the amount published by HCD as adjusted to reflect the household size of the Homebuyer of the Inclusionary Unit, Ordinance means the Housing Opportunity Ordinance adopted by the City Council on November 28, 2011 as it has been amended from time to time, which is codified in the Santa Ana Municipal Code. Party and Parties mean the City and the Developer as parties to this Inclusionary Housing Agreement. Project means the housing project proposed to be developed on the Property at the Developer's sole cost and expense. Property means the real property on which the Project is to be developed, for which the legal description is provided in Exhibit A to this Inclusionary Housing Agreement. Inclusionary Housing Agreement Page 7 City of Santa Ana February 17, 2015 1803\14 \1654522,2 32B-27 PARTIES; REPRESENTATIONS AND WARRANTIES; EFFECTIVE DATE, RECITALS; AND EXHIBITS 1. Parties to the Inclusionary Housing Agreement I -A. City. The City is a charter city and California municipal corporation. The address of the City, for the purposes of this Inclusionary Housing Agreement, is: City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92702 Attention: Executive Director, Community Development Agency 1 -B. Developer. The Developer is a California limited liability company. The principal office and address of the Developer, for the purposes of this Inclusionary Housing Agreement, is: 520 South Harbor, LLC 14211 Yorba St., Ste. 200 Tustin, CA 92780 Attn: Todd Cottle II. Developer Representations And Warranties The representations and warranties of the Developer contained in Article 1 — Section II shall be based upon the actual knowledge of the Developer as of the Effective Date, and are true and correct as of the Effective Date. The Developer's liability for misrepresentation or breach of warranty, representation or covenant, wherever contained in this Inclusionary Housing Agreement, shall survive the execution and delivery of the Inclusionary Housing Agreement. The Developer hereby makes the following representations, covenants and warranties, and Developer acknowledges that the execution of this Inclusionary inclusionary Housing Agreement Page 8 City of Santa Aria - February 17, 2015 1603\14\16645212 32B-28 Housing Agreement by the City has been made in material reliance by the City on such covenants, representations and warranties: 11 -A. The Developer is a California limited liability company, lawfully entitled to do business in the State of California and the City. The Developer has the legal right, power and authority to enter into this Inclusionary Housing Agreement and the instruments and documents referenced herein and to consummate the transaction contemplated hereby. The persons executing this Inclusionary Housing Agreement and the 'instruments referenced herein on behalf of the Developer hereby represent and warrant that such persons have the power, right and authority to bind the Developer. 11 -B. The Developer has taken all requisite action and obtained all requisite consents in connection with entering into this Inclusionary Housing Agreement and the instruments and documents referenced herein and the consummation of the transactions contemplated hereby, and no consent of any other party is required for the developer's authorization to enter into 'this Inclusionary Housing Agreement, II -C, Neither the execution of this Inclusionary Housing Agreement nor the consummation of the transactions contemplated hereby shall result in a breach of or constitute a default under any other agreement, document, instrument, or other obligation to which the Developer is a party or by which the Developer may be bound, or under any law;_ statutes ordinance, governmental regulation or any writ, injunction, order or decree of any court or governmental body applicable to the Developer or to the Property. 11 -D: This Inclusionary Housing Agreement is, and all agreements, instruments and documents to be executed by the Developer pursuant to this Inclusionary Housing Agreement shall be duly executed by and are or shall be valid and legally binding upon the Developer and enforceable in accordance with their respective terms. III. Effective Date This Inclusionary Housing Agreement is dated _ , 2015 for reference purposes only. This Inclusionary Housing Agreement shall not go into effect before the Effective Date. Inclusionary Housing Agreement Page 9 City of Santa Ana February 17, 2015 1603 \14 \1654522.2 32B-29 IV. Recitals The Recitals set forth above are true and correct. The Recitals are incorporated into this Inclusionary Housing Agreement in their entirety by this reference; V. Exhibit List The following is a list of the exhibits attached to this Inclusionary Housing Agreement. Each of the exhibits is incorporated by reference into the text of this Inclusionary Housing Agreement. Exhibit A Legal Description of Property Exhibit B Site Map Depicting Property and Zoning Designations Exhibit C Calculations of 1n -Lieu Fee (Inclusionary Housing Plan) ARTICLE 2 INCLUSIONARY HOUSING COVENANTS VI. Developer Compliance with the Ordinance The Developer acknowledges that the City has provided the Developer with copies of the Ordinance and the Administrative Procedures Manual. The Developer is familiar with the requirements of all the foregoing documents and shall ensure that the Project complies with this Inclusionary Housing Agreement and the requirements set forth in all the foregoing documents. VII. In -Lieu Fee On , 2015, the Santa Ana City Council approved Developer's application to pay a fee in lieu of constructing all of the required inclusionary units, based on substantial evidence supporting a finding that the cost of providing inclusionary units on site would substantially exceed the amount of the applicable in -lieu fee. Accordingly, in lieu of providing any Inclusionary Unit specified in the Inclusionary Housing Plan, the Developer shall pay to the City of Santa Ana the sum of Inclusionary Housing Agreement Page 10 City of Santa Ana February 17, 2415 1603114V1654522.2 32B-30 $484,575.00 prior to obtaining the first building permit related to the Project. The final amount of the in -lieu fee is subject to change and will be based upon calculations completed at the time of payment, which must be completed before the issuance of any building permits for the Project. ARTICLE ,3 DEFAULTS AND REMEDIES VUI: Default If either Party defaults with regard to any provision of this Inclusionary Housing Agreement, the non- defaulting Party shall serve written notice of such default upon the defaulting Party. If, after the service of written notice of such default, the defaulting Party does not cure such default within thirty (30) calendar days after service of the notice of default (or, if such cure reasonably takes longer than thirty (30) days, if such cure has not been commenced within the thirty (30) day period and is promptly completed within a reasonable time, not to exceed ninety (90) calendar days), the defaulting Party shall be in Default of the terms of the Inclusionary Housing Agreement, and shall be liable to the other Party for damages caused by such Default. Alternatively, the non - defaulting Party, at its option, may institute an action for specific performance of the terms of this Inclusionary Housing Agreement, IX. Legal Actions In addition to any other rights or remedies; either Party may institute legal action to cure, corrector remedy any Default, to recover damages for any Default, or to obtain any other remedy consistent with the purposes of this Inclusionary Housing Agreement. IX -A. The laws of the State of California shall govern the interpretation and enforcement of this Inclusionary Housing Agreement. IX -B. In the event that any legal action is commenced by the Developer against the City, service of process on the City shall be made by personal service Inclusionary Housing Agreement Page 1.1 City of Santa Ana February 17; 2015 1603\U\1654522.2 32 B -31 upon the City Manager, or in such other manner as may be provided by law. IX -C. In the event that any legal action is commenced by the City against the Developer,, service of process shall be made by personal service on the Developer's designated agent at such address as may be specified in written notice to the City, or in such other manner as may be provided by law, and shall be valid whether made within or without the State of California. X. Rights and Remedies are Cumulative The rights and remedies of the Parties are cumulative and the exercise by either Party of one or more of such rights or remedies shall not preclude the exercise by it, at the same or different times, of any other rights or remedies for the same Default or any other Default by the other Party. ARTICLE 4 XI. Notices, Demands and Communications Between the Parties Any and all notices, demands or communications submitted by any Party to another Party pursuant to, or required by, this Inclusionary Housing Agreement shall be proper if in writing and dispatched by messenger for immediate personal delivery, or by registered or certified United States mail, postage prepaid, return receipt requested, to the address of the City and Developer, as applicable, as designated in Article 1 Section I of this Inclusionary Housing Agreement.. Such written notices, demands and communications may be sent in the same manner to such other addresses as either Party may from time -to -time designate as provided in this Section. Any notice, demand or communication shall be deemed to be received by the addressee, on the day that it is personally delivered, if dispatched by messenger, or two (2) calendar days after it is placed in the United States mail. Incluslonary Housing Agreement Page 12 City of Santa Aria February 17, 2015 1608\14 \1654522.2 32B-32 XII. Conflict of Interest No council member, official, contractor, consultant, attorney or employee of the City having any conflict of interest, direct or indirect, related to this Inclusionary Housing Agreement, or in the development of the Property, shall participate in any decision relating to this Inclusionary Housing Agreement. The Parties represent and warrant that they do not have knowledge of any such conflict of interest. XIIL Nonliability of City or City Officials and Employees No council member, official, contractor, consultant, attorney or employee of the City shall be personally liable to the Developer, any voluntary or involuntary successors and assignees, or any lender or other party holding any interest in the Property, in the event of any default or breach by the City, or for any amount which may become due to the Developer or to its successors or assignees, or on any obligations arising under this Inclusionary Housing Agreement, XIV. Indemnification The Developer agrees to indemnify and hold the City, and its officers, employees and agents, harmless from and against all damages, judgments, costs, expenses and fees arising from or related to any act or omission of the Developer in performing its obligations hereunder: The City agrees to indemnify and hold the Developer and its officers, employees and agents, harmless from and against all damages, judgments, costs expenses and fees arising from or related to any act or omission of the City in performing its obligations hereunder. XV. No Waiver Failure to insist upon strict compliance with any of the terms, covenants, conditions and restrictions hereof on any one occasion shall not be deemed a waiver of such term, covenant, condition or restriction. Any waiver or relinquishment of rights or powers hereunder at any one time or more times shall not be deemed a waiver or relinquishment of such other rights or powers at any other time or times. XVI. Jurisdiction and Venue Any legal action or proceeding concerning this Inclusionary Housing Agreement shall be filed and prosecuted in the appropriate State of California court in Inclusionary Housing Agreement Page 13 City of Santa Ana February 17, 2615 1GOIUN1654522.2 32B-33 Orange County, California. Each Party hereto irrevocably consents to the personal jurisdiction of that court. The City and the Developer each hereby expressly waive the benefit of any provision of federal or state law or judicial decision providing for the filing, removal, or change of venue to any other court or jurisdiction, including without implied limitation, federal district court due to any of the following. A. Any diversity of citizenship between the City and the Developer; or B. The fact that the City is a party to such action or proceeding; or C. That a federal question or federal right is involved or alleged to be involved. Without limiting the generality of the foregoing, the Developer and the City specifically waive any rights provided to it pursuant to California Code of Civil Procedure 394, The Developer acknowledges that the provisions of this Article 4 Section XVI are material consideration to the City for Its entry Into this Inclusionary Housing Agreement, in that the City will avoid the potential cost, expense and inconvenience of litigating in a distant forum. XVII. Inspection of Books and Records To enforce its rights under this Inclusionary Housing Agreement, the City shall have the right at all reasonable times, at the City's cost and expense, to inspect the books and records of the Developer pertaining to the Property, Matters discovered by the City shall not be disclosed to third parties unless required by law, or unless otherwise resulting from or related to the pursuit of any remedies orthe assertion of any rights of the City hereunder. XVIII. Successors and Assigns This Inclusionary Housing Agreement shall be binding upon, and inure to the benefit of, the Parties hereto and their respective heirs, executors, administrators, legal representatives, successors and assigns. The Developer may assign this Inclusionary Housing Agreement without the City's consent. XIX. No Third Party Beneficiaries The performance of the City's and the Developer's respective obligations under this Inclusionary Housing Agreement are not intended to benefit any party other than the City or the Developer, except as expressly provided otherwise herein. Inclusionary Housing Agreement Page 14 City of Santa Ana February 17, 2015 1603 \14 \1654522.2 32B-34 No person or entity not a signatory to this Inclusionary Housing Agreement shall have any rights or causes of action against any Party to this Inclusionary Housing Agreement as a result of that Party's performance or non - performance under this Inclusionary Housing Agreement, except as expressly provided otherwise herein. XX. Entire Agreement This Inclusionary Housing Agreement integrates all of the terms and conditions mentioned herein or incidental hereto, This Inclusionary Housing Agreement supersedes all negotiations or previous agreement between the Parties with respect to all or any portion of the Property and the Project thereof. XXI. Recordation The Developer and the City agree to permit recordation of this Inclusionary Housing Agreement or a memorandum of this Inclusionary Housing Agreement, against the Property in the Office of the County Recorder of Orange County, California, XXII. Termination This Inclusionary Housing Agreement shall be effective until all of the following have been completed: Payment has been received and funds deposited in accordance with Article 2, Section VII of this Inclusionary Housing Agreement. IN WITNESS WHEREOF, the Parties hereto have duly executed this Inclusionary Housing Agreement as of the dates set forth below, [Signatures on Following Pages] Inclusionary Housing Agreement Page 1s City of Santa Ana February 17, 2015 16031`!V 654522.2 32B-35 SIGNATURE PAGE TO INCLUSIONARY HOUSING AGREEMENT CITY: CITY OF SANTA ANA ATTEST: A California Municipal Corporation By: MARIA D. HUIZAR Clerk of the Council RECOMMEND APPROVAL: KELLY REENDERS Executive Director Community Development Agency APPROVED AS TO LEGAL FORM: SONIA R. CARVALHO City Attorney Sy: _ �. Lisa Storck Assistant City Attorney DAVID CAVAZOS City Manager Date: RECOMMEND APPROVAL: HASSAN HAGHANI Executive Director Planning & Building Agency Induslonary Housing Agreement Page 16 City of Santa Ana February 17, 2016 1503 \14 \1654522.2 32B-36 SIGNATURE PAGE TO INCLUSIONARY HOUSING AGREEMENT DEVELOPER: 520 SOUTH HARBOR, LLC, a California limited liability company By: Todd R. Cottle, its member Date: Inclusionary Housing Agreement Page 17 City of Santa Ana February 17, 2015 1606 \14,16545222 32B-37 EXHIBIT A LEGAL DESCRIPTION OF PROPERTY THE LAND REFERRED TO HEREIN BELOW IS SITUATED IN THE CITY OF SANTA ANA, IN THE COUNTY OF ORANGE, STATE OF CALIFORNIA, AND IS DESCRIBED AS FOLLOWS: THE NORTH 165.00 FEET OF THE EAST HALF OF THE SOUTH 20 ACRES OF THE SOUTHEAST QUARTER OF THE NORTHEAST QUARTER OF SECTION 16, TOWNSHIP 5 SOUTH, RANGE 10 WEST, SAN BERNARDINO BASE AND MERIDIAN, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA. SAID LAND IS SHOWN ON RECORD OF SURVEY NO. 2014 -1118, AS PER MAP FILED IN BOOK 274, PAGE 41 OF RECORD OF SURVEYS. APN: 188- 071 -05 'Inclusionary Housing Agreement City of Santa Ana April 11, 2015 1603 \14V1654522.2 32B-38 Inclusionary Housing Agreement City of Santa Ana April 11, 2015 1603\14 \16545222 32B-39 zz 61. 6 U } Q z f.. f) rZ � gr9 f kill ; s r 1 Ps fi d � 9 9 ei t 7iR E�9 e �3 I� o r Ill y III 0. a 1 a I I 4 k E 44R�9.q° Ni'[{i,, q�k Ip� a IN- PH �k—tUpppp4�. 4 �9 #P�;.p6pi49R m`9'� i 99E xlerc4+R`3ip OUR 0011 nd.Cw9 AFliigi�l9 :I; FIF9; 4.w' r g � � ode) eF x, E4gIgA� 1 §1 1118 "9 srI mg dz 1d SAs"zl+ 8'f C' 1313$919 99 93�d9�999?, �I i!i^; 39355:'�t@ Nam R 'R4 #6 A ffi *R nz pp � �9 � 3Fg1g R 9 @P Rgq wd,�cpp dd�� R�,,kk;; i�$�. kid P � 8a xPNe9i� �' y4A $�A $ird �9�a S.�:I@ 28 of @! EI �i �— e 51 Lw . t84 3p R K yE i t 4S14 ppppd �4`h99ed. E c d Np jig 4 E �in5a'[[i PP�� i �YE`p 4Sp 4{ �$'y#iR�fS� gI'l ig hT sl I d e E PIl!4krr4RdRdK5d5��9 gp�p�pEpYp {Rp{B55 y�i�-fgS 1� ggry�y@1gr S;f»4(�4� * di €tE@y?PIttN2R�ii5351Pf �RrBtP@ rf�pp Ea 4d1 `�SSypa 'yORfi e$34t ➢i, �] °��ig Inolusionary Housing Agreement City of Santa Ana April 11, 2015 1603 \14\1654522.2 32B-40 I d e E PIl!4krr4RdRdK5d5��9 gp�p�pEpYp {Rp{B55 y�i�-fgS 1� ggry�y@1gr S;f»4(�4� * di €tE@y?PIttN2R�ii5351Pf �RrBtP@ rf�pp Ea 4d1 `�SSypa 'yORfi e$34t ➢i, �] °��ig Inolusionary Housing Agreement City of Santa Ana April 11, 2015 1603 \14\1654522.2 32B-40 Inolusionary Housing Agreement City of Santa Ana April 11, 2015 1603 \14\1654522.2 32B-40 EXHIBIT C CALCULATIONS OF IN -LIEU FEE Inclusionary Housing Agreement City of Santa Ana April 11, 2015 1603\14 \16545222 32B-41 (INCLUSIONAR`( HOUSING PLAN) IN -UEU FEE CALCULATION OWNERSHIP PROl6CTS -15 %MODERATE INCOME WCLUSIONARY REQUIREMENT HOUSING OPPOPTUNtY ORDINANCE SANTA ANA, CALIFORNIA. 1. f tptle, A. Pmlect Name B. Project Addmas II. On -She Iedushminr Renuiremedt A. Required Number of meta unary Units Total Pmlett Oulu im1u316nary Requirement as %all earl Unita Total Inclusurl Requirement (ROuhd: Vp( B, ipdusionary Unit Distribution Twodiedrbom Units Three- bedrdam Unna Four- bedroom Units Tank Total Wiping Area 15gpare Feet). III, gffordabillN one I Unit Calculation TWO-uterpnm Va$s Three -b rproom Units Four- hedraam Units IV. Afforda181N Dan Calculation TWo�be omhm Units three- bedroom U,Rs Foar-bedraom Units Total Affordability Gap 5205. Harbor 5205, Harbor 35 15% 8 Required Nat Total Pooled Indoulanaly prior %ofTOtal unit, s Units' 18 51.43% 3 17 48.57% 3 as 100.00% S 69,307 Restrigod prior Moderate Affordability Gap( Market Prices Incomes .Unit $D $0 $0 $462,500 $370;000 $92,500 $460,000 $368,000 $91,000 Affortlatillita, Induslonary Tetel Afformhuh, Gap /Unit Units Gap $D - $D $91,500 3 $277,50D $92,000 3 $276,000 $553,500 Total In-Lieu Fee' $553,500 Per Tomil Unit $15,800 Per Income Resgleted Unit $92,300 Per Square FootaFTptai BUlldmItArea $9.61 This column must add up to 100%. ° MuIthay the % or Total Unho times the Tatar lnclusione ry Requtremene a Equal to the Impow of the doflned AffotdabloSales Price a 2b38 less than the projected Market pull The Total ImLeu Fee is equal to the Total AftotaaallRy 'Gap. 'r26 5 Harbor: - Inclusionary Unit Requirement: 35 units x 15% - 5.25 units In -Lieu Fee Calculation based on fractional units: $42,300 x 5.25 units = $484,575 4nclusionary Housing Agreement City of Santa Ana April 11, 2015 1603114V1654522.2 32B-42 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: TENTATIVE PARCEL MAP NO. 2015-01 AND SPECIAL USE PERMIT NO. 2015-01 TO SUBDIVIDE AN EXISTING COMMERCIAL COMPLEX INTO EIGHT AIR -RIGHT CONDOMINIUM UNITS AT 1540 EAST WARNER AVENUE - PETER CHENG, APPLICANT ZM7;��i9Zos� CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended Cl As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Tentative Parcel Map No. 2015 -01 (County Map No. 2014 -179) as conditioned and Special Use Permit No. 2015 -01 as conditioned. PLANNING COMMISSION ACTION At its regular meeting on July 13, 2015 by a vote of 7:0, the Planning Commission adopted a resolution approving Tentative Parcel Map No. 2015 -01 (County Map No. 2014 -179) as conditioned and Special Use Permit No. 2015 -01 as conditioned to subdivide four existing buildings Into eight air -right condominium units located at 1540 East Warner Avenue located in the Specific Development No. 8 Brookhollow Office Park (SD8) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). DISCUSSION Peter Chang, representing MCA Brookhollow, LLC, is requesting approval of a special use permit and a tentative parcel map to subdivide four commercial buildings into eight air -right condominium units in order to sell the units to individual buyers. The project site is located within the Brookhollow Office Park, which consists of 24 parcels and eight common area lots on 34.7 acres. The subdivision has been reviewed and has been found to be in conformance with the City's subdivision regulations (SAMC Chapter 34) as well as the California Subdivision Map Act. The approval of the special use permit and tentative parcel map will allow individual ownership and Increase capital investment in the City. The site will be maintained by both the Brookhollow master association, a sub - assoclation created for the proposed project and the Covenants, Conditions and Restrictions (CC &R's). Full sized site plans are available for public viewing In the Clerk of the Council Office. 32C -1 Tentative Parcel Map No. 2015 -01 Special Use Permit No. 2015 -01 August 4, 2015 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 2 (create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies). FISCAL IMPACT There Is no fiscal impact associated with this action. ?He ssan Hag I, Al Executive DI actor Planning & Building Agency AN:rb en \wp5l\pI&=ammtTPM13 -01 SUP i 5-01.1540Wem r.= Exhibit: A. Planning Commission Staff Report 32C -2 REQUEST O. PLANNING COMMISSION MEETING DATE: JULY 13, 2015 TITLE: PUBLIC HEARING — FILED BY PETER CHENG FOR TENTATIVE PARCEL MAP NO. 2015-01 AND SPECIAL USE PERMIT NO. 2015 -01 TO SUBDIVIDE AN EXISTING COMMERCIAL COMPLEX INTO EIGHT AIR -RIGHT CONDOMINIUM UNITS AT 1540 WARNER AVENUE (STRATEGIC PLAN NO. 3,2) Prepared by Ann Hsin -An Ni el Execu' Directar_�_.__. - - - -- — [, »K *1ir,1t'f 1�►j7�7TiTliE7�l PLANNING COMMISSION SECRETARY APPROVED • As Recommended • As Amended • Set Public Hearing For DENIED ❑ Applicant's Request ❑ Staff Recommendation CONTINUED TO d Acting Plan m Manager -- _.__ Adopt a resolution approving Tentative Parcel Map No. 2015 -01 (County Map No. 2014 -179) as conditioned. 2. Adopt a resolution approving Special Use Permit No. 2015 -01 as conditioned. Request of Applicant Peter Cheng, representing MCA Brookhollow, LLC, is requesting approval of a special use permit and a tentative parcel map to subdivide four commercial buildings into eight air -right condominium units. Applications for subdivisions of air -right commercial condominiums require approval of a parcel map by the Zoning Administrator pursuant to Section 34 -126 of the Santa Ana Municipal Code (SAMC) and application for a special use permit requires approval by the Planning Commission and City Council in concurrence with the tentative map application. Project Location and Site Description The project site is located within the Brookhollow Office Park, which consists of 24 parcels and eight common area lots on 34.7 acres. There are 25 buildings within the office park encompassing approximately 407,176 square feet of floor area. The office park is governed by Covenants, Conditions and Restrictions (CC &R's) controlled by a master association. The subject properties are located at the southeast corner of Warner Avenue and Brookhollow Drive. There are four existing structures on the project site ranging from 13,000 square feet to 31,700 square feet in size. The site Is surrounded by office uses to the east, west and south, and industrial uses to the north (Exhibits 1, 2 and 3). EXHIBIT A 32C -3 Tentative Parcel Map No. 2015 -01 Special Use Permit No. 2015 -01 July 13, 2015 Page 2 Protect Description Peter Cheng is requesting approval of a special use permit and tentative parcel map for condominium purposes to subdivide four existing buildings into eight air -right condominium units in order to sell the units to individual buyers (Table 1). Areas outside the walls of these buildings will consist of common areas, landscaping, access and parking for these condominium units (Exhibits 4, 5 and 6). The project will be governed by the Brookhollow Office Park Master Association as well as a sub - association created for the proposed subdivision. UNIT AREA TABLE Building Address Unit 1 Unit 2 Total 1540 Warner 9,572 sq. ft. 8,974 sq. ft. 18,546 sq. ft. 1544 Brookhollow 6,166 sq. ft. 6,849 sq. ft. 13,015 sq. ft. 1548 Brookhollow 11,902 sq. ft. 11,999 sq. ft. 23,901 sq. ft. 1554 Brookhollow 15,851 sq. ft. 15,864 sq. ft. 31,715 sq. ft. In May, 1977, the City Council approved a rezoning of the subject property from Industrial to Specific Development No. 8 (SD -8) to allow the construction of the Brookhollow Office Park. A total of 24 buildings were constructed between 1978 and 1985. The site zoning was changed due to the mixture of uses (retail, office and warehouse) proposed for the site. Subsequently, the SD was modified in 1989, 2004 and 2006 to allow new uses within the development as well as adjusting the development standards for the office park. In 2005 and 2006, subdivision maps were approved to allow the creation of 15 separate parcels at the office park. A sign variance was approved in 2012 to allow additional identification signage and a parking minor exception was approved in 2013 to allow a 16.6 percent reduction in parking at the Brookhollow Office Park. On June 10, 2015, the zoning administrator deferred the proposed tentative parcel map to the Planning Commission to be considered together with the special use permit. General Plan and Zoning Consistency The General Plan land use designation for the site is Professional and Administrative Office (PAO), which allows for office development and ancillary commercial uses found within the Brookhollow Office Park. Professional and Administrative Office areas are designed to serve as anchors for the City's professional /office corridors. The project site is consistent with the PAO General Plan Designation. 32C -4 Tentative Parcel Map No. 2015 -01 Special Use Permit No. 2015 -01 July 13, 2015 Page 3 The zoning for the site is Specific Development District No. 8 (Brookhollow Office Park). The SD -8 designation is a mixed -use zone that allows office, restaurant, retail, hotel and industrial uses. Therefore, the proposed use is consistent with the zoning designation. Project Analvsis Special Use Permit In August 2007, Ordinance No. NS -2755 was adopted that created regulations (Section 41 -1800 through 1809 of the Santa Ana Municipal Code) for the conversion of commercial and industrial buildings into air -space condominiums. These standards were created to ensure that commercial and industrial condominiums would remain economically viable and would not negatively affect the surrounding properties. The ordinance also created a new method of approving commercial and industrial condominium conversions by a special use permit, which requires approval by the Planning Commission concurrent with the tentative map application. An improvement plan per Section 41- 1804(a) of the Santa Ana Municipal Code is required as part of the special use permit approval. The purpose of this plan is to identify potential upgrades to the building to bring the structure into current construction standards. The plan must provide details of the site's ability to comply with off - street parking, sound transmission, energy efficiency, open space, setbacks, adopted design guidelines and landscaping (Exhibit 7). Below is an analysis of the project's compliance with the special use permit standards. Off - street Parking - A total of 1,383 parking spaces are required for the various retail, office, medical and assembly uses currently found at the center, while 1,412 spaces are provided. A minor exception was approved (ME No. 2013 -01) in September 2013 to allow a 235 spaces (16.6 percent) reduction in parking in order to allow additional religious institutions, retail and medical offices at this location. Sound Transmission — The existing exterior walls of the four buildings are six -inch concrete tilt -up walls which is an excellent barrier for low- frequency sound waves. The concrete tilt -up walls with minimum window openings provides sufficient sound proofing and noise reduction. Energy Efficiency - The existing building is in compliance with the Title 24 energy conservation requirement with six -inch concrete tilt -up walls and R30 insulation. Compliance with current energy efficiency standards for all exterior windows /glazing would be infeasible for this project due to the significant changes in Building codes and the cost of construction. The applicant will comply with the current Building Code when any future exterior improvements are proposed. Open Space - The provision of public and /or private open space is not a requirement of the SD -8 zoning district and is not required for the project. 32C -5 Tentative Parcel Map No. 2015 -01 Special Use Permit No. 2015 -01 July 13, 2015 Page 4 Setbacks — SD -8 zoning requires a 20 -foot front setback along private streets and a 10 -foot side yard and 10 -foot rear yard setbacks. The Brookhollow Showroom Center was constructed in 1978 in compliance with these setback requirements identified in the SD -8 zoning district. Design Guidelines — The Brookhollow Showroom Center complies with the city's design guidelines. A comprehensive building fagade improvement was completed in August 2014. The parking area was repaved and restriped in April 2015. Landscape — SD -8 zoning requires minimum landscape coverage of 15 percent. The Brookhollow Showroom Center was constructed in 1978 in compliance with the landscape requirements identified in the SD -8 zoning district. Maintenance of the landscaped areas is the responsibility of the master association and the Covenants, Conditions and Restrictions (CC &R's). Additionally, Section 41 -1805 of the SAMC requires separate meters for the units. The metering includes electric, gas and water service for each unit and the common area. The project site currently has separate meters for electric and gas for each unit. There is a hardship found to separate the water service for each unit. As a result, the Public Works Agency agreed to waive the requirement to have separate water meter for each unit. Special use permit requests are governed by Section 41 -1807 of the SAMC. Special use permit requests may be granted when it can be shown that the following can be established: m The proposed common interest development will not adversely impact the economic viability of large -scale commercial and industrial uses in the vicinity of the development, or in the city as a whole. The proposed common interest development includes sufficient provisions for governance, funding and capitalization, and enforcement mechanisms to insure that the common area continues to be adequately and safely maintained and repaired for the life of the common interest development. The proposed common interest development includes sufficient provisions for the retention of such common areas for the use of all owners of separate interest therein. • The proposed common interest development complies with the goals, policies and objectives of the city's general plan. If these findings can be made, then it is appropriate to grant the special use permit. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which, in turn forms the basis for the recommendation contained in this report. In analyzing the special use permit request, staff believes that the following findings of fact warrant approval of the special use permit. 32C -6 Tentative Parcel Map No. 2015 -01 Special Use Permit No, 2015 -01 July 13, 2015 Page 5 The proposed common interest development will not adversely impact the economic viability of large -scale commercial and industrial uses in the vicinity of the development, or in the city as a whole. The site is located at the southeast corner of Warner Avenue and Brookhollow Drive and within an established office park with a mixture of office, industrial and retail uses. There is no physical change proposed with this project. The condominium ownership will allow a new tenant to reoccupy a vacant commercial building, thereby reducing the vacancy rate of the area and identifying the area as a stable and viable location for economic investment. The proposed common interest development includes sufficient provisions for governance, funding and capitalization, and enforcement mechanisms to insure that the common area continues to be adequately and safely maintained and repaired for the life of the common Interest development. The creation of air -space condominium will not negatively affect the property maintenance of the site. The site is currently being maintained under the Brookhollow master association and the Covenants, Conditions and Restrictions (CC &R's). Additionally, the creation of a sub- association for the proposed project will facilitate future maintenance between the different property owners. The proposed common interest development includes sufficient provisions for the retention of such common areas for the use of all owners of separate interest therein. The proposed commercial condominium project will maintain the existing parking and common areas open to all condominium owners. Additionally, the Covenants, Conditions and Restrictions (CC &R's) will ensure that all parties are granted proper access and parking on- site. • The proposed common interest development complies with the goals, policies and objectives of the city's general plan. Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties and encourages increased level of capital investment. The commercial condominium will allow individual ownership and increase capital investment in the City. Policy 2.9 of the Land Use Element supports development that creates a business environment that is safe and attractive. A condition of approval will require the removal of any graffiti that may occur on the site. Policy 5.5 encourages development that is compatible and supportive of surrounding land uses. The Brookhollow Showroom Center is located in a corridor with a mixture of professional and industrial uses and the proposed project will help to maintain compatibility with the surrounding professional and industrial uses. Tentative Parcel Map Subdivision requests are governed by Chapter 34 and Chapter 41 of the SAMC. Pursuant to Section 66473.5 and 66474 of the California Subdivision Map Act, applications for tentative parcel maps are approved when it can be shown that the following can be established: 32C -7 Tentative Parcel Map No. 2015 -01 Special Use Permit No. 2015 -01 July 13, 2015 Page 6 • That the proposed project, as conditioned, and its design and improvements are consistent with the land use designation of the General Plan and are otherwise consistent with all other Elements of the General Plan and applicable Specific Plan. • That the proposed project, as conditioned, conforms to all applicable requirements of the zoning and subdivision codes as well as other applicable City ordinances. • That the project site is physically suitable for the type and density of the proposed project. • That the design and improvements of the proposed project will not cause substantial environmental damage or substantially and avoidably injure fish and wildlife or their habitat. • That design or improvements of the proposed project will not cause serious public health problems. • That the design or improvements of the proposed project will not conflict with easements necessary for public access through or use of the property within the proposed project. If these findings can be made, then it is appropriate to approve the tentative parcel map. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which, in turn forms the basis for the recommendation contained in this report. In analyzing the applicant's request, staff believes that the following findings of fact warrant approval of the tentative parcel map. The proposed project, as conditioned, and its design and improvements will be consistent with the Professional and Administrative Office (PAO) land use designation of the General Plan and are otherwise consistent with all other Elements of the General Plan and applicable Specific Plans. The proposed subdivision promotes Land Use Element Policy 5.4, which supports land uses that are consistent with the General Plan. The project is located within the Specific Development No. 8 (SD -8) zoning district and is consistent with the Professional and Administrative Office (PAO) land use designation and all other elements of the General Plan. The proposed project, as conditioned, will conform to all applicable requirements of the zoning and subdivision codes as well as other applicable City ordinances, The proposed project, as conditioned, conforms to the provisions of Chapter 34 and 41 of the Santa Ana Municipal Code including parking, setbacks and height. In addition, Covenants, Conditions and Restrictions (CC &R's) will address issues such as drainage, reciprocal access, landscaping and maintenance that will be recorded prior to approval of the final map. 32C -8 Tentative Parcel Map No. 2015 -01 Special Use Permit No. 2015 -01 July 13, 2015 Page 7 • The project site is physically suitable for the type and density of the proposed project. The existing buildings on the project site were constructed in compliance with applicable city standards at the time of construction. There is no new construction proposed as part of this project. Any future development will comply with the provisions of the Santa Ana Municipal Code. + The design and improvements of the proposed project will not cause substantial environmental damage or substantially and avoidably injure fish and wildlife or their habitat. Since the project site is located in an urbanized area, there are no known fish or wildlife populations existing on the project site. Therefore, the proposed subdivision will not cause any substantial environmental damage or substantially and avoidably injure fish and wildlife or their habitat. • Design or improvements of the proposed project will not cause serious public health problems. The proposed subdivision will not have any detrimental effects upon the general public. All necessary utilities and infrastructure improvements currently exist and comply with City standards. Therefore, approval of this subdivision will not cause any serious public health problems. • The design or improvements of the proposed project will not conflict with easements necessary for public access through or use of the property within the proposed project. The project shares common driveway access within Brookhollow Office Park, which is outlined in the Covenants, Conditions and Restrictions (CC &R's). CC &R's will ensure all ingress and egress easement and access will be maintained for the project site. The tentative parcel map is proposed to allow the air -right subdivision of four existing commercial buildings to create eight air -right condominium units. The subdivision has been reviewed and has been found to be in conformance with the City's subdivision regulations (SAMC Chapter 34) as well as the California Subdivision Map Act. The existing buildings on the project site were constructed in compliance with applicable city standards at the time of construction with no new construction proposed as part of this project. The proposed project meets all provisions of the zoning code (SAMC Chapter 41), including lot size, lot frontage, landscaping, setbacks, lot coverage, and parking. Further, the proposed subdivision is consistent with the Professional and Administrative Office (PAO) General Plan land use designation and all other elements of the General Plan. As a result, staff recommends approval of Special Use Permit No. 2015 -01 and Tentative Parcel Map No. 2015 -01 (County Map No. 2014 -170) as conditioned. 32C -9 Tentative Parcel Map No. 2015 -01 Special Use Permit No. 2015 -01 July 13, 2015 Page 8 Public Notification The project site is not located within any boundaries of a Neighborhood Association. The project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners and occupants within 500 feet of the project site. At the time of this printing, no correspondence, by phone, written or electronic has been received from any members of the public CEQA Compliance In accordance with the California Environmental Quality Act the recommended action is exempt from further review per Section 15301. This Class 1 exemption allows the subdivision of existing commercial or industrial buildings where no physical changes occur. Categorical Exemption Environmental Review No. 2015 -04 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No. 2 (create new opportunities for business /job growth and encourage private development through new General Plan and Zoning Ordinance policies). Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Tentative Parcel Map No. 2015 -01 and Special Use Permit No. 2015 -01 as conditioned. Ann Ni Associate Planner AN:jm anlwp5Ikplancomm\TPM201601 8 UP2015- 01.1540Wamar.pc Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Land Use Map Exhibit 3 — Site Photo Exhibit 4 — Tentative Parcel Map & Site Plan Exhibit 5 — Floor Plans Exhibit 6 — Elevations Exhibit 7 — Improvement Plan 32C -10 M7 $D69 M1 R1 y R1 ! R1 _ Mt Mi u a M1 7� t R1 ;;� R1 q Rl Ri SDG9tr tt Ml ry w u' Rt M1 M1 Mt M1 R1 R'I M1 M1 a P. z PROJECT M, rowReeR+AM .. R2 Ip it cnr ae nllsl.n i K2 H \ pt R2 a M1 M7 ( I _ ii SDB ii M7 J} n � S R2 @- 2 g / R2 rnu 1t SD -12 .:'f Ml Sd63 r/i I � M1 / �Iv11 M M1 eF MI M1 r i r � so -12 M1 �a it C5 I � MI M2 M1 h F ""h P c - F nMMi I Al GRArAKA.GHCULTUPALj CR GYWHUAL�DRNTIAL RI 40FA SAIALLWSNaEFAMII.YFMQENCE .8 RMNGM001RCAMN GG Cw MH CegTM R WFAMILYFZ:SMCE ODA O MMUMS "MAIN M1 UGiTINDUSRRAL R1 MULIAEOINSYMULME CI COMMUMTYCCMMUML M2 HEWYINDUSMAL MMIIY FESD8NCE OI O COMM, OOMMEMAVMUSYUM LNStRU MO MILIWR10pH+ATIGNG Ri S16UFMNAMRTMRNTS C2 MEPALUWM9UAL 0 OFEN5AU FE RnO6M E5TATE 0 CI LRUNF5 p PFUSO NAL S GlwnCONd.0rmw C3-A LI?MALCUSNL-PA 671AUAGE FGD RANNMODMMUHJ'DE OFNFM m SMMG1AN CA RANNWSCFRNrUNl RM RANN®Fda4p9NitALDEMOR,AB 6 At4WLCCMMEMAL RI SN�FAMILYI MIIIAL PM 2015 -1 & SUP 2015 -1 - BROOKHOLLOW FREEWAY SHOWROOM 41 CONDO SUBDIVISION - - =SGU FEES V" 1000= 1540 EAST WARNER AVENUE P L A N N I N G ___AND 8 U I L D I N G A G E -NC Y EXHIDT 1 32C -11 RT(alli T. IND 1 N D U S i R I A L iNDU SSTRI- AAL�u�,_,J/ WAFNER AVENUE O F F I C E 1 — _ —_ /r)lr urrorimn Q PROJECT SITE )I \1✓ 1 OFFICE � r1 O Ff- -ICE _ _ ) S /I Z VACANT PM 2015 -1 & SUP 2015 -1 Ap, BROOKHOLLOW FREEWAY SHOWROOM 4`1 CONDO SUBDIVISION 1540 EAST WARNER AVENUE P L A N N I N G A N D B U I L D I N G A G E N C Y 32C -12 4A �j /+ OV, roll n % HAN IM si 3 I MIA e vsil r _ Pp ;9R ;" yR'9k yX @56 32 qm9 #`4a @ gS15 °a�a asit r0ng II�� aiae� ^apa Hpl�r �Ap "Aar'A YAaga5tl�y9 A �it }}AaaS P�d tl �yY� S,Sg'�§ggk � agsnpSSSS''" a� @r 9' 9�A�Rr aC GS as =343 Qr Tv- 1 a� r i 1 z x k r MYS > a `4x r x $q ar €E ag� 8r_9��r A y @ t t i i4 117 r (1 n S6° Spg� 3R3 ©ea, gg 3r17`7° e u aSa �i ��a�31 r4 a% aeo gg1.Y pp�n 3r@ A� 1. ��. $� Y rxY �� i I% 4 x o yy 8 e p "'a @ �} gA 33 Z 233 LLI cc Imod 4 W g Q Pp ;9R ;" yR'9k yX @56 32 qm9 #`4a @ gS15 °a�a asit r0ng II�� aiae� ^apa Hpl�r �Ap "Aar'A YAaga5tl�y9 A �it }}AaaS P�d tl �yY� S,Sg'�§ggk � agsnpSSSS''" a� @r 9' 9�A�Rr aC GS as =343 Qr Tv- 1 a� r i 1 z x k r MYS > a `4x r x $q ar €E ag� 8r_9��r A y @ t t i i4 117 r (1 n S6° Spg� 3R3 ©ea, gg 3r17`7° e u aSa �i ��a�31 r4 a% aeo gg1.Y pp�n 3r@ A� 1. ��. $� Y rxY �� i I% 4 x o yy 8 e p "'a @ 33 233 s 4 Yh Lk 0 N 00 Z Cy COL. 0. j :9 6H I LOL, J > CL lu II Is c "J k B4 gas k B4 igrtyd� ,P 4 0 ap U. yY3�$vE rl ig �y! 0 _ zr- cq� N __ { Ig ii 8 Z Z t _ it .i gh 0: WAV IL gR pp FZ shl 0 El a i£ EXHIBIT 6 32C -16 July 2, 2015 WESTERN STATES Engineering, Inc. City of Santa Ana Planning & Building Agency 20 Civic Center Plaza (M -20) P.O. BOX 1988 Santa Ana, CA 92702 ATTENTION Vince Fregoso, AICP Acting Planning Manager SUBJECT Observation Report REFERENCE : 1540, 1544, 1548, 1554 Brookhollow Drive, Santa Ana, CA Dear Mr. Fregoso, On July 2nd, 2015, Western States Engineering, Inc. conducted a visual inspection for the properties located at 1540, 1544, 1548, 1554 Brookhollow Drive in the City of Santa Ana in order to verify compliance with the requirements for on Site parking, noise transmission, Title 24 energy conservation, open space, setbacks, design guidelines, and landscaping. The inspection revealed the following: 1.0 Off Street Parking: This proposed subdivision is governed by Covenants, Conditions and Restrictions (CC &R's) controlled by the master association. The master CC &R's provides that each Parcel within Brookhollow Office Park (Project) is burdened with and benefited by a reciprocal parking easement which permits the Owners and Permittees of any Parcel within the Project to use, on a non - exclusive basis, any parking spaces located within the Project. Additionally, a parking minor exception was approved in 2013 to allow a 16.6 percent reduction in parking at the Project. As there will be no change in permitted uses, nor new construction proposed as part of this subdivision, parking will not be affected. Any future development will comply with the provisions of the Santa Ana Municipal Code, 4887 E. La Palma Ave. Suits 707, Anahelm, CA 92807 — Phone (714)695 -0300 -- Fax (714)693 -1002 EXHIBIT 7 32C -17 2.0 Sound Transmission: The existing exterior wails, of the four buildings, are of 6" concrete tilt up walls (excellent barrier for low frequency sound waves). It is our opinion that in a 6" concrete tilt up building with a minimum windows opening provides sufficient soundproofing and noise reduction. 3.0 Title 24 Requirements: Based on our visual observation, and based on the type of construction, (6" concrete tilt up walls), the walls for the 4 buildings, provide an excellent R value to meet the current Title 24 energy conservation requirements. Also, we had observed that R 30 insulation was installed in the ceiling, which also meet the current Title 24 energy conservation requirements. The only area in question will be the existing windows that might not meet Title 24 requirements. For the replacement of all glazing not meeting current heat loss, heat gain, or infiltration requirements, the process would be very expensive and time consuming. The cost associated with the above compliance is estimated to be $139,000. 4.0 Ogren Space: The Zoning for this site is Specific Development District No. 8 (Brookhollow Office Park), The SD -8 requires that structures shall not cover more than 55 percent of the total net site area. In this case, the total net site area is approximately 254,609 square feet (5.845 Acres) and the combined building area across the eight air -right condominium units is 87,177 square feet (0.499 Acres) or approximately 34 percent of the net site area. As there is no new construction proposed as part of this subdivision, the amount of open space will not be affected and will not exceed the coverage permitted. Any future development will comply with the provisions of the Santa Ana Municipal Code. 5.0 Setbacks: SD -8 zoning requires front setbacks along private streets of 20 feet, side yard setbacks of 10 feet and rear yard setbacks of 10 feet. All setbacks within the proposed project conform to these requirements. As there is no new construction proposed as part of this subdivision, conformity will not be affected. Any future development will comply with the provisions of the Santa Ana Municipal Code. 6.0 Design Guidelines: The proposes subdivision, as conditioned, and its design and improvements will be consistent with the Professional and Administrative Office (PAO) land use designation of the General Plan and are otherwise consistent with all other Elements of the General Plan and applicable Specific Plans. The proposed subdivision located within the SD -8 zoning district which is consistent with the PAO land use designation and all other elements of the General Plan as well as provisions outlined in Chapter 34 of the Santa Ana Municipal Code for the 4887 E. La Palma Ave. Suite 707, Anaheim, CA 92807 — Phone (714)695 -9300 — Fax (714)693 -1002 32C -18 subdivision of the this property. All unnecessary exterior appurtenances such as ladders, down spouts, conduits and piping will be removed. 7.0 Landscaping: SD -8 zoning requires minimum landscape coverage of 15 %, (21 % provided). Landscaped areas for the proposed subdivision are in compliance to coverage, setbacks and placements. Maintenance of the landscaped areas are the responsibility of the master association. Sincerely, Jp. President For Western States Engineering, Inc. 4887 E. La Palma Ave. Suite 707, Anaheim, CA 92807 — Phone (714)695 -9300 — Fax (714)693 -1002 32C -19 LS 7.7.15 RESOLUTION NO. 2015 -24 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING TENTATIVE PARCEL MAP NO. 2015 -01 AND SPECIAL USE PERMIT NO. 2015 -01, AS CONDITIONED, TO SUBDIVIDE AN EXISTING COMMERCIAL COMPLEX INTO EIGHT AIR -RIGHT UNIT CONDOMINIUM UNITS AT 1540 EAST WARNER AVENUE BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. The Applicant is requesting approval of a tentative parcel map to subdivide four commercial buildings into eight (8) air -right condominium units at 1540 East Warner Avenue. B. Applications for subdivisions of air -right commercial condominiums require approval of a parcel map by the Zoning Administrator pursuant to Section 34 -126 of the Santa Ana Municipal Code (SAMC) and application for a special use permit requires approval by the Planning Commission and City Council in concurrence with the tentative map application. C. On June 10, 2015, the Zoning Administrator deferred the proposed tentative parcel map to the Planning Commission to be considered together with the special use permit. D. Tentative Parcel Map No. 2015 -01 (County Map No. 2014 -179) and Special Use Permit No. 2015 -01 came before the Planning Commission of the City of Santa Ana for a duly noticed public hearing on July 13, 2015. E. Subdivision requests are governed by Chapter 34 and Chapter 41 of the SAMC. Pursuant to Sections 66473.5 and 66474 of the California Subdivision Map Act, applications for tentative parcel maps are approved when certain findings can be established. F. For Tentative Parcel Map No. 2015 -01, the Planning Commission of the City of Santa Ana determines that the following findings have been established: 1. The proposed project, as conditioned, and its design and improvements are consistent with the Professional and Administrative Office (PAO) designation of the General Plan and are otherwise consistent with all other Elements of the General Plan and applicable Specific Plans. Resolution No. 2015 -24 Page 1 of 7 32C -20 Tentative Parcel Map No. 2015 -01, as conditioned, and its design and improvements will be consistent with the Professional and Administrative Office (PAO) land use designation of the General Plan and are otherwise consistent with all other Elements of the General Plan and applicable Specific Plans. The proposed subdivision promotes Land Use Element Policy 5.4, which supports land uses that are consistent with the Land Use Element. The project is located within the Specific Development No. 8 (SD -8) zoning district and is consistent with the Professional and Administrative Office (PAO) land use designation and all other elements of the General Plan. 2. The proposed project, as conditioned, conforms to all applicable requirements of the zoning and subdivision codes as well as other applicable City ordinances. Tentative Parcel Map No. 2015 -01, as conditioned, will conform to all applicable requirements of the zoning and subdivision codes as well as other applicable City ordinances. The proposed project, as conditioned, conforms to the provisions of Chapter 34 and 41 of the Santa Ana Municipal Code including parking, setbacks and height. In addition, Covenants, Conditions and Restrictions (CC &R's) will address issues such as drainage, reciprocal access, landscaping and maintenance that will be recorded prior to approval of the final map. 3. The project site is physically suitable for the type and density of the proposed project. The project site is physically suitable for the type and density of the proposed project. The existing buildings on the project site were constructed in compliance with applicable city standards at the time of construction. There is no new construction proposed as part of this project. Any future development will comply with the provisions of the Santa Ana Municipal Code. 4. The design and improvements of the proposed project will not cause substantial environmental damage or substantially and avoidably injure fish or wildlife or their habitat. The design and improvements of the proposed project will not cause substantial environmental damage or substantially and avoidably injure fish and wildlife or their habitat. Since the project site is located in an urbanized area, there are no known fish or wildlife populations existing on the project site. Therefore, the proposed subdivision will not cause any substantial environmental damage or substantially and avoidably injure fish and wildlife or their habitat. Resolution No. 2015 -24 Page 2 of 7 32C -21 5. The design or improvements of the proposed project will not cause serious public health problems. The design or improvements of the proposed project will not cause serious public health problems. The proposed subdivision will not have any detrimental effects upon the general public. All necessary utilities and infrastructure improvements currently exist and comply with City standards. Therefore, approval of this subdivision will not cause any serious public health problems. 6. The design or improvements of the proposed project will not conflict with the easements acquired by the public at large for access through or use of property within the proposed project. The designs or improvements associated with approval of the tentative parcel map will not conflict with easements necessary for public access through or use of the property within the proposed project. The project shares common driveway access within Brookhollow Office Park, which is outlined in the CC &R's. The CC &R's will ensure all ingress and egress easement and access will be maintained for the project site. G. Special use permit requests are governed by SAMC Section 41 -1807. For Special Use Permit No. 2015 -01, the Planning Commission of the City of Santa Ana determines that the following findings have been established: 1. The proposed common interest development will not adversely impact the economic viability of large -scale commercial and industrial uses in the vicinity of the development, or in the city as a whole. The proposed common interest development will not adversely impact the economic viability of large -scale commercial and industrial uses in the vicinity of the development, or in the city as a whole. The site is located at the southeast corner of Warner Avenue and Brookhollow Drive and within an established office park with a mixture of office, industrial and retail uses. There is no physical change proposed with this project. The condominium ownership will allow a new tenant to reoccupy a vacant commercial building, thereby reducing the vacancy rate of the area and identifying the area as a stable and viable location for economic investment. 2. The proposed common interest development includes sufficient provisions for governance, funding and capitalization, and enforcement mechanisms to insure that the common area continues to be adequately and safely maintained and repaired for the life of the common interest development. Resolution No. 2015 -24 Page 3 of 7 32C -22 The proposed common interest development includes sufficient provisions for governance, funding and capitalization, and enforcement mechanisms to insure that the common area continues to be adequately and safely maintained and repaired for the life of the common interest development. The creation of air -space condominium will not negatively affect the property maintenance of the site. The site is currently being maintained under the Brookhollow master association and the CC &R's. Additionally, the creation of a sub - association for the proposed project will facilitate future maintenance between the different property owners. 3. The proposed common interest development includes sufficient provisions for the retention of such common areas for the use of all owners of separate interest therein. The proposed common interest development includes sufficient provisions for the retention of such common areas for the use of all owners of separate interest therein. The proposed commercial condominium project will maintain the existing parking and common areas open to all condominium owners. Additionally the CC &R's will ensure that all parties are granted proper access and parking on -site. 4. The proposed common interest development complies with the goals, policies and objectives of the city's general plan. The proposed common interest development complies with the goals, policies, and objectives of the city's general plan. Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties and encourages increased level of capital investment. The commercial condominium will allow individual ownership and increase capital investment in the City. Policy 2.9 of the Land Use Element supports development that creates a business environment that is safe and attractive. A condition of approval will require the removal of any graffiti that may occur on the site. Policy 5.5 encourages development that is compatible and supportive of surrounding land uses. The Brookhollow Showroom Center is located in a corridor with a mixture of professional and industrial uses and the proposed project will help to maintain compatibility with the surrounding professional and industrial uses. Section 2. In accordance with the California Environmental Quality Act (CEQA), the recommended action is exempt from further review per Section 15301. This Class 1 exemption allows the subdivision of existing commercial or industrial buildings where no physical changes occur. Categorical Exemption Environmental Review No. 2015 -04 will be filed for this project. Resolution No. 2015 -24 Page 4 of 7 32C -23 Section 3. The applicant agrees to indemnify, hold harmless, and defend the City of Santa Ana, its officials, officers, agents, and employees, from any and all liability, claims, actions or proceedings that may be brought arising out of its approval of this project, and any approvals associated with the project, including, without limitation, any environmental review or approval, except to the extent caused by the negligence of the City of Santa Ana. Section 4. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves Tentative Parcel Map No. 2015 -01 (County Map No. 2014 -179) and Special Use Permit No. 2015 -01, as conditioned in Exhibit A, attached hereto and incorporated herein, for the project located at 1540 East Warner Avenue. This decision is based upon the evidence submitted at the abovesaid hearing, which includes, but is not limited to: the Request for Planning Commission Action dated July 13, 2015, and exhibits attached thereto; and, the public testimony, written and oral, all of which are incorporated herein by this reference. ADOPTED this 13th day of July, 2015. AYES: Commissioners: Alderete, Bacerra, Bauer, Gartner, Mill, Nalle, Verino (7) NOES: Commissioners: None (0) ABSENT: Commissioners: None (0) ABSTENTIONS: Commissioners: None (0) James Gartner Chairperson APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa Storck Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, KAREN GERARDO, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2015 -24 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on July 13, 2015. Date: Planning Commission Secretary City of Santa Ana 32C -24 Resolution No, 2015 -24 Page 5 of 7 *14 .0 190 Conditions of Approval for Tentative Parcel Map No. 2015 -01 Tentative Parcel Map No. 2015 -01 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below rip or to exercising the rights conferred by this approval. The applicant must remain in compliance with all conditions listed below throughout the life of the tentative parcel map. Failure to comply with each and every condition may result in the revocation of the tentative parcel map. A. Planning Division Two copies of the recorded final parcel map shall be submitted each to the Planning Division, Building Division and Public Works Agency within 10 days of recordation. 2. The tentative parcel map, final map and all improvements required to be made or installed by the subdivider shall be in accordance with the requirements and design standards and specifications of the City of Santa Ana and the requirements of the State Subdivision Map Act. 3. After project occupancy, landscaping is to be maintained in accordance with the landscape plan approved for the project. This shall include the minimum levels of plant materials shown on the landscape plan and installed at the time of occupancy. 4. The property owner shall be responsible for maintaining the lots free from debris, overgrown vegetation, and graffiti. Graffiti must be removed within 24 hours. 5. All real estate signage must be removed from the site within one year from the date of installation. An extension of time may be granted as determined by the Planning Manager. The final map must be approved and recorded prior to issuance of building permits Development within the area of the map is subject to development and permit fees in effect at the time of permit issuance. The project must be in compliance with the provisions of Site Plan Review (DP No. 2015 -1). The final map and all improvements required to be made or installed by the subdivider must be in accordance with the design standards and specifications of the Santa Ana Municipal Code and the requirements of the State Subdivision Map Act. Resolution No. 2015 -24 Page 6 of 7 32C -25 Conditions of Approval for Special Use Permit No. 2015 -01 Special Use Permit No. 2015 -01 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below rip or to exercising the rights conferred by this special use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the special use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. A. Planning Division All proposed site improvements must conform to the Site Plan Review approval of DP No. 2015 -01 and the staff report exhibits. 2. Prior to submittal of the final map, submit a management plan per Section 34- 184 of the Santa Ana Municipal Code. 3. Prior to submittal of the final map, submit a conversion plan per Section 41- 1804 of the Municipal Code. 4. Prior to approval of Certificate of Occupancy, all on -site improvements shall be made in accordance with the submitted plans. 5. Developer shall provide as part of the Covenants, Conditions and Restrictions (CC &Rs) that the owner of each condominium shall immediately remove any graffiti placed thereon. Any graffiti must be removed within 24 hours. 6. Landscaping shall be maintained in compliance with the submitted plan. Any modifications to this plan shall be submitted to the Planning Division for review and subject to the approval of the Planning Manager. Resolution No. 2015 -24 Page 7 of 7 32C -26 AA=K 0 � CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: ORDINANCE AMENDING SECTION 1 -8 OF THE SANTA ANA MUNICIPAL CODE RELATING TO MUNICIPAL CODE VIOLATIONS AND GENERAL PENALTIES {STRAGIC PLAN NO. 1, 1} -d� CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2 "a Reading ❑ Implementing Resolution ❑ Set Public Hearing For C�Iw�►��IPl9�iC +7 FILE NUMBER Adopt an ordinance amending Section 1 -8 of the Santa Ana Municipal Code relating to violations and general penalties. DISCUSSION Section 1 -8 of the Santa Ana Municipal Code ( "Code ") provides that, unless otherwise specifically stated in the Code, any violation of or failure to comply with any provision of the Code shall be a misdemeanor. Where no specific penalty is provided for under the Code, the misdemeanor violation is punishable by a fine not exceeding one thousand dollars ($1,000.00) or imprisonment for a term not to exceed six (6) months, or by both such fine and imprisonment. The Code currently provides the City Attorney's Office with discretion to prosecute any violation constituting a misdemeanor as an infraction. However, where officers issue criminal citations, the Code does not provide the citing officer with discretion to determine whether citations for such violations should be issued as infractions. The citing officer is often in the better position to determine whether the observed criminal conduct rises to the level of an infraction or a misdemeanor violation. Further, where an officer mistakenly issues a citation as an infraction but the violation constitutes a misdemeanor, or where the City Attorney may desire to file a misdemeanor citation as an infraction based on the nature of the violation, the Police Department Court Liaison staff must incur additional work in preparing and serving the cited person with an amendment before filing the citation with the court. Violations routinely filed as misdemeanors also result in an increased administrative burden for the court in processing these matters. 50A -1 Adapt an Ordinance Amendment Section 1 -8 of the Santa Ana Municipal Code Relating to Municipal Code Violations and General Penalties August 4, 2015 Page 2 The proposed amendment to Seotlon 1 -8 would provide the citing officer with the discretion to issue Infraotion citations for violations of the Code that would otherwise constitute misdemeanors, as the officers may deem appropriate based on the circumstances surrounding the violation, This amendment will also help to alleviate the workload of the Police Department Court Liaison and City Attorney staff in amending misdemeanor charges to Infractions, as well as create efflcienoies in processing and prosecuting these criminal citations In the court system. STRATEGIg PLARALIt3NUI This item supports the City's efforts to achieve Goal #1 - Community Safety, Objective #1, (Modernize the Community Policing Philosophy to improve customer service, crime prevention and traffic / pedestrian /bicycle safety.) FISCAL IMPACT There is no known fiscal impact associated with this action. Sonia R. Canraiho City Attorney City Atto„Lney'a_0f pe Chief of Police Santa Ana Police Department 50A -2 (VI 07- 27 -15) ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY OF SANTA ANA AMENDING CHAPTER 1, SECTION 1 -8 OF THE SANTA ANA MUNICIPAL CODE RELATING TO VIOLATIONS AND GENERAL PENALTIES THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: SECTION 1. The City Council of the City of Santa Ana hereby finds, determines, and declares as follows: A. The City Council is authorized pursuant to section 420 of the City Charter to make any violation of its ordinances a misdemeanor or infraction, which may be prosecuted in the name of the People of the State of California; and 6. Section 1 -8 of the Santa Ana Municipal Code ( "Code ") provides that, unless otherwise specifically stated in the Code, any violation of or failure to comply with any provision of the Code shall be a misdemeanor and, where no specific penalty is provided in the Code, the violation shall be punished by a fine not exceeding one thousand dollars ($1,000.00) or imprisonment for a term not to exceed six (6) months, or by both such fine and imprisonment; and C. Section 1 -8 of the Code provides the City Attorney's Office with discretion to prosecute any violation constituting a misdemeanor as an Infraction. However, where officers issue criminal citations, the Code does not provide the officer with discretion to determine whether such violations should be charged as infractions; and D. The citing officer is often in the better position to determine whether the observed criminal conduct rises to the level of an infraction or a misdemeanor violation; and E. Where an officer mistakenly issues a citation as an infraction but the violation constitutes a misdemeanor, or where the City Attorney may desire to file a misdemeanor citation as an infraction based on the nature of the violation, the Police Department Court Liaison staff must incur additional work in preparing and serving the cited person with an amendment before filing the citation with the court; and F. Violations routinely filed as misdemeanors also result in an increased administrative burden for the court in processing these matters; and Ordinance No. NS -XXX Page 1 of 3 y 1 J G. The proposed amendment to Section 1 -8 would provide the citing officer with the discretion to issue infraction citations for violations of the Code that would otherwise constitute misdemeanors, as the officers may deem appropriate based on the circumstances surrounding the violation; and H. The proposed amendment to Section 1 -8 will help to alleviate the workload of the Police Department Court Liaison and City Attorney staff in amending misdemeanor charges to infractions, as well as create efficiencies in processing and prosecuting these criminal citations in the court system. SECTION 2. The adoption of this ordinance is exempt from the California Environmental Quality Act and a Notice of Exemption will be filed if this ordinance is adopted. SECTION 3. Section 1 -8 of the Santa Ana Municipal Code is hereby amended such that it reads as follows (new language underlined, deleted language in strikeout for tracking purposes only): Sec. 1 -8. - Violations - General penalty; continuing violations; adjudging fines and imprisonment; alternative enforcement. Unless otherwise specifically stated in this Code, it shall be unlawful and a misdemeanor for any person to violate or fail to comply with any provision of this Code and where no specific penalty is provided therefor in this Code, the violation of any provision of this Code shall be punished by a fine not exceeding one thousand dollars ($1,000.00) or imprisonment for a term not exceeding six (6) months or by both such fine and imprisonment. However, any such violation constituting a misdemeanor under this Code may, at his or her the- discretion of the eity-at#erney, be prosecuted by the city attorney and cited by the issuing officer as an infraction. Each day any violation of any provision of this Code shall continue shall constitute a separate offense. As an alternative enforcement method, violations of this Code may be addressed through the use of an administrative citation as set forth in sections 1 -21.1 through 1- 21.9. Use of sections 1 -21.1 through 1 -21.9 shall not prevent the use of other methods of enforcement or abatement as provided by this Code. Such methods include but are not limited to criminal and civil actions. SECTION 4. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. Ordinance No. NS -XXX Page 2of3 y (l 1 I (til 07- 27.15) ADOPTED this day of 2015. AYES: NOES: ABSTAIN: NOT PRESENT: Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By:(- g U (/ TUr'esa L. Judd Assistant City Attorney Councilmembers Councilmembers Councilmembers Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana y 1 Ordinance No. NS -XXX Page 3 of 3 41A REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT FEE REDUCTION AND PRIVATE PARTY NOMINATION TO SANTA ANA REGISTER OF HISTORICAL PROPERTIES FEE WAIVER {STRATEGIC PLAN CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on I" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution extending the reduction of Historic Property Preservation Agreement fees and waiver of fees for private party nominations of properties to the Santa Ana Register of Historical Properties for an additional two years. 101&l[97 :3 Lai 3x-10111 Cis3 *Yd63JiIJ]I&'Mmtyme d1*11I On April 2, 2015, the Historic Resources Commission recommended by a vote of 8:0 that the City Council authorize the reduction of fees for Historic Property Preservation Agreement (also known as Mills Act Agreement) by 50 percent and waive the fee for private party nominations of properties to the Santa Ana Register of Historical Properties for an additional two years. In 2009, the City Council adopted a 100 percent full cost recovery policy for fees. This resulted in a fee of almost $9,000 to designate a property to the city's historical register and to obtain a Mills Act Agreement to allow a property tax incentive. In September 2014, the City Council adopted Resolution No. 2014 -050 to temporarily reduce fees for a Historic Property Preservation Agreement by 50 percent, or $2,011.23, and waived the $5,015.05 fee for private party nominations of properties to the Santa Ana Register of Historical Properties. The fee amendments were approved for a period of one year and were intended to encourage and promote historic preservation. Since the beginning of the historic preservation program, the City has processed an average of ten applications per year. However, with the fee reduction, over 40 applications were processed in 2014. 55A -1 Mills Act Fee Waiver Extension August 4, 2015 Page 2 Language within Resolution No. 2014 -50 provides the City Council with the option to extend the fee waiver for up to two years. Due to the success and increased participation in the Historic Preservation Program, staff is recommending that the City Council affirm the recommendation of the Historic Resources Commission and extend the fee waiver program for two additional years. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement & Sustainability, Objective No. 2 (expand opportunities for conservation and environmental sustainability) and Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). FISCAL IMPACT Based upon an average of thirteen Historic Property Preservation Agreements approved per year over the past 15 years the program has been in place, the contracts will reduce the property tax revenue to the City by an estimated $4,500 to $23,400 annually over the next ten years. ..- ,,..,� j ^."snE' X8^'4 ✓ °.^g,'�..... Hassan HagV6ni, AfCP Executive Director Planning & Building Agency HS:rb hslhistoric info1072315 HRMFeewaiver.cc APPROVED AS TO FUNDS AND ACCOUNTS: �4 \C�C�K•�,�Si s7 ��1�. Francisco Gutierrez Executive Director Finance & Management Services Agency 55A -2 LS 7.15.15 RESOLUTION N0, 2015- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE EXTENSION OF A WAIVER OF THE APPLICATION FEE FOR THE PRIVATE PARTY NOMINATIONS OF PROPERTIES TO THE SANTA ANA REGISTER OF HISTORICAL PROPERTIES AND MODIFICATION OF MILLS ACT AGREEMENT FEES 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. In March 2009, the City Council adopted a 100% full recovery policy for fees. This resulted in a fee of almost $9,000 to designate a property to the City's historical register and to obtain a Mills Act Agreement to allow a property tax incentive. B. In September of 2014, the City Council adopted Resolution No. 2014 -50 to temporarily reduce fees for a Historic Property Preservation Agreement by 50 %, or $2,011.23, and waived the $5,015.05 fee for private party nominations of properties to the Santa Ana Register of Historical Properties. The fee amendments were approved for a period of one (1) year and were intended to encourage and promote historic preservation. Since the beginning of the historic preservation program, the City has processed an average of ten (10) applications per year, However, with the fee reduction, over forty (40) applications were processed in 2014. C. Language within Resolution No. 2014 -50 provides the City Council with the option to extend the fee waiver for up to two (2) additional years. Due to the success and increased participation in the Historic Preservation Program, staff is recommending that the City Council affirm the recommendation of the Historic Resources Commission and extend the fee waiver program for two (2) additional years. Section 2. The City Council hereby extends the waiver of the full amount of the new application fee for the private party nominations of properties to the Santa Ana Register of Historical Properties for the additional two -year period commencing upon the date of adoption of this Resolution. Additionally, the City Council hereby extends the Resolution No, 2015 -XXX Page 1 of 2 55A -3 reduction of the fee to enter into a Mills Act Agreement by 50% for an additional two (2) year period commencing upon the date of adoption of this Resolution. Section 3. This resolution shall take effect immediately upon its adoption by the City Council and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of 2015. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN NOT PRESENT: Councilmembers Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY 1, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. 2015- to be the original resolution adopted by the City Council of the City of Santa Ana on , 2015, and that said resolution was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 55A -4 Resolution No. 2015 -XXX Page 2 of 2 REQUEST FOR r COUNCIL • CITY w.a�. COUNCIL DATE: AUGUST 4, 2075 TITLE: RESOLUTIONS - ADOPT A GOVERNMENT TORT CLAIMS PROCEDURE AND AUTHORIZE CITY STAFF TO SETTLE LIABILITY CLAIMS AND PENDING ACTIONS THAT DO NOT EXCEED $25,000 ?STRATEGIC PLAN NO.4} {STRATEGIC PLAN NO. 4) CITY MANAGER CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on I' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO I�I��rtl•1�IY�C7 Adopt a Resolution for an updated Government Tort Claims Procedure and a Resolution authorizing City staff to settle claims or pending lawsuits that do not exceed $25,000 as allowed by California Government Code Sections 935.4, 949, including Workers' Compensation claims. DISCUSSION The City Attorney's office recommends that the City Council adopt an updated Resolution that concisely and more fully addresses the Government Tort Claims Procedure set forth in the Government Code. Additionally, the other Resolution provides for an increase in the settlement authority of certain City staff within specific parameters that will allow the City Council to focus on other important matters of City business instead of the compromise or settlement of claims and pending lawsuits that do not exceed $25,000. These parameters will include the settling of workers' compensation claims submitted to the City. California Government Code Section 935.4 allows this Council by resolution to authorize an employee of the City to allow, compromise or settle a claim against the City which would otherwise be filled and borne by the City Council. Likewise, California Government Code section 949 allows this Council to delegate its authority to its attorney or employee to compromise any pending action. A resolution conforming to the parameters below to settle claims and pending lawsuits will increase efficiencies and will positively affect the City Council, the Risk Management department, Workers' Compensation Department, the City's Attorney's Office and the City Manager's office: 55B -1 Resolution Re Settlement Authority August 4, 2015 Page 2 Amount of Claim or Required Authority Settlement Amount of a Pending Lawsuit Not to exceed $5,000 Executive Director of Personnel (or his /her designee) $5,001 - $10,000 Executive Director of Personnel City Attorney (or his /her designee) $10,001 - $25,000 Executive Director of Personnel City Attorney City Manager (or his /her designee) The above parameters conflict with Resolution 81 -203, paragraphs 3 and 4 only, and Resolution 89 -093 paragraph 1 only, and will necessitate the repeal of those Resolutions. The proposed Resolutions will provide consistency and guidance for the City. STRATEGIC PLAN ALIGNMENT Approval of these items support the City's efforts to meet Goal No. 4. Government Financial Stability. These actions will create several efficiencies in investigating, settling and resolving claims and lawsuits, reducing the number of agenda items, avoiding the need to prepare Requests for Council Action, and decrease time spent in closed session on such matter g --z Edward Raya Sorflwk. Carva c Executive Director of Personnel City Attorney City of Santa An City of Santa Ana *Vrnisco G ti z Executive Director Finance & Management Services Agency City of Santa Ana Exhibits: 1. Resolution Adopting a Government Tort Claims Procedure 2. Resolution Authorizing City Staff to Resolve Claims and Pending Actions that Do Not Exceed Twenty - Five Thousand Dollars ($25,000) sms 7/27/15 55B -2 SMS — 07/29/15 RESOLUTION NO. 2015 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING A GOVERNMENT TORT CLAIMS PROCEDURE WHEREAS, the City of Santa Ana is a charter city and municipal corporation organized under the laws of state of California; WHEREAS, the California Tort Claims Act (commencing with Section 900) of the California Government Code governs the manner in which a local public entity must handle claims for money or damages filed against it; WHEREAS, the City Council for the City of Santa Ana, desires that the Government Tort Claims Procedure set forth in the California Tort Claims Act be the City's Tort Claims Policy and Procedure; WHEREAS, the City Council for the City of Santa Ana desires that the City's Tort Claims Policy and Procedure, as set forth in this Resolution, be applicable to suits for money or damages maintained against the City by the State or by a state department or agency or by another local public agency or by a judicial branch entity; and WHEREAS, Government Code Section 935.4 provides that the City Council may authorize an employee of the City of Santa Ana to perform such claims administration functions as are prescribed by resolution. NOW, THEREFORE THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES HEREBY FIND, DETERMINE, ORDER AND RESOLVE AS FOLLOWS: Section 1. Government Tort Claims Act Followed by the City. The City follows the Tort Claims Act, in that all claims for money or damages against the City are governed by Part 3 (commencing with Section 900) except as provided therein, or by other statutes or regulations expressly applicable thereto. Section 2. Claims by the State or by a State Department or Agency or by Another Local Public Agency or by a Judicial Branch Entity Against City Shall be Governed by California Tort Claims Act Procedures. All claims by the State or by a state department or agency or by another local public entity or by a judicial branch entity against the City for money or damages, which are excepted from the claims presentation requirement of the Tort Claims Act by Section 905(i) from Chapter 1 (commencing with Section 900) and Chapter 2 (commencing with Section 910) of the Government Code and which are not governed by any other statutes or regulations expressly relating hereto, are hereby not excepted and shall be governed by the Tort Claims Act procedures followed by the City. Resolution No. 2015 -XXX 55B-3 Page 1 of 3 Section 3. The City Attorney of the City of Santa Ana, or his /her designee; is hereby authorized pursuant to Government Code Section 935.4, to perform the following claims functions provided in Government Code Section 900 et seg , including, but not limited to: a . Provide claim forms, pursuant to Government Code Section 910.4; b . Give written notice of insufficiency of claims, pursuant to Government Code Section 910.8; c . Rule on applications for leave to present late claims, pursuant to Government Code Sections 911.4 through 911.8; d. Agree to extend the time for action on a pending claim, pursuant to Government Code Section 912.4; e . Act on claims, pursuant to Government Code Sections 912.6 and 913; f . Re- examine previously rejected claims for the purpose of settlement, pursuant to Government Code Section 913,2; and g . Process claims presented under the Charter of the City of Santa Ana; or under any ordinance or resolution of the City Council. Section 4. The Clerk of the Council shall forward a copy of all claims to the City Attorney's designee for purposes of addressing and investigating claims submitted to the City. ADOPTED this __ day of 2015 APPROVED AS TO FORM: Sonia R. Carvalho arzmann City Attorney Miguel A. Pulido� Mayor Resolution No, 2015 -XXX 55B -4 Page 2 of 3 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2015 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana Resolution No. 2015 -XXX 55B -5 Page 3 of 3 55B -6 SMS — 07/29115 RESOLUTION NO. 2015 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING CITY STAFF TO SETTLE CLAIMS OR PENDING ACTIONS AGAINST THE CITY THAT DO NOT EXCEED TWENTY -FIVE THOUSAND DOLLARS ($25,000), INCLUDING WORKERS' COMPENSATION CLAIMS AND REPEALING RESOLUTION 81 -203 AND RESOLUTION 89 -093. Whereas, California Government Code Section 900 et seq. establishes general provisions regarding the processing of claims filed against cities, and authorizes cities to adopt local procedures not in conflict with state law; Whereas, California Government Code Section 935.4 allows this Council by resolution to authorize an employee of the City to allow, compromise or settle a claim against the City which would otherwise be filled and borne by the City Council; Whereas, California Government Code section 949 allows this Council to delegate its authority to its attorney or employee to compromise any pending action; Whereas, the City of Santa Ana is permissibly self- insured for Workers' Compensation pursuant to the provisions of Sections 3700 et sue. of the California Labor Code; Whereas, consideration by the City Council of every claim or action presented can occupy an inordinate amount of time, preventing the City Council from considering other important matters of City business; and Whereas, many of the claims presented to the City are for sums under $25,000. NOW, THEREFORE THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES HEREBY FIND, DETERMINE, ORDER AND RESOLVE AS FOLLOWS: Section 1. The Executive Director of Personnel, or his /her designee, is authorized to allow, compromise or settle claims against the City that do not exceed five thousand dollars ($5,000) with consultation with the City Attorney; Section 2. The Executive Director of Personnel, or his /her designee, and the City Attorney are authorized to allow, compromise or settle claims against the City that exceed five thousand dollars ($5,000), but do not exceed ten thousand dollars ($10,000). Resolution No. 2015 -XXX 55B-7 Pagel oP 3 Section 3. The Executive Director of Personnel, or his /her designee, the City Attorney, and the City Manager are authorized to allow, compromise or settle claims against the City that exceed ten thousand dollars ($10,000), but do not exceed twenty - five thousand dollars ($25,000). Section 4. The Executive Director of Personnel, or his /her designee, in consultation with the City Attorney, is authorized to compromise or settle pending actions, i.e., lawsuits, against the City that do not exceed five thousand dollars ($5,000). Section 5. The Executive Director of Personnel, or his /her designee, and the City Attorney are authorized to compromise or settle pending actions against the City that exceed five thousand dollars ($5,000), but do not exceed ten thousand dollars ($10,000). Section 6. The Executive Director of Personnel, or his /her designee, the City Attorney, and the City Manager are authorized to compromise or settle pending actions against the City that exceed ten thousand dollars ($10,000), but do not exceed twenty - five thousand dollars ($25,000). Section 7. This Resolution specifically allows the Executive Director of Personnel, or his /her designee, to compromise or settle workers' compensation claims within the parameters established above for claims against the City. Section 8. Resolution No. 81 -203 is hereby repealed. Section 9. Resolution No. 89 -093 is hereby repealed. Section 9. 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 , 2015 APPROVED AS TO FORM: Migue Mayor 55B -8 Resolutlon No. 2015 -XXX Page 2 of 3 Sonia R. Carvalho City Attorne I/ N By: Sandra M wart ann Senior A aistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers _ CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2015 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana Resolution No, 2015 -XXX 55B-9 Page 3 of 3 55B -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED n RESOLUTION TO ESTABLISH A CITY n COUNCIL SPECIAL EVENT SPONSORSHIP n n POLICY AND GUIDELINES FOR DISBURSEMENT OF DISCRETIONARY FUNDS (STRATEGIC PLAN NO. 5, 4) ri?wf.2 bs- CITY MANAGER RECOMMENDED ACTION As Recommended As Amended Ordinance on 18' Reading Ordinance on 2nd Reading Implementing Resolution Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution to establish a City Council special event and program enhancement sponsorship policy and guidelines for disbursement of discretionary funds. DISCUSSION At the June 2, 2015 meeting, City Council directed staff to amend appropriate ordinances, develop a resolution (Exhibit 1) and implement a policy (Exhibit 2) that supports an annual funding of $10,000 to each Councilmember to support special events and programs produced by neighborhood associations and other approved nonprofit entities. Additionally, at the July 7, 2015 meeting, City Council approved the first reading of the ordinance amending Santa Ana Municipal Code Chapter 10 of the Special Event reimbursement and sponsorship section (NS- 2879). Contingent upon the adoption of the second reading of the ordinance amendment, placed on the August 4, 2015 City Council agenda, this resolution and policy outline the eligibility criteria for neighborhood associations and eligible nonprofits necessary for consideration of City Council sponsorship. Approval of this item would allow each Councilmember to appropriate up to $10,000 per fiscal year to support eligible organizations. However, neighborhood associations that are not eligible will have the ability to use this funding allocation to use in -kind funding for city services, such as staff overtime, city fees, etc. Eligible applicants may request sponsorship donation by submitting a written proposal (Exhibit 3) to the City Council detailing the event/project proposal, level of funding being requested, the community benefit from this proposal and the organization's information. 55C -1 Council Special Events Sponsorship August 4, 2015 Page 2 Councilmember recommendations are then proposed to the entire Council for approval of the Donation Agreement (Exhibit 4). STRATEGIC PLAN ALIGNMENT The activities covered by this report support the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). FISCAL IMPACT Funds in the amount of $70,000 to support the City Council Sponsorship Policy are available in the FY 2015/16 Budget, Neighborhood Initiatives Program Miscellaneous Operating Expenses account (no. 01118820 - 63001). Kelly Reegefe'" LJ gk� Executive erector Community Development Agency APPROVED AS TO FUNDS AND ACCOUNTS: Fra cisco Gutierrez 5P' Executive Director Finance and Management Services Agency Exhibits: 1. Resolution 2. City Council Sponsorship Policy 3. Sample Donation Request Form 4. Sample Donation Agreement 55C -2 RESOLUTION NO. 2015 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING A CITY SPECIAL EVENT SPONSORSHIP POLICY AND GUIDELINES FOR DISBURSEMENT OF DISCRETIONARY FUNDS WHEREAS, when the City has funds available for allocation to qualified nonprofit organizations or leaders of recognized City neighborhood associations that actively and effectively enhance the quality of life for Santa Ana residents and businesses; and WHEREAS, the purpose of this policy is to establish a procedure for community groups to request an appropriation of available funds, when the City Council has allocated funding for this purpose; and WHEREAS, The City Council will consider requests for financial assistance from eligible nonprofit organizations that are tax - exempt under Section 501 (c) 3 of the Internal Revenue Code or leaders of recognized City neighborhood associations; and WHEREAS, due to limited resources, not all requests may be funded, in whole or in part. It is the City Council's intention to evaluate each request and, based upon available funds and the merits of each request, provide funding to those organizations that address City priorities as determined by the City Council; and WHEREAS, City funding is intended to fund special events and program enhancements; and WHEREAS, the City Council will determine the level of program funding available during the annual budget process; and WHEREAS, each City Councilmember will nominate up to $10,000 in grant awards or reimbursement funding under Section 10 -22.13 of the Santa Ana Municipal Code to qualifying nonprofit(s) and neighborhood associations for City Council approval throughout the year; and WHEREAS, during an election year, each Councilmember may spend no more than half of the allocated amount prior to December 3161; and WHEREAS, disbursement or use of funds to eligible non - profit organizations and neighborhood associations is subject to the approval of the City Council at its sole and absolute discretion; BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: EXHIBIT 1 Resolution No. 2015 -XXX 55C -3 Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: 1. The City Council adopts the City Special Event and Co- Sponsorship Policy attached hereto as Exhibit 2. 2. Neighborhood Associations and /or non - profit entities submit a Donations Request attached hereto as Exhibit 3. 3. Non - Profit entities that are awarded direct financial assistance shall execute a donation agreement in substantially the form attached as Exhibit 4, prior to receiving the disbursement of funds. Section 2. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of , 2015. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney AYES: Councilmembers: NOES: Councilmembers: ABSTAIN NOT PRESENT: Councilmembers: Councilmembers: Miguel A. Pulido Mayor CERTIFICATE OF ATTESTATION AND ORIGINALITY Resolution No. 2015 -XXX 55C -4 I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. 2615 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Maria D. Huizar, Clerk of the Council EXHIBIT 1 Resolution No. 2015 -XXX 55C -5 55C -6 City Council Special Event Sponsorship Policy Adopted on August 4, 2015 Purpose This policy governs the approval of sponsorships of the City of Santa Ana and city programs and services by external entities. Pursuant to this policy, the City will consider entering into sponsorship agreements that further the City's mission by providing monetary or in -kind support for City programs or services. However, the City recognizes that the public trust and perception of its integrity and impartiality may be damaged by sponsorships that: (a) establish, or are perceived as establishing an inappropriate association; (b) or are perceived to be politically oriented; (c) are offensive to segments of its citizenry; or (d) are aesthetically displeasing. When the City loses public trust and public perception of integrity and impartiality, its ability to govern effectively in the interest of its citizens is impaired. Therefore, the City will only consider sponsorships in limited circumstances as a means to generate funds or in -kind support for improving or expanding City programs and services. Eliaibility Criteria In considering whether to accept a proposal for consideration of co- sponsorship, the City shall consider the following non - exclusive criteria: • Whether the expenditure is normal and customary • The relationship and importance of the event to the City's mission • Whether and the extent to which the event furthers one or more of the City Council's adopted focus areas • Whether and the extent to which the event will create financial or administrative burdens on the City, or require additional personnel • The extent and prominence of communications to the public regarding the event • Whether the sponsorship will establish, or will be perceived as establishing an inappropriate association • Whether the event is, or will be perceived to be politically oriented • Whether the event is, or will be perceived to be religiously oriented • Whether the event is, or will be perceived to be offensive to segments of the City's citizenry • The aesthetic characteristics of communications to the public regarding the event • Whether the person(s) or organization(s) affiliated with the event manufactures products, takes positions, or otherwise engages in activity that is inconsistent with local, State, or Federal law, or City policies, City mission, or Council's focus areas • Other factors that might undermine public confidence in the City's impartiality or interfere with the efficient delivery of City services or operations. Consistent with the foregoing criteria, the following are ineligible for co- sponsorship: • Entities that promote the sale or consumption of tobacco products • Entities that promote the sale or consumption of illegal drugs • Entities that promote gambling • Entities that promote the sale or consumption of alcoholic beverages, or that primarily sell alcoholic beverages such as bars, but not including restaurants • Sexually oriented businesses as defined in Chapter 41, Article XVII of the City Code, and entities that promote the sale or dissemination of erotic materials or services • Political parties or political advocacy groups • Inappropriate expenditures such as sporting events, alcohol or jewelry EXHIBIT 2 Page I 55C -7 Neighborhood Associations City- recognized neighborhood associations would be eligible for co- sponsorship in the form of a direct payment, or as in -kind funding that would be used for city - provided services, in order to avoid placing a tax burden on one individual or neighborhood leader in associations where an "entity" has not been recognized by the Internal Revenue Code. The respective neighborhood association may use the credit for the following purposes, and have the flexibility to apply the payment entirely to one event, or proportionally based on the number of expected events. The credit must be used within the same fiscal year. City Council co- sponsored event payment can be applied to the following: • The cost of the special events permit fee. • Facilities and equipment owned by the City. • City staff time, if required, including Police Department staff services. • Liability insurance fee. • If street barricades are required, and city staff can support these efforts, standard rental fees and staff time charges associated with street barricades. Nonprofit Organizations Qualifying nonprofit organizations must be incorporated as a nonprofit charitable organization that is tax - exempt under Section 501(c) 3 of the Internal Revenue Code. Donation requests would need to clearly outline how the funds address City priorities and determined by the City Council. Eligible applicants may request grant funds by submitting a written proposal to the City Council detailing the: a. Project proposal b. Level of funding requested c. Community need d. Organization's Background EXHIBIT 2 55C -8 Page 2 (Name: Address: (City, State Zip: '.... Email: City of Santa Ana Donation Request # r Reference this # on all ll related DPVs Donation Request -- !Tax- Exempt Status: Is your organizationanon -prof[ or public tax - exempt organization as defined under Section 501(c)(3) of the Internal Revenue !Code? Select One: Yes No If No, you will only qualify fora credit for City- related costs for your request. i.e. permit fees, staff time, rental rates for facilities or equipment. If Yes, _.... Requested: Description of Event/Purpose: i (Location: i !Event Date: Time: iDate Donation Needed: Community Benefit pplicant ignature Date', Council Meeting Date: ity Manager Signature: EXHIBIT 3 Not Approved 55C -10 CITY OF SANTA ANA DONATION AGREEMENT Page 1 of 4 CITY OF SANTA ANA DONATION AGREEMENT WITH [INSERT NAME] 1. PARTIES AND DATE This Donation Agreement ( "Agreement") is entered into on [INSERT DATE] by and between the City of Santa Ana, a municipal corporation ( "City ") and [INSERT NAME], a California [INSERT TYPE OF LEGAL ENTITY] ( "Recipient "). City and Recipient are sometimes individually referred to as "Party" and collectively as "Parties" in this Agreement. 2. RECITALS 2.1 Community Benefit. The City wishes to provide Recipient with funding to assist Recipient in [INSERT DESCRIPTION OF COMMUNITY BENEFIT] ( "Community Benefit"). The Parties wish to enter into this Agreement to establish the terms and conditions under which the City will provide funding. 2.2 Public Purpose. The City believes there is a public purpose in supporting the Community Benefit because it will [INSERT DESCRIPTION OF PUBLIC PURPOSE TO BE GAINED FROM THE COMMUNITY BENEFIT]. The foregoing is a general description of the public purpose, and is not necessarily the only public purpose to be gained from the Community Benefit. 3. TERMS AND CONDITIONS 3.1 Use of Funds. The City has chosen to provide Recipient with [INSERT WRITTEN DOLLAR AMOUNT] ($[INSERT NUMERICAL DOLLAR AMOUNT]) because the City has determined that there is a public purpose to be served in supporting the Community Benefit. In executing this Agreement and receiving the funds, Recipient agrees to use the funds only for the purpose described and subject to the terms and conditions provided for in this Agreement. Should Recipient fail to use the funds for such purpose or otherwise comply fully with the terns of this Agreement, City shall have the right to terminate this Agreement and demand the return of the funds pursuant to Section 3.2 below. 3.2 Term: Termination of Agreement. This Agreement shall take effect on the date first above written and remain in effect unless and until terminated by the City. The City has the right to terminate this Agreement upon one day's notice, with or without cause. Should the City terminate this Agreement, it shall also have the right to demand the immediate return of all funds provided to Recipient pursuant to this Agreement, as well as interest at the rate of ten percent (10 %) per annum. Notwithstanding the foregoing, the indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.3 Waivers Insurance or Other Obligations. For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of injury, EXHIBIT 4 55C -11 CITY OF SANTA ANA DONATION AGREEMENT Page 2 of 4 the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver /release protections. This right shall be on -going and may be implemented by the City at any time, and all insurance and waiver /release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient' own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient' obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modification. This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Parry warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. EXHIBIT 4 55C -12 CITY OF SANTA ANA DONATION AGREEMENT Page 3 of 4 CITY OF SANTA ANA By: City Manager Attest: By: Clerk of the Council Approved as to Form: By: City Attorney EXHIBIT 4 55C -13 CITY OF SANTA ANA DONATION AGREEMENT Page 4 of 4 [INSERT NAME OF RECIPIENT] a [INSERT TYPE OF LEGAL ENTITY] By: Signature Name Attest: By: Title Signature Name Title Approved as to Form: By: City Attorney EXHIBIT 4 55C -14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2016 TITLE; RESOLUTION AUTHORIZING EXECUTION OF PROGRAM SUPPLEMENT AGREEMENTS REQUIRED BY ADMINISTERING AGENCY - STATE MASTER AGREEMENT NO, 002895 (NON-GENERAL FUND) (STRATEGIC PLAN NO. 6, 1G) CITY MANAGER a r r • CLERK OF COUNCIL USE ONLY: APPROVED 0 As Recommended Q As Amended 0 Ordinance on 1B' Reading El Ordinance on 2ntl Reading El implementing Resolution F1 set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution authorizing the Executive Director of the Public Works Agency to execute the program supplement agreements required by Administering Agency -State Master Agreement No. 002895 with the State of California Department of Transportation to reimburse the City for State- funded projects, �U The City has an existing Ccuncii- approved Administering Agency -State Master Agreement No. 002895 with the California Department of Transportation (Caltrans) that was revised on January 19, 2010 (Master Agreement). This Master Agreement allows the City to receive reimbursement on a number of State - funded projects. However; a resolution is required to authorize the Executive Director of Public Works Agency to execute all program supplements which fall under this Master Agreement. Program supplements define the scope of work and reimbursement limits for each State- funded project and must be separately executed in order to receive the funds. Council action will still be required to approve the City's Capital Improvement Program projects and any subsequent Master Agreement revisions. ENVIRONMENTAL IMPACT There is no environmental Impact associated with this action. STRATEGIC PLAN LI� GNMENT Approval of this item supports the City's efforts to meet goal #6 Community Facilities Infrastructure, Objective f#1 (establish and maintain a Community Investment Plan for all City 55D -1 Resolution Authorizing Execution of Program Supplement Agreements August 4, 2015 Page 2 assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and referred Maintenance Plans), FISCAL IMPACT There is no fiscal impact associated with this action. Fred Mousavipour Executive Director Public Works Agency FM /EWG /ZK Exhibits: 1. Resolution 55D -2 &24115 LS RESOLUTION NO. 2015- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE EXECUTIVE DIRECTOR OF THE PUBLIC WORKS AGENCY TO EXECUTE ALL PROGRAM SUPPLEMENT AGREEMENTS REQUIRED BY ADMINISTERING AGENCY -STATE MASTER AGREEMENT FOR STATE FUNDED PROJECTS BETWEEN THE CITY OF SANTA ANA AND THE STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION 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 Legislature of the State of California has enacted legislation by which certain State funds are made available for use on local transportation related projects of public entities qualified to act as recipients of these State funds. B. The City of Santa Ana ( "City') has an existing Administering Agency -State Master Agreement No. 002895-( "Master Agreement ") with the California Department of Transportation ( "CalTrans ") that was revised on January 19, 2010. This Agreement provides for the City to receive reimbursement for such State funded projects. C. During the term of the Master Agreement, program supplement agreements are required in order for the City to receive and administer the reimbursement of funding for State funded projects. D. The execution of this resolution authorizing the Executive Director of the Public Works Agency to execute all program supplements is necessary in order for the City to receive and administer the reimbursement of funding for State funded projects. Section 2: The City Council hereby authorizes the Executive Director of the Public Works Agency to execute all program supplements agreements required by the Administering Agency -State Agreement for State Funded Projects. Resolution No. 2015- 55D -3 6/14115 LS Section 3: This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this _day of August, 2015 Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa Storck Assistant City Attorney AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers: CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2015 - to be the original resolution adopted by the City Council of the City of Santa Ana on August _, 2015. Date: Clerk of the Council City of Santa Ana 55D -4 Resolution No. 2015- • • CITY COUNCIL MEETING DATE: AUGUST 4, 2016 TITLE: RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: _-Wc• ❑ As Recommended ❑ As Amended ❑ Ordinance on 1if Reading ❑ Ordinance on god Reading ❑ Implementing Resolution ❑ Sot Public Hearing For CONTINUED TO FILE NUMBER 1. Adopt a resolution consenting to the inclusion of properties within the City's jurisdiction in the California Home Finance Authority Program to finance renewable energy generation, energy and water efficiency Improvements, and electric vehicle charging infrastructure; and 2. Adopt a resolution consenting to the inclusion of properties within the City's jurisdiction in the California Home Finance Authority Community Facilities District No. 2014 -1 (Clean Energy) to finance renewable energy improvements, energy efficiency and water conservation improvements, and electric vehicle charging infrastructure; and 3, Approve Associate Membership in the California Home Finance Joint Exercise of Powers of Authority and authorize the appropriate City officials to execute any necessary documents to effectuate such membership to assist property owners within the incorporated area of the City in financing the cost of Installing authorized improvements. This action will establish the City's association with the California Home Finance Authority (CHF) and Ygrene Energy Fund CA LLC (Ygrene) and make the Ygrene Works for California Property Assessed Clean Energy (PACE) financing available to property owners in Santa Ana, The Ygrene Works financing provides a mechanism by which all eligible property owners, both residential and nonresidential, can install renewable energy systems and energy- and water - efficient improvements and repay the financing through a voluntary annual amount added to their property tax bill. There are no hard costs and no dedicated staff resources required for the City to participate in this program. The California legislature has established two separate PACE laws. Assembly Bills 811 (signed into law on July 21, 2008) and 474 (effective January 1, 2010) amended Chapter 29 of Part 3 of Division 7 of the California Streets 6 Highways Code, Senate Bill 555 (signed into law on October 5, 2011) amended the Mello -Roos Community Facilities Act set forth in sections 53311 through 53388.3 of the California Government Code. Both AS 811 and BE 555 authorize a legislative body to designate an area within which public entities and property owners may enter into voluntary assessments and /or special tax levies to finance the installation of certain renewable energy sources, energy efficiency, and /or water efficiency 55E -1 Resolutions — Consenting to the Inclusion of Santa Ana Properties in the Ygrene Works Financing Programs August 4, 2015 Page 2 improvements that are permanently fixed to real property. The financing for these improvements has come to be known as PACE — Property Assessed Clean Energy. The PACE financing program provides property owners in participating cities and counties with an option to finance approved energy- and water - saving improvements on their property. If a property owner chooses to participate, the installed improvements are financed by the PACE program administrator. The loan is secured by the property itself, with no obligation to the local government or other participating Jurisdictions. Property owners who wish to participate in this voluntary program agree to repay the amount borrowed through an additional annual increment collected via their property tax bills. In most cases, when the property is sold, the financed amount transitions to the new owner; however, applicants are advised to consult their mortgage company for confirmation. PACE financing is available for eligible improvements on both residential and nonresidential properties. In September 2013, City Council adopted a resolution allowing Santa Ana residential property owners to participate in the California Home Energy Renovation Opportunity (California HERO) Program, one of several AS 811 PACE financing providers. To facilitate implementation of the program within the Santa Ana jurisdiction, the Council action included approval of a Joint Powers Authority (JPA) membership in the Western Riverside Council of Governments, In January 2015, City Council approved joint powers agreements with the CalifornisFiRST Program (offered by the California Statewide Communities Development Authority) and the Figtree Program (offered by the California Enterprise Development Authority), Similar to approving the California HERO program, Council action included approval of JPA associate memberships, These agreements have provided Santa Ana residential property owners with additional AB 811 PACE financing options and expanded the opportunity to commercial properties. in late January, shortly after the City Council authorized participation in the CaliforniaFIRST and Figtree programs, CHF and Ygrene announced the availability of Ygrene Works PACE financing through both AB 811 and SB 555 legislative authority, the only PACE program to do so. The advantages of the SB 555 option include additional consumer protections, longer financing terms (up to 30 years with Ygrene), and opportunities for tax advantages not available with AB 811 PACE programs. Approving the Ygrene Works PACE programs through adoption of these AB 811 and SB 555 resolutions, and joining the CHF Joint Powers Authority, will expand the available options for all Santa Ana property owners — residential, commercial (including multi - family), and, for the first time, agricultural, By offering low cost financing at the lowest rates and fees available, these programs will allow construction of eligible projects to proceed and, in the process, stimulate building activity and the overall local economy, reduce peak energy demand, reduce water consumption, Increase property values, and generate savings on utility bills for Santa Ana property owners, S18/A1EGIC eLAN ALIGNMINT Approval of this Item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement 5 Sustainablilty, Objective #2 (expand opportunities for conservation and environmental sustalnability). Approval of this item also supports the City's efforts to meet Goal #3 Economic Development, Objective #5 (leverage private Investment that results In tax base expansion and job creation citywide). 55E -2 Resolutions — Consenting to the Inclusion of Santa Ana Properties in the Ygrene Works Financing Programs August 4, 2015 Page 3 ISCAL IMPACT There is no fiscal Impact associated with the recommended actions. There is no cost to the City to become an Associate Member of the CHF JPA or by authorizing the Ygrene Works PACE programs described, The City will have no administrative responsibilities, no marketing obligations, and no financial obligations associated with making these programs avallable, Public Works Agency FM /MM /CK Exhibits: 1, Resolution — CHF Community Facilities District 2. Resolution — CHF PACE Program 3. California Home Finance Authority (CHF) Joint Powers Agreement 55E -3 55E -4 RESOLUTION NO. 2015 -xxx RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CONSENTING TO INCLUSION OF PROPERTIES WITHIN THE CITY'S JURISDICTION IN THE CALIFORNIA HOME FINANCE AUTHORITY COMMUNITY FACILITIES DISTRICT NO. 2014 -1 (CLEAN ENERGY) TO FINANCE RENEWABLE ENERGY IMPROVEMENTS, ENERGY EFFICIENCY AND WATER CONSERVATION IMPROVEMENTS AND ELECTRIC VEHICLE CHARGING INFRASTRUCTURE AND APPROVING ASSOCIATE MEMBERSHIP IN THE JOINT EXERCISE OF POWERS AUTHORITY RELATED THERETO WHEREAS, the California Home Finance Authority, a California joint powers authority, (the "Authority') has established the Community Facilities District No. 2014 - 1(Clean Energy) in accordance with the Mello -Roos Community Facilities Act, set forth in sections 53311 through 53368.3 of the California Government Code (the "Act ") and particularly in accordance with sections 53313.5(1) and 53328.1(a) (the "District "); and WHEREAS, the purpose of the District is to finance or refinance (including the payment of interest) the acquisition, installation, and improvement of energy efficiency, water conservation, renewable energy and electric vehicle charging infrastructure improvements permanently affixed to private or publicly -owned real property (the "Authorized Improvements "); and WHEREAS, the Authority is in the process of amending the Authority Joint Powers Agreement (the "Authority JPA ") to formally change its name to the Golden State Finance Authority; and WHEREAS, the City of Santa Ana is committed to development of renewable energy generation and energy efficiency improvements, reduction of greenhouse gases, and protection of the environment; and WHEREAS, in the Act, the Legislature has authorized a parcel within the territory of the District to annex to the District and be subject to the special tax levy of the District only (i) if the city or county within which the parcel is located has consented, by the adoption of a resolution by the applicable city council or county board of supervisors, to the inclusion of parcels within its boundaries in the District and (ii) with the unanimous written approval of the owner or owners of the parcel when it is annexed (the "Unanimous Approval Agreement "), which, as provided in section 53329.6 of the Act, shall constitute the election required by the California Constitution; and WHEREAS, the City wishes to provide innovative solutions to its property owners to achieve energy efficiency and water conservation and in doing so cooperate with Exhibit I Resolution No. 2015 -XXX Page 1 of 3 55E -5 Authority in order to efficiently and economically assist property owners the City in financing such Authorized Improvements; and WHEREAS, the Authority has established the District, as permitted by the Act, the Authority JPA, originally made and entered into July 1, 1993, as amended to date, and the City, desires to become an Associate Member of the JPA by execution of the JPA Agreement, a copy of which is attached as Exhibit "A" hereto, to participate in the programs of the JPA and, to assist property owners within the incorporated area of the City in financing the cost of installing Authorized Improvements; and WHEREAS, the City will not be responsible for the conduct of any special tax proceedings; the levy and collection of special taxes or any required remedial action in the case of delinquencies in the payment of any special taxes in connection with the District. NOW, THEREFORE, BE IT RESOLVED THAT: Section 1: This City Council finds and declares that properties in the City's incorporated area will be benefited by the availability of the Authority CFD No. 2014 -1 (Clean Energy) to finance the installation of the Authorized Improvements. Section 2: This City Council consents to inclusion in the Authority CFD No. 2014 -1 (Clean Energy) of all of the properties in the incorporated area within the City and to the Authorized Improvements, upon the request of and execution of the Unanimous Approval Agreement by the owners of such properties when such properties are annexed, in compliance with the laws, rules and regulations applicable to such program; and to the assumption of jurisdiction thereover by Authority for the purposes thereof. Section 3: The consent of this City Council constitutes assent to the assumption of jurisdiction by Authority for all purposes of the Authority CFD No. 2014 -1 (Clean Energy) and authorizes Authority, upon satisfaction of the conditions imposed in this resolution, to take each and every step required for or suitable for financing the Authorized Improvements. Section 4: This City Council hereby approves joining the JPA as an Associate Member and authorizes the execution by appropriate City officials of any necessary documents to effectuate such membership. Section 5: City staff is authorized and directed to coordinate with Authority staff to facilitate operation of the Authority CFD No. 2014 -1 (Clean Energy) within the City, and report back periodically to this City Council on the success of such program. Section 6: This Resolution shall take effect immediately upon its adoption. The City Clerk is directed to send a certified copy of this resolution to the Secretary of the Authority. Resolution No. 2015 -XXX Page 2 of 3 55E -6 ADOPTED this _ day of August, 2015. APPROVED AS TO FORM: Sonia . Coal City By: < 1 9 o e Sandoval ief Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Councilmembers Councilmembers Miguel A. Pulido Mayor CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2015 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana 55E -7 Resolution No. 2015 -XXX Page 3 of 3 Exhibit A JPA Agreement [to be inserted] Resolution No. 2015 -XXX Page 4 of 3 55E -8 RESOLUTION NO. 2015 -xxx RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CONSENTING TO INCLUSION OF PROPERTIES WITHIN THE CITY'S JURISDICTION IN THE CALIFORNIA HOME FINANCE AUTHORITY PROGRAM TO FINANCE RENEWABLE ENERGY GENERATION, ENERGY AND WATER EFFICIENCY IMPROVEMENTS AND ELECTRIC VEHICLE CHARGING INFRASTRUCTURE AND APPROVING ASSOCIATE MEMBERSHIP IN THE JOINT EXERCISE OF POWERS AUTHORITY RELATED THERETO WHEREAS, the California Home Finance Authority ( "Authority ") is a joint exercise of powers authority established pursuant to Chapter 5 of Division 7, Title 1 of the Government Code of the State of California (Section 6500 and following) (the "Act ") and the Joint Power Agreement entered into on July 1, 1993, as amended from time to time (the "Authority JPA "); and WHEREAS, the Authority is in the process of amending the Authority JPA to formally change its name to the Golden State Finance Authority; and WHEREAS, Authority has established a property- assessed clean energy ( "PACE ") Program (the "Authority PACE Program ") to provide for the financing of renewable energy generation, energy and water efficiency improvements and electric vehicle charging infrastructure (the "Improvements ") pursuant to Chapter 29 of the Improvement Bond Act of 1911, being Division 7 of the California Streets and Highways Code ( "Chapter 29 ") within counties and cities throughout the State of California that elect to participate in such program; and WHEREAS, City of Santa Ana (the "City ") is committed to development of renewable energy generation and energy and water efficiency improvements, reduction of greenhouse gases, and protection of the environment; and WHEREAS, in Chapter 29, the Legislature has authorized cities and counties to assist property owners in financing the cost of installing Improvements through a voluntary contractual assessment program; and WHEREAS, installation of such Improvements by property owners within the jurisdictional boundaries of the counties and cities that are participating in the Authority PACE Program would promote the purposes cited above; and WHEREAS, the City wishes to provide innovative solutions to its property owners to achieve energy and water efficiency, and in doing so cooperate with Authority in order to efficiently and economically assist property owners within the City in financing such Improvements; and Resolution No. 2015 -XXX Exhibit 2 Page 1 of 3 55E -9 WHEREAS, Authority has established the Authority PACE Program, which is such a voluntary contractual assessment program, as permitted by the Act, the Authority JPA, originally made and entered into July 1, 1993, as amended to date, and the City, desires to become an Associate Member of the JPA by execution of the JPA Agreement, a copy of which is attached as Exhibit "A" hereto, to participate in the programs of the JPA and to assist property owners within the jurisdiction of the City in financing the cost of installing Improvements; and WHEREAS, the City will not be responsible for the conduct of any assessment proceedings; the levy and collection of assessments or any required remedial action in the case of delinquencies in the payment of any assessments or the issuance, sale or administration of any bonds issued in connection with the Authority PACE Program. NOW, THEREFORE, BE IT RESOLVED THAT: Section 1: This City Council finds and declares that properties in the City's incorporated area will be benefited by the availability of the Authority PACE Program to finance the installation of the Improvements. Section 2: This City Council consents to inclusion in the Authority PACE Program of all of the properties in the jurisdictional boundaries of the City and to the Improvements, upon the request by and voluntary agreement of owners of such properties, in compliance with the laws, rules and regulations applicable to such program; and to the assumption of jurisdiction thereover by Authority for the purposes thereof. Section 3: The consent of this City Council constitutes assent to the assumption of jurisdiction by Authority for all purposes of the Authority PACE Program and authorizes Authority, upon satisfaction of the conditions imposed in this resolution, to take each and every step required for or suitable for financing the Improvements, including the levying, collecting and enforcement of the contractual assessments to finance the Improvements and the issuance and enforcement of bonds to represent such contractual assessments. Section 4: This City Council hereby approves joining the JPA as an Associate Member and authorizes the execution by appropriate City officials of any necessary documents to effectuate such membership. Section 5: City staff is authorized and directed to coordinate with Authority staff to facilitate operation of the Authority PACE Program within the City, and report back periodically to this City Council on the success of such program. Section 6: This Resolution shall take effect immediately upon its adoption. The City Clerk is directed to send a certified copy of this resolution to the Secretary of the Authority. Resolution No. 2015 -XXX Page 2 of 3 55E -10 ADOPTED this _ day of August, 2015. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attomey B: 7J se Sandoval hief Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2015 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana 55E -11 Resolution No. 2015 -XXX Page 3 of 3 Exhibit A JPA Agreement [to be inserted] Resolution No, 2015 -XXX Page 1 of 3 55E -12 CALIFORNIA HOME FINANCE AUTHORITY AMENDED AND RESTATED JOINT EIMRCISE OF POWERS AGREEMENT (Original date,july 1, 1993 and as last amended and restated December 10, 201.1) THIS AMENDED AND RESTATED JOINT EXERCISE OF POWERS AGREEMENT ( "Agreement ") is entered into by and among the counties listed on Attachment 1 hereof std incorporated herein by referehice. All such counties are referred to herein as "Members" with the respective powers, privileges and restrictions procdded herein. RECITAIS A. WHERIAS, the California Rural Home Mortgage Fuaauce Authority ( "CRHMFA ") was created by a Joint Exercise of Powers Agreement dated July 1, 1993 pursuant to the Joint Excrcise of Powers Act (conmiencing with Article t of Chapter 5 of Division 7 of Title 1 of the Government Code of the State of Cadilornia (the "Act "). By Resolutiou 2003 -02, adopted ou January 15, 2003, the naiuc of the authority was changed to CRHMFA Homebuyers Fund. The most receut amendment to the Joint Exercise of Powers Agreement was on January 28, 200h. B. WHEREAS, die Members of CRHMFA Homebuyers Fund desire to update, reaffirm, clarify and revise ccrt in provisions of the joint powers agreement, including die renauuing of die joint powers authority, as set forth herein. C. WHEREAS, die Members are each empowered by law to finance the construction, acquisition, improvemcut and relhabilitatiou of real property. D. WHEREAS, by this Agrreement, die Members desire to create and establish ajoint powers authority to exercise their respective powers for die purpose of financing the constructiou, acquisition, improvement and rehabilitation of read property widint the jurisdiction of die Authority as authorved by the Act. NOW,'FHERF.FORE, in consideration of the mutual covenants contained herein, the Members individually and collectively agree as follows: 1. Dcfuhitions Unless die context otu noise requires, die follm6ug terms shall for purposes of this Agreement liavc die mcaniugs specified below: "Act" means the,Joint Exercise of Powers Act, commencing with Article l of Chapter 5 of Division 7 of Title 1 of de Government Code of de State of California, including die Marks -Roos Local Bond Pooling Act of 1985, as anuuded. "Agreement" means this joint Exercise of Powers .Agreement, as (lie same now exists or as it may from time to tune be amended as provided herein. Exhibit 3 55E -13 "Associate Member" means a c•ouuty, city or outer public ageuc•y which is not a voting nteuiber of the Rural County Reprcscutatives of California, a California nonprofit corporation ("RCRC"), with Icgad power urd authority sinular to that of the Members, admitted pursuant to paragraph IA, below to associate membership herein by vote of to Board. "Audit Committee" means a conwiittce made up of the nine - member Ftccutivc Comtniacc. 'Authority" tnc ris C liforrua Honhc Finuhce Authority ( "CHF "), formerly known as CRHMFA Homebuyers Fund or California Rural Home Mortgage Fiawcc Authority. Board' mcans the governing board of'the Authority as described in Section 7 below. Bonds" netts bonds, notes, warrauits, leases-, certificates of participation, installment purchase -,Weemeuts, loan agreements and other securities or oblig bons issued by the Authority, or financing agreenuuts entered into by die Authority pursuant to the Act and any other obligation within the meattiug of the term "Bonds" wider the Act. "Delegate" menu the Supervisor dcsignatcd by the governing board of cacti Mcmber to serve on the Iioard of die Authority. "Executive Committee" menus the uinc- tncmber Executive Committee of the Board established pursuant to Scctiou 10 hereof. Wembee mcans any cowry which is a mender of RCRC, has executed this Agreement and has become a member of the Authority. 'Obligations" means bonds, notes, warrants, leases, certificates ofparticipatiott, instilment purchase agreenhcuts, loan agreements arid other securities or obligations issued by die Authority, or fiuuhcing agree meets entered into by the Authority pursuuht to die Act uhd any otter livaueial or legal obligation of tlnc Authority under the Act. "Program" or 'Project" mcans any work, improvcnuut, progrwi, project or service undertaken by die Authority. "Rural County Representatives of California" or "RCRC" maws the nonprofit entity incorporated under that na r ie in the State of California. "Supervisor" mcans a ii elected County Supervisor 1rouh ut RCRC member county. 2. Purpose "Ilhe purpose of the Audlotity is to provide financing for the acquisition, construction, , inhprovenhent and rehabilitation of real property in accordance with applicable provisions of lacy for die benefit of residents and connnwlltiCS. In pursuit of this purpose, this Agreement provides lot- the joiut exercise of powers common to any of its Members and Associate blcnhbcrs as provided herchr, or othcrwise authorized by flu Act rid other applicable laws, including assisting 55E -14 in financing as authorized herein, jointly exerciser) in the manner set forth Ihercin 3. Principal Place of Business The principal office of the Authority shall be 1115 It Street, Suite 1650, Sacramcuth, California 95811. 4. Creation of Authority; Addition of Members or Associate Members a. The Authority is hereby created pursuant to the Act. As provided in de Act, die Authority sliall be a public cutity scpauatc acid distinct from the tYietnbcrs or Associate Members. b. '1 tic Authority will cause it notice of this Agrecmeut or awry anicudnicut hereto to be prepared atxl filed with the office of the Secretary of State of Califoniia in a timely fashion in die ncmner set lbrtlh in Sectiou 6503.3 of the Act. C. A county that is a niember of RCRC may petition to become a member of the Authority by submitting to the Board a resolution or evidence of other formal action taken by its governing bcxly adopting this Agreement. The Board sliall review die petition for membership ahxl shall vote to approve or disapprove the petition. If the petition is approved by a majority of the Board, such county sliall immediately become a N[cmber of tlic Authority. d. An Associate hlemhber may be added to the Authority upon the aflirniauve approval of its respective govcming board and pursuant to action by the Authority Board upon such terms and conditions, and with such riglhts, privileges uid responsibilities, as may be established from time to tittle by die Board. Such terms and conditions, and rights, privileges and responsibilities may vary among the Associate Members. Associate Members shall be entitled to participate in one or more progruns of the Authority as determined by die Board, but sliall not be voting members of the Board. The Executive Director of the Authority skill eul'orce the terms and conditions for prospective Associate Members to die Authority as provided by resolution of die Board and as arncudcd front time to time by die Board. Chutges in the terms and conditions for Associate Membership by the Board will not constitute alt atncudmcut of this Agreement. 5. Term and Termination of Powers This Agreement shall become effective from the (late hereof until the earlier of the tittle when all Bonds and any interest thereon shall helve been paid in full, or provision for such payment shall have been made, or when the Authority sliall no longer own or hold any intcrest iu a public capital improvement or program. "Ilse Authority sliall continue to exercise the powers herein conferred upon it until ternunation of this Agreement, except that if atty Bonds are issued and delivered, in no event shall the exercise of the powers herchi granted be terminated until all Bonds so issued and delivered and the interest thereon shall have been paid or provision for such payment shall have been made and any other debt incurred with respect to any other financing program established or adnii iistcred by thhe Authority has been repaid in full and is no touger outstanding. 6. Powers; Resftwtion upon Exercise 55E -15 a. To clicctuate its purpose, the Authority shall have the power to exercise aty and all powcis of the Members or of a joint powers authority under the Act and other applicable provisions of law, sub E l ject, however, to the conditions and restrictions herein contained. ch vf Member or Associate cuaber may also separately exercise any an(I all such powers. The powers of the Authority are limited to those of ageneral law count). b. The Authority may adopt, from time to time, such resolutions, guidelines, rules and regulations for the conduct of its meetings and the activities of the Authority as it deans necessary or desirable to accomplish its purpose. C. The Authority shall have the power to finatce the construction, acquisition, improvement and rehabilitation of real property, including the power to purchase, with the amounts received or to be received by it pursuant to it bond purchase agreement, bonds issued by any of its :Members or Associate Members all other local agencies at public or negotiated sale, for the purpose set firth herein and in accordance with the Act. All or any part of such bonds so purchased may be held by the Authority or resold to public or private purchasers at public or negotiated sale. The Authority shall set any other terms and conditions of arty purchase or sale contemplated herein as it deems necessary or convenient and in furtherance of the Act. 11te Authority may issue or cause to be issued Bonds or other indebtedness, and pledge any of its property or revenues as security to the extend permitted by resolution of the Board under any applicable provision of law. The Authority may issue Bonds in accordance with the Act in order to raise foods necessary to elketuate its purpose hereunder and may cuter into agreements to secure such Bonds. The Authority may issue other forms of indebtedness authorized by the Act, and to secure such debt, to further such purpose. The Authority may utilize other forms of capital, including, but not limited to, the Authority's internal resources, capital markets and other forms of private capital investment authorized by the Act.. d. '['lie Authority is hereby authorized to do all acts necessary for the exercise of its powers, including, but not linuted to: (1) executing coutrcts, (2) employing agents, consultants and employees, (3) acquiring, coustntctiug or providing fir maintenance and operation of ary building, work or improvement, ( la acquiring, holding or disposing of real or personal property wherever located, including property subject to mortgage, (5) incurring debts, liabilities or obligations, (6) receiving gifts, contributions ibutions and douatious of property, Funds, services and arty other forms of assistance From persous, lines, corporations or goverumeutal entities, (7) suing and being stied in its own name, and litigating or settling ally suits or claims, (8) doing any and all things necessary or convenient to the exercise of its specific powers and to accomplishing its purpose (9) establishing and /or administering districts to finance and refinance the acquisition, installation and improvement of energy efficiency, water 55E -16 conservation and renewable energy improvements to or oil real property and in buildings. The Authority may enter into one or more agreements, includiug without limitation, participation agreements and implementation agreements to implement such pro;Tamhs. C. Sulticct to the applicable provisions of airy indenture or resolution providing for the investment of mollies held thereunder, the Authority shall have the power to invest ally of its funds as tic Board deems advisable, in the sine manner ai<1 upon die same conditions as local ageucics pursuant to Scctiou 53601 of the Govenimcnt Code of the State of Califbmia. f. All property, equipmcut, supplies, funds and records of die Authority shall be owned by [lie Authority, except as may be provided otlienvisc herein or by resolution of (lie Board. g. Pursuant to the provisious of Section 6508.1 of the Act, the debts, liabilities and obligatous of the Authority shall not be debts, liabilities and obligations of die Members or Associate Members. Any Bonds, togedier with airy interest and premium thereon, shall not constitute debts, liabilities or obligauious of any Member. The Members or Associate 'vlcmbers hereby agree that any such Bouds issued by die Authority shall not constitute general obligations of the Authority but shall be payable solely From the moueys pledged to the repayment of principal or interest ore such Bouds under die terms of tae resolution, indenture, trust, agrreeaneut or other iustrumcut pursuit to which such Bouds are issued. Neither die Members or Associate Members nor the Audnority shall be obligated to pay die principal of or premium, if airy, or uterest oil die Bouds, or other costs incidental thereto, except from the revenues will funds pledged diercfor, and neither the faith and credit nor the taxing power of the Members or Associate Members or die Authority sliall be pledged to tae payment of die principal of m premium, if any, or interest oil the Bonds, nor shall die Members or Associate Members of Lite Authority be obligated hh any trimmer to make any appropriation for such payment. No coveuad or agreement contained in airy Bond sluill be deemed to be a covenant or agreement of allay Delegate, or any officer, agent or employee of tic Authority in all individual capacity, and neither die Board nor any officer thereof executing die Bouds or any document related thereto shall be liable personally oil any Bond or be subject to any personal liability or accouutlbility by reason of die issuance ofa y Bonds. 7. Governing Board a. The Board shall consist of die number of Delegates equal to one representative from each Member. b. The governing body of each Member shall appoint one of its Supervisors to serve as a Delegate on ale Board. A Member's appointment of its Delegate sli dl be delivered in writing (which may be by electronic mail) to die Authority and shall be ellectivc until lie or she is repLlced by such governing body or no longer a Supervisor; any vacancy shall be filled by the governing body of the Member in the sane mariner provided in this paragraph b.. C. "I'hc governing body of each Member of the Board shall appoint a Supervisor as an altermitc to serve on [lie Board in [lie absence of the Delegate; the alternate may exercise all the 55E -17 rights and privilcges of the Delegate, including tine right to be couuled in constituting a quorum, to participate ill the proceedings of the Board, wd to vote upon any and all matters. No alternate may have more dent one vote at any mcetiug of the Board, will any Member's designation of all alternate shall be delivch'ed in writing (whi(-h may be by electronic nail) to the Authority and shall Ile cllcetivc until such altcruate is replaced by his or her governing body or is no longer a Supervisor, unless otherwise specified in such appointment. Any vacancy shall be filler) by die governing body of )lie Mcnibcr ill the samhe mauuicr provided in this paragraph c.. d. Any person vvbo is not a member of the governing body of a Member and who attends a nuctiug on behalf of such Member may not vote or be counted toward a quorum but may, at the discretion of the Chair, participate ill open meetings he or she attends. C. Lach Associate Member may designate a non- voting representauivc to the Board who may not be counted town ril a quonnm but who may attend open meetings, propose agenda items and otherwise participate in Board Meetings. f, Delegates shall not receive compensation [or serving as Delegates, but may claim and receive reimbursement for expenses atuadly� incurred in connection with such service pursuant to rules approved by the Board and subject to )lie availability of funds. g. The Board shall have dnc power, by eosolutiou, to the extent permitted by the Act or any odhcr applicable law, to exercise any powers of dhc Authority and to delegate any of its Imnctions to the FXccutivc Committee or one or more Deleptes, officers or agents of the Authority, and to cause any authorized Delegate, officer or agent to take any actious and execute auly d0enhhlCnit9 for and ill the name and or belnall' of the Board or the Authority. It. The Board may establish such committees as it deems necessary for any lawful purpose; such committees are advisory only and may not act or purport to act on behalf of die Board or the Authority. i. Tile Board sliall develop, or cause to be developed, will review, modify is uecessai}y, and adopt each Prograiii. 8. Meetings of the Board a. The Board shall meet at ICast once annually, but may meet more Frequently upon call of any officer or as provided by resolution of the Board. b. Meetings of the Board shall be called, noticed, field and conducted pursuant to )lie provisions of the Ralph M. Brown Act, Chapter 9 (commencing with Scction 5.1950) ol' Part I of Division 2 of Tide 5 of the Government Code of the Slate of California. C. `llhe Secretary of the Authority shall caux minutes of all meetings of the Board to Ile taken and distributed to each Member as soon as possible after each meeting. d. The lesser of twelve (12) Delegates or a majority of ilne number of curreul Delegues shall constitute a quorum titer lramsa ting business at wily meeting of the Board, except 55E -18 that less thau a quorum may act to adjoum a mecdug. I�rh Delcb<ue shall have ouc volt C. 31ectLngs may he held at any location designated in notice properly given for a mecdug and may be conducted by telephonic or similar mcauhs ill any manucr othenvise allowed by law. 9. Officers; Duties; Official Bonds a. The Board shall elect a cicur and vice chair from among die Delegates at the Board's umual meeting who shall serve a term of orte (l) year or until their respective successor is elected. The chair shrill conduct die meetings of tle Board and perRrm such other duties as may be specified by resolutiou of the Board. The vice chair shall perform such dutics ill the absence or ill die evert of the umwtlifability of the chair. b. The Board shall contract ar trally vvith RCRC to administer the Agreement and to provide administrative services to the Authority, and the Presideut and Chief Executive Officer of RCRC shall serve ex ollirio is Executive Director, Secretary, "rrcasurcr, and Auditor of die Authority. As chief executive of the Authority, the Executive Director is authorized to execute coutracts and other obliggttous of the Authority, unless prior Board approval is required by a third party, by law or by Board specification, and to perform other duties specified by the Board. The Executive Director may appoint such other olliccrs as may he required for the orderly conduct of the Authority's business and allairs who sliall serve at the pleasure of the Executive Director. Subject to the applicable provisious of arty indenture or resolution providing lr a trustee or other fiscal ageut, die Executive Director, as'rreasurer, is desiguated as the custodian or die Authority's fiords, from wlhatcver source, and, as such, shall have the powers, dutics and responsibilities specified ill Section 6505.5 of tlic Act Tine Executive Director, as Auditor, shall have the powers, duties and responsibilities specified in Section 6505.5 of the Act. C. The Legislative Advocate for the Audiority shall be the Rural Comity Representatives of Calilbruia. d. The "rrcasurcr aiul Auditor are public officers who have charge of, haridlc, or have access to all properly of tie Authority, and a boud fir such ollicer in the anxnmt of at least one hundred thousand dollars (5100,000.00) shall be obtained at the expense of' die Authority artd filed with the Executive Director. Such boud nuay secure the faithful perf6mhartce of such officer's dutics with respect to another public office if such houd ill at (east the same amount specifically mentious the ollicc of the Authority -,is required herein. The Treasurer lull Auditor shall cause periodic inclepcudcut audits to be made of the Authority's books by a certified public accomhtauht, or public accouutaut, in complivrc with Section 650.5 of tic Act. C. The business of the Authority shall be conducted under die supervision of tie Fsccutivc Director by RCRC personnel. 10. Executive Committee of the Authority a. Comuosiliou 55E -19 The Authority shall appoint uiue (9) numbers of its Board to serve oil au Executive Conunittee. b. Powers and Limitations The Executive Conumitcc shall act ill all advisory rapacity and make rccomurcndations to the Authority Board. Dutics will include, but not be limited to, review of the quarterly and aumrtal budgets, service as the Audit Committee for the Authority, periodically review this Agreement; and comptete arty other (asks as may be assigmcd by dre Board. The EICCntiVC Committee shall be subject to all linutations imposed by this Agrecamcnt, other applicable law, and resolutions of the Board. C. Quorrini A majority of the Executive Committee shall constitute a quonun for transacting business of the Executive Committee. 11. Disposition of Assets Upon termination of this Agreement, all rentariufng assets and liabilities of the Authority shall be distributed to the respective Members ill suet[ mauuer as slnfl be detenuiued by the Board and ill accordance with the law. 12. Agreement Not Exclusive; Operation in Jurisdiction of Member This Agreement shall not be exclusive, and each Member expressly reserves its rights to carry out other public capital improvements and programs as provided for by law and to issue other obli;ations For those purposes-. 11ris A„�recrneut shall not be deemed to amend or after the terms of other agreements among the Members or [Associate Members. 13. Conflict of Interest Code The Authority shall by resolution adopt it Conflict of Interest Code as required by law. 14. Contributions and Advances Contributions or advances of public fuurls and of personnel, equipment or property may be trade to the Authority by ally Member, Associate Member or ally other public agency to further the purpose of this Agrecneut. Payment of public fuurls may be made to deli-ay the cost of any contribution. Any advance may be made subject to repaynreut, and ill that case shall be repaid ill [lie mummer agreed upon by the advamciug Member, Associate Member or other public agency and the Authority at the time of making the advance. 15. Fiscal Year, Accounts; Reports; Annual Budget Administrative Expenses a. The Fiscal year of the Audtority shall be the period from January I o1' each year to and including the lollowiug December 31, except for aury partial fiscal year resuhing from a change 55E -20 in accounting based on it different fiscal year preciously. h. Prior to the hc, inning of each fiscal year, the Board shall adopt it budget &s the succeeding fiscal year. C. The Authority shall establish and maintain such finds and accounts as may be required by generally accepted accounting tmuciplcs. 1'hc books and records of the Authority arc public records and shall lie open to inspection at all ncasonutblc times by each Mcniber and its representatives. d. Tlic Auditor shall either make, or contract with a certified public accountant or public accountant to ncdcc, an annual audit of the accounts and records of the Authority. Ilse minimum requirements ol' the audit shall be those prescribed by the State Controller Ibr special districts under Section 26909 of the Government Code of the State of California, and shall coufbrna to generally accepted auditing standards. When an audit of accounts and records is made by it certified public accountant or public accountant, it report thereof shall be filed as it public record with cacti Member (and also with the auditor of Sacraticuto County as the county in which the Authority's office is located) within 12 mouths after the end of the fiscal year. e. In any year in which the annual budget of the Authority does not exceed five thousand dollars (55,000.00), the Board nuay, upon unanimous approval of the Bo aril, replace die annual audit with an ensuing one -year period, but in no event for it period longer than two fiscal years. 16. Duties of Members or Associate Members; Breach If any Member or Associate Member shall default in performing any covenant contained herein, such default shall not excuse that hlenalier or Associate Member from futtilling its other obligtions hereunder, and such defaulting Member or Associate Mcnhher shall remain liable for the performance of all covenants hereof. Mach Member or Associate Meauber hereby declares that this Agreement is entered into for the benefit of the Authority created hereby, and cacti Mcmbcr or Associate Member hereby gRants to the Authority the right to enforce, by whatever lawful nneans the Authority deems appropriate, all of dhc obligations of each of the parties hereunder. Each and all of the remedies given to the Authority hereunder or by any law now or hereafter enacted are cumulative, and the exercise of one right or remedy shall not impair the right of the Authority to aw or all other remedies. 17. Indemnification To the full extent permitted by law, dte Board may audiorize indemnification by the Authority of iuiy persou who is or cvaLS it Board Delegate, alternate, officer, consultant, ennploycc or odor agent of the Authority, and who was or is a party or is threatened to lie inaade a party to it proceeding by icasou of (lie fact that such person is or was such a I)clego-tc, alicruate, officer, consultant, employee or ocher agcut of the Authority. Such indemnification may be made against expenses, ,jurdgrnetits, lines, settlements and other a iouus actually and reasonably incurred in couuectiou with such proceeding, if such persou acted in good faith and in a manner such person ressouably believed to be in [lie best interests of the Authority and, in the case of it criminal 55E -21 proceeding, had no reasonable cause to believe his or her conduct was uulawfid aud, ill the case of an action by or ill (lie tight of the Authorit), acted with such care, including reasonable inquiry, ',is all ordinarily prudent person in a like position would use under siroilarcircutustances. 18. Immunities All or tice privileges and it uuuuitics from liabilities, exemptions bona law, ordhiances and rules, all pension, relief, disability, workers' couipcusation aud other benefits which apply to the activity of officers, ageuts or employees or any of the Members- or Associate Memhcts when perlorti ing their respective ruuctions, shall apply to them to die sanic degree and cxtcut while cnlaged as Delegates or otlicnv isc as an officer, agcut or other representative or the Nudlorly or while engaged in the performance of any or their functions or duties- under the provisions of this Agreement. 19. Amendment This Agreement may be amended by the adoption of the amendment by die governing bodies of a maiority of tic Xlembcrs. The amendment shall become eflcctve on the first day of the ulondi following the bast required member agency approval. Au aincudnicut may be initiated by the Band, upon approval by a maiority of date Board. Any proposed anendneut, including tine text of die proposed change, shall be given by the Board to each Member's Delegate for presentation and action by eacli Metber's board within 60 clays, which time may be extended by the Board. The list or Mendwrs, Attachment 1, may be updated to reflect new aud /or widndrawn 4lenibers without requiring fornial anieudment or the Agreenicut by the Authority Board or Directors. 20. Withdrawal of Member or Associate Member If a Member withdraws as member or RCRC, its membership ill de Authority shall automatically tennivate. A Nlember or Associate Member may withdraw froni this Agreement upon written notice to the Board; provided however, dit no such withdrawal skill result in die dissolution of the Authority as long as ally Bouds or odor obligatious of the Authority reurain outstanding. Any such withdrawal skill lecome effective thirty (30) flays after a resolution adopted by the Member's governing body which authorizes withdrawal is received by the Authority. Notwidistahchirg tic foregoing, any termination or micmbership or widid usval from the Authority shall not operate to relieve any terminated or withdrawing Member or associate Member from Obligations incurred by such terminated or withdrawing Member or Associate Mender prior to the lime of its termination or %vidirhawal. 20. Miscellaneous a. Counterparts. This Agrcemeut may be executed ill several counterparts, each or which shall be ail origiva l and all of which shall coustitutc but one and the same instrument. b. Construction. The section hcadiugs herein are Ion couveuicuc'c only and are not to 55E -22 be construed as modilyurg or govcming the la gunge in the section rcl'crrcd to. C. Approvals. Wliercvcr in this Agreement any consent or approval is required, the same shall not be unreasonably withheld. d. Jurisdiction; Venue. This Agreement is matte in the State of Calilbruia, under the Constitution and laws of such State aid is to be so construed; any actiou to enforce or interpret its terms slral be brought iu Sacramento County, California. C. Integration. This A4i- cenucut is the complete and exclusive statement of the agreement anoug tike parties hereto, and IL superscdcs .utd merges all prior proposals, understandings, and other agreemcuts, whether oral, written, or implied in conduct, betweeu and among the parties relating to the subjccL matter of this Agreement. E Successors; Assignment This Agrccmcut shall be binding upon and shall inure to tic benefit or the successors of the parties hereto. Except to the extent expressly provided herein, no Member may assign any right or obligation Ircreuuder without the consent of tirc Board. g. Severability. Should any part, term or provision of this Agreement be decided by the courts to be illcgal or in conflict with any law of the State of California, or otherwise be rendered uuenforccablc or iuelkctual, the validity of the remaining parts, terms or provisions hereof slkall not be affected thereby. The parties lrcreto have causcd this Agreement to be executed aid attested by their properly authorized ollicers. AS AIXH'TED BY THE hIEbIBERS: Originally datCd,jLly 1, 1993 Amended and restated December 10, 1998 Amended and restated February 18, 1999 Amended and restated September 18, 2002 Amended and restated January 28, `1004 Amended akd restated Deccurber 10, 2014 ISIGPoA77,rRES ON F01I,OI UNG ]M GIN 55E -23 SIGNATURE PAGE FOR NEW ASSOCIATE MEMBERS ATTEST: CITY OF SANTA ANA Maria D. Huizar David Cavazos Clerk of the Council City Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney sy� o Sandoval of Assistant City Attorney AFTER EXECUTION, PLEASE SEND TO: Golden State Finance Authority (formerly California Home Finance Authority) 1215 K Street, Suite 1650 Sacramento, CA 95814 82671000009603861.1 55E -24 ATTACHMENT 1 CALIFORNIA HOME FINANCE AUTHORITY MEMBERS As of December 10, 2014 Alpiuc Couuty Amador Couuty Buttc Comity C;tLlvccis Couuly. Colusa Coutttyy Del 'Norte Comity El Dorado Counts Gleuu Couuty Humboldt County Imperial Couuty Iuyo County Lake County L Isseu Couuty Madera County Mariposa County Meudociuo Comity Merced County Mocloc County Mono Couuty Napa County Nevada Couuty Placer Couuty Plunlas County Sam Benito Couuty. Shasm County Sierra Comity Siskiyou County Suttcr County Tehanra County Trinity County "Cuolmuue count) Yolo County Yuba Couuty 55E -25 55E -26 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: RESOLUTION, APPROPRIATION ADJUSTMENT, AND SUBGRANT AGREEMENT ACCEPTING FEDERAL WORKFORCE INNOVATION AND OPPORTUNITY ACT TITLE I FUNDS FOR PROGRAM YEAR 2015 -2016 (STRATEGIC PLAN NO 2,4) to sem�Z� CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1e1 Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Adopt a resolution authorizing the City Manager or designee to enter into a sub -grant agreement, for a period from April 1, 2015 to June 30, 2017, to receive funds for the Federal Workforce Innovation and Opportunity Act with the State of California Employment Development Department. 2. Authorize the City Manager and Clerk of the Council to execute the attached sub -grant agreement and all necessary documents with the State of California Employment Development Department, for a period from April 1, 2015 to June 30, 2017, for an amount of $1,136,469.00. 3. Approve an appropriation adjustment recognizing an additional $13,554 of Workforce Innovation and Opportunity Act Youth funds in the revenue account and appropriating the same in expenditure accounts. DISCUSSION The federal Workforce Innovation and Opportunity Act (WIOA) was signed into law on July 22, 2014. WIOA is designed to help job seekers access employment, education, training, and support services to succeed in the labor market and to match employers with the skilled workers they need to compete in the global economy. WIOA supersedes the Workforce Investment Act of 1998 and is the first legislative reform of the public workforce system in 15 years. The Act takes effect on July 1, 2015 with the Department of Labor responsible for its implementation. 55F -1 WIOA Title I Sub -grant for PY 2015 -16 August 4, 2015 Page 2 Recently, the California Workforce Investment Board recommended approval that Santa Ana be designated as a local workforce development area under WIOA. The Governor and Secretary of the Labor and Workforce Development Agency concurred with the recommendation. The designation is from July 1, 2015 to June 30, 2017 and will be reviewed and evaluated every two years against federal performance and compliance outcomes. A new sub -grant agreement is required at the beginning of each program year in order to receive WIOA funds as allocated by the State of California. Upon document execution and submission to the Workforce Services Division of the State Employment Development Department (EDD), the City's allocation for Program Year 2015 -2016 will be: No further action will be required by the City to receive the Adult, Dislocated Worker, and Rapid Response funds as EDD will disburse through unilateral subgrant modifications later in the program year. Upon receipt of the modifications, requests to authorize the expenditure of the additional program grant funds will be brought back to Council. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #2 Youth Education, Recreation, Objective #4 (Partner with groups and organizations to promote education, senior services, job training and development for all Santa Ana residents). FISCAL IMPACT The adopted FY 2015 -16 budget included the estimated $1,122,915 in WIOA Youth grant funding. The final program allocation total is $13,554 greater than the original amount budgeted. Approval of the appropriation adjustment will recognize $13,554 in revenue account (no. 12318002 - 52001) and increase the budgets in the following expenditure accounts: Account 12318750 -69135 12318752 -61000 Amount WIB Youth Council Payment to Subagent $12,199 One Stop Admin Salaries - Regular 1,355 TOTAL 55F -2 $13,554 Adult Dislocated Worker Youth Rapid Response Totals Final Allocation Amounts $1,112,927 $713,948 $1,136,469 $332,738 $3,296,082 Budgeted Amounts $1,100,490 $702,725 $1,122,915 $173,260 $3,099,390 Difference $ 12,437 $ 11,223 $ 13,554 $159,478 $ 196,692 No further action will be required by the City to receive the Adult, Dislocated Worker, and Rapid Response funds as EDD will disburse through unilateral subgrant modifications later in the program year. Upon receipt of the modifications, requests to authorize the expenditure of the additional program grant funds will be brought back to Council. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #2 Youth Education, Recreation, Objective #4 (Partner with groups and organizations to promote education, senior services, job training and development for all Santa Ana residents). FISCAL IMPACT The adopted FY 2015 -16 budget included the estimated $1,122,915 in WIOA Youth grant funding. The final program allocation total is $13,554 greater than the original amount budgeted. Approval of the appropriation adjustment will recognize $13,554 in revenue account (no. 12318002 - 52001) and increase the budgets in the following expenditure accounts: Account 12318750 -69135 12318752 -61000 Amount WIB Youth Council Payment to Subagent $12,199 One Stop Admin Salaries - Regular 1,355 TOTAL 55F -2 $13,554 WIOA Title I Sub -grant for PY 2015 -16 August 4, 2015 Page 3 1n. n n V AJ Kelly Reefers `) Executive Director Community Development Agency DS /sb Exhibit: 1. Resolution 2. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: AC \Y.C-sN"Z` � A N s ^. Francisco Gutierrez yp Executive Director Finance & Management Services Agency 55F -3 ROH — 08/04/15 RESOLUTION NO. 2015- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER OR DESIGNEE TO EXECUTE A SUBGRANT AGREEMENT AND ALL NECESSARY DOCUMENTS TO RECEIVE FUNDS FOR THE WORKFORCE INNOVATION AND OPPORTUNITY ACT WITH THE STATE OF CALIFORNIA, WORKFORCE SERVICES DIVISION, THROUGH PROGRAM YEAR 2018 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 Workforce Innovation and Opportunity Act (WIOA) of 2014 provides funds to Local Workforce Development Areas (LWDA) to operate job - training programs permissible under the Act for adults, dislocated workers and youth meeting specific criteria set forth in the Act. B. Recently the California Workforce Investment Board recommended approval that Santa Ana be designated as a local workforce development area under WIOA. The Governor and Secretary of the Labor and Workforce Development Agency concurred with the recommendation. The designation is from July 1, 2015 to June 30, 2017. C. A new sub -grant is required at the beginning of each fiscal year in order to avoid the commingling of funds from the previous year. Submittal of this sub - grant is the first step in the process enabling the City of Santa Ana to receive WIOA funds as they are allocated by the State of California at the beginning of each new fiscal year. D. Submittal of the sub -grant agreement will enable the City to receive WIOA Youth Formula Funds. The City will also receive Adult and Dislocated Worker Formula Funds through a unilateral modification from the State of California. E. The sub -grant and other related documents from the State of California must be reviewed and executed by the City of Santa Ana in order to receive said funding. Section 2. The City Council of the City of Santa Ana hereby authorizes the City Manager or his designee to execute all necessary documents related to the sub - grant with the State of California, Workforce Services Division, for the next three (3) EXHIBIT 1 Resolution No. 2015 -XXX 55F-4 Page 1 of 2 years of the WIOA program, until June 30, 2018, so long as the City remains designated as a local workforce development area under WIOA. Section 3. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of 2015. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia ;�aJyalhC City Attorney Ryan City AYES: Councilmembers: NOES: Council members: ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers: CERTIFICATION OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of Council, do hereby attest to and certify the attached Resolution No. 2015- to be the original resolution adopted by the City Council of the City of Santa Ana on 2015. Date: Clerk of Council City of Santa Ana Resolution No. 2015 -XXX 55F -5 Page 2 of 2 WIOA SUBGRANT AGREEMENT SORGRANT NO: K69B383 MODIFICATION No: New SAN - 083153247 SANTA ANA WORKFORCE INV BOARD SUBGRANTEE CODE: SAN SUBGRANTOR: SUBGRANTEE: SANTA ANA WORKFORCE INV BOARD State of California 1000 E. SANTA ANA BLVD. Employment Development Dept. SANTA ANA, CA 92701 Workforce Services Division P.O.Box 826880, MIC 69 GOVERNMENTAL ENTITY: Yes Sacramento, CA 94280 -0001 This Subgrant Agreement is entered into by and between the State of California, Employment Development Department, hereinafter the Subgrantor, and the SANTA ANA WORAPORCR INV BOARD, hereinafter the Subgrantee. The Subgrantee agrees to operate a program in accordance with the provisions of this Subgrant and to have an approved WIOA Local Plan for the above name Subgrantor filed with the Subgrantor pursuant to the Workforce Innovation and Opportunity Act (WIOA). This modification consists of this sheet and those of the following exhibits, which are attached hereto and by this reference made a part hereof: Funding Detail Chart General Provisions Youth Formula Rd 1 ALLOCATION(a) PRIOR AMOUNT: $0.00 The Subgrantor agrees to reimburse the Subgrantee INCREASE /DECREASE: $1,136,469.00 not to exceed the amount listed hereinafter 'TOTAL' TOTAL: $1,136,469.00 TERM OF AGREEMENT Terms of Exhibits are as From:4 /1/2015 To: 6/30/2017 designated on each exhibit PURPOSE: To initiate Program Year (PY) 2015 -16 WIOA Subgrant and incorporate WIOA Youth formula funding under grant code 301. Term of these funds is from 04/01/2015 - 06/30/2017 APPROVED FOR SUBGRANPOR(EDD)(By Signature) APPROVED FOR SUEGRANTEE IBy Signature) Name and Title Name and Title JOSS LUIS MARQUEZ David Cavazos CHIEF City Manager WORKFORCE SERVICES DIVISION Y g I hereby certify that to my knowledge, the budgeted This agreement does not fall within the meaning of funds are available for the period and purpose of Section 10295 of Chapter 2 of Part 2 of Division 2 of expenditures as stated herein the Public Contract Code of the State of California and pursuant to 58 OPS Cal. Arty. Gen 586, is exempt from review or approval of the Dept. of General Services and the Dept. of Finance Signature of EDD Accounting Officer BodBali :1100 Rm%: 0869 8udgawq A ment No LCha 025 6mmb: M14 FY 14115 Signature of EDO Contract Officer 55F -6 Page 1 of 13 Page 1 SNRGRANT AGREEMENT SQBGRANT NO: K69e3E3 FENDING DETAIL SHEET MODIFICATION NO: New SANTA ANA WORKFORCE INV BOARD I. Allocation Faa81a$ SOUFCa j Prior AIDennt Iaeie9a0 Deareaae Adjusted Allocation IA /WIOA Formula 9610fp 301 Youth Formula Rd 1 $0. DO $1,136,469.00 $0.0 v $1,13fi, 469. 00 D4/01/2015 to 06/30/2017 rog /E.ement 61/00 Ref 101 Fed Catlg 17.259 Total WIA /WIOA Formula 00.00 $1,136,469.00 $0.0 $1, 136,469.00 Grand Total - K 60t $1, 136,469.001' $0.0 — $1713 46 9.00 All reference are to the Workforce innovation and Opportunity Act of 2014, Title 1„ unleae oCZerwiae noted. page 2 of 13 For modificetiona purpoaea only. Al' other terms and cooditiena of this exhibit not inoluded herein remain 55F -7 NARRATIVE SUBGRANT NO:K698353 MODIFICATION NO: 0 SUBGRANTEE;SANTA ANA WORKFORCE INV BOARD FUNDING SOURCE: Youth Formula Rd 1 - 301 TERM OF THESE FUNDS: 04/01/2015 - 06/30/2017 ............................... ............................... .Use of funds added by this modification is limited to this period and additionally limited by the recapture provisions :applicable to this funding source. The state may at its ;discretion recapture funds obligated under this exhibit, if ;expenditure plane are not being met. ' .............................. ............................... PROGRAM NARRATIVE The purpose of this action is to initiate this Local Workforce Development Area's (LWDA) new Program Year (PY) 2015 -16 Workforce Innovation and Opportunity Act (WIOA) Title I subgrant agreement end to incorporate WIOA Youth formula funding into Grant Code (OC) 301. The amount in GC 301 represents this LwDA'9 entire youth formula allocation for PY 2015 -16. The term date for these funds is April 1, 2015 to Tune 30, 2017. The LWDA will operate the WIOA program in accordance with the approved Workforce Innovation and Opportunity Plan on file in the Central Office Workforce Services Division of the Employment Development Department, P.O. Box 626882, MIC 50, Sacramento, CA 92480 -0001. ........................-rot- ..-replace- ............•___.-............ __............................. 'This exhibit adds to and does the terms and conditions of any other exhibit included in this agreement which terms and conditions remain in full force and effect. :.....---------- ................................................................................ WIOA (2015) y �� Page 3 of 13 Suhgrantee:SANTA ANA WORKFORCE INV BOARD Subgrant No;X69B353 Modification Not New WIOA SUBGRANT AGREEMENT 1. Conpliance In performance of this subgrant agreement, Subgrantee will fully comply with: a) . The provisions of the Wor:cforce Innovation and Opportunity Act (WIOA) , the Office of Management and Budget (OMB) Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards; Final Rule at 2 Code of Federal Regulations (CFR) Chapter I and Chapter II, Part 200, et a1 (here after referred to as Uniform Guidance 2 CPR Part 200) and the Department of Labor's (DOL) exceptions at 2 CPR Chapter II, Part 2900, at al. (here after referred to as DOL Exceptions 2 CFR Part 2900) and all regulations, legislation, directives, policies, procedures and amendments issued pursuant thereto. b). Al' State legislation and regulations to the extent permitted by federal law and all policies, directives and /or procedures, which implement the WIOA, c). The provisions of Public Law 107 -288, Jobe for veterans Act, as the law applies to DOL job training programs. d) . Subgrantee will ensure diligence in managing programs under this subgrant agreement, including performing appropriate monitoring activities and taking prompt corrective action against known violations of the WIOA. Subgrantee agrees to conform to the provisions of the WIOA and the contract requirements as referenced in Uniform Guidance 2 CFR Part 200, Appendix II, and DOL Exceptions 2 CFR Part 2900, Appendix II to Part 200. This subgrant agreement contains the entire agreement of the parties and supersedes all negotiations, verbal or otherwise and any other agreement between the parties hereto. This subgrant agreement is not intended to and will not be construed to create the relationship of agent, servant, employee, partnership, joint venture or association between the 'pass-through- entity and the Subgrantee, Subgrantee represents and warrants it is free to enter into and fully perform this subgrant agreement. 2. certification / Assurances Except as otherwise indicated, the following certifications apply to all Subgrantee's. a). Corporate Registration; The Subgrantee, if it is a corporation, certifies it is registered with the Secretary of State of the State of California. b). The Subgrantee agrees to comply with the Americana with Disabilities Act (ADA) of 1990, which, prohibits discrimination on the basis of disability, as well as all applicable regulations and guidelines issued pursuant to ADA. 142 D.S.C.12101 at sag). c). Sectarian Activities: The Subgrantee certifies that this subgrant agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose nor does it help to support or sustain any school, col_ege, university, hompital or other institution controlled by any relicieus creed, church, or sectarian denomination whatsoever, as specified by Article XV1, Section 5, of the Constitution, regarding separation of church and state. d). National Labor Relations Board: The Subgrantee (if not a public entity), by signing this subgrant agreement, does swear under penalty of perjury, that no more than one final unappeasable finding of contempt of court by a federal court has been issued against the Subgrantee within the immediately preceding two -year period because of Subgrantee's failure to comply with an order of a federal court, which orders the Subgrantee to comply with an order of the National Labor Relations Board (PCC10296). e). Prior Findings: Subgrantee, by signing this subgrant agreement, does swear under penalty of perjury, that it has not failed to satisfy any major condition in a current or previous subgrant agreement with the DOL or the State of California and has not failed to satisfy conditions relating to the resolution of a final finding and determination, including repayment of debts. f) . Drug -Free workplace Certification: By signing this subgrant agreement the Subgrantee hereby certifies under penalty of perjury, under the laws of the State of California, that the Subgrantee will comply with the requirements of the Drug -Free Workplace Act of 1990 and will provide a drug -free workplace by taking the fallowing actions: (1) . Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance is prohibited and specifying actions to be taken against employees for violations. (2). Establish a Drug-Free Awareness Program as required to inform employees about: - the dangers of drug abuse in the workplace; - the person's or organization's policy of maintaining a drug -free workplace; - any available counseling, rehabilitation and employee assistance programs; and, - penalties that may be imposed upon employees for drug abuse violations. (3). Fvery employee who works on this subgrant agreement will, - receive a copy of the company's drug -free policy statement; and, - agree to abide by the terms of the company's statement as a condition of employment on the eubgrant /contract. g). Child Support Compliance Act: In accordance with the Child Support Compliance Act, the Subgrantee recognizes and acknowledges: ll). The importance of child and family support obligations and shall fully comply with applicable state and federal laws relating to child and family support enforcement, including, but not limited to, disclosure of information and compliance with earnings assignment orders, as provided in Chapter a Page 4 of 13 55F -9 Icormenaing with Section 5200) of part 5 of Division 9 of the Family Code; and that to the beat of its knowledge is fully complying with the earnings assignment orders of all employees and Is providing the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (RDD). h). Debarment and Suspension Certification: By signing this subgrant agreement, the Subgrantee hereby certifies under penalty of perjury under the laws of the State of California that the Subgrantee will comply with regulations implementing Executive Order 12549, Debarment and Suspension, Uniform Guidance 2 CFR Part 200, Appendix I that the prospective participant (i.e., grantee), to the beat of its knowledge and belief, that it and its principals: (1). Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency. (2). Have not within a three -year period preceding this subgret agreement been convicted of or had a civil judgement rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public {federal, state or local) transaction or contract under a public transaction, violation of federal or state antitrust statutes, or commission of embezzlement, theft, forgery, bribery, falsification, or destruction of records, making false statements, or receiving stolen property. 13). Are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state or local) with commission of any of the offenses enumerated in Section 2 of thin certification. (4). Have not within a three -year period preceding this subgrant agreement had one or more public transactions (federal, state or local) terminated for cause of default. Where the Subgrantee is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this agreement. i). Lobbying Restrictions: By signing this subgrant agreement the Subgrantee hereby assures and certifies to the lobbying restrictions which are codified in the DOL regulations at Uniform Guidance 2 CPR Part 2D0 and DOL Exceptions 2 CFR 2900. (1). No federal appropriated funds have been paid, by or on behalf of the undersigned, to any person for Influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress, in connection with this federal contract, grant loan, or cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. (2). If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, and officer or employee of Congress, or an employee of a Member of Congress, in connection with this subgrant agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying" in accordance with its instructions. 13). The undersigned shall require that the language of the lobbying restrictions be included in the award documents for subgrant agreement transactions over $100,000 (per OMB) at all tiara (including subgrant agreements, contracts and subcontracte, under grants, loan, or cooperative agreements), and that all subrecipients shall certify and disclose accordingly. 14). This certification is a material representation of fact upon which reliance is placed when this transaction is executed. Submission of the Lobbying Certification is a prerequisite for making or entering into this transaction imposed by Section. 1352, Title 31, and 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 $10D,000 for each failure. j). Priority Hiring Considerations: If this subgrant includes services in excess of $200,000, the Subgrantee shall give priority consideration in filling vacancies in positions funded by the subgrant to qualified recipients of aid under Welfare and Institutions Section Cade 11200 in accordance with Public Contract Code S 10353. k). Sweatfree Code of Conduct: (1). All Subgrantees contracting for the procurement or laundering of apparel, garments or corresponding accessories, or the procurement of equipment, materials, or supplies, ether than procurement related to a public works contract, declare under penalty of perjury that no apparel, garments or corresponding accessories, equipment, or supplies furnished to the state pursuant to the contract have been laundered or produced in whole or in part by sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor, or with the benefit of sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor. The Subgrantee further declares under penalty of perjury that they adhere to the Sweatfree Code of Conduct as set forth on the California Department of Industrial Relations website located at www dir.ca.gov, and Public Contract Code Section 6108. (2). The Subgrantee agrees to cooperate fully in providing reasonable access to the subgrantees' records, documents, agents or employees, or premises if reasonably required by authorized officials of the -pass - through" entity, the Department of Industrial Relations, or the Department of Justice to determine the subgrantees' compliance with the requirements under paragraph a of the Sweatfree Cede of Conduct. 1). Unenforceable Provision: In the event that any provision of this subgrant agreement is unenforceable or held to he unenforceable, then the parties agree that all other provisions of this subgrant agreement have force and effect and shall not be affected hereby, m). Nondiscrimination Clause: - (1). The conduct of the parties to this subgrant agreement will be in accordance with Title VI of the Civil Rights Act of 1964, and the Rules and Regulations promulgated there under and the provisions of WIOA, Section 188. W. As a condition to the award of financial assistance from the Department of Labor under Title I of WIOA, the grant applicant assures that it will comply fully with the nondiscrimination and equal opportunity provisions of the following laws: Section 108 of the WICA, which prohibits discrimination against all individuale in the United states on the basis of race, color, religion, sex, national origin, age disability, political affiliation or belief, and against beneficiaries on the basis of either citizenship /statue as a lawfully admitted immigrant authorized to work in the United States or participation in any WIGA Title I - financially Page 5 of 13 55F -10 assisted program or activity; Title VI of the Civil Rights Act of 1964, as amended, which prohibits discrimination on the basis of race, color and national origin; Section 504 of the Rehabilitation Act of 1973, as amended, which prohibits discrimination against qualified individuals with disabilities; The Age Discrimination Act of 1975, as amended, which prohibits discrimination on the basis of age; and Title Ix of -he Education Amendments of 1972, as amended, which prohibits discrimination on the basis of sex in educational programs. The grant applicant also assures that it will comply with Uniform Guidance 2 CFR Part 200, DOL Exceptions 2 CFR Part 2900 and all other regulations implementing the laws listed above. This assurance applies to the grant applicant's operation of the WIOA Title I- financially assisted program or activity, and to all agreements that grant applicant makes to carry out the WIOA Title I- financially assisted program or activity. The grant applicant understands that the United States has the right to seek judicial enforcement of this assurance. (b). This Subgrantee shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under the subgrant agreement, (o). This Subgrantee agrees to conform to nondiscrimination provisions of the WIOA and other federal nondiscrimination requirements as referenced in WIOA Sec. 188. W. Indemnification: (1). The following provision applies only if the Subgrantee is a governmental entity: Pursuant to the provision of Section 895.4 of the California Government Code, each party agrees to indemnify and hold the other party harmless from all liability for damage to persons or property arising out of or resulting from acts or omissions of the indemnifying party. (2). The following provision applies only if the Subgrantee is a non - governmental entity: The Subgrantee agrees to the extent permitted by law, to indemnify, defend and save harmless the •pasa- through" entity, its officers, agents and employees from any and all claims and losses accruing or resulting to any and all contractors, subcontractors, materials persons, laborers and any other persons, firms or corporations, furnishing or supplying work, services, materials, or supplies in connection with the performance of this agreement, and from any and all claims and losses accruing or resulting to any persona, firma or corporations which may be injured or damaged by the Subgrantee in the performance of this subgrant agreement. Failure to comply with all requirements of the certifications in Section 2 may result in suspension of payment under this aubgrant agreement or termination of this subgrant agreement or both, and the Subgrantee may be ineligible for award of future state subgrant agreements /ecntracts if the department determines that any of the following has occurred: (1) false information on the certifications, or (2) violation of the terms of the certifications by failing to carry out the requirements as noted above. o), Salary and Bonus Limitations: In compliance with Public Law 109 -234, none of the funds appropriated in Public Law 109 -149 or prior Acts under the heading "Employment and Training" that are available for expenditure on or after June 15, 2006, shall be used by a recipient or subrecipent of such funds to pay the salary and bonuses of an individual, either as direct costs or indirect costs, at a rate in excess of Executive Level II, except as provided for under section 101 of Public Law 109 -149, This limitation shall not apply to vendors providing goods and services as defined in Uniform Guidance 2 CFR Part 200 and the DOL Exceptions 2 CFR.Part 2960. Where States are recipients of such funds, States may establish a lower limit for salaries and bonuses of those receiving salaries and bonuses from subrecipients of such funds, taking into account factors including the relative cost -of- living in the States, the compensation levels for programs involved including Employment and Training Administration programs. See Training and Employment Guidance Letter number 5 -06 for further clarification. The incurrence of costa and receiving reimbursement for these costa under this award certifies that your organization has read the above special condition and is in compliance. p). Federal Funding Accountability and Transparency Act (FFATA): As required by the FFATA, recipients of federal awards are required to report Sub -award and executive compensation information. By signing this subgran_ agreement the Subgrantee hereby assures and certifies to comply with the provisions of FFATA, which includes requirements referenced in Uniform Guidance 2 CFR Part 200 and DOL Exceptions 2 CPR Part 2900. q) . AIR OR WATER POLLUTION VIOLATION: Under the State laws, the Contractor shall not be: (1) in Violation of any order or resolution not subject to review promulgated by the State Air Resources Board or an air pollution control district; (2) subject to cease and desist order not subject to review issued pursuant to Section 13301 of the Water Code for violation of waste discharge requirements or discharge prohibitions; or 13) finally determined to be in violation of provisions of federal law relating to air or water pollution. 3. Standards of Conduct The following standards apply to all Subgrantees: a) . General Assurance: Every reasonable course of action will be taken by the Subgrantee in order to maintain the integrity of this expenditure of public funds and to avoid favoritism and questionable or improper conduct. This subgrant agreement will be administered in an impartial manner, free from efforts to gain personal, financial or political gain. The Subgrantee agrees to conform to the nondiscrimination requirements as referenced in WIOA, section 188. b). Avoidance of Conflict of Economic Interest: An executive or employee of the Subgrantee, an elected official in the area or a member of the Local Board, will not solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by the Subgrantee or "pass - through" entity: Supplies, materials, equipment or services purchased with subgrant agreement funds will be used solely for purposes allowed under this subgrant agreement. No member of the Local Board will cast a vote on the provision of services by that member (or any organization, which that member represents) or vote on any matter which would provide direct financial benefit to that member (or immediate family of the member) or any business or organization which the member directly represents. 4. Coordination Subgrantee will, to the maximum extent feasible, coordinate all programs and activities supported under this part with other programs under the WIOA, including the Wagner- Peyser Act, Title 38 of the United States Code, and other employment and training programs at the state and local level. Subgrantee will consult with the appropriate labor organizations and /or employer representatives in the design, operation or modification of the programs under th'' -s eubgrant agreement. Page 6 of 13 55F -11 5, subcontracting a). Any of the work or services specified in this subgrant agreement which will be performed by other then by the Subgrantee will be evidenced by a written agreement specifying the terms and conditions of such performance. b). The Subgrantee will maintain and adhere to an appropriate system, consistent with federal, state and local law, for the award and monitoring of contracts which contain acceptable standards for insuring accountability. c). The system for awarding contracts will contain safeguards to insure that the Subgrantee does not contract with any entity whose officers have been convicted of fraud or misappropriation of funds within the last two years. 6, Insurance Except for city and county governmental entities, Subgrantees must provide the "pass- through" entity evidence of the coverage specified in a, b, c and d below, The evidence of coverage shall include the registration number of the subgrant agreement for identification purposes. a). Subgrantee will obtain a fidelity bona in an amount of not less than prior to the receipt of funds under this subgrant agreement. If the bond is canceled or reduced, Subgrantee wi.1 immediately so notify the -pass-through- entity. In the event the bond is canceled or revised, the 'pass-through' entity will make no further disbursements until it is assured that adequate coverage has been obtained. b). Subgrantee will provide general liability insurance with a combined limit of $1,000,CCO or public liability and property damage coverage with a combined limit of not less than $1,000,0o0. e). Subgrantee will provide broad form automobile liability coverage with limits as set forth in (b) above, which applies to both owned /leased and non -owned automobiles used by the Subgrantee or its agents in performance of this subgrant agreement, or, in the event that the Subgrantee will not utilize owned /leased automobiles but intends to require employees, trainees or other agents to utilize their own automobiles in performance of this subgrant agreement, Subgrantee will secure and maintain on file from all such employees, trainees or agents a pelf- certification of automobile insurance coverage. d). Subgrantee will provide Worker's Compensation Insurance, which complies with provisions of the California Labor Code, covering all employees of the Subgrantee and all participants enrolled in work experience programs. Medical and Accident Insurance will be carried for those participants not qualifying as "employee' (Section 3350, at seq. of the California Labor Coda) for worker's Compensation. e). The "pass- through" entity will be named as "Certificate Holder- of policies secured in compliance with paragraphs a -d above and will be provided certificates of insurance or insurance company -binders - prior to any disbursement of funds under this subgrant agreement, verifying the insurance requirements have been complied with. The coverage noted in b and c above must contain the following clauses: (1). Insurance coverage will not be canceled or changed unless 30 days prior to the effective date of cancellation or change written notice is sent by the Subgrantee to: Employment Development Department Workforce Services Division Financial Management Unit P. 0. Box 526880, MIC 69 Sacramento, CA 94260 -0001 (2). State of California, its officers, agents, employees and servants are included as additional insured, but only insofar as the operation under this subgrant agreement are concerned. (3). The State of California is not responsible for payment of premiums or assessments on this policy. 7. Resolution A county, city, district or other local public body must provide the state with a copy of a resolution, order, motion, or ordinance of the local governing body which by law has authority to enter into an agreement, authorizing execution of this subgrant agreement. Preferably revolutions should authorize a designated position rather than a named individual. s, Funding It is mutually understood between the parties that this subgrant agreement may have been written before ascertaining the availability of congressional and legislative appropriation of funds, for the mutual benefit of both parties, in order to avoid program and fiscal delays which would occur if the subgrant agreement was executed after that determination was made. This subgrant agreement is valid and enforceable only if (1) sufficient funds are made available by the State Budget Act of the appropriate state fiscal years covered by this subgrant agreement for the purposes of this program and; (2) sufficient funds available to the state by the United States Government for the fiscal years covered by this subgrant agreement for the purposes of this program. In addition, this subgrant agreement is subject to any additional restrictions, limitations, or conditions enacted by the Congress and Legislature or any statue enacted by the Congress and Legislature which may affect the provisions, terms, or funding of this subgrant agreement in any manner. a). At the expiration of the terms of this subgrant agreement or upon termination prior to the expiration of this subgrant agreement, funds not obligated for the purpose of this subgrant agreement will be immediately remitted to the "pass- through" Entity, and n longer available to the Subgrantee. b) . The -pass-through- entity retains the right to suspend financial assistance, in whole or In part, to protect the integrity of the funds or to ensure proper operation of the program, providing the Subgrantee is given prompt notice and the opportunity for an informal review of the "pass- through" entity'$ decision, The Chief Deputy Director or his designee will perform this informal review and will issue the final administrative decision within 60 Days of receiving the written request for review. Failure on the part of the Subgrantee or a Subcontractor of the Subgrantee to comply with the provisions of this subgrant agreement, or with the WIOA or regulations, when such failure involves fraud or misappropriation of funds, may result in immediate withholding of funds. c). The local Chief elected Official (CSO) of a unit of general local government designated as a Local Workforce Development Area (LWDA) shall b$ liable to the EDD for all funds not expended in accordance with WIOA, and shall return to the BUD all of those funds. if there is more than one unit of general local government in a LWDA, the CROW will be the individuals) designated under an agreement executed by the CROW of the local unite of government. The CBO(e) designated under the agreement shall be Page 7 of 13 55F -12 liable to the BDD for all funds not expended in accordance with the WIOA, and shall return to the EDD all of those funds. 9. Accounting and Cash Management a), Subgrantee will comply with eonnrols, record keeping and fund accounting procedure requirements of WIOA, federal and state regulations and directives to ensure the proper disbursal of, and accounting for, Program funds paid to the Subgrantee and disbursed by the Subgrantee, under this subgrant agreement. b). Subgrantee will submit requests for cash to coincide with immediate cash needs and assure that no excess cash is on deposit in their accounts or the accounts of any tub- contracting service provider in accordance with procedures established by the "pass- through" entity. Failure to adhere to these provisions may result in suspending cash draw down privileges and providing funds through a reimbursement process. c). The "pass- through" entity retains the authority to adjust specific amounts of cash requested if the "pass - through" entity Is records and subsequent verification with the Subgrantee indicate that the Subgrantee has an excessive amount of cash in its account. d), Income (including interest income) generated as a result of the receipt of WIOA activities, will be utilized in accordance with policy and procedures established by the -pass- through" entity. Subgrantee will account for any such generated income separately. e). Subgrantee shall not he required to maintain a separate bank account but shall separately account for WIOA funds on deposit. All funding under this subgrant agreement, will be made by check or wire transfer payable to the Subgrantee for deposit in Subgrantee's bank account or city and county governmental bank accounts. To provide for the necessary and proper internal control B, funds should be withdrawn and disbursed by no lase than two representatives of the Subgrantee. The °pass- through" entity will have a lien upon any balance of WIOA funds in these accounts, which will take priority over all other Liens or claims. 10. Amendments This subgrant agreement may be unilaterally modified by the "pass- through" entity under the following circumstances: a). 'There is an increase or decrease in federal or state funding levels. b). A modification to the Subgrant is required in order to implement an adjustment to a Subgrantee's Plan. c). Funds awarded to the Subgrantee have not been expended in accordance with the schedule includad in the approved Subgrantee'e plan. After consultation with the Subgrantee, the "pans - through" entity has . determined that funds will not be spent in a timely manner, and such funds are for that reason to the extent permitted by and in a manner consistent with state and federal law, regulations end policies, reverting to the "pass - through" entity. d). There is a change in state and federal law or regulation requiring a. change in the provisions of this subgrant agreement. a). An amendment is required to change the Subgrantees' name as listed on this subgrant agreement. Upon receipt of legal documentation of the name change the state will process the amendment. Payment of invoices presented with a new name cannot be paid prior to approval of said amendment. Except as provided above, this subgrant agreement nay be amended only in writing by the mutual agreement of both parties. 11. Reporting Subgrantee will compile and submit reports of activities, expenditures, status of cash and closeout information by the specified dates as prescribed by the °pass- through^ entity. All expenditure reports must be submitted upon the accrual basis of accounting. Failure to adhere to the reporting requirements of this agreement will result in funds not being released. 12. Termination This subgrant agreement may be terminated in whole or in part for either of the two following circumstances: a). Termination for Convenience - Either the "pass- through" entity or the Subgrantee may request a termination, in whole or in part, for convenience. The Subgrantee will give a ninety (90) calendar -day advance notice in writing to the "pass- through" entity. The "pass- through" entity will give a ninety (90) calendar -day advance notice in writing to the Subgrantea. b) . Termination for Cause - The "pass- throughd entity may terminate this subgrant agreement in whole or In part when it has determined that the Subgrantee has substantially violated a specific provision of the WIOA regulations, the Uniform Guidance or implementing state legislation and corrective action has not been taken. (1) . All notices of termination must be in writing and be delivered personally or by deposit in the U. S. Mail, postage prepaid, "Certified Mail -Return Receipt Requested ", and will be deemed to have been given at the time of personal del-very or of the data of postmark by the U. S. Postal Service. Notices to the Subgrantee will be addressed to: Kelly, Reenders Director / Administrator SANTA ANA WORKFORCE INV BOARD 1000 B. SANTA ANA BLVD, SANTA ANA, CA 92701 Notices to the "Pass- through" Entity will be addressed to: Employment Development Department Workforce Services Division Financial Management Unit P. 0. Box 826880, MIC 69 Sacramento, CA 94280 -0001 13, Records 55F -13 Page 8 of 13 a) . If participants are served under this eubgrant agreement, the Subgrantee will establish a participant data system as prescribed by the "pass-through' entity. b). Subgrantee will retain all records pertinent to this eubgrant agreement for a period of three years from the date of final payment of this eubgrant agreement. If, at the end of three years, there is litigation or an audit involving those records, the Subgrantee will retain the records until the resolution of such litigation or audit. Refer to Uniform Guidance, Subpart D, Part 200.333 - 200.337. c). The "pass - through' entity and /or the DOL, or their designee (refer to Uniform Guidance, Subpart F, Part 200.500- 200.521)will have access to and right to examine, monitor and audit all records, documents, conditions and activities related to programs funded by this eubgrant agreement. For purposes of this section, - access to" means that the Subgrantee shall at all times maintain within the State of California a complete set of records and documents related to programs funded by this agreement. The Subgrantee shall comply with this requirement regardless of whether it ceases to operate or maintain a presence within the State of California before the expiration of the eubgrant. Subgrantee's performance under the terms and conditions herein specified will be subject to an evaluation by the -pass- through" entity of the adequacy of the services performed, timeliness of response and a general impression of the competency of the firm and its staff. 14. Audits a). The Subgrantee will maintain and make available to auditors, at all levels, accounting and program records including supporting source documentation and cooperate with all auditors. All governmental and non - profit organisations must follow the audit requirements (single audit or program - specific audit requirement) of Uniform Guidance 2 CFR Part 200 and DOL Exceptions 2 CFR Part 2900. b). The Subgrantee and /or auditors performing monitoring or audits of the Subgrantee or its sub- contracting service providers will immediately report to the -pass- through- entity any incidents of fraud, abuse or other criminal activity in relation to this eubgrant agreement, the WIOA, or its regulations. 15. Disallowed Coate Except to the extent that the state determine$ it will assume liability, the Subgrantee will be liable for and will repay, to the -pass-through" entity, any amounts expended under this eubgrant agreement found not to be in accordance with W:OA including, but not limited to, disallowed costa. Such repayment will be from funds (Non - Federal), other than those received under the wIOA. 19. Conflicts a). Subgrantee will cooperate in the resolution of any conflict with the DOL that may occur from the activities funded under this agreement. b). In the event of a dispute between the -pass- through' entity and the Subgrantee over any part of thin eubgrant agreement, the dispute may be submitted to non - binding arbitration upon the consent of both the "pass - through" entity and the Subgrantee. An election for arbitration pursuant to this provision will not preclude either party from pursuing any remedy for relief otherwise available. 17. Grievances and Complaint System Subgrantee will establish and maintain a grievance and complaint procedure in compliance with the WIUA, the Uniform Guidance 2 CFR Part 200, DOL Exceptions 2 CFA Part 2900, federal regulations and state statues, regulations and policy. 18. Property All property, whether finished or unfinished documents, data, studies and reports prepared or purchased by the Subgrantee under this eubgrant agreement, will be disposed of in accordance with the direction of the -pass- through- entity. rn addition, any tools and /or equipment furnished to the Subgrantee by the •pass- through" entity and /or purchased by the Subgrantee with funds pursuant to this eubgrant agreement will be limited to use within the activities outlined in this eubgrant agreement and will remain the property of the United States Government and /or the "pass - through- entity. Upon termination of this eubgrant agreement, Subgrantee will immediately return such tools and /or equipment to the -pass-through- entity or dispose of them in accordance with the direction of the -pasa- through- entity. 19. Intellectual Property Provisions a).Federal Funding In any eubgrant funded in whole or in part by the federal government, "paas- through" entity may acquire and maintain the Intellectual Property rights, title, and ownersbip, which result directly or indirectly from the subgrant, except as provided in 37 CFR Part 401.14. However, pursuant to Uniform Guidance 2 CPR Part 200 and DOL Exceptions 2 CFR Part 2900 the federal government shall have a royalty -free, non- exclusive, irrevocable, paid -up license throughout the world to use, duplicate, or dispose of such Intellectual Property throughout the world in any manner for governmental purposes and to have and permit others to do so. b) Ownership (1). Except where -pass- through" entity has agreed in a signed writing to accept a license, 'pass-through- entity shall he and remain, without additional compensation, the sole owner of any and ell rights, title and interest in all intellectual property, from the moment of creation, whether or not jointly conceived, that are made, conceived, derived from, or reduced to practice by Subgrantee or -pasa- through" entity and which result directly or indirectly from this eubgrant agreement. (2).FOr the purposes of this eubgrant agreement, Intellectual Property means recognized protectable rights and interest ouch as: patents, (whether or not issued) copyrights, trademarks, service marks, applications for any of the foregoing, inventions, trade secrets, trade dress, loges, insignia, color combinations, slogan, moral rights, right of publicity, author's rights, contract and licensing rights, works, mask works, industrial design rights, rights of priority, know haw, design flows, methodologies, devices, business processes, developments, innovations, good will, any data or information maintained, collected or stored in the ordinary course of business by -pass- through- entity, and all other legal rights protecting intangible proprietary information as may exist now and /or hereafter come into existence, and all renewals and extensions, regardless of whether those rights arise under the laws of the United states, or any other state, country or jurisdiction. (a). For the purposes of the definition of Intellectual Property, - works" means all literary works, - writings and printed matter including the medium by which they are recorded or reproduced, photographs, art work, pictorial and graphic representations and works of a similar nature, film, motion pictures, digital images, animation cells, and other audiovisual works including positives and negatives thereof, sound recordings, tapes, educational materials, interactive videos, computer software and any other Page 9 of 13 55F -14 materials or products created, produced, conceptualized and fixed in a tangible medium of expression. It includes preliminary and final products and any materials and information developed for the purposes of producing those final products, "Works" does not include articles submitted to peer review or reference journals or independent research projecns. (3),In the performance of this subgrant agreement, Subgrantee may exercise and utilize certain of its Intellectual Property in existence prior to the effective date of this subgrant agreement. In addition, under this subgrant agreement, Subgrantele my access and utilize certain of -pass- through" entity�s Intellectual property in existence prior to the effective date of this subgrant agreement. Except as otherwise set forth herein, Subgrantee shall not use any of "pass- through^ entity's Intellectual Property now existing or hereafter existing for any purposes without the prior written permission of -pass - through" entity. Except as otherwise set forth herein, neither the Subgrantee nor -pass- through" entity shall give any ownership interest in or rights to its Intellectual Property to the other Party. If, during the term of this subgrant agreement, Subgrantee accesses any third -party Intellectual Property that is licensed to -pass- through" entity, Subgrantee agrees to abide by all license and confidentiality restrictions applicable to "pass- through" entity in the third - party's license agreement. (4).SUbgrantee agrees to cooperate with "pass- through" entity in establishing or maintaining "pass - through" entity's exclusive rights in the Intellectual Property, and in assuring -pass- through" entity's sole rights against third parties with respect to the Intellectual Property. If the Subgrantee eaters into any agreements or subcontracts with other parties in order to perform this subgrant agreement, Subgrantee shall require the terms of the agreement(s) to include all Intellectual Property provisions of paragraph nineteen a) through nineteen i), Such terms must include, but are not limited to, the subcontractor assigning and agreeing to assign to -pass- through^ entity all rights, title and interest in Intellectual Property made, conceived, derived from, or reduced to practice by the subcontractor, suhgrantee or -paea- through" entity and which result directly or indirectly from this subgrant agreement or any subcontract. (5). Pursuant to paragraph nineteen (b) (4) of the Intellectual Property Previsions in Exhibit ES to this subgrant agreement, the requirement for the Subgrantee to include all Intellectual Property Provisions of paragraph nineteen a) through nineteen i) of the Intellectual Property Provisions in all agreements and subcontracts it enters into with other parties does not apply to subgrant agreements or subcontracts that are for customized and on -the -job training as authorized under 20 CPR 663.700 -730. (6).SUbgrantee further agrees to assist and cooperate with "pass- through" entity in all reasonable respects, and execute all documents and, subject to reasonable availability, give testimony and take all further acts reasonably necessary to acquire, transfer, maintain, and enforce -pass-through" entity's Intellectual Property rights and interests. C). Retained Rights / License Rights (1). Except for Intellectual Proper- passProper -pees- through' entity ty made, conceived, derived from, or reduced to practice by Subgrantee or -pass- through^ entity and which result directly or indirectly from this eubgrant agreement, Subgrantee shall retain title to all of its Intellectual Property to the extent such Intellectual Property is in existence prior to the effective date of this subgrant agreement. Subgrantee hereby grants to "paea - through- entity, without additional compensation, a permanent, non- exclusive, royalty free, paid -up, worldwide, irrevocable, perpetual, non - terminable license to use, reproduce, manufacture, sell, offer to sell, import, export, modify, publicly and privately display / perfora, distribute, and dispose of Subgrantee's Intellectual Property with the right to sublicense through multiple layers, for any purpose whatsoever, to the extent it is incorporated in the Intellectual Property resulting from this subgrant, unless Subgrantee assigns all rights, title and interest in the Intellectual Property as set forth herein. (2) . Nothing in this provision shall restrict, limit, or Otherwise prevent Subgrantee from using any ideas, concepts, know -how, methodology or techniques related to its performance under this subgrant agreement, provided that Subgrantee'e user does not infringe the patent, copyright, trademark rights, license or ether Intellectual Property rights of -paea- through- entity or third party, or result in a breach or default of any provisions of paragraph nineteen a) through nineteen i) or result in a breach of any provisions of law relating to confidentiality. d). Copyright (1) Subgrantea agrees that for purposes of copyright law, all worka (as defined in Ownership, paragraph nineteen (b) (2) (a) of authorship made by or on behalf of Subgrantee in connection with Subgrantee -s performance of this subgrant agreement Shall be deemed ^works made for hire.- Subgrantee further agrees that the work of each person utilized by Subgrantee in connection with the performance of this subgrant agreement will be a -work made for hire," whether that person is an employee of Subgrantee or that person has entered into an agreement with Subgrantee to perform the work. Subgrantee shall enter into a written agreement with any such person that: (i) all work performed for Subgrantee shall be deemed a "work made for hire^ under the Copyright Act and (ii) that person shall assign all right, title, and interest to -pass- through- entity to any work product made, conceived, derived from or reduced to practice by Subgrantee or -pass- through- entity and which result directly or indirectly from this subgrant agreement. Refer to Uniform Guidance 2 CFR Part 200 and NOL Exceptions 2 CPR Part 2900. (2) All materials, including, but not limited to, computer software, visual works or text, reproduced or distributed pursuant to this subgrant agreement that include Intellectual Property made, conceived, derived from, or reduced to practice by Subgrantee or "pass- through" entity and which result directly or indirectly from this eubgrant agreement may not be reproduced or disseminated without prior written permission from "pass- through- entity.. e). Patent Rights With respect to inventions (refer to Uniform Guidance 2 CPR Part 200 and OOL Exceptions 2 CFR Part 2900, made by Subgrantee in the performance of this subgrant agreement, which did not result from research and development specifically included in the subgrantla scope of work, Subgrantee hereby grants to "pass - through- entity a license as described under paragraph nineteen c) for devices or material incorporating, or made through the use of such inventions. If Such inventions result from research and development Work specifically included within the eubgrant agreement's scope of work, then Subgrantee agrees to assign to "pass- through" entity, without addition compensation., all its right, title and interest in and to such inventions and to assist - page - through- entity in securing United States and foreign patents with respect thereto. Page 10 of 13 55F -15 fl. Third -Party Intellectual Property Except as provided herein, Subgrantee agrees that its performance of this oubgrant agreement shall not he dependent upon or include any Intellectual Property of Subgrantee or third party without first: (i) obtaining ^pass- through^ entity's prior written approval; and (if) granting to or obtaining for •pave- through^ entityla, without additional compensation, a license, as described in paragraph nineteen c), for any of Subgrantees or third - party's Intellectual Property in existence prior to the effective date of this subgrant agreement. If such a license upon these terms is unattainable, and -pass-through- entity determines that the Intellectual Property should be included 'in or is required for Subgrartees cerfor.ance of this subgrant agreement, Subgrantee shall obtain a license under terms acceptable to °pass - through' entity. g). Warranties (1). Subgrantee represents and warrants that: (a). It has secured and will secure all rights and licenses necessary for its performance of this subgrant agreement. (b). Neither Subgrantee's performance of this subgrant agreement, nor the exercise by either Party of the rights granted in this subgrant agreement, nor any use, reproduction, manufacture, sale, offer to sell, import, export, modification, public and private display /performance, distribution, and disposition of the Intellectual Property made, conceived, derived from, or reduced to practice by Subgrantee or -pace- through" entity and which result directly or indirectly from this subgrant agreement will infringe upon or violate any Intellectual Property right, non - disclosure obligation, or ether proprietary right or interest of any third -party or entity now existing under the laws of, or hereafter existing or issued by, any state, the United States, or any foreign country. There are currently no actual or threatened claims by any such third party based on an alleged violation of any ouch right by Subgrantee. (c). Neither Subgranteea performance nor any part of its performance will violate the right of privacy of, or constitute a libel or slander against any person or entity. (d). It has secured and will secure all rights and licensee necessary for Intellectual Property including, but not limited to, consent$, waivers or releases from all authors. (e). of music or performances used, and talent (radio, television and motion picture talent), owners of any interest in and to real estate, sites locations, property or props that may be used or shown. (f). It has not granted and shall not grant to any person or entity any right that would or might derogate, encumber, or interfere with any of the rights granted to °pass - through" entity in this subgrant agreement, (g). it has appropriate systems and controls in place to ensure that state and federal funds will not be used in the performance of this subgrant agreement for the acquisition, operation or maintenance of computer software in violation of copyright Iowa. (h). It has no knowledge of any outstanding claims, licenses or other charges, liens, or encumbrances of any kind or nature whatsoever that could affect in any way Subgrantees performance of this subgrant agreement. (2). -PASS- THROUGH" ENTITY MARES NO WARRANTY THAT THE INTELLECTUAL PROPERTY RESULTING FROM THIS SUBGRANT AGREEMENT DOES NOT INFRINGE UPON ANY PATENT, TRADEMARK, COPYRIGHT OR ME LIKE NOW EXISTING OR SUBSEQUENTLY ISSUED. h). Intellectual Property Indemnity (1). Subgrantee shall indemnify, defend and hold harmless "pass- through" entity and its licensees and assignees, and its officers, directors, employees, agents, representatives, successors, and users of its products, ( "Indemnities ") from and against all claims, actions, damages, losses, liabilities (or actions or proceedings with respect to any thereof), whether or not rightful, arising from any and all actions or claims by any third party or expenses related thereto (including, but not limited to, all legal expenses, court costs, and attorney's fees incurred in investigating, preparing, serving as a witness in, or defending against, any such claim action, or proceeding, commenced or threatened) to which any of the Indemnities may be subject, whether or not Subgrantee is a party to any pending or threatened litigation, which arise out of or are related to li) the incorrectness or breach of any of the representations, warranties, covenants or agreements of Subgrantee pertaining to Intellectual Property; or (ii) any Intellectual Property infringement, or any other type of actual or alleged infringement claim, arising out of -pass-through- entity's use, repreduotion, manufacture , sale, offer to sell, distribution, import, export, modification, public and private performance /display, license, and disposition of the Intellectual Property made, conceived, derived from, or reduced to practice by Subgrantee or "pass - through" entity and which result directly or indirectly from this subgrant agreement. This indemnity obligation shall apply irrespective of whether the infringement claim is based on a patent, trademark or copyright registration that was issued after the effective date of this eubgrant agreement. -pass- through- entity reserves the right to participate in and /or control, at Subgrantee'a expense, any such infringement action brought against ^pass- through" entity. (2). Should any intellectual Property licensed by the Subgrantee to •pave- through" entity under this subgrant agreement become the subject of an Intellectual Property infringement claim, Subgrantee will exercise its authority reasonably and in good faith to preserve -paas- through" entity's right to use the licensed Intellectual Property in accordance with this subgrant agreement at no expense to "pass- through" entity. "pass - through" entity shall have the right to monitor and appear through its own counsel (at Subgrantee'$ expense) in any such claim or action. In the defense or settlement of the claim, Subgrantee may obtain the right for -pass-through- entity to continue using the licensed Intellectual Property or, replace or modify the licensed Intellectual Property so that the replaced or modified Intellectual Property becomes non - infringing provided that such replacement or modification is functionally equivalent to the original licensed Intellectual Property. If such remedies are not reasonably available, -pass - through" entity may be entitled to a refund of all monies paid under this subgrant agreement, without restriction or limitation of any other rights and remedies available at law or in equity, (3). Subgrantee agrees that damages alone would be inadequate to compensate -pass- through" entity for breach of any term of these Intellectual Property provisions of paragraph nineteen a) through nineteen i) by Subgrantee. Subgrantea acknowledges "pass - through" entity would suffer irreparable harm in the event of such breach and agrees -paee- through" entity shall be entitled to obtain equitable relief, including without limitation an injunction, from a court of competent jurisdiction, without restriction or limitation of any other rights and remedies available at law or in equity. Page 11 of 13 55F -16 i). Survival The provisions set forth herein shall survive any termination or expiration of this subgrant agreement or any project schedule. 20. Confidentiality Requirements The State of California and the Subgrantee will exchange various kinds of information pursuant to this eubgrant agreement. That information will include data, applications, program files, and databases. These data and information are confidential when they define an individual or an employing unit. Confidential information requires special precautions to protect it from unauthorized use, access, disclosure, modification, and destruction. The sources of Information may include, but are not limited to, the EDD, the California Department of Social Services, the California Department of Education, the California Department of Corrections and Rehabilitation, the County Welfare Department(s), the County IV- D Directors Office of Child Support, the Office of the District Attorney, the California Department of Mental Health, the California Office of Community Colleges and the Department of Alcohol and Drug Programs. The "pass - through" entity and Subgrantee agree that: a). Each party shall keep all information that is exchanged between them in the strictest confidence and make such information available to their own emp.oyees only on a wneed -to -know^ basis. b). Each party shal_ provide security sufficient to ensure protection of confidential information from improper use and disclosures, including sufficient administrative, physical, and technical safeguards to protect this information from reasonable unanticipated threats to the security or confidentiality of the Information, c) . The Subgrantee agrees that information obtained under this eubgrant agreement will not be reproduced, published, sold or released in original or in any other form for any purpose other than those specifically identified in this agreement. (1) Aggregate Summaries: All reports and /or publications developed by the Subgrantee based on data obtained under this agreement shall contain confidential data in aggregated or statistical summary form only. -Aggregated' refers to a data output that does not allow identification of an individual or employer unit. (2) Publication: Prior to publication, Subgrantee shall carefully analyze aggregated data outputs to ensure the identity of individuals and /or employer unite cannot be inferred pursuant to Unemployment Insurance Code Section 1094(c). Personal identifiers must be removed. Geographic identifiers should be specified only in large areas and as needed, and variables should be recorded in order to protect confidentiality. (3) Minimum Data Cell Size: The minimum data cell size or derivation thereof shall be three participants for any data table released to outside parties or to the public. d). Each party agrees that no disaggregate data, identifying individuals or employers, shall be released to outside parties or the public. e). The Subgrantee shall notify "pass - through" entity's Information Security Office of any actual or attempted information security incidents, within 24 hours of initial detection, by telephone at (916) 654- 6231. information Security Incidents include, but are not limited to, any event (intentional or unintentional), that causes the lose, damage, or destruction, or unauthorized access, use, modification, or disclosure of information assets. The Subgrantee shall cooperate with the ^page- through" entity in any investigation of security incidents. The system or device affected by an information security incident and containing confidential data obtained in the administration of this program shall be immediately removed from operation upon confidential data exposure or a known security breach. It shall remain removed from operation until correction and mitigation measures are applied. If the Subgrantee learns of a breach in the security of the system which contains confidential data obtained under this Subgrant, then the Subgrantee must provide notification to individuals pursuant to Civil Code Section 1798.82. fl. The Subgrantee shall provide for the management and control of physical access to information assets (including personal computer systems, computer terminals, while computing devices, and various electronic storage media) used in performance of this Subgrant. This shall include, but is not limited to, security measures to physically protect data, systems, and workstations from unauthorized access and malicious activity; the prevention, detection, and suppression of fires; and the prevention, detection, and minimization of water damage. g) . At no time will confidential data obtained pursuant to this agreement be placed on a mobile computing device, or on any torn of removable electronic storage media of any kind unless the data are fully encrypted. h). Each party shall provide its employees with access to confidential information with written instructions fully disclosing and explaining the penalties for unauthorized use or disclosure of confidential information found in Section 1795.55 of the Civil Code, Section 502 of the Penal Code, Section 2111 of the Unemployment Insurance Code, Section 10850 of the welfare and Institutions Code and other applicable local, state and federal laws. i). Each party shall (where it is appropriate) store and process information in electronic format, in such a way that unauthorized persona cannot reasonably retrieve the information by means of a computer. j). Each party shall promptly return to the other party confidential information when its use ends, or destroy the confidential information utilizing an approved method of destroying confidential information: shredding, burning, or certified or witnessed destruction. Magnetic media are to be degaussed or returned to the other party. k) . If the 'pass- through^ entity or Subgrantee enters into an agreement with a third party to provide WIOA services, the "pass- through^ entity or Subgrantee agrees to include these data and security and confidentiality requirements in the agreement with that third party. In no event shall said information be disclosed to any individual outside of that third party's authorized staff, subcontractor(a), service providers, or employees. 1). The Subgrantee may, in its operation of the America's Job Center of California (AJCC), permit an AJCC operator to enter into a subcontract to manage confidential information. This subcontract may allow an individual to register for resume - distribution services at the same time the individual enrolls in C2lJOeS. Subgrantee Shall ensure that all such subcontracts comply with the intellectual property requirements of paragraph 19 of this Subgrant, the confidentiality requirements of paragraph 20 of this Subgrant and any other tense of this Subgrant that may be applicable. In addition, the following Page 12 of 13 55F -17 requirements must be included in the subcontracts: (1). All client information submitted over the Internet to the subcontractor's databases must be protected, at a minimum, by 128 -bit Secure Socket Layer (SSL) encryption. Clients' social security numbers must be stored in a separate database within the subcontractor's network of Servers, and protected by a firewall and a secondary database server firewall or AESI data encryption. If a subcontractor receives client social security numbers or other confidential information in the course of business, for example a resume - distribution service that provides enrollment in CalJOSS, Social security numbers must be destroyed within two days after the client registers for CalJGSS. If a subcontractor obtains confidential information as an agent of the subgrantee, the subcontract must specifically state the purpose for the data collection and the tern of records retention must be Stated, and directly related, to the purpose and use of the information. In accordance with Uniform Guidance 2 CFR Part 200 and DOL Exceptions 2 CFA Part 2900, social security numbers and other client specific information shall not be retained for more than three years after a client completes services. The aubgrantee should extend this period, only if any litigation, claim, negotiation, audit, or other action involving the records has been started before the end of the three -year retention period. In this came tae records should be maintained until completion of the action and resolution of all issues arising from it, or until the close of the three -year retention period, whichever is later. Uniform Guidance 2 CFR Part 200 and DOL Exceptions 2 CPR Part 2900. W. Client information (personal information that identifies a client such as name and social security number) and /or demographic information of a client (such as wage history, address, and previous employment) shall not be used as a basis for commercial solicitation during the time the client or agency is using the subcontractor's Services. Client information and /or demographic information Shall not be used for any purposes other than those specific program purposes set forth in the subcontract. (3). An AJCC client must still be given the option to use the AJCC's services, including Cd1JOSS, even if he or she chooses not to use any services of she subcontractor. This option shall be prominently, clearly and immediately communicated to the client upon registration within the AJCC or for CdlJOHS, the subcontractor's resume- distribution services, or any other services subcontractor offers to the client or the A,CCC Operator. (4). The subcontractor must clearly disclose all of its potential and intended uses of the client's personal and /or demographic information for the services the client seeks and for any other services the subcontractor offers. The subcontractor shall not use a client's personal and /or demographic information without the client's prior permission. A link to the subcontractor's Privacy Policy shall appear prominently on the registration Screens that list the potential and intended uses of the client's personal and/or demographic information. (5). when the "pass- through• entity modifies State automated systems such as the State CalJGSS System, it shall provide reasonable notice of such changes to the Subgrantee. The Subgrantee shall be responsible to communicate such changes to the AJCC Operator(6) in the local area. m). Each party Shall designate an employee who shall be responsible for overall security and confidentiality of its data and information systems and each party shall notify the other of any changes in that designation. As of this date, the fallowing are those individuals: FOR THE "PASS - THROUGH" ENTITY Name: Jaime Gutierrez Title: Section Manager Address: P.O. Sox 826680, MIC 50 Sacramento, CA 942BO -0001 Telephone: (916) 654 -9699 Fax: (916) 654 -9586 FOR THE 3USGRANTEE Deborah Sanchez Title: Economic Development Specialist III Telephone: (714) 565 -2621 Fax` (714) 565 -2602 21. Signatures This subgrant agreement is of no force and effect until signed by both of the parties hereto. Subgrantee will not commence performance prier to the beginning of this subgrant agreement. Page 13 of 13 55F -18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: PROPOSED CITY COUNCIL RETREAT AGENDA FOR AUGUST 18, 2015 (STRATEGIC PLAN NO. 1 -7) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1°t Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Review the proposed City Council Retreat agenda for August 18, 2015 and direct staff to modify as desired. The City Council has directed staff to prepare a proposed agenda for the August 18, 2015 Council Retreat. The proposed agenda (Exhibit 1) will facilitate Mayor and Councilmember discussion to obtain consensus on City Council priorities. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's Plan. Goal #1 Community Safety; Goal Development; Goal #4 City Financia Engagement & Sustainability; Goal #6 Santa Ana FISCAL IMPACT efforts to meet the goals and objectives of its Strategic #2 Youth, Education, Recreation; Goal #3 Economic I Stability; Goal #5 Community Health, Livability, Community Facilities & Infrastructure; Goal #7 Team There is no fiscal impact associated with this item. Exhibit 1: City Council Draft Agenda 65A -1 EXHIBIT 1 DRAFT City Council Retreat Tuesday, August 18, 2015 5:00 P.M. — 9:00 P.M. Police Community Room Primary goal is to discuss and obtain consensus on City Council priorities. An overview of the Charter requirements for unencumbered revenue and savings will be provided — i.e. 2/3 Council majority requirement. 65A -2 Topic Presenter 1. Surplus Determination Process _ David Cavazos, City Manager 2. Schedule for Allocations Francisco Gutierrez, Exec. Dir., Finance & Mgmt. Services 3. Review of Individual Councilmember Priorities Jorge Garcia, Sr. Management Assistant, City Manager's Office 4. Overview of Deferred Maintenance, Capital Improvement Gerardo Mouet, Exec, Dir., Rec., and Vehicle Replacement Needs Parks & Comm. Services; Fred Mousavipour, Exec. Dir., Public Works; Francisco Gutierrez, Exec. Dir., Finance & Mgmt. Services 5. Technology Study /Needs — Budget Options Robert Cortez, Special Assistant to the City Manager; Roy Hernandez, President, Third Wave Corp. 6. General Plan — Branding needs /Metro East Planning Hassan Haghani, Exec. Dir., Planning & Building; Kelly Reenders, Exec. Dir., Community Development 7. Roundtable — City Council Discussion of Priorities City Council 65A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE: PUBLIC HEARING - ADOPT DOWNTOWN ENHANCEMENTS AND PARKING MODERNIZATION PLAN AND ADOPT GOVERNING PARKING ORDINANCE AND RESOLUTION (STRATEGIC PLAN NO. 3, 413} CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 0=09 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Adopt Downtown Enhancements and Parking Modernization Plan developed with the consensus and collaborative efforts of various Downtown stakeholders. 2. Adopt an ordinance amending the parking meter rates to $1.00 per hour in the Midtown Zone and $1.50 per hour in the Downtown Zone; establish the hours of parking meter operations from 8am — 10pm in the Downtown Zone; and additional changes to the ordinance defining boundaries of the meter zones within the meter district to reflect current parking practices; and modification of parking regulations on Fourth Street between Ross Street and Mortimer Street to allow parking from 8am — 4am. 3. Adopt a resolution setting parking rates for City owned parking structures to $1.50 per hour; $10.00 daily maximum; and $50.00 per month upon completion of modernization improvements to parking structures; and setting parking rates for the surface lot to $1.50 per hour. 4. Authorize City staff to prepare RFP's and release bids related to the Downtown Enhancements and Parking Modernization Plan. 5. Annual review of progress related to Downtown Enhancements and Parking Modernization Plan. DISCUSSION The proposed Downtown Enhancements and Parking Modernization Plan addresses the need to modernize parking structures, enhance public amenities, and address deferred maintenance in the Downtown. The proposed plan recommends adjusting parking rates closer to market levels based 75A -1 Downtown Enhancements and Parking Modernization Plan August 4, 2015 Page 2 on rate surveys and studies. This plan represents the collaborative efforts and consensus of Downtown business organizations, stakeholders, and City staff. Currently, the City's parking amenities includes approximately 3,200 spaces, in addition to private parking facilities throughout the Downtown. Of these spaces, 1,211 are on- street metered spaces with approximately 500 credit card enabled meters. Downtown on- street meters are designed for short -term parking with a two -hour maximum stay. Long term and overflow parking is available through five parking facilities with 1,997 spaces located within Downtown. Four facilities are multi- level parking structures that accommodate both transient and monthly patrons and one surface lot that accommodates solely transient patrons. Parking structures are correspondingly priced to encourage longer -term use. Collaborative and Consensus Building Efforts with Stakeholder Input In late 2014, City staff assessed current conditions of the parking operations. The findings highlighted key areas of needed modernization improvements and enhanced amenities but also recognized the necessary collaboration between stakeholders. Staff conducted walk and talk tours, hosted and attended meetings to engage stakeholders, and gained a better understanding of the needs of the Downtown. The results have led to the formation of the proposed Downtown Enhancements and Parking Modernization Plan, which is based on the consensus of various Downtown businesses owners, merchants, the Santa Ana Business Council, and Downtown Inc. Current Conditions: On- Street Parking and Off - Street Parking Parking structure rates have not been adjusted in over 20 years and parking meter rates were last adjusted 12 years ago, resulting in an outdated and imbalanced pricing model leading to unfavorable parking management and customer service conditions. An environment where on- street parking is less expensive than off - street parking typically leads to congestion as drivers continually search for lower priced off - street parking. This creates frustration and an unpleasant experience for Downtown visitors. Feedback from stakeholder participants included a recommendation to address expired meter parking citation fines. As a response, it is recommended that the fine be reduced from $56.00 to $40.00. Reducing the citation amount encourages a business friendly Downtown. Since being built in the 1980s, all four of the parking structures continue to operate with the original parking equipment. The equipment is becoming more expensive to maintain, resulting in inefficiencies and maintenance downtime. Additional improvements necessary to modernizing the Downtown includes providing adequate lighting fixtures, proper directional signage, and aesthetics such as paint and landscaping. 75A -2 Downtown Enhancements and Parking Modernization Plan August 4, 2015 Page 3 Operating Revenues and Expenses FY 2012 -2013 to FY 2013 -2014 The City's parking operating revenues and expenses highlight a downward trend of capital reserves caused by rising maintenance cost and no adjustments in parking rates. The steady increase in expenses highlights the need to revise the parking rate model. The current revenue model is not sustainable and will not allow the City to perform many of the needed modernization and deferred maintenance projects. To date, the Parking Enterprise Fund has utilized Capital Reserves to cover the costs associated with the current level of parking operations. Parking Facilities and Meter Rates Survey A rate survey was conducted for both off - street and on- street parking rates within Downtown Santa Ana. The following table highlights the findings: n rt REVENUES C Parking Structures $1,550,961 $1,422,317 Parking Meters $1,029,372 $1,018,387 Parking Citations $ 497,519 $ 505,096 Subtotal $3,077,852 $2345,800 $20.00 $106.00 City of Santa Ana EXPENSES $7.00 $40.00 Parking Structures $1,250,716 $1,322,113 Parking Meters $ 863,520 $ 939,111 Subtotal $2,114,236 $2,261,224 Capital Reserves MUM 104,576 The steady increase in expenses highlights the need to revise the parking rate model. The current revenue model is not sustainable and will not allow the City to perform many of the needed modernization and deferred maintenance projects. To date, the Parking Enterprise Fund has utilized Capital Reserves to cover the costs associated with the current level of parking operations. Parking Facilities and Meter Rates Survey A rate survey was conducted for both off - street and on- street parking rates within Downtown Santa Ana. The following table highlights the findings: With hourly rates of $1.00 per hour, $7.00 daily maximum and $40.00 per month, the City of Santa Ana parking structure rates are by far the lowest of all off - street parking facilities. Based on a survey of other cities that offer on- street metered parking, we found the following: 75A -3 n rt C Market Average $1.98 $13.56 $60.00 Market Low $1.00 $7.00 $40.00 Market High $4.00 $20.00 $106.00 City of Santa Ana $1.00 $7.00 $40.00 With hourly rates of $1.00 per hour, $7.00 daily maximum and $40.00 per month, the City of Santa Ana parking structure rates are by far the lowest of all off - street parking facilities. Based on a survey of other cities that offer on- street metered parking, we found the following: 75A -3 Downtown Enhancements and Parking Modernization Plan August 4, 2015 Page 4 Huntington Beach $1.50 HoiULW ' " ' 5am to 12am Laguna Beach $1.00 - $2.00 Various Newport Beach $1.50 Sam to 6 m San Clemente $1.50 10am to 5 m Santa Monica $1.00 and $2.00 8am to tam Riverside $0.50 and $1.00 No time limit Long Beach $0.75 - $2.00 Various Santa Ana $0.75 - $1.00 8am to 8pm With hourly meter rates of $0.75 and $1.00 per hour, Downtown Santa Ana parking fees are lower than comparable downtowns and other destination areas. Recent Successes and Accomplishments In 2014, City staff implemented new parking technology. Parking improvements accomplished during fiscal year 2014 -2015 are highlighted below: • Installed IPS Smart Meters with credit capabilities. • Installed credit card readers in parking structures. • Eliminated meter sharing though smart sensor technology. • Pay -by -phone capability added to Downtown parking meters. • Implemented valet program at 3rd St. & Bush St. parking lot. • Comprehensive parking structures assessment complete as well as a market rate parking study. • Ongoing improvements planned for signage, wayfinding, and lighting. Downtown Enhancements and Parking Modernization Plan The City reviewed options with various stakeholders and built consensus from the Santa Ana Business Council and Downtown Inc. on the modernization improvements and amenities with the use of corresponding rate adjustments. The preliminary Parking Pro Forma (Exhibit # 1) details improvements and amenities that are integral to the successful modernization of the parking program and, at the same time, complement the recent economic growth in the Downtown. The preliminary Parking Pro Forma is categorized into key areas which identify needed improvements and amenities. Downtown Enhancements: Safety The City will hire four additional Police Officers dedicated exclusively to patrolling the Downtown to increase safety. Civilian security staff levels will also be increased to assist in patrolling the parking structures. Further enhancements will include installation of security cameras along the Downtown to improve pedestrian safety. 75A -4 Downtown Enhancements and Parking Modernization Plan August 4, 2015 Page 5 Downtown Enhancements: Sanitation and Maintenance The development of a Downtown Clean Team will ensure that a routine and proper maintenance schedule is followed to keep Downtown clean. Further efforts will include the formation of a recycling program to help manage and reduce refuse output and the installation of additional waste receptacles. Installation of public restrooms will serve to maintain Downtown clean and sanitary. Downtown Enhancements: Beautification. Marketing, and Other Amenities To build on Santa Ana's successes and assist the Downtown in reaching its full potential, it will be necessary to improve alleyways, sidewalks, landscaping, and lighting. Marketing efforts will focus on creating a strong identity brand, promoting year -round events and programs. Comprehensive marketing materials will include display of holiday decor, banners, and postcard mailings. To further enhance the Downtown experience, an investment in amenities such as Wi -Fi (backbone) system and wayfinding signage are included in the plan. Transportation related amenities include the development of a Downtown Circulator and a pilot bike share program. The creation of a Downtown MerchantsNalidation Fund will be created to fund a validation program for participating business and merchants to reward their customers for using the parking structures. Parkinq Modernization: Parkinq Structures The off - street parking structures have the greatest need of upgrades and enhancements. The City will invest in replacing all of the parking and access revenue control systems (PARCS) with modern and automated replacements. This type of equipment will result in substantial savings, as they require decreased staffing levels and reduce maintenance and repair costs. Upgrades to the lighting fixtures, elevators, paint, landscaping and proper signage, will be completed as part of the enhancement projects. Installation of security cameras in the parking structures will complement the enhanced security of the Downtown. RECOMMENDATION As a result of the collaboration and consensus building efforts with Downtown stakeholders and business organizations, City staff recommends a rate adjustment for the City's on- street parking meters and off - street parking structures. The rate adjustment will establish the parking meter rates in the Midtown Zone to $1.00 per hour and the Downtown Zone to $1.50 per hour. The Willard Zone will remain unchanged at $1.00 per hour. In addition, it is necessary to modify the parking regulations along portions of Fourth Street to allow parking from 8am to 4am. Off - street parking structures in the Downtown will have rates of $1.50 per hour, $10.00 daily maximum, and monthly rates of $50.00 upon completion of said improvements. The Third Street and Bush Street surface parking lot will have a rate of $1.50 per hour. The stakeholder participants 75A -5 Downtown Enhancements and Parking Modernization Plan August 4, 2015 Page 6 and staff agreed that the recommended rate adjustment will not take place until after the structure upgrades and enhancements have been completed. This is estimated to occur after July 1, 2016. Staff also recommends reducing the expired parking meter citation from $56.00 to $40.00. The reduction in expired meter citation revenue will be partially offset by extending the parking enforcement hours in the Downtown Zone from 8am to 10pm. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 Economic Development, Objective #4 (Continue to pursue objectives that shape downtown Santa Ana into a thriving, culturally diverse, shopping, dining, and entertainment destination.), Strategy #B (Create a comprehensive program to manage parking that includes innovative strategies to provide parking, create revenue and enhance accessibility in the downtown.) FISCAL IMPACT All revenues received will fund the Downtown Enhancements and Parking Modernization Plan. It is estimated that for fiscal year 2015 -16, the proposed parking meter rate increase will generate an additional $822,000 in Parking Enterprise Fund revenue (no. 02710002- 53804). In Fiscal year 2016 -17, the proposed parking structure rate adjustment will generate an additional $547,600 pending the completion of the improvements (no. 02710002 - 53800). In fiscal year 2015 -16, the proposed expired parking meter citation decrease will result in a reduction of $132,857 and will be off -set by $55,357 increase in revenue by extending Downtown zone parking enforcement hours from 8am to 10pm. The net reduction to the Parking Enterprise Fund is estimated at $77,500 (no. 02710002 - 55000). Details on the Downtown Enhancements and Parking Modernization Plan are provided as part of the Parking Pro Forma and Construction Costs Detail Sheet (Exhibit #1). APPROVED AS TO FUNDS AND ACCOUNTS Fr6n sco Guti�e ez Executive Director Finance and Management Services Agency Exhibit: 1. Parking Pro Forma and Construction Costs Details Sheet 2. Downtown Santa Ana Parking Facilities Map 3. City of Santa Ana Meter District Map 4. Ordinance 5. Resolution 75A -6 a w Exhibit 1 75A -7 S $ o 7 A S $ �s �f� 8 R g pQQy QQ M gpppgpq O 3ifN pQQQQ ORM QQ SS,ESSS ygQq M i Qq p8� 8RSSR��R Fs RN �s s s °• # � 8$a= 7 Y�qF '• ,", g .� ��.. .� 'eR9 S' $ R O $ p C � $ 8 °Yv g[^y �g 3Y ss p 3p 8 MEN se�sg3 e8n aim $$ a° 'e3 x'$88 c $8 ia° .}c ESC °W §x °�� # '_ ;I FS. •yEy .e a`.E .£WS °° q xa @e §;� "8 �' om 311 75A -7 75A -8 EXHIBIT 1 CONSTRUCTION COSTS DETAILS SHEET 3rd and Birch (29,000 sf) #C 400 Sbaces 1 automated entry/exit arm and ticket slot (for vehicles) $ 250,000 *pay on foot station (payment kiosk) *pay on foot station (payment kiosk) $ 50,000 2 *landscaping $ 200,000 3 *interior lighting $ 32,000 4 *interior and exterior painting $ 200,000 5 *fagade signage ("PARKING" "ENTER" "EXIT') $ 150,000 6 * re- stripe parking stalls $ 6,000 7 * elevator improvements $ 100,000 subtotal $ 988,000 5th and Souraeon (55.418 sf1 #B 700 Spaces 1 *automated entry/exit arm and ticket slot (for vehicles) $ 400,000 *pay on foot station (payment kiosk) pay on foot station (2 payment kiosk) $ 100,000 2 *landscaping $ 350,000 3 *interior lighting $ 68,000 4 *interior and exterior painting $ 300,000 5 *fagade signage ("PARKING" "ENTER" "EXIT') $ 200,000 6 re- stripe parking stalls $ 12,000 7 elevator improvements $ 200,000 subtotal $ 1,630,000 5th and Main (19,365 sf) #D 400 Spaces 1 *automated entry/exit arm and ticket slot (for vehicles) $ 206,000 *pay on foot station (payment kiosk) $ 50,000 2 *landscaping $ 100,000 3 *interior lighting $ 45,000 4 *interior and exterior painting $ 200,000 5 *fagade signage ("PARKING" "ENTER" "EXIT') $ 150,000 6 re- stripe parking stalls $ 7,000 7 elevator improvements $ 100,000 subtotal ;s $ 858,000 3rd and Bush Lot #1 (35.276 sf) 59 Spaces 1 * public restroom $ 500,000 2 * re- stripe parking stalls $ 5,000 3 * landscaping repairs $ 20,000 4 * additional signage $ 35,000 subtotal $ 560,000 Administrative & Consultant Services for Caoital Imorovement Process 1 * professional consultant services $ 300,000 2 * project management stafftime $ 100,000 subtotal $ 400,000 TOTAL $ 4,436,000 75A -9 75A -10 Exhibit 2 PARKING FACILITIES: HOURS & PROPOSED RATES weaaenge USCwns FOURTH x E— m 7 1 1 `fidsM H,wu 0 FIRST SANTA ANA BOULEVARD Liu FE"I FIFTH j STREET j 0 t 4 U a STREET ad 0ryBJj 6 ?� .rld4 Mist Lahs O I Second 5t nio,•.•• «r 2ND ST. reec.� accA ❑ M GARAGE A ( 3RD & BROADWAY /ARTIST VILLAGE (3 Levels — 440 Spaces) Hours: Mon & Tues 8am -8pm; Weds - Sat 8am- Midnight; Sun 30am -6pm Monthly Rate: $50.00 Daily Rates: $1.50 Per Hour $10.00 Daily Maximum Pre -pay Evening Rates: $2.00 Sunday- Tuesday (After 4pm) $4.00 Wednesday - Saturday (After 7pm) No Overnight Parking GARAGE B ( 5TH & SPURGEON /EAST END (4 Levels — 700 Spaces) Hours: Mon & Tues 7:30am -9pm; Weds — Fri 7:30am- Midnight; Sat 6pm- Midnight; Free Sundays Monthly Rate: $50.00 Daily Rates: $1.50 Per Hour $10.00 Daily Maximum Pre -pay Evening Rates: $2.00 Sunday- Tuesday (After 4pm) $4.00 Wednesday- Saturday (After 7pm) No Overnight Parking GARAGE C ) 3RD & BIRCH (5 Levels — 400 Spaces) Hours: Mon & Tues 8am -6pm; Weds — Fri Sam - Midnight; Sat 4pm- Midnight; Free Sundays Monthly Rate: $50.00 Daily Rates: $1,50 Per Hour, $10.00 Daily Maximum Pre -pay Evening Rates: $2.00 Sunday- Tuesday (After 4pm) $4.00 Wednesday- Saturday (After 7pm) No Overnight Parking GARAGE D ( 5TH & MAIN (7 Levels — 400 Spaces) Hours: Mon —Sat 6:30am -Slpm; Closed Sundays Monthly Rate: $50.00 Daily Rates: $1.50 Per Hour, $10.00 Daily Maximum Pre -pay Evening Rates: $2.00 Sunday- Tuesday (After 4pm) $4.D0 Wednesday- Saturday (After 7pm) No Overnight Parking LOT 11 3RD & BUSH LOT (PAY & DISPLAY) (59 Spaces) Hours: Mon —Sat 8am -8pm; Free Sundays Daily Rates: $1.50 per hour, 2 hour max. Valet Parking Hours: Thurs — Sat 8pm -2am 75A -11 75A -12 Exhibit 3 City of Santa Ana Parking Meter District 75A -13 75A -14 on 07- 14 -15) ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY OF SANTA ANA AMENDING CHAPTER 36, ARTICLE VIII OF THE SANTA ANA MUNICIPAL CODE RELATING TO PARKING METERS AND ARTICLE IV RELATING TO PARKING REGULATIONS THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: SECTION 1, The City Council of the City of Santa Ana hereby finds, determines, and declares as follows: A. The City Council is authorized pursuant to section 22508 of the California Vehicle Code, to set parking rates and parking zones; and B. The City Council has determined that a parking meter system is justified to defray the cost of installation, operation, and control, as well as the costs of the other parking management related activities; and C. Revenues from parking meters will be used not only in defraying the expenses of installation, operation, and control of parking spaces and parking meters, but also those incurred in the control of traffic and enforcement of traffic regulations; and D. Revenues from parking meters may also be used to fund alternative transportation programs, projects and enhancements that reduce the demand for, increase supply of parking resources in the parking district in which receipts are generated; and E. The density of the City and the number of people working or visiting the City on a daily basis significantly impacts traffic circulation and parking availability on the City's existing street network and off - street parking facilities; and F. Planned new development and expansion in Downtown Santa Ana is likely to increase traffic and parking demand; and G. Existing Code provisions regarding parking zones do not accurately reflect current parking conditions in the City, and amendments to such provisions would improve and facilitate effective management and enforcement of parking regulations; and H. The City has conducted stakeholder meetings and rate surveys as part of the Parking Modernization and Downtown Enhancements Plan; and Exhibit4- Ordinance No. NS -XXX Page 1 of 9 75A -15 The City has designated on- street parking spaces with parking meters in order to regulate and manage traffic circulation and parking availability; and J. The location of and rates for parking directly impact traffic and parking circulation patterns, traffic congestion and other traffic hazards, and parking availability; and K. Adjusting the parking rates as a means of regulating the use of all City parking facilities and resources will distribute the parking load more evenly between residents and visitors, and maximize the utility and use of all City parking facilities and resources, thereby making parking easier, reducing traffic hazards and congestion, and promoting the public convenience, safety, and welfare; L. Based on the foregoing, it is necessary to add and amend various sections of the Code in order to better manage, control, and regulate traffic and parking circulation throughout the City; to improve the City's transportation network in order to promote a more sustainable transportation system; to ensure adequate parking availability for residents, workers, and visitors; to prevent traffic congestion and hazardous traffic conditions; and to promote compliance and facilitate more efficient and effective notice and enforcement, all of which will promote the public health, safety, and general welfare; SECTION 2. The adoption of this ordinance is exempt from the California Environmental Quality Act and a Notice of Exemption will be filed if this ordinance is adopted. SECTION 3. Section 36 -398 of the Santa Ana Municipal Code is hereby amended such that it reads as follows: Sec. 36 -398. - Parking meter district; zones and fees, (a) Pursuant to section 22508 of the California Vehicle Code, parking meter districts and parking meter district zones may be established and determined by ordinance of the city council and the boundaries of the parking meter district shall be as follows: Beginning at the intersection of South line of First Street and the Southerly prolongation of the West line of Olive Street, thence Easterly in a direct line to the intersection of the Southerly prolongation of the East line of Spurgeon Street and the Easterly prolongation of the South line of First Street; Thence Northerly in a direct line to the Southeast corner of Spurgeon Street and Third Street; Thence Easterly in a direct line to the intersection of the Southerly prolongation of the East line of French Street and the Easterly prolongation of the South line of Third Street; Thence Northerly in a direct line to the Southeast corner of Fourth Street and French Street; Thence Easterly in a direct line to the intersection of the Southerly prolongation of the East line of Mortimer Street and the Easterly prolongation of the South line of Fourth Street; Thence Northerly in a direct line to Ordinance No, NS -XXX Page 2 of 9 75A -16 (Jxs 07- 14 -15) the Northeast corner of Sixth Street and Mortimer Street; Thence Westerly in a direct line to the Northeast corner of French Street and Santa Ana Boulevard; Thence Northerly in a direct line to the intersection of the Easterly prolongation of the North line of Eighth Street and the Northerly prolongation of the East line of French Street; Thence Westerly in a direct line to the Northeast corner of Spurgeon Street and Eighth Street; Thence Northerly in a direct line to the Northeast corner of Washington Avenue and Spurgeon Street; Thence Westerly in a direct line to the Northeast corner of Bush Street and Washington Avenue; Thence Northerly in a direct line to the Northeast corner of Seventeenth Street and Bush Street; Thence Westerly in a direct line to the Northeast corner of Main Street and Seventeenth Street; Thence Northerly in a direct line to the intersection of the Easterly prolongation of the South line of Buffalo Avenue and the Northerly prolongation of the East line of Main Street; Thence Westerly in a direct line to the Southwest corner of Main Street and Buffalo Avenue; Thence Southerly in a direct line to the Northwest corner of Seventeenth Street and Main Street; Thence Westerly in a direct line to the Northwest corner of Broadway and Seventeenth Street; Thence Southerly in a direct line to the Northwest corner of Washington Avenue and Broadway; Thence Westerly in a direct line to the Northwest corner of Flower Street and Washington Avenue; Thence Southerly in a direct line to the Northwest corner of Civic Center Drive and Flower Street; Thence Westerly in a direct line to the intersection of the Northerly prolongation of the West line of Boyd Way and the Westerly prolongation of the North line of Civic Center Drive; Thence Southerly in a direct line to the Northwest corner of Sixth Street and Boyd Way; Thence Westerly in a direct line to the intersection of the Northerly prolongation of the West line of Shelton Street and the Westerly prolongation of North line of Sixth Street; Thence Southerly in a direct line to the Southwest corner of Santa Ana Boulevard and Shelton Street; Thence Easterly in a direct line to the Southwest corner of Flower Street and Santa Ana Boulevard; Thence Southerly in a direct line to the Northwest corner of Third Street and Flower Street; Thence Westerly in a direct line to the intersection of the Northerly prolongation of the West line of Olive Street and the Westerly prolongation of the North line of Third Street; Thence Southerly in a direct line to the intersection of South line of First Street and the Southerly prolongation of the West line of Olive Street, the point of the beginning. (b) Except as otherwise provided in subsection (d), the fee charged for parking in any metered parking spaces in the parking meter district shall be five cents ($0.05) for each three (3) minutes or one dollar ($1.00) per hour. (c) Parking Meter Zones. The following parking meter zones are hereby created within the parking meter district as described in subsection (a): (1) Widard Zone. The boundaries of the "Willard Zone" shall be as follows: Beginning at the point of intersection of the Northwest corner of Broadway and Civic Center Drive; thence Northerly in a direct line to the Northwest corner of Broadway and Washington Avenue; thence Westerly in a direct line to the Northwest corner of Flower Street and Washington Avenue; thence Southerly in a direct line to the Northwest corner of Civic Center Ordinance No. NS -XXX Page 3 of 9 75A -17 Drive and Flower Street; thence Easterly in a direct line to the Northwest corner of Broadway and Civic Center Drive, the point of the beginning. (2) Midtown Zone. The boundaries of the "Midtown Zone" shall be as follows: Beginning at the point of intersection of the Easterly prolongation of the North line of Eighth Street and the Northerly prolongation of the East line of French Street; thence Westerly in a direct line to the Northeast corner of Spurgeon Street and Eighth Street; thence Northerly in a direct line to the Northeast corner of Washington Avenue and Spurgeon Street; thence Westerly in a direct line to the Northeast corner of Bush Street and Washington Avenue; thence Northerly in a direct line to the Northeast corner of Seventeenth Street and Bush Street; thence Westerly in a direct line to the Northeast corner of Main Street and Seventeenth Street; thence Northerly in direct line to the intersection of the Easterly prolongation of the South line of Buffalo Avenue and Northerly prolongation of the East line of Main Street; thence Westerly in direct line to the Southwest corner of Main Street and Buffalo Avenue; thence Southerly in a direct line to the Northwest corner of Seventeenth Street and Main Street; thence Westerly in a direct line to the Northwest corner of Broadway and Seventeenth Street; thence Southerly in a direct line to the Northwest corner of Broadway and Civic Center Drive; thence intersection of the Easterly prolongation of the North line of Eighth Street and Northerly prolongation of the East line of French Street, the point of the beginning. (3) Downtown Zone. The boundaries of the "Downtown Zone" shall be as follows: Beginning at the point of intersection of the South line of First Street and the Southerly prolongation of the East line of Spurgeon Street; thence Northerly in a direct line to the intersection of Spurgeon Street and Third Street; thence Easterly in a direct line to the intersection of the Southerly prolongation of the East line of French Street and the Easterly prolongation of the South line of Third Street; thence Northerly in a direct line to the Southeast comer of Fourth Street and French Street; thence Easterly in a direct line to the intersection of the Southerly prolongation of the East line of Mortimer Street and the Easterly prolongation of the South line of Fourth Street; thence Northerly in a direct line to the Northeast corner of Sixth Street and Mortimer Street; thence Westerly in a direct line to the Northeast corner of French Street and Santa Ana Boulevard; thence Northerly in a direct line to the intersection of the Easterly prolongation of the North line of Eighth Street and the Northerly prolongation of the East line of French Street; thence Westerly along the North line of Civic Center Drive to the intersection of the Northerly prolongation of the West line of Boyd Way and the Westerly prolongation of the North line of Civic Center Drive; thence Southerly in a direct line to the Northwest corner of Sixth Street and Boyd Ordinance No. NS -XXX Page 4 of 9 75A -18 On 07- 14 -15) Way; thence Westerly in a direct line to the intersection of the Northerly prolongation of the West line of Shelton Street and the Westerly prolongation of the North line of Sixth Street; thence Southerly in a direct line to the Southwest corner of Santa Ana Boulevard and Shelton Street; thence Easterly in a direct line to the Southwest corner of Flower and Santa Ana Boulevard; thence Southerly a direct line to the Northwest corner of Third Street and Flower Street; thence Westerly in a direct line to the intersection of the Northerly prolongation of the West line of Olive Street and the Westerly prolongation of the North line of Third Street; thence Southerly in a direct line to the intersection of the South line of First Street and the Southerly prolongation of the West line of Olive Street; thence Easterly in a direct line to the intersection of the South line of First Street and the Southerly prolongation of the East line of Spurgeon Street, the point of the beginning. (d) Fees. The parking fees for parking in the parking meter zones as hereinabove described shall be as follows: (1) Willard Zone. The fee charged for parking in any metered parking space within the Willard Zone shall be five cents ($0.05) for each three (3) minutes or one dollar ($1.00) per hour. (2) Midtown Zone. The fee charged for parking in any metered parking space within the Midtown Zone shall be five cents ($0.05) for each three (3) minutes or one dollar ($1.00) per hour. (3) Downtown Zone. The fee charged for parking in any metered parking space within the Downtown Zone shall be five cents ($0.05) for each two minutes or one dollar fifty cents ($1.50) per hour. one dollar and fifty cents ($1.50) per hour or fraction thereof. SECTION 4. Section 36 -399 of the Santa Ana Municipal Code is hereby added such that it reads as follows: Sec. 36 -399. - Hours. (a) Except as otherwise provided in subsection (b) of this section, the provisions of this article relating to the operation of parking meters shall be effective only between the hours of 8:00 a.m. and 8:00 p.m. on Monday, Tuesday, Wednesday, Thursday, Friday and Saturday of each week, except such parking limitations shall not be operative on any legal holiday. Further limitations of the hours of operation shall be effective only when appropriate signs giving notice thereof are affixed to specific parking meters. Ordinance No. NS -XXX Page 5 of 9 75A -19 (b) In the following parking meter zones effective parking hours shall be as follows: (1) Willard Zone. The provisions of this article relating to the operation of parking meters shall be effective only between the hours of 8:00 a.m. and 8:00 p.m. on Monday, Tuesday, Wednesday, Thursday and Friday of each week, except such parking limitations shall not be operative on any legal holiday. Further limitations of the hours of operation shall be effective only when appropriate signs giving notice thereof are affixed to specific parking meters. (2) Midtown Zone. The provisions of this article relating to the operation of parking meters shall be effective only between the hours of 8:00 a.m. and 8:00 p.m. on Monday, Tuesday, Wednesday, Thursday, Friday and Saturday of each week, except such parking limitations shall not be operative on any legal holiday. Further limitations of the hours of operation shall be effective only when appropriate signs giving notice thereof are affixed to specific parking meters. (3) Downtown Zone. The provisions of this article relating to the operation of parking meters shall be effective only between the hours of 8:00 a.m, and 10:00 p.m. on Monday, Tuesday, Wednesday, Thursday, Friday and Saturday of each week, except such parking limitations shall not be operative on any legal holiday. Further limitations of the hours of operation shall be effective only when appropriate signs giving notice thereof are affixed to specific parking meters. (c) Legal holiday shall be defined as those legal holidays observed by city employees as identified in section 9 -135 of the Santa Ana Municipal Code. (d) The executive director of the finance and management services agency or designee is authorized to place signs or markings, on or immediately adjacent to parking meters, prohibiting parking in excess of twelve (12) minutes, fifteen (15) minutes, twenty -four minutes (24), thirty (30) minutes, one (1) hour, two (2) hours, three (3) hours or four (4) hours on any portion of any street within such parking meter district zone, for any time period up to and including twenty -four (24) hours per day. Such restrictions may be limited so as not to apply on specified days. SECTION 5, Section 36 -403 of the Santa Ana Municipal Code is hereby deleted in its entirety such that it reads as follows: Sec. 36 -403. - RESERVED. SECTION 6, Section 36 -406 of the Santa Ana Municipal Code is hereby amended such that it reads as follows: Ordinance No. NS -XXX Page 6 of 9 75A -20 Qxs 07.14 -15) Sec. 36 -406. - Use of funds. All money deposited in said parking meters shall be deposited in a special fund, to be known as the "Parking Fund ". The specific authorized use of revenues shall be, but are not limited to, the following: (1) For purchasing, leasing, installing, repairing, maintaining, operating, removing, regulating and policing of pay stations and /or parking meters and for the payment of any and all expenses relating thereto. (2) For purchasing, leasing, acquiring, improving, operating and maintaining on- or off- street parking facilities. (3) For installation and maintenance of alternative mode programs, landscaping, pedestrian linkages, sidewalk cleaning, street, way finding systems, and traffic control devices and signals. (4) For the painting and marking of streets and curbs required for the direction of traffic and parking of motor vehicles. (5) For proper security within the parking meter district. (6) For the proper regulation, control, enforcement and inspection of parking and traffic upon the public streets and off - street parking facilities. (7) To be pledged as security for the payment of principal of and interest on financing mechanisms used by the city to meet any of the purposes authorized by this section. (8) For transportation and parking planning, and marketing programs related to the parking meter district. (9) For construction and maintenance of public restrooms in the parking meter district. SECTION 7. Section 36 -421 of the Santa Ana Municipal Code is hereby added such that it reads as follows: Sec. 36 -421. Change in reference. (a) Wherever the language of any section, subsection, provision, or clause contained in Chapter 36 of this Code shall mention the community development agency, such section, subsection, provision, or clause shall mean the finance and management services agency. Ordinance No. NS -XXX Page 7 of 9 75A -21 (b) Wherever the language of any section, subsection, provision, or clause contained in Chapter 36 of this Code shall mention the executive director of the community development agency, such section, subsection, provision, or clause shall mean the executive director of the finance and management services agency. (c) Wherever the language of any section, subsection, provision, or clause contained in Chapter 36 of this Code shall mention the downtown development manager, such section, subsection, provision, or clause shall mean the treasury and customer services manager. SECTION 8. Section 36 -144 of the Santa Ana Municipal Code is hereby amended such that it reads as follows: Sec. 36 -144. - Same —All night parking prohibited on certain streets; Exception. (a) No person shall park and leave standing any vehicle for a period of time longer than thirty (30) minutes between the hours of two o'clock (2:00) a.m. and six o'clock (6:00) a.m. of any day upon any portion of Main Street, Broadway, First Street, Seventeenth Street, Flower Street, Edinger Avenue, Warner Avenue, Bristol Street, Eighth Street or Fourth Street, or upon any portion of any public highway in the city where parking meters have been installed along the curb, or at any place on any such highway between any two (2) parking meters along the curb. (b) Exception: Notwithstanding subsection (a), parking is allowed in designated parking meters on Fourth Street between Ross Street and Mortimer Street every night until four o'clock (4:00) a.m. SECTION 9. if any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The city council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of 2015. Ordinance No. NS -XXX Page 8 of 9 Miguel A. Pulido Mayor 75A -22 Qxs 07- 14 -15) APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney o e Sandoval ief Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 75A -23 Ordinance No. NS -XXX Page 9 of 9 75A -24 RESOLUTION NO, 2015 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CONFIRMING HOURS AND PARKING RATES FOR SPECIFIED CITY OWNED PARKING FACILITIES BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA, AS FOLLOWS: Section 1. The City Council of the City of Santa Ana conclusively finds, determines and declares as follows: A. The City of Santa Ana owns four (4) parking garages and numerous parking lots throughout the City ( "Parking Facilities "). B. As owner of the Parking Facilities and pursuant to Section 36 -431 of the Santa Ana Municipal Code, the City Council may by resolution establish parking rates and fix and determine traffic patterns for the movement of traffic on municipally owned or operated parking lots and when the council regularly passes and adopts any resolution for any of said purposes the same shall control the use of the area affected thereby, and said regulations may be applied to lots open to public use or to lots restricted to certain classes of vehicles and to certain hours and days. C. The location of and rates for parking directly impact traffic and parking circulation patterns, traffic congestion and parking availability on a daily basis and during special events. D. Authorizing the City Manager to adjust parking rates as a means of regulating the use of all City parking facilities and resources will distribute the parking load more evenly between residents, and visitors, and maximize the utility and use of certain City parking facilities and resources, thereby making parking easier and convenient to customers and reducing traffic hazards and congestion, and promoting the public convenience, safety, and welfare. Section 2. The City of Santa Ana hereby establishes the following parking hours and rates for the Parking Facilities identified below to take effect upon completion of modernization and improvement efforts or upon City Manager approval: A. Third St. and Broadway (3 levels - 440 spaces) Hours: Monday and Tuesday 8 am to 8 pm; Wednesday through Saturday 8:00 a.m. to 12:00 a.m.; and Sunday 10 a.m. to 6:00 p.m. Day Rates: $1.50 per hour or any fraction thereof; first 30 minutes is $0.75 with a maximum of $10.00 per day. Evening Rates: A flat pre -pay rate of between $2.00 and $20.00 may Resolution No. 2015 -XXX Exhibit' S Page 1 of 4 75A -25 be established with the approval of the City Manager. Monthly Parking Rate: $20.00 - $60.00 depending on parking space location and per agreement, if applicable B. Fifth St. between Bush St. and French St. (4 levels -700 spaces) Hours: Monday and Tuesday 7:30 a.m. to 9:00 p.m.; Wednesday through Friday 7:30 a.m. to 12:00 a.m.; Saturday 6:00 p.m. to 12:00 a.m.; and free on Sunday. Day Rates: $1.50 per hour or any fraction thereof; first 30 minutes is $0.75 with a maximum of $10.00 per day Evening Rates: A flat pre -pay rate of between $2.00 and $20.00 may be established with the approval of the City Manager. Monthly Parking Rate: $20.00 - $60.00 depending on parking space location and per agreement, if applicable C. Third St. and Birch St. (5 levels -400 spaces) Hours: Monday and Tuesday 8:00 am to 6:00 pm; Wednesday through Friday 8:00 a.m. to 12:00 a.m.; Saturday 4:00 p.m. to 12:00 a.m. and free on Sunday. Day Rates: $1.50 per hour or any fraction thereof; first 30 minutes is $0.75 with a maximum of $10.00 per day Evening Rates: A flat pre -pay rate of between $2.00 and $20.00 may be established with the approval of the City Manager. Monthly Parking Rate: $20.00 - $60.00 depending on parking space location and per agreement, if applicable D. Fifth St. and Main St. (7 levels -400 spaces) Hours: Monday through Saturday 6:30 a.m. to 11:00 p.m.; Closed on Sunday Day Rates: $1.50 per hour or any fraction thereof; first 30 minutes is $0.75 with a maximum of $10.00 per day Evening Rates: A flat pre -pay rate of between $2.00 and $20.00 may be established with the approval of the City Manager. Monthly Parking Rate: $20.00 - $60.00 depending on parking space location and per agreement, if applicable E. Third St. and Bush St. (surface lot -59 spaces) Hours: Monday through Saturday 8:00 a.m. to 10:00 p.m.; Free on Sunday during the day. Day Rates: Five cents ($0.05) for each two minutes or one dollar fifty cents per hour, as such may be amended from time to time. Evening rates: After 10 p.m. a flat pre -pay rate of between $2.00 and $20.00 may be established with the approval of the City Manager. Resolution No. 2015 -XXX Page 2 of 4 75A -26 Section 3, The parking rates listed in this Resolution apply to vehicles entering the specified off- street parking facility for the specified times, unless a special event is scheduled that is anticipated to increase traffic and parking demands. If a special event is scheduled, the rate may be established for the general public at no less than $5.00 or no greater than $20.00, with approval of the City Manager, which approval may be granted based on the City's best interests. The maximum rate may be set as either a flat rate per entry or an increased incremental rate based upon time of entry and duration of parking. The special event rate may apply to each parking facility individually on a case by case basis with approval of the City Manager, For purposes of this Resolution a special event is a City - approved event that requires street closures. Section 4. If a special event is scheduled, the rate charged to vendors shall be no less than $3.00 and no greater than $20.00, with approval of the City Manager, which approval may be granted based on the City's best interest. The maximum rate may be set as either a flat rate per entry or an increased incremental rate based upon time of entry and duration of parking. For purposes of this Resolution a special event is a City- approved event that requires street closures. If the special event is City sponsored, vendor fees may be waived with approval from the City Manager. Section 5. The City Manager will set the hours of operations and evening rate (pre -pay) hours for the parking facilities described above and will have authority to amend those hours from time to time based on the City's best interest. Section 6. Parking validations can be purchased at a 50% discounted price from the established hourly rate at the parking facilities. Section Sectign 7. If there are any conflicts between the parking rates adopted in this Resolution and any parking rates adopted by prior resolution or policy, the rates adopted in this Resolution shall take precedence, Section 8. 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 2015. Miguel A. Pulido Mayor Resolution No. 2015 -XXX Page 3 of 4 75A -27 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By. J Sandoval ief Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. 2015- to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Resolution No. 2015 -XXX Page 4 of 4 Clerk of the Council City of Santa Ana 75A -28 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2016 TITLE: PUBLIC HEARING —ZONING ORDINANCE AMENDMENT NO. 2016-03 TO UPDATE THE HOUSING OPPORTUNITY ORDINANCE AND ADAPTIVE REUSE ORDINANCE (STRATEGIC PLAN NO. 5, 3) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: • -;• TR M As Recommended CI As Amended ( Ordinance on 1" Reading ❑ Ordinance on god Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt an ordinance approving Zoning Ordinance Amendment No, 2016 -01 At its special meeting on July 20, 2015 by a vote of 3,2 (Mill & Verino opposed; Alderete & Gartner absent), the Planning Commission recommended that the City Council adopt an ordinance approving Zoning Ordinance Amendment No. 2015 -03 to update the existing Housing Opportunity Ordinance (HOO) requirements for the inclusion of affordable housing in certain residential development projects. The Planning Commission, with a 3 :2 vote, made no changes to the modifications outlined in the attached staff report (Exhibit A). Commissioner Mill explained that the reason for his dissenting vote was the proposed exemption of adaptive reuse projects from HOO requirements (Section 3 of the proposed draft ordinance). Otherwise, he was supportive of the rest of the proposed ordinance. Commissioner Verino explained that her dissenting vote was not because she was not supportive of the ordinance, but because she would have preferred to continue the item to have time to fully understand all aspects of the proposed draft ordinance. DESCRIPTION Staff recommends the ordinance to be revised as follows: • Calculate the required inclusionary housing requirement in square feet to allow production of affordable housing types that are most needed in the community (e.g., family housing vs. one or two bedroom units); • Clarify the length of affordability to be 55 years, regardless of whether the units are rental or ownership units; • The developer may opt to provide the inolusionary affordable housing as follows: o 15% if the affordable housing provided is for low- income families; o 10% if the affordable housing provided is for very low-income families; 7513-1 Zoning Ordinance Amendment 2015 -03 August 4; 2015 Page 2 o 15 %a if the affordable housing provided is for moderate income families. However the moderate income housing provision is only applicable and allowed when the application is for a 100% ownership housing project. Exempt projects approved prior to the date of adoption of the original Housing Opportunities Ordinance; • Exempt adaptive reuse of historic structures from the HOO; • Exempt retrofitting of existing buildings for a new use from the HOO; Allow for off -site construction of incluslonary housing units at the rate of one square foot of new housing for each square foot of required inclusionary housing; • Allow rehabilitation of existing off -site housing to meet inclusionary requirement, provided c Off -site rehabilitated units are produced at a rate of 1 square foot per each required square foot of Inolusionary affordable housing within a City - designated "Target Area," c Off -site rehabilitated units are produced at a rate of 1,5 square feet of newly rehabilitated housing per each (1) square foot of required inclusionary affordable housing when the rehabilitated housing is outside a City - designated "Target Area." o When a building is acquired by a developer to be rehabilitated to meet the developer's incluslonary, housing requirement, the developer is 100 %u responsible for the terms and costs of relocation of existing tenants, Remove the entire section on "takings determination" from the ordinance, as recent case law has established that inclusionary housing standards do not constitute a taking. « Apply inclusionary housing requirements to conversion of apartments to condominiums only when the density of the building being converted exceeds the densities allowed under the General Plan and only to the incremental portion of the density that is over the General Plan prescribed densities on site. • Remove the in -lieu fee option for applications for projects of 21 or more units. For such projects, the developer is to produce the inclusionary affordable housing requirement either on-site or off -site as provided by the ordinance. • Require all inclusionary affordable units to be produced 100% by the developer with no subsidy or financial assistance from the City of Santa Ana or the Santa Ana Successor Agency, In order to make the production of new affordable housing units on -site or off -site or off -site rehabilitated units, adopt g2EU= of the incentives, standards and concessions allowed and prescribed under California State- adopted 8131818. The developer may opt to take advantage of up to two (2) concessions among the following possible concessions: c Parking Concession — tR one (1) onsite parking spaces for each 0 -1 bedroom unit; ■ two (2) onsite parking spaces for each 2 -3 bedroom unit; a 2/a parking spaces for each 4 or more bedroom unit, c Concession on one of the following Zoning Code site development standards: • Setback reduction -T up to 26% reduction on subject property; • Height - up to 20 additional feet; • Density Bonus: 75B -2 Zoning Ordinance Amendment 2015 -03 August 4, 2015 Page 3 • An applicant must select only one housing affordability income level to merit a density bonus. A combination of affordable housing income levels is not permitted to be combined to increase the amount of density bonus, For each 1 percent increase above 15 percent In the percentage of units affordable to low income households, the density bonus shall be increased by 1,5 percent up to a maximum of 35 percent, • For each 1 percent Increase above 10 percent in the percentage of units affordable to very low income households, the density bonus shall be Increased by 2.5 percent up to a maximum of 35 percent, • Only projects targeted for condos and other ownership units may provide moderate income housing to meet their affordable inclusionary housing requirement. For each 1 percent above 15 percent of the percentage of units affordable to moderate income households, the density bonus shall be increased by 1 percent up to a maximum of 35 percent. • Calculate in -lieu fee at $5 per square foot of required incluslonary affordable housing. For the purposes of this ordinance, the square footage of the development is calculated as the sum total of the number of square feet within the habitable units, measured from the exterior wall to exterior wall of the habitable units. This calculation does not Include hallways, common areas, landscaping, open space, stairways, etc. • Allow pipeline projects for which applicants have submitted affordable housing plans to pay the inclusionary housing In -lieu fee, but for which the housing plans have not been finalized, to pay the affordable housing in -lieu fee adopted with this ordinance. • Evaluate the components of this ordinance and provide options for Council consideration In three years. STi2ATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No, 5 Community Engagement and Sustainability, Objective No. 3 (facilitate diverse housing support efforts to preserve and improve livability in Santa Ana neighborhoods). FISCAL iMP�4 There is no fiscal impact associated with this action. .Hassan Haihani, AICP Executive Rlrector Planning & Building Agency HHc rb WRaPOOMHOO Amendmanta Rapan to CO Aug 4 415 Exhibit; A, Planning Commission Staff Re ort 7B -3 Health, Livability, opportunities and 75B -4 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: JULY 20, 2015 TITLE: ADAPTIVE REUSE ORDINANCE (STRATEGIC PLAN NO. 5, 3) Hassan Haghani, AICP & Prepared by Melanie McCann, AICP Exe tive Director PLANNING COMMISSION SECRETARY APPROVED • As Recommended • As Amended • Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO al Recommend that the Planning Commission recommend that the City Council adopt an ordinance approving Zoning Ordinance Amendment No. 2015 -03. Request of Applicant The City of Santa Ana is requesting to update the existing Housing Opportunity Ordinance (HOO) and Adaptive Reuse Ordinance (ARO) to make it much more predictable for applicants and to increase affordable housing production in conjunction with new market rate housing development. Proiect Description The Housing Element of the General Plan identifies the long range plans for housing throughout the city. The Housing Opportunity Ordinance was established to implement a component of the Housing Element by playing an active role in the provision of affordable housing within the City of Santa Ana. The ordinance update proposes to modify the requirements related to Historic Adaptive Reuse /retrofitting of existing buildings; revise the "alternatives" to construction of new affordable housing units on -site; and clarify the options and procedures available to applicants in meeting the HOO, Proiect Background On November 28, 2011, the City Council adopted the Housing Opportunity Ordinance that applied to proposals for five or more housing units. Residential projects are required to provide fifteen percent of the total number of units as affordable, whether the project is for sale or rental. The existing ordinance applies to those developments requesting a zoning amendment from a non - residential to a residential zone (including City - initiated re- zones), an increase in density, a conversion to the residential provision of an overlay zone, or conversion of apartments to condominiums. EXHIBIT A 75B -5 Zoning Ordinance Amendment 2015 -03 July 20, 2015 Page 2 On October 27, 2014, the City Council adopted the Adaptive Reuse Ordinance (ARO) to allow the reuse of vacant and/or obsolete buildings within specific areas of the City. One of the provisions of the ARO, Section 41 -1652 (d)(1), requires all adaptive reuse projects to comply with the HOO. Emit Analysis A review of the contents of the HOO has revealed that certain components of the ordinance prevent staff from consistent implementation of the ordinance. In reviewing the existing ordinance, staff has identified a few areas that warrant a revision to the existing Housing Opportunities Ordinance. Issues to Consider. In examining the existing ordinance, staff has identified the following items as points of confusion that may be impediments to new housing production and production of new affordable housing units in the city: ■ Constraints on Adaptive Reuse of Historic Structures and Retrofitting of Existing Buildings - This particular issue revolves around the cost of adaptive reuse of historic buildings (which has the public benefit of preserving historic resources by making them economically productive) or retrofitting of existing building stock for a new use, typically switching the use from commercial to residential, thereby minimizing the carbon footprint of the reuse of the building and eliminating the need to turn such buildings into landfill. In both categories, the inclusionary housing requirement adds a cost to the developer on the already high cost of restoration and retrofitting of the existing buildings, which can be costly due to extensive fire and building safety upgrades necessary. ■ Already Built or Entitled (but not Built) Projects - The existing HOO does not fully consider the economics of inclusionary housing requirements on entitled or built projects. The current version of the HOO retroactively applies to projects that were entitled under different sets of circumstances and conceived under very specific economic assumptions when they were entitled, The retroactive application of inclusionary housing requirements drastically changes the economics of the projects from the assumptions that supported the originally approved projects. An existing project that was entitled or built under a set of economic assumptions may become economically unviable once the inclusionary requirement has been added to its costs. ■ Viable Alternatives for On -site Production of Inclusionary Affordable Housing Units — The current ordinance does not really allow off site production of affordable units as a means to meet the inclusionary affordable housing standard. Instead, in practice, it allows the developer to negotiate lower in -lieu fees for up to 100% of the inclusionary requirement. This particular item works as an impediment to the intent of the Housing Opportunities Ordinance in two ways: 1) It removes the consistency and predictability that can assure applicants of the actual cost of their development when formulating their application, and 2) By allowing up to 100% of the inclusionary requirement to be fulfilled through a negotiated in -lieu fee, it lessens or eliminates the opportunity to produce affordable housing units at no cost to the public in conjunction with production of new market rate housing. 75B -6 Zoning Ordinance Amendment 2015 -03 July 20, 2015 Page 3 Calculation of the /n -Lieu Housing Fee — The terms, conditions, and exact cost of in -lieu housing fee are not clearly spelled out and can change from project to project. In practice, this has resulted in different projects negotiating different fees, often with no new affordable housing units produced. In addition, the current HOO does not fully address the fair inclusionary housing requirement for new projects that have more contemporary products that do not fully adhere to traditional housing product types (e.g., "micro units," lofts, and unfinished space). As such, it is not always clear how the developer can best meet their inclusionary requirements. Further, given the current popularity of studios, one- and two - bedroom apartments, the product types produced by current development don't always meet the City's affordable family housing needs. Proposed Amendments: Based on the issues identified above and a number of other minor concerns, staff proposes the ordinance to be revised as follows: • Calculate the required inclusionary housing requirement in square feet to allow production of affordable housing types that are most needed in the community (e.g., family housing vs. one or two bedroom units); • Clarify the length of affordability to be 55 years, regardless of whether the units are rental or ownership units; • The developer may opt to provide the inclusionary affordable housing as follows: 0 15% if the affordable housing provided is for low- income families; 0 10% if the affordable housing provided is for very low - income families; 0 15 % if the affordable housing provided is for moderate income families. However the moderate income housing provision is only applicable and allowed when the application is for a 100 %ownership housing project. • Exempt projects approved prior to the date of adoption of the original Housing Opportunities Ordinance; • Exempt adaptive reuse of historic structures from the HOO; • Exempt retrofitting of existing buildings for a new use from the HOO; • Allow for off -site construction of inclusionary housing units at the rate of one square foot of new housing for each square foot of required inclusionary housing; • Allow rehabilitation of existing off -site housing to meet inclusionary requirement, provided • Off -site rehabilitated units are produced at a rate of 1 square foot per each required square foot of inclusionary affordable housing within a City - designated "Target Area." • Off -site rehabilitated units are produced at a rate of 1,5 square feet of newly rehabilitated housing per each (1) square foot of required inclusionary affordable housing when the rehabilitated housing is outside a City - designated ...rarget Area." • When a building is acquired by a developer to be rehabilitated to meet the developer's inclusionary housing requirement, the developer is 100% responsible for the terms and costs of relocation of existing tenants. • Remove the entire section on "takings determination" from the ordinance, as recent case law has established that inclusionary housing standards do not constitute a taking. 75B -7 Zoning Ordinance Amendment 2015 -03 July 20, 2015 Page 4 • Apply inclusionary housing requirements to conversion of apartments to condominiums only when the density of the building being converted exceeds the densities allowed under the General Plan and only to the incremental portion of the density that is over the General Plan prescribed densities on site. • Remove the in -lieu fee option for applications for projects of 21 or more units. For such projects, the developer is to produce the inclusionary affordable housing requirement either on -site or off- site as provided by the ordinance. • Require all inclusionary affordable units to be produced 100% by the developer with no subsidy or financial assistance from the City of Santa Ana or the Santa Ana Successor Agency. • In order to make the production of new affordable housing units on -site or off -site or off -site rehabilitated units, adopt jZgjjigns of the incentives, standards and concessions allowed and prescribed under California State- adopted SB1818. The developer may opt to take advantage of up to two (2) concessions among the following possible concessions: • Parking Concession — • one (1) onsite parking spaces for each 0 -1 bedroom unit; • two (2) onsite parking spaces for each 2 -3 bedroom unit; • 2' /z parking spaces for each 4 or more bedroom unit. • Concession on one of the following Zoning Code site development standards: • Setback reduction — up to 25% reduction on subject property; • Height - up to 20 additional feet; • Density Bonus: • An applicant must select only one housing affordability income level to merit a density bonus. A combination of affordable housing income levels is not permitted to be combined to increase the amount of density bonus. • For each 1 percent increase above 15 percent in the percentage of units affordable to low income households, the density bonus shall be increased by 1.5 percent up to a maximum of 35 percent. • For each 1 percent increase above 10 percent in the percentage of units affordable to very low income households, the density bonus shall be increased by 2.5 percent up to a maximum of 35 percent. • Only projects targeted for condos and other ownership units may provide moderate income housing to meet their affordable inclusionary housing requirement. For each 1 percent above 15 percent of the percentage of units affordable to moderate income households, the density bonus shall be increased by 1 percent up to a maximum of 35 percent. • Calculate in -lieu fee at $5 per square foot of required inclusionary affordable housing. For the purposes of this ordinance, the square footage of the development is calculated as the sum -total of the number of square feet within the habitable units, measured from the exterior wall to exterior wall of the habitable units. This calculation does not include hallways, common areas, landscaping, open space, stairways, etc. 75B -8 Zoning Ordinance Amendment 2015 -03 July 20, 2015 Page 5 • Allow pipeline projects for which applicants have submitted affordable housing plans to pay the inclusionary housing in -lieu fee, but for which the housing plans have not been finalized, to pay the affordable housing in -lieu fee adopted with this ordinance. • Evaluate the components of this ordinance and provide options for Council consideration in 3 years. Stakeholder Outreach and Discussion: To provide input on the proposed amendments to the Housing Opportunity Ordinance, all known current stakeholders were invited for two consecutive in -depth discussions, one on July 9, 2015 and a second on July 13, 2015. The stakeholders represented a variety of interests including market rate and affordable housing developers, affordable housing advocates, and members of the real estate community. The individuals who were in attendance in at least one of the two discussion meetings are listed in Exhibit 2. Public notification included a mailing to interested parties. In addition, a notice was published in the Orange County Reporter advertising the Planning Commission public hearing. CEQA Analysis In accordance with the California Environmental Quality Act, the proposed project is exempt from further review pursuant to Section 15061 (b)(3), as there is no potential for causing a significant impact on the environment due to the adoption of the ordinance. Categorical Exemption Environmental Review No. 2015 -77 will be filed for this project. Strategic Plan Alignment Approval of this item supports the City's efforts to meet Goal No. 5 Community Health, Livability, Engagement and Sustainability, Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve livability in Santa Ana neighborhoods). Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission recommend that the City Council adopt an ordinance approving Zoning Ordinance Amendment No. 2015-03, Melanie G. McCann, AICP Associate Planner HH:rb HHI13ocumentslH00I1-100 Amendments Report to PC July 20 20'.5 75B -9 Zoning Ordinance Amendment 2015-03 July 20, 2015 Page 6 Attachments: Exhibit I — Proposed Housing Opportunity Ordinance Exhibit 2 — Stakeholders Present at Discussion Meetings 75B -10 LS 7.30.15 ORDINANCE NO. NS -XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING ARTICLE XVIII.I OF THE SANTA ANA MUNICIPAL CODE REGARDING THE HOUSING OPPORTUNITY ORDINANCE AND AMENDING THE ADAPTIVE REUSE ORDINANCE TO EXEMPT SUCH PROJECTS FROM THE APPLICATION OF THE HOUSING OPPORTUNITY ORDINANCE THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: SECTION 1. The City Council of the City of Santa Ana hereby finds, determines, and declares as follows: A. On November 28, 2011, the City Council adopted the Housing Opportunity Ordinance (HOO) that applied to proposals for five (5) or more housing units. Residential projects are required to provide fifteen percent of the total number of units as affordable, whether the project is for sale or rental. The existing ordinance applies to those developments requesting a zoning amendment from a non - residential to a residential zone (including City- initiated re- zones), an increase in density, a conversion to the residential provision of an overlay zone, or conversion of apartments to condominiums. B. A review of the contents of the HOO has revealed that certain components of the ordinance prevent staff from fair and consistent implementation of the ordinance. In reviewing the existing ordinance, staff has identified a few areas that warrant a revision to the existing Housing Opportunities Ordinance. C. In examining the existing ordinance, staff has identified the following items as points of confusion that may be impediments to new housing production and production of new affordable housing units in the City: constraints on adaptive reuse of historic structures and retrofitting of existing buildings, already built or entitled (but not yet built) projects, viable alternatives for on -site production of inclusionary affordable housing units, and the calculation of the in -lieu housing fee. D. Amendments to the HOO are necessary for the clarification of these issues and to recognize the demonstrated need in the City for housing which is affordable for lower income households. The City is hereby promoting the development of affordable housing units by Developers without City subsidy by allowing for incentives to encourage such development in new residential projects. Exhibit 1 75B -11 LS 7.30.15 SECTION 2. Article XVIII.I (Housing Opportunity Ordinance) is hereby amended such that it reads as follows: Article XVIII.I - Housing Opportunity Ordinance Sec. 41 -1900. Purpose This Article establishes standards and procedures to encourage the development of housing that is affordable to a range of households with varying income levels. The purpose of this Article is to encourage the development and availability of affordable housing by requiring the inclusion of affordable housing units within new developments or does not peFmit Fesidential uses to a that does r runt residential uses; „r the conversion of rental units to condominium ownership when the number of units exceed the densities permitted under the General Plan. Sec. 41 -1901. Definitions As used in this Article, the following terms shall have the following meanings: "Adjusted for Household Size Appropriate for the Unit" means a household of one person in the case of a studio unit, two persons in the case of a one - bedroom unit, three persons in the case of a two- bedroom unit, four persons in the case of a three - bedroom unit, and five persons in the case of a four - bedroom unit. "Administrative Procedures" means those regulations promulgated by the Executive Director pursuant to Section 41 -1910 of this Article. "Affordable Housing Cost" means the total housing costs paid by a qualifying household, which shall not exceed the fraction of gross income specified, as follows, in accordance with Sections 50052.5 and 50053 of the Health & Safety Code: Very Low - Income Households. Thirty (30) percent of the income of a household earning fifty (50) percent of the Orange County median income adjusted for family size appropriate for the unit. Low- Income Households. Thirty (30) percent of the income of a household earning seventy (70) percent of the Orange County median income for for -sale units, and thirty (30) percent of the income of a household earning sixty (60) percent of the Orange County median income for rental units, adjusted in either case for family size appropriate for the unit. 0A 75B -12 LS 7.30.15 Moderate Income Households. Thirty -five (35) percent of the income of a household earning one hundred ten (110) percent of the Orange County median income for for -sale units, and thirty (30) percent of the income of a household earning one hundred ten (110) percent of the Orange County median income for rental units, adjusted in either case for family size appropriate for the unit. In the event of a conflict between the fractions specified in this definition and those found in Sections 50052.5 and 50053 of the Health & Safety Code, the fractions specified by State law shall control. . . .. "Developer" means any association, corporation, firm, joint venture, partnership, person, or any entity or combination of entities, which seeks City approval for all or part of a Residential Project. "Executive Director" means the Executive Director of Community Development for the City of Santa Ana. "Inclusionary Housing Agreement" means a legally binding agreement between the Developer and the City, in a form and substance satisfactory to the Executive Director and the City Attorney, and containing those provisions necessary to ensure that the requirements of this Article are satisfied, whether through the provision of Inclusionary Units or through an approved alternative method. "Inclusionary Housing Fund" means the fund created by the City of Santa Ana in which all fees collected in compliance with this Article shall be deposited. "Inclusionary Housing Plan" means the plan submitted by the Developer, in a form specified by the Executive Director, detailing how the provisions of this Article will be implemented for the proposed Residential Project. "Inclusionary Unit" means a dwelling unit that will be offered for sale or rent to Very Low, Low or Moderate - Income Households, at an affordable housing cost, in compliance with this Article. "Low- Income Households" means "lower income households" as that term is defined by Section 50079.5 of the Health & Safety Code. "Low- Income Units, Moderate - Income Units, and Very Low - Income Units" means Inclusionary Units restricted to occupancy by Low, Moderate, or Very Low- Income Households, respectively, at an affordable housing cost. "Market Rate Units" means dwelling units in a Residential Project that are not Inclusionary Units. 3 75B -13 LS 7.30. 15 "Moderate- Income Households" means "persons and families of low or moderate income" as that term is defined by Section 50093 of the Health & Safety Code. "Pipeline Project" means any project for which an application was submitted and the application was deemed complete prior to August 4, 2015. "Regulatory Agreement" means an agreement entered into between the City of Santa Ana or the Santa Ana Community Redeem ve;epmen Development Agency and a Developer by which the Developer covenants to keep certain housing units at an affordable housing cost for a specified period of time. "Rehabilitated Units /Rehabilitation" means the improvement of a unit in substandard condition to a decent, safe and sanitary level. Units are in substandard condition when, while they may be structurally sound, they do not provide safe and adequate shelter, and in their present condition endanger the health, safety or well -being of the occupants. "Residential Project/Project" means any of the following: A subdivision resulting in the creation of 5 or more residential lots or residential condominium units; or The new construction of a project consisting of 5 or more multi - family units; or The new construction of 5 or more separate houses or dwelling units; or The conversion of 5 or more existing residential rental units to condominium ownership. "Target Area" means that area designated by the City from time to time, on an as- needed basis, as a priority area for rehabilitation due to health and safety concerns. "Total Housing Costs" the total monthly or annual recurring expenses required of a household to obtain shelter. For a rental unit, total housing costs shall include the monthly rent payment and utilities paid by the tenant (excluding telephone and television). For an ownership unit, total housing costs shall include the mortgage payment (principal and interest), insurance, homeowners' association dues (if applicable), private mortgage insurance (if applicable), taxes, utilities, an allowance for maintenance and any other related assessments. "Very Low - Income Households" means "very low income households" as that term is defined by Section 50105 of the Health & Safety Code. Sec. 41 -1902. Applicability and Inclusionary Unit Requirements 75B -14 LS 7.30. 15 (a) Applicability Zene-G"anges. The requirements of this Article shall apply to any new Residential Project located within a zone that has been changed to allow fnr residential uses where such uses were not previously allowed, or where the zone shange allows an ineFease to the existing residential deRSity pennitted by zoning in rlaee as of the effeetiye dale of this ardi,,.,nee the City, including new construction, and condominium conversions which exceed the General Plan prescribed densities. (b) Applications. The requirements of this Article shall apply to any new Residential Project proposed in connection with an application to do any of the following: (1) Increase the permitted residential density of the subject property above the density permitted by applicable zoning at the time of the application. The (2) Increase in the permitted residential density or percentage of residential development allowed due to City initiated zone changes after November 28. 2011. (3, Increase the permitted percentage of residential development allowed for a mixed -use development above the percentage at the time of the application. The inclusionary requirements shall only apply to the incremental increase in the number of units beyond that which is allowed by the applicable zoning_ (4) Approval of new projects in an overlay zone site plan permitting residential land uses pursuant to Division 28 of this Chapter. (5) Convert rental units to condominium ownership. The inclusionary requirements shall only apply to the incremental increase in the number of units beyond that which is allowed by the applicable zoning. (c) Units for sale. If the new Residential Project consists of units for sale, then a minimum of 15- percent of the total number of units in the project shall be sold to Moderate - Income Households, or lower. (d) Rental units. If the new Residential Project consists of rental units, then a minimum of 15- percent of the units shall be rented to low Low - Income Households, or 10- percent rented to Very Low - Income Households. 5 75B -15 LS 7.30.15 (f Ue Rounding of quantities in calculations. In calculating the required number of Inclusionary Units, fractional units shall be rounded -up to the next whole unit. The Developer may choose to pay an in -lieu fee set forth in Section 41- 1904(c) for the fractional units, which shall be calculated based on the number of habitable square feet applicable in each case. ° pepoentage of the per n•+ cost (g)(f) Displacement of existing Inclusionary Units. Notwithstanding any other provision of this Article, any Residential Project subject to this Article that results in the displacement of Very Low and /or Low Income Household(s) shall be required to provide on -site Inclusionary Units as required by this Article. (h)(M Compliance with Article. All Inclusionary Units required by this Article shall be sold or rented in compliance with this Article. Sec. 41 -1903. Exempt projects The following are exempt from the requirements of this Article: (a) Applications deemed complete. A Applications that include a Residential Project for which a development application has been deemed complete prior to November 28, 2011 DeGember 20 204. (b) Development Agreements. A Residential Project that is the subject of a development agreement under applicable provisions of the California Government Code that expressly provides for an exclusion to this Article or provides for a different amount of Inclusionary Units from that specified by this Article, provided the development agreement was adopted on or before November 28. 2011. (c) Project with Regulatory Agreement. A Residential Project for which a Regulatory Agreement has been approved, provided that the Regulatory Agreement is effective at the time the Residential Project would otherwise be required to comply with the requirements of this Article, and there is no uncured breach of the Regulatory Agreement before issuance of a Certificate of Occupancy for the project. This may include a Residential Project that has obtained a Density Bonus under Article XVI.I of the Santa Ana Municipal Code. Such projects cannot be used to satisfy the inclusionary requirement for another project. Sec. 41 -1904. Alternatives Options to Satisfy Inclusionary Requirements (a) On -site units. The primary means of complying with the inclusionary requirements of this Article shall be the provision of on -site Inclusionary Units in accordance with Section 41 -1901, above. A Developer may only satisfy the requirements of this V 75B -16 LS 7.30.15 Article by means of an alternative to on -site Inclusionary Units in accordance with the requirements and procedures of this Section. (b) Off -site units. 1. inclusionary housing at a different location within the City of Santa Ana borders at the ratio of one square foot of habitable Inclusionary Unit space for each required habitable square foot. While the total habitable square footage area of the required new Inclusionary Units must be the same as the sum -total of the number of habitable square feet for the Project as directed by this ordinance, the number of units and bedrooms associated with the off - site units may be approved by the review authority of the City of Santa Ana consistent with the type of affordable housing needed at the time of Project review. 2. Rehabilitated Units Outside a Designated Target Area. ripen application by the DeyebwPer and at the dis r. t'G of the City G„ ei� The Developer may satisfy the Inclusionary Unit requirements for the Project, in whole or in part by substantially rehabilitating existing housing units elsewhere within the borders of the City of Santa Ana at a rate of 1 '/2 habitable square feet per each required habitable square foot of Inclusionary Units. Mix of affordable 3. Rehabilitated Units Within a Designated Target Area. Upon application. the Developer may satisfy the Inclusionary Unit requirements for the Project, in whole or in part by substantially rehabilitating existing housing units elsewhere within the borders of the City of Santa Ana at a rate of 1 habitable square foot per each required habitable square foot of affordable Inclusionary Units 75B -17 .. MMEMM 3. Rehabilitated Units Within a Designated Target Area. Upon application. the Developer may satisfy the Inclusionary Unit requirements for the Project, in whole or in part by substantially rehabilitating existing housing units elsewhere within the borders of the City of Santa Ana at a rate of 1 habitable square foot per each required habitable square foot of affordable Inclusionary Units 75B -17 LS 7.30.15 (c) In -lieu fee. (1) Twenty (20) or fewer units. In the case of a Residential Project containing between five (5) and twenty (20) residential lots or residential units, the Developer may elect to satisfy the Inclusionary Unit requirements for the Project, in whole or in part, by payment of a fee in lieu of constructing some or all of the required units. (3)(2) Calculation of fee. The amount of the fee allowed by this Section shall be units on site within the proposed Residential o., ,eet five dollars per square foot ($5.00 /ft.2) of the sum total of the number of habitable square feet within the entire Project, as measured from the exterior walls of the residential units. This calculation does not include exterior hallways, common areas, landscape, open space or exterior stairways. (4)(2) Timing of payment. The Developer shall pay any in -lieu fees allowed by this Section in full before issuance of a the first Building Permit for any portion of the Residential Project, including any non - residential portions of a mixed -use development. (5)(4� Inclusionary Housing Fund. Fees collected in compliance with this Section shall be deposited in the Inclusionary Housing Fund. Sec. 41- 1904.1. Inclusionary Housinq Development Incentives (a) In order to make the production of new Inclusionary Units on -site or off -site or off- site rehabilitated units, certain incentives, standards and concessions shall be allowed and prescribed as set forth herein below. The Developer may opt to take advantage of up to two (2) concessions among the following possible concessions: (1) Parking Concession: one (1) on -site parking space for each 0 -1 bedroom unit two (2) on -site parking spaces for each 2 -3 bedroom unit; 2' /z parking spaces for each 4 or more bedroom unit. M 75B -18 - - - - - NO 11 1111� Fa (3)(2) Calculation of fee. The amount of the fee allowed by this Section shall be units on site within the proposed Residential o., ,eet five dollars per square foot ($5.00 /ft.2) of the sum total of the number of habitable square feet within the entire Project, as measured from the exterior walls of the residential units. This calculation does not include exterior hallways, common areas, landscape, open space or exterior stairways. (4)(2) Timing of payment. The Developer shall pay any in -lieu fees allowed by this Section in full before issuance of a the first Building Permit for any portion of the Residential Project, including any non - residential portions of a mixed -use development. (5)(4� Inclusionary Housing Fund. Fees collected in compliance with this Section shall be deposited in the Inclusionary Housing Fund. Sec. 41- 1904.1. Inclusionary Housinq Development Incentives (a) In order to make the production of new Inclusionary Units on -site or off -site or off- site rehabilitated units, certain incentives, standards and concessions shall be allowed and prescribed as set forth herein below. The Developer may opt to take advantage of up to two (2) concessions among the following possible concessions: (1) Parking Concession: one (1) on -site parking space for each 0 -1 bedroom unit two (2) on -site parking spaces for each 2 -3 bedroom unit; 2' /z parking spaces for each 4 or more bedroom unit. M 75B -18 LS 7.30.15 (2) Concession on one of the following Zoning Code site development standards: NO Density Bonus such that: a) An applicant must select only one housing affordability income level to merit a density bonus. A combination of affordable housing income levels is not permitted to be combined to increase the amount of density bonus. b) For each 1 percent increase above 15 percent in the percentage of units affordable to low income households, the density bonus shall be increased by 1.5 percent up to a maximum of 35 percent. c) For each 1 percent increase above 10 percent in the percentage of units affordable to very low income households the density bonus shall be increased by 2.5 percent up to a maximum of 35 percent. d) Only projects targeted for condominiums and other ownership units may provide moderate income housing to meet their affordable inclusionary housing requirement. For each 1 percent above 15 percent of the percentage of units affordable to moderate income households, the density bonus shall be increased by 1 percent up to a maximum of 35 percent. Sec. 41 -1905. Housing Plan and Housing Agreement (a) Submittal and execution. The Developer shall comply with the following requirements: (1) Inclusionary Housing Plan. The Developer shall submit an Inclusionary Housing Plan in a form specified by the Executive Director, detailing how the provisions of this Article will be implemented for the proposed Residential Project. If the n l hOUSiRg plan 'nnl ,yes alfemati , s to on site nits that require the approval of the City Co nail then The Inclusionary Housing Plan and its supportive documents, plans, and details shall be submitted at the same time as the site plan and application materials for the original ro'ect. All Inclusionary Housing Plans shall be subject to the approval of the Executive Director City Council and subject to appeal processes and procedures set forth in the Santa Ana Municipal Code. fe '- e r�ihz -Cecil Any such anneal shell he fled within fifteen (16) days of the de n' a'en of the Planning Commission. (2) Inclusionary Housing Agreement. The Developer shall execute and cause to be recorded an Inclusionary Housing Agreement. The Inclusionary 75B -19 LS 7.30.15 Housing Agreement shall be a legally binding agreement between the Developer and the City, executed by the City Manager, or his or her designee, and in a form and substance satisfactory to the Executive Director and the City Attorney, and containing those provisions necessary to ensure that the requirements of this Article are satisfied, whether through the provision of Inclusionary Units or through an approved alternative method. (b) Discretionary approvals. No discretionary approval shall be issued for a Residential Project subject to this Article until the Developer has submitted an Inclusionary Housing Plan. (c) Issuance of Building Permit. No Building Permit shall be issued for a Residential Project subject to this Article unless the Executive Director has approved the Inclusionary Housing Plan, and any required inclusionary Housing Agreement has been recorded. (d) Issuance of Certificate of Occupancy. A Certificate of Occupancy shall not be issued for a Residential Project subject to this Article unless the approved Inclusionary Housing Plan has been fully implemented. Sec. 41 -1906. Standards (a) Location within Project, relationship to non - Inclusionary Units. All Inclusionary Units shall be: (1) Reasonably dispersed throughout the Residential Project; (2) Proportional, in number of bedrooms, gross floor area of habitable space and location, to the market rate units; (3) Comparable to the market rate units included in the Residential Project in terms of design, materials, finished quality, and appearance; and (4) Permitted the same access to project amenities and recreational facilities, as are market rate units. (b) Timing of construction. All Inclusionary Units in a Residential Project shall be constructed concurrent with, or before the construction of the market rate units. If the City approves a phased project, a proportional share of the required Inclusionary Units shall be provided within each phase of the Residential Project. units to meet the inclusionary affordable housing requirements of this ordinance the off -site project(s) containinq the required Inclusionary Units shall be subject to the following requirements: 75B -20 LS 7.30. 15 (1) The sum -total area (in habitable square feet) of all the newly constructed off- site Inclusionary Units shall be the same number of habitable square feet of inclusionary area as required by this ordinance. For the purpose of the calculation of the number of square feet of required inclusionary housing, the total gross habitable square feet of the housing units of the original market rate project shall be used, as measured from exterior walls to exterior walls of the market units provided as the base for calculation either 10% for very low income or 15% for low income Inclusionary Units. The common areas, exterior hallways stairways, patios, and balconies shall not be calculated in determining the number of required square feet of inclusionary housing production. All new or rehabilitated units must meet all current zoning and general plan standards. (2) While the total number of square feet of inclusionary housing requirement is calculated based on the requirements of this ordinance, the number of units, bedrooms and other amenities on the proposed off -site inclusionary housing location shall be approved by the review authority commensurate with the size and type of units most in demand at the time of submittal of the application. u Any off -site affordable inclusionary housing Project shall be substantially comparable to the market rate units included in the Residential Project in terms of quality of design, materials and finishes. i4 If tenants are displaced due to rehabilitation of housing to meet the Inclusionary Unit requirement, the Developer shall be responsible for relocation costs as required by State law. No City, Housing Authority, or public funds, subsidies, or participation of any kind shall be expended on the production or building of any inclusionary housing projects associated with meeting the Inclusionary Unit requirement. f.q) Timing of construction. All Inclusionary Units in a Residential Project or proposed off -site new Inclusionary Units or rehabilitated units shall be constructed concurrent with, or before the construction of the market rate units. If the City approves a phased project, a proportional share of the required Inclusionary Units shall be provided within each phase of the Residential Project. Units for sale. (1) Time limit for inclusionary restrictions. A unit for sale shall be restricted to the target income level group at the applicable affordable housing cost for a minimum of 45 fifty -five (55) years. II 75B -21 LS 7.30.15 (2) Certification of purchasers. The Developer and all subsequent owners of an Inclusionary Unit offered for sale shall certify, on a form provided by the City, the income of the purchaser and that such owners will live in such Inclusionary Unit as their primary residence. (3) Resale price control. In order to maintain the availability of inclusionary units required by this Article, the resale price of an owner occupied Inclusionary Unit shall be limited to the lesser of the fair market value of the unit as established by a licensed real estate agent based upon three comparable properties or the restricted resale price. For these purposes, the restricted resale price shall be the applicable Affordable Housing Cost. (4) Inheritance of Inclusionary Units. Upon the death of an owner of an owner - occupied Inclusionary Unit, title in the property may transfer to the surviving joint tenant or heir (in the case of the death of a sole owner or all owners of the household). (5) Forfeiture. If an Inclusionary Unit for sale is sold for an amount in excess of the resale price controls required by this Section, the buyer and the seller shall be jointly and severally liable to the City for the amount in excess of the Affordable Housing Cost at the time of such sale entir ^ ^ "^� of the Inclusionary Unit. Recovered funds shall be deposited into the Inclusionary Housing Fund. Notwithstanding the foregoing, it shall be with', the diAGretion of he Exea Live n•.^^+^. City to- allow may all the buyer and seller to cure any violation of the resale price controls within one hundred eighty (180) days. 0)(fn Rental units. (1) Time limit for inclusionary restrictions. A rental Inclusionary Unit shall remain restricted to the target income level group at the applicable affordable housing cost for fifty -five (55) years. (2) Certification of renters. The owner of any rental Inclusionary Unit shall certify, on a form provided by the City, the income of all members of the household above the age of eighteen (18) at the time of the initial rental and annually thereafter. (3) Forfeiture. Any lessor who leases an Inclusionary Unit in violation of this Article shall be required to forfeit to the City all money so obtained. Recovered funds shall be deposited into the Inclusionary Housing Fund. (e)(M Execution and recording of documents. The Executive Director may require the execution and recording of whatever documents are required to ensure enforcement of this Section; including but not limited to promissory notes, deeds of 12 75B -22 LS 7.30.15 trust, resale restrictions, rights of first refusal, options to purchase, and /or other documents, which shall be recorded against all Inclusionary Units. (f)(h) General Prohibitions. (1) No person shall sell or rent an Inclusionary Unit at a price or rent in excess of the maximum amount allowed by any restriction placed on the unit in accordance with this Article. (2) No person shall sell or rent an Inclusionary Unit to a person or persons that do not meet the income restrictions placed on the unit in accordance with this Article. (3) No person shall provide false or materially incomplete information to the City or to a seller or lessor of an Inclusionary Unit to obtain occupancy of housing for which that person is not eligible. (g) Q Principal Residency Requirement. (1) The owner or lessee of an Inclusionary Unit shall reside in the unit for not less than ten out of every twelve months. (2) No owner or lessee of an Inclusionary Unit shall lease or sublease, as applicable, an Inclusionary Unit without the prior permission of the Executive Director. Sec. 41 -1907. Takings Determination Reserved 13 75B -23 LS 7.30. 15 _ _ .rN:raTSx�r_ta ..1-L-191MEN117 wimp Sec. 41 -1908. Enforcement (a) Violation. Any violation of this Article constitutes a misdemeanor. (b) Forfeiture of funds. Any individual who sells or rents an Inclusionary Unit in violation of this Article shall be required to forfeit any money in excess of the Affordable Housing Cost at such time. Any individual who rents an Inclusionary Unit in violation of this Article shall be required to forfeit all money so obtained. Recovered funds shall be deposited into the Inclusionary Housing Fund (c) Legal actions. The City may institute any appropriate legal actions or proceedings necessary to ensure compliance with this Article, including actions: (1) To disapprove, revoke, or suspend any permit, including a Building Permit, Certificate of Occupancy, or discretionary approval; and (2) For injunctive relief or damages. (d) Recovery of costs. In any action to enforce this Article, or an Inclusionary Housing Agreement recorded hereunder, the City shall be entitled to recover its reasonable attorney's fees and costs. Sec. 41 -1909. Inclusionary Housing Fund (a) Inclusionary Housing Fund. There is hereby established a separate fund of the City, to be known as the Inclusionary Housing Fund. All monies collected pursuant to this Article shall be deposited in the Inclusionary Housing Fund. Additional 14 75B -24 . �. .. - 11 OWN ' - Sec. 41 -1908. Enforcement (a) Violation. Any violation of this Article constitutes a misdemeanor. (b) Forfeiture of funds. Any individual who sells or rents an Inclusionary Unit in violation of this Article shall be required to forfeit any money in excess of the Affordable Housing Cost at such time. Any individual who rents an Inclusionary Unit in violation of this Article shall be required to forfeit all money so obtained. Recovered funds shall be deposited into the Inclusionary Housing Fund (c) Legal actions. The City may institute any appropriate legal actions or proceedings necessary to ensure compliance with this Article, including actions: (1) To disapprove, revoke, or suspend any permit, including a Building Permit, Certificate of Occupancy, or discretionary approval; and (2) For injunctive relief or damages. (d) Recovery of costs. In any action to enforce this Article, or an Inclusionary Housing Agreement recorded hereunder, the City shall be entitled to recover its reasonable attorney's fees and costs. Sec. 41 -1909. Inclusionary Housing Fund (a) Inclusionary Housing Fund. There is hereby established a separate fund of the City, to be known as the Inclusionary Housing Fund. All monies collected pursuant to this Article shall be deposited in the Inclusionary Housing Fund. Additional 14 75B -24 LS 7.30.15 monies from other sources may be deposited in the Inclusionary Housing Fund. The monies deposited in the Inclusionary Housing Fund shall be subject to the following conditions: (1) Monies deposited into the Inclusionary Housing Fund must be used to increase and improve the supply of housing affordable to Moderate, Lowy and Very Low, and Extremely Low Income Households in the City. Monies may also be used to cover reasonable administrative or related expenses associated with the administration of this Article. (2) The fund shall be administered by the Executive Director, or his or her designee, who may develop procedures to implement the purposes of the Inclusionary Housing Fund consistent with the requirements of this Article and any adopted budget of the City. (3) Monies deposited in accordance with this Section shall be used in accordance with the City's Housing Element, Redevelopment Plan, Consolidated Plan, or subsequent plan adopted by the City Council to construct, rehabilitate, or subsidize affordable housing or assist other government entities, private organizations, or individuals to do so. Permissible uses include, but are not limited to, assistance to housing development corporations, equity participation loans, grants, pre -home ownership co- investment, pre - development loan funds, participation leases, or other public-private partnership arrangements. The Inclusionary Housing Fund may be used for the benefit of both rental and owner - occupied housing. Sec. 41 -1910. Administrative a) In -Lieu Fee Calculation. The amount per square foot of the inclusionary housina in- lieu fee shall be subject to City Council review and consideration before the end of calendar year 2018, but after June 30, 2018. Between July 1 2018 and December 31, 2018, staff shall report on the effectiveness of this ordinance and provide options for Council consideration on the components of this ordinance including, but not limited to, the monetary amount of inclusionary in -lieu fee per square foot. Inclusionary Housing Agreement or pay an in -lieu fee of $5.00 per square foot of habitable space for the entire Project's inclusionary housinq obligation. (a)(c) Administration Fees. The Council may by resolution establish reasonable fees and deposits for the administration of this Article including an annual monitoring fee and an Inclusionary Housing Plan Submittal fee. 15 75B -25 LS 7.30.15 (d) Monitoring /Audits. At the time of initial occupancy, and annually thereafter, the City will monitor the Project to ensure that the income verifications are correct and in compliance with the Inclusionary Housing Administrative Procedures. For ownership units the City shall monitor to verify that owner - occupancy requirements are maintained. Developer /Property owners are required to cooperate with the City in promptly providing all information requested by the City in monitoring compliance by eligible tenants compliance with the Inclusionary Housing Plan and Agreement, and physical inspections of the Residential Project. {b)(e� Administrative Procedures. The City Manager is hereby authorized and directed to promulgate Administrative Procedures for the implementation of this Article. SECTION 3. Santa Ana Municipal Code section 41 -1652 is hereby amended such that it reads as follows: Sec. 41 -1652. Applicability. The change of use of an existing, economically obsolete building into a new, more productive use such as apartments, condominiums or live /work units is permitted subject to compliance with the following standards: a) Eligibility. Projects must meet the following criteria to be an eligible Adaptive Reuse Project: 1. Project site shall be located in one of the Project Incentive Areas, as defined in section 41- 1651(e). 2. The building must be an Eligible Building, as defined in section 41- 1651(b). b) Development Standards. Adaptive Reuse Projects shall, at a minimum, be in compliance with the following development standards: 1. The residential units shall be a minimum of 500 square feet in size. 2. The ground floor of a multi -level building with three stories or more containing street frontage shall be used as commercial /retail space. 3. Common area spaces for the building, such as lobbies and recreation rooms, when located on the ground floor, may not exceed 50% of the ground floor square footage. IN 75B -26 LS 7.30.15 4. Open space shall be provided at a rate of 10 percent of the building square footage, and may be public or private and shall be disbursed throughout the building. At least 25 percent of the open space shall be in the form of a community /recreation room(s), The remaining open space may consist of private balconies (50 square feet minimum), pool and spa areas, and public courtyards. Public courtyards shall include seating areas, enhanced landscaping, barbeque areas and other amenities as determined by the Planning Division, 5. Historically Significant Buildings shall comply with chapter 30 of this Santa Ana Municipal Code, fagade easements and any other related historic guidelines, including the Secretary of the Interior Standards for any necessary exterior modifications. c) Project Incentives. Adaptive Reuse Projects that comply with the Development Standards are eligible for the following project incentives: 1. The project can exceed the maximum general plan density for the site provided the Adaptive Reuse Project is in compliance with the development standards. 2. Existing building setbacks may remain and shall be considered legal nonconforming, but no further encroachments shall be permitted into any nonconforming setback. 3. The height of the structure, if it exceeds the maximum height of the zoning district, may remain and shall be considered legal nonconforming, and any rooftop construction shall be included within the height exemption. 4. A new loading zone shall not be required if the existing building does not have an existing loading zone. New parking spaces shall not be required for any converted use within the building, but any new square footage that includes any new units shall require additional parking at a minimum rate of 2 spaces per unit. ... .. •- 17 75B -27 LS 7.30.15 SECTION 4. Pursuant to the California Environmental Quality Act ( "CEQA ") and the State CEQA Guidelines, the adoption of this ordinance is exempt from CEQA review pursuant to 14 California Code of Regulations section 15061, as there is no potential for causing a significant impact on the environment due to the adoption of the ordinance. As a result, Categorical Exemption Environmental Review No. 2015 -77 will be filed for this project. SECTION 5. If any section, subsection, phrase, or clause of this ordinance is for any reason held to be unconstitutional, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council hereby declares that it would have passed this ordinance and each section, subsection, phrase or clause thereof irrespective of the fact that any one or more sections, subsections, phrases, or clauses be declared invalid or unconstitutional. ADOPTED this day of 2015. APPROVED AS TO FORM: Sonia Carvalho, City Attorney By Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Miguel A. Pulido Mayor In 75B -28 LS 7.30. 15 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on 2015, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 19 75B -29 75B -30 City of Santa Ana Inclusionary Housing Ordinance Update Stakeholder Participants (July 9, 2015 & July 13, 2019) NAME ORGANIZATION/COMPANY Blake Hopkins AMCAL Steve La Motte Building industry Assoc., Orange County Mike Balsamo Building Industry Assoc., Orange County Todd Cottle C & C Development Barry Cottle C & C Development Kim Prijatel City Ventures Ryan Aeh City Ventures Roger Kinoshita Jamboree Housing Vicki Ramirez Jamboree Housing_ Andrew Mason Public Law Center Pamela Sapetto Sapetto Real Estate Solutions _ Tad Springer T. E. Springer Associates Cesar Covarrubias The Kennedy Commission Linda Tang The Kennedy Commission Julie Castaneda The Kennedy Commission Ryan Ogulnick Vineyards Development Corp. Amalia Orantes _ Maddy Spencer >D 75B -31 75B -32 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING RATE: AUGUST 4, 2015 TITLE: CLERK OF COUNCIL USE ONLY: • 67 r ❑ As Recommended ❑ As Amended ❑ Ordinance on Ia' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt an ordinance amending Chapter 8 of the Santa Ana Municipal Code regarding streamlined permitting procedures for small residential rooftop solar systems to be in compliance with California Assembly Bill 2198. DISCUSSON in 2012, Assembly Bill 1801 amended the California Government Code (Section 66850,5) to promote the installation and use of solar energy by removing obstacles to, and minimizing costs of solar permitting. This Code Section was further amended in 2014 by Assembly Bill 2188 (AB2188) which states that on or before September 30, 2015, every city must adopt an ordinance that creates an expedited, streamlined permitting process for small residential rooftop solar energy systems. For many years the City has lead the county in promoting the use of solar energy by waiving all permit, plan check and inspection fees regarding solar projects, In addition to waiving the fees, the Planning and Building Agency also instituted an expedited review and permitting process for qualifying small residential rooftop solar energy systems by reviewing and issuing permits same day over - the - counter, Approved plans are then subject to field review by City inspection staff. Waiving flees and expediting the permit process has resulted in an exponential growth In solar Installations in the City from only three in 2007 to more than 320 in 2014?. Although the solar permit fee waiver ended in 2015, the Building Safety Division continues to promote solar energy through expedited review and permitting, While the current process meets the intent of Assembly Bill 2188, the City must codify these processes in an ordinance to be in compliance with the Bill. The proposed ordinance amendment will append to Chapter 8 of the Santa Ana Municipal Code to include: new definitions, provisions for accepting and approving applications electronically, directing the City's Building Official to develop a checklist of all requirements with which small rooftop solar energy systems shall comply to be eligible for Santa Ana Property Information Network (SAPIN) Permits Issued report for calendar year 2007 end 2014 75C -1 Solar Permit Streamlining August 4, 2015 Page 2 expedited review, and authorizing the Building Official to administratively approve such applications. The recommended amendments have been evaluated and approved by the California Building Officials Organization (CALStO) as satisfying the requirements of AS2188 (Exhibit 1). STRATEQlC PLAN AL12NMENT Approval of this Item supports the City's efforts to meet foal No. 3 Economic Development, Objective No, 3 (Promote a solutions -based customer focus In all efforts to facilitate development and investment in the community) and Goal No, 5 Community Health, Livability, Engagement and Sustainability, Objective No. 2 (Expand opportunities for conservation and environmental sustainabllity). FISCAL IMPACT There is no fiscal impact associated with this action. Fees for solar permitting are already collected in accordance with the miscellaneous fee schedule adopted July 1, 2015. assn Haghan' WCP Executive 0 rector Planning & Building Agency MF:rb mfoulKn \RFCA\RFCA_SO1arSkreamlining.8- 4.2018 Exhibit: 1, Chapter 8 Code Amendments 75C -2 City of Santa Ana Municipal Code Chapter 8 - Buildings and Structures ARTICLE XII. - SOLAR ENERGY CODE Sec. 8 -2511 - Small Residential Rooftop Solar Energy System Review Process. (a) Definitions. As used herein the following terms shall mean the following: 1. Electronic Submittal - Shall mean the utilization of one or more of the following: e-mail, internet or facsimile. 2. Small residential rooftop solar energy system - Shall mean all of the following: i. A solar energy system that is no larger than 10 kilowatts alternating current nameplate rating or 30 kilowatts thermal. ii. A solar energy system that conforms to all applicable state fire, structural, electrical, and other building codes as adopted or amended by the City and paragraph (3) of subdivision (c) of Section 714 of the Civil Code, as such section or subdivision may be amended, renumbered, or redesignated from time to time. iii. A solar energy system that is installed on a single or duplex family dwelling. iv. A solar panel or module array that does not exceed the maximum legal building height as defined by the authority having jurisdiction. (b) Applicability. This chapter applies to the permitting of all small residential rooftop solar energy systems. Small residential rooftop solar energy systems legally established or permitted prior to the effective date of this chapter are not subject to the requirements of this chapter unless physical modifications or alterations are undertaken that materially change the size, type, or components of a small rooftop energy system in such a way as to require new permitting. Routine operation and maintenance or like -kind replacements shall not require a permit. EXHIBIT 1 Page 1 75C -3 (c) Eligibility. The Building Department shall adopt a standard plan and checklist of all requirements which small residential rooftop solar energy systems shall comply with to be eligible for expedited review. 2. The small residential rooftop solar system permit process, standard plans, and checklist shall substantially conform to the recommendations for expedited permitting, including the checklist and standard contained in the most current version of the California Solar Permitting Guidebook adopted by the Governor's Office of Planning and Research. 3. Prior to submitting an application, the applicant shall: Verify to the City's reasonable satisfaction through the use of standard engineering evaluation techniques that the support structure for the small residential rooftop solar energy system is stable and adequate to transfer all wind, seismic, and dead and live loads associated with the system to the building foundation. At the applicant's cost, verify to the City's reasonable satisfaction using standard electrical inspection techniques that the existing electrical system including existing line, load, ground and bonding wiring as well as main panel and subpanel sizes are adequately sized, based on the existing electrical system's current use, to carry all new photovoltaic electrical loads. (d) Review / Issuance Process. An application that satisfies the information requirements in the checklist pursuant to Section (c)(2) above, shall be deemed complete. Upon receipt of an incomplete application, the building official shall issue a written correction notice detailing all deficiencies in the application and any additional information required to be eligible for expedited permit issuance. 2. Upon confirmation by the building official of the application and supporting documentation being complete and meeting the requirements of the checklist, the building official shall administratively approve the application and issue all required permits. City building permit approval does not authorize an applicant to connect the small residential rooftop energy system to the local Page 2 75C -4 utility provider's electricity grid. The applicant is responsible for obtaining such approval or permission from the local utility provider. (e) Inspections. For a small residential rooftop solar energy system eligible for expedited review, only one inspection shall be required. 2. If a small residential rooftop solar energy system fails inspection, a subsequent inspection is authorized; however the subsequent inspection need not conform to the requirements of this subsection. Page 3 75C -5 utility provider's electricity grid. The applicant is responsible for obtaining such approval or permission from the local utility provider. (e) Inspections. 1. For a small residential rooftop solar energy system eligible for expedited review, only one inspection shall be required. 2. If a small residential rooftop solar energy system fails inspection, a subsequent inspection is authorized; however the subsequent inspection need not conform to the requirements of this subsection. Page 3 75C -6 LS 7.27.15 ORDINANCE NO. NS -XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 8 OF THE SANTA ANA MUNICIPAL CODE REGARDING EXPEDITED PERMITTING PROCEDURES FOR SMALL RESIDENTIAL SOLAR ENERGY SYSTEMS THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: SECTION 1. The City Council of the City of Santa Ana hereby finds, determines, and declares as follows: A. Subsection (a) of Section 65850.5 of the California Government Code provides that it is the policy of the State to promote and encourage the installation and use of solar energy systems by limiting obstacles to their use and by minimizing the permitting costs of such systems. B. The City Council of the City of Santa Ana finds that it is in the interest of the health, welfare and safety of the public to provide an expedited permitting process to encourage the effective development of solar technology. C. Subdivision (g)(1) of Section 65850.5 of the California Government Code provides that, on or before September 30, 2015, every city, county, or city and county shall adopt an ordinance, consistent with the goals and intent of subdivision (a) of Section 65850.5, that creates an expedited, streamlined permitting process for small residential rooftop solar energy systems. SECTION 2. Pursuant to the California Environmental Quality Act ( "CEQA ") and the State CEQA Guidelines, the adoption of this ordinance is exempt from CEQA review pursuant to 14 California Code of Regulations section 15061(b)(3), which is applicable if it can be seen with certainty that there is no possibility that the project may have a significant effect on the environment. As a result, a Notice of Exemption will be filed upon adoption of this ordinance. SECTION 3. ARTICLE XII of Chapter 8 of the Santa Ana Municipal Code is hereby amended such that it reads as follows with the addition of this new section: Secs. 8 -2511 - Reserved. Small Residential Rooftop Solar Energy System Review Process. (a) Definitions. As used herein the following terms shall mean the following: 1. Electronic Submittal - Shall mean the utilization of one or more of the following: e-mail, internet or facsimile. 75C -7 LS 7.27.15 2. Small residential rooftop solar energy system - Shall mean all of the following: A solar energy system that is no larger than 10 kilowatts alternating current nameplate ratinq or 30 kilowatts thermal. A solar energy system that conforms to all applicable state fire, structural, electrical, and other building codes as adopted or amended by the City and paragraph (3) of subdivision (c) of Section 714 of the Civil Code, as such section or subdivision may be amended, renumbered, or redesignated from time to time. iii. A solar energy system that is installed on a single or duplex family dwelling. iv. A solar panel or module arrav that does not exceed the maximum legal building height as defined by the authority having jurisdiction. (b) Applicability. This chapter applies to the permitting of all small residential rooftop solar energy systems. Small residential rooftop solar energy systems legally established or permitted prior to the effective date of this chapter are not subject to the requirements of this chapter unless physical modifications or alterations are undertaken that materially change the size type or components of a small rooftop energy system in such a way as to require new permitting. Routine operation and maintenance or like -kind replacements shall not require a permit. (c) Eligibility. 1. comply with to be eligible for expedited review. 2. 3. Prior to submitting an application, the applicant shall: 75C -8 LS 7.27.15 live loads associated with the system to the building foundation. (d) Review/ Issuance Process. 1. 2. 3. issuance. application and issue all required permits. or permission from the local utility provider. (e) Inspections. M 2. SECTION 4. If any section, subsection, phrase, or clause of this ordinance is for any reason held to be unconstitutional, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council hereby declares that it would have passed this ordinance and each section, subsection, phrase or clause thereof irrespective of the fact that any one or more sections, subsections, phrases, or clauses be declared invalid or unconstitutional. 75t: -9 ADOPTED this day of APPROVED AS TO FORM: Sonia Carvalho, City Attorney By: Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: NOT PRESENT: Councilmembers Councilmembers 2015. Miguel A. Pulido Mayor CERTIFICATE OF ATTESTATION AND ORIGINALITY LS 7.27.15 I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , 2015, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 75d -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 4, 2015 TITLE; PUBLIC HEARING — RESOLUTION AND ORDINANCE AMENDiNG CHARTERS 8 AND 14 OF THE SANTA ANA MUNICIPAL CODE AND REQUIRED AMENDMENTS {STRATEGIC PLAN NO. 3 �2 YJ_G'�t�h� os CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED Q As Recommended D As Amended Q Ordinance on I" Reading D Ordinance on 2 "d Reading [3 Implementing Resolution 13 Bet Public Hearing For CONTINUED TO FILE NUMBER 1, Adopt a resolution of the City Council revising the required amendments, modifications and changes with respect to the local climactic, geographical and topographical conditions within the City of Santa Ana to the California Building, Residential, Green Standards, Electrical, Mechanical, Plumbing, and Fire Codes. 2. Adopt an ordinance amending Chapters 8 and 14 of the Santa Ana Municipal Coda making high rise development criteria consistent with the definition set forth in the 2013 California Building Code. r • The California Building Code serves as the basis for the design and construction of buildings in the State of California. The Building Code and associated amendments are Intended to improve safety, promote sustainability, maintain consistency and account for new technology and construction methods. The State Health and Safety Code (Section 17858) requires that the California Building Code be updated every three years. The most recent version of this code was adopted in 2013 and became effective on January 1, 2014. As part of the Building Code adoption process the City has historically included several local . amendments that have been determined to be necessary due to climactic, geographic and topographical conditions. These amendments were made in conjunction with recommendations from the Santa Ana Fire Department and, more recently, by the Orange County Fire Authority and were determined to be necessary to safeguard life and property within the City of Santa Ana. One local amendment that has been adopted over the past several code cycles relates to the definition of a high -rise. The California Building Code defines high -rise as "any building of any type of construction or occupancy having floors used for human occupancy located more than 75-feet above the lowest floor level having bullding access ". This definition was recommended for amendment In Santa Ana to a reduced height of 88 feet above the lowest floor level having building access. This reduction was based on the recommendations of the Fire Department due primarily to the reach limitations of fire apparatus to this height and less based on climatic, 75D -1 Building Code Amendment — High -rise Definition August 4, 2015 Page 2 geologic or topographic conditions as permitted for amendment by the California Building Standards Commission, The effect of this change in definition has been that applicants wishing to construct a building over 55 -feet in height have become subject to the additional Building Code requirements applicable to high -rise development which substantially increases construction costs, making projects over this height financially infeasible, Improved building materials and design in conjunction with evolving fire suppression technology has continued to increase both the passive and active life safety provisions included in each new Building Code cycle, Requirements such as automated fire suppression systems, smoke controls, fire- rating of assemblies, and compartmentalization are among a number of elements that now make buildings safer to occupy and safer to access by fire personnel in the event of a fire. Additionally, firefighting methods and fire technology also continue to advance making firemen more efficient and effective in stopping fires once they have started, in 2013 the National Fire Protection Association (NFPA) released a study on high -rise building fires and concluded that "Automatic fire protection equipment and fire - resistive construction are more common in high -rise buildings that have fires than in other buildings of the game property use that have fires. The risks of fire, fire death, and direct property damage due to fire tend to be lower in high -rise buildings than in shorter buildings of the same property use," 1 Based on these combined advancements in firefighting and building safety, the Building Safety Division and Orange County Fire Authority are recommending that the definition of a high -rise be amended back to the approved definition in the 2013 California Building Code of 75 -feet above the lowest floor level having building access. The threat to life safety is not increased by defining a high -rise based on 75 -feet versus 55 -feet above the lowest floor level having building access. By reverting back to the original building code language, development projects within zoning districts which allow high -rise development will be able to achieve the full height permitted in Building Code without having to adhere to code requirements that were developed for taller structures. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 Economic Development, Objective No, 3 (Promote a solutions -based customer focus in all efforts to facilitate development and investment in the community), FISCAL IMPACT There Is no fiscal Impact associated with this action, Hassan Hagh ni, AICP Executive Director Planning & Building Agency MF:rb mfQV1Me5URF0A \RF0A_H18hr1se Qe6n1llon 84,2018 Exhibit: 1. Chapter 8 and 14 Code Amendments 'Hall, T. (2013). Hlgt1 -Rise Building Fires. Natdanal Elra7r& aZanay. City of Santa Ana Municipal Code Chapter 8 — Buildings and Structures ARTICLE II. - Building Code Sec. 8 -97 — High rise buildings (Section 202, 403) (a) Section 202 Definitions are added and /or revised as follows: APPROACH - DEPARTURE PATH. The flight path of the helicopter as it approaches or departs from the landing pad. EMERGENCY HELICOPTER LANDING FACILITY (EHLF). A landing area on the roof of a building that is not intended to function as a heliport or helistop but is capable of accommodating fire or medical helicopters engaged in emergency operations. High -rise structure. Every building of any type of construction or occupancy having floors used for human occupancy located more than 55 75 feet above the lowest floor level having building access (see Section 403), except buildings used as hospitals as defined in the Health and Safety Code Section 1250. SAFETY AREA. A defined area surrounding the landing pad which is free of obstructions. TAKEOFF AND LANDING AREA. The combination of the landing pad centered within the surrounding safety area. (b) Section 403 is amended to read as a follows: Sec. 403. High -rise buildings and group 1 -2 occupancies having occupied floors located more than 55 75 feet above the lowest level of fire department vehicle access. (c) Section 403.1 is amended to read as a follows: 403.1 Applicability. New high -rise buildings and group 1 -2 having occupied floors located more than 55 75 feet above the lowest level of fire department vehicle access and new group 1 -2 occupancies having occupied floors located more than 55 75 feet above the lowest level of fire department vehicle access shall comply with Sections 403.2 through 403.6. EXHIBIT 1 Page 1 7501-3 (d) Section 403.1.1 is amended to read as a follows: 1. "High -rise building" means every building of any type of construction or occupancy having floor used for human occupancy located above 55 75 feet above the lowest floor level having building access, except buildings used as hospitals as defined by the Health and Safety Code Section 1250. Chapter 14 - Fire Protection and Prevention and Emergency Services ARTICLE I. - Fire Code Sec. 14 -30. — Fire Protection Systems (Chapter 9). (a) Section 907.2.13 High -rise buildings is hereby revised as follows: High -rise buildings and Group 1 -2 occupancies having occupied floors located more than 55 75 feet above the lowest level of fire department vehicle access. High -rise buildings and Group 1 -2 occupancies having occupied floors located more than 55-75 feet above the lowest level of fire department vehicle access shall be provided with an automatic smoke detection system in accordance with Section 907.2.13.1, a fire department communication system in accordance with Section 907.2.13.2 and an emergency voice /alarm communication system in accordance with Section 907.6.2.2. (b) Section 907.6.3.2 High -rise buildings is hereby revised as follows: High -rise buildings and Group 1 -2 occupancies having occupied floors located more than 55 75 feet above the lowest level of fire department vehicle access, a separate zone by floor shall be provided for all of the following types of alarm- initiating devices where provided: 1. Smoke detectors. 2. Sprinkler water -flow devices. 3. Manual fire alarm boxes 4. Other approved types of automatic detection devices or suppression systems. Page 2 75D -4 LS 7.29.15 RESOLUTION NO. 2015- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA SETTING FORTH FINDINGS WITH RESPECT TO LOCAL CONDITIONS WITHIN THE CITY OF SANTA ANA WHICH JUSTIFY CERTAIN MODIFICATIONS AND CHANGES TO THE CALIFORNIA BUILDING CODE AS AMENDED BY THE STATE OF CALIFORNIA 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. Health and Safety Code Section 17958 provides that the City of Santa Ana shall adopt ordinances and regulations imposing the same or modified or changed requirements as are contained in the regulations adopted by the State pursuant to Health and Safety Code Section 17922. B. The State of California is mandated by Health and Safety Code Section 17922 to impose substantially the same requirements as are contained in the most recent editions of the California Building Code, California Existing Building Code, the California Residential Code, the California Plumbing Code, the California Mechanical Code, the California Green Building Standards, and the California Electrical Code (herein after referred to collectives as "Codes "). C. Health and Safety Code Section 17958.5 permits the City to make changes or modifications to the Codes, which are reasonably necessary because of local climatic, geological or topographical conditions. D. Health and Safety Code Section 17958.7 requires that the City Council, before making any modifications or changes to the Codes, shall make an express finding that such changes or modifications are reasonably necessary because of local climatic, geological or topographical conditions. E. On November 4, 2013, the City Council approved Resolution No. 2013- 052 setting forth findings with respect to local conditions within the City of Santa Ana which justified certain modifications and changes to the California Codes. F. On November 18, 2013, the City Council approved Ordinance No. NS -2851 amending Chapters 8 and 14 of the Santa Ana Municipal Code to adopt and amend thereto the most recently adopted Codes at that time. SECTION 2. The Planning and Building Agency and the Orange County Fire Authority have currently recommended that changes and modifications be made to the California Building Code as specified below in Section 3 and Section 4. 750 -5 LS 7.29.15 SECTION 3. Amendments to the 2013 Edition of the California Building Code as recommended by the Planning and Building Agency and the Orange County Fire Authority are hereby found to be reasonably necessary based up the following findings: Climatic Conditions A. The jurisdiction of Santa Ana is located in a semi -arid Mediterranean type climate. It annually experiences extended periods of high temperatures with little or no precipitation. Hot, dry (Santa Ana) winds, which may reach speeds of 70 M.P.H. or greater, are also common to the area. These climatic conditions cause extreme drying of vegetation and common building materials. Frequent periods of drought and low humidity add to the fire danger. This predisposes the area to large destructive fires (conflagration). In addition to directly damaging or destroying buildings, these fires are also prone to disrupt utility services throughout the County. Qbstacles gonemted by a strong Wind, Bch as fallen trees street lights and utility poles a rl n the r rement to climb 75 feet vertically Up flights of stairs will greatly impact the r e time to r anh a iRGident Additin alter there is a significant 'perease 'n the amp int of ui ndd ferco at 60 feet above the greunrl. Use of Aerial type f'ref'ght'n apparatus above this height would place resc a personnel at increased risk of in' pi B. The climate alternates between extended periods of drought and brief flooding conditions. Flood conditions may affect the Orange County Fire Authority's ability to respond to a fire or emergency condition. Floods also disrupt utility services to buildings and facilities within the County. C. Water demand in this densely populated area far exceeds the quantity supplied by natural precipitation; and although the population continues to grow, the already -taxed water supply does not. California is projected to increase in population by nearly 10 million over the next quarter of a century with 50 percent of that growth centered in Southern California. Due to storage capacities and consumption, and a limited amount of rainfall future water allocation is not fully dependable. This necessitates the need for additional and on -site fire protection features. it weuld also SECTION 4. The following specific amendments to the sections of the 2013 Edition of the California Building Code as recommended by the Planning and Building Agency and the Orange County Fire Authority are reasonably necessary based upon the above corresponding findings in Section 3 of this resolution as follows: Building Code Section 750 -6 LS 7.29.15 SECTION 5. The City Council of the City of Santa Ana hereby approves and authorizes the Planning and Building Agency to file copies of Resolution 2015 -� and Ordinance No. NS- with the California Building Standards Commission as required by Health and Safety Code Section 17958.7. SECTION 6. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of August, 2015. APPROVED AS TO FORM: Sonia Carvalho, City Attorney Lisa Storck Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Councilmembers Councilmembers Miguel A. Pulido Mayor CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. 2015- to be the original resolution adopted by the City Council of the City of Santa Ana on 2015. Date: Clerk of the Council City of Santa Ana 75D -7 LS 7.22.15 ORDINANCE NO. NS -XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTERS 8 AND 14 OF THE SANTA ANA MUNICIPAL CODE REGARDING THE DEFINITION OF A HIGH -RISE STRUCTURE /BUILDING THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: SECTION 1. The City Council of the City of Santa Ana hereby finds, determines, and declares as follows: A. Prior to municipal amendment of the 2013 California Building Code, the definition of high -rise building is "any building of any type of construction or occupancy having floors used for human occupancy located more than 75 feet above the lowest floor level having building access ". B. Historically and locally, the high -rise building definition was established at 55 feet above the lowest floor level having building access due primarily to previous reach limitations of fire apparatus such as ladders to this level or height. This revised definition has been traditionally carried over for the past several code cycles including the last code cycle authored by the Orange County Fire Authority (OCFA). It maintained the revised definition in part to simplify the transition of the City to OCFA and to encourage consistency of said high -rise building definition in all of Orange County. The amendment was not based on topographic, geologic, or climatic provisions that is allowed and required of any code amendment by the California Building Standards Commission. C. Building codes and building technology continue to evolve affording increases in passive and active life safety provisions. Automated fire suppression systems, smoke control, fire - rating of assemblies, and compartmentalization are but a few elements that make buildings safer to occupy, egress, and ingress by fire personnel to fight fires. Additionally, firefighting methods and fire technology continue to also advance. This joint progression is what allows the building code to be amended back to the State Fire Marshal's minimum of classifying high -rise buildings per the original adopted code language of 75 feet above the lowest floor level having building access. D. In the International Building Code, the nation's model code and on which the California Building Code is based; high -rise is also defined at 75 feet. Reverting back to the original code language benefits development in not having to impart code criteria that is developed for taller structures. 75d -8 LS 7.22.15 SECTION 2. Article II of Chapter 8 of the Santa Ana Municipal Code is hereby amended such that it reads as follows: Sec. 8 -97. - High rise buildings (Section 202, Section 403). (a) Section 202 Definitions are added and /or revised as follows: APPROACH - DEPARTURE PATH. The flight path of the helicopter as it approaches or departs from the landing pad. EMERGENCY HELICOPTER LANDING FACILITY (EHLF). A landing area on the roof of a building that is not intended to function as a heliport or helistop but is capable of accommodating fire or medical helicopters engaged in emergency operations. High -rise structure. Every building of any type of construction or occupancy having floors used for human occupancy located more than 55 75 feet above the lowest floor level having building access (see Section 403), except buildings used as hospitals as defined in the Health and Safety Code Section 1250. SAFETY AREA. A defined area surrounding the landing pad which is free of obstructions. TAKEOFF AND LANDING AREA. The combination of the landing pad centered within the surrounding safety area. (b) Section 403 is amended to read as a follows: Sec. 403. High -rise buildings and group 1 -2 occupancies having occupied floors located more than 55 75 feet above the lowest level of fire department vehicle access. (c) Section 403.1 is amended to read as a follows: 403.1 Applicability. New high -rise buildings and group 1 -2 having occupied floors located more than 55 75 feet above the lowest level of fire department vehicle access and new group 1 -2 occupancies having occupied floors located more than 55 75 feet above the lowest level of fire department vehicle access shall comply with Sections 403.2 through 403.6. (d) Section 403.1.1 is amended to read as a follows: 1. "High -rise building" means every building of any type of construction or occupancy having floor used for human occupancy located above 55 75 feet above the lowest floor level having building access, except buildings used as hospitals as defined by the Health and Safety Code Section 1250. 7513 -9 LS 7.22.15 SECTION 3. Article I of Chapter 14 of the Santa Ana Municipal Code is hereby amended such that it reads as follows: Sec. 14 -30. — Fire Protection Systems (Chapter 9). (a) Section 907.2.13 High -rise buildings is hereby revised as follows: High -rise buildings and Group 1 -2 occupancies having occupied floors located more than 55 75 feet above the lowest level of fire department vehicle access. High -rise buildings and Group 1 -2 occupancies having occupied floors located more than 55-75 feet above the lowest level of fire department vehicle access shall be provided with an automatic smoke detection system in accordance with Section 907.2.13.1, a fire department communication system in accordance with Section 907.2.13.2 and an emergency voice /alarm communication system in accordance with Section 907.6.2.2. (b) Section 907.6.3.2 High -rise buildings is hereby revised as follows: High -rise buildings and Group 1 -2 occupancies having occupied floors located more than 55 75 feet above the lowest level of fire department vehicle access, a separate zone by floor shall be provided for all of the following types of alarm- initiating devices where provided: 1. Smoke detectors. 2. Sprinkler water -flow devices. 3. Manual fire alarm boxes 4. Other approved types of automatic detection devices or suppression systems. SECTION 4. Pursuant to the California Environmental Quality Act ( "CEQA ") and the State CEQA Guidelines, the adoption of this ordinance is exempt from CEQA review pursuant to 14 California Code of Regulations section 15061(b)(3), which is applicable if it can be seen with certainty that there is no possibility that the project may have a significant effect on the environment. As a result, a Notice of Exemption will be filed upon adoption of this ordinance. SECTION 5. If any section, subsection, phrase, or clause of this ordinance is for any reason held to be unconstitutional, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council hereby declares that it would have passed this ordinance and each section, subsection, phrase or clause thereof irrespective of the fact that any one or more sections, subsections, phrases, or clauses be declared invalid or unconstitutional. 75D310 LS 7.22.15 ADOPTED this day of 2015. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia Carvalho, City Attorney Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D, HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on 2015, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 75D -11 75D -12 REQUEST FOR COUNCIL ACTION lei III C9916111ZM 10 i,1 :441111ki [rlJ-, 1114 AUGUST 4, 2015 TITLE: PUBLIC HEARING — RESOLUTION TO ADOPT PENALTIES FOR NONCOMPLIANCE WITH WATER CONSERVATION TARGETS DURING PHASE 2 WATER SHORTAGE PERIOD 77!;C PLAN NOS. 6--,G�1yH�; 5, 2; 5, 6F} 1�_Ci9T/.riZ,� CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: _W•:• •, ❑ As Recommended ❑ As Amended ❑ Ordinance on let Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution establishing a penalty rate of $4.65 per hundred cubic feet on water use above the mandated reduction level of 12 percent set in the June 2, 2015, Phase 2 Water Supply Shortage declaration. Background The state of California continues to experience severe drought conditions. On April 1, 2015, the Governor issued an executive order to cities and towns across California to cut water use. The State has since required that the City of Santa Ana reduce its water use by 12 percent as compared to 2013 or face fines of up to $10,000 per day. On May 19, 2015, Council amended and updated the City's water conservation ordinance to incorporate newly adopted State regulations prohibiting water wasting. Examples of water wasting activities include not fixing broken water pipes, over - irrigation, and washing down driveways and sidewalks. The revised ordinance allowed for enforcement of water wasting prohibitions by fines of up to $500. On June 2, 2015, City Council adopted a resolution declaring a Phase 2 Water Supply Shortage, pursuant to Santa Ana Municipal Code (SAMC) Section 39 -105, enacting various water conservation measures and use restrictions. The most notable use restriction of the Phase 2 Water Supply Shortage is a requirement for all water users to reduce their consumption by 12 percent as compared to their 2013 consumption as required by the State of California Drought Emergency Water Conservation regulations. The City has mailed notification letters to all of its water customers informing them of the new Phase 2 restrictions, including personalized illustration of their individual 12 percent conservation targets. While allowed in the conservation ordinance, no specific enforcement measures were prescribed with this action. 75E -1 Resolution— Adoption of Penalties for Noncompliance With Phase 2 Water Conservation Targets August 4, 2015 Page 2 Enforcement Upon declaring the Phase 2 Water Supply Shortage, Council directed staff to formulate suitable enforcement measures. Staff worked with a consultant, Black & Veatch (B &V), to analyze and develop alternatives for a water consumption penalty. Staff recommends implementing a penalty rate of $4.65 per hundred cubic feet (hcf) on water use above the 12 percent reduction level. Penalty applies to exceedances only The recommended penalty rate applies only to water consumed in excess of the 12 percent reduction target, as required by the Phase 2 Water Supply Shortage. There is no impact on customers who meet their conservation targets. Notice of first violation No penalty will be incurred for the first violation. Customers whose water use exceeds the required 12 percent reduction will receive an initial warning notice on their utility bill. However, the proposed penalty would be applied on the second and subsequent violation(s) until such time that Council declares the Phase 2 Water Supply Shortage to be ended. Relief from compliance In accordance with SAMC Section 39 -105, at the discretion of the Executive Director of Public Works Agency, customers who can demonstrate extenuating circumstances in their ability to reach the 12 percent water use reduction, such as business growth, significant increase in household size, and/or other relevant factors may be granted exception from the penalty. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy H (complete waterlwaste water rate study to ensure adequate resources to capture critical long -term capital needs); Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #2 (expand opportunities for conservation and environmental sustainability); and, Objective #6 (focus projects and programs on improving the health and wellness of all residents), Strategy F (incorporate health and wellness into all applicable policies and plans). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. 75E -2 Resolution — Adoption of Penalties for Noncompliance With Phase 2 Water Conservation Targets August 4, 2015 Page 3 FISCAL IMPACT Revenue collected from the penalty rate will be deposited in the Water Conservation Penalty Account (No. 06017002- 53731) in accordance with State requirements that such monies be segregated in a water stewardship fund and restricted for use only on water conservation related expenses, F d Mousavlohr Executive Director Public Works Agency FMMS APPROVED Fps TO FUNDS AND ACCOUNTS Executive Director Finance & Management Services Agency Exhibits: 1. Black & Veatch Memorandum, ,tune 12, 2015 2. Resolution 75E -3 BLACK &VEATCH Building a world of difference MEMORANDUM City of Santa Ana Water & Wastewater Rate Studies Subject : Development of Water Drought Rates To: Nabil Saba From: Ann Bui, Black & Veatch B &V 175203 B &V File Number A4 Date 12 June 2015 In accordance with your May 14, 2015 request to Black & Veatch, Corporation (Black & Veatch), we hereby submit this Technical Memorandum (TM) describing the work conducted in support of the development of the proposed Drought Rates. This TM serves as an addendum to the 2014 Water Financial Plan, Rate Study /Rehabilitation & Replacement Program Report (2014 Water Study Report) and uses the same methodologies endorsed by the American Water Works Association (AWWA) M- 1 Manual. Disclaimer In conducting our study, we reviewed the books, records, agreements, and customer sales and financial projections of the Water Enterprise as we deemed necessary to express our opinion of the operating results and projections. While we consider such books, records, documents, and projections to be reliable, Black & Veatch has not verified the accuracy of these documents. The projections set forth in this technical memorandum below are intended as "forward- looking statements ". In formulating these projections, Black & Veatch has made certain assumptions with respect to conditions, events, and circumstances that may occur in the future. The methodology utilized in performing the analyses follows generally accepted practices for such projections. Such assumptions and methodologies are reasonable and appropriate for the purpose for which they are used. While we believe the assumptions are reasonable and the projection methodology valid, actual results may differ materially from those projected, as influenced by the conditions, events, and circumstances that actually occur. Such factors may include the City's ability to execute the capital improvement program as scheduled and within budget, regional climate and weather conditions affecting the demand for water, and adverse legislative, regulatory or legal decisions (including environmental laws and regulations) affecting the ability of any of the enterprise's ability to manage the system and meet water quality, waste discharge, and / or other regulatory or environmental requirements. Background With the water supply outlook becoming less promising, water wholesaler Metropolitan Water District of Southern California (MWD) has implemented a three -stage allocation to customers like the City of Santa Ana (City). The Water Supply Allocation Plan (WSAP) imposes surcharges on agencies that exceed delivery limits at a WSAP Level 3 Regional Shortage Level. To meet its anticipated water use reduction target associated with that action, the City may in turn need to implement a water allocation for its water customers. Exhibit 1 75E -4 MEMORANDUM Page 2 B &V 175203 B &V File A4 12 June 2015 As allowed in the City's Municipal Code under Section 39 -112 (2) Water Shortage Contingency Plan, the City of Santa Ana can implement a water allocation methodology per customer account and a schedule of surcharges or penalties for exceeding the water allocation. Any customer that uses water in excess of the allocation will be subject to a surcharge or penalty for each billing unit of water in excess of the allocation. The surcharge or penalty for excess water usage will be in addition to any other remedy or penalty that may be imposed for violation of this section of the Municipal Code. Such surcharge or penalty must comply with the requirements of Proposition 218. Drought Allocation Approach Under the Governor's emergency drought restrictions mandate, the City is being required to reduce its current consumption levels by 12 percent over the same period calendar year 2013. At the direction of the City, Black & Veatch examined the City's revenue requirements for FY16 and adjusted the projected water sales to meet the Governor's mandated cutback of 12 percent. In orderto meet the 12 percent cutback level, Black & Veatch reviewed the consumption levels of the City's customer classes. Table 1 summarizes the levels of reduction that are expected by customer class. -fable 1: Drought Reduction Levels by Customer Class ['] Includes Multi - Family Residential, Government, Commercial, Industrial, Institutional, and Schools Single - family residential customers have a high potential for water reduction since approximately 50 to 60 percent of water usage is associated with outdoor irrigation. Non - residential customers typically have separate indoor and outdoor meters, and so, the ability to reduce indoor consumptive use is more limited. Irrigation accounts have the greatest ability to reduce usage in times of drought. Implementation of the Table 1 target reduction levels will follow the procedures outline in the City's Phase 2 Water Supply Shortage resolution. Table 2 summarizes the change in total consumption in hundred cubic feet (hcf) due to drought. 75E -5 MEMORANDUM Page 3 B &V 175203 B &V File A4 12 June 2015 Table 2: Change in Total NN ater Usage 6,263,314 5,345,000 4,688,409 4,266,700 2,857,248 2,653,300 659,135 643,100 1,238,037 1,059,300 _ 566,277 359,600 • , • 12,044 11,200 The customers allocation for each billing period will be calculated on each bill based on the above targets. The lower percentage reduction for commercial customers takes into consideration the limited ability of commercial customers to reduce interior use without potentially impacting health and safety and / or significant process changes. Many commercial customers also have irrigation only meters where they will be asked to reduce usage by a greater amount to meet the City target. Process water is exempt from reduction targets. Process water, defined consistently with and pursuant to the California Department of Water Resources' definition, means water used by industrial water users for producing a product or product content, or water used for research and development. Process water includes, but is not limited to; the continuous manufacturing processes, water used fortesting, cleaning and maintaining equipment. Water used to cool machinery or buildings used in the manufacturing process or necessary to maintain product quality or chemical characteristics for product manufacturing or control rooms, data centers, laboratories, clean rooms and other industrial facility units that are integral to the manufacturing or research and development process shall be considered process water. Water used in the manufacturing process that is necessary for complying with local, State and federal health and safety laws, and is not incidental water, shall be considered process water. Process water does not include incidental, commercial or institutional water uses. Surcharge for Exceeding Allocation Targets As allowed by the City's Municipal Code, the City can assess a surcharge for usage that exceeds allocation levels. This surcharge is applied only to the amount of usage in excess of the pre- determined allocation. The basis for the surcharge amount can include, but may not necessarily be limited to, the following: 1. The surcharge the City will have to pay M WD and /or the State for exceeding its allocation. The surcharge can be calculated the exact same way that the MWD will calculate any City surcharge, thus passing to the customer any surcharges it may have caused the City. Should the City not incur any surcharges (other customers used less than their allocations), funds collected from surcharge may be refunded to the customers, retained and used for the 75E -6 MEMORANDUM Page 4 B &V 175203 B &V File A4 12 June 2015 implementation of water conservation programs for the customer class the surcharge was collected from, or used to mitigate future rate adjustments. 2. The additional cost of purchased water that may result due to non - compliance with the cutbacks. Any surcharges must comply with Proposition 218 requirements. Proposed Drought- Driven Revenue Adjustments In developing the proposed drought rate options for the City, Black & Veatch assumes that the City will be required to reduce its groundwater supply by 12 percent and that the Orange County Water District (OCWD) will limit the City's ability to draw from groundwater resources. The City plans to limit groundwater pumping to 70 percent of total consumption and supplement the remaining water via purchases from MWD. Applying the targeted reductions outline in Table 1, the City needs to adjust its rates in order to recover the lost revenue due to the water use curtailment. Table 2 illustrates the revenue requirements for the Water Utility as a result of drought. Note that the City already has a 2.8 percent revenue increase planned for fiscal year (FY) 16. The impact of the mandated reductions is an additional increase of 4.2 percent, which allows the City to recover sufficient revenue to meet operational requirements. Proposed Drought Rates There are several different options available to apply the drought surcharge to the existing rate structure. 1. The City could apply the increase to the commodity charge in an equally manner to all customers (excluding recycled water customers). This means that all commodity rates would increase 4.2 percent above the proposed July 2015 rates. For example, on July 1" 2015, the Tier 1 rate will be $2.79 /hcf. Applying the 4.2 percent surcharge, this rate becomes $2.91 /hcf. 2. Alternatively, the City could apply the surcharge to only the portion of water that excess the net reduction targets outlined in Table 1. Under this option, the surcharge is as follows: a. Revenue shortfall due to mandatory reductions= $5,943,600 (From Table 3. Drought Line 5 — Current Plan Line 5 — Drought Line 3) b. Required volume reduction = 1,946,264 hcf (From Table 2) c. Surcharge for non - compliance = $5,943,600/1,946,264 hcf = $3.07 /hcf 3. Should the City wish to recover the revenue shortfall as a fixed charge, then one option would be to simply charge the fee as a per bill cost. a. Revenue shortfall = $5,943,600 b. Total bills issued in FY 15/16 = 267,762 c. Charge per bill = $5,943,600/267,762 = $22.31/bill 75E -7 MEMORANDUM Page 5 B &V 175203 B &V File A4 12 June 2015 Table 3: Comparison of Revenue Requirements under Current Plan and Drought 75E -8 Revenue 1 Revenue from Existing Rates 49,784,800 45,397,100 Year Months Effective Rate Adj ,.. 2 FY 14/15 4 2.8% 1,394,000 1,271,100 3 FY 15/16 12/4 2.9%17% 1,433,000 1,306,700 4 Increased Revenue Due to Adjustments _ 4827,000 2,577,800 5 Total Rate Revenue 52,611,800 47,974,900 6 Other Operating Revenue 1,529,400, 1,528,400 7 Interest Income 252,800 230,200 8 Total Other Revenue 1,781,200 1,758,600 9 Total Revenue $54,393,000 $49,733,500 Revenue Requirements 10 O &M Expenses 25,391,700 23,555,800 11 Water Purchase 20,056,800 21,892,700 12 Routine Capital Outlay 3,298,400 3,298,400 Debt Service 13 Existing Debt 1,575,100 1,575,100 14 Proposed Debt 1,171,500 1,171,500 15 Total Debt Service 2,746,600 2,746,600 Transfers 16 Transfer to Fund 66 - Water CIP 7,350,000 7,350,000 17 Transfer to NPDES Fund 1,578,400 1,439,200 18 Total Transfers 8,928,400 8,789,200 19 Total Revenue Requirements $60,421,900 $60,282,700 Operating Fund Balance 20 Net Cash Balance (6,028,900) (10,549,200) 21 Beginning Fund Balance 28,296,500 28,296,500 22 Net Cumulative Working Capital Balance $22,267,600 $17,747,300 Target Reserve (25% of O &M) + $11VI Emergency 23 Fund 12,206,500 12,206,500 75E -8 MEMORANDUM Page 6 B &V 175203 B &V File A4 12 June 2015 4. For each of the above options, the City may also wish to charge cost recovery for the State's fine for non - compliance. As of this date, the State is considering a $10,000 /day fine for non- compliance with the required cutbacks. Table 5 summarizes the surcharge options above. fable 5: Summar'N of Drought Surcharge Options $2.79 /hd Plus $0.12 /hcf Plus $3.07 /hcf $3.36 /hcf Plus $0.14 /hcf Plus $3.07 /hcf Applied to Applied to all only units above usage reduction level 75E -9 $22.31/bill Plus $1.88 /hcf Plus $1.88 /hcf Applied to Applied to only units every bill above reduction level jxs 07/2212015 RESOLUTION NO. 2015 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING PENALTIES FOR NONCOMPLIANCE WITH WATER CONSERVATION TARGETS DURING PHASE 2 WATER SHORTAGE PERIOD 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. On April 1, 2015, Governor Jerry Brown issued an executive order to cities and towns across California to cut water use by 25% as part of a sweeping set of mandatory drought restrictions, the first in state history. B. On April 1, 2015, State water officials measured the lowest April 1 snowpack in more than 60 years of record - keeping in the Sierra Nevada. C. On April 14, 2015, the Governing Board of the Metropolitan Water District ( "MWD ") took action to reduce water deliveries to its member agencies, including the City of Santa Ana, effective July 1, 2015. D. Because of the action taken by the MWD, beginning July 1, 2015, the City's water deliveries will be reduced by 15 %. E. The MWD action also includes heavy surcharges for member agencies that exceed their allocations. The surcharge will be roughly four times the normal price of an acre foot of water for use beyond the allocated amount. F. The State of California's Drought Emergency Water Conservation regulations provide that the City of Santa Ana must reduce its monthly total potable water production by 12 %, using 2013 as the base year. G. On May 19, 2015, the City Council adopted a Water Conservation Ordinance (Ord. No. NS -2877) pursuant to Water Code §§ 375, et seq. which provided further guidance as to the different types of water conservation requirements and restrictions that correspond to the different water shortage levels. Resolution No. 2015 -xxx Page 1 of 4 75E -10 jxs 07122!2015 H. On June 2, 2015, the City Council, as the governing body of the City of Santa Ana Water Resources Division, a water distributor, declared that water shortage emergency conditions prevail within the area served by the City and, pursuant to Santa Ana Municipal Code section 39 -105 and Water Code sections 350 and 353, the City Council declared a Phase 2 Water Supply Shortage and ordered that water customers must reduce their monthly total potable water consumption by 12 %, using 2013 as the base year. Section 2. Pursuant to Santa Ana Municipal Code sections 39 -111 and 39 -112 and consistent with California Water Code sections 375 and 377, and for the reasons set forth herein, the City Council declares that water customers that do not reduce their monthly total potable water consumption by 12 %, using 2013 as the base year, will be subject to a penalty of $4.65 per hundred cubic feet (HCF) for water used in excess of the customer's conservation target. This volumetric penalty will be assessed only on water use beyond the conservation target. Relief from compliance from Phase 2 water use curtailment provisions shall be available upon proper showing under Santa Ana Municipal Code Section 39 -113. Section 3. The sole purpose of the penalty /fine is to compel water users to comply with enacted water conservation use restrictions as required by both the City's and State's emergency drought regulations. Section 4. All monies collected from the established volumetric penalties are restricted and will only be used in water conservation related expenses. Section 5. The administrative appeal procedures that shall govern the imposition, enforcement, collection and administrative review of the volumetric penalties imposed for failure to comply with water curtailment shall be those procedures contained in Chapter 3 of the Santa Ana Municipal Code. Section 6. The penalties in this resolution shall remain in effect until the supply of water available for distribution within such area has been replenished or augmented, at which time the City Council will declare an end to the water shortage emergency by resolution. Section 7. All customers are urged to reduce water usage by following water conservation practices inside and outside the home. Section 8. Business owners are encouraged to take steps to improve their water use processes. Section 9. The City encourages infrastructure upgrades to the water system involving (1) technology which provides up -to -date use information and trends to Resolution No. 2015 -xxx Page 2 of 4 75E -11 jxs 07122/2015 residents and business owners through a web -based customer engagement system, and (2) leak detection systems which allow early detection of water leaks to minimize waste and conserve water. Section 10. The City Council agrees to support actions which deal with the current drought conditions and calls for increased awareness and extraordinary conservation of our precious resource. Section 11. 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 4th day of August, 2015. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney M Jose Sandoval, Chief Assistant City Attorney AYES Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Miguel A. Pulido Mayor 75E -12 Resolution No. 2015 -xxx Page 3 of 4 jxs 07/22/2015 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council do hereby attest to and certify the attached Resolution No 2015 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on June 2, 2015. Date Clerk of the Council City of Santa Ana 75E -13 Resolution No. 2015 -xxx Page 4 of 4 75E -14