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HomeMy WebLinkAbout FULL PACKET_2017-04-18MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA APRIL 4, 2017 CLOSED SESSION MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA 5:15 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor MICHELE MARTINEZ, Mayor Pro Tern P. DAVID BENAVIDES VICENTE SARMIENTO (5:17 P.M.) JOSE SOLORIO SAL TINAJERO (5:20 P.M.) JUAN VILLEGAS COUNCILMEMBERS Absent: None (0) STAFF Present: GERARDO MOUET, Acting 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 5:15 p.m. CLOSED SESSION ITEMS The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: 1. CONFERENCE WITH LEGAL COUNSEL --EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: Alan Berg v. City of Santa Ana; Workers' Compensation Appeals Board case #ADJ10325231 CITY COUNCIL MINUTES 1 APRIL 4, 2017 10A-1 2. CONFERENCE WITH LEGAL COUNSEL -- ANTICIPATED LITIGATION Significant exposure to litigation pursuant to paragraph (2) or (3) of subdivision (d) of Section 54956.9 of the Government Code: One Case 3. CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6(a): Agency Negotiators: Personnel Services Executive Director, Ed Raya Employee Organizations: Santa Ana Police Officers Association (POA) 4. PUBLIC EMPLOYEE APPOINTMENT, EMPLOYMENT, EVALUATION OF PERFORMANCE, DISCIPLINE, OR DISMISSAL/RELEASE OF A PUBLIC EMPLOYEE OR TO HEAR COMPLAINTS OR CHARGES BROUGHT AGAINST THE EMPLOYEE BY ANOTHER PERSON OR EMPLOYEE UNLESS THE EMPLOYEE REQUESTS A PUBLIC SESSION pursuant to Section 54957(b)(1) of the Government Code: Title: Acting/City Manager CLOSED SESSION REPORT - See Item 19A for any reportable actions. ADJOURNED THE CLOSED SESSION MEETING AT 6:58 P.M. AND CONVENED TO THE REGULAR OPEN MEETING. CITY COUNCIL MINUTES 2 APRIL 4, 2017 10A-2 CALLED TO ORDER REGULAR OPEN MEETING COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 7:07 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor MICHELE MARTINEZ, Mayor Pro Tern P. DAVID BENAVIDES VICENTE SARMIENTO JOSE SOLORIO SAL TINAJERO JUAN VILLEGAS PLEDGE OF ALLEGIANCE INVOCATION PRESENTATIONS COUNCILMEMBERS Absent: None (0) STAFF Present: GERARDO MOUET, Acting City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council MAYOR PULIDO JACK ABEELEN, POLICE CHAPLAIN CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER SOLORIO to the Te- Kenjutsu-Kan Karate -Do Organization for their outstanding contributions to the community. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER BENAVIDES to Brian and Vanessa Peterson for their creative art to support and touch the lives of the homeless community. CERTIFICATES OF RECOGNITION presented by COUNCILMEMBER TINAJERO to the coordinators of the Mini -Townsend Resource Fair for their outstanding contributions to the community: Sonia Audelo; Maria Davlos; Patty Davalos; Roberto Garcia; Lilia Gil; Sandra Gil; Alicia Lucero; Mauricio A. Manzanarez; Elizabeth Martinez; Rosa Erica Martinez; Teodoro Mendoza; Helen O'Sullivan; Marina Ramirez; Anna Reynoso; Maribel Robles; Omar Vasquez. CITY COUNCIL MINUTES 3 APRIL 4, 2017 1OA-3 CLOSED SESSION REPORT - See Item 19A for any reportable actions. PUBLIC COMMENTS • Cynthia P., spoke on Agenda Item 25F; raised concerns on gentrification. • James Kendrick, spoke on Agenda Item 25C and 25F, expressed concern with maintenance of Downtown and questioned whether OC Streetcar project will be postponed due to halt on federal funding for sanctuary cities. • Ilya Tseglin and Robert Tseglin, spoke on Agenda Item 13A and 25A. CONSENT CALENDAR ITEMS MOTION: Approve staff recommendations on the following Consent Calendar items: Items 10A through 32A, with the following modifications: • Mayor Pro Tern Martinez pulled Agenda Items 19D, 25H and 251 for separate action. MOTION: Benavides SECOND: Martinez VOTE: AYES: Benavides, Martinez, Pulido, Sarmiento, Tinajero, Villegas (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Solorio (1) ADMINISTRATIVE MATTERS MINUTES 10A. MINUTES FROM THE REGULAR MEETING OF MARCH 21, 2017 {STRATEGIC PLAN NO. 5, 1) — Clerk of the Council Office MOTION: Approve Minutes. CITY COUNCIL MINUTES 4 APRIL 4, 2017 10A-4 BOARDS / COMMISSIONS / COMMITTEES 13A. APPOINTMENT OF COUNCILMEMBER SOLORIO TO LEGISLATIVE AFFAIRS, ETHICS AND TRANSPARENCY COUNCIL COMMITTEE - Clerk of the Council Office MOTION: Appoint Councilmember Solorio to the Legislative Affairs, Ethics and Transparency Council Committee. 13B. APPOINTMENT OF LABOR REPRESENTATIVE TO THE SANTA ANA WORKFORCE DEVELOPMENT BOARD FOR A PARTIAL -TERM EXPIRING MAY 31, 2020 {STRATEGIC PLAN NO 5, 1} - Community Development Agency Workforce Development Board approved recommended action on March 16, 2017, by a vote of 13-0 (Claudio, Lewis, McGowan, Perez, Piwnica, Ray, and Ruiz absent) MOTION: Approve the appointment of Priscilla Luviano with United Food and Commercial Workers Local 324 to represent organized labor on the Santa Ana Workforce Development Board (replacing Gilbert Davila). MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — City Attorney's Office MOTION: Approve settlement as follow: CONFERENCE WITH LEGAL COUNSEL --EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: Alan Berg v. City of Santa Ana; Workers' Compensation Appeals Board case #ADJ10325231; approved in the amount of $33,000 by a 5-0 vote (Sarmiento and Tinajero abstained) 19B. EXCUSED ABSENCES — NONE 19C. PUBLIC WORKS AGENCY STATUS OF PROJECTS - MONTHLY CAPITAL IMPROVEMENT PROGRAM EXECUTIVE REPORT FOR MARCH 2O17 {STRATEGIC PLAN NO. 5, 1) - Public Works Agency MOTION: Receive and file. 19D. REGIONAL AND UNIFIED LOCAL WORKFORCE PLAN FOR FISCAL YEAR 2020 {STRATEGIC PLAN NO 2, 4} - Community Development Agency CITY COUNCIL MINUTES 5 APRIL 4, 2017 re7 J Mayor Pro Tem Martinez, need to address barriers such as housing, transportation and skills gap; request consideration for a project labor agreement ad hoc committee. MOTION: 1. Approve the Regional and Unified Local Plan for FY 2017 through 2020 and submit to the California Workforce Development Board and State of California Employment Development Department. 2. Authorize the Mayor, City Manager and Clerk of the Council to sign all documents necessary for the submission of the Regional and Unified Local Plan. 3. Authorize staff to make necessary revisions to the Regional Plan and Unified Local Plan to address any public comments received that disagree with the Regional Plan and the Unified Local Plan and as requested by the California Workforce Development Board and the State of California Employment Development Department. MOTION: Martinez SECOND: Sarmiento VOTE: AYES: Benavides, Martinez, Pulido, Sarmiento, Solorio, Tinajero, Villegas (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES 22A. SPEC. NO. 17-029 - OFFICE SUPPLIES {STRATEGIC PLAN NO. 7, 5E) — (City Attorney Office; Clerk of the City Council; Community Development Agency; Parks, Recreation and Community Services Agency; Personnel Services Agency; Planning and Building Agency; Police Department and Public Works Agency) - Finance and Management Services MOTION: Award a contract to Office Depot for a two-year period expiring March 31, 2019, with provisions for three one-year renewal options exercisable by the City Manager, in an annual amount not to exceed $175,000, subject to non -substantive changes approved by the City Manager and City Attorney. PROJECT/CHANGE ORDER CITY COUNCIL MINUTES 6 APRIL 4, 2017 10A-6 23A. AWARD CONTRACT FOR CONSTRUCTION OF GRANT -FUNDED TRAFFIC SIGNAGE UPGRADE (PROJECT NO. 156833) {STRATEGIC PLAN NOS. 6, 1B & 1 G) - Public Works Agency MOTION: 1. Authorize the City Manager and Clerk of the Council to award and execute a construction contract to Myers and Sons Hi -Way Safety, Inc., the lowest responsible bidder, in accordance with the base bid plus Additive Alternate 1, in the amount of $169,450, for the term beginning upon execution of the contract and ending upon project completion, for the Traffic Signage Upgrade project, subject to non -substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $211,813, which includes the contract bid amount, administration, inspection and testing, and an authorized contingency of $16,945. AGREEMENTS 25A. AGMT NO. 2017-059 - SPECIAL LEGAL COUNSEL SERVICES RELATED TO POLICE LITIGATION AND PERSONNEL SERVICES - City Attorney's Office and Personnel Services Agency MOTION: Authorize the City Manager and the Clerk of the Council to execute an agreement with Manning & Kass Ellrod Ramirez Trester, LLP, for a two-year term for a maximum amount to be spent of $350,000 subject to non -substantive changes approved by the City Manager and the City Attorney. 25B. AGMT NO. 2017-060 - DEVELOPMENT OF A ZOO MASTER PLAN {STRATEGIC PLAN NO. 2, 2E) - Parks, Recreation and Community Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with CLR Design in an amount not -to -exceed $196,515, which includes a 10% contingency, for a term of April 4, 2017 to December 31, 2017, subject to non -substantive changes approved by the City Manager and City Attorney. 25C. AGMT NO. 2017-061 — AMENDMENT TO PRESSURE WASHING SERVICES IN THE CIVIC CENTER {STRATEGIC PLAN NO. 6, 1131 - Parks, Recreation and Community Services Agency CITY COUNCIL MINUTES 7 APRIL 4, 2017 1OA-7 MOTION: Authorize the City Manager and Clerk of the Council to execute an amendment with Superior Property Services by increasing the scope and agreement amount by $76,680 for the remaining agreement period of April 1, 2017 through December 31, 2017 for a total annual amount of $195,315, which includes a 20% contingency, subject to non -substantive changes approved by the City Manager and the City Attorney. 25D. AGMT NO. 2017-062 - CONSULTING ARCHITECTURAL DESIGN SERVICES FOR THE SANTIAGO PARK GAS HOUSE AREA DEVELOPMENT PROJECT (PROJECT NO. 15-2645) {STRATEGIC PLAN NO. 6, 1G} - Public Works Agency; and Parks, Recreation and Community Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with David Volz Design for a two-year term beginning April 5, 2017, and expiring on April 4, 2019, with the option for the City to grant up to two one-year renewal options exercisable by the City Manager and the City Attorney, in the total amount not to exceed $225,019, which includes a 10 percent contingency for additional design analysis in the amount of $20,456, subject to non -substantive changes approved by the City Manager and City Attorney. 25E. AGMT NO. 2017-063 - AMENDMENT TO OC STREETCAR DESIGN COOPERATIVE AGREEMENT (NON -GENERAL FUND) (STRATEGIC PLAN NOS. 3, 2C, 4B; 6, 1G) - Public Works Agency Mayor Pulido, commented on Agenda Items 25E and 25F; could establish an overlay to capture revenue. MOTION: Authorize the City Manager and Clerk of the Council to execute a first amendment to Cooperative Agreement No. C-5-3583 with the Orange County Transportation Authority, subject to non -substantive changes approved by the City Manager and City Attorney. 25F. AGMT NO. 2017-064 - COOPERATIVE REIMBURSEMENT AGREEMENT FOR THE CONSTRUCTION OF THE OC STREETCAR PROJECT (PROJECT 17- 6766) (NON -GENERAL FUND) {STRATEGIC PLAN NOS. 3, 2C, 4B; 6, 1G) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute a Cooperative Agreement No. C-6-1516 with the Orange County Transportation Authority, whereby the City will be reimbursed up to $1,500,000 for staff labor to provide construction inspection and support for the OC Streetcar Project, for the term beginning with construction until one year past the beginning of revenue service, subject to non -substantive changes approved by the City Manager and City Attorney. CITY COUNCIL MINUTES 8 APRIL 4, 2017 10A-8 25G. APPROVE THE PURCHASE AND SALE AND THE LIGHT POLE LICENSING AGREEMENTS WITH SOUTHERN CALIFORNIA EDISON FOR THE PURCHASE OF SOUTHERN CALIFORNIA EDISON OWNED STREETLIGHTS (NON -GENERAL FUND) {STRATEGIC PLAN NO. 6, 1C} — Public Works Agency MOTION: 1. AGMT NO. 2017-065 - Authorize the City Manager and Clerk of the Council to execute a Purchase and Sale Agreement authorizing the acquisition of approximately 7,800 streetlights by the City of Santa Ana from Southern California Edison, subject to non -substantive changes approved by the City Manager and City Attorney. 2. AGMT NO. 2017-066 - Authorize the City Manager and Clerk of the Council to execute a Light Pole License Agreement for wireless attachment between the City of Santa Ana and Southern California Edison, subject to non -substantive changes approved by the City Manager and City Attorney. Mayor Pro Tern Martinez and Councilmember Solorio, expressed support for open data platform. MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Digital Map Products for the three-year term beginning April 16, 2017, and ending April 15, 2020, with the option to extend for an additional two-year term exercisable by the City Manager and the City Attorney, in an amount not to exceed $100,000 in the first year and $85,000 per year subsequent years of the agreement, for a total amount not to exceed $440,000, including the optional extension, subject to non - substantive changes approved by the City Manager and City Attorney. MOTION: Martinez VOTE: AYES: NOES: ABSTAIN ABSENT: SECOND: Solorio Benavides, Martinez, Pulido, Solorio, Tinajero, Villegas (6) None (0) None (0) Sarmiento (1) CITY COUNCIL MINUTES 9 APRIL 4, 2017 10A-9 Mayor Pro Tern Martinez, need to explore options to capture revenue as we become energy efficient / green. MOTION: 1. Authorize a one-time purchase and payment of purchase order to Express Energy Services to provide and install advanced energy - efficient lighting fixtures and controls at the McFadden Learning Center/PAAL Center in an amount not to exceed $49,068.36 which includes $10,000 in contingency, subject to non -substantive changes approved by the City Manager and City Attorney. 2. AGMT NO. 2017-068 - Authorize the City Manager and Clerk of the Council to execute an agreement with Southern California Edison (SCE) to provide a $41,821.70 no -interest On -Bill Financing loan and $7,246.66 in incentives to fund Spec. No. 16-117 subject to non -substantive changes approved by the City Manager and City Attorney. MOTION: Martinez VOTE: AYES: NOES: ABSTAIN: ABSENT: MISCELLANEOUS -BUDGET SECOND: Pulido Benavides, Martinez, Pulido, Solorio, Tinajero, Villegas (6) None (0) None (0) Sarmiento (1) 29A. DONATION AGREEMENT TO SUPPORT THE SANTA ANITA NEIGHBORHOOD ASSOCIATION {STRATEGIC PLAN NO. 5, 41 - Councilmember Tinajero MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Charitable Ventures of Orange County Inc. for a one- time donation amount of $1,000, subject to nonsubstantive changes approved by the City Manager and the City Attorney. CITY COUNCIL MINUTES 10 APRIL 4, 2017 10A-10 29B. DONATION AGREEMENT TO SUPPORT THE WILSHIRE SQUARE NEIGHBORHOOD ASSOCIATION {STRATEGIC PLAN NO. 5,4) — Mayor Pulido MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Charitable Ventures of Orange County Inc. for a one- time donation amount of $500, subject to nonsubstantive changes approved by the City Manager and the City Attorney. 29C. DONATION AGREEMENT TO SUPPORT THE WILSHIRE SQUARE NEIGHBORHOOD ASSOCIATION {STRATEGIC PLAN NO. 5, 4} - Mayor Pro Tern Martinez MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Charitable Ventures of Orange County Inc. for a one- time donation amount of $500, subject to nonsubstantive changes approved by the City Manager and the City Attorney. 29D. DONATION AGREEMENT TO SUPPORT FUTURE COLLEGE STUDENTS {STRATEGIC PLAN NO. 5, 4} - Councilmember Villegas MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Santa Ana College Foundation for a one-time donation amount of $2,000, subject to nonsubstantive changes approved by the City Manager and the City Attorney. 29E. DONATION TO SUPPORT HOMELESS VETERAN STAND UP EVENT {STRATEGIC PLAN NO. 5, 4} - Councilmember Villegas MOTION: Approve a donation request from OneOC for a one-time donation amount of $1,000. 29F. DONATION AGREEMENT TO SUPPORT THE SANTA ANITA NEIGHBORHOOD ASSOCIATION {STRATEGIC PLAN NO. 5, 4) - Councilmember Solorio MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Charitable Ventures of Orange County Inc. for a one- time donation amount of $300, subject to nonsubstantive changes approved by the City Manager and the City Attorney. CITY COUNCIL MINUTES 11 APRIL 4, 2017 10A-11 29G. DONATION AGREEMENT FOR PREVENTION AND ACTION IN HEALTH AND WELFARE TO SUPPORT A 5K WALK TO PROMOTE HEALTH {STRATEGIC PLAN NO. 5, 4) - Councilmember Benavides MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Latino Center for Prevention & Action in Health & Welfare, for a one-time donation amount of $1,000, subject to nonsubstantive changes approved by the City Manager and the City Attorney. 29H. DONATION AGREEMENT TO SUPPORT ON -GOING YOUTH PROGRAM SERVICES {STRATEGIC PLAN NO. 5,4) - Councilmember Solorio MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Natis House for a one-time donation amount of $1,000, subject to nonsubstantive changes approved by the City Manager and the City Attorney. LAND USE MATTERS CONDITIONAL USE PERMIT/VARIANCES 31A. CONDITIONAL USE PERMIT NO. 2017-01 FOR AFTER HOURS OPERATION UNTIL 2:00 A.M., CONDITIONAL USE PERMIT NO. 2017-04 FOR AN ABC LICENSE AND CONDITIONAL USE PERMIT NO. 2017-05 TO ALLOW A BANQUET USE AT THE MCFADDEN PUBLIC MARKET RESTAURANT LOCATED AT 515 NORTH MAIN STREET - PHILLIP KWAN, APPLICANT {STRATEGIC PLAN NO. 3, 2, 4) - Planning and Building Agency Planning Commission approved recommended action on March 13, 2017, by a vote of 6-0 (Mendoza absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2017-01 as conditioned, Conditional Use Permit No. 2017-04 as conditioned and Conditional Use Permit No. 2017-05 as conditioned. 31B. CONDITIONAL USE PERMIT NO. 2017-07 TO ALLOW FOR THE SALE OF ALCOHOLIC BEVERAGES FOR ON -PREMISE CONSUMPTION AT BLACK BEAR DINER RESTAURANT LOCATED AT 3355 SOUTH BRISTOL STREET - MICHAEL CHO, APPLICANT {STRATEGIC PLAN NO. 3, 2) - Planning and Building Agency Planning Commission approved recommended action on March 13, 2017, by a vote of 6-0 (Mendoza absent). CITY COUNCIL MINUTES 12 APRIL 4, 2017 10A-12 MOTION: Receive and file the staff report approving Conditional Use Permit No. 2017-07. 31C. CONDITIONAL USE PERMIT NO. 2017-08 TO ALLOW THE SALE OF ALCOHOLIC BEVERAGES FOR ON -PREMISE CONSUMPTION AT BUCCANEER PIZZA RESTAURANT LOCATED AT 2757 NORTH GRAND AVENUE - GREGG HANOUR, APPLICANT (STRATEGIC PLAN NO. 3, 2) - Planning and Building Agency Planning Commission approved recommended action on March 13, 2017, by a vote of 6-0 (Mendoza absent). MOTION: Receive and file the staff report approving Conditional Use Permit No. 2017-08. TENTATIVE PARCEL/TRACT MAPS 32A. TENTATIVE PARCEL MAP NO. 2017-01 TO SUBDIVIDE ONE PARCEL INTO THREE LOTS AT 2001 WEST TRASK AVENUE — DUNG SAM, APPLICANT {STRATEGIC PLAN NO. 3, 21 - Planning and Building Agency MOTION: Confirm the Zoning Administrator's action approving Tentative Parcel Map No. 2017-01 as conditioned. **END OF CONSENT CALENDAR*" OATH OF OFFICE ADMINISTERED BY CLERK OF THE COUNCIL TO WORKFORCE DEVELOPMENT BOARD MEMBER PRISCILLA LUVIANO BUSINESS CALENDAR ITEMS 65A. AGMT NO. 2017-069 - REUSE STUDY OF THE SANTA ANA JAIL (STRATEGIC PLAN GOAL NO. 1, 51 - Police Department The following spoke on the matter: • Jennifer Rojas, representing the ACLU, urged the Request for Qualification (RFQ) be reissued with suggestions as proposed. • Cynthia P., opposed to proposal and contract with Vanir; opposed to profitability of arrestees. • Jose Elias, opposed to consideration of any detention facility at site. CITY COUNCIL MINUTES 13 APRIL 4, 2017 10A-13 • Carlos Perea, noted that when jail was built it was not intended to hold non- residents. • James Kendrick, commented that City has successfully managed a jail since 1997. • Hairo Cortes, concerned with contractor selected — specialty is to profit from inmates which is counter to purpose of City owned detention center. Council discussion ensued Mayor Pro Tern Martinez, reuse study needs to evaluate both Type 1 and Type 2 jails if facility remains a detention facility and include clear indicators; current Type 2 not sustainable nor core service; staff to consider Cook County Mental Health program as model for potential reuse; taxpayers have been subsidizing jail. Acting City Manager Mouet, noted that Type 1 jail is sustainable. Councilmember Solorio, supports reuse option as suggested by Mayor Pro Tern Martinez - reentry programs to include substance abuse, mental health etc. Councilmember Sarmiento, thanked staff for agendizing item for Council consideration; concerned that only two firms submitted RFQ; study should be comprehensive; noted that matter has been reviewed at Council committee level. Jorge Garcia, Senior Management Assistant, presented staff report. Councilmember Tinajero, note that Type 2 jail not warranted; need to make decisions for public benefit; supports mental health facility as possible option. Councilmember Benavides, concerned that only two firms submitted proposal; comprehensive review needed. Senior Management Assistant Garcia, indicated that company has extensive experience in area. Mayor Pulido, provided historical account of intent of jail and funding; noted that Orange County bankruptcy in 1994 had ripple effect on services provided and all cities had to reevaluate services. Councilmember Villegas, concurred with Mayor Pulido's comments FRIENDLY AMEDMENT TO MOTION; Authorize the City Manager and the Clerk of the Council to execute a one-year agreement with Vanir Construction Management, Inc., for the period of April 5, 2017 through April 4, 2018, in the amount of $103,155, plus an additional project contingency of $21,845, for a total not to exceed cost of $125,000 and expand scope of service to include all options, subject to non -substantive changes approved by the City Manager and City Attorney. CITY COUNCIL MINUTES 14 APRIL 4, 2017 1 OA-14 MOTION: Martinez SECOND: Solorio VOTE: AYES: Benavides, Martinez, Sarmiento, Solorio, Villegas (5) NOES: None (0) ABSTAIN: Pulido(1) ABSENT: Tinajero (1) "Mayor Pulido, abstained on vote due to prior business dealings with Vanir Construction Management, Inc. PUBLIC HEARING 75A. ISSUANCE OF TAX EXEMPT BONDS FOR THE BENEFIT OF SANTA ANA ARTS COLLECTIVE, L.P. AND RESOLUTION APPROVING THE ISSUANCE OF BONDS; TAX EQUITY AND FINANCIAL RESPONSIBILITY ACT (TEFRA) (STRATEGIC PLAN NO. 5, 3) - Community Development Agency Legal Notice published in the Orange County Reporter on March 20, 2017. Mayor Pulido opened the Hearing. There were no speakers and the Hearing closed. MOTION; 1. Conduct a Tax Equity and Financial Responsibility Act (TEFRA) Hearing in consideration of the issuance of tax exempt bond financing by the California Municipal Finance Authority on behalf of the Santa Ana Arts Collective, L.P., for the benefit of for the acquisition, construction, improvement and equipping of a 58-unit affordable multifamily rental housing facility to be owned and operated by the Borrower and located at 1666 North Main Street within the City of Santa Ana. 2. Adopt a resolution. RESOLUTION NO. 2017-014 - RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE ISSUANCE OF REVENUE BONDS BY THE CALIFORNIA MUNICIPAL FINANCE AUTHORITY IN AN AGGREGATE PRINCIPAL AMOUNT NOT TO EXCEED $10,000,000 TO FINANCE A 58-UNIT AFFORDABLE MULTIFAMILY RENTAL FACILITY FOR THE BENEFIT OF SANTA ANA ARTS COLLECTIVE, L.P., OR ANOTHER ENTITY TO BE FORMED BY META HOUSING CORPORATION AND/OR WESTERN COMMUNITY HOUSING, INC. (OR AN AFFILIATE OF EITHER) AND CERTAIN OTHER MATTERS RELATING THERETO MOTION: Benavides SECOND: Solorio CITY COUNCIL MINUTES 15 APRIL 4, 2017 10A-15 VOTE: AYES: Benavides, Martinez, Pulido, Sarmiento, Solorio, Tinajero, Villegas (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) CITY COUNCIL MEETING RECESSED AT 9:18 P.M. TO THE HOUSING AUTHORITY MEETING AND RECONVENED AT 9:30 P.M. WITH SAME MEMBERS PRESENT. COUNCIL AGENDA ITEMS Pursuant to Santa Ana Charter Section 411, any member of the City Council may place items on the City Council Agenda to be considered by the City Council. 85A. DIRECT STAFF TO ESTABLISH AN INDEPENDENT REVIEW OR CITIZEN REVIEW BOARD TO REVIEW POLICE FORCE INCIDENTS, PROCEDURES AND POLICIES AND MAKE RECOMMENDATIONS TO THE CITY COUNCIL — Mayor Pro Tern Martinez The following spoke on the matter: • Jennifer Rojas, representing ACLU, support proposal and establishment of a review board. • Roberto Herrera, expressed support for oversight board. Council discussion ensued. Mayor Pro Tern Martinez, thanked City Attorney for providing summary of different types of review boards; historical account of cost to the City; suggest Mayor establish an ad hoc committee to consider options and review all internal policies of the Police Department. Councilmember Benavides, indicated that within the Sanctuary City Ordinance a provision includes creation of a Citizen Review Committee that should be evaluated in context and discussion of this proposal. Councilmember Villegas, proposed substitute motion, seconded by Mayor Pulido to allow the Public Safety Council Committee to review proposal. Councilmember Tinajero, noted that it was important for police officers to be held accountable; how do we better serve our community? CITY COUNCIL MINUTES 16 APRIL 4, 2017 10A-16 Councilmember Sarmiento, proposed that staff bring back to City Council as an agenda item with options, analysis, and cost. Mayor Pulido, request data include per capita comparison and metrics. Councilmember Solorio, noted that Public Safety Council Committee may consider; review costs; opined that open data (like Anaheim) provide use of force data; increase community policing. City Council consensus to schedule matter as a Work Study Session in 30 days. *Councilmember Tinajero left the meeting at 10:13 p.m. and did not return. COMMENTS PUBLIC COMMENTS • Alex Vega, made inaudible comments. • Mary Lara, spoke of Isaac Gonzalez, who was shot and killed in a drive by shooting; request continued police presence in the Townsend area. • John M. Raya, echoed comments by Ms. Lara. 90A. CITY MANAGER'S COMMENTS • Acting City Manager Mouet, invited all to attend the upcoming community meeting to plan new park site on the corner of Lacy and 6th Street on Thursday, April 6t at 9 a.m. and also the groundbreaking ceremony of the Pacific Electric Park on April 15th at 10 a.m. 90B. CITY COUNCILMEMBER COMMENTS: Councilmember Sarmiento: • Opined that Federal government should not be punitive because of Sanctuary City designation; does not make us a lawless city; need to be better messengers of meaning and intention of designation; and • Commented on senseless loss of TKO participant, Issac Gonzalez. Mayor Pro Tern Martinez: • Commented on recent training she attended in Tulsa, Oklahoma — public narrative. Councilmember Solorio: • Thanked Mary Lara and John Raya for attending meeting; great tragedy; • Thanked Acting City Manager for budget presentations and outreach efforts and staff for efforts; and CITY COUNCIL MINUTES 17 APRIL 4, 2017 10A-17 • Echoed commented by Councilmember Sarmiento on Sanctuary City designation; suggested a Q&A on City website. Councilmember Villegas: • Expressed condolences to family of Isaac Gonzalez; thanked public safety personnel. Councilmember Benavides: • Reflected on life of Isaac Gonzalez and request meeting be adjourned in his memory; need continued investment in our youth. ADJOURNED- 10:48 P.M. - The next meeting of the City Council is scheduled for Tuesday, April 18, 2017 at 5:00 p.m. for the Closed Session Meeting immediately followed by the Regular Open Business Meeting at 5:45 p.m. in the Council Chamber, 22 Civic Center Plaza, Santa Ana, California. Adjourned in Memory of Isaac Gonzalez Maria D. Huizar, Clerk of the Council FUTURE AGENDA ITEMS • Community Engagement Program CITY COUNCIL MINUTES 18 APRIL 4, 2017 10A-18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 21, 2017 TITLE: SECOND READING ORDINANCE: REGULATE MOBILE FOOD VENDING VEHICLES (STRATEGIC PLAN NO 5, 1) CITY MANAGER RECOMMENDED ACTION Place revised ordinance on second reading and adopt. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on tat Reading ❑ Ordinance on 2°d Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TOQ i FILE NUMBER On March 7, 2017, the following ordinance was introduced for first reading and City Council authorized publication of title by a vote of 5-0 (Pulido abstained and Sarmiento absent): ORDINANCE NO. NS-2914 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REPEALING DIVISION 3 OF ARTICLE 1. OF CHAPTER 36 "VENDING VEHICLES" (SANTA ANA MUNICIPAL CODE SECTIONS 36-50 THROUGH 36-63); REPEALING ARTICLE XIV OF CHAPTER 36 "FOOD VENDING VEHICLES" (SANTA ANA MUNICIPAL CODE SECTIONS 36-700 THROUGH 36-720); AND ADOPTING THE NEW FOOD VENDING VEHICLE ORDINANCE IN CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE 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. rp 'D Gam" Maria D. Huizar, Clerk of the Council EXHIBIT: 1. Outreach efforts. 2. Ordinance No. NS-2914 — Revised marked up version reflecting changes. 3. Ordinance No. NS-2914 — Final. 11 A-1 11 A-2 Mobile Vending Ordinance Draft - Outreach Efforts 1. January 24, 2017 — Meeting with Mobile Vending Produce Association Representatives. Meeting held to share copies of Draft -Mobile Vending regulations and provided copies of the findings; Spanish/English. 2. January 25, 2017 — Meeting with Neighborhood Association leaders. Meeting held to share copies of Draft -Mobile Vending regulations and provided copies of the findings; Spanish/English. 3. January 31, 2017 — Mobile Vending Notice (English & Spanish) mailed to 246 mobile vending businesses. (Attachment Q. Attachments: A. Notice of Public Hearing (English) legally noticed in The OC Register and O.C. Reporter on January 27, 2017 and mailed out to the Mobile Vending businesses (Attachment C). B. Notice of Public Hearing (Spanish) legally noticed in La Opinion on January 27, 2017 and mailed out to the Mobile Vending businesses (Attachment C). C. Mailing list. EXHIBIT 1 11 A-3 11 A-4 MAYOR Miguel A. Pulido MAYOR PRO TEM Michele Martinez COUNCILMEMBERS P. David Benavides Vicente Sarmiento Jose Solono Sal Tinajero Juan Villegas CITY OF SANTA ANA 20 Civic Center Plaza . P.O. Box 1988 Santa Ana, California 92702 714-647.6900 wffim-U ta-ana om NOTICE OF PUBLIC HEARING BEFORE THE CITY COUNCIL SANTA ANA, CALIFORNIA ACTING CITY MANAGER Gerardo Mouet CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Maria D. Huizar NOTICE IS HEREBY GIVEN: That the City Council of the City of Santa Ana will hold a public hearing to consider adopting a new food vending vehicle ordinance, aka "Mobile Vending" (Chapter 36 of the Santa Ana Municipal Code) and repeal outdated provisions in the Santa Ana Municipal Code. This matter will be heard on February 7, 2017 at 5:45 p.m., or as soon as possible thereafter, in the Council Chamber, 20 Civic Center Plaza, Santa Ana, California. All persons interested in this matter are notified t0 appear at this time. If you challenge the decision of the City Council on the above matter in court, you may be limited to raising only those issues you or someone else raised at the public hearing described in this notice, or in written correspondence delivered to the City Council of the City of Santa Ana at, or prior to, the public hearing. Maria Huizar, Clerk of the Council Date: January 27, 2017 Publish: The O.C. Reporter OC Register La Opinion ATTACHMENT A SANTA ANA CITY COUNCIL A. PuW. Michele Martinez Mcanta Sarmenlo Jose Solo ��� David Haoavidas Juan Ullagas Sal7inajoro .Yo, Mayor Pro Na, Wa,d 2 Ward 1 Ward 3 Ward 4 Ward 5 Ward 6 nrg a ,Vi arp Rn nm1} ri y(� nto-a_ia o.[g ar ©( olsanta a m Jl9 ,e.ora qbo vM s ftsania-sra o p Lei leeTs{c,�, a tea n Qn �(ir�i�C 4anra r to orq 11 A-6 MAYOR Miguel A, Pulido MAYOR PRO TEM Michele Martinez COUNCILMEMBERS P. David Benavides Vicente Sanniento Jose Solorio Sal Tinajero Juan Villegas CITY OF SANTA ANA 20 Civic Center Pima • P.O. Box 1988 Santa Ana, California 02702 714-647-6900 WMjjgW -ana M Anuncio de audiencia publica ANTE EL CONCILIO DE LA CIUDAD DE SANTA ANA, CALIFORNIA, SE DA AVISO: que el Ayuntamiento de la ciudad de Santa Ana tendra una audiencia publica para considerar la adopcion de una nueva ordenanza de vehiculo de vents de alimentos (capitulo 36 del Codigo Municipal de Santa Ana) y revocar disposiciones anticuadas en el Codigo Municipal de Santa Ana: Este tema sera escuchado en Febrero 7, 2017 a las 5:45 p.m., o tan pronto como sea posibie, en la Sala del Concilio, de 20 Civic Center Plaza, Santa Ana, California. Todas las personas interesadas en este asunto son notificados a aparecer en este momento. Si se opone a la decision del Consejo de la ciudad sabre el asunto en el tribunal, usted puede estar limitado a elevar solo los problemas que usted o alguien mas planteadas en la audiencia publica descritas en este aviso, o en la correspondencia escrita entregada al Ayuntamiento de la ciudad de Santa Ana en, o antes de la audiencia publica. Maria Huizar, Secretario del Concilio Fecha: Enero 27, 2017 Publicar: O.G. Reporter OC Register La Opinion ATTACHMENT B SANTA ANA CITY COUNCIL M g.d A. PWido Michel. VIWm .z Jma Sulono P paved ©erweitles, Joan VOW,,, Sui Trnejam Mayo' Mayor Pro Ta., Ward 2 Wad Wari3 War 4 Waed5 WaM6 LMLdlna[4d Ava•.P19 r'u=PMnre M 63ntbwawn, sam qnt »rJsaSliJ ar.Is �L4 tuo t .� a17 iban2,,,jq,�&Z2�i1_wn 111912.41�L", _j-_namn surlmn.C�%+1Cltl:'�w orq 11 A-8 Attachment C Mobile Vending Notice (English Spanish) mailed to 246 mobile vending businesses on January 31, 2017 -BUSINESS, , - ADDRESS. mail_city_state_zip 1 3 HERMANOS PRODUCE 1639 W. MYRTLE ST. Santa Ana, CA 92703 2 99 CENT PRODUCE 819 S. SHELTON ST. Santa Ana, CA 92703 3 AC & GJ PRODUCE 701 E. CHESTNUT AVE. #C Santa Ana, CA 92701 4 ACATIC PRODUCE 1143 S POPLAR ST APT 1 Santa Ana, CA 92704 5 AGUSTIN PRODUCE 931 S STANDARD AVE #6 Santa Ana, CA 92701 6 ALEBRIJES GRILL 1101 W. STEVENS AVE #53 Santa Ana, CA 92707 7 ALEGRIJES TACOS EL CHICHO 3044 FILMORE WAY APT. 164 Costa Mesa, CA 92626 8 ALEXANDRA'S CATERING 24480 KATRINA AVE. Moreno Valley, CA 92551 9 ALICIA'S CATERING 714 1/2 E. 5th ST. SANTA ANA, CA 92701 10 AMERICA PRODUCE 2605 W SAINT GERTRUDE PL. Santa Ana, CA 92704 11 ANGIES PRODUCE 2224 W. PALM AVE. Orange, CA 92868 12 ANTOATOS HECTOR 612 S. EMILY ST. Anaheim, CA 92805 13 ASHLY PRODUCE 923 W. CAMILE STREET Santa Ana, CA 92703 14 AURORA'S CATERING 725 N FIGUEROA ST. Santa Ana, CA 92703 15 AVILAS CATERING 117 N FIGUEROA ST. Santa Ana, CA 92703 16 BABY'S BURGERS 18 MONTANA DEL LAGO DRIVE Rancho Santa Margarita, CA 92688 17 BELLA PRODUCE 2101 W MYRTLE APT B Santa Ana, CA 92703 18 BELLO PRODUCE 223 S ORANGE AVE APT #B Santa Ana, CA 92701 19 BERMUDEZ PRODUCE 1317 W PINE ST. Santa Ana, CA 92703 20 BRANBETS PRODUCE 853 HARWOOD Pl. Santa Ana, CA 92701 21 BUQQA LLC 23291 GUINEA ST Lake Forest, CA 92630 22 BURRITOS LA PALMA 20891 HEATHERVIEW Lake Forest, CA 92630 23 CAHUAMANTA Y MARISCOS EL YAQUI 14811 NEWPORT AVE #B Tustin, CA 92780 24 CAMILA CATERING 3101 S FAIRVIEW ST, SPC 148 Santa Ana, CA 92704 25 CANDY CRUSH ICE CREAM 1020 N. VAN NESS AVE. Santa Ana, CA 92701 26 CARNITAS Y BIRRIA TATEMADA 1900 N SPURGEON ST. #104 Santa Ana, CA 92706 27 CARNITAZ ZARAGOZA'S / ZARAGOZA'S 1613 W OCCIDENTAL ST. Santa Ana, CA 92704 28 CARNIVAL TYME CATERING 1202 N MABU RY ST Santa Ana, CA 92701 29 CARRASCO PRODUCE 937 W. CAMILE ST. SANTA ANA, CA 92703 30 CARRILLO PRODUCE 2701 S. FAIRVIEW ST. APT. #F-16 Santa Ana, CA 92704 31 CARRILLOS FOOD SERVICE 315 S NEWHOPE ST., #205S Santa Ana, CA 92704 32 CEMITAS ANDREA'S 4080 W 1ST STREET #275 Santa Ana, CA 92703 33 CEMITAS POBLANAS 10544 FLOWER ST. Stanton, CA 90680 34 CENTENO'S PRODUCE 417 S GARNSEY ST Santa Ana, CA 92701 35 CERVANTES PRODUCE 2513 W OCCIDENTALST Santa Ana, CA 92704-4044 36 CHALINO PRODUCE 313 DAISY AVE SANTA ANA, CA 92703-4309 37 CHARLIES FOODS #72 201 S MOUNTIAN VIEW Santa Ana, CA 92704 38 CHIVA TORTA 1117 N LYON ST. Santa Ana, CA 92701-3224 39 COMA COMO EN EL Drill 2016 S VAN NESS Santa Ana, CA 92707 40 COOL CRAVE 2283 N. BATAVIA ST. Orange, CA 92865 41 CORDOVA PRODUCE 916 W CAMILE ST. Santa Ana, CA 92703 42 DARWIN 2601 S ROSEWOOD AVE # B Santa Ana, CA 92707 43 DON PEPE BAJA GRILL 1537 S GREENVILLE Santa Ana, CA 92704 44 DOS MEXICANOS GRILL 2234 S. CYPRESS AVE. Santa Ana, CA 92707 45 E & M CATERING 9250 TAMARISK PLACE. Riverside, CA 92503 46 E J 1 PRODUCE 2237 S CENTER ST. #B SANTA ANA, CA 92704 47 EDUARDO PRODUCE 1001 RIVERINE APT #22 Santa Ana, CA 92701 48 EL ARBOLITO 13361 FAIRVIEW ST. Garden Grove, CA 92843 11 A-9 Attachment C Mobile Vending Notice (English Spanish) mailed to 246 mobile vending businesses on January 31, 2017 BUSINESS •, '. ADDRESS;: mail_city stag zip i 49 EL CABRITO 1717 W WISTERIA PL. SANTA ANA, CA 92703 50 EL MENOS PRODUCE 1323 S GARNSEY ST. SANTA ANA, CA 92707 51 EL MUNECO CHEESESTEAKS 814 S GREENGROVE ST. Orange, CA 92866 52 EL PALAMAR PRODUCE 515 S GARNSEY ST Santa Ana, CA 92701 53 EL PARAISO LLC 928 S BIRCH ST. APT 4 Santa Ana, CA 92701 54 EL PARIENTE 2141 MAPLE STREET Santa Ana, CA 92707 55 EL REY DE LAS TAQUIZAS 800 S SULLIVAN ST APT #A3 Santa Ana, CA 92704 56 EL REY DEL TACO 19520 E ONTARIO AVE APT. "A" Corona, CA 92881 57 EL RINCON DEL SABOR 2709 S. BAKER ST. APT. #D Santa Ana, CA 92707 58 EL TACO PERRON 1214 S KAREN AVE Santa Ana, CA 92704 59 ELTAQUERO 1021 N. FLOWER ST. #22 Santa Ana, CA 92703 60 ELTAQUERO 1021 N. FLOWER ST. #22 Santa Ana, CA 92702 61 EMMANUEL PRODUCE 1415 N DURANT ST#1 Santa Ana, CA 92706 62 ESPERANZA PRODUCE & ICE - CREAM 1102 BEWELY ST. UNIT #2 Santa Ana, CA 92703 63 F SANCHEZ PRODUCE 826 S RAITT ST. #1 SANTA ANA, CA 92704 64 FAMILIA LOPEZ PRODUCE 1410 N FRENCH ST. APT #4 Santa Ana, CA 92701 65 FLORES FOOD 2117 S. GLENARBOR STREET Santa Ana, CA 92704 66 FLORES PRODUCE 722 E. WALNUT #14 Santa Ana, CA 92701 67 FLORES PRODUCE 1915 W. 18TH. ST. Santa Ana, CA 92706 68 FRESH FRUITS OLIVER 333 W. HALESWORTH ST. #205 Santa Ana, CA 92701 69 FRUTAS DON LUIS 2613 FALCON CIRCLE Corona, CA 92882 70 FUN-O-CAKES PO BOX 3351 Santa Ana, CA 92703 71 G & G CATERING 12861 WEST ST SPC 120 Garden Grove, CA 92840 72 GABINO'S FRUITS 13271/2 N BUSH ST Santa Ana, CA 92701 73 GABINOS HOT DOGS 41 1502 N VAN NESS APT#9 Santa Ana, CA 92706 74 GARCIA PRODUCE 1022 W BISHOP ST SANTA ANA, CA 92703 75 GARCIA PRODUCE 3126 W FIRSTSTREET#100 Santa Ana, CA 92703 76 GARCIA PRODUCE 1442 S TOWNSEND #B Santa Ana, CA 92704 77 GAVIOTA 901 S BRISTOL ST #6675 Santa Ana, CA 92703 78 GONZALES FOODS 1001 W MACARTHUR UNIT#42 Santa Ana, CA 92707 79 GOOD LUCKY 1657 W BROOK ST. Santa Ana, CA 92703 80 GUZMAN PRODUCE SALES 2023 S. SYCAMORE ST. SANTA ANA, CA 92707 81 INES PRODUCE 1009 S. MINNIE ST. APT #9 Santa Ana, CA 92701 82 J SALAZAR PRODUCE 405 E MYRTLE Santa Ana, CA 92701 83 JAVA ON THE GO 635 BAKER ST. #W201 Costa Mesa, CA 92704 84 JENNYS CATERING 1809 W CAMDEN PL Santa Ana, CA 92704 85 JESSICA'S FOODS 2601 N GRAN AVE APT. 52 Santa Ana, CA 92705 86 JIMENAS PRODUCE 1403 W ELDER AVE Santa Ana, CA 92704 87 JO JO'S 114 PRINCE LN #66 Santa Ana, CA 92704 88 JULIANA'S PRODUCE 1001 N PARTON ST. #2 Santa Ana, CA 92701 89 JUSTIN PRODUCE 501 CYPRESS AVE. #6 Santa Ana, CA 92701 90 KARLA'S PRODUCE 3616 W CAMILLE #A Santa Ana, CA 92704 91 LA CARRETA 3309 VIANA DR Palmdale, CA 93550 92 LA CARRETA LONCH ERA 1837 2ND ST. Santa Ana, CA 92703 93 LA CHONITA CATERING 968 EASTWIND DR Placentia, CA 92870 94 LA CONCHITA 922 N. BEWLEY ST. APT. C Santa Ana, CA 92703 95 LA COSTENITA 12626 HACKBERRY LN. Moreno Valley, CA 92553 96 LA CUCARACHA PRODUCE 1629 S GREENVILLE ST Santa Ana, CA 92704 11A-10 Attachment C Mobile Vending Notice (English Spanish) mailed to 246 mobile vending businesses on January 31, 2017 BUSINESS - ADDRESS. mail_city_state_zip 97 LA PLACITA 1010 N. NEWHOPE ST Santa Ana, CA 92703 98 LA PLACITA #1 1010 N. NEWHOPE STREET Santa Ana, CA 92703 99 LA PLACITA #3 1102 N GATES ST. SANTA ANA, CA 92703 100 LA PLAYITA 8255 TOWNSEND #3 Santa Ana, CA 92704 101 LA POBLANITA 705 S SHELTON ST APT #A Santa Ana, CA 92703 102 LAS DELICIAS DE LOS JEFES 333 AVOCADO ST. #A-2 Costa Mesa, CA 92627 103 LAS TORTUGAS GRILL 1121 S KAREN AVE. Santa Ana, CA 92704 104 LESLEE'S PRODUCE 2125 N EASTWOOD AVE Santa Ana, CA 92705 105 LG FOOD SERVICE 1709 S DOREEN WAY Santa Ana, CA 92704 106 LONCHERA MARISCOS LOS CORALES M 2629 W WESTMINSTER Santa Ana, CA 92706 107 LOPEZ PRODUCE 15962 S MYRTLE AVE. #1 Tustin, CA 92780 108 LOPEZ PRODUCE 314 EASTSIDE AVE. Santa Ana, CA 92701 109 LOPEZ PRODUCE 1802 N. SPURGEON ST. APT. #1 Santa Ana, CA 92706 110 LOPEZ PRODUCE 316 TANGERINE LN. SPC-45 Santa Ana, CA 92703 111 LOPEZ PRODUCE 701 E CHESTNUT AVE APT A Santa Ana, CA 92701 112 LOS MANDILONES 9141/2 N LACY ST. Santa Ana, CA 92701 113 LOS REYES DEL ELOTE ASADO 1936 WALLACE AVE. #B Santa Ana, CA 92627 114 LOS TAPATIOS 1301 S. BIRCH ST. Santa Ana, CA 92707 115 LUIS CATERING 201 S MOUNTAIN VIEW ST Santa Ana, CA 92704-1233 116 LUNA'S CATERING 16611 TUNSTALL LN APT 3 Huntington Beach, CA 92647 117 LUPITA PRODUCE 1414 N DURANT#H Santa Ana, CA 92706 118 LUPITA PRODUCE 1801 CEDAR ST#A Santa Ana, CA 92707 119 LUPITAS CATERING PO BOX 4152 SANTA ANA, CA 92701 120 MAD DUMPLINGS LLC 13800 PARKCENTER LN #470 Tustin, CA 92782 121 MALDONADO PRODUCE 611 E CENTRAL AVE Santa Ana, CA 92707 122 MANNY'S PRODUCE 2237 S CENTER ST. #B SANTA ANA, CA 92704 123 MARIA DE JESUS PRODUCE 1030 N PARTON APT #204 Santa Ana, CA 92701 124 MARIA's PRODUCE 809 S TOWNSEND ST. #9 Santa Ana, CA 92704 125 MARIELA'S TACO'S 14300 CLINTON ST SPC 163 Garden Grove, CA 92843 126 MARINA'S TACOS 1221 MAPLE ST Santa Ana, CA 92707 127 MARISCOS BERTIN 1101 W 5TEVENES AVE APT 227 Santa Ana, CA 92707 128 MARISCOS EL CAMARON BORRACHO 2520 S BIRCH ST Santa Ana, CA 92707 129 MARISCOS EL CANGREJO NICE 819 S MAIN ST Santa Ana, CA 92701 130 MARISCOS EL TIBURON 3445 W PARK BALBOA AVE. Orange, CA 92868 131 MARISCOS LOS CORALES 12132 FIREBRAND ST. Garden Grove, CA 92840 132 MARISCOS LOS PRIMOS 537 E. CENTER ST. APT #175 Anaheim, CA 92805 133 MARISCOS NUEVO VALLARTA ESTILO N 13871 SHADY LANE APT 4 Santa Ana, CA 92706-2144 134 MARISCOS SAN PEDRO 2119 W WILSHIRE AVE Santa Ana, CA 92704 135 MARISCOS VIP 202 W EDINGER AVE Santa Ana, CA 92707 136 MARTHA PRODUCE 901 S. BAM DAL ST. Santa Ana, CA 92704 137 MARTINEZ PRODUCE 2513 W. OCCIDENTAL ST. Santa Ana, CA 92704 138 MARTINEZ TACOS 901 S. BRISTOL SPC B PMB #376 Santa Ana, CA 92703 139 MAYRAS CATERING 125 E POMONA ST Santa Ana, CA 92707 140 MI PUEBLO PRODUCE 722 E. WALNUT ST. #14 Santa Ana, CA 92701 141 MI TIERRA PRODUCE 1500 E WARREN ST#42 Santa Ana, CA 92705 142 MIAS MINI MARKET 833 N VAN NESS AVE Santa Ana, CA 92701 143 MIRANDA PRODUCE 331 S GARNSEY ST. SANTA ANA, CA 92701 144 MIRANDA PRODUCE 1507 N DURANT#13 Santa Ana, CA 92703 11A-11 Attachment C Mobile Vending Notice (English Spanish) mailed to 246 mobile vending businesses on January 31, 2017 11 SUSNESS ADDRESS- nall,city shate_Zlp 145 MIS DOS CARNALES CATERING 1145 TAFT ST. Irvine, CA 92620 146 MUNOZ HOT DOGS 1522 N SYCAMORE ST APT B Santa Ana, CA 92701 147 NINJAS WITH APPETITE 1439 W. CHAPMAN AVE. #88 Orange, CA 92868 148 OK CATERING 317 E. LA PALMA AVE. #36 Anaheim, CA 92801 149 OKAMOTO KITCHEN 13412 VENTURA BLVD #360 Sherman Oaks, CA 91423 150 ORGINIAL MULITAS GRILL 633 S MAIN ST. Santa Ana, CA 92701 151 ORTEGA PRODUCE 3851 HAMMEL ST. LOS ANGELES, CA 90063 152 ORTEGA PRODUCE 1416 N. SPURGEON ST, APT #7 Santa Ana, CA 92701 153 PALMAR PRODUCE 914 S SHELTON APT #3 SANTA ANA, CA 92703 154 PARAISO CATERING 201 S MOUNTAIN VIEW ST. SANTA ANA, CA 92704 155 PEPES CATERING 1527 S STANDARD AVE. #26 SANTA ANA, CA 92707 156 PIAGGIO ON WHEELS 3851 MAGNOLIA ST Irvine, CA 92606 157 PINEDA'S PRODUCE 1102 N GATES ST. SANTA ANA, CA 92703 158 PIZZAMI BUSCEMI 5048 E ALMOND AVE #3 ORANGE, CA 92869 159 PRIMOS MARISCOS 4716 E COMPTON BLVD Compton, CA 90221 160 PRODUCE GARIBAY 215 E. 15th ST #1 Santa Ana, CA 92701 161 PRODUCE JUQUILITA 3801 S. ROSS ST. APT. A Santa Ana, CA 92707 162 PRODUCE MARCELINA 1507 N. DURANT ST. APT 13 Santa Ana, CA 92706 163 PRODUCE PALACIOS 715 E CHESTNUT AVE. #A SANTA ANA, CA 92701 164 PRODUCE YOALI 648 E CENTRAL AVE. Santa Ana, CA 92707 165 PRODUCTOS RODRIGUEZ 1027 N. PARTON ST. APT. #4 Santa Ana, CA 92701 166 QUIROZ PRODUCE 1413 W MC FADDEN AVE Santa Ana, CA 92704 167 RAMIREZ PRODUCE 1030 W HIGHLAND ST., APT. 1 SANTA ANA, CA 92703 168 RAMIREZ PRODUCE 1802 N SPURGEON ST. Santa Ana, CA 92706 169 RAMIREZ PRODUCE 939 S MINNIE ST#4 Santa Ana, CA 92701 170 RASPADO VIOLETA 1502 N. VAN NESS AVE APT#9 Santa Ana, CA 92706 171 REINAS PRODUCE 425 S. SUSAN ST. Santa Ana, CA 92704 172 RENTERIA 1007 1/2 W MYRTLE ST. Santa Ana, CA 92703 173 REY PRODUCE 1507 N. DURANT ST #44 Santa Ana, CA 92706 174 REYES'S PRODUCE 1403 W ELDER AVE Santa Ana, CA 92704 175 RICHY'S TACOS 1403 W. ELDER AVE. Santa Ana, CA 92704 176 RIGOBERTOS BROTHERS #2 23173 BRYMAN RD Oro Grande, CA 92368 177 RIOS PRODUCE 1010 W BISHOP ST #H Santa Ana, CA 92703 178 ROBLES PRODUCE 931 S STANDARD AVE #1 Santa Ana, CA 92701 179 RODRIGUEZ PRODUCE 509 E MCFADDEN AVE. Santa Ana, CA 92707 180 RODRIGUEZ PRODUCE 923 W CAMILE ST Santa Ana, CA 92703 181 ROSA PRODUCE PO BOX 2312 SANTA ANA, CA 92707-0912 182 ROSALES PRODUCE 1905 W. MYRTLE ST. APT #1 Santa Ana, CA 92703 183 ROSARIOS CATERING 13862 YOCKEY ST Garden Grove, CA 92844 184 RUBI PRODUCE 710 S. TOWNSEND ST UNIT#5 Santa Ana, CA 92704 185 RU BY'S TAMALES 1302 S ROSS ST. Santa Ana, CA 92706 186 RUFINO PRODUCE 2301 W. WISTERIA PL. Santa Ana, CA 92704 187 RYKO MAK TAKO 934 W. ALPINE AVE. Santa Ana, CA 92707 188 SALAZAR PRODUCE 721 E PINE ST#B Santa Ana, CA 92701 189 SALAZAR's PRODUCE 13522 HALEY AVE. Whittier, CA 90605 190 SALSA GRILL 303 S HICKORY ST SANTA ANA, CA 92701 191 SANCHEZ MEXICAN FOOD 1651 MITHCHELL AVE. Tustin, CA 92780 192 SANCHEZ PRODUCE 2601 HUCKLEBERRY RD Santa Ana, CA 92706 11A-12 Attachment C Mobile Vending Notice (English Spanish) mailed to 246 mobile vending businesses on January 31, 2017 BUSINESS ADDRESS; mail ciCY_.stia%araip 193 SANTAMARIA PRODUCE 1032 W BISHOP ST. #A SANTA ANA, CA 92703 194 SANTOS PRODUCE 14541 DEL AMO AVE APT C Tustin, CA 92780 195 SILVANO PRODUCE PO BOX 2282 SANTA ANA, CA 92707 196 SILVAS PRODUCE 721 PINE APT B Santa Ana, CA 92701 197 SIZZLING SUSIES CATERING 201 S MOUNTAINVIEW ST. SANTA ANA, CA 92704 198 SORIANO PRODUCE 1030 HIGHLAND ST., APT. 1 Santa Ana, CA 92703 199 SORIANO's PRODUCE PO BOX 2394 SANTA ANA, CA 92707-0394 200 SORIANO's PRODUCE 339 W HALESWORTH ST. #806 Santa Ana, CA 92701 201 STREET FOODS CO. 17176 BIRCH HILL RD Riverside, CA 92504 202 SURPRISE CATERING 627 S SHELTON ST Santa Ana, CA 92701 203 TACO EL CALENTANO 2516 S ROSEWOOD AVE. #B Santa Ana, CA 92707 204 TACO PERRON 1421 W WISTERIA PL SANTA ANA, CA 92703 205 TACOS AL VAPOR "LOS GUEROS" 1926 E LA VETA AVE APT. #115 Orange, CA 92866 206 TACOS AYUTLA OAXACA 451 FERRIS AVE Los Angeles, CA 90022 207 TACOS CABANAS 2520 S BIRCH ST Santa Ana, CA 92707 208 TACOS DE SANTIAGO 1633 Baker St. Costa Mesa, CA 92626 209 TACOS DURANGO 8330 N. 19TH, AVE. APT.1089 Phoenix, AZ 92701 210 TACOS EL BESO 831 E 3RD ST. Santa Ana, CA 92701 211 TACOS EL COMPITA 740 S LYON ST. #555 Santa Ana, CA 92705 212 TACOS EL DON 206 W. ST. GERTRUDE Santa Ana, CA 92707 213 TACOS EL MOY 1422 N DURANT ST SANTA ANA, CA 92706 214 TACOS EL PANZAS 1001 S. LYON ST, APT. 20 Santa Ana, CA 92705 215 TACOS EL SAGA 801 S PARTON ST Santa Ana, CA 92701 216 TACOS EL YOGY 810 S BIRCH ST Santa Ana, CA 92701 217 TACOS LA FORTUNA 2402 W MOORE AVE Santa Ana, CA 92704 218 TACOS LA UNICA 1709 NORMANDY PL UNIT#A Santa Ana, CA 92705 219 TACOS LUCAZ 2218 E AVALON AVE SANTA ANA, CA 92705 220 TACOS MANU EL CAM ILAS 1006 W. CUBBON ST. Santa Ana, CA 92703 221 TACOS MI ORIGEN 829 S. KENMORE ST. Anaheim, CA 92804 222 TACOS PEPE EL TORO Y TORTAS GUADI 1413 W MCFADDEN AVE Santa Ana, CA 92704 223 TACOS RADIOACTIVOS 3248 SOUTH MAIN ST #45A Santa Ana, CA 92707 224 TACOS Y BIRRIA EL GUERO 443 S HESPERIAN ST SANTA ANA, CA 92703-0471 225 TACOS Y BIRRIA LA CASCADA 2220 E. AVALON AVE. Santa Ana, CA 92705 226 TACOS Y BIRRIA MIGUELITO 1407 W 2ND STREET Santa Ana, CA 92703 227 TAMALES DONA LEO 17682 VAN BUREN #B Huntington Beach, CA 92647 228 TAMALES IRMA 1138 S PARTON STREET Santa Ana, CA 92707 229 TAQUERIA AZTECA 12103 PARISE DR. Whittier, CA 90604 230 TAQUERIA DE ANDA PO BOX 1518 Fullerton, CA 92832 231 TAQUIZAS LOS CUNADOS 1509 HIGHLAND ST Santa Ana, CA 92703 232 THACKER BERRY FARMS 2124 REDGEVIEW TERRACE Signal Hill, CA 90755 233 THE CRAZY CEVICHE 1634 E REDWOOD Anaheim, CA 92805 234 THE CUT HANDCRAFTED BURGERS 20211 SPRUCE AVE. Newport Beach, CA 92660 235 THE FIREPIT MEXICAN GRILL 15123 S BROOKHURST STAPT#57 Westminster, CA 92683 236 TONITO'S TAMALES 601 S SHAWNEE DR. Santa Ana, CA 92704 237 TORTAS AHOGADAS LOS PRIMOS 3636 W. PARK BALBOA AVE. Orange, CA 92868 238 VALENCIA PRODUCE 1817 S CEDAR ST. #C SANTA ANA, CA 92707 239 VALENTINA PRODUCE 421 E 16TH STREET #107 Santa Ana, CA 92701 240 VERACRUZ FRESH FRUIT 3334 ADRIATIC AVE Long Beach, CA 90810 11A-13 Attachment C Mobile Vending Notice (English Spanish) mailed to 246 mobile vending businesses on January 31, 2017. FSt 51N6S5 ADDM$,'$ mail_ [kY_�tate zip 241 WENDY PRODUCE 1009 W BISHOP ST APT#30 Santa Ana, CA 92703 242 XIQUE PRODUCE 243 XIQUI PRODUCE 244 XOLO MARISCOS 245 YOVI AND JACQU I FRUTA 246 YOVI AND JACQUI PRODUCE 2301 W WISTERIA PL, 1002 S MINNIE ST. #3 1727 NORMANDY PL. APT D 1607 S. CALLE DEL SOL APT. H 1607 S. CALLE DEL SOL, #H SANTA ANA, CA 92704 SANTA ANA, CA 92701 Santa Ana, CA 92704 Anaheim, CA 92802 Anaheim, CA 92802 11A-14 (New language underlined, deleted language in strikeout for tracking purposes only.) ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REPEALING DIVISION 3 OF ARTICLE 1. OF CHAPTER 36 "VENDING VEHICLES" (SANTA ANA MUNICIPAL CODE SECTIONS 36-50 THROUGH 36-63); REPEALING ARTICLE XIV OF CHAPTER 36 "FOOD VENDING VEHICLES" (SANTA ANA MUNICIPAL CODE SECTIONS 36-700 THROUGH 36-720); AND ADOPTING THE NEW FOOD VENDING VEHICLE ORDINANCE IN CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE THE CITY COUNCIL OF THE CITY OF SANTA ANA HEREBY ORDAINS AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The City Council of the City of Santa Ana expressly finds that vending vehicles pose traffic hazards and special danger to the safety and welfare of children and residents of the City. The City's intent is to provide clear and concise regulations to ensure safety and prevent traffic hazards, as well as preserve the peace, safety and welfare of the community. B. The City Council of the City of Santa Ana previously adopted Article XIV in Chapter 36 "Food Vending Vehicles" in December 1994 (Santa Ana Municipal Code sections 36-700 through 36-720). C. The City Council later adopted Division 3 of Article 1 in Chapter 36 "Vending Vehicles" in 2004 and 2005 (Ordinances NS-2655 and NS-2701) codified as Santa Ana Municipal Code sections 36-50 through 36-63. D. The later ordinances were challenged in an action filed in Orange County Superior Court (Vasquez v. City of Santa Ana - Case No. 05CC13450). The Court ruled for the plaintiffs, finding that California Vehicle Code section 22455 preempted the City ordinances because the City regulations were not limited to protecting public safety. E. Following the Vasquez case, the City has not sought to enact or enforce further regulation of food vending vehicles, even though Vehicle Code section 22455 allows a local authority to adopt additional requirements for mobile vending which restricts the time, place and manner of vending in order to protect the public safety. Exhibt 2 Ordinance No. NS-XXXX Page 1 11A-15 F. In an effort to clean up the Santa Ana Municipal Code (SAMC), the City Council hereby repeals Article XIV in Chapter 36 "Food Vending Vehicles" (SAMC section 36-700 through 36-720) as well as Division 3 of Article 1 in Chapter 36 "Vending Vehicles" (SAMC section 36-50 through 36-63). G. The City Council hereby adopts a new Food Vending Vehicle ordinance restricting the place and manner of vending in order to protect the public safety in accord with Vehicle Code section 22455. Section 2. In accordance with the California Environmental Quality Act, the recommended action is categorically exempt from further review per section 15061(b)(3), in that it can be seen with certainty that the project will have no possible significant impact on the environment. A Categorical Exemption for Environmental Review No. ER-20_ - ,__,_will be filed for this project. Section 3. Article XIV in Chapter 36 "Food Vending Vehicles" (Santa Ana Municipal Code Sections 36-700 through 36-720) is hereby repealed in its entirety. Section 4. Division 3 of Article 1 in Chapter 36 "Vending Vehicles" (Santa Ana Municipal Code Sections 36-50 through 36-63) is hereby repealed in its entirety. Section 5. The City hereby adopts the new "Food Vending Vehicles", Article XIV to Chapter 8 of the Santa Ana Municipal Code to read as follows: ARTICLE XIV. FOOD VENDING VEHICLES. Sec. 36-700. Purpose and Intent. The City Council expressly finds that vending vehicles pose traffic hazards and special dangers to the safety and welfare of children and residents of the city. It is the purpose and intent of the City Council, in enacting this article, to provide responsible companies and persons who engage In the operation of vending from vehicles with clear and concise regulations to ensure safety and prevent traffic hazards, as well as preserve the peace, safety and welfare of the community. Sec.36-701. Definitions. As used in this article: A. "Crosswalk" shall be defined by the California Vehicle Code, as that term may be amended from time to time. Ordinance No. NS-XXXX Page 2 11A-16 B. "Business license" means a business license required by Chapter 21 of the City of Santa Ana Municipal Code. C. "Food vending vehicle" or "vending vehicle" means any vehicle or trailer, as those terms are defined in the California Vehicle Code, which is equipped or used for retail sales of produce and/or prepared, pre -packaged, or unprepared, unpackaged food or foodstuffs of any kind on any public street, alley or highway or private street or alley within the City. The inventory of these vehicles is not necessarily limited to edible items and may include nonfood sundries. Food vending vehicle as used in this article does not refer to, nor include, ice cream trucks as regulated in Article X of Chapter 36 of this Code. that: D. "Operator" as used in this article shall mean any entity and all person(s) (1) Owns, controls, manages, and/or leases a food vending vehicle; and/or (2) Contracts with any person(s) to drive, operate, prepare food in, and/or vend from, a food vending vehicle; and/or (3) Drive, operate, vend and/or prepare food in or from a food vending vehicle. E. "Goods"or "merchandise" shall include items and products of every kind and description, including all foods, produce, and beverage items. F. `Park" shall be defined by Chapter 31 of this Code, as it may be amended from time to time. G. "School" shall mean any institution of learning for minors, whether public or private, offering instruction in those courses of study required by the California Education Code and maintained pursuant to standards set by the state board of education. This definition includes a nursery school, kindergarten, elementary school, middle or junior high school, senior high school, or any special institution of education, but it does not include either a vocational institution or a professional institution of higher educations, including a community or junior college, college, or university. H. "Street' shall be defined by the California Vehicle Code, as that term may be amended from time to time. I. "Vend" or "vending" as used in this article means soliciting, displaying, offering for sale for monetary or other consideration, or sale, of any goods or merchandise to the public from a vehicle; offering produce, prepared food, prepackaged food or nonfood sundries of any kind for sale from a food vending vehicle on a public or private street, alley, highway or public place within the City of Santa Ana and includes the movement or standing of a food vending vehicle for the purpose of searching for, Ordinance No. NS-XXXX Page 3 11A-17 obtaining or soliciting retail sales of produce, prepared food, prepackaged food or nonfood sundries. J. "Restocking" means the transfer of food, goods or merchandise to a food vending vehicle from any other person or vehicle and includes, but is not limited to, loading and delivery of food, goods and merchandise. Sec. 36.702. Operational Requirements. A. No person shall own, control, operate, manage, lease, or contract with any other person for the operation of a food vending vehicle in the City without a valid business license issued, in addition to any other license or permit required under any other chapter of this code, for each and every food vending vehicle. B. All operators shall comply with the following regulations: 1. Each operator vending any produce or other food item shall comply with all County of Orange Health Care Agency requirements for mobile food facilities, as well as all required food handling permits. Each operator shall possess and at all times display such permits in conspicuous view upon each vending vehicle. 2. Each operator shall possess and at all times display in conspicuous view upon each such vehicle a City business license. 3. Every food vending vehicle shall have the name, address, and telephone number of the holder of the business license permanently affixed on both the left and right sides of the vehicle. Such information shall be in letters and numerals not less than four inches in height and shall be in contrast to the color of the background upon which the letters are placed. 4. No additional lighting other than that required by the California Vehicle Code may be installed or operated on a food vending vehicle. No food vending vehicle that is stopped, parked or standing on any street, alley, or highway shall display flashing neon or electronic display signs or visual displays that are intended to, or do in fact, distract drivers and draw attention to the food vending vehicle. 5. No operator of a food vending vehicle shall operate any sound amplification systems or other sound making devices or music systems to advertise, draw attention to, or announce the presence of any such vehicle while such vehicle is moving, stopped, standing, or parked upon any public or private street. 6. No owner or operator of a vending vehicle shall permit vending within five hundred (500) feet from a school, park, community center or public playground facility. Ordinance No. NS-XXXX Page 4 11A-18 7. No owner or operator shall permit the vending vehicle to vend within one hundred (100) feet of a marked or unmarked crosswalk in an intersection. 8. No food vending vehicle shall be parked, stopped, or left standing in any manner which blocks or impedes vehicular access to any driveway or restricts the free movement of other vehicles upon any public or private street. Vending shall only be permitted where the food vending vehicle has been brought to a complete stop and parked adjacent to the curb in a lawful manner 9. Vending from a food vending vehicle while the vehicle is parked, stopped, or standing on any public or private street, alley, or highway is permitted only when that part of the food vending vehicle open to prospective customers is on the side of the vehicle immediately next to the right side of the public or private street, alley, or highway. Under no circumstances may vending occur from the left side of a food vending vehicle. Notwithstanding the above provisions, no person shall vend to any customer whose location creates a traffic hazard. 10. All food vending vehicles shall be equipped with refuse containers large enough to contain all trash and refuse generated by the operation of such vehicle. The operator of the food vending vehicle shall pick up all trash and refuse generated by the operator's vending during the time the vehicle is stopped, that is within not less than a fifty (50)-foot radius of the vehicle, before such vehicle is moved. 11. Restocking of a food vending vehicle is prohibited while the vehicle is on any public or private street or alley. 12, No food vending vehicle shall attach to or receive any electrical power or other utilities from any public or private property while the vehicle is located on any private or public street or alley. 13. Vending is prohibited from a food vending vehicle that is parked, stopped, or standing on any public street, alley, or highway where the posted speed limit on the public street, alley, or highway is thirty-five miles per hour or greater. 14. No owner or operator of a vending vehicle shall permit objects, including but not limited to tables, chairs, or other furniture, trash receptacles, generators or equipment, to be placed into that portion of the street, alley or highway which is open to vehicular traffic, nor shall any object, including but not limited to tables, chairs, other furniture, trash receptacles, generators or equipment, be placed within or upon the parkway or sidewalk. 15. In conformance with the California Retail Food Code and County of Orange Health Care Agency/Environmental Health, food vending vehicles shall be stored at or within an approved commissary in order to have protection from unsanitary conditions. Food vending vehicles shall not be stored overnight outside of an approved commissary. Ordinance No, NS-XXXX Page 5 11A-19 16. In conformance with the California Retail Food Code and County of Orange Health Care Agency/Environmental Health, any food vending vehicle which is parked and vending in single location for one hour or longer must be parked within two hundred (200) feet of an approved and readily available toilet and handwashing facility, to ensure that restroom facilities are available to food vending vehicle employees. The food vending vehicle operator must provide written evidence of permission from an adjoining property owner to use their restroom facilities. Sec. 36.703. Exemptions. This article shall not apply to any City -sponsored event where the operator of the food vending vehicle is operating pursuant to a valid contract with the City. Sec. 36.704. Land Use Certificate Required for Vending on Private Property. A. Food vending vehicles shall be allowed on private property in conjunction with a Land Use Certificate and/or special event permit for activities on property in commercial, manufacturing, or planned development zones designated for commercial or manufacturing uses. Food vending vehicles operating on private property must obtain the consent of the person who is in legal control of the property and subject to the provisions of Chapter 41 of the City of Santa Ana Municipal Code. B. Food vending vehicles shall be allowed on private property in conjunction with a Land Use Certificate and/or special event permit for activities such as filming for movies, a party, fair, or carnival. Food vending vehicles operating on private property must obtain the consent of the person who is in legal control of the property and subject to the provisions of Chapter 41 of the City of Santa Ana Municipal Code. C. Pursuant to this section, the following restrictions apply to vending on private property: 1. A food vending vehicle may only vend and remain parked on private property for the period of time noted in the Land Use Certificate and/or special event permit. 2. All food vending vehicles are required to have a City of Santa Ana business license conspicuously displayed when vending. 3. Nothing in this section shall be construed to excuse food vending vehicles from complying with all other provisions of this chapter. Ordinance No. NS-XXXX Page 6 11 A-20 (New language underlined, deleted language in strikeout for tracking purposes only.) Sec. 36-705. Penalty for Violation. €very-vlalafiirsn-o�the-pro-vis+ens-o#-this��rtisl�ll-be-deemed-te-k�e-a--rrt+sderneanor anel; upon-emnuictiar+Sher-eat-�haib-be--pur-tisha�le--as-prav+d�d-fer-In-sestien�--0 e�#his Gede:-E-a�h-day-arty-violation-of-any �aaid-provieien-o�this-artlele shall-c-ontlr+ue-s#aali so+�stitute-a-sepa+'ate-effense; Atternat+ve]y-f Every violations of the_provisions article may -shall be addressed through the use of an administrative citation as set forth in sections 1-21.1 through 1- 21.9 of this Code. Each day any violation of any r� ovision of this article shall continue shall constitute a separate offense. Use of an administrative citation shall not prevent or preclude the City from seeking additional criminal, civil or other legal remedy established by law. Section 6. If any section, subsection, sentence, clause or 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 or phrase or portion thereof irrespective of the fact that any one or more section, subsection, sentence, clause or phrase or portions be declared invalid or unconstitutional. ADOPTED this day of 2017. 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 Ordinance No. NS-XXXX Page 7 11 A-21 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-XXXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , 2017, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana Ordinance No. NS-XXXX Page 8 11 A-22 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REPEALING DIVISION 3 OF ARTICLE 1. OF CHAPTER 36 "VENDING VEHICLES" (SANTA ANA MUNICIPAL CODE SECTIONS 36-50 THROUGH 36-63); REPEALING ARTICLE XIV OF CHAPTER 36 "FOOD VENDING VEHICLES' (SANTA ANA MUNICIPAL CODE SECTIONS 36-700 THROUGH 36-720); AND ADOPTING THE NEW FOOD VENDING VEHICLE ORDINANCE IN CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE THE CITY COUNCIL OF THE CITY OF SANTA ANA HEREBY ORDAINS AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The City Council of the City of Santa Ana expressly finds that vending vehicles pose traffic hazards and special danger to the safety and welfare of children and residents of the City. The City's intent is to provide clear and concise regulations to ensure safety and prevent traffic hazards, as well as preserve the peace, safety and welfare of the community. B. The City Council of the City of Santa Ana previously adopted Article XIV in Chapter 36 "Food Vending Vehicles' in December 1994 (Santa Ana Municipal Code sections 36-700 through 36-720). C. The City Council later adopted Division 3 of Article 1 in Chapter 36 "Vending Vehicles" in 2004 and 2005 (Ordinances NS-2655 and NS-2701) codified as Santa Ana Municipal Code sections 36-50 through 36-63. D. The later ordinances were challenged in an action filed in Orange County Superior Court (Vasquez v. City of Santa Ana - Case No. 05CC13450), The Court ruled for the plaintiffs, finding that California Vehicle Code section 22455 preempted the City ordinances because the City regulations were not limited to protecting public safety. E. Fallowing the Vasquez case, the City has not sought to enact or enforce further regulation of food vending vehicles, even though Vehicle Code section 22455 allows a local authority to adopt additional requirements for mobile vending which restricts the time, place and manner of vending in order to protect the public safety. Exhibit-3 Ordinance No. NS-XXXX Page 1 11 A-23 F. In an effort to clean up the Santa Ana Municipal Code (SAMC), the City Council hereby repeals Article XIV in Chapter 36 "Food Vending Vehicles" (SAMC section 36-700 through 36-720) as well as Division 3 of Article 1 in Chapter 36 "Vending Vehicles" (SAMC section 36-50 through 36-63). G. The City Council hereby adopts a new Food Vending Vehicle ordinance restricting the place and manner of vending in order to protect the public safety in accord with Vehicle Code section 22455. Section 2. In accordance with the California Environmental Quality Act, the recommended action is categorically exempt from further review per section 15061(b)(3), in that it can be seen with certainty that the project will have no possible significant impact on the environment. A Categorical Exemption for Environmental Review No. ER-20_ - will be filed for this project. Section 3. Article XIV in Chapter 36 "Food Vending Vehicles" (Santa Ana Municipal Code Sections 36-700 through 36-720) is hereby repealed in its entirety. Section 4. Division 3 of Article 1 in Chapter 36 "Vending Vehicles' (Santa Ana Municipal Code Sections 36-50 through 36-63) is hereby repealed in its entirety. Section 5. The City hereby adopts the new "Food Vending Vehicles`, Article XIV to Chapter 8 of the Santa Ana Municipal Code to read as follows: Sec. 36-700. Purpose and Intent, The City Council expressly finds that vending vehicles pose traffic hazards and special dangers to the safety and welfare of children and residents of the city. It is the purpose and intent of the City Council, in enacting this article, to provide responsible companies and persons who engage in the operation of vending from vehicles with clear and concise regulations to ensure safety and prevent traffic hazards, as well as preserve the peace, safety and welfare of the community, Sec.36-701. Definitions. As used in this article: A. "Crosswalk" shall be defined by the California Vehicle Code, as that term may be amended from time to time. Ordinance No, NS-XXXX Page 2 11 A-24 B. "Business license" means a business license required by Chapter 21 of the City of Santa Ana Municipal Code. C. "Food vending vehicle" or "vending vehicle" means any vehicle or trailer, as those terms are defined in the California Vehicle Code, which is equipped or used for retail sales of produce and/or prepared, pre -packaged, or unprepared, unpackaged food or foodstuffs of any kind on any public street, alley or highway or private street or alley within the City. The inventory of these vehicles is not necessarily limited to edible items and may include nonfood sundries. Food vending vehicle as used in this article does not refer to, nor include, ice cream trucks as regulated in Article X of Chapter 36 of this Code. that: D. "Operator" as used in this article shall mean any entity and all person(s) (1) Owns, controls, manages, and/or leases a food vending vehicle; and/or (2) Contracts with any person(s) to drive, operate, prepare food in, and/or vend from, a food vending vehicle; and/or (3) Drive, operate, vend and/or prepare food in or from a food vending vehicle. E. "Goods"or "merchandise" shall include items and products of every kind and description, including all foods, produce, and beverage items. F. "Park" shall be defined by Chapter 31 of this Code, as it may be amended from time to time. G. "School" shall mean any institution of learning for minors, whether public or private, offering instruction in those courses of study required by the California Education Code and maintained pursuant to standards set by the state board of education. This definition includes a nursery school, kindergarten, elementary school, middle or junior high school, senior high school, or any special institution of education, but it does not include either a vocational institution or a professional institution of higher educations, including a community or junior college, college, or university. R "Street' shall be defined by the California Vehicle Code, as that term may be amended from time to time. I. "Vend" or "vending" as used in this article means soliciting, displaying, offering for sale for monetary or other consideration, or sale, of any goods or merchandise to the public from a vehicle; offering produce, prepared food, prepackaged food or nonfood sundries of any kind for sale from a food vending vehicle on a public or private street, alley, highway or public place within the City of Santa Ana and includes the movement or standing of a food vending vehicle for the purpose of searching for, Ordinance No. NS-XXXX Page 3 11 A-25 obtaining or soliciting retail sales of produce, prepared food, prepackaged food or nonfood sundries. J. "Restocking" means the transfer of food, goods or merchandise to a food vending vehicle from any other person or vehicle and includes, but is not limited to, loading and delivery of food, goods and merchandise. Sec. 36.702.Operational Requirements. A. No person shall own, control, operate, manage, lease, or contract with any other person for the operation of a food vending vehicle in the City without a valid business license issued, in addition to any other license or permit required under any other chapter of this code, for each and every food vending vehicle. B. All operators shall comply with the following regulations: 1. Each operator vending any produce or other food item shall comply with all County of Orange Health Care Agency requirements for mobile food facilities, as well as all required food handling permits. Each operator shall possess and at all times display such permits in conspicuous view upon each vending vehicle. 2. Each operator shall possess and at all times display in conspicuous view upon each such vehicle a City business license. 3. Every food vending vehicle shall have the name, address, and telephone number of the holder of the business license permanently affixed on both the left and right sides of the vehicle. Such information shall be in letters and numerals not less than four inches in height and shall be in contrast to the color of the background upon which the letters are placed. 4. No additional lighting other than that required by the California Vehicle Code may be installed or operated on a food vending vehicle. No food vending vehicle that is stopped, parked or standing on any street,. alley, or highway shall display flashing neon or electronic display signs or visual displays that are intended to, or do in fact, distract drivers and draw attention to the food vending vehicle. 5. No operator of a food vending vehicle shall operate any sound amplification systems or other sound making devices or music systems to advertise, draw attention to, or announce the presence of any such vehicle while such vehicle is moving, stopped, standing, or parked upon any public or private street. 6. No owner or operator of a vending vehicle shall permit vending within five hundred (500) feet from a school, park, community center or public playground facility. Ordinance No. NS-XXXX Page 4 11 A-26 7. No owner or operator shall permit the vending vehicle to vend within one hundred (100) feet of a marked or unmarked crosswalk in an intersection. 8. No food vending vehicle shall be parked, stopped, or left standing in any manner which blocks or impedes vehicular access to any driveway or restricts the free movement of other vehicles upon any public or private street. Vending shall only be permitted where the food vending vehicle has been brought to a complete stop and parked adjacent to the curb in a lawful manner 9. Vending from a food vending vehicle while the vehicle is parked, stopped, or standing on any public or private street, alley, or highway is permitted only when that part of the food vending vehicle open to prospective customers is on the side of the vehicle immediately next to the right side of the public or private street, alley, or highway. Under no circumstances may vending occur from the left side of a food vending vehicle. Notwithstanding the above provisions, no person shall vend to any customer whose location creates a traffic hazard. 10. All food vending vehicles shall be equipped with refuse containers large enough to contain all trash and refuse generated by the operation of such vehicle. The operator of the food vending vehicle shall pick up all trash and refuse generated by the operator's vending during the time the vehicle is stopped, that is within not less than a fifty (50)-foot radius of the vehicle, before such vehicle is moved. 11. Restocking of a food vending vehicle is prohibited while the vehicle is on any public or private street or alley. 12. No food vending vehicle shall attach to or receive any electrical power or other utilities from any public or private property while the vehicle is located on any private or public street or alley. 13. Vending is prohibited from a food vending vehicle that is parked, stopped, or standing on any public street, alley, or highway where the posted speed limit on the public street, alley, or highway is thirty-five miles per hour or greater. 14. No owner or operator of a vending vehicle shall permit objects, including but not limited to tables, chairs, or other furniture, trash receptacles, generators or equipment, to be placed into that portion of the street, alley or highway which is open to vehicular traffic, nor shall any object, including but not limited to tables, chairs, other furniture, trash receptacles, generators or equipment, be placed within or upon the parkway or sidewalk. 15. In conformance with the California Retail Food Code and County of Orange Health Care Agency/Environmental Health, food vending vehicles shall be stored at or within an approved commissary in order to have protection from unsanitary conditions. Food vending vehicles shall not be stored overnight outside of an approved commissary. Ordinance No. NS-XXXX Page 5 11 A-27 16. In conformance with the California Retail Food Code and County of Orange Health Care Agency/Environmental Health, any food vending vehicle which is parked and vending in single location for one hour or longer must be parked within two hundred (200) feet of an approved and readily available toilet and handwashing facility, to ensure that restroom facilities are available to food vending vehicle employees. The food vending vehicle operator must provide written evidence of permission from an adjoining property owner to use their restroom facilities. Sec. 36.703. Exemptions. This article shall not apply to any City -sponsored event where the operator of the food vending vehicle is operating pursuant to a valid contract with the City. Sec. 36.704. Land Use Certificate Required for Vending on Private Property. A. Food vending vehicles shall be allowed on private property in conjunction with a Land Use Certificate and/or special event permit for activities on property in commercial, manufacturing, or planned development zones designated for commercial or manufacturing uses. Food vending vehicles operating on private property must obtain the consent of the person who is in legal control of the property and subject to the provisions of Chapter 41 of the City of Santa Ana Municipal Code. B. Food vending vehicles shall be allowed on private property in conjunction with a Land Use Certificate and/or special event permit for activities such as filming for movies, a party, fair, or carnival. Food vending vehicles operating on private property must obtain the consent of the person who is in legal control of the property and subject to the provisions of Chapter 41 of the City of Santa Ana Municipal Code. C. Pursuant to this section, the following restrictions apply to vending on private property: 1, A food vending vehicle may only vend and remain parked on private property for the period of time noted in the Land Use Certificate and/or special event permit. 2. All food vending vehicles are required to have a City of Santa Ana business license conspicuously displayed when vending. 3. Nothing in this section shall be construed to excuse food vending vehicles from complying with all other provisions of this chapter. Ordinance No. NS-XXXX Page 6 11 A-28 Sec. 36-705. Penalty for Violation. Every violation of the provisions of this article shall be addressed through the use of an administrative citation as set forth in sections 1-21.1 through 1-21.9 of this Code. Each day any violation of any provision of this article shall continue shall constitute a separate offense. Use of an administrative citation shall not prevent or preclude the City from seeking additional criminal, civil or other legal remedy established by law. Section 6. If any section, subsection, sentence, clause or 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 or phrase or portion thereof irrespective of the fact that any one or more section, subsection, sentence, clause or phrase or portions be declared invalid or unconstitutional. ADOPTED this day of APPROVED AS TO FORM: Sonia Carvalho, City Attorney By:i 4 a r_s Lisa Storck Assistant City Attorney AYES: Councilmembers NOES ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Councilmembers 2017. Miguel A. Pulido Mayor Ordinance No, NS-XXXX Page 7 11 A-29 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-XXXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , 2017, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana Ordinance No, NS-XXXX Page 8 11 A-30 0 ki Mkl Nlar,�h 2-2-, on17 A// ;/C 7017 rAR ? 15 of rnlorl.' , cf s ai M ycG� CITY OF 5 T S /r m6,tcA eel' Prot*? e C,a oar 5wA,+ & /7me c% S� %rt c�lrzry e® e 7,P/�, ►o Ye pia cif L fy4c 4 °cv• Ord i UY � 1 :Y � , A A Y CITY • • l .=Anw ��rf nR� SPECIAL MEETING AGENDA Community Services City Council Committee Monday, March 27, 2017 — 5:00 p.m. CALL TO ORDER City Hall Ross Annex, Conference Room 1600 20 Civic Center Plaza, Santa Ana, California Committee Members: Councilmembers Benavides, Solorio, Villegas Staff: Gerardo Mouet, Acting City Manager, Jeannie Jurado, Acting PRCSA Exec. Director Recording Secretary: Ron Ono, Admin Services Manager PUBLIC COMMENTS - Members of the public are allowed three minutes to speak on agenda items or matters within the jurisdiction of the Committee. AGENDA ITEMS 1. Elect Chair and Vice Chair 2. Review By -Laws (direct staff to make changes as needed) 3. Review and Approve Proposed Meeting Schedule for this Committee 4. Approval of PREY Minutes of the January 25, 2016 Meeting 5. Discuss Name of Committee 6. Major City Produced Event Update (Strategic Plan no. 5.5c ) 7. Dan Young Soccer Complex and Centennial Park Programming Update (Strategic Plan no.2.2b) 8. Discuss CITY/SAUSD Joint Policy meeting (Strategic Plan no. 2.1c) 9. Discuss 2017 Youth & Young Adult Summer Internship Program: Options and Possible Action (Strategic Plan no. 2.3b) 10. Future Items for Committee Agenda Discussion 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] Miguel A. Pulido, i Michele Martinez, i Vincent F. Sarmiento, I Jose solorlo, i P. David Benavides, i Juan Villages, i Sal Tinajero, Mayor i Mayor Pro Tom, ! Ward I Ward i Ward j Ward i Ward na n q,�n.a i Ward iysamdamaxDsnntv.ena orn Isom arms-na mq oaena�a�asauxamaa,.aam ,v�mt,,.w,:.,:e i sr-nem¢ne, -nnamr i M -,"ec Stem City Hail, 20 Civic Center Plaza • P.O. Box 1988 • Santa Ana, California 92702 Mayor & Council Telephone: 714.647.6900 • Agenda Item Inquiries: 714-647.6520 • Webska: www.santa-ana.ora 13A-1 COMMITTEE MEMBER COMMENTS FUTURE AGENDA ITEMS ADJOURNMENT — The Community Services City Council Committee meeting schedule to be determined during the Council Committee meeting on March 27, 2017. 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 t/ accessibility to this meeting. [Americans with Disabilities Act, Title II, 28 CFR 35.1021 Santa Ana City Council Migue! A. Pulido, I Michele Martinez, I Vincent F. Sanniento, ! Jose Salado, I P. David Benavides, I Juan Villegas, I Sal Tinalero, Meyer Mayor Pro Tern, Wardi ! Ward I Ward I Ward ! Ward MVUIIeMDsanlaane nm Word 2 VammIPsitu MM1i,g aanl am ! L1u.tlNu�(�?smnnsua ! ! ! City Hall, 20 Civic Center Plaza • P.O. Box 1988 • Santa Ana, California 92702 Mayor & Councll Telephone:.714.647-6900 • Agenda Item Inquiries: 714.647.6520 • Website: www,santa•ana.org 13A-2 MINUTES OF A SPECIAL MEETING OF THE CITY COUNCIL COMMITTEE ON PARKS, RECREATION, EDUCATION AND YOUTH January 25, 2016 CALL TO ORDER Meeting convened at 5:47p.m. at Santa Ana City Hall Ross Annex Room 1600; 20 Civic Center Plaza, Santa Ana, California 92702. ATTENDANCE Council members Present Sal Tinajero (Chair) Roman Reyna Angelica Amezcua Staff Present: David Cavazos, City Manager Gerardo Mouet, Executive Director PRCSA Jorge Garcia, Sr. Management Assistant CMO Julie Castro -Cardenas, Sr. Management Assistant CMO John Funk, Deputy City Attorney Ron Ono, Administrative Services Manager Frank Arroyo, Sr. Management Analyst Jeannie Jurado, Community Services Manager Enrique Marban, Community Services Supervisor Sonia Batres, Community Events Supervisor Hiram Uribe, Graphic Designer PUBLIC COMMENTS: o Barbara Lamere thanked the City Manager and staff for meeting with her and others at Centennial Park to review the sidewalk and lighting conditions. She was sorry to hear it did not make the funding cycle. o City Manager indicated the funding for the sidewalk and lighting will be available after the sale of the Bristol property. o Chris Schmidt indicated he discuss the Windsor Ball Field fencing repair with Ron Ono and Enrique Marban and was please for see the repair has been completed. Pony League is starting to use Windsor ball fields. o Angie Cano thanked staff for attending Windsor Village Neighborhood Association meeting and indicated Centennial Park needs a Dog Park. PREY Meeting Page 1 January 25, 20t6 13A-3 c Cecilia Iglesias indicated the maintenance of Centennial Park needs to be improved. She also indicated support for a Dog Park in the back portion of Centennial Park. o APPROVAL OF MINUTES o Minutes of October 26, 2015 accepted as presented. FACILITY RESERVATION UPDATE o Enrique Marban presented an update of the Facilities Reservation. Indicated Santa Ana Pony now is able to use the fields at Rosita and Adams Park. Also accommodations are being made for the use of the concession stand and storage areas. Reservations for use of the Recreation Centers are made at the Center. Reservations for Special Events, Sporting Events, Showmobile, SA Stadium, Santiago and Fisher Log Cabin are made at Centennial Reservation office. o Councilmember Tinajero was pleased with the presentation, and commented about how Pony was not able to get into Adams Park Storage. o Councilmember Amezcua asked how long it will take to get the reservation process on-line. o Gerardo Mouet indicated we would need a couple of months to get it on-line. o Councilmember Tinajero thanked staff for the work to expand Rosita ballfield for older children. CHEPA'S PARK UPDATE o Ron Ono provided an update on Chepa's Park. He indicated the LED security lighting will be completed the week of 1/25/16 and SAPID is planning on releasing bids for the security camera in spring. Staff is exploring two options for the area behind the handball court and will be contacting the property owner behind the court. o Councilmember Tinajero indicated the only improvement from the last report is the installation of the LED lights. o Councilmember Amezcua asked about safety of staff when they use the storage area. Staff indicates they don't go to the storage area after hours; in addition the improved lighting will help with security. CITY PRODUCED EVENT UPDATE o Sonia Batres, the new Community Events Supervisor was introduced and she provided a background on herself. o Jeannie Jurado indicated the city will be bringing back the large carnival rides for the Cinco de Mayo Event. An RFP is being issued for a private producer with goals for them to cover all cost for the Fiesta Patrias Event. She indicated the new participation rules are being developed. She also identified the proposed events for 2016 and indicated Cinclovia Event will include the combination of two events (5K Run and the SOMOS Event). PREY Meeting Page 2 January 25, 2016 13A-4 o Councilmember Amezcua indicated she liked saving monies by combining the events, but enjoyed the 5 K Run. i OVERVIEW OF PARK IMPROVEMENT INVESTMENT o Frank Arroyo presented the major park improvement projects funding in 2016 which totaled $19,719,084. o City Manager indicated staff will provide detail information on the park improvement, including Library improvements to the City Council by council districts. PARTNERSHIP WITH SAUSD UPDATE o Gerardo Mouet presented a summary of the draft Irrevocable Trust Agreement. o Councilmember Tinajero indicated both ball diamonds from Segerstrom High School should be part of the Joint Use. o Gerardo Mouet clarified the $418,000 from adult soccer surcharge that it can only be used for a synthetic field and that City Council is considering at a future council meeting adding $500,000 for Segerstrom Joint Use discussion with the District. o Councilmember Amezcua indicated she needed more detail on Youth Service Provider Summit. • STAFF UPDATE AND COMMENTS o None • COMMITTEE MEMBER COMMENTS o Councilmember Tinajero indicated the Segerstrom construction and that the synthetic turf improvements and baseball field have started. o Councilmember Amezcua thanked staff for the great work. o Councilmember Tinajero also thanked staff and everyone for their hard work and the need to work together. o Councilmember Amezcua asked the City Manager to schedule a meeting with Supervisor Andrew Do about the land behind Kennedy Elementary School. • FUTURE AGENDA ITEMS o None. • ADJOURNED: 6:29 p.m. Gerardo Mouet Executive Director, PRCSA i., 't. I PREY Meeting Page 3 January 25, 2016 13A-5 13A-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: STRATEGIC PLAN MONTHLY REPORT FOR MARCH 2O17 (STRATEGIC PLAN NO. 5, 1) i CITY N�ANAGER 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 Strategic Plan Monthly Report for March 2017. DISCUSSION The March 2017 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. The Strategic Plan Monthly Reports are available on the City's website at: http://www.santa-ana.org/strategic-planning 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. 19C-1 19C-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: FISCAL YEAR 2017-2018 ANNUAL ACTION PLAN FOR THE COMMUNITY DEVELOPMENT BLOCK GRANT, HOME INVESTMENT PARTNERSHIPS PROGRAM, AND EMERGENCY SOLUTIONS GRANTS PROGRAM (STRATEGIC PLAN NO. 5, 1) Cff� MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ set Public Hearing For CONTINUED TO FILE NUMBER Approve the Fiscal Year 2017-2018 Annual Action Plan. 2. Authorize the submission of the Fiscal Year 2017-2018 Annual Action Plan to the United States Department of Housing and Urban Development. COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At a Special Meeting on April 5, 2017, the Community Redevelopment and Housing Commission (CRHC) recommended that the City Council approve the 2017-2018 Annual Action Plan and authorize submission of the Annual Action Plan to the United States Department of Housing and Urban Development by a vote of 5:0 (Cano and A. Garcia absent). DISCUSSION Each year, the City of Santa Ana receives funding from various formula grant allocation programs administered by the United States Department of Housing and Urban Development (HUD). These funds provide valuable services to the community for affordable and supportive housing, community development programs, public services, and economic development. The programs include Community Development Block Grant (CDBG), HOME Investment Partnerships Program (HOME), and Emergency Solutions Grants Program (ESG). Every five years, the City must submit to HUD its Consolidated Plan, a five-year comprehensive planning document and application for all of these programs. It describes our strategies to meet the needs of the community and identifies resources and programs that can be used to address them. In May of 2015, the Five -Year Consolidated Plan for the period of July 1, 2015 to June 30, 21 A-1 FY 2017-2018 Annual Action Plan April 18, 2017 Page 2 2020 was submitted to HUD. As part of this planning process, the City is required to submit an Annual Action Plan to achieve the goals in the Five -Year Consolidated Plan. This document establishes a one-year investment plan that outlines the intended use of resources in the forthcoming fiscal year. The proposed Annual Action Plan covers Fiscal Year (FY) 2017 — 2018 and seeks to allocate funding in neighborhoods where programs and resources will have the maximum impact. During FY 2017 - 2018, the City anticipates receiving the following estimates of formula grant allocations: CDBG $5,127,000 HOME $1,104,000 ESG $474,000 HUD regulations require that the draft Annual Action Plan be made available for a 30-day public review and comment period. On March 19, 2017, a public notice was published in the Orange County Register that the draft plan was available for review beginning March 19, 2017, and that a public hearing would be held on April 5, 2017. It was also noticed in La Opinion in Spanish and Nguoi Viet in Vietnamese. The 30-day public comment period will conclude on April 18, 2017. In accordance with the federal regulations, all neighboring jurisdictions were also informed that the draft plan was available for review. All comments received, including all funding recommendations made by the City Council on April 18, 2017, will be included in the final document, which is due to HUD no later than May 15, 2017. Should the 2017 - 2018 formula grant awards not be provided to the City by HUD, the submission of this document may be postponed. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City 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 impart associated with this action. Rob&rf C. Cori:e(z - Deputy City Manager Community�elopment Agency Exhibit: 1. FY 2017-2018 Annual Action Plan 21 A-2 CITY OF SANTA ANA JULY i, 2017 - JUNE 309 2018 r OHM 21 A-3 City of Santa Ana 2017-2018 Table of Contents AP-05 Executive Summary PR-05 Lead & Responsible Agencies AP-10 Consultation Page 1 Page 5 Page 6 AP-12 Participation Page 9 AP-15 Expected Resources Page 10 AP-20 Annual Goals and Objectives Page 13 AP-35 Projects Introduction Page 17 AP-38 Projects Summary Page 18 AP-50 Geographic Distribution Page 30 AP-55 Affordable Housing Page 32 AP-60 Public Housing Page 34 AP-65 Homeless and Other Special Needs Activities Page 35 AP-75 Barriers to AffordableHousing Page 38 AP-85 Other Actions Page 40 AP-90 Program Specific Requirements Page 43 21 A-4 Executive Summary AP-05 Executive Summary - 24 CFR 91.200(c), 91.220(b) 1. Introduction The Annual Plan outlines housing, community and economic development needs, priorities, strategies, and projects that will be undertaken by the City of Santa Ana with the funds that the City receives from the U.S. Department of Housing and Urban Development (HUD). As an entitlement jurisdiction, the City receives an annual share of federal Community Development Block Grant (CDBG,) Emergency Solutions (ESG) and HOME Program funds. In order to receive these entitlements, the City must submit a Consolidated Plan every five years to HUD and an Annual Action Plan every year. The funds are intended to provide low -to moderate -income households with affordable housing, a healthy and safe living environment, and expanded economic opportunities. Eligible activities include community facilities and improvements, housing rehabilitation and preservation, development activities, public services, economic development, planning, and program administration. 2. Summarize the objectives and outcomes identified in the Plan This could be a restatement of items or a table listed elsewhere in the plan or a reference to another location. It may also contain any essential items from the housing and homeless needs assessment, the housing market analysis or the strategic plan. The City of Santa Ana's mission statement asserts, "To deliver efficient public services in partnership with our community which ensures public safety, a prosperous economic environment, opportunities for our youth, and a high quality of life for residents." Annual Action Plan 2017 OMB Control No: 2506-0117 (exp. 07/31/2015) 21 A-5 The Strategic Plan proposes strategies and programs that focus on Santa Ana's mission statement, address community priority needs, and also HUD's statutory goals. Related to this mission statement are a series of City goals including: • Community Safety • Youth, Education, Recreation • Economic Development • City Financial Stability • Community Health, Livability, Engagement and Sustainability • Community Facilities and Infrastructure • Team Santa Ana The City has various needs. The principal needs are: 1) affordable housingthrough production, rehabilitation/repair, and financial assistance; 2) public improvements to improve neighborhoods; 3) housing for persons with special needs; 4) assistance for the homeless, including.housing, services and homelessness prevention; 5) community and public services especially for youth, the elderly, the homeless, and persons with disabilities, 6) economic development and anti -poverty programs focused primarily upon job training and career preparation; 7) public facility and infrastructure improvements centered upon accessibility improvements; and 8) code enforcement. The strategies described herein establish Santa Ana's priorities for assisting low -to moderate -income families and neighborhoods with funds made available through the Consolidated Plan. The affordable housing and development needs of a community significantly outweigh the resources available to address those needs. Therefore, it is necessary to prioritize the use of available funds to the highest and best use to meet the most pressing needs for affordable housing, homeless individuals, persons with special needs, and overall community development. The priorities were selected based on a review and analysis of the information summarized in the Consolidated Plan/Annual Plan, following the community participation process, consultations, the needs assessment, and housing market analysis. Strategies are designed to meet the highest priority needs that are based on past performance and best practices of communities with similar programs. Only projects that clearly demonstrate the capacity to serve one of the priorities below will receive funding through the Consolidated Plan/Annual Plan. The majority of CDBG activities are selected based on eligibility and need. All organizations requesting CDBG funds for public services, through a formal application process, must demonstrate that the activity benefits low- and moderate- income (LMI) persons. The organizations requesting ESG funds also applied through a formal application process. They were each judged on their ability to carry out the requirements of the program which provides assistance to homeless individuals and families. OMB Control No: 2506-0117 (exp. 07/31/2015) Annual Action Plan 2017 21 A-6 3. Evaluation of past performance This is an evaluation of past performance that helped lead the grantee to choose its goals or projects. This is an evaluation of past performance that helped lead the grantee to choose its goals or projects. The City has used the resources provided by HUD to the best of its ability and has been successful in meeting HUD's objectives over the preceding years. Components of the City's system of care carried out during the report period included outreach, supportive services, homelessness prevention, emergency shelter, transitional housing, and access to permanent housing. The needs of the homeless with special needs (e.g., victims of domestic violence, persons living with HIV/AIDS, and the chronic homeless) were also addressed by Santa Ana's CoC system. These program efforts helped address priority needs identified in the City's Annual Plan. Various programs, including the Workforce Innovation and Opportunity Act resources, addressed employment training and job placement needs. The State designated Enterprise Zone and the City's business attraction and retention programs also provided economic opportunities to residents. In orderto meet the changing needs of the community, the City supported public services and public facility improvement projects. Public services for lower income youth and seniors help stabilize households by providing services such as recreation and nutrition programs. The City recognizes that the City's annual entitlement and formula allocations are not sufficient to meet all of its needs and therefore seeks to maximize coordination and cooperation among agencies and organizations to make the best use of these limited funds. Also, the City recognizes that leveraging resources Is critical to achieving the City's goals. The City continues to cultivate funding partners who can match the City's investment of CDBG, HOME, and ESG Program funds. The need remains great, and additional funds are sought to ensure that more affordable housing and important programs and activities are available for those in need. 4. Summary of Citizen Participation Process and consultation process Summary from citizen participation section of plan. The City employs diverse methods to encourage on -going participation from residents, community service providers, and existing and potential community development partners. The participation process for the Annual Plan included public notices; a 30-day public comment period; public hearings; and consultation with non -profits, City staff, and housing providers. Summary of public comments Annual Action Plan 2017 OMB Control No: 2506-0117 (exp. 07/31/2015) 21 A-7 This could be a brief narrative summary or reference an attached document from the Citizen Participation section of the Con Plan. The City was prepared to receive all comments that were offered and integrated them in the Annual Action Plan. [Public Comments TO -will be included in the final document] 6. Summary of comments or views not accepted and the reasons for not accepting them All public comments were accepted. 7. Summary The City was prepared to receive all comments that were offered and integrated them in the Annual Action Plan. [Public Comments TBD - will be included in the final document] OMB Control No: 2506-0117 (exp. 07/31/2015) Annual Action Plan 2017 :i 21 A-8 u u u u C C C C N tw b uNq C C G C E o a . a RO O O a v v v 0 o a 0 ✓ Y A� �c c c E E E E E E O O O U V U E N Z Q Q Q Q Q � N N d O u C a, 0 O a p M O m C .0 Yn E Q Q -EA U W Q l7 o O U 2 W a :e FO- f. O Y c� C L O N a bD s m � M C u m C U C O N u N u Q a � c _ A a hp c al E m 'IZ v y >_ Y i N z C N w f0 $ C U 2 C O °� —O, D_ jCL Y c 3 E u O N a .N c a u u �N N Q Q u N c Q to lD m r 'r d H Iv O cca Y c H @) 3 O ;n m A 21 A-9 AP-10 Consultation — 91.100, 91.200(b), 91.215(I) 1. Introduction The United States Department of Housing and Urban Development (HUD) now requires that entitlement jurisdictions submit the Annual Action Plan and the Five -Year Consolidated Plan through the Integrated Disbursement and Information System (IDIS). The IDIS template contains relevant section and a series of questions to complete the plan. The City of Santa Ana's 2017-2018 Annual Action Plan was developed using the IDIS template and in accordance with statutory requirements and federal regulations. Provide a concise summary of the jurisdiction's activities to enhance coordination between public and assisted housing providers and private and governmental health, mental health and service agencies (91.215(I)) The City of Santa Ana has it's own Housing Authority and works collaboratively on all programs. Housing Authority and City staff meet quarterly with County Mental Health workers in addition to sitting on various committees together. ESG funds will continue to fund mental health outreach services in FY 2017-2018. Describe coordination with the Continuum of Care and efforts to address the needs of homeless persons (particularly chronically homeless individuals and families, families with children, veterans, and unaccompanied youth) and persons at risk of homelessness. 2-1-1 Orange County is the County's lead with the Coordinated Entry System as well as the Homeless Management Information System (HMIS). Each sub -recipient that the City funds is required to partipate in this system. With the establishment of the Coordinated Entry System, organizations are required to lower their barriers to entry and adopt a Housing First model. Street Outreach Teams are administering the Vulnerability Index - Service Prioritization Decision Assistance Tool (VI-SPDAT) to help in the placement of housing. City staff are active on several of the Continuum's sub -committees and the City Manager sits on the Continuum of Care's governing board. OMB Control No: 2506-0117 (exp. 07/31/2015) Annual Action Plan 2017 21A-10 Describe consultation with the Continuum(s) of Care that serves the jurisdiction's area in determining how to allocate ESG funds, develop performance standards for and evaluate outcomes of projects and activities assisted by ESG funds, and develop funding, policies and procedures for the operation and administration of HMIS City staff participates on several sub -committees within the Continuum of Care and coordinates on a variety of projects. Additionally, the Orange County ESG grantees (County of Orange, City of Anaheim, City of Garden Grove, and the City of Santa Ana) have developed the Orange County ESG Collaborative as a unified approach to requesting, reviewing and funding ESG subrecipients. This collaborative approach has streamlined the application and review process and allowed grantees to better understand the impacts of funding decisions. Future Collaborative efforts will include unified invoice and monitoring forms and other actions to better serve our homeless and at -risk of homeless families. 2. Describe Agencies, groups, organizations and others who participated in the process and describe the jurisdiction's consultations with housing, social service agencies and other entities Annual Action Plan 2017 7 OMB Control No: 2506-0117(exp. 07/31/2015) 21A-11 V Y p m Q a = N N m c m di f0 m o "6 O ¢ O N Y •C ¢ ? v E N O O O Y L O W > t6 O N O C C W O C U u •C N _ N >. C O O 0.. N L O p w C ¢ N Z Z �. C O O ul N > OJ >p N N N N O aL+ C N Z bOA tlOA N 2 O E O ou E E. E E E m f6. O = +L+ +L+ > O O O O O N m Y Ou. 2 a 0 0 0 2 2 2 2 2 �— i. O M1. 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In addition there were meetings conducted with appropriate housing and social service agencies regarding the housing needs of children, elderly persons, persons with disabilities, homeless persons. The 2017 Annual Plan sets forth a description of activities for the use of funds that will become available during the coming Federal fiscal year, determines goals for individuals and households to be served, and describes the implementation plan and geographic location of the activities to be undertaken. # Project Name 1 HOME17-Admin 2 HOME17- Single Family Rehab 3 HOME17-CHDO 4 HOME17 -Affordable Rental Housing 5 ESG16 Santa Ana 6 CDBG17-ADMINISTRATION 7 CDBG17-FAIR HOUSING 8 CDBG17-CODE ENFORCEMENT" 9 CDBG17-ECONOMIC DEVELOPMENT 10 CDBG17-PUBLIC SERVICE PROGRAMS 11 CDBG17-PARK IMP PACIFIC ELECTRIC BIKE TRAIL 12 CDBG17-STREET IMPROVEMENTS MADISON 13 CDBGI7-STREET IMPROVEMENTS HENNINGER 14 CDBG17 NEIGHBORHOOD SPONSORED IMPROVEMENTS 15 CDBG17-SINGLE FAMILY REHAB 16 CDBG17-MULTI FAMILY REHAB 17 CDBG17-HOMEBUYER DOWN PAYMENT ASSISTANCE 18 CDBG15-PARK IMP RAITT AND MYRTLE ST OPEN SPACE Table 8 — Project Information Describe the reasons for allocation priorities and any obstacles to addressing underserved needs These projects are deemed to be of the highest priority and meet the greatest need. 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N O N E +L+ @ G1 C � E O C bq 16 N 0 bbo O E B C N :7 Z LL 0 W O w J d d {- C7 Z lL 0 f- W O wL. J d rl N 21 A-31 W z _ u Q = W UQ I N W c G E Q C 3 e< 4 C 3 z o G J H > Q v o 0 a o cc N m a > 1. a o- O m o v O C E pO O �' 0 co a v E 'N N •L a.� v E 1+ . > Q Y m af0i o? c a m 3 N � N ' N � 06 o co O sp m Q E m Z v m i a + c d N m v a ° j v Z c a LL e O y ° N O m f�0 ® to H T W E •3 w O u O c tm e. w* o '" W d Y m m E+ E m E o O W .` a' •O. N v ® C Y m O v .Y '> '� Q '6 c m d m E m Z ° O` d m Q y to R �- y a d N m O l9 a w y v` a a 0 w m Z C ° LL c O •�V •° w O a, m fy0 E 3 v C B O r n• w `v ++ m _ v m 'E + E m E w w. O W Orl 0 Ia 21 A-32 N Em 21 A-33 AP-50 Geographic Distribution — 91.220(f) Description of the geographic areas of the entitlement (including areas of low-income and minority concentration) where assistance will be directed HUD -funded activities are limited to the City's low -and moderate -income areas, which encompasses the majority of the City's residential areas. Areas of the City outside of the CDBG target areas will benefit from activities that are limited -clientele in nature, i.e., a person/household can benefit from a federally - assisted program provided that they meet the program's eligibility criteria. Eligibility is typically established by household income and household size. CDBG program funds will be expended based on program criteria. For example, public services will be available on a citywide basis for qualified beneficiaries; fair housing and program administration activities will also be carried out on a citywide basis. Housing code enforcement and community development projects (i.e. street and park improvement projects) will be carried out in the City's low - and moderate -income areas; i.e., areas of the City where the majority of residents meet HUD's low- and moderate -income area definition. HOME funds will be utilized to support housing acquisition, new construction and rehabilitation activities for very low-income homeowners and tenants. ESG funding will be used to support programs that help prevent homelessness or that assist those individuals who are already homeless with emergency/transitional housing and related supportive services. A portion of ESG and general funds will be concentrated in the Civic Center where the largest community of homeless individuals reside. Geographic Distribution Target Area I Percentage of Funds Low -and Moderate -Income area 39 Citywide 61 Table 10 - Geographic Distribution OMB Control No: 2506-0117 (exp. 07/31/2015) Annual Action Plan 2017 30 21 A-34 Rationale for the priorities for allocating investments geographically Funds are used city-wide to benefit the residents of the City of Santa Ana. Code enforcement, street improvements, and park improvements are undertaken in Low -and Moderate -Income areas. Discussion Annual Action Plan 2017 31 OMB Control No: 2506-0117 (exp. 07/31/2015) 21 A-35 Affordable Housing AP-55 Affordable Housing — 91.220(g) Introduction As noted earlier, the most important impediment to providing affordable housing is due to limited Federal and State resources for affordable housing initiatives. The lack of programs and resources to reduce excessive rent or mortgage burdens to qualified persons is a key factor. Another barrier to providing affordable housing in Santa Ana is the high cost of housing created by a demand for housing, both existing and new, which exceeds the current; supply. Housing prices, both ownership and rental, remain high, especially for lower income households. In addition, the cost of site acquisition is very high, and development costs are also very high. These factors make affordable housing construction expensive and put affordable housing out of the reach of low-income households. The Housing Needs Assessment also identified that stringent criteria in the mortgage origination process still remains, which also is outside the scope and control of City policy. In some instances, issues revolving around personal finances (lack of funds for a down payment, poor credit history) effect the availability of affordable housing for Santa Ana residents. In an effort to mitigate these barriers, Santa Ana has undertaken the following actions - In 2015, the City Council revised and adopted an inclusionary housing ordinance referred to as the Housing Opportunity Ordinance (H00)`applies to residential projects with a zone change that allow residential development where such uses were not previously allowed, and include more than 5 units, to provide either 10% of all new units to be affordable to very -low income households or 15% of all new units to be affordable to low-income households. - The City utilized limited public resources to fund the development and/or the acquisition and rehabilitation of rental housing units. This public assistance will result in lower rents for assisted units thus partially offsetting the impacts of some of the barriers listed above. - The City's Housing Authority conducted outreach to rental property owners to encourage participation in the Housing Choice Voucher Program. OMB Control No: 2506-0117 (exp. 07/31/2015) Annual Action Plan 2017 01A 21 A-36 One Year Goals for the Number of Households to be Supported Homeless 5,000 Non -Homeless 0 Special -Needs 0 Total 5,000 Table 11- One Year Goals for Affordable Housing by Support Requirement One Year Goals for the Number of Households Supported Through Rental Assistance 0 The Production of New Units 13 Rehab of Existing Units 8 Acquisition of Existing Units 0 Total 21 Table 12 - One Year Goals for Affordable Housing by Support Type Discussion Annual Action Plan 2017 33 OMB Control No: 2506-0117(exp. 07/31/2015) 21 A-37 AP-60 Public Housing — 91.220(h) Introduction The Housing Authority of the City of Santa Ana administers 2,699 Housing Choice Vouchers and does not own or operate any low-income public housing units. It is the mission of the Housing Authority to provide affordable housing for the most vulnerable members of our community to use as a platform to obtain self-sufficiency and independence from our assistance. Actions planned during the next year to address the needs to public housing Not Applicable Actions to encourage public housing residents to become more involved in management and participate in homeownership Not Applicable If the PHA is designated as troubled, describe the manner in which financial assistance will be provided or other assistance Not Applicable Discussion OMB Control No: 2506-0117 (exp. 07/31/2015) Annual Action Plan 2017 34 21 A-38 AP-65 Homeless and Other Special Needs Activities — 91.220(i) Introduction The needs of homeless persons and of persons with special needs are complex and require a wide range of specialized services. Numerous agencies are often involved in the care of a homeless individual, providing distinct services such as housing, mental health counseling, employment training, and case management services. A number of activities and services are funded to help the needs of the homeless and other special needs populations. Overall, these services address the high priority of reducing homelessness and the threat of becoming homeless, as well as providing necessary supportive services for the homeless. There are several groups that have a higher need for affordable housing and have special housing needs. Seniors, people with disabilities, and the chronically homeless are more likely to face housing problems and have difficulty affording housing. Seniors and people with disabilities also have a need for accessible housing, whether for new housing, rehabilitated existing housing, or the adaptation of the housing they currently occupy. In addition to general challenges, seniors may have supportive needs resulting from dementia and increasing physical debilitation from dementia and increasing physical debilitation. Describe the jurisdictions one-year goals and actions for reducing and ending homelessness including Reaching out to homeless persons (especially unsheltered persons) and assessing their individual needs The one-year goals to, reduce and end homelessness include: • Continue partnerships with non-profit Street Outreach teams, • Increase the supply of permanent supportive housing • Preserve existing permanent supportive housing • Adapt existing housing to meet the needs of special needs populations • Improve access to services for special needs persons • Assist the homeless and those individuals at risk of homelessness with access to permanent affordable housing and necessary supportive services • Coordinate homeless services and encourage collaboration among Homeless Service Providers and the Continuum of Care. The one-year actions to be taken include: • Issue 100 Project -Based Vouchers for Permanent Supportive Housing from the Santa Ana Housing Authority • Reserve 50% of Santa Ana Housing Authority turnover vouchers for homeless individuals Annual Action Plan 35 2017 OMB Control No: 2506-0117 (exp. 07/31/2015) 21 A-39 referred by approved referral agencies i Provide financial assistance to coordinate homeless service efforts in the city's most densely populated homeless area. Provide General Funds from the City's budget to assist the homeless in creative programming. Addressing the emergency shelter and transitional housing needs of homeless persons The City of Santa Ana now has an emergency shelter providing safe sleep and emergency shelter for over 450 individuals each night, including food and supportive services for over 600 individuals on a daily basis. In addition, these one-year actions listed above will address the needs of the homeless population (especially chronically homeless individuals and families, families with children, veterans and theirfamilies, and unaccompanied youth) with a range of services that includes emergency shelter, transitional housing and permanent supportive housing. In addition, ESG funds will provide assistance for both emergency and transitional housing. Helping homeless persons (especially chronically homeless individuals and families, families with children, veterans and their families, and unaccompanied youth) make the transition to permanent housing and independent living, including shortening the period of time that individuals and families experience homelessness, facilitating, access for homeless individuals and families to affordable housing units; and preventing individuals and families who were recently homeless from becoming homeless,again Work closely with the Continuum of Care and the Vulnerability Index - Service Prioritization Decision Assistance Tool (VI-SPDAT) to prioritize the most vulnerable chronically homeless individuals. All of the goals listed above were developed to increase housingopportunities for homeless individuals. Provide project -based vouchers for permanent supportive housing. Helping low-income individuals and families avoid becoming homeless, especially extremely low-income individuals and families and those who are: being discharged from publicly funded institutions and systems of care (such as health care facilities, mental health facilities, foster care and other youth facilities, and corrections programs and institutions); or, receiving assistance from public or private agencies that address housing, health, social services, employment, education, or youth needs. The goals listed above will help these Individuals and families to avoid becoming homelessness. The ESG program will fund homelessness prevention programs including utility assistance and rental assistance. The HEART program, funded by ESG provides bus tickets for individuals interested in returning to their home; often following a release from a correctional facility. Discussion OMB Control No: 2506-0117(exp. 07/31/2015) Annual Action Plan 36 2017 21 A-40 One year goals for the number of households to be provided housing through the use of HOPWA for: Short-term rent, mortgage, and utility assistance to prevent homelessness of the individual or family Tenant -based rental assistance Units provided in housing facilities (transitional or permanent) that are being developed, leased, or operated Units provided in transitional short-term housing facilities developed, leased, or operated with HOPWA funds Total Annual Action Plan 2017 37 OMB Control No: 2506-0117 (exp. 07/31/2015) 21 A-41 AP-75 Barriers to affordable housing — 91.220(j) Introduction Through vehicles such as zoning ordinances, subdivision controls, permit systems, and housing codes and standards, the City has attempted to ensure the health, safety, and quality of life of its residents while minimizing the barriers that may impede the development of affordable housing. None of these measures is intended to restrict the affordability of housing, though these regulations may on occasion influence the pricing of housing. Actions it planned to remove or ameliorate the negative effects of public policies that serve as barriers to affordable housing such as land use controls, tax policies affecting land, zoning ordinances, building codes, fees and charges, growth limitations, and policies affecting the return on residential investment The City has identified several barriers to the development of affordable housing including the following: • Governmental constraints such as property taxes, land use controls (e.g., density and zoning restrictions), building codes, building permit fees, on-site/off-site improvement, prevailing wage regulations, and ADA compliance. • Market constraints including the availability, cost, and competition for land, Other constraints include limited affordable housing financing sources, finance costs, and the costs of construction. • Available land in the City mostly consists of small parcels that must be assembled for significant new construction projects. Relocation costs and housing replacement requirements for redeveloping improved properties also presents barriers to the development of affordable housing. • The region's rents have continued to increase. Higher rents limited the ability of some low- income households to obtain affordable housing. Households with poor credit history are also severely impacted. Since governmental restrictions may constrain the production of affordable housing, the City of Santa Ana continues to monitor, analyze and address, as necessary, governmental regulations, land use controls and residential development standards that affect the production and preservation of affordable housing. The Housing Needs Assessment also identified stringent criteria in the mortgage origination process that continues to this day even after the 2010 foreclosure crisis has ended, which also is outside the scope and control of City policy. In some instances, issues revolving around personal finances (lack of down payment, credit history, employment history) affect the availability of affordable housing for residents. Market factors that tend to restrict affordable housing production are: high land costs, high construction OMB Control No: 2506-0117 (exp. 07/31/2015) Annual Action Plan 38 2017 21 A-42 costs, and the availability of financing. In an effort to mitigate these barriers, the City of Santa Ana has undertaken the following actions: • City Council adopted an inclusionary housing ordinance referred to as the Housing Opportunity Ordinance (H00) that requires either 10% or 15% of all new units in Santa Ana to be affordable to very low- and low-income households. • The City utilizes limited public resources to fund the development and/or the acquisition and rehabilitation of rental housing units. This public assistance will result in lower rents for assisted units thus partially offsetting the impacts of some of the barriers listed above. • The City's Housing Authority conducts outreach to rental property owners to encourage participation in the rental assistance program. Discussion Annual Action Plan 2017 39 OMB Control No: 2506-0117(exp. 07/31/2015) 21 A-43 AP-85 Other Actions — 91.220(k) Introduction The City of Santa Ana will undertake many activities aimed at addressing the needs of the community's underserved populations. Underserved individuals include elderly, persons with a disability, youth, homeless, veterans and very low-income individuals. Actions planned to address obstacles to meeting underserved needs In orderto serve the underserved populations, the City will focus limited resources toward rehabilitating existing housing units and expanding the number of affordable housing units for both owners and renters. Housing rehabilitation and acquisition/development of new rental housing units are examples of these activities. The city and local nonprofits will continue to provide services for underserved City residents. Social services to be funded will include programs with an emphasis on crime prevention, intervention and suppression for children, youth and families. Homeless programs include rapid rehousing, homeless prevention, shelter and street outreach. By focusing resources on the housing and community needs identified as high priority, the City will be able to utilize limited resources more efficiently. When available, Santa Ana will seek out additional resources beyond federal and state funds to address these needs. Actions planned to foster and maintain affordable housing In an effort to maintain and foster affordable housing, Santa Ana will continue to seek ways to achieve this objective. These will include programs and activities such as: • Implement the recently revised inclusionary housing ordinance referred to as the Housing Opportunity Ordinance (HOO.) This ordinance applies to applies to residential projects with a zone change that allow residential development where such uses were not previously allowed, and include more than 5 units, to provide either 10% of all new units to be affordable to very - low income households or 15% of all new units to be affordable to low-income households. Developers also have an option to pay an in -lieu fee which will go towards affordable housing development within the City of Santa Ana. 0 Use limited public resources to fund the development and/or the acquisition and rehabilitation of rental housing units. This public assistance will result in lower rents for assisted units thus partially offsetting the impacts of some of the barriers listed above. • Collaborate with CHDOs to help ensure long-term affordability and maintenance of housing units. • Continue the Housing Authority's outreach to rental property owners to encourage participation in the rental assistance program. CM6 Control No: 2506-0117 (exp. 07/31/2015) Annual Action Plan 40 2017 21 A-44 • Issue project -based vouchers for permanent supportive housing. Actions planned to reduce lead -based paint hazards In an effort to address the problems caused by lead exposure, the City of Santa Ana has implemented a lead paint hazard identification and notification process as part of its housing programs. This process has been designed to comply with HUD's lead -based paint hazard regulations (Title X), which became effective in September 2000, and was implemented by Santa Ana in January 2002. All owner -occupied housing units rehabilitated or constructed prior to 1979 are inspected for lead -based paint hazards. If the inspection finds potential lead -based paint hazards, the subject property is tested — the average cost per test is $450. The procedures to comply with Title X has added approximately 30 days to the typical housing rehabilitation project. Actions planned to reduce the number of poverty -level families The objectives and strategies of this Plan are focused on reducing the number of families in poverty, improving the quality of life for the lowest -income, most vulnerable families and individuals, and lessening the impacts of poverty. Strategies include providing affordable housing and special needs housing; working to reducing homelessness; improving public facilities and streets; and economic development. The transition of people above the poverty line involves variety of policies and programs that extend beyond providing opportunities for employment at a Jiving wage. Access to education, transportation, childcare, and housing are key components that can assist persons to secure and retain economically self-sustaining employment. The City will employ a variety of strategies to help alleviate poverty, including efforts to stimulate economic growth and job opportunities, and to provide Santa Ana residents with the skills and abilities required to take advantage of those opportunities. More specifically, the City will undertake a range of activities and services to combat poverty including: • Expand affordable housing opportunities through housing rehabilitation, rental assistance, and creation of new affordable housing units (via new construction and/or acquisition/rehabilitation). • Provide homeless assistance including prevention activities, emergency shelter, transitional housing, and access to permanent supportive housing opportunities. Supportive services will be blended with these activities. • Enforce public safety to prevent criminals from victimizing the poor. • Implement public facility improvements to improve the overall infrastructure of the City and eliminate public improvements/infrastructure that negatively impacts residential Annual Action Plan 2017 Bil OMB Control No: 2506-0117 (exp. 07/31/2015) 21 A-45 neighborhoods. • Provide job training, job -search skills and job placement to provide individuals living in poverty with employment opportunities that pay higher wages. • Promote and provide recreation and diversion services which provide youth living in poverty with alternatives to gang -related criminal activities. • The Housing Authority will continue to implement the Family Self -Sufficiency (FSS) program, which will provide rental assistance, life skills training and referrals to employment training for Housing Choice Voucher Program participants. Actions planned to develop institutional structure The City of Santa Ana will strengthen institutional structures and enhance coordination between public and private housing and social service agencies, and foster assisted housing improvements and resident initiatives. The City works closely with local institutions to initiate programs that link economic incentives with neighborhood and community development objectives, including building relationships with neighborhood associations, community based lending agencies, nonprofits, and educational institutions. The City also supports programs aimed at enhancing coordination among various City departments. The City will continue to utilize a network of referrals, contacts and partnerships to implement the strategies outlined in the Consolidated Plan. In the area of housing, the City will continue to build its relationship with local housing providers such as private developers, nonprofit developers, and neighboring housing authorities, to ensure that limited housing resources are utilized in the most efficient and effective manner possible. The City also will continue to participate in the regional Continuum of Care subcommittees in order to coordinate with neighboring jurisdictions to reduce homelessness in our community. Actions planned to enhance coordination between public and private housing and social service agencies Additionally, the Orange County ESG grantees (County of Orange, City of Anaheim, City of Garden Grove, and the City of Santa Ana) have developed the Orange County ESG Collaborative as a unified approach to request, review and fund ESG subrecipients throughout the County and in each jurisdiction. This collaborative approach has streamlined the application and review process and allowed the grantees to better understand the impacts of funding decisions. Future Collaborative efforts will include unified invoice and monitoring forms and other actions to better serve our homeless and at -risk of homeless families. Discussion OMB Control No: 2506-0117 (exp. 07/31/2015) Annual Action Plan 2017 42 21 A-46 Program Specific Requirements AP-90 Program Specific Requirements — 91.220(I)(1,2,4) Introduction Community Development Block Grant Program (CDBG) Reference 24 CFR 91.220(1)(1) Projects planned with all CDBG funds expected to be available during the year are identified in the Projects Table. The following identifies program income that is available for use that is included in projects to be carried out. 1. The total amount of program income that will have been received before the start of the next program year and that has not yet been reprogrammed 2. The amount of proceeds from section 108 loan guarantees that will be used during the year to address the priority needs and specific objectives identified in the grantee's strategic plan. 3. The amount of surplus funds from urban renewal settlements 4. The amount of any grant funds returned to the line of credit for which the planned use has not been included in a prior statement or plan 5. The amount of income from float -funded activities Total Program Income: Other CDBG Requirements 1. The amount of urgent need activities 2. The estimated percentage of CDBG funds that will be used for activities that benefit persons of low and moderate income.Overall<Benefit - A consecutive period of one, two orthree years may be used to determine that a minimum overall benefit of 70% of CDBG funds is used to benefit persons of low and moderate income. Specify the years covered that include this Annual Action Plan. 100.00% Annual Action Plan 2017 43 OMB Control No: 2506-0117 (exp. 07/31/2015) 21 A-47 HOME Investment Partnership Program (HOME) Reference 24 CFR 91.220(1)(2) 1. A description of other forms of investment being used beyond those identified in Section 92.205 is as follows: The City of Santa Ana does not use HOME funds in any other manner than those described in Section 92.205(b). 2. A description of the guidelines that will be used for resale or recapture of HOME funds when used for homebuyer activities as required in 92.254, is as follows: Not Applicable 3. A description of the guidelines for resale or recapture that ensures the affordability of units acquired with HOME funds? See 24 CFR 92.254(a)(4) are as follows: Not Applicable 4. Plans for using HOME funds to refinance existing debt secured by multifamily housing that is rehabilitated with HOME funds along with a description of the refinancing guidelines required that will be used under 24 CFR 92.206(b), are as follows: The City of Santa Ana has no plans to use HOME funds for this purpose. Emergency Solutions Grant (ESG) Reference 91.220(1)(4) 1. Include written standards for providing ESG assistance (may include as attachment) Emergency Solutions Grant Program funds will be used for eligible activities under five program components: street outreach, emergency shelter, homelessness prevention, rapid re -housing assistance, and Homeless Management Information System (HMIS) costs, as well as allowable administrative costs and activities. ESG applications go through an open and transparent proposal process. The Community Development Agency is responsible for ensuring that the ESG Program is implemented in accordance with all federal rules and regulations. 2. If the Continuum of Care has established centralized or coordinated assessment system that meets HUD requirements, describe that centralized or coordinated assessment system. The City provides funding to 2-1-1 Orange County, the County's Continuum of Care administrator of OMB control No: 2506-0117 (exp. 07/31/2015) Annual Action Plan 44 2017 21 A-48 the HIM IS data entry system. Again in FY 17/18, funding will be provided for HIM IS data, Coordinated Entry and technical assistance. 2-1-1 Orange County also administers the Vulnerability Index - Service Prioritization Decision Assistance Tool (VI-SPDAT) to prioritize chronically homeless individuals for affordable housing opportunities. 3. Identify the process for making sub -awards and describe how the ESG allocation available to private nonprofit organizations (including community and faith -based organizations). For FY17/18 ESG funding, the Orange County ESG Collaborative (County of Orange, City of Anaheim, City of Garden Grove, and the City of Santa Ana) released one Request for Proposals as a unified approach to request, review and fundi ESG subrecipients. This collaborative approach has streamlined the application and review process and allowed the grantees to better understand the impacts of funding decisions. Future Collaborative efforts will include unified invoice and monitoring forms and other actions to better serve homeless and at -risk of homeless families. Following the Collaborative review, the recommendations for funding is considered by the Community Redevelopment and Housing Commission before being considered and adopted by the City Council. Allocations are made with consideration of ensuring that program funds would be allocated toward eligible activities in the categories of homelessness prevention, rapid -rehousing, shelter, data and street outreach, 4. If the jurisdiction is unable to meet the homeless participation requirement in 24 CFR 576.405(a), the jurisdiction must specify its plan for reaching out to and consulting with homeless or formerly homeless individuals in considering policies and funding decisions regarding facilities and services funded under ESG. The City works closely with the County homeless services staff as well as local homeless service providers, homeless advocacy groups, the OC Homeless Task Force, ACC-OC Homeless Task Force as well as neighboring cities and homeless advocates. A representative of a prior homeless individual was on the ESG RFP funding review panel. 5. Describe performance standards for evaluating ESG. The City utilizes the HUD monitoring ESG handbook to monitor each program's performance to Annual Action Plan 45 2017 OMB Control No: 2506-0117 (exp. 07/31/2015) 21 A-49 ensure that goals are on track and funds are used for eligible activities. On a quarterly basis, invoices are reviewed to ensure program compliance. In addition, the quarterly financial invoices are monitored by City Accounting staff. On -site monitoring of non-profit organizations is done by staff and consultants for both program and financial records on an as -needed basis, or at least every three years. The City works closely with the OC ESG Collaborative to standardize as much as possible. OMB Control No: 2506-0117 (exp. 07/31/2015) Annual Action Plan 2017 9S7 21 A-50 Annual Action Plan 2017 47 OMB Control No: 2506-0117 (exp. 07/31/2015) 21 A-51 21 A-52 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: CONTRACT AWARD TO WATERLINE TECHNOLOGIES FOR WATER TREATMENT CHEMICALS AND SALT (SPEC NO. 17-020) {STRATEGIC PLAN NO. 6, 1C) C TY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER 1. Reject the bid from Commercial Aquatic Services, Inc. as nonresponsive. 2. Award a contract to Waterline Technologies for water treatment chemicals and salt for a one- year period expiring April 30, 2018, with provisions for three, one-year renewal options exercised by the City Manager, in an annual amount not to exceed $90,000, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Parks, Recreation and Community Services and Public Works agencies require herbicides, pesticides and fertilizers to control and eradicate weeds and insects, and to sustain abundant plant growth and maintain healthy trees. Chemicals such as hydrochloric acid and sodium hypochlorite are required to disinfect public swimming pools, water fountains, sewer system, and water wells throughout the City. Additionally, the Public Works Water Resources staff uses salt in a non -hazardous disinfection process at the well sites. This process ensures the City meets the California Department of Public Health public drinking water regulations and makes the water potable for human consumption. The contract is designed to provide quality products at significant savings based on quantity pricing. The notice inviting bids was advertised on February 27, 2017, on the City's online bid management and publication system. A summary of the bid invitations and bids received is as follows: 331 Vendors were notified 28 Vendors downloaded the bid packet 2 Bids received 1 Bid received from a Santa Ana vendor 22A-1 Contract Award for Water Treatment Chemicals April 18, 2017 Page 2 Two bids were received, opened on March 20, 2017 and evaluated. Commercial Aquatic Services, Inc. is not certified by the National Sanitation Foundation (NSF). NSF certification assures water treatment chemicals comply with all applicable drinking water regulations. As such, their bid is considered nonresponse. Waterline Technologies, a Santa Ana vendor, is NSF certified and their bid is responsive to the specifications and all other City requirements. This is the second time that this item has been bid STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Strategic Plan Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard). FISCAL IMPACT Funds in the amount of $23,500 are available in FY 2016-17 and will be budgeted and made available in future fiscal year budgets for anticipated expenditure upon exercising the three one- year renewal options as follows: Department Account No. Anticipated Expenditure FY 2016-17 FY 2017-18 FY 2018-19 FY 2019-20 FY 2020-21 Water Utility Production & Supply 06017640-63001 $16,000 $65,000 $65,000 $65,000 $49,000 Park Maintenance 01113250-63200 $3,000 $10,000 $10,000 $10,000 $7,000 Santa Ana Zoo 01113220-63001 $3,000 $10,000 $10,000 $10,000 $7,000 Stores & Property Control 07601001-12531 $1,500 $5,000 $5,000 $5,000 1 $3,500 Totals $23,500 $90,000 1 $90,000 $90,000 1 $66,500 cl-,)A J k� F4 Mousavipour Executive Director Public Works Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez g Executive Director a " Finance and Management Services Agency Jeannie Jurado Acting Executive Director Parks, Recreation & Community Services Agency 22A-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: CONTRACT AMENDMENT WITH FAIRWAY FORD SALES, INC. FOR POLICE INTERCEPTOR VEHICLES (SPEC. NO. 16-097) (STRATEGIC PLAN NO. 6,2) C Y 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 Amend the contract with Fairway Ford Sales, Inc. to purchase two additional police Interceptor vehicles in the amount of $65,100 plus a contingency of $3,255 for a total amount not to exceed $68,355, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION 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. Currently the City fleet has a total of 518 vehicles in its inventory as follows: Department No. of Vehicles Police 256 Non -Police 262 Total 518 Of this total, there are 90 Police Patrol vehicles in the City fleet. Due to the nature of police enforcement, there are instances throughout the year that result in the patrol vehicles to become inoperable. During the current fiscal year, there have been two vehicles that have been involved in accidents in which the repair cost exceeds its value. Beginning in FY 2015-16, City departments began contributing funds into a newly created Accident & Repair Replacement account. This account provides funding to cover the cost of unanticipated repairs and replacements throughout the year. Additionally, the City's Risk Management Insurance program assists in the replacement of vehicles involved in accidents with an overall deductible of $25,000. 22B-1 Contract Amendment for Police Patrol Vehicles April 18, 2017 Page 2 On October 4, 2016, City Council awarded a contract to Fairway Ford Sales, Inc. for the purchase of 28 police Interceptor vehicles. Fairway Ford has agreed to honor the same pricing for these two additional vehicles. To allow for unanticipated charges, a five percent contingency has been included in the award amount. This pricing represents the best value to the City. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #2 (address deferred maintenance on City buildings and equipment). FISCAL IMPACT Funds in the amount of $68,355 are available in FY 2016-17 Equipment Replacement account (07510101-66400). APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez 00 Executive Director Finance and Management Services Agency CL/sp 22B-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: AGREEMENT FOR SPECIAL LEGAL COUNSEL SERVICES WITH CARPENTER, ROTHANS & DUMONT FOR POLICE LITIGATION DEFENSE SERVICES (STRAGIC PLAN NO. 1, 3, 4, 5) 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 the Clerk of the Council to execute a three (3) year agreement, effective April 18, 2017 through April 17, 2020 for a not to exceed amount of three million dollars ($3,000,000) with the law firm Carpenter, Rothans & Dumont for police litigation defense services subject to non -substantive changes approved by the City Manager and the City Attorney. DISCUSSION Since November 21, 2006, the law firm of Carpenter Rothans & Dumont has provided special legal counsel services to the City. The firm, headquartered in Los Angeles, specializes primarily in police litigation defense services in both federal and state court with an emphasis on civil rights matters involving public safety employees. Mr. Rothans, one of the founding partners of the firm who has practiced law for over thirty years, frequently serves as a Judge Pro Tern and specializes in defending police officers in complex civil rights, police practices, and wrongful death lawsuits involving allegations of excessive force. The attorneys at the firm are known for their tenacity, knowledge of the law, and attention to detail. Mr. Rothans, along with several other partners at the firm won defense verdicts in two police civil liability matters for the City of Santa Ana, (Cody Hernandez v. City of Santa Ana and Ignacio Leon v. City of Santa Ana). Both cases involved allegations that Santa Ana police officers used excessive force and violated the plaintiffs' civil rights. Many of the partners at the firm have argued before both the California Supreme Court and the Nine Circuit Court of Appeals and have successful defending numerous cities and their police departments throughout Southern California including Anaheim, Fullerton, Pomona and the City of Hawthorne. The firm has provided consistently good service at a competitive rate. This latest contract includes a modest increase for a newly blended rate for partners and associates of $200 an hour. This rate remains below standard industry rates for public entity 25A-1 Agreement For Special Legal Counsel Services With Carpenter Rothans & Dumont for Police Litigation Defense Services April 18, 2017 Page 2 defense. The City Attorney's Office supports the rate increase and this new contract for a three yearterm. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #1 Community Safety, Goal #3 Economic Development, Goal #4. Government Financial Stability, and Goal #5 Community Health, Livability, Engagement and Sustainability. FISCAL IMPACT Funding for this agreement will be from the liability fund. The special legal counsel services will be paid out of the Liability Fund (account no. 08009051- 62300) for the following fiscal years as follows:. FY 2016-17 FY 2017-18 FY 2018-19 FY 2019-20 4- llze-� Soni . Carvfl OitSrAttorney Edward Raya Executive Director Personnel Services Agency 08009051 62300 $250,000 $1,000,000 $1,000,000 $750,000 APPROVED AS TO FUNDS AND ACCOUNTS: cc Vsp�`l\ii0 C4� ANY i .X.71 1l_ Francisco Gutierrez I r 0l Executive Director Finance & Management Services Agency Exhibit: Agreement for Special Legal Counsel Services with Carpenter, Rothans & Dumont. 25A-2 SPECIAL LEGAL COUNSEL SERVICES AGREEMENT This AGREEMENT, made and entered into this 18th day of April, 2017, by and between Carpenter, Rothans & Dumont, LLP., a California Professional Corporation ("Attorneys"), and the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the constitution and laws of the State of California ("City"). RECITALS A. City desires to employ Attorneys to assist the City Attorney in the provision of legal services to the City, and B. Attorneys represent that they are licensed to practice law in the State of California, have special experience and knowledge in the field of tort defense and desire to undertake said services. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terns and conditions hereinafter set forth, the parties agree as follows: I . RETENTION OF ATTORNEYS City hereby agrees to and does retain Attorneys, for the compensation hereinafter speciCed, to assist the City Attorney in litigation services related to City matters and other legal issues when and as requested by the City Attorney to do so. Attorneys accept said retention and agree to perform, in timely and efficient manner, all such services as may be requested by the City Attorney. Attorneys shall confirm their acceptance of work requested by City in writing by e-mail or letter. 2. COMPENSATION FOR SERVICES RENDERED a. Fees City agrees to compensate Attorneys, and Attorneys agree to accept fi om City, as and for payment in full for all of said services in regard to each such action, compensation at the rate of $200 an hour for attorney billing. b. Compensation The total sum to be expended under this Agreement, shall not exceed $3,000,000.00 during the term of this Agreement, C. Reimbursement for Costs City agrees to reimburse Attorneys for out-of-pocket expenses, including but not limited to, mileage, expert witness fees, copying costs, service of process, and mail services authorized by the City Attorney in connection with the performance of duties under this Agreement. Any costs in excess of $5,000 require City Attorney approval prior to incurring the expense. All expenses must have supporting documentation submitted with the invoice. 3. METHOD OF PAYMENT Attorneys shall submit a monthly statement specifying the services performed, dates and number of hours, and an itemization of expenses related thereto with supporting documentation (i.e. receipts, invoices, copy of check, etc). 25A-3 4. CONTROL OF LEGAL MATTERS Attorneys agree that each and every matter or proceeding in which they undertake to assist the City Attorney, as aforesaid, shall be and remain under, and subject to the control and direction of said City Attorney at all stages, and that they shall at all times keep the City Attorney informed of all matters pertaining thereto. City will keep Attorneys informed of all significant developments in matters relating to any representation undertaken by Attorneys. Attorneys further agree, if and when their retention hereunder is terminated by City, as hereinafter specified; they shall return to City Attorney any and all Files then in their possession concerning each and every matter or proceeding in which they represented the City pursuant to this Agreement. 5. REPORTING REQUIREMENTS Attorneys agree to keep the City Attorney, Director of Personnel, and anyone other person(s) designated by the City informed of significant events in the litigation, including but not limited to trial date, filing of motions for summary judgment, hearing date for motion for summary judgment, settlement conference date, and mediation date. Attorneys also agree to provide the following reports: a. 45 day initial evaluation of case and budget; and b. Pre-trial report 90 days before trial; 6. TERM The term of this Agreement shall commence on the date first written above and terminate three (3) years from said commencement date, unless terminated earlier pursuant to Section 13 below. The term of this Agreement may be extended upon a writing executed by both patties, including the City Manager and the City Attorney for the City. 7. INDEPENDENT CONTRACTORS It is mutually agreed by and between the patties that, in the performance of their covenants hereunder, Attorneys are and shall be independent contractors, and not officers or employees of City. 8. INSURANCE Attorneys shall provide to the City Attorney proof of Professional Liability (errors and omissions) 'insurance, with a combined single limit of not less than $1,000,000 per claim, and maintain such insurance throughout the term of this Agreement. If Attorneys fail or refuse to produce and maintain the insurance required by this section, or fail or refuse 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 Attorneys' right to be paid for its time and materials expended prior to notification of termination. 7. INDEMNIFICATION Attorneys agree to and shall indemnify and hold harmless the City, its officers, agents, employees, and representatives from liability for personal injury, damages, restitution, judicial or equitable relief arising out of Attorneys' negligent or wrongful performance or conduct of this Agreement. 8. CONFIDENTIALITY If Attorneys receive from the City information, which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Attorneys agree that it shall not use or disclose such information except in the performance of this Agreement, and further agree to exercise the same degree of care it uses to protect its own z 25A-4 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 Attorneys, disclosed in a publicly available source; (c) is in rightful possession of the Attorneys without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Attorneys without reference to information disclosed by the City. 91 CONFLICT OF INTEREST CLAUSE Attorneys covenant that it presently has no interests and shall not have interests, direct or indirect, that 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 Council City of Santa Ana 20 Civic Center Plaza ('M-30) P.O. Box 1988 Santa Ana, California 92702-1988 Facsimile (714) 647-6956 Courtesy Copy: 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 Attorneys: Steven J. Rothans, 'Esq. Carpenter, Rothans & Dumont, LLP 500 S. Grand Avenue, 19tb Floor Los Angeles, CA 90071. Facsimile: (213) 228-0401 A party may change its address by giving notice in writing to the other party. Thereafter, any notice, tender, demand, delivery, or other 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 telefacsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on 25A-5 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 Attorneys, and supersedes any and all other agreements, oral or written, between the parties. In the event of it 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 Attorneys. The parties agree that any terns or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the temis and conditions bercof, shall not bind or obligate Attorneys 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 parties, which are not embodied herein. 12. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Attorneys, Attorneys 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 of this Agreement performed by City personnel or by other Attorneys retained by City. 13, TERMINATION This Agreement maybe terninated by City at any time. In such event, Attorneys shall be entitled to receive and the City shall pay Attorneys compensation for all services performed by Attorneys prior to receipt of such notice of termination, As a condition of such payment, Attorneys shall deliver to the City all files and records generated under this Agreement as of such date. Attorneys may terminate this agreement, subject to their obligation to provide reasonable notice to arrange alternative representation. In such case, City agrees to secure new counsel as quickly as possible and to cooperate fully in the substitution of the new counsel as counsel of record in any litigation in which Attorneys may be involved. 14. DISCRIMINATION Attorneys shall not discriminate because of Mace, 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. Attorneys affirm 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 a 25A-6 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. MISCELLANEOUS PROVISIONS 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 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. IN WITNESS WHEREOF, the panties hereto have executed this Agreement the day and year first above written. ATTEST: Maria D. Iluizar m Clerk of the Council RECOMMENDED FOR APPROVAL: SONIA R. CARVALHO City Attorney Office APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: t ! �, % Sandra M. Schwarzmann Senior Assistant City Attorney CITY OF SANTA ANA Gerardo Monet Acting City Manager CARPENTER, ROTHANS & DUMONT, I,I.,P By: -- Name: Steven J. Rothans Title: Partner Tax ID No. 95-4467855 25A-7 25A-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: AGREEMENT WITH VERITEXT CORPORATION FOR COURT REPORTING SERVICES, LANGUAGE TRANSLATION AND TRANSCRIPTION SERVICES {STRATEGIC PLAN 7, 36} RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the Acting City Manager and the Clerk of the Council to approve an 18 month agreement with Veritext Corporation, effective July 1, 2016 through December 31, 2017, for court reporting, translation and transcription services for a total not to exceed amount of $75,000, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION Since at least 2010, the City Attorney's Office has used Veritext for court reporting, language translation, and transcription services. These services are used by the City Attorney's Office for depositions, language interpreters for depositions, personnel board hearings, and transcription of audio taped interviews for litigation purposes. The City Attorney's Office utilizes Veritext on a weekly, if not monthly basis depending on need. Veritext provides the City Attorney's Office with the tools necessary to litigate cased filed against the City and conduct Personnel Board hearings. Due to the volume of work over the last year, the City Attorney's Office anticipates that an eight month agreement for $50,000 will be necessary. The City Attorney's Office intends to complete a competitive bidding process for a new contract commencing on July 1, 2017. The agreement includes $10,000 for invoices that were outstanding since August 2016 due to an increase volume in Personnel Board hearings in conjunction with litigated matters. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet and Goal #7 (Team Santa Ana), objective 3B. 25B-1 Agreement with Veritext Corporation April 18, 2017 Page 2 FISCAL IMPACT Funds are available in FY2016-17 and will be budgeted and made available in FY2017-18 in the following accounts: 08009051-62302 Liability Fund 01109050-62300 Personnel Other Contractual Services Total FY 2016-17 $20,000 $30,000 $50,000 FY 2017-18 $10,000 $15,000 $25,000 $75,000 ,"t� Sonia R. Carvalho `City Attorney and a Executive Director of Personnel Services Exhibit: Agreement with Veritext APPROVED AS TO FUNDS AND ACCOUNTS: �C`CC�CICI�? `�a�rw`r Francisco Gutierrez,--,. rA)( Executive Director Finance & Management Services Agency z" 25B-2 AGREEMENT WITH VERITEX TO PROVIDE LEGAL SUPPORT SERVICES THIS AGREEMENT is made and entered into this I st day of July, 2016 by and between Veritext Corporation, ("Provider"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. The City desires to retain a Provider having special skill and knowledge in the field of providing legal support services including court reporting, transcription, and translation services. B. Provider is in the business of providing legal support services in the form of court reporting, transcription and translation services. C. In undertaking the performance of this Agreement, Provider represents that it is Knowledgeable in this field and that any services performed by Provider under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional fine in the field. NOW THEREFORE, in consideration of the nnitual and respective promises, and subject to the terms and conditions hereinafter set forth, the patties agree as follows. 1. SCOPE OF SERVICES Provider shall provide legal support services to the City in the form of court reporting, translation, and transcription services as outlined in the attached Exhibit A and incorporated by reference as though hilly set forth herein, 2. COMPENSATION a. City agrees to pay, and Provider 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 Fifty Thousand Dollars, $75,000.00 during the term of this Agreement. b. The parties recognize that services were provided since August 2016 that inadvertently exceeded the available funds under a previous agreement, The parties acknowledge and agree that this Agreement will cover the outstanding invoices for services rendered by Provider since August 2016. C. Payment shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may be expected by the City. Page ] of 8 25B-3 3. TERM This Agreement shall commence on the date first written above and shall terminate on December 31, 2017, unless terminated earlier in accordance with Section 12, below. The term of this Agreement may be extended by a writing executed by the City Manager and the City Attorney. 4. INDEPENDENT CONTRACTOR Provider shall, during the entire term of this Agreement, be construed to be an independent Provider 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 Provider performs the services which are the subject matter of this Agreement; however, the services to be provided by Provider shall be provided in a manner consistent with all applicable standards and regulations governing such services. Provider 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. 9. INSURANCE Prior to undertaking performance of work under this Agreement, Provider shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Provider shall maintain commercial general liability insurance mining 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 properly, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) nacre the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. Page 2 of 8 25B-4 C. Worker's Compensation Insurance. In accordance with the California Labor Code, Provider, if Provider 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, Provider agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Provider 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 Provider pursuant to this section: (i) Provider 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) Provider shall supply City with a fully executed additional insured endorsement. If Provider 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 Provider's right to be paid for its time and materials expended. prior to notification of termination. Provider waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 6. INDEMNIFICATION Provider agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Provider or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described ill section I 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 Page 3 of 8 25B-5 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 Provider 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 Provider's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Provider. 7. CONFIDENTIALITY If Provider receives from the City information which due to the nature of Stich information is reasonably understood to be confidential and/or proprietary, Provider 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. 8. CONFLICT OF INTEREST CLAUSE Provider 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. 9. 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 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 copies to: City of Santa Ana Office of the City Attorney 20 Civic Center Plaza, 7a, Floor (M-29) P.O. Box 1988 Page 4 or 8 r Santa Ana, California 92702 Fax: (714) 647-6515 To Provider: Veritext Corporation Nina Kirsch, Regional Vice President 707 Wilshire Blvd., Suite 3500 Los Angeles, CA 90017 Fax: (213) 652-1801 A party may change its address by giving notice in writing to the other party. 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, convnunication 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 frarnes, weekends, federal, state, County or City holidays shall be excluded, 10. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Provider regarding the subject matter therein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terns 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 Provider, 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 Provider 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. 11. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Provider, Provider may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Contractors retained by City. 12. 'TERMINATION 'Phis Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Provider shall be entitled to receive and the City shall pay Provider compensation for all services perfiarmed by Provider prior to receipt of such notice of termination. 13. NON-DISCRIMINATION Page 5 of 8 25B-7 Provider shall not discriminate because of race, color, creed, relation, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities or in connection with any activities under this Agreement. Provider affinns that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. 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. 15. PROFESSIONAL LICENSES Provider 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. Provider 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. 16. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney°s fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if firlly 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 Cleric of the Council CPI'Y OF SANTA ANA GERAR.DO MOUET Acting City Manager Page 6 of 8 APPROVED AS TO FORM: VERfTEX'I' SONIA R. CARVALHO City Attorney B - Laura A. Rossini U Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: R SOMA — -- 5�.�kRVAIa-0--­-- City Attorney Name: Title: Page 7 of 8 25B-9 EXHIBIT "A" PEES AND SERVICES Page 8 of 8 25B-10 Pricing includes original and one certified transcript • Exhibits are scanned, linked and OCR'd (searchable) with every delivery • Complimentary Online Scheduling and Deposition Management through VIP21 • Complimentary Online support to all transcripts and exhibits through VIP21 • Complimentary laptops provided upon request Services Original + One certified transcript Pricing $5.25 / page Expert witnesses $5.50 / page Appearance Fee No Additional Charge Rough Transcript $1.50 / page Interactive Real-time $1.65 / page *We do NOT add additional charges to the page rate for videotaping or interpreters Next Business Day Delivery Expedited Delivery 100% of page rate 10% / day Video Services All video is billed at a bundled hourly rate and includes set up, recording time, tape stock, digitizing to the DVD, synchronizing of the videotape to the transcript and client viewing copy Video Services including synched DVD DVD disks Digitization of Video Video Services on DVD (not synched) Veritext Virtual (webcam interface) Veritext Virtual (webcam interface) w/Streaming Text Veritext Virtual (webcam interface) w/Exhibits Veritext Virtual (webcam interface) w/Exhibits and Streaming Text Veritext Virtual (webcam interface) Veritext Virtual (webcam interface) w/Streaming Text *Additional phone charges may apply for international calls **Real-time fees will apply to this service Native Evidence Capture EITT LEGAL SOLUTIONS $195.00 / hour Included Included $175.00 / hour $395.00 / day initial two users $495.00 / day initial two users** $595.00 / day initial two users $695.00 / day initial two users** $195.00 / day additional users $295.00 / day additional users** $650.00 / day Confidential 1 9/17/2014 I Page 1 25B-11 Exhibits Exhibits, black and white (hard copy) $0.30 / page Exhibits, color or oversized Actual cost Exhibits scanned — searchable OCR $0.35 / page XMS (online real-time exhibit management) $295.00 / day plus $0.25 / doc / month Shipping Shipping and Handling $ 35.00 Production and Processing $ 50.00 Messenger Actual cost Litigation Support and other services Condensed Transcript Complimentary CD Depo (includes ASCII file, E-Transcript PDF, TextMap and digital images of exhibits) $45.00 / transcript CD Depo w/ LEF or SBF $58.00 / transcript CD Depo w LEF & SBF $61.00 / transcript Travel Locally No charge Internationally Cost / Daily per diem Additional Court Reporter Costs Minimum to Noticing Party $295.00 Non -Appearance Per Diem (2-hour cancellation policy) $225.00 Certificate of Non -Appearance $275.00 Weekend and Holiday Per Diem $350.00 / full day Overtime, before 9:00am/after 6:00pm $75.00 / hour Court/Trial/Arbitration Please call for quote Conference Rooms -Veritext locations Complimentary Confidential proposal. Veritext does not authorize the release or the distribution of these rates to any law firm, court reporting agency or litigation support services entities. VERITEXT LEGAL SOLUTIONS Confidential 19/17/2014 1 Page 2 25B-12 Services Original + One certified transcript Pricing $5.50 / page* Per Diem $450 / day Rough Transcript $1.50 / page Interactive Real-time $1.65 / page *if no transcript is ordered, 75% of the page rate is charged. Next Business Day Delivery Expedited Delivery Litigation Support Condensed Transcript CD Depo (includes ASCII file, E-Transcript PDF, TextMap and digital images of exhibits) Additional Reporter Costs Weekend and Holiday Per Diem Overtime, before 9:00am/after 6:00pm Shipping & Handling Production & Processing 100% of page rate 10% / day Complimentary $45.00 / transcript $300 /day (in addition to regular per diem) $75.00 / hour $35.00 $50.00 Confidential Proposal. Veritext does not authorize the release or the distribution of these rates to any law firm, court reporting agency or litigation support services entities VERITEXT "�• g LEGAL SOMIONS Confidential 1 3/10/2017 I Pagel 25B-13 25B-14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: EMERGENCY SOLUTIONS GRANTS PROGRAM FUNDING FOR FY 2017-2018 (STRATEGIC PLAN NO. 5,6) CIT& MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s` Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Approve the proposed Fiscal Year 2017-2018 Emergency Solutions Grants Program in the estimated amount of $474,526 subject to adjustment upon notification of the Grant Year 2017 award from the U.S. Department of Housing and Urban Development. 2. Authorize the City Manager and the Clerk of the Council to execute a memorandum of understanding with the Santa Ana Police Department and agreements with non-profit organizations and/or sub -recipients awarded funds as part of the approved program for a term beginning July 1, 2017 through June 30, 2018, subject to non -substantive changes approved by the City Manager and City Attorney. COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At a Special Meeting on April 5, 2017, the Community Redevelopment and Housing Commission (CRHC) recommended that the City Council approve the Fiscal Year 2017-2018 Emergency Solutions Grants Program funding allocation by a vote of 5:0 (Cano, A. Garcia absent). DISCUSSION The Emergency Solutions Grants (ESG) Program is designed to assist sheltered and unsheltered homeless individuals, as well as those at risk of homelessness, to quickly regain stability in permanent housing after experiencing a housing crisis and/or homelessness. The United States Department of Housing and Urban Development (HUD) has changed the program's focus from addressing the needs of homeless individuals in emergency or transitional shelters to assisting people to regain stability in permanent housing. In 2015, an Orange County ESG Collaborative was formed between the cities of Anaheim, Santa Ana and Garden Grove. In December 2016, the Collaborative released a combined ESG Notice of Funding Availability (NOFA) to support the Orange County Continuum of Care's goal to end homelessness. The NOFA aligned values and priorities to create maximum impact and to leverage funds. While funding recommendations were made collaboratively, ESG funds will be used to provide eligible activities within eacl2tcictfn for which they are funded Emergency Solutions Grants Program Funding for Fiscal Year 2017-2018 April 18, 2017 Page 2 Orange County's Continuum of Care coordinator, 2-1-1 Orange County, notified all homeless service providers of the NOFA on behalf of each city. Ten organizations submitted proposals with funding requests totaling over $1,143,312. Of this amount, $591,312 was requested specifically from the City of Santa Ana. 2-1-1 Orange County will receive an allocation that equals three percent of the total award from each city for data collected as part of the Homeless Management Information System. Because HUD has not yet released grant allocations for fiscal year 2017- 2018, funding recommendations are approximations. Upon notification by HUD of the actual grant award, each organization's recommended funding will either be reduced or increased proportionate to the award. Staff will reassess total recommendations if the award is reduced by more than twenty-five percent. On March 13, 2017, the Orange County ESG Collaborative along with Commissioners from the three cities reviewed and rated all applications. The following evaluation criteria was used: 1) Prior experience, capacity and readiness to implement the ESG program; 2) Project design and operations including robust supportive services and a demonstrated record of helping homeless families (or individuals) achieve stability; 3) Client selection, services and project need; 4) Participation in the Continuum of Care, Homeless Management Information System and Coordinated Entry; and 5) Budget and match documentation. A list of agencies recommended for funding for Fiscal Year 2017-2018 is provided as Exhibit 1. This list of funding recommendations is the final percentage score and recommended allocation for each organization that submitted a proposal for services in the City of Santa Ana. The allocation is broken down by category to provide more detail on how the ESG funds are being allocated for eligible ESG activities. A template of the grant agreement that will be executed after approval by City Council is provided as Exhibit 2. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal # 5 - Community Health, Livability, Engagement & Sustainability, Objective # 6 (Focus projects and programs on improving the health and wellness of all residents). FISCAL IMPACT Funds will be budgeted and available in the Emergency Solutions Grants account (no. 13518785- various) upon execution of a grant agreement between the City and HUD and adoption of the FY 2017-18 annual budget. It is anticipated that the ESG allocation will be expended as follows: Program Account No. Antic! 2017 ESG 13518785-various 2017-2018 in FY Amount $474,526 25C-2 Emergency Solutions Grants Program Funding for Fiscal Year 2017-2018 April 18, 2017 Page 3 Community Development Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez ry 1 I Executive Director 1� Finance and Management Services Agency Exhibits: 1. Santa Ana ESG Allocation Recommendations 2. Emergency Solutions Grants Agreement Template 25C-3 25C-4 ul � V a � n N Q m n g s oo E 0 O 2 a E o 0 o o w i V 9 + LY ry s u 0 0 o z o0 o c ao w N m o +n c 0 u 0 o ¢,° a 1p S o Lr o i 0 0 0 c Z a 0 a o M rl N Q y of rrt vF w � +n 0 0 o z o rn c 0 0 ~ O O O N G O O O Cl C lO O vl Lr� _ iI! a o 0 0 N C C _ � a N a m N ! L G uai � 10 0 Q Q E E w E W ¢ t- Z' O 2 N q U 25C-5 25C-6 EMERGENCY SOLUTIONS GRANT SUBRECIPIENT AGREEMENT BETWEEN THE CITY OF SANTA ANA AND NAME OF SUBRECIPIENT (24 CFR Parts 91 and 576) THIS GRANT AGREEMENT, is hereby made and entered into this __ day of 2017, by and between the City of Santa Ana, a charter city and municipal corporation of the State of California, herein called the "CITY', and NAME Or SUBRECIPIENT, a California nonprofit organization, herein called the "SUBRECIPIENT", RECITALS: 1. The CITY is the recipient of Emergency Solutions Grant ("HSG") funds from the United States Department of Mousing and Urban Development ("HUD"), pursuant to subtitle B of title IV of the McKinney-Vento Homeless Assistance Act [42 U.S.C. 11371--11378], for the rehabilitation or conversion of buildings for use as emergency shelter for the homeless, for the payment of certain expenses related to operating emergency shelters, for essential services related to emergency shelters and street outreach for the homeless, and for homelessness prevention and rapid re -housing assistance. Catalogue of Federal Domestic Assistance ("CFDA") 14.231 and Federal Award Identification Number (FAIN) E-17-MC-06-0508. 2. The CITY has approved the provision of federal funds under the ESG to be used in the operation of an emergency solutions program ("program") for the homeless or at -risk of homelessness of the City of Santa Ana as further described by Exhibit A, Scope of Work, attached hereto and by this reference incorporated herein. 3, The SUBRECIPIENT represents that it has the requisite qualifications, expertise, and experience in the provision of emergency solutions programs for the homeless or at -risk of homelessness and is willing to use said federal funds to operate said program.. 4. The SUBRECIPIENT agrees to assist individuals and families that are homeless or at risk of homelessness in obtaining appropriate supportive services including, but not limited to; temporary and permanent housing, relocation and stabilization services, rapid re -housing assistance, medical and mental health treatment, counseling supervision, and other services essential for achieving independent living, as well as other federal, state, local and private assistance available for such individuals. 5. The SUBRECIPIENT has agreed to be reimbursed for the above services in an amount not to exceed $� in grant funding. 6, This AGREEMENT is contingent upon the award of Emergency Solutions Grant fiends from the United States Department of Housing and Urban Development, 7. The CITY and the SUBRECIPIENT have duly executed this AGREEMENT for the expenditure and utilization of said funds. NOW THEREFORE, it is agreed by and between the parties that the foregoing Recitals are a substantive part of this AGREEMENT and the following terms and conditions are approved and together with all exhibits and attachments hereto, shall constitute the, entire AGREEMENT between the CITY and the SUBRECIPIENT: EXHIBIT 2 25C-7 I. SCOPE OF PROGRAM A. General Administration The SUBRECIPIENT agrees to implement this activity as set forth in detail in Exhibit A, Scope of Work, which shall provide a description of each activity, including the services to be performed, the person or entity providing the service, the estimated number of recipients of the service, and the manner and means of the services. B. Levels of Accomplishment — Goals and Performance Measures The SUBRECIPIENT shall be responsible to accomplish the levels of performance as set forth in Exhibit A and report such measures quarterly to the CITY. If the SUBRE,CIPIENT estimates such goals will not be met, the SUBRECIPIENT is to contact the CITY, at which time the CTTY will determine if any adjustments to the grant award is appropriate. C. Staffnug The SUBRECIPIENT shall ensure adequate and appropriate staffing is allocated to each ESG activity. Nothing contained in this AGREEMENT is intended to, or shall be construed in any manner, as creating or establishing the relationship of employer/employee between the parties. II. TERM OF AGREEMENT This AGREEMENT" shall take effect on July 1, 2017, and shall terminate on June 30, 2018, unless otherwise cancelled or modified according to the terms of this AGREEMENT. III. DISBURSEMENT AND FUNDS The City was allocated $ in Emergency Solutions Grant rands Linder the McKinnoy-Vento Homeless Assistance Act for fiscal year 2017-2018 from the Department of Housing and Urban Development. CITY agrees to pay to SUBRECIPIENT when, if and to the extent Federal funds are received under provisions of the Act a sum not to exceed $ 1 for SUBRECIPIENT'S performance in accordance with the Budget attached hereto as "Exhibit B" during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by SUBRECiPIENf as provided hereinabove. A. Amount and Exnenditure End Date ........................ ... The CITY agrees to reimburse the SUBRECIPIENT a maximum amount not to exceed $ from Emergency Solutions Grant (ESG) funds, as outlined in Exhibit B, Final Budget, and such funds shall be expended by the SUBRECIPIENT on or before June 30, 2018. SUBRECIPIENT has the ability to adjust line item amounts in the Budget with the written approval of the CITY's Executive Director of the Community Development Agency, so long as the total Budget amount does not increase. B, Invoicing Procedures The SUBRECIPIENTshall submit quarterly invoices (on or before the 151" day of October, January, April, and July) in a form prescribed by the CITY, detailing such expenses. Such schedule may be modified with the approval of the CITY. 25C-8 C. Payment Payment is subject to the receipt and approval of such invoices and quarterly activity reports, as hereinafter more fully set forth below under Reporting, with the final payment subject to the satisfaction of the condition precedent of submittal of complete invoicing and reporting information due on or before July 15 of the applicable funding year. The CITY shall pay such invoices within thirty (30) days after receipt thereof, provided the CITY is satisfied that such expenses have been incurred within the scope of this AGREEMENT and that the SUBRECIPIENT is in compliance with the terms and conditions of this AGREEMENT. The thirty (30) day period will discontinue if the reimbursement request is determined to be incomplete and will restart the thirty day timeline once the remaining required elements have been submitted. Failure to provide any of the required documentation and reporting will cause the CITY to withhold all or a portion of a request for reimbursement until such documentation and reporting has been received and approved by the CITY. D. Use of Funds The SUBRECIPIENT agrees to use said funds pursuant to this AGREEMENT to pay for necessary and reasonable costs allowable under federal law and regulations to operate said program only. Said amounts shall include and will be limited to, street outreach, emergency shelter, homelessness prevention, rapid re -housing assistance, housing relocation and stabilization services, short -tern and medium -term rental assistance, and Homeless Management Information Systems ("HMIS") data contribution as set forth in 24 CPR § 576.101 — § 576.107. Allowable program costs are detailed in the Budget, as set forth in Exhibit B, attached hereto and by this reference incorporated herein. The SUBRECIPIENT'S failure to perform as required may, in addition to other remedies set forth in this AGREEMENT, result in readjustment of the amount of funds the CITY is otherwise obligated to pay to the SUBRECIPIENT pursuant to the terns ;hereof The SUBRECIPIENT agrees that the homeless shelter/services under said program shall be available for the entire period during which said funds are provided. E. Condition of Funding (1) The CITY advises the SUBRECIPIENT that a significant change in entitlement funding may result in a change in the current process utilized by the CITY to determine funding allocations. The SUBRECIPIENT acknowledges that the obligation of the CITY is contingent upon the availability of Federal, State or Local government funds, which are appropriated or allocated for the payment of such an obligation. If funding levels are significantly affected by Federal budgeting or if funds are not allocated and available for the continuance of the function performed by the SUBRECIPIENT, this AGREEMENT may be terminated by the CITY at the end of the period for which fiords are available. At the earliest opportunity, the CITY shall notify the SUBRECIPIENf of any service which may be affected by a shortage of funds. No penalty shall accrue to the CITY in the event this provision is exercised and the CITY shall not be liable for any damages as a result of termination under this provision of this AGREEMENT. Nothing herein shall be construed as obligating the CITY to expend funds in excess of appropriations authorized by law. (2) The SUBRECIPIENC shall allow representatives of the CITY or I -IUD to inspect facilities which are used in connection with the AGREEMENT or which implement programs funded under this AGREEMENT. F. Matching The SUBRECIPIENT is required to make matching contributions to supplement the ESG program in an amount that equals or exceeds the amount of ESG funds provided by HUD through the CITY. Such contributions shall be entirely consistent with the Matching Requirements as outlined by 24 CFR § 576.201, The anticipated source and 25C-9 amount of all matching funds contributed by the SUBRECIPIENT will be enumerated in Exhibit B, Final Budget. G. ProLyram Income (1) Definition. Program income means, as provided by 2 CPR 200.80, gross income received by the SUBRECIPIENT directly generated by a grant supported activity, or earned only as a result of the grant agreement during the grant period. For purposes of ESG, program income will also include any amount of a security or utility deposit returned to the SUBRECIPIENT. (2) Use. The SUBRECIPIENT shall use all income received from said funds only for the same purposes for which said funds may be expended pursuant to the terms and conditions of this AGREEMENT. (3) Counts toward Matching. Costs paid by program income may count toward meeting the matching requirements, provided the costs are eligible ESG costs that supplement the program. Il. Se aration of Accounts All funds received by the SUBRECIPIENT from the CITY pursuant to this AGREEMENT shall be maintained separate and apart from any other funds of the SUBRECIPIENT, or of any principal or member of the SUBRECIPIENT, in an account (the "Account') at a federally insured banking or savings and loan institution with record keeping of such Accounts maintained pursuant to applicable legal requirements. The SUBRECIPIENT shall keep all records of the Account in a manner that is consistent with generally accepted accounting principles, No monies shall be withdrawn from the Account except for expenditures relating to essential services, homeless prevention, and/or operations costs, as authorized hereunder. All disbursements from the Account shall be for obligations incurred in the performance of this AGREEMENT and shall be supported by contracts, invoices, vouchers, and other data, as appropriate, evidencing the necessity of such expenditure. The CITY may withhold payment allocation requests if the SUBRECIPIENT fails to comply with the above requirements until such compliance is demonstrated. Expenditure of Funds Much like how HUD requires the CITY, pursuant to 24 CFR 576.203, to expend all of the grant funds for eligible activity costs within 24 months alter the date that IIUD signs the grant agreement with the CITY, it is a requirement for the SUBRECIPIENT to expend all of the grant funds for eligible activity costs within the aforementioned period. For the purposes of this paragraph, expenditure means either an actual cash disbursement for a direct charge for a good/service or an indirect cost, or the accrual of a direct charge for a good/service or an indirect cost. Failure to expend said finds within said timeframe can result in a reallocation of funds. d. Prohibited Use (1) Generally. The SUBRECIPIENT hereby certifies and agrees that it will not use fiords provided through this AGREEMENT to pay for meals for persons other than those identified as homeless or at risk of homelessness. Said funds shall not be used for entertainment purposes or for gifts. The SUBRECIPIFNT certifies that it will not use said funds for illegal or dishonest conduct, rather, fund use will remain in compliance with all applicable federal, state, and local laws, including applicable laws not outlined in this AGREEMENT, (2) Lobbying. The SUBRECIPIENT certifies and agrees that it will comply with federal law (31 U.S.C. 1352) and regulations found at 24 CFR Part 87, which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan, or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, Member of Congress, or an officer or employee of a Member of 25C-10 L►T V Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. The SUBRECIPIENT shall sign a certification to that effect in a form as set forth in Exhibit C, attached hereto and by this reference incorporated herein. The SUBRECIPIENT shall submit said signed certification to the CITY prior to performing any of its obligations under this AGREEMENT and prior to any obligation arising on the part of the CITY to pay any sums to the SUBRECIPIENT under the terns and conditions of this AGREEMENT. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit a 'Disclosure Form to Report Lobbying," in accordance with its instructions (see Exhibit D). NOTICES The SUBRECIPIENT and the CITY agree that all notices required by this AGREEMENT shall be made in writing and delivered via mail (postage prepaid); commercial courier; personal delivery; or sent by facsimile or other electronic means (provided that receipt is confirmed). Any notice delivered or sett as aforesaid shall be effective on the date of delivery or sending. All notices and other written communications under this AGREEMENT shall be addressed to the individuals in the capacities indicated below, unless modified by subsequent written notice, Communication and details concerning the AGREEMENT shall be delivered to the office of, and directed to, the following representatives: CITY Terri Eggers Sr. Conunrmity Development Analyst City of Santa Ana Community Development Agency (1VI-25) 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702-1988 (714)647-5378 (714) 647-6549 FAX teggers@),santa-ana.org GENERAL CONDITIONS A. Coordination with Continuum of Care SUBRECIPIENT: [Name] [Title] [SUBRECIPIENT Name] [SUBRECIPIENT Name] [Address] [Address] [City, State, ZIP] [Telephone#] [Fax#] The SUBRFCIPIENT must work with the Continuum of Care ("CoC") to ensure the screening, assessment, and referral of program participants are consistent with the CITY's written standards for providing ESG assistance as described in its consolidated plan, The SUBRECIPIENT must keep documentation evidencing the use of, and written intake procedures for, the centralized or coordinated assessment systen(s) developed by the CoC in accordance with the requirements established by ITLID. See 24 CFR 576.400. 25C-11 B. Evaluation of Proeram Participants Eligibility and Needs The SUBRECIPIENT must conduct evaluations and re-evaluations to determine the eligibility of each individual or family's eligibility for ESG assistance in accordance with 24 CFR 576.401. C. Terminating Assistance If a program participant violates program requirements, the SUBRECIPIENT may terminate the assistance in accordance with a formal process established by the SUBRECIPIENT that recognizes the rights of individuals affected. See 24 CFR 576.402 D. Shelter and Ilousinia Standards The SUBRECIPIENT certifies that shelters and housing supported by ESG funds and used by ESG beneficiaries will conforn to 24 CPR 576.403. E. homeless Involvement The SUBRECIPIENT certifies that it will involve, to the maximum extent practicable, homeless individuals and families in constructing, renovating, maintaining, and operating facilities assisted under the ESG program, and in providing services for occupants of these facilities. See 24 CFR 576.405(c) and 42 USC 11375(d). F. Independent Cgptrgctor Nothing contained in this AGREEMENT is intended to, or shall be construed in any manner, as creating or establishing the relationship of employer/employee between the patties. The SUBRECIPIENT and its subcontractors shall at all times remain independent contractors with respect to the services to be performed under this AGREEMENT. The CITY shall be exempt from payment of any Unemployment Compensation, FICA, retirement, life and/or medical insurance and Workers' Compensation Insurance as the SUBRECIPIENT is an independent contractor. G. Subcontracts (I) Content Requirements. The SUBRECIPIENT will include all relevant provisions of this AGREEMENT in all subcontracts entered into as part of the activities undertaken in furtherance of this AGREEMENT and will take appropriate action pursuant to any subcontract upon a finding that the subcontractor is in violation of regulations issued by any federal agency. The SU3RECIPIENT will not subcontract with any entity where it has notice or knowledge that the latter has been found in violation of regulations under 24 CFR Part 135 (Economic Opportunities for Low- and Very Law -Income Persons) and will not allow any subcontract unless the entity has fast provided it with a preliminary statement of ability to comply with the requirements of these regulations. (2) Submission to the CITY. The SUBRECIPIENT must submit all subcontracts and other agreements that relate to this AGREEMENT to the CITY. 25C-12 H. Licensing The SUBRECIPIENT agrees to obtain and maintain all required licenses, registrations, accreditation, and inspections from all agencies governing its operations. The SUBRECIPIENT shall ensure that its staff and subcontractors shall also obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing the SUBRECIPIENT's operations hereunder, Such licensing requirements include obtaining a City business license, as applicable. I. Responsibilities Toward Employees The SUBRECIPIENT accepts full responsibility for payment of any and all unemployment compensation, insurance premiums, workers' compensation premiums, income tax withholdings, social security withholdings, and any and all other taxes or payroll withholdings required for all employees engaged in the performance of the work and activities authorized by the AGREEMENT. The SUBRECIPIENT accepts full responsibility for providing workers with proper safety equipment and taking any and all necessary precautions to guarantee the safety of workers or persons otherwise affected. J. Insurance and Bonding (1)(ienerally. The SUBRECIPIENT shall maintain liability and property insurance to cover actionable legal claims for liability or loss which are the result of injury to or death of any person, or damage to property (including ;property of Grantee) caused by the negligent acts or omissions, or negligent conduct of the SUBRECIPIENT, its employees, agents or subcontractors, to the extent permitted by law, in connection with the activities pursuant to this AGREEMENT. The SUBRECIPIENT shall comply with the bonding and insurance requirements of 2 CFR 200,427, and 2 CFR 200,447, The SUBRECIPIENT shall undertake self-insurance, or shall obtain, at its sole cost, a policy or policies of commercial general liability insurance, or equivalent form. Such insurance shall: (1) name the City of Santa Ana, its officers, agents, employees and volunteers as additional insureds; (2) be primary with respect to insurance or self-insurance programs maintained by the CITY; (3) contain standard separation of insureds provisions; and (4) give to the CITY prompt and timely notice of claim made or suit instituted arising out of the SUBRECIPIENT's operations hereunder. (2) Limits. The SUBRECIPIENT shall maintain, at all times, the following minimum levels of Insurance, and shall, without in any way altering its liability, obtain, pay for, and maintain insurance for the coverages and amounts of coverage not less than those set forth below: a. Workers' Compensation. Amount must comply with State and Federal Laws b. Comprehensive General Liability. $t,000,000 combined single limit of liability for bodily injuries, death, and property damage resulting from any one occurrence, including the following coverages: Premises and Operations; and 25C-13 ii. Broad Form Commercial General Liability Endorsement to include blanket contractual liability (specifically covering, but not limited to, the contractual obligations assumed by the SUBRECIPIENT); Personal Injury (with employment and contractual exclusions deleted); and Broad Form Property Damage coverage. C. The SUBRECIPIENT's self -insured retention or deductible per line of coverage shall not exceed $25,000 without the permission of the CITY. (3) Proof of Insurance. The SUBRECIPIENT shall furnish the CITY's Clerk of the Council with an insurance certificate from insurance carrier certifying that it caries such insurance and that the policy shall not be canceled nor the coverage reduced except upon thirty (30) days prior notice to the CITY. The SUBRECIPIENT shall, prior to exercising any right under this AGREEMENT: a. furnish properly executed certificates of insurance and additional insured endorsement to the CITY which shall clearly evidence all coverage required above; b. provide that such insurance shall not be materially changed or terminated except on thirty (30) days prior written notice to the CITY; c. maintain such insurance for the period covered by this AGREEMENT; and if, replace such certificates for policies expiring prior to the expiration of this AGREEMENT. (4) Company Rating. All insurance coverage shall be written with a company having an A.M. Best Rating of "A" or better and financial size of VIII or larger. (5) Failure to Comply. In the event of any failure by the SUBBRECIPIENI' to comply with these provisions, the CITY may, after notice to the SUBRECIPIENT, suspend the program for cause until there is full compliance. K. Zoning, The SUBRECIPIENT agrees that any facility/property used in furtherance of said program shall be specifically zoned and permitted for such use(s) and activity(ies). Should the SUBRECIPIENT fail to have the required land entitlement and/or permits, thus violating any local, state, or federal rules and regulations relating thereto, the SUBRECIPIENT shall immediately make good -faith efforts to gain compliance with local, state, or federal rules and regulations following written notification of said violation(s) fi•om the CITY or other authorized citing agency. The SUBRECIPIENT shall notify the CITY immediately of any pending violations. Failure to notify the CITY of pending violations, or to remedy such known violation(s), shall result in termination of grant funding hereunder, The SUBRECIPIENT must make all corrections required to bring the facility/property into compliance with the law within sixty (60) days of notification of the violation(s); failure to gain compliance within such time shall result in termination of grant funding hereunder. L.. Displacement and Relocation. The SUBRECIPIENT must assure that it has taken all reasonable steps to minimize displacementt of persons. Relocation must be consistent with requirements as set forth in 24 CFR § 576.4W 25C-14 M. Provisions Reauired by Law Deemed Inserted. Each and every provision of law and clause required by law to be inserted in this contract shall be deemed to be inserted herein and the AGREEMENT shall be read and enforced as though it were included herein, and if through mistake or otherwise any such provision is not inserted or correctly inserted, then upon the application of either party the contract shall forthwith be physically amended to make such insertion or correction. VI. ASSURANCES AND CERTIFICATIONS A. Non -Profit Status The SUBRECIPIENT' certifies that: (1) The SUBRECIPIENT is a duly organized and existing non-profit corporation in good standing and authorized to do business under the laws of the State of California and in possession of required non-profit status under the United States Internal Revenue Code [for example, 26 U'SC § 501(c)(3)]. The SUBRECIPIENT has full right, power, and lawful authority to accept the funding hereunder and to undertake all obligations as provided herein and the execution, performance, and delivery of this AGREEMENT by the SUBRECIPIENT has been fully authorized by all requisite actions on the part of the SUBRECIPIENT. (2) If the SUBRECIPIENT's non-profit status changes at anytime during this AGREEMENT, it will advise the CITY within 15 days. (3) If the SUBRECIPIENTis a private non-profit, it hereby agrees that the members of its Board of Directors will receive no compensation, directly or indirectly, other than reimbursement for expenses, from any funds generated from or because of the ESG program, for their services. (4) As a non-profit, the SUBRECIPIENT acknowledges that administration of its operation and services are subject to the requirements as established in 2 CFR 200. B. Adherence to Federal, State, and Local Laws and Regutations (1) General. The SUBRECIPIENT agrees to comply with all requirements of the ESG program and applicable cross -cutting Federal, State, and Local requirements. (2) Economic Opportunities for Low- and Very Low-income Persons. The SUBRECIPIENT" shall ensure that employment and other economic opportunities generated by the Program shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly those who are recipients of government assistance for housing, Section 3 of the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u, and regulations at 24 CFR part 135 apply, except that homeless individuals have priority over other Section 3 residents in accordance with § 576.405(c). (3) Civil Rights, The SUBRECIPIENT agrees to comply with Title VI of the Civil Rights Act of 1964, as amended, Title VIII of the Civil Rights Act of 1968, as amended, Section 109 of the Title I of the Housing and Community Development Act of 1974, Section 504 of the Rehabilitation Act of 1973, the Americans with Disabilities Act of 1990, the Age Discrimination Act of 1975, and 41 CFR Chapter 60. (4) Nondiscrimination and Equal Employment Opportunity. During the performance snider this AGREEMENT, the SUBRECIPIENT shall not discriminate against any employee or applicant for employment 25C-15 based on race, color, creed, religion, sex, age, handicap, disability, ancestry, national origin, marital status, familial status, sexual orientation, or any other basis prohibited by applicable law. The SUBRECIPIENTshall take affirmative action to ensure that all applicants and employees are treated without regard to race, color, creed, religion, sex, age, handicap, disability, ancestry, national origin, marital status, familial status, and sexual orientation. The SUBRECIPIENT shall comply with all provisions of Executive Order 11246, Equal Employment Opportunity, as amended by Executive Orders 11375 and 12086. (5) Nondiscrimination and Equal Opportunity in Participation. The requirements in 24 CFR part 5, subpart A are applicable, including the nondiscrimination and equal opportunity requirements at 24 CFR 5.105(a). The SUBRECIPIENT shall not discrinninate against any participant on the ground of race, color, creed, religion, sex, age, handicap, disability, ancestry, national origin, marital status, familiar status, sexual orientation, or any other basis prohibited by applicable law. The SUBRECIPIENT shall, through affirmative outreach, make known that use of the facilities, assistance, and services are available to all on a nondiscriminatory basis. The SUBRECIPIENT must take appropriate steps to ensure effective communication with persons with disabilities. (6) Americans with Disabilities Act. The SUBRECIPIENT agrees to comply with any federal regulations issued pursuant to compliance with the Americans with Disabilities Act which prohibits discrimination and ensures equal opportunity for persons with disabilities in employment, State and Local government services, and public accormnodations. (7) Fair Housing. Under section 808(e)(5) of the Fair Housing Act, HUD has a statutory duty to affirmatively further fair housing. HUD requires the same of its funded sub -recipients. The SUBRECIPIENT has a duty to affinnatively further fair housing opportunities for classes protected under the Fair Housing Act. C. Falsification of Information The SUBRECIPIENT represents and warrants that it has made no false statements to the CITY in the process of obtaining this award of the ESG Funds, D. Drug Free Workplace The SUBRECIPIENT represents and warrants that it has established the following drug -free workplace policy: (1) The unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the workplace for any employee involved in a federally funded program. (2) As an employee working in conjunction with a federally funded program, the employees of the SUBRECIPIENT will be required to: a. Abide by the terms above in statement (1), and b. Notify the appropriate SUBRECIPIENT authorities and CITY officials of any criminal drug statute conviction for a violation occurring in the workplace. Such notification shall be made no later than five (5) days after conviction. (3) The CITY and the United States Department of Housing and Urban Development will be notified within 10 25C-16 ten days after receiving notice of any such violation. (4) Within thirty (30) days of receiving such notice, appropriate personnel action will be taken against such employee, up to and including termination. (5) Each such employee shall be required to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State or Local health, law enforcement, or other appropriate agency. E. Religious Organization The SUBRECIPIENT may not engage in inherently religious activities, such as worship, religious instruction, or proselytization as part of said program or services. If the SUBRECIPIENT conducts such activities, the activities must be offered separately, in time or location, from said programs or services, and participation must be voluntary for the program participants. The SUBRECIPIENT shall not, in providing program assistance, discriminate against a program participant or prospective program participant on the basis of religion or religious belief. If the SUBRECIPIENT is a religious organization, it retains its independence from Federal, State, and Local governments, and may continue to carry out its mission, including the definition, practice, and expression of its religious beliefs, provided that the religious organization does not use direct ESO funds to support any inherently religious activities. The SUBRECIPIENT agrees that rehabilitation of structures by the religious organization in connection with said program must be in sound accord with the provisions under 24 CPR § 576,406. F. Additional Terms between the CITY and HUD The SUBRECIPIENT agrees further that it shall be bound by the standard terms and conditions used in the Grant Agreement between IWD and the CITY and such other rules, regulations, or requirements as RTJD may reasonably impose in addition to the aforementioned assurances at or subsequent to the execution of this AGREEMENT by the parties hereto. G. OSHA Where employees are engaged in activities not covered under the Occupational Safety and Health Act of 1970, they shall not be required or permitted to work, be trained, or receive services in buildings or surroundings or under working conditions which are unsanitary, hazardous, or dangerous to the participants' health or safety. H. Hatch Act The SUBRECIPIENT agrees that no funds provided, nor personnel employed under this AGREEMENT, shall be in any way or to any extent engaged in the conduct of political activities in violation of the Hatch Act, 5 U.S.C. Section 1501 et seq. 11 25C-17 I. Davis -Bacon Act All laborers and mechanics employed by contractors or subcontractors in the performance of construction work, including alterations and repairs, in excess of $2,000.00, financed in whole or in part with federal funds shall be paid wages at rates not less than those prevailing on similar construction in the locality as determined in accordance with the Davis -Bacon Act, as amended, 40 U.S.C. sections 276a - 276a-5. Any such construction contract shall include and comply with the required contract provisions and rules set forth in 29 C.F.R. §5.5. Further, the payroll reports (along with the "Statement of Compliance") and basic records are required to be maintained and submitted, or made available, pursuant to 29 C.F.R. §5.5(a)(3). No payment, advance, grant, loan or guarantee of funds shall be approved by the federal agency unless there is on file with the agency a certification by the contractor that the contractor and its subcontractors have complied with the provisions of 29 C.F.R. §5.5. A breach of the contract clauses in 29 C.F.R. §5,5 may be grounds for termination of the contract, and for debarment as a contractor/subcontractor, as provided in 29 C.F.R. §5.12. Labor standards interviews/investigations shall be made as necessary to assure compliance. See 29 C.P.R. §5.6(a)(3). VII. ADMINISTRATIVE REQUIREMENTS A. Generally The following requirements and standards must be complied with: 2 CFR Part 200, et al. SUBRECIPIENT shall procure all materials, property, or services in accordance with the requirements of 2 CFR 200.318-326. B. Procurement (1) Compliance. The SUBRECIPIENT shall comply with current HUD and CITY policies concerning the procurement of equipment, goods, and services, and shall maintain inventory records of all non -expendable personal property as defined by such policy as may be procured with funds provided herein. The SUBRECIPlENI' shall report to the CITY all program assets (unexpended program income, property, equipment, etc.), and upon the CITY' S request, such assets shall revert to the CITY upon termination of this AGREEMENT. (2) Pursuant to 2 CFR 200.331 (a) (4), the Indirect Cost Rate for the SUBRECIPIENT's award shall be an approved federally recognized cost rate negotiated between the SUBRECIPIENT and the Federal government, or, if no cost rate exists, the de minims indirect cost rate as defined in 2 CFR 200.414(b) Indirect (F & A) costs shall. be used. For this agreement, the de minims indirect cost of 10% will apply. (3) Use and Reversion of Assets. "17ie use and disposition of equipment under this AGREEMENT shall be in compliance with the requirements of 2 CFR Part 200. C. Reporting Reporting requirements must conform, to the policies and procedures as established by the CITY and 24 CPR § 576.500. The SUBRECIPIENT shall submit to the CITY, on or before the 15111 day of October, January, April, and July, as part of the Quarterly Report: (1) Payment Request. An original request for reimbursement and true copies of invoices, receipts, agreements, or other documentation supporting and evidencing how the ESG Funds have been expended during the applicable quarter. 12 25C-18 (2) Quarterly Activities and written cumulative (year-to-date) reports of activities, program accomplisluncnts, new program information, and up-to-date program statistics on expenditures, caseload and activities. Failure to provide any of the required documentation and reporting will cause the CITY to withhold all or a portion of a request for reimbursement until such documentation and reporting has been received and approved by the CITY. (3) Matching. Quarterly certification of match, plus documentation of match source, (4) Any other such reports as the CITY (or HUD) shall reasonably require and/or request, including but not limited to the following information: monthly records of all ethnic and racial statistics of persons and families benefited by the SUBRECIPIENT in the performance of its obligations under this AGREEMENT. D. Record Keenin Sufficient records must be established and maintained to enable the CITY and HUD to determine whether the ESG requirements are being met. Record keeping requirements must conform to the policies and procedures as established by the CITY. All accounting records, reports, all evidence pertaining to costs, expenses, and ESG Funds of the SUBRECIPIENT, and all documents related to this AGREEMENT° shall be maintained and kept available at the SUBRECIPIENT'S office or place of business for the duration of the AGREEMENT and thereafter for five (5) years post -completion of an audit in conformity with the ESG requirements, except as hereinafter provided relating to retention of any records or documentation existing, created, or maintained in compliance with Lead -based Paint regulations, which likely require longer retention as outlined below. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this AGREEMENT, or (b) costs and expenses of this AGREEMENT to which the CITY or any other govermnental agency takes exception, shall be retained beyond the five (5) years until complete resolution or disposition of such appeals, litigation claims, or exceptions. All said records must be retained for the greater of the aforementioned duration or the periods specified in 24 CFR 576.500(y). All records relating to, or created or maintained in compliance with, the Lead -Based Paint regulations shall be retained and maintained by the SUBRECIPIENT indefinitely, including without limitation, all inspection report(s), disclosure statement(s), and. clearance report(s). Copies made by microfilming, photocopying, or similar methods may be substituted for the original records, The CITY, IIUD and auditors shall have the right to access all the SUBRECIPIENT records for as long as the records are retained by the SUBRECIPIENT. In the event the SUBRECIPIIiNT does not make the above -referenced documents available within the City of Santa Ana, California, the SUBRECIPIENT agrees to pay all necessary and reasonable expenses incurred by the CITY in conducting any audit at the location where said records and books of account are maintained. The SUBRECIPIENT agrees to meet the requirements set forth in 24 CFR § 576.500. E. Homeless Manasement Informafiop Systens I(_IMIS (1) Generally. The SUBRECIPIENT must ensure that data on all persons served and all activities assisted under ESG are entered into the applicable community -wide IIMIS in the area in which those persons and activities are located, or with the express knowledge and written consent of the CITY, a comparable database, in accordance with HUD's standards on participation, data collection, and reporting under a local HMIS. (2) HMIS Agency Agreement. The SUBRECIPIENT shall have an agreement in place with the IIMIS lead agency to participate in the regionally ITMIS system. A copy of the SUBRECIPIENTS agreement with the HMIS load agency shall be attached to this agreement as Exhibit F. hn the case of Domestic Violence service providers 13 25C-19 or other agencies prohibited from entering data into EIMIS, documentation from the FIMIS lead agency certifying that the SUBRECIPIENT is using a comparable database shall be attached to this agreement as Exhibit D. (3) HMIS Interagency Data Sharing Agreement. The SUBRECIPIFNT shall enter into an Interagency Data Sharing Agreement with the EIMIS Lead Agency where the SUBRECIPIENT agrees to share HMIS data with other ESG funded agencies regarding clients that are served in ESG funded programs, unless prohibited by law. A copy of such agreement shall be attached as Exhibit F-1. F. Audit Report Requirements The SUBRECIPIENT agrees that if the SUBRECIPIF.NT expends Seven Hundred Fifty Thousand Dollars ($750,000.00) or more in federal funds, the SUBRECIPIENT shall have an annual audit conducted by a certified public accountant in accordance with the standards as set forth and published by the United States Office of Management and Budget (2 CFR 200.501 a). The SUBRECIPIENT shall provide the CITY with a copy of said audit by April I of the year following the program year in which this AGREEMENT is executed. Further, the SUBRECIPIENT shall comply and/or cause compliance with audit report(s) required by applicable provisions of the Lead -Based Paint Regulations as further detailed below. VIII. EVALUATION AND MONITORING A. Generally The CITY will monitor the performance of the SUBRECU31ENT against goals and performance standards as required herein. The SUBRECIPIENT shall provide the CITY all necessary reporting information as required by the CITY in the administration and review of the Program. Substandard performance as determined by the CITY will constitute noncompliance with this AGREEMENT. If action to correct such substandard performance is not taken by the SUBRECIPIENT within a reasonable period of time after being notified by the CITY, contract suspension or termination procedures will be irtitiated. B. Access to Records The SUBRECIPIENT gives the CITY and HUD, including their authorized representative, access to and the right to examine all records, books, papers, items, emails, and documents, both physical and electronic, relating to the program. C. Audit The CITY shall have the right to audit and monitor any program income as a result of an ESG activity. Upon request by the CITY and for audit purposes, the SUBRECIPIENT further agrees to provide all files, records, and documents pertaining to related activities and clientele demographic data. IX. LIABILITY A. Generally Each party to this AGREEMENT acknowledges that it will be liable for its own negligent acts or negligent omissions by or through itself, its employees, agents, and subcontractors. Each party further agrees to defend itself and themselves, and to pay any judgments and costs arising out of such negligent acts or omissions, and nothing in this AGREEMENT shall impute or transfer any such liability from one to the other. In other words, the 14 25C-20 SUBRFCIPTFNT agrees to be hilly responsible for its negligent acts or omissions, or any intentional tortuous acts which result in claims or suits against the CITY, and agrees to be liable for any damages proximately caused by said acts or omissions. Nothing herein shall be construed as consent by a State or CITY agency or subdivision to be sued by third parties in any matter arising out of any contract, and nothing 'herein is intended to serve as a waiver of sovereign immunity where sovereign immunity applies, B. CITY not Liable for Funds The SUBRFCIPTFNT further acknowledges that the source of the ESG Funds is a federal pass -through grant to the SUBRECIPIENT. The CITY shall have no obligation to advance or pay the SUBRECIPIENT with any funds other than the ESG Funds the CITY receives from HUD. C. Hold Harmless The SUBRF.CI.PIENT shall defend, indemnify and save harmless the CITY, its officers, agents, employees, representatives, volunteers, and student externs from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of the CITY, and shall defend, indemnify and save harmless the CITY, its officers, agents, employees, representatives, volunteers, and student externs from and against any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, worker compensation claims and attorney fees/expenses for litigation or settlement, resulting from or arising out of the negligent or wrongful acts, errors or omissions of the SUBRECIPILNT, its officers, directors, employees, agents, subcontractors, and suppliers arising out of the SUBRECIPIENT" s performance of this AGREEMENT. X. ENVIRONMENTAL CONDITIONS A. Generally ESG activities are subject to environmental review by HUD under the environmental regulations in 24 CFR 50, The SUBRECIPIENT, or any contractor of the SUBRECIPIENT, may not acquire, rehabilitate, convert, lease, repair, dispose of, demolish, or construct property for a project under this part, or commit or expend HUD or local funds for eligible activities under this part, until HUD has performed an environmental review under 24 CFR part 50 and the recipient has received IRA) approval of the property. The SUBRECIPIENT agrees to comply with all applicable environmental requirements insofar as they apply to the performance of this AGREEMENT, including but not limited to the Clean Air Act, the Federal Water Pollution Control Act and the Flood Disaster Protection Act. If applicable, the SUBRECIPIENT also shall comply with the Historic Preservation requirements of National Historic Preservation Act of 1966. B. Lead -based paint remediation and disclosure The Lead -Based Paint Poisoning Prevention Act (42 U.S.C. 4821--4846), the Residential Lead -Based Paint Hazard Reduction Act of 1992 (42 U.S.C. 4851-4856), and implementing regulations in 24 CFR part 35, subparts A, B, H, J, K, M, and R apply to all shelters assisted under FSG program and all housing occupied by program participants that were built before 1978. 15 25C-21 C. Assi mnerr of Responsibilities By this AGREEMENT, the SUBRECIPIENT will accept assignment from the CITY of all responsibilities set forth in Subpart K of 24 CFR 35. D. Compliance with Subpart K The purpose of Subpart K is to establish procedures to elinunate as far as practicable lead -based paint ("LBP") hazards in a residential property that receives Federal assistance under certain I -IUD programs for acquisition, leasing, support services, or operation. In connection with the grant fiords under this AGREEMENT, the CITY requires that the SUBRECIPIENT comply and show evidence of compliance with all applicable subparts of 24 CFR 35, and especially, Subpart K ("LBP Regs"). The SUBRECIPIENT shall conduct the following activities for the dwelling unit, common areas servicing the dwelling unit, and the exterior surfaces of the building in which the dwelling urm is located: (1) A visual assessment of all painted surfaces in order to identify deteriorated paint; (2) Faint stabilization of each deteriorated paint surface, and clearance, in accordance with §§ 35.1330(a) and. (b), before occupancy of a vacant dwelling unit or, where a unit is occupied, immediately after receipt of Federal assistance; and (3) On ou ing lead -¢BEd as t maintenance activities into regular building operations, in accordance with § 35.1355(a), if the dwelling unit has a continuing, active financial relationship with a Federal housing assistance program, except that mortgage insurance or loan guarantees are not considered to constitute an active programmatic relationship for the purposes of this part, (4) And notice to occupants in accordance with §§ 35.125(b)(1) and (c), describing the results of the clearance examination. E. Notification of,LBP IIpzard The SUBRECIPIENT shalt provide to all occupants of housing: (1) In accordance with Section 35.130 of the LBP Regs - the LBP hazard information pamphlet. The pamphlet shall, be the EPAMUD/Consumer Product Safety Commission 'lead hazard information pamphlet or an EPA -approved equivalent. The current form and version of the pamphlet can be found at: htt p://www, h u d,gov/offices/lea d/library/enforcement/fs-d isci. pdf (2) In accordance with 24 CFR 35, Subpart A, all available information and knowledge regarding the presence of LBP and LBP hazards prior to leasing a housing unit. (3) In accordance with 24 CFR 35, Subpart A, notification in writing of the results of the presumption of LBP and/or LBP hazards, results of any lead hazard evaluation, and any lead hazard reduction work. 16 25C-22 P. LBP Information Summary For purposes of information only and in no respect intended to be a representation or warranty of the provisions of the LBP Regulations, the CITY has caused to be prepared an information summary relating to the LBP Regulations and Application to dwelling units that may be occupied by recipients of services and/or funding from the SUBRECIPIENT under this AGREEMENT. CITY staff will cooperate with and be available to the SUBRECEPIENT to assist in implementation of compliance with the LBP Regs as to residential dwelling units to be assisted by the SUBRECIPIENT. The parties acknowledge and agree the CITY shall not be liable or responsible for the accuracy of such summary, and the SUBRECIPENT is directed to the LBP Regulations and implementing guidance published and provided by HUD relating to compliance with such LBP Regulations. G. Exemptions Section 35.115(a) provides exemptions from Subparts B through R. For example, lead -based paint requirements do not apply to housing assistance if the assistance lasts less than one hundred (100) days. XI. CONFLICTS OF INTEREST The SUBRECIPIENT shall comply with 2 CFR 200.112 with respect to the use of program funds to procure services, equipment, supplies, or other property. With respect to all other decisions involving the use of program funds, the following restriction shall apply: No person who is an employee, agent, consultant, officer, or elected or appointed official of the SUBRECIPIENT and who exercises or has exercised any functions or responsibilities with respect to assisted activities, or who is in a position to participate in a decision making process or gain inside information with regard to such activities, may obtain a personal or financial interest or benefit from the activity, or have an interest in any contract, subcontract, or agreement with respect thereto, or the proceeds there under, either for himself or herself, or for those with who lie or she has fancily or business ties, during his or her tenure or for one (1) year thereafter. The SUBRECIPIFNT agrees to abide by the ESG Program's Conflict of Interest provisions as expressly detailed in 24 CPR § 576.404 regarding Organizational Conflicts of Interest and Personal Conflicts of Interest. All contractors of the SUBRFCIPIENT must comply with the same requirements that apply to the SUBRECIPIENT under this section. XIL ASSIGNABILITY None of the duties of, or work to be performed by, the SUBRECIPIENT under this AGREEMENT shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of the CITY. The SUBRECIMENT must submit all subcontracts and other agreements that relate to this AGREEMENT to the CITY. No subcontract or assignment shall terminate or alter the legal obligations of the SUBRECIPIENT pursuant to this AGREEMENT. X111. EXCLUSIVITY OIL AGREEMENT This AGREEMENT supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the use of the CITY's ESG Funds by the SUBRECIPIENT and contains all the covenants and agreements between the parties with respect to such ESG Funds in any manner whatsoever. Each party to this AGREEMENT acknowledges that no representations, inducements, promises or agreements, orally or otherwise, 17 25C-23 have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both the CITY and the SUBRECIPIENT. XIV. AMENDMENTS OI2 MODIFICATIONS The SUBRECIPIENT shall not obligate, encumber, spend, or otherwise utilize program funds for any activity or purpose not included or not in conformance with the budget as apportioned and as submitted to the CITY unless; (1) The SUBRECIPIENT has received explicit written approval from the CITY to undertake such actions, or (2) Budget changes may be made among approved program activities and among approved budget categories so long as the specific project activity has been approved, there is no change to the total grant amount, and the changes to the budget are documented. Any program modification request by the SUBRECIPIENT must be requested at least forty-five (45) days prior to the end of the term of this AGREEMENT. No modification to this AGREEMENT shall be binding by either party unless in writing and signed by both parties. In the event that the CITY approves any amendment to the funding allocation, the SUBRECIPIENT shall be notified in writing and such notification shall constitute an official amendment. The CITY may, at its discretion and upon provision of proper notice to the SUBRECIPIENT, amend this AGREEMENT to conform with changes in Federal, State, and/or the CITY laws, regulations, guidelines, directives, and objectives. Such amendments shall be incorporated by written amendment as a part of this AGREEMENT. XV. VIOLATION OF TERMS AND CONDITIONS A. Termination If, due to any cause, the SUBRECIPIENT fails to comply with the terms, conditions or requirements of this AGREEMENT, or any prior AGREEMENT whereby ESG funds were received by the SUBRECIPIENT, whether stated in a Federal statute or regulation, an assurance, a State plan or application, a notice of award, or elsewhere, the CITY may terminate or suspend this AGREEMENT in accordance with 2 CFR 200.339 and in accordance with 2 CFR 200.340 by giving written notice, and the CITY may request in writing that all or; some of the grant funds be returned even if the SUBRECMENT has expended the funds. If the SUBRECIPIENT reports inaccurately, or if on audit there is a disallowance of certain expenditures, the SUBRECIPIENT agrees to remedy the acts or omissions causing the disallowance and repay the CITY all amounts spent in violation thereof. If the SUBRECIPIENT engaged in fraudulent activity to obtain and/or justify expenditure of the ESG funds granted hereunder, the SUBRECIPIENT shall be required to reimburse the CITY of all such funds that were obtained and/or spent ruder fraudulent circumstances, and the CITY reserves the right to take other remedies that may be legally available. The SUBRECIPIENT agrees to return all funds as requested by the CITY under this section within thirty (30) days of receipt of the written request. 18 25C-24 Any objections regarding terminations or suspensions shall be made by the SUBRECIPIENT in writing and mailed to the CITY pursuant to the above NOTICES section. XVI. CLOSE-OUT The SUBRECIPIENT agrees to comply with the closeout procedures detailed in 2 CFR 200.343, including the following: I. SUBRECIPIENT must submit, no later than ninety (90) calendar days after the end date of the period of performance, all financial, performance, and other reports as required by the terms and conditions of the Federal award; 2. Unless the CITY authorizes an extension, SUBRECIPIENT must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar clays after the end date of the period of performance as specified in the terms and conditions of the Federal award; 3. SUBRECIPIENT must promptly refund any balances of unobligated cash that the CITY paid in advance or paid and that is not authorized to be retained by SU13RECIPIENT for use in other projects (See OMG Circular A-129 and 2 CFR 200.345); 4. SUBRECIPIENT must account for any real and personal property acquired with Federal funds or received from the Federal government in accordance with 2 CFR 200,310-200,316 and 200.329; and, 5. The CITY should complete all closeout actions for the Federal award no later than one year after receipt and acceptance of all required final reports, XVII. VALIDITY AND SL ERABILITY The invalidity in whole or in part of any provision of this ARGREEMENT shall not void or affect the validity of any other provision of this AGREEMENT. Whenever possible, each provision of this AGREEMENT shall be interpreted in such manner as to be effective and valid under applicable law, but if any provision of this AGREEMENT is held to be prohibited by or invalid under applicable law, such provision shall be ineffective only to the extent of such prohibition or invalidity, without invalidating the remainder of such provisions of this AGREEMENT. XVIII, LAWS GOVERNING TINS AGREEMENT This AGREEMENT shall be governed by and construed in accordance with the laws of the State of California, and all applicable federal laws and regulations. XIX. WAIVER No delay or omission by the CITY hereto to exercise any right or power accruing upon any noncompliance or default by the SUBRECIPIENT with respect to any of the terms of this AGREEMENT shall impair any such right or power or be construed to be a waiver thereof. A waiver by either of the parties hereto of any of the covenants, conditions, or agreements to be performed by the other shall not be construed to be a waiver of any succeeding breach thereof or of any other covenant, condition, or agreement herein contained. 19 25C-25 XX. AGREEMENT DOCUMENT EXHIBITS AND ATTACHMENTS All of the attachments and exhibits attached to this AGREEMENT are deemed incorporated by reference. This document may be executed in three (3) counterparts, each of which shall be deemed to be an original. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and light to bind their respective parties to each of the terms of this AGREEMENT, and shall indemnify the CITY fully, including reasonable costs and attorney's fees, for any injuries or damages to the CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT on the date and year first above written. ATTEST: MARIA D. IIUIZAR Clerk of the Council AS TO FORM: By: RECOMMENDED FOR APPROVAL: ROBERT C. CORTEZ Deputy City Manager Community Development: Agency CITY OF SANTA ANA. a municipal corporation GERARDO MOULT Acting City Manager SUBRECIPIENT: Name: -----__----- Title: Tax ID: DUNS 20 25C-26 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: EXECUTE AN AGREEMENT WITH KEENAN & ASSOCIATES FOR BENEFITBRIDGE SERVICES AND A BUSINESS ASSOCIATE AGREEMENT (STRATEGIC PLAN NO. 7, SA) �" , *a. CI Y 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 1. Authorize the City Manager and Clerk of the Council to execute an agreement with Keenan & Associates for an annual amount not to exceed $46,000 for "BenefitsBridge", a Human Resource Benefits Platform service for the period of June 1, 2017 through May 31, 2018 and shall automatically renew for subsequent one (1) year periods unless either party gives the other at least sixty (60) days written notice of its intent not to renew, subject to non -substantive changes approved by the City Manager and City Attorney; and 2. Authorize the City Manager and Clerk of Council to execute a business associate agreement with Keenan & Associates to supplement the "BenefitsBridge" agreement and outline each party's privacy rights and obligations under the BenefitsBridge agreement. DISCUSSION In alignment with the City Strategic Plan, which promotes innovation and efficiency, staff recommends adopting an agreement with Kennan & Associates, the City's current health insurance broker, in order to implement a benefits platform service called "BenefitsBridge." The agreement will help automate business processes for greater efficiency and process improvement. The platform will allow employees to self -enroll in benefit plans as well as services. It will also help staff process benefit audits and transmit enrollments directly to benefit carriers. The City obtained information and quotes from other companies but determined that there are no other companies that offer benefit administration software that can transmit data directly to CaIPERS health. Currently, the process is being done manually. The City will eliminate annual maintenance for the existing Highline Benefits Self Service software module saving approximately $2,900.00 annually beginning FY 17-18. 25D-1 Benefit Bridge Services with Keenan & Associates April 18, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #7 — Team Santa Ana, Objective #5 (Create a culture of innovation and efficiency within the organization), Strategy A (Promote the use of new technology to improve the delivery of services and information to staff and the community). FISCAL IMPACT The estimated costs per year, based upon the number of the city's current eligible employees would be $36,000.00. Funds will be budgeted in the Employee Group Benefits Contractual Services Account (no. 08109053-62300) in FY 2017-2018. ward Raya Executive Director Personnel Services Department Jack iulla ChM, Innovations Officer Information Technology Department APPROVED AS TO FUNDS AND ACCOUNTS: P Francisco Gutierrez j Executive Director Finance and Management Svcs Agency BF Exhibit: 1. BenefitsBridge Services Agreement, Keenan & Associates 2. Business Associate Agreement, Keenan & Associates 25D-2 BENEFITBRIDGE SERVICES AGREEMENT This Berrefit13r4d,ge Services Agreement ("Agreement") is made and entered into by and between City of Santa Ana ("Client") and Keenan & Associates ("Keenan"), as of June 1, 2017 ("Effective Date"). WHEREAS, Client offers its employees and their dependents an Employee Benefits Program (the "Program"); WHEREAS, Keenan offers a web -based application named BenefitBridge (the "'Platform") which provides set -vices for their Users (employers, employees and employees' dependents) to manage, view and control various aspects of employee benefits programs; WHEREAS, Client desires to gain access to and use of the Platform to support Client's Program pursuant to the tenns of this Agreement; NOW, therefore, in consideration of the mutual obligations contained herein, the Parties agree as follows: 1. 1XLW The tern of this Agreement is from the "Effective Date" through May 31, 2018 ("Termination Date") and shall automatically renew for subsequent one (1) year periods unless either party gives the other at least sixty (60) days written notice of its intent not to renew. 2. KEENAN SERVICES AND RELATIONSHIP QF TIIE PARTIES A. The services provided by Keenan tinder this Agreement shall be limited to the Platform Services described in Exhibits A and B, the terms of which are incorporated herein by reference. Client shall remain responsible for all other aspects of the Program. B. Keenan agrees that for the purposes of the Health Insurance Portability and Accountability Act of 1996 (HIPAA), Keenan is considered a Business Associate of Client and, therefore, agrees to comply with the terms and conditions of, 45 CPR, Subchapter C, Part 160 et seq., with respect to the Privacy and Security Standards of HIPAA and will execute a Business Associate Agreement with the Client. C. In addition, Keenan agrees to the following, with respect to the use, disclosure and ownership of data: 1. Ownership of data: Client is the owner of the data inputted into the Platform. 2. Pennitted uses: Keenan shall be allowed to create and use Aggregated Data (combination of data inputted by Client with similar information inputted into the Platform by other Keenan Clients) for the purposes of running trend reports and for benchmarlsing purposes. Keenan shall own all right, title and interest in and to the Aggregated Data. Keenan & Associates - Liceme # 0451271 BenefitUdge Serviccs Agmemcnt.No D.AV Ccmfidmuipl Forclient Use Only (Rev, 021H 1V) Page t of 10 25D-3 Exhibit 1 Reports: Client and Keenan are allowed to run vatious reports from the infonnation inputted into the Platform as outlined hi Exhibit.A. D. Keenan shall not provide any legal, tax, or accounting service, advice, or opinion, and the Services shall not be interpreted as representing any such service, advice or opinion. Client shall consult its own attorney on all legal issues, and its own tax and accounting expects on all tax, accounting, and financial matters relating to its operations, including without limitation, the establishment and/or operation of the Plans. E. The relationship of Keenan and Client shall be that of an independent contractor and Keenan shall at all times remain responsible for its own operational and personnel expenses. Under no circumstance shall any employee of one party look to the other party for any payment or the provision of any benefit, including without exception, workers' compensation covet -age. Except as may be expressly scat forth in or contemplated by this Agreement, neither party shall have the aright to act on behalf of the other, or to bind the other to any contract or other obligation. F. Keenan's responsibility to Client, upon notification by Client of a Platform's failure to perform or upon Keenan's discovery of such failure, is expressly limited to the use of all reasonable commercial methods available to search for the failure and fix it withitn a reasonable period of time. If the problems encountered cannot be fixed, Client's sole remedy is to cease using the Platform. G. Keenan shall assist Client with the transfer of certain information into the Platform such as the eligibility rules, H Keenan will provide telephone support during the hours of Sam to 5prn Monclay through Friday, except for Federal holidays, 3. CQ IENT'SRESPONSIBILITIRS A. Client shall provide Keenan with timely access to such information and individuals, including its outside advisors and consultants, as may be necessary for Keenan to perform the Services. Keenan shall not be responsible for any delay in its performance that results from the failure of Client, or any person acting on behalf of Client, to make available anyinformation or individual in a timely manner. & All information provided to Keenan by Client, either in anticipation of or during the term of this Agreement., shall be complete and accurate, and Keenan may relyupon such infornation. C. Client agrees that the Platform is intended for the use of its employees and their dependents. Client shall riot provide access to the Platform to any other party or entity without the written consent of Keenan. D. Client agrees to use the Platform only for the purposes set forth in this Agreement and that it shall not at anytime: (i) create anyderivative work based on the Platform Services, except forthc reports that Client is allowed to nun from the Platform, (ii) eopyor modify the Platform services in any fore. Keenan & Associates — L.iccnse N 0451271 6enefitlitidge Services Agmenxnt-No DAV Confidential For Clicnt ike Only (I m 02/ 14/ 17) Page 2 of 10 25D-4 E, Client shall irnmediatelynotify Keenan upon termination of anyermployee who has been given administrative rights to the BenefilBridge system so that Keenan can take such steps as may be necessary to terminate all such rights. 4. CCIMPENSSRQN TO MEj�IAN motor t a1X Fee In exchange for the Client's use of the Platform and Platform Services, Client shall pay to Keenan an amoumt of $3.00 per employee per month. Charges will be billed on a monthly basis. Payment for the Services shall be due upon receipt of Keenan's invoice. Any balance riot paid within forty-five (45) days following the date on the invoice shall be deemed late. A late payment charge sliallaccrue as of the date of Keenan's original invoice, at the rate of 1 Fe percent per month, or the maximum rate permitted by applicable law, whichever is lower. Keenan shall have the right to suspend its Services if any balance owed by Client remains unpaid for more than sixty (60) days from the date of the invoice. I ni stal(at Pee If Client terminates this agreement within the first twenty-four months, it will be charged an Installation Fee of $10,000, If Client uses the Platform for twenty-four months or more, the Installation Fee will not be charged. IZeactivsttion Fee If, for any reason whatsoever, the Client stops the BenefitBridge installation process once it has begun, Client will be charged a $10,000.00 Reactivation Fee to reactivate the BenefitBridge installation. Ooen Enrollment Fee dent is entitled to one annual online Open Enrollment at no charge. Client shall be charged a flat fee of $15,000,00 for each additional online Open .Enrollment that is performed in a given plan year. An "Open Enrollmcrmt" occurs whenever there are changes in the plan offerings, rates, etc. that require all eligible employees to formally identify and select the option(s) of their choice. 5. INSURANCE ISeenan shall procure and maintain during the term of this Agreement the following insurance coverages, and shall provide certificates of insurance to Client upon Client's request. (1) L orlceis' nnpensation, Workers' Compensation Insurance in conformance with the laws of the State of California and applicable federal laws. (2) Bgday Iri u�. Death and Propery Damage Liabili�y Insueatj(&. General Liability Insurance (including motor vehicle operation) with a Two Million Dollar ($2,000,000) limit: of liability for each occurrence and a Two Million Dollar ($2,000,000) aggregate limit of liability. Keenan & Assockics -License # 0.131?71 BeaeficNidge Services Agreem= No UAV Confidential For Clean Use 0111y (Re'. 03/1.1/17) Page 3 of 10 25D-5 (3) Professional Liability Insurance with a Two Million Dollar ($2,000,000) limit of liability for each occurrence and a Two Million Dollar ($2,000,000) aggregate limit of liability. (4) Cvber.1i ' 'Z61riyainsurancL. Cyber Liability Insurance with a Two Million Dollar ($2,000,000) limit of liability for each occurrence and a Two Million Dollar ($2,000,000) aggregate limit of Liability. 6. CONFIDENTIALITY' A. As a result of their relationship under this Agreement each party may gain access to confidential information concerning the other, For purposes of this Agreement, the term "Confidential Information" includes, without limitation, i) any information or data about a pattys business operations, clients, employees, marketing plans, method of operation, trade secrets, and financial performance; ii) information about any individual participating in the Programs, such as name; address, social security number, compensation, and medical history, and iii) any other information about a party that is not available to the general public. Neither party shall, without the written consent of the other release, disclose, or disseminate the other partys Confidential Information except as is necessary for the performance of the Services. B. In the event that either parry becomes the subject of a subpoena or court order compelling the disclosure of the other paty's Confidential information, that party shall immediately notify the other so that the party whose Confidential Information is being sought can take such action as may be necessary to prevent or limit the release of its Confidential Information. C. Neither party shall be deemed to be in breach of this Section 6 if it has notified the other before it releases the Confidential Infornnation pursuant to a subpoena or court order, and the party whose Confidential Information was requested fails to provide, before the deadline for disclosure, a copy of court order quashing the subpoena or otherwise limiting the original demand for the Confidential Information. LVARR& I'Y DI - MERS A. Client understands that the services, the Platform and the content related thereto are provided on an informational basis only and are not intended and shall not be taken to substitute professional medical advice, diagnosis or treatment. B. Keenan does not warrant and is not responsible for any third -patty products or services and Client understands that its sole and exclusive rights and remedies with respect to any third -party products or services are against the third -party vendor and not against Keenan, C. Subject to the specific services set forth herein, Keenan shall not be responsible for any damages that Client or its authorized participants suffer or incur because of their failure to (r) seek the advice of a physician or other qualified health provider in connection with any medical condition; (ii) comply with professional medical advice; or (u) delay to seek RCenan & Assxiams - License U OQ51271 6enef itliiidy+e Services AVrencem.No DAV C.oididendal For Client Use Only (Rev. 02/ t 4/ 17) Paged of 10 25D-6 medical advice for any reason, including but not limited to, information provided in connection with the services, the Platform and any content related thereto. D. If either party breaches this Agreenterrt, then the breaching party shall defend, indemnify and hole{ harmless the non -breaching patty, its officers, agents and employees against all claims, losses, demands, actions, liabilities, and costs (including, without limitation, reasonable attorneys' fees and expenses) arising from such breach, In addition, if Keenan (i) becomes the subject of a subpoena or is otherwise compelled to testify or (it) becomes the subject of a claim., demand, action or liability brought or asserted by one of Client's employees, Plan beneficiaries, or Plan vendors ("Third -Party Demand") relating to the Services and such 'I17ird-Party Demand is not a direct result of Keenan's negligence or willful misconduct, then Client shall defend, indemnify and hold Keenan harmless from all losses, payments, and expenses incurred by Keenan irn resolving such Third-PartyDemand. A. i IMI'X. 'I'ION OF LIABLLITY Notwithstanding anything to the contraryit this Agreement, in no event shall either party be liable far any punitive damages, fines, penalties, taxes or anyindirect, incidental, or special damages incurred by the other party, its officers, employees, agents, contractors or consultants whether or not foreseeable and whether or not based in contract or tort claims or otherwise, arising out of or in connection with this Agreement even if advised of the possibility of such damage. Keenan's liability to Client shall not exceed the amount actually paid by Client under this Agreement during the period of six (6) months preceding the occurrence of the alleged damage. 9. RI PCTI'ON A. In the event of any dispute arising out of or :relating to this Agreement that cannot be settled through informal discussion or mediation, such dispute shall be resolved by submission to bitnding arbitration before Judicial Arbitration & Mediation Services ("JAMS") or ADR Services, at the claimant's choice, in Orange County, California, before a retired judge or justice. If the parties are unable to agree on a retired judge or justice, the selected arbitration service (JAMS or ADR Services) will select the arbitrator, B. In any such arbitration, the parties shall be entitled to take discovery in accordance with the provisions of the California Code of Civil Procedure, but either party may request that the arbitrator limit the amount or scope of such discovery, and in determining whether to do so, the arbitrator shall balance the need for the discovery against the parties' mutual desire to resolve disputes expeditiously and inexpensively. C. The prevailing party in any action, arbitration, or proceeding arising out of or to enforce any provision of this Agreement will be awarded reasonable attorneys' fees and costs incurred in that action, arbitration of proceeding, or in the enforcement of any judgment or award rendered. Kee= &I.Assmaees - License P 0,151271 6enefit6ridge Sarvie" AgwememoNo DAV Confidential Foi Clieru Use Only (Rev.02/ H/17) Page 5 of 10 25D-7 10. TF'RMINA'I'ION A. 'I"he term of this Agreement shall be in effect until the termination date specified in Section 1 above, unless terminated in accordance with this Section, in which case until the occurrence date. This Agreement shall be terminated immediately upon. 1. The filing of a voluntary petition (or an involuntary petition that remains unstayed for sixty (60) days) in barkuptcy by (against) either Partyto this Agreement, or the dissolution or insolvency of Client; 2. `Ihe enactment of any government or regulatory authority; agency or federal or state court law, rule or regulation, or the adoption of new interpretations of existing laws, rules or regulations, or the issuance of any order or policy, which renders the continued performance by either party under this Agreement unlawful; The breach of this Agreement by the other party, but only after the terminating party has given written notice of the breach to the other party, and such breach continues unrenmedied for a period of thirty (30) days after such notice. B. Ibis Agreement may be terminated by either Party upon sixty (60) days notice, C. Any continued performance by the non -breaching party shall not be construed as a waiver of the other partys right to terminate the Agreement under this section. D, All terms of this Agreement (other than Keenan's obligation to provide services and Client's obligation to pay for future services), shall survive the expiration or termination of this Agreement. 11, GrNERAL A. This Agreement, its recitals and all attached exhibits constitute the entire understanding of the parties related to the subject matter of the Agreement, and supersede all prior and collateral statements, presentations, communications, reports, agreements or understandings, if any, related to such matter(s). B. Notwithstanding any provision herein to the contrary, thus Agreement is not intended and shall not be construed as creating or conferring any rights or remedies on any third parties that are not Parties to the Agreement. Enforcement of any remedy for breach of this Agreement nnay only be pursued by the Parties to this Agreement. C No modification or amendment to this Agreement shall be binding unless in writing and signed by authorized representatives of both parties. Any waiver or delay by a party in enforcing this Agreement shall not deprive that party of the tight to take appropriate action at a later time or due to another breach, "this Agreement shall be interpreted as if written jointly by the patties. D. No failure or delay in exercising any right, power or privilege under this Agreement shall be construed as a waiver thereof, nor shall any single or partial exercise thereof preclude any other or further exercise thereof or the exercise of any right, power or privilege under this Agreement. Keenan & Associates — License # 0451271 - BenefieMdge Se,vices AgreenwnrNo DAV Confidenti;d Porclim Use Only (Rev. 02/1v17) Page 6 of 10. 25D-8 E. The invalidity or unenforceability of -,my provision of this Agreement shall not affect the validity or enforceability of any of the other provisions of this Agreement, all of which shall remain in full force and effect. P. This Agreement maynot be assigned by either Party without the prior written consent of the other Pally, G. Neither panty shall be liable or deemed to be in default for any delay or faiure in performance under this Agreement resulting, directly or indirectly, from acts of God, civil or military authority, acts of public enemy, war, accidents, fires, explosions, earthquakes, floods, power outages, failure of computer systems, machinery or supplies, vandalism, strikes, or other work interruptions, or any similar or other cause that is beyond the reasonable control of either party, Each party shall make a good faith effort to perform under this Agreement in the event of any such circumstances, and shall resume full performance of its contract duties once the cause of the delayhas abated. FE In the event of any dispute relating to this Agreement, the prevailing party shall be entitled to recover attorneys' fees and casts, including but not limited to, those incurred in resolving the dispute. I. Any rule of construction that ambiguities are to be resolved against the drafting Party shall not be employed in the interpretation of this Agreement, or any amendments or exhibits hereto. All notices hereunder shall be in writing and shall be sent to the parties at the addresses as set forth below, or to such other individual or address as a party may later designate. Notices shall be sent via personal delivery, courier service, United States mail (postage pre -paid, return receipt requested), express mail service, electronic mail, or fax. Notice shall be effective when delivered, or if refused, when delivery is attempted. Notices delivered during non -working hours shall be deemed to be effective as of the next business day. if the notice relates to a legal matter or dispute, a copy shall be sent to: Keenan & Associates 2355 Crenshaw Blvd., Ste, 200 Torrance, CA 90501 Attn: Legal Department Fax: (310) 533-0573 K. This Agreement may be executed in counterparts and by fax signatures and each shall be deemed to be an original. Keenan t•L Associates - License u 0451271 -- Benef4fitidge Services Agreement -No DAV Cnnfidoodal For Client Use Only (Rev.02/H/M Pape 7 of 10 L. Each person signing this Agreement on behalf of aparlyrepresents and warrants that he or she has the necessaryauthorityto bind such partyand that this Agreement is binding on and enforceable against such party. 1 of 51L1f41 "all Ke gR ,-°A—u"Oci_ltes �rtlfttl7re: ___ _ _ __ SL nattlL't" BY; See Attached Signature Tom___ Address; Address- --- 2355 Crenshaw Blvd., Ste. 200 Torrance, CA 90501 Te1e hone: Tee hone: 3'10 212.0363 — Atteu' n' Alt:elation; m Keenan & Associates - License e 0451271 rienc(itUdge Services Agreement -No D AV (.,onfidential Cot Client Use Only (Ilea 02/14/I7) Page S of 10 25D-10 L. Each person signing this Agreement on behalf of a party represents and warrants that he or she has the necessary authorityto bind such part-yand that this Agreement is binding on and enforceable against such party. — — - - - - - t.- taj...Lia, n ciate's k Asao Si1 —klLL I n awn: j9V See Attached Signature By_ A�ddtg.a& 20 Civic Center Plaza M-24 Post Office Box 1988 Address: 2355 Crenshaw Blvd., Ste, 200 Santa Ana, CA 92702 Torrance, CA 90501. 714 647-5340 Tee 1ing-11 3*10 212-0363 Attention: Executive Director of Personnel Services AlLentlorr ERaya@8anta-ana.or --La -g-- E-mail: WE, a ---- KeemanN.Associates — Liceime # 0451271 Benefiffl,idge Su Aces Agrcemum-NoDAV Confidential For Client Use Only (Rev. 021 [ W 17) Page 8 of 10 25D-1 1 ATTEST: MARIA HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: C�c t•UtG Laura A. Rossini Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: ED RAYA Executive Director of Personnel Services CITY OF SANTA ANA GERARDO MOUE"T` Acting City Manager 25D-12 EXHIBIT A. Platform Services avid Reports it'l f�)1,'Itt SeYVICCS :111C1 �,(:�fiS_ A. 'Ilia Platform provides the following services: 1. Benefit administration functionality including the ability to manage eligibility rules for various classes of employees/dependents; 2. Online enrollment functions enabling employee self-service or Client enrollment on the Client's employees' behalf; 3. Benefits billing and eligibility functions including the abilityto create and transmit carrier -billing reports; 4, The ability to communicate general health and welfare information and for the Client to upload documents and web links germane to the Client; 5. Other useful content as Keenan deems appropriate, B� With respect to the Platform, Keenan will: 1, Maintain the Platform and keep its contents updated and current; 2. Provide technical support to the Client; 3. Provide training on the Platform to the Client's Hunvm Resources users and for employee trainers; 4. Provide implementation support including the loading of the plan designs, the efigibilityrules, Client census files, initial user data and other data required to enable the Platform; 5. Provide annual updates to plan designs and related eligibilityrules stored in the Platform; G. tdentifyernployees, dependents, and retirees who are enrolled in plans for which they are defined as ineligible; 7. Set up data transfers with the Client's carriers; S. Ensure that standard reports are available for the Client's census, carrier bills and related benefits. C. With respect to the Platform, the Client will: 1. Maintain user passwords and accounts for any employees given access; 2. Provide initial census data files; 3. Work with Keenan to acquire carrier membership files; 4. Work with Keenan to fully define eligibility r-tiles. Keenan & Associates - License N 0451271 6enefi(Blidge Services AgreemenrNo DAV Cunfidentinl Pm Cbenc Use Only ($rv, 02111✓ 17) Page 9 of to 25D-13 EXH M B Enhanced Services Option Definitions a. Futuris Qatve An Enhancement that will allow retirees and plan participants approaching retirement age to access options for Medicare supplement insurance products. This Enhancement is available onlyto those Clients who have executed a Supplement Services Addendum for Retiree Medical Services. b. Voluntary Benefits, An Enhancement that will allow employees to access, apply for, and purchase, on an individual basis, certain elective benefits that are not included in Client's benefit plans. Depending upon carrier practices Client may be required to collect premiums (e.g., payroll deduction) and submit to carriers. c. Age Out Options, An Enhancement that permits Keenan to use data from Benefit Bridge to identify dependants approaching 26 and alert them that they will no longer be eligible on their parents' plan and provides options for them to explore and/or Purchase individual coverage, 2. Client hereby authorizes Keenan to install all Enhancements on its BenefitBridge Platform EXCEPT' the following (check anyEnhancements that you do NOT want); a. Futuris Care b. Voluntary Benefits c, Age Out Options 3. Data stored on BenefitBridge may be transmitted electronically to carriers and other Vendors ("Vendors") to facilitate the application for and/or enrollment in products and programs offered through the Enhancements. No Data will be transmitted unless an individual has, through the use of an Enhancement, elected to purchase or participate in the Vendor's product or program. 4. The Enhancements will be installed without charge to Client. It is understood and agreed that Keenan may be compensated by the Vendors it exchange for facilitating the application/enrollment process by transmitting the data electronically from BenefitBridge, and that Keenan may receive a commission from one or more Vendors as a result of the sale of their products orprogralns to an individual employee. Keenan & Associate, — License H 0451271 BeneficUdge Services Agreement -No DA4 Confidential Cos Client Use Only (Rev, 02/14/17) Page 10 of 10 25D-14 BUSINESS ASSOCIATE AGREEMENT 111is Business Associate Agreement (the Agreement) is entered into June 1, 2017 ("Effective Date") by and between City of Santa Ana, the sponsor ("Sponsor") of one or more health plans (collectively referred hereafter to as the "Plan") and Keenan &Associates (Business Associate). WHEREAS, the Sponsor has independently contiacted with Business Associates to provide services to, for or on behalf of the Plan; and WHEREAS, Plan wishes to allow the Business Associate to have access to'PFlC including but not limited to, EPHI that is either provided to the Business Associate by the Plan or received and created by the Business Associate on behalf of the Plan in the course of providing its services to, for or on behalf of the Plan; WHEREAS, the Plan is required to comply with 1-IIPAA (including, but not limited to, its Privacy Rule and SecurityRule), and other governmental regulations relating to the privacyand securityof individuals' personally identifiable information. NOW, THEREFORE, for good and valuable consideration, the receipt of which is hereby acknowledged, Plan and Business Associate agree as follows; DEFINITIONS Catch-all definition: Terms used, but not otherwise defined, in this Agreement shall have the same meaning as those terms in 45 CPR % 160.103 and 164.501. S ecific defrndlttQns: (a) tir_Assac'< e "Business Associate" shall generally have the same meaning as the term "business associate" at 45 CPR 160.103, and un reference to this Agreement, shall mean Keenan &Associates, (b) Bteaclr shall have the same meaning as the term "breach" in 45 CTR § 164.402 (c) Coveted En tits shall generally have the same meaning as the term "covered entit-y" at 45 CPR 160,103, and in reference to this Agreement shall mean the health and welfare benefits plans sponsored by the entitythatis signatoryto this Agreement. (d)Ij,idi-yjAu,ji shall have the same meaning as the term "individual" in 45 CFR § 164.501 and shall include a person who qualifies as a personal representative in accordance with 45 CPR 164.502(g). (e) Privacy Itu e. shall mean the Standards for Ptivacyof IndividuallyIdentifiable Health Information at 45 CPRPart 160 and Part 164, Subparts A and E. Keenan & Associates— Liccuso i10451271 Business Associate COtlUSCt(ScatleAly) (Ray.07/29/r3) Page 1 of 8 25D-15 Exhibit 2 (f) Protected, Beal# W-fo-gnsttion_.C`_PHjn shall have generally the same meaning as the term "protected health information" in 45 C:F.It § 164,501, and for this Agreement shall be limited to the information created or received by Business Associate from or on behalf of the Covered Entity. (g) ��eqmt-arx shall mean the Secretary of the 'Department of Health and Human Services or his designee. (h) SS rurrt'.ty stale shall mean the Security Standards for the Protection of Electronic Health Information at 45 CPR Part 160 and Part 164, Subpart A and C. @ Electrarxic PI-PIIII shall have the meaning found in the Security Rule 45 CPR, Section 160.103. (j) Secuily-.n ident shall have the same meaning as the term "security incident" in 45 CPR Parts 160 and 164, subparts A and C (1t) -UIPAA Itrilles shall mean the Privacy, SecuritT; Breach Notification, and Enforcement Rules at 45 CPR Pan 160 and Pan 164. (1) )es3mnqitd-&carct 5c,1 shall have the same meaning as the tern "designated record set" in 45 CPR.164.501. (m) Subcontrpic,ttnr shall have the saute meaning as the terns "subcontractor" in 45 CFR §160.103 (n) Unsecuretl PI1I shall have the meaning given the term "unsecured protected health information in 45 CPR § 164.402. QBLT,QATIOlNja AND ACTS TTP'S OF BUSINESS ASSOCIATE Business Associate agrees to: (a) Business Associate agrees to not request, use, or further disclose PHI other than as pemdtted or required bythe Agreement or as permitted or required bylaw. (b) Business Associate agrees that it shall utilize appropriate physical, administrative and technical safeguards to ensure that the PI-17 is not used or disclosed in any manner inconsistent with this Agreement. Such safeguards shall include, but not be limited to: (1) establishing policies and procedures to prohibit any employee of Business Associate, who does not have a reasonable need for the PHI in order to accomplish an authorised use or disclosure, from accessing such information and to inform all employees of Business Associate N,vhose services may be used to fulfill obligations under this Agreement of the terms of this Agreement; and (2) disclosing to any agent, Subcontractor or other third party, and requesting from Covered Entity, onlythe minimum PI-11 necessaryto accomplish the intended purpose of the use, disclosure or request. ('-31 taimum necessary' shall be interpreted in accordance with the I-IIPAA Rules) Business Associate shall provide Covered Entity with such information concerning the safeguards as Covered Entity may reasonably request from time to time. Keenan & Assoei,,tcs — License 40451271 Busincss' Associate Contract (SeAttleRlay) (Rev. 07/29/13) Page 2 of S 25D-16 (c) Use appropriate safeguards, and comply with Subpart C of 45 CAR Part 164 with respect to electronic Pill, to prevent use or disclosure of PIII other than as provided for bythe agreement. (d) Business Associate agrees to mitigate, to the extent practicable, any harmful effect that is known to Business Associate of a use or disclosure of PIII by Business Associate in violation of this Agreement. (e) Business Associate agrees to report to Covered Entity, in writing, ,my use or disclosure by Business Associate of PIII not permitted by this Agreement promptly after Business Associate's first awareness thereof, including but not limited to, any discovery of any inconsistent use or disclosure by Subcontractor of Business Associate. (f) Report to Covered. Entity any use or disclosure of PIII not provided for bythe Agreement of which it becomes aware, including breaches of Unsecured PIT information as required at 45 UP, 164.410 (without unreasonable delay, and, in no case later than 10 calendar days after discovery of a Breach), and any security incident of which it becomes aware. (g) Business Associate agrees to require that anySubcontractor, to whom itprovides PIII received from, or created or received byBusiness Associate on behalf of Covered Entity, execute a Business Associate Agreement acknowledging its compliance with the HIPAA Rules. (h) Business Associate agrees to provide access to PH, at the request of Covered Entity, and in the time and manner reasonablydesignated by Covered Entity, to Covered Entity, or, as directed by Covered Entity, to an Individual in order to meet the requirements under 45 CFR 164,524 (within 30 days after receipt of the request unless there is a 30 day extension.) (i) Business Associate agrees to make any amendment(s) to PIII that the Covered Entity directs or agrees to pursuant to 45 CPR 164.526, and in the time and manner reasonably designated by Covered Entity, un a Designated Record Set, or take other measures as necessaryto satisfy Covered Entitys obligations under 45 C FR 164.526 no later than 60 days after the receipt of the request. Q) Business Associate agrees to make its internal practices, books and records relating to the rise and disclosure of the PIII available to the Secretaryorthe Secretary's designee for the purposes of determining Covered Entity's compliance with the IIIPAA Rules. Business Associate shall immediately notify Covered Entity of its receipt of any such request for access, but in no case later than 60 days after the receipt of the request. (k) Business Associate agrees to document such disclosures of PIII to the extent necessary for Covered Entity -to respond to a request by an Individual for an accounting of disclosures of PHI in accordance with 45 CFR S 164,528 no later than 60 days after the receipt of the request. (1) Viaintain and make available the information required to provide an accounting of disclosures to either the Covered Entity, or the Individual, as necessary to satisfy Covered Entity's obligations under 45 CTR 164-528 within 60 days after receipt of the request. (m) Business Associate agrees to provide Covered Entity, in the time and manner reasonably designated by Covered Enmity, information collected in accordance with Section (1) on page 3 of this Kecon & Associmcs - License 60451271 Business Amciete Cnnhnct (Scmterdny) (,Rev. 07f 297 L7) Page, } of 8 25D-17 Agreement, to permit Covered Entity to responcl to a request by an Individual for an accounting of disclosures of PI-11 in accordance with 45 CPR 164.528 no later than 60 days after the receipt of the request. (n) Business Associate agues to provide information and documentation concerning Business Associate's compliance with this Agreement to the extent reasonably requested by Covered Entity as necessary to permit to respond to third parties' inquiries of and/or claims against Covered Entity relating to use and/or disclosure of PI-11 and/or for Covered Entity to comply with law(s) relating to its monitoring of compliance with this Agreement. Business Associate shall, upon Covered Entity's request, certifyto Covered Entitythat it complies with the terms of this Agreement (no .later than 60 days after the receipt of the request. P i2 VI�II`I' ED USES AND DISCI OS�jILFS SY l3LiSINESS A554J�CA CT' (a) Except as otherwise limited in this Agreement, Business Associate mayobtain and/or use PH as necessary to perform its obligation to provide services to, for, or on behalf of the Plans, so long as such access and/or use is either permitted or required by law and, provided further, that Business Associate has met all legal requirements for such access and/or use. This specifically includes, but is not linnited to, Business Associate's access and/or use of PHI as necessary to perform the services set forth in the service agreement between Business .Associate and Sponsor. (b) Business Associate may not use or disclose PH[ in a manner that would violate the I-IIPAA Rules. If the Agreement permits the Business Associate to use or disclose PHI for its own management and administrnttion and legal responsibilities, or for data aggregation services, then disclosure is permitted for the specific uses and disclosures set forth below. i) Business Associate may use PHI for proper management and administration of the Business Associate, or to carryout the legal responsibilities of the Business Associate. h) Business associate may disclose PFH for the proper management and administration of Business Associate or to carry out the legal responsibilities of the Business Associate, provided the disclosures are required by law, or Business Associate obtains reasonable assurances fromthe person to whom the information is disclosed that the information will remain confidential and used, or fr.uthcr disclosed, only as required by law or for the purposes for which it was disclosed to the person, and the person notifies Business Associate of any instances of which it is aware in which the confidentiality of the information has been breached. iii) Business Associate may provide data aggregation services relating to the health care operations of the Covered Entity. (IBLIGATIONS OF COVERED ENTITI' (a) Covered Entity shall provide Business Associate with the notice of privacy practices that Covered Entity produces in accordance with 45 CPR S 1,64.520, as well as any changes to such notice. Keennn & Associate —License 110451271 BLI lhwss Associuio Conuncl (Sm¢enlay) (Rev. 07/29/13) Page 4 of 8 25D-18 (b) Neither Sponsor nor Covered Entity shall request Business Associate to use or disclose PI -II in any rnanner that would not be permitted or required bylaw if done by Covered Entity, (c) Covered Entity shatl notify Business Associate in writing of any restriction to the use or disclosure of PIII that Covered Entityhas agreed to in accordance with 45 CFR § 164.522. MEMNIPI .ATI N (ai) Business Associate agrees to indemnify, defend, and hold harmless the Covered Entity, its trustees, officers, directors, employees, agents, or representatives, from anyclaim or penaltyarising out of any improper use and/or disclosure of PHI in violation of the Privacy Regulation, to the extent that such improper use and/or disclosure resulted from Business Associate's negligence or failure to comply with the terms of this Agreement or the Privacy Regulation. (b) The Sponsor and Covered Entity agree to indemnify, defend and hold harmless Business Associate and/or all of Business Associate's officers, directors, employees, agents, or representatives, from any claim or penalty from any improper use anti/or disclosure of PHI, to the extent that such improper use and/or disclosure resulted from tine Sponsor's or Covered E atity's negligence, failure to comply with the terms of this Agreement or the Privacy Regulation, or was based upon the Sponsor's or Covered Entity's written direction to use and/or disclose PIT in the manner challenged. SECURITY Business Associate agrees to: a) Implement safeguards that reasonably and appropriately protect the confidentiality; integrity, and availability of the electronic PI -II that it creates, receives, maintains, or transmits on behalf of the Cknvered Entity; ii) Ensure that any Subcontractor, to whom it provides this information agrees to implement reasonable and appropriate safeguards; iu) Report on a quarterly basis to the Covered Entity, in writing, any Security Incident involving Covered Entitys data. If, however, a Security Incident results in the unauthorized disclosure of Unsecured PHI, Business Associate shall notify Covered Entity in accordance with the Breach notification provisions below. iv) Notify Covered Entity no later than ten (10) days after discovery of a Breach of Unsecured PE-U v) Performthe four factor riskassessment of anyBreaeh that is discovered in accordance with the I-IIPAA Rules to deten- nine if notification is required, and advise Covered Entity of its findings. Covered Entity has 60 clays from the: discovery date of a reportnbte Breach to report said Breach to the Individual and I-IHS (if Breach involves 500 or more Individuals.) Kcennn & As.aciatrs - License HO,151271 [Business Associate Commut (SnatterJay) (Rev.07/29/13) page 5 of 2 f1 \if;ti 25D-19 vi) Make its policies and procedures, and documentation required by this subpart slating to such safeguards, available to the Secretary for purposes of determining the Covered Entity's compliance with 45 CFR Parts, 162 and 164 and; vil) Authorize termination of the contract by the Covered Entity if the Covered Entity determines that the Business Associate has violated a material term of the contract. �'�t�r,fa�d "T,cr�ains=tti (a) 'The Term of this Agreement shall be effective as of the effective date herein and shall terminate when all of the PF II provided by Covered Entity to Business Associate, or created or received by Business Associate on behalf of Covered Entity, is destroyed or returned to Covered Entity, or, if it is infeasible to rearm or destroy PHI, protections are extended to such information, in accordance with the tenrti.nation provisions in this Section or on the date Covered Entity terminates for cause as authorized iti paragraph (b) of this Section., whichever is sooner. (b) Upon Covered Entity s knowledge of a material Breach by Business Associate, Covered Entity shall provide an opportunity for Business Associate to cure the breach or end the violation and terminate this Agreement. If the Business Associate does not cure the breach or end the violation within the time specified by Covered Entity; Covered Entity shall have the right to immediately terminate this Agreement. Such termination shall not abrogate any rights which Covered Entity has against Business Associate forviotation of this Agreement. (c) Upon termination of this Agreement for any reason, Business Associate, with respect to PPiC received from Covered Entity, or created, maintained, orreceived by Business Associate on behalf of Covered Entity, shall: 1) Retain onlythat PFII which is necessary for Business Associate to continue its proper management and administration or to carry out its legal responsibilities; ii) Return to Covered Entity (or, if agreed to by Covered Entity, destroy) the remaining PHI that the Business Associate still maintains in anyform; iii) Continue to use appropriate safeguards and comply with the H1PAA Rules regarding the use and disclosure of the PHI, for as long as Business Associate retains the PHI; iv) Not use ordisclose the PHI retained byBusiness Associate other than forthe purposes for which such PI -II was retained and subject to the same conditions which applied prior to termination; and v) Return to Covered Entity (or, if agreed to byCovered Entity, destroy) the PHI retained by Business Associate when it is no longer needed by Business Associate for its proper management and adir inistratio❑ or to carryout its legal responsibilities, Miscellaneous (a) A reference in this .Agreement to a section in the Privacy Rude means the section as in effect or as amended, and for which compliance is required. Koennn & AssociaLLe%— Lieensc P095127 r Boshiess Associate COMI-act (Scats<n hy) (Rev. 07/29/D) Page 6 of 8 h pies 25D-20 (b) No modification, amendment, or waiver of any provision of this Agreement will be effective unless in writing and signed by the party to be charged. The Parties agree to take such action as is necessary to amend this Agreement from time to time as is necessary for Business Associate and Covered Entity to cotriply with the requirements of the I7fPAA Rules, (c) Any ambiguity in this Agreement shall be resolved in favor of a meaning that permits both patties to comply with the HIPAA Rules and/or other applicable law. (d) Notices: (i) All reports or notices to Covered Entity pursuant to this Agreement shall be sent to the names and addresses listed on the signature page, or to such other individuals and/or addresses as a party may later designate in writing. Unless expressly prohibited under the I IPAA Rules, such notices and reports may also be sent via email. (h) All such reports or notices shall be sent byFirst Class Nbil or express courier service, and shall be deemed effective when delivered, or if refused, when delivery is attempted. (e) Nothing expressed or implied in this Agreement is intended to confer, nor shall anything herein confer, upon any person other than the Sponsor, Covered Entity, Business Associate, and their respective successors or assigns, any rights, remedies, obligations or liabilities whatsoever. (1) This Agreement constitutes the complete agreement of the parties relating to the access, use, disclosure and security of PM and, except as otherwise provided herein, supersedes all prior representations or agreements, whether oral or written, with respect to the confidentiality and securityof PI L (g) The parties hereby agree and affirm that the subject matter of this Agreement is unique, and that it may be impossible to measure the damages which would result to Covered Entity from violations by Business Associate of the agreements set forth herein. Accordingly, in addition to any other remedies which Covered Entitymayhave at law or in equity, the parties hereby agree that either pang shall have the tight to have all obligations and other provisions of this Agreement specifically performed by the other party, as applicable, and that either party shall have the right to seek preliminary and permanent injunctive relief to secure specific performance, and to prevent a breach or contemplated breach, of this Agreement, without, in any case, proof of actual damages. (h) Disputes arising out of or relating to this Agreement which cannot be resolved by negotiation between the parties shall be submitted to non -binding mediation. If the dispute is riot resolved through mediation, it shall be resolved by final and binding arbitration administered byJA% dispute resolution service pursuant to its Streamlined Arbitration Rules and Procedures, or such other arbitration procedures as agreed to in writing by the Parties. Negotiation, mediation, and arbitration shall be the exclusive means of dispute resolution between the parties and their respective agents, employees and officers. The site of the arbitration shall be in Orange County, California. A judgment of any court having jurisdiction may be entered upon the award. IN WITNESS WHEREOF, the parties hereto hereby set their hands as of the date first above written. Kemmn & Associates - License P,0451271 tlosiness Associate, C,ontrac�(Srrtterdayl (Rev.07/29/0) Page 7 of 3 25D-21 Keenan 8a Associates ... City of Santa Ana, as Sponsor and Representative of the Plan(s) Signature: Signature: By: See Attached Signature By: John Scatterday Page Title: v Title: _ Senior Vice President Address: 20 Civic Center Plaza, Address: — 2355 Crenshaw Blvd., Ste.— M-24 200 Post Office 'Box 1988 Santa Ana, CA 92702 _ Torrance, CA 90501, Telephone: 714 647-5340^� Telephone: 310 212-0363 Attention: Director of Personnel Attention: Privacy Officer Services ((carom & Associates - Li raise 40451271 Business Associnle Contiucl(Scaltenlay) (Rev. 07/29/1.3) page 8 of 8 25D-22 ATTEST: MARIA IIIJIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura A, Rossini Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: EDRAYA Executive Director of Personnel Services CITY OF SANTA ANA GERARDO MOUET Acting City Manager 25D-23 25D-24 REQUEST FOR COUNCIL ACTION` CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: AMEND AGREEMENT WITH INFOR (US) INC FOR FINANCIAL SYSTEM MAINTENANCE, SERVICES, AND SOFTWARE LICENSES (STRATEGIC PLAN NO. 7, 5A) I TP►G[c]x:7 RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s` Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to amend the agreement with Infor (US) Inc. for Lawson financial system maintenance, services, and software licenses in an amount not to exceed $741,533 over an approximate three-year period from April 19, 2017, through May 31, 2020, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The City uses the Infor Lawson financial system to process, account for, maintain, track, and report on the City's financial information and transactions. This includes functions for general ledger, accounts payable, billing, accounts receivable, cash management, procurement, inventory, asset management, grant management, projects and activities, budgeting, business intelligence and reporting. The system is used to produce the Comprehensive Annual Financial Report (CAFR) required by California State Law and the City Charter. After a competitive procurement process, the City Council approved an agreement with Lawson Software Americas, Inc. on March 3, 2008, to purchase the Lawson financial system (Agreement A-2008-037). The system went live in September 2009 and replaced a legacy mainframe system that was over 20 years old. Lawson Software Americas, Inc. was acquired by Infor (US) Inc. in 2011. Staff recommends approving an Addendum, Services Work Order, and Order Form for annual maintenance, professional services, and software licenses, respectively. The Addendum for Multiyear Support Commitment modifies the maintenance term to decrease the annual maintenance cap from 4% plus CPI rate to a fixed 3% rate, saving the City several thousand dollars each year in maintenance costs during the three year term. Annual maintenance entitles the City to receive software updates and technical support services which are required to ensure system availability, proper operation, and legislative compliance. The Services Work Order provides the City with professional services required to maintain, optimize, and improve the 25E-1 Amend Agreement with Infor (US) Inc. for Financial System Maintenance, Services, and Software Licenses April 18, 2017 Page 2 system as well as educate staff to maximize system and process efficiency. The Order Form provides additional software licenses to meet staff requirements to use the system. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #7- Team Santa Ana, Objective #5 (Create a culture of innovation and efficiency within the organization), Strategy A (Promote the use of new technology to improve the delivery of services and information to staff and the community). FISCAL IMPACT Funds are available in the Information Technology ERP System accounting unit 10920141 for FY 2016-17 and will be budgeted in subsequent fiscal years. The following is an estimate of the account distribution by fiscal year, but the actual amounts may vary within a fiscal year based on the timing of delivery of services. Unit 10920141 62300 Contract Services 10920141 62305 Software Licenses 10920141 62306 Software Maintenance Jafrfmation iulla ChTechnology Innovations Officer Inf Technology Department ON Exhibits: FY16/17 $7,750 FY17/18 FY18/19 FY19/20 $28,133 $28,133 $28,133 $210,236 $216,337 $222,827 $217,986 $244,470 $250,961 Total 84,400 $7,750 $28,133 $741,533 APPROVED AS TO FUNDS AND ACCOUNTS: f Francisco Gutierrez Executive Director 00 Finance and Management Services Agency 1. Infor Addendum Multiyear Support Commitment 2. Infor Services Work Order 3. Infor Order Form 25E-2 Exhibit 1 ADDENDUM MULTIYEAR SUPPORT COMMITMENT As It relates to the Component Systems specified herein, this Addendum is subject to the terms of the Lawson Software Customer Agreement between Infor (US), Inc., as successor In interest to Lawson Software Americas, Inc., ("Infor") and City of Santa Ana ("Licensee") With an effective date of March 3, 2008 (the "License Agreement"). As It relates to Support for the Component Systems, this Addendum Is subject to the applicable terms of the License Agreement (to the extent It concerns Support) or, if Support is subject to a separate Support Agreement related to the License Agreement, the terms of such Support Agreement (the "Support Agreement'). The License Agreement and related Support Agreement (if any) are referred to herein as the "Agreement". All terms of the Agreement are incorporated herein by reference. Capitalized terms not defined in this Addendum are defined in the Agreement. In the event of a conflict, the terms of this Addendum control over the terms of the Agreement. In the event the capitalized terms in this Addendum differ from the terminology used in the Agreement, references herein to: "Component Systems" means the software products that are being licensed (and may be referred to in the Agreement as Products, Software Products, Software, Programs or Licensed Programs): "Support" means Infer's current standard maintenance and Support services (and may be referred to in an Agreement as Maintenance and Support, Annual Support, Support Services, On -Going Support or One Point Support): "Order Form" means a mutually agreed upon ordering document (and may be referred to in an Agreement as Schedule, Supplement or Supplemental Schedule): "Annual Escalation Percentage Cap" means the maximum percentage increase in an annual Support Fee on an annual basis. In addition, based on the applicable Agreement, listed Component Systems herein owned by a third party may also be referred to in the Agreement as "Additional Software" or "Third Party Software". Effective date of the Addendum: the date of counter -signature by Infor. L Component Systems: Previously licensed Component Systems for which Licensee is purchasing Support. No delivery necessary. SKU Component System License Restriction Quantit Type Support Level* _ The Component Systems for which the Licensee is purchasing support are listed in Exhihit A. _ *Support Level: Infor Xtreme ("X7") Support unless otherwise indicated. At all times Support shall be provided according to Infor s then current Support policies and procedures. Descriptions of the Support levels can be found at htt www.infor,com/support/support-plan-features/ If Applicable: "XTP" = Infor Xtreme Premium (24 x 7) and "XTE" = Infor Xtreme Elite (24 x 7) Plus. Infor Support Assistant: If not already Installed, Licensee may elect to download and install Infor Support Assistant ("ISA" ), a data collecting application that gathers relevant system and software information for use by Infor Support in its continuing effort to improve Support response and resolution times and to assist Infor with the provision of proactive Support. For purposes of clarification, ISA does not collect personal data, business transaction data, production data or authentication information, Including passwords it. Support sorvlces Total Support Fee: $644,408.35 Annual Escalation Percentage Cap: For this Support Term, the Annual Escalation Percentage increase of 3% is included in the annual payment amounts set forth below. Following this Support Term, the Annual Escalation Percentage cap shall be 6% or the then -current year -over -year increase In the Consumer Price Index (CPI) whichever is the greater. 25E-3 Support Term: 6/1/2017 ("Start date") to 5/31/2020 SupportCommitment: The Support Term specified herein is a binding term, and neither party may exercise any rights of non -renewal or cancellation for convenience so as to terminate Support prior to the end of such Support Term, If Licensee fails to pay Infer any portion of the Total Support Fee when due, then, in addition to other remedies Infer may exercise, Licensee shall Immediately be Invoiced for, and shall be obligated to pay to Infor, as liquidated damages, the Total Support Fee, as Increased by the Annual Escalation Percentage Cap, less any portion of the Total Support Fee previously paid (the "Damages"). If such amount Is not paid within fifteen (15) days of invoice, Infer shall have no further obligation to provide Support, and the Licensee shall remain fully obligated to pay the Damages. On the last day of the Support Term, Support will automatically renew for successive twelve-month periods (the "Renewal Period") unless either party provides written notice to the other party of non -renewal at least sixty (60) days prior to the commencement of the Renewal Period. Payment Schedule: $208,48$.67 (plus applicable taxes) is due no later than 5/1/2017 $214,740.24 (plus applicable taxes) is due no later than 5M12018 $221,182.45 (plus applicable taxes) is due no later than 5/1/2019 Invoice Address: City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92702 Other fees: 0.00 Total Amount Due (before applicable taxes): $644,408.35 Currency: USD Contact name: Milanka Radio Contact Title: Contact Tel: 714,647.5256 Contact Email: mradic@santa-ana.org Account ID:2149-L THE PARTIES have executed this Addendum through the signatures of their respective authorised representatives. Infor (US), Inc. City of Santa Ana Signature Signature Name: Name: Gerardo Mouet Title: Title: Acting City Manager Date: Date: 25E-4 ATTEST: Bv: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: By: 1 VL John .Funk Assistant City Attorney RFCOMMFNDED FOR APPROVAL: M Jack Clulla Chief Technology Innovations Officer Information Technology Department 25E-5 EXHIBIT A SKU Component System User Typo Support Level* Count 1 _------------------------- EPM-BI-ADMIN _ Infor BI Prgfesslonal -PROD 3 NU XTP 2 TRNG EPM-BI-ADMIN Infor BI Professianal - TRNG 3 NU XTP 3 TEST EPM-BI-ADMIN Infor BI Professional -TEST 3 NU XTP 4 PROD EPM-BI- CONSUMER Infor BI Consumer - PROD 400 NU XTP 5 TRNG EPM-DI- CONSUMER Infor BI Consumer -TRNG 400 NU XTP 6 TEST EPM-BI- CONSUMER Infor BI Consumer -TEST 400 NU XTP 7 PROD EPM-BI-LW5 .. Infor Business bitelligence for Lawson - PROD Infor Business Intelligence for Lawson - TRNG In-.--B--—--- --__.- Ynfgr usiness — Intellig--ence for- Lawson - TEST Bsl Tax Factory 16 CPUCORE XTP _8 0 TRNG TEST EST PROD EPM-BI-LWS EPM-BI-LW5 HRM-BSIF 16 CPUCORF. XTP 16 CPUCORE XTP 10 2250 US XTP 11 TRNG FIRM -HUM Human Resources Packaye Human Resources Package E Recruiting Product Infor Learning Accelerator Desktop Edition 10 US XTP .._.._ 12 13 14 _ _____ TEST PROD PROD HRM-HUM HRM-176P LLT-LFlDESK ..._ 10 US XTP 2250 U5 XTP 300 NU XTP 15 _ PROD LLT-LAPRO .--------. _........ .. Infor Learning Accelerator Producer 2 NU XTP 16 PROD UPP-CRAS Crystal Reports App Server 1 CPUCORE XTP 17 TRNG UPP-CRAB Crystal Reports App Server 1 CPUCORE XTP 1$ ..._—___ TEST LT-- _......_.__._____—__.__,._—..______— Crystal Reports App Server 1 CPUCORE XTP 19 g _____ PROD UPP-CRASBP _al —Rep__._..__________— Crystal Reports App Server (Cpu) —2--- 2 CP XTP FXTP20 TRNG UPP-CRASBP i Crystal Reports App Server (Cpu) B&P 2 CP 21 TE57 UPP-CRASBP Crystal Repo s App Se er (Cpu).__ B&P ..—_—. 2r. _. CP XTP 22 _..__ PROD UPP-CRRBP ___.._---._.......__._-...__..._.__....._Plan-_.... Crystal Reports Dasiyner Bud & 1 NU XTP 23 ------ TRNG UPP-CRRBP _....-__._.._._.._...----'----�- -crystal Crystal Reports Designer Bud &Plan 1 NU XTP 24 TEST UPP-CRRBP Reports Designer Bud &Plan 1 NU XTP 25 PROD UPP-EFS _Crystal Framework Services Framework Services_ 100 SV XTP 26 TRNG_ UPP-EFS 100 SV XTP 27 _ TEST UPP-EFS Framework Services i00 2 SV CU XTP XTP 2$ PROD UPP-IA Information Access 29 _ TRNG UPP-IA _.._...-_...._.__..-.....-.._.._____—__ .. Information Access 2 CU XiP 30 TEST UPP-IA Information Access 2 CU XTP 31 PROD UPP-LBI-LEG Lawson Business intelligence (Cpu) 2 CP XTP 32 TRNG UPP-LBI-LEG Lawson Business Intelligence (Cpu) 2 CP XTP 33 TEST UPP-LBI-LEG Lawson Business Intelligence (Cpu) 2 CP XTP 34 -- PROD UPP-UP ----------- ........ ................_. Lawson Smart Notification For B & P 100 NU XTP 36 TRNG UPP-LSNBP Lawson Smart Notification For B & P 100 NU XTP 36 TEST UPP-LSNBP Lawson Smart Notification For B & P 100 NU XTP 37 TRNG UPP-LVPNC Lawson Viewpoint Embedded 3 _ NU XTP 3$ PROD UPP-SN Budget Integration/Notification 100 NU XTP .._._ 3g __...__.-_. TEST _ UPP-SN _—._-_.�__LL___..__......____. Budget tntegretfon/Notification 00 NU _ XTP _ 40 PROD LAU-MIG Migration Assistant~� 1 NU XfP 41 PROD BPP-PALI Infor Process Integration 12 CPUCORE XTP 42 PROD BPP-PFI ProcessFlow Integration 4 CPUCORE XTP 43 PROD BPP-PFPM ProcessFlgw Solution Perf Mgmt 500 CPUCORE XTP --.__-_._...... 44 PROD S3— F-FINPRO Infor Lawson Finandal Procurement - Pa.c ag_a .__.....___..----.._.._____.___ Financial Procurement Package Financial Procurement Package 34 NU —_.— XTP 4 —._.---- PROD S3F-FINPRD 45 NU XTP 46 TRW S3F-TINPRO 10 NU XTP 25E-6 TEST I S3F-FINPRO I Financial Procurement Lawson Project Accounting 54 TRNG S3F-MRBAC �'--- --. _._.. _— -- Project Accounting And BIII Rev 55 TEST S3F-MR13AC Project Accounting And BIII Rev - _Mgmt_ 56 PROD S3F-MRBACI Infer Lawson Project Accounting And BIII Rev Mgmt Inguiry__.................. 57 PROD S3F-REPNBP Reoortino Sew Sry Named B & P PROD I BPP-ERW I Environment - 4GI Writer PROD _I BPP-LSF I Lawson System PROP _ BPP-LSF I Lawson System TRNG BPP-LSF Lawson System BPP-MNC I NetExpress Compiler -PRODUCTION 111W11 TRNG BPP-MNX NetExpress Apo Runtime - PRODUCTION COLD BPP-MNX I NetExpress App Runtime - PRODUCTION TEST BPP-MNX NetExpress App Runtime - PRODUCTION 79 80 1 PROD MF COBOL Server Application Runtime - Windows MF COBOL Server Application aJmtimn - WiM.G Asitlon Center 10 NU� XTP 248 NU XTP 15 NU XTP 10 NU XTP 10 NU XTP 20 NU XTP 15 NU XTP 10 10 XTP too ENUXTP XTP 100 XTP I XTP 999 XTP So NU XTP 12 CPUCORE XTP 4 CPUCORE XTP 4 CPUCORE XTP 4 CPUCORE XTP 4 CPUCORE XTP -- 100 CPUCORE XTP 999 1 DV -ELT-XTP XTP .-..._..._.— 1 1 _.._......_.-. CL CU _.._ ..�..-_— XTP KIP 1 CU XTP w 110 CU XTP 10 CU XTP 110 CU XTP ­` 10 CU XTP 1 NU XTP I NU XTP 1 NU XTP 1 NU XTP 110 CU XTP 110 Cu XfP 10 CU XTP 1 NU XTP 1 NU XTP 1 NU XTP 5o NU XTP 1 DV XTP 60 NU XfP 100 NU XTP Licensee Initials: 5 25E-7 25E-8 Exhibit 2 This Time and Materials Services Work Order ('Work Order' or "Order" or 'SWO") is subject to all terms and conditions of the Software Services Agreement (or, if applicable, the Professional Services Agreement) between Infer (US), Inc. ("Infoi") and City of Santa Ana ("Licensee") with an Effective Date of 313/2008 (the "Services Agreement"). All terms of the Services Agreement are incorporated herein by this reference Capitalised terms not defined in this Work Order are defined in the Services Agreement. In the event of a conflict, the terms of this Work Order control over the terms of the Services Agreement. Effective Date of Work Order: date of final signature below Work Order Number: AGRA 2662 Prepared by: Lawrence Clovenstine EMJ2gLNams, Lawson Ad Hoc Consulting rintion of Services to be Provided Infer will provide ad hoc consulting services as requested by Licensee during the period beginning June 1, 2017 through May 31, 2020. This they include both functional and technical assistance. The estimated hours included in this Services Work Order are designed to be utilized by the Licensee on an as requested basis. The specifies of the services to be provided have not been determined, but will be discussed and agreed upon, prior to a resource being engaged. No specific deliverables defined. Any deliverabies, requested/provided would be, mutually agreed Upon i Any requirement(s) not specified in this Order will be addressed using the Project Change Control Process 2 Licensee acknowledges that any delays or changes caused by Licensee Licensees employees, equipment, contractors or vendors may cause an increase in the foes required Linder this Order, including without limitation, delays or changes due to the following: (a) change to or deficiency in the information which Licensee has supplied to Infer; (b) failure by Licensee to perform any of its responsibilities in a timely manner including the supply to Infer of resource, and information; or (c) an unanticipated event that changes the service needs or requirements of Licensee. Changes required to this Order as a result of any of the foregoing events will be handled using the Project Change Control Process. 3, For all services provided at Licensee locations, Licensee will provide office facilities to Infor personnel, This includes, but is not limited to, office space, desks, nolworked computers, secured filing cabinets if required, team meeting rooms, networked printers, photocopier, telephones, stationery, whitoboards, internet and remote VPN connection. Other Project Al&u—nigggirts and Obligations • Licensee will contact the Infer Project Lead assigned to schedule resources as projects are identified. • Infer will not provide services hours in excess of those set forth below without a mutually agreed upon and executed change order to increase the level of effort and estimated services and hours Page 1 of I CLM - 170302 25E-9 Resource Level Estimated Hours, Hourly Rate Estimated Fee 400.00 211.00 84,400M Grand Total 84,400.80 Currency US Dollar The rates and terms specified herein are only valid if this Work Order is signed by Licensee by 4128/2017. Estimated time and costs listed in this Order represent an estimate only, and actual project time and cost may vary from the estimates provided. All Services are provided on a time and materials basis. Billing and payment are not dependent or conditioned on delivery of deliverables contemplated herein or any other deliverables. Infor will invoice Licensee for all Services and applicable charges on a monthly basis, as Infer renders the services or Licensee Incurs the charges, as applicable. Fees do not Include applicable taxes, which will be added to each invoice. Licensee will pay each Infer invoice within 30 days of the date of invoice. This payment obligation is non -cancelable and the amounts paid are non-refundable. Travel and living expenses are not included in the rates or estimated fees stated herein, and are in addition to such fees. Overtime rates of 150% of the quoted rate apply for after hours and weekend work. "After hours work" is defined as services performed between 8;00 p.m. and 6:00 a.m. "Weekend work" is defined as services performed between 8:00 p.m. Friday and 6:00 a.m. Monday. Holiday rates of 200% of the quoted rate apply for all holiday work. Where a substantial variation from this Order is foreseen both parties must agree in writing to the additional work and amend this Order accordingly. LOCATIONS: Services may be provided at the facilities of Infer or its contractors, or at the Licensee sites listed below. A minimum of 112 day (4 hours) will be charged for all work at the Licensee's facilities Remote services provided via phone, facsimile or remote access to Licensee's site will be charged at the standard hourly rate. Un—e—n—saill—teAddrLsso ' 20 Civic Center Plaza Santa Ana, CA 92701 THE PARTIES have executed this Order through the signatures of their respective authorized representatives. Infer (US), Inc. Signatu ;L *,Z/ Printed Name Susan Emery Title: Director, Contracts Address 13560 Morris Road Alpharetta GA 30004 USA Signed Date April 3, 2017 City of Santa Ana Signature : Printed Name Title � Address 20 Civic Center Plaza 8th Floor Santa Ana CA 92701 United States Signed Date: Purchase Order Number: Ln_yo_Jq_0Mailing A( Ldress if different fronw, _ Company Name Page 2 of 3 CLM .170302 25E-1 0 Contact Name: Address: Phone: Email Address: INTERNAL USE ONLY Primary Product: S3 Financial Products ICS Approval ID: AGR12662 Existing Project ID: Existing Project Manager Opportunity 10: OP-02309852 Internal ll): Approved as form Attest Recommended for Approval Jn M. Maria D. Huizar J k Clulla oq Assistant City Attorney Clerk of the Council Pef Technology Innovations Officer Page 3 of 3 GLM 170302 25E-1 1 25E-12 Exhibit 3 Order Form As it relates to the Component Systems specified herein, this Order Form is subject to the terms of the Software Customer Agreement Master Terms and Conditions between Infor (US). Inc, ("Infor") and City of Santa An ("Licensee') with an effective date of 3/3/2008 (the "License Agreement"), As it relates to Support forthe Component Systems, this Order Form is subject to theapplicable terms of the License Agreement (to the extent it concerns Support) or, if Support is the subject of a separate Support agreement related to the License Agreement, the terms of such Support Agreement (the "Support Agreement"), The License Agreement and related Support Agreement (if any) are referred to herein as the "Agreement". All terms of the Agreement are incorporated herein by reference. Capitalized terms not defined in this Order Foram are definedin the Agreement. In the event of conflict, the tenns of this Order Form control over the terms of the Agreement. In the event the capitalized terms in this Order Form differ from the terminology used in the Agreement, references herein to: "Component Systems" means the software products that are being licensed (and may be referred to in the Agreement as Products, Software Products, Software, Programs or Licensed Programs); "Support" means Infor's current standard maintenance and support services (and may bereferred to in the Agreement ns Maintenance and Support, Annual Support, Support Services, On -Going Support or One Point Support); "Order Form" means a mutually agreed upon ordering document (and may be referred to in the Agreement as Schedule, Supplement or Supplcnncu(al Schedule); "User Restriction" means the license restriction applicable to the Component System in addition to any license restrictions in the Agreement; "Annual Escalation Percentage Cap" means the maximum percentage increase in the annual Support Fee on an annual basis. In addition, based on the applicable Agreement, listed Component Systems herein owned by a third party may also be referred to in the Agreement as "Additional Software" or "Third Party Software". Conmonent Systems PROD: Santa Ana i Part It Component Systems User Restriction* Support (if applicable) Level** Quantity Type 1 S3F-MRBAC later Lawson Projcct Accounting 5 NU XTP 2 S3F-FINPROI � _ brfor Lawson Financial Procurement Package Inquiry 15 W M7 XTP _ Total License Fee: $7,750.00 * If specified in the User Restriction field: "NU" = Named Users - Allows access to the Component System up to the stated maximum number of individual named users, irrespective as to whether any such user is actively logged on to the Component Systems at a given point in time; The Licensee agrees to assign to each Named User a unique identification profile, It being agreed that to the extent Licensee uses generic user profiles as a means to access the Component System, each separate log -on accessing the Component System will be counted as a separate user. ** Support Level: Descriptions of the Support levels can be found at http://www.iDfo'.rom/content/brochureslinfoixtremcsupl)ortplanfentures.pdF/. 'XI" ", Infor Essential (24x5) / "XTP" = Infor Premium (240) / "XTE"== Infor Elite (240) Plus 11. Support Services Additional Annual Support Fee: $1 550.00 Annual Escalation Percentage Cap (effective after the Initial Term): 3%through the Committed Term of Support; thereafter 6% or the then -current year -over -year increase in the Consumer Price Index (CPI'-U), whichever is greater. Order Form (CPQ-English-US May 2016) OP-02026002 CSB SQB042241_1-1 v2 4/3/2017 Page 1 of 3 25E-13 Initin] Term of Support: Anrii 19. 2017 through May 31. 20t8. Fee for Initial Term of Support : $1,732.60 Committed'ferm of Support: April 19, 2017 through May 31, 2020 Total Amount Due (before applicable taxes): Payment Terms: Payment is due within 30 days of Order Form Date. Equipment (on which Component Systems will he installed): Computer Platform: Model: Operating System: DBMS: Serial Number: $9,482.60 Unless otherwise specified all amounts are in United States Dollar. Currency: USD Licensee Accord ID: 2149-L Infor GL ID: USOAB Account Executive Name: Kristin Perkinson Location where equipment is located (if blank, the Delivery Address shall be the licensed Equipment location): Delivery Address: Invoice Address: City or Santa Ana City of Santa Ana 20 Civic Ccuter Plaza 20 Civic Center Plaza M-42 iM-42 Santa Ana, CA 92701 Santa Ana, CA 92701 USA USA. Contact Name: Milanka Radio Contact Name: Melan to Torres Contact Title: Principal Programmer Analyst Contact Title: Accounting Assistant Contact Phone:714-647-5256 MT Contact Phone:714.647.5373 Contuet omail: mradic@saata-aaa.org Contact email: mtorres(n)santa-ana,org 111, Additional Terms Parties agree that no shipment shall be required for Component Systems previously licensed to the Licensee. For any new Component Systems licensed herein, Delivery shall be FOB Shipping Point. Licensee's purchase of the licenses specified herein is not contingent or dependent upon the provision of any consulting services Licensee may choose to purchase from Infor contemporaneously with this Order Form or in the future. As of the Effective Date of this Order Form, the Support renewal of Licensee's previously licensed Component Systems) is pending. Licensee hereby consents to the renewal. of Support services for such Component Systems) and irrevocably agrees to pay the corresponding fees. Nan-paymont of these fees wilt entitle Infor to suspend Support for the Component Systour(s) licensed herein until such payment is received. No changes or modifications of any kind to this Order Form shall be accepted after execution unless signed in writing by both parties Any purchase order or similar document (other than a mutually executed and delivered Order Form) that may be issued by the undersigned Licensee in connection with this Order Form does not modiry this Order Form or the Agreement to which it pertains. No such modification will be effective unless it is in writing, is signed by each party, and expressly provides that It atrends this Order Form (m as applicable, the Agreement). Order Form (CPO-Engllsh-US May 2016) OP-02025002 GSB SQ130422411-1 v2 4/3/2017 25E-14 Page 2 of 3 For U.S. Government entities, the following restricted rights clause applies: This Component System is a `commercial component," as this term is defined in 48 C.F.R. 2.101, consisting of "commercial computer software" and `computer software documentation,' as such terms are defined in 48 C.F.R, 252.227-7014(a)(1) and 48 C.F.R. 252.227-7014(a)(5), respectively, and used in 48 C.F.R. 12.212 and 48 C.P.R. 227.2702, as applicable, and all as amended £roantime to time. Consistent with 48 C.P.R. 12.212 and 48 C.F.R. 227.7202, and other relevant sections of the Code of Federal Regulations, as applicable, and all as amended from time to time, all U.S. Government entities acquire this Component System only with those rights set forth in the license agreement accompanying this Component System. Use, duplication, reproduction, or transfer of this commercial software and accompanying documentation is restricted is accordance with FAR 12.2t2 and DFARS 227.7202 and by a license agreement. By signing this Order Foray Licensee represents and warrants that it has obtained all necessary authorizations and approvals including, but not limited to, appropriation of funds and budget approval. i. The Support Fee and Annual Escalation Percentage Cap set forth above shall apply only to the Component Systems and number and types of users set forth above. If during the Initial Term of Support, or at any time during the remainder of the commitment period, Licensee licenses additional Component Systems and/or uses, or reinstates Support for any previously licensed Component Systems and/or users, the Support Fee will increase according to Infor's then -current applicable rates and policies. li. The parties agree the Support Fee and Annual Escalation Percentage Cap specified above is offered by Infor solely in reliance upon Licensee's commitment to renew annual Support through the Committed Tenn of Support which will be invoiced in advance of each annual support renewal period. The support period specified'berem is a binding tern, and Support may not be canceled during this time. If Licensee fails to pay Infor any portion of the Support Fee when due for any reason whatsoever, then, in addition to other remedies Infor may exercise, Licensee shall be immediately invoiced for, and shall be obligated to pay to Infor the Support Fee for the entire commitment period, with Infor-standard annual increases applied, as liquidated damages and not as penalty, less any amounts previously paid by Licensee for the Support fees due hereundar, The parties agree this amount is a fair and reasonable estimation of Infor's damages in the evert Licensee breaches its obligation to maintain Support through the commitment period. Effk;ctive date of this Order Form: April 19 2017 (the "Order Donn Date"), to be completed by Infor upon countersignature. THE PARTIES have executed this Order Form through the signatures of their respective authorized representatives. for:-LrfnyjUl ,lno. Signature Typed at, Printed Name Date APPROV ED AS TO FORM: Sonia R. Carvalho City Attomey 1 Jahn A. Funk Assistant City Attorney RECOMMENDED FOR APPROVAL: Jack Ciulla Chief Technology Innovations Officer Information Technology Department for: C1t�of Santn Ana (Licensee) Signature Gerardo Mouet. Typed or Printed Name Actin City Manager Title A1TEST: Maria D. Huizar Clerk of the Council Order Form (CPO -English -US May 2016) OP-02025002 GSD SO13042241. 1-1 v2 4/3/2017 Page 3 of 3 25E-15 25E-16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: AGREEMENT WITH CIVICREC FOR ACTIVITY REGISTRATION AND SITE RESERVATION SOFTWARE (STRATEGIC PLAN NO. 5, 6C) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with CivicRec for activity registration and 'site reservation software for the period April 19, 2017 to November 30, 2017, for installation, for a cost of $22,000, which includes a 10% contingency, and a period of three years from December 1, 2017 to November 30, 2020 with two, one-year renewal options, for on -going maintenance and support, for a cost of 1% of transactions with an amount not -to - exceed $15,000 per year for a total amount not -to -exceed $97,000, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The City utilizes a software application to process recreational class registrations and facility reservations for its athletic fields, recreation centers and senior centers. The current system was purchased over 10 years ago at a cost of approximately $69,000, and an average yearly cost of about $10,000-$11,000 for maintenance and support. This software will be obsolete in December 2017. The continuing demand for these services requires an efficient, reliable system for processing and monitoring, as well as for public convenience. The Parks, Recreation and Community Services Agency (PRCSA) issued a Request for Proposal (RFP) in January 2017. An evaluation committee consisting of three representatives from the PRCSA, one representative from Finance - Treasury and one representative from Information Technology evaluated software options. Four proposals were submitted. The evaluation criteria consisted of: Experience, Understanding, Ease of Use, Implementation, Fee, and Technical Attributes. The results are as follows: 25F-1 Agreement with CivicRec for Activity Registration and Site Reservation Software April 18, 2017 Page 2 Company Score CivicRec 412.0 DashPlatform 401.5 Active Network 375.0 PerfectMind 356.5 PRCSA is requesting to enter into an agreement with CivicRec for $22,000, which includes a 10% contingency for implementation costs. The on -going maintenance and support of the software is based on the number of transactions, with the base percentage per transaction at 1 %. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #6 (Focus projects and programs on improving the health and wellness of all residents), Strategy C (Integrate a variety of health and wellness programs into existing programming at each of the city's community/recreation centers (e.g. Develop equitable health access points)). FISCAL IMPACT Funds are available in the following account for the specified years: Accounting Unit FY 17/18 FY 18/19 FY 19/20 FY 20/21 FY 21/22 FY 22/23 PRCSA-Recreation (no.01113230-62300) $30,750 $15,000 $15,000 $15,000 $15,000 $6,250 Jeannie Jurado Acting Executive Director Parks, Recreation and Community Services Agency Exhibit: 1. Agreement APPROVED AS TO FUNDS AND ACCOUNT: r Francisco Gutierrez r Executive Director Finance and Management Services Agency 25F-2 CONSULTANT AGREEMENT THIS AGREEMENT is made and entered into this 19t" day of April, 2017, by and between CivicPlus, Inc., a Kansas 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. The City desires to retain a consultant having special skill and knowledge in the field of activity registration and site reservation software including maintenance and support (CivicRec). 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 its Proposal, attached hereto and incorporated herein as 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 the Pricing Schedule attached hereto and incorporated herein as Exhibit B. The total sum to be expended under this Agreement for installation (from April 19, 2017 through November 30, 2017) shall not exceed $22,000 which includes a 10% contingency. b. Thereafter, from December 1, 2017 through November 30, 2020 (plus any renewal periods) Compensation shall be at a cost of 1% per net transaction with an amount not to exceed $15,000 per year ("Cap") for on -going maintenance and support. The total amount for the entire Agreement Term including the renewal options shall not exceed $97,000. C. City shall notify Consultant in writing when ninety percent (90%) of the Cap has been reached at any time during the Term of this Agreement. It is agreed that upon reaching the ninety percent (90%) threshold mentioned above, the Parties shall meet to discuss amending the Agreement to increase the Cap in order to cover the services for the 25F-3 remaining Term of the Agreement. If no agreement can be reached between the parties regarding an amended Cap prior to provision of services with an aggregate value equal to the Cap, then this Agreement may be terminated upon written notice. d. 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 November 30, 2020, with two (2) additional 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. S. 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 25F-4 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. 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. 25F-5 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 direct or indirect 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. 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 25F-6 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 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 Copies to: Executive Director — Parks & Recreation Services Agency City of Santa Ana 20 Civic Center Plaza (M-23) P.O. Box 1988 Santa Ana, California 92702 Phone (714) 647-4220 25F-7 EEO City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.C. Box 1988 Santa Ana, California 92702 Fax 714- 647-6515 Consultant: CivicPlus, Inc. 302 South 4t' Street, Suite 500 Manhattan, Kansas 66502 Fax (785) 587-8951 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. 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 25F-8 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. INTELLECTUAL PROPERTY AND OWNERSHIP Intellectual Property of any software or other original works created by Consultant prior to the execution of this Agreement ("Consultant Property") will remain the property of Consultant. City shall not (i) license, sublicense, sell, resell, transfer, assign, distribute or otherwise commercially exploit or make available to any third party any Consultant Property in any way; (ii) modify or make derivative works based upon any Consultant Property; (Ili) "Frame" or "mirror" any Consultant Property administrative access on any other server or wireless or Internet -based device; or (iv) reverse engineer 25F-9 or access any Consultant Property in order to (a) build a competitive product or service, (b) build a product using similar ideas, features, functions or graphics of any Consultant Property, or (c) copy any ideas, features, functions or graphics of any Consultant Property. 20. MISCELLANEOUS PROVISIONS Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. (Signatures on Following Page} 25F-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: i LISA STORCK Assistant City Attorney RECOMMENDED FOR APPROVAL: CITY OF SANTA ANA GERARDO MOUET Acting City Manager CONSULTANT JEANNIE JURARDO BY: Acting Executive Director TITLE: Parks & Recreation Services Agency Tax ID# 25F-11 EXHIBIT A PROPOSAL / SCOPE OF SERVICES 25F-12 _"r h a�5 Executive Summary m We realize this is a competitive situation and ask that you keep the following points in mind as you evaluate potential technology vendors: ■ CivicRec is a fully mature product; it is not a "framework" or "toolkit" or "vaporware". ■ We do not believe any of our competitors can match the nimble, modern, and affordable solution that is CivicRec. Review sites like Capterra.com are a good testament to this. ■ We have a track record of not only supporting our product, but also evolving it, so it consistently stays at the forefront of design, usability, and capability. Please compare the CivicRec solution it to other products out there so you get a sense of not only what it does, but also how it feels. _..............................._.........,.....................,...,..._...............,_,..,.......................... ....... .._..... ■ Our solution is specifically developed for parks and recreation. CivicRec is not a product that has been adapted from some other industry, _..._.............._....................._................................ .................,..................................._.,..........._... ■ We will work with you closely to ensure your implementation meets Santa Ana's business requirements. ■ In order to keep our products fresh, CivicRec encourages our clients to submit product enhancement requests through an online ticket tracking system. We regularly accept and incorporate client feedback, which benefits our entire user base at no cost. ■ All modules are available to all clients all the time at no additional cost. _....,.....,._......................._..,.............. .............. .__............. ® All software updates (product enhancements) are available to all clients at no additional cost. You will always have brand new software! CivicRec software is ready for immediate use by our clients. In addition, multiple product enhancements are released every year to continually develop and improve the product as a top priority. We want both our customers, and our customers' customers (the public), to experience a product that feels clean, is powerful, is actively managed, and is well -supported. q 25F-14 Proposal Clients and Experience EXPERIENCE AND CAPABILITY m CivicRec is a fully mature product with hundreds of implementations at departments of all sizes. a CivicRec is not a product that has been adapted from some other industry. Parks and recreation has been our sole focus for the past ten years, and we have implemented hundreds of best practice product suggestions from the parks and recreation user community. n Our solution is web -based, hosted, and PCI cornpliant. ® There is nothing for the City to install - no software or hardware. ■ Our implementations are fast (-12 weeks but can be accelerated, if desired). • Our pricing model is very simple, and we do not charge extra fees for support or maintenance. • We provide a monthly release. Our solution is an SaaS solution and there are no additional upgrade fees. All software updates are available to all clients, every month. The City will always have brand new software! CALIFORNIA CLIEN'f5 • Big Bear Valley Recreation and Park District, Big Bear Lake a City Of Alhambra - Community Services Department m City of Anaheim ■ City of Arcadia e City of Beverly Hills a City of Cyprus ® City of Kerman Recreation & Community Services o City of La Mirada Community Services n City of Laguna Beach s City of Lake Elsinore m City of Martinez, Martinez • City of Ontario Recreation & Community Services a City of Pittsburg • City of Porterville Parks & Leisure Services e City of Santa Clarita ® City of Temecula w Crafton Hills College, Yucaipa m Del Norte County Recreation, Crescent City • Easton Archery Center of Excellence, Chula Vista ■ Easton Van Nuys Archery Center, Van Nuys ® Elings Park, Santa Barbara ■ Joshua Tree Recreation and Park District s Kensington Community Council n LA Mavericks, Agoura Hills e Monterey Peninsula Regional Park District, Monterey • Mountain House Community Services District ® Rim Of The World Recreation and Park District, Rimforest ® Sacramento County Regional Parks n Tehachapi Valley Recreation and Park District ® Town of Moraga ® Tuolumne County Recreation Department, Sonora ® Union City a Valley Wide Recreation & Park District, San Jacinto m Wasco Recreation and Parks District 12 25F-16 Company Overview CivicPlus' focus to help local governments work better and engage their citizens through their web environment began In 1994 in Manhattan, Kansas by the Owner, Ward Morgan. Icon Enterprises d/b/a CivicPlus became a Kansas Corporation in 1998 and we are still headquartered in this vibrant university town where our team of over 200 professionals develop and deliver superior web technology, human resources efficiency and emergency mass notification solutions for our clients. We've steadily grown over the last 20+ years and have honed our skills working with municipal organizations across the US and Canada - helping them streamline their daily work and better inform and connect their communities. CivicRec, a CIVICPILIs company, has 10+ years of experience and is designed specifically to meet the needs of municipal parks and recreation departments. CivicRec strives to provide recreation departments and their customers (the public) with a modern, intuitive interface that is powerful, well -managed, and actively supported. Our parks and recreation software has been implemented using hundreds of best practice product suggestions from numerous districts and departments from across the country. Ultimately, CivicPlus is a company that's about amazing people doing amazing things. CivicPlus continues to implement new technologies and services to maintain the highest standards of excellence and efficiency for our clients, their 55,000+ internal users and the 60 million online visitors (and counting!). CivicPlus also offers solutions to meet your website, human resources and mass notification needs. COMPANY & CONTACT INFORMATION Will Spicer Contact Information Sr Regional Sales Manager Primary Office spicer@civlcplus.com Direct Line 785-323-4772 Legal Name CivicPlus, Inc. Company Founder Incorporated In State of Kansas Date Incorporated Company Website www.CivicPlus.com Purchasing Vehicles 14 302 S. 4th Street, Suite 500 Manhattan, KS 66502 Toll Free 888-228-2233 Fax 785-587-8951 Ward Morgan, Owner / Chairman of the Board June 1998 GSA Contract R GS-35F-0124U TIPS/TAPS Contract 8 2092613 CMAS Contract # 3-13-70-2966A Interlocal Purchasing 25F-17 Organization Chart Ca The proposed services will fit seamlessly into our time -tested development and support processes. As a company that focuses solely on providing goverment entities with web solutions, we know we can provide the Agency with the recreation management system you are looking for. 15 Tim Grant Director of Sales Mark Friesen Director of Marketing 25F-18 L-U Landon Schenck — General Manager of CivicRec Landon has over 20 years of software development experience, including developing the CivicRec software from the ground up. Landon manages CivicRec product strategy and overall vision for CivicRec and also continues to personally engage with larger customers during their implementation process. Education Resume BBA Management Information Software Developer Systems General Manager of Recreation Software 20+ Years of Experience IT Consulting Product Design & Developement Custom Software Development Adam [clock — Manager of Project Administration Adam leads our project management team. This team oversees inter -departmental and client interactions assuring that your project will be developed in a timely manner by professional website experts. Education BS Business Administration Management Economics Resume Lead Project Manager Financial Services S+ Years of Experience Project Management Business Management Team Building Customer Service Amanda Felber - Assistant Manager of Content Development Our expert content developers' goal is to migrate and arrange content for usability that exceeds the. expectations of citizens and local government. Amanda's content development team strives to deliver a website on schedule that is easily understood, ADA compliant for Section508 and WCAG Level A & AA, and can be efficiently maintained. Education Resume 7+Years of Experience BA in Psychology Content Developer II Customer Service Minor in Writing Lead Content Developer Team Building Coursework in Editing, Business, Leadership Coaching and HTML WCAG/ADA Compliance Web Best Practices for Usability Jim Flynn — Chief Systems Architect Jim coordinates and manages our in-house experts on the technical aspects of your project development. Jim also leads our hosting and security services to ensure your systemis safe, maintained, and remains updated. Education Resume 18+Years of Experience BA Computer Information System Architect Cyber Security Systems Information Technology Director Network Infrastructure System and Software Architecture Jim Steffensmeier— Manager of Training and Consulting From consulting services to content development to technical specifications, our consulting and training department will assist you in developing the right message in the right way by the right team. He will coordinate his team of professionals to deliver the consulting and training services you need to achieve success. Education Resume 10+Years of Experience MA in Education/Adult Education Training Customer Service & Training Consulting Best Practices & Website BS in Psychology Optimization AA In Business Management US Army Veteran IV 25F-19 CivicRee RMS Recreation Management Software CivicRecunderstands the City of Santa Ana is seeking a fully hosted RMS to provide your staff and customers with the greatest service in the industry. The City wants to provide its citizens with excellent customer service both in person and online with the use of a RMS that controls daily recreation program administration and registration, facility and field reservations, and payment processing and reporting. We will provide Santa Ana with an integrated web -based, hosted application recreation management system that is comprehensive, efficient, and modern. In addition, CivicRec, is fully scalable to allow for future growth and is easily deployed to all functional areas of the City of Santa Ana. Activity Registration Modules ACTIVITY REGISTRATION Quickly create programs, indicate flexible pricing, attach waivers and prompts, and assign instructors. Then, easily take registrations in-house or allow your public to register on the device of their choice, including mobile. Our software utilizes load balanced servers and can be scaled to accommodate any volume. a Register multiple household members at once a Resident/non-resident determination ■ Merchant account integration w Branded receipts * Receipts and permits emaiked after checkout ■ In-house Staff (with permissions) can alter fees, pro -rate, and leave balances n In-house payments can be spread across multiple payment types Registrations accepted securely through the web c Online registration page styled to match department website • Social networking integration m Pay balances online 19 25F-21 M Site Reservation FACILITY RESERVATIONS All facility functions in CivicRec are completely integrated. Generate and email complex permits, schedule programs, take in-house and online reservations, and schedule leagues and meetings... all without fear of double bookings! Grid views and map based bookings also make campsite reservations a breeze. • A master calendar gives client staff a quick and easy way to view facility availability • Rentals or admin reservations • Reservations for scheduled activities such as head -to -head league games • Waivers, prompts, and forms • Recurring bookings • Quickly adjust rentals R, • Easy refundable deposit tracking k a 20 25F-22 Financial Reporting/ Financial Interface FINANCIAL REPORTING /ACCOUNTING Syste m c, CivicRec has a very powerful reporting engine. There are dozens of standard reports in CivicRec. However, staff can basically take any report and customize it to their liking. Filters can be added and/or removed. Fields can be added and/or removed. Reports can be sorted, saved, emailed, exported, or scheduled for regular delivery to any email address. CivicRec will gladly take any reasonable reporting request from the City and ensure that it is made available as requested. • Over 100 canned reports ® Completely customizable filters and report fields ■ Export to Excel ■ Quick email capabilities for displayed reports a Custom report saving for future use m Scheduled reports for email delivery to any email address at any time FINANCIAL SYSTEM INTERFACE We can produce an extract that adheres to Tyler's Eden import specification, which should allow you to import the file directly into Tyler. We can also configure the extract to be called via web service in the event the City of Santa Ana wants to script an automatic import process. 21 25F-23 Online Registration and Payments CP ONLINE ACTIVITY REGISTRATION CivicRec strives to have the most user-friendly registration experience on the market. Our pricing model (transaction based) demands that we do! e Registrations accepted securely through the web ■ Registration page styled to match department website ® Register multiple household members at once • Social networking integration r Pay balances online ® Present users with waivers and prompts ■ Merchant account integration ■ Branded receipts a Receipts and permits emailed after checkout POIN'r OF SALE CivicRec's Point -of -Sale screen makes it easy for staff to quickly sell merchandise, enroll participants, and reserve facilities — all in the same cart! It even plugs right in with your cash drawers, barcode readers, receipt printers, and credit card readers. Integrated inventory control will tell you how many of each item are available at each of your locations. ® Manage product categories v Flexible pricing ■ Touch screen friendly r Cash drawer and receipt printer interface * Inventory management (on roadmap) ® Single checkout experience with program registrations and facility rentals WA ■ Multi -level tax support a Tax can be included in the price or tacked onto total 4 Inventory management 25F-24 Additional Functionality MOBILE FOR YOUR PUBLIC AND YOUR STAFF When users register through CivicRec, they get the same great experience on their phone/tablet that they're used to experiencing on their desktops. The mobile experience supports all the same waivers, prompts, discounts, and add-ons that the desktop version does. We always try to adhere to industry standards to ensure access by all customer populations. m Mobile Responsive a No annoying app update or installation ® Social networking integration a OR Code Support 23 25F-25 Credit Card Processing CP MERCHANT OPTIONS / CREDIT CARD PROCESSING CivicRec has multiple credit card processing options. The City may elect to have CivicRec serve as the merchant of record for credit card processing. Santa Ana may elect to use its own merchant account, in which case, CivicRec can be integrated. If the City desires its own merchant account, but needs to shop for a new one, CivicRec can provide a reference to our well -regarded processing partner. 24 25F-26 Project Schedule Schedule Provided is an illustrative development timeline for the City of Santa Ana. Our average implementation timeframe is 12 weeks. If the City has implementation, training, or integration needs that require a longer timeframe, we're happy to adjust accordingly. No two customers have the exact same schedule. Factors like "all -in" versus a "scaled rollout" approach, not to mention Santa Ana's own scheduling needs, will factor into the final implementation schedule. Interface/Data Requirements Gathering Module Configuration/Basic Account Setup Integration Development End User Training System Testing/Issue Resolution Go Live i CivicRec can begin Project Initiation as soon as contract signature is complete. The start date is driven by the City's preference, and we can add specific dates to our 12-week project plan when the City of Santa Ana confirms a start date. A CivicRec implementation is not complicated with our comprehensive base products and minimal customization requests. We can accommodate more advanced customization requests, but such requests may extend your implementation schedule. 27 25F-28 Project Approach APPROACH A Project Manager will be assigned to the City to ensure that milestones are met, staff are trained, issues/considerations are addressed, and that Santa Ana has a painless startup process. CivicRec implementations are typicaly straightforward. However, if a client wishes to incorporate custorizations prior to initial launch, your Project Manager will be there to help you at any point. Please note that customizations may extend the implementation timeline. A Solution Consultant will be available to work with the City of Santa Ana on implementation activities. Your Solution Consultant will drive the end -to -end implementation process and will conduct training both for lead staff and frontline staff. A detailed Project Plan will be utilized by your Solution Consultant to facilitate project activities and track milestones. The Project Plan will outline the type of activity, the purpose of the activity, the resources required for the activity, and any associated documents specific to the activity. EXAMPLE PROJECT PLAN The following Project Plan for the Kick-off Phase is provided as a sample. We will be able to disclose a complete and more detailed project plan upon selection as a finalist. ACTIVITY PURPOSE RESOURCES DOCUMENTS Task Communicate tasks necessary in preparation for Kick-off Meeting/ a Introduce Project Teams Call a Define Roles m Review Statement of Work Meeting/ m Review Draft Project Timeline Call N Establish Onsite Training Dates CivicRec PM CivicRec: Kick-off Checklist CivicRec PM Client PM CivicRec PM CivicRec: Project Client PM Plan 28 25F-29 Project Approach DATA MIGRATION At the City of Santa Ana's request, CivicRec can convert content from the City's current database, including accounts with credits, accounts with balances, future bookings, and active memberships. We have a number of custom developed scripts and libraries that we leverage for data imports. The amount of effort is dependent upon the type of data (e.g., user data imports are typically straightforward, yet historical transactions are often time consuming to import). After a more detailed discussion with the City, we can recommend options for extracting and saving data from Santa Ana's current database. INTEGRATION DEVELOPMENT There are several integration capabilities that the City may choose to leverage: a CivicRec can provide integration to Santa Ana's selectedpayment gateway (for credit card processing). Additionally, we can also produce a GL extract compatible with the City's financial system. We have interfaced with a number of different systems and are confident that we can produce a file compatible with yours. ® Finally, the City of Santa Ana may opt to have CivicRec integrate with its GIS system for purposes of local resident determination. TRAINING PLAN We recommend a train -the -user approach in most cases with hands-on training for participants. Users learn the system much more quickly when they're entering actual data during the training sessions. CivicRec offers limited remote training as well as onsite training. Remote training is typically better suited to smaller or seasonal groups...or maybe as a refresher session to larger groups. Groups with diverse operations and large numbers of employees, such as the City of Santa Ana, would be better suited for onsite training. Two days of on -site training conducted over one trip to Santa Ana is estimated for this project. The specific training plan will be customized to meet your specific needs. We typically break training up by our modules (Registration, POS, Rentals, Reporting, etc.). Sometimes a client may instead ask for training according to job role, which can easily be done. Classes with more than 20 users tend to lose their effectiveness. We will also make sure any of your last minute questions are answered before Go Live. Note: We do not offer system administrator training as that is handled by CivicRec as part of our service. 29 25F-30 SYSTEM TESTING/ISSUE RESOLUTION CivicRec is ready to go off -the -shelf. In some situations, our clients have asked for either software enhancements or for Custom code specific to their needs. If customizations are requested (note: an additional fee may apply), then we will work with you to fully understand your requirements prior to beginning work. If the City wishes to test the custom code changes, then we will provide a testing environment in which you can review the new functionality and provide sign -off prior to moving the code to production. TRANSITION TO PRODUCTION During the 12-week implementation period, Santa Ana and CivicRec will work together to import and/ or configure production data, develop and test integration to third party systems, and complete system training with your lead and frontline staff. The City will also have begun your marketing promotion for the new site and online registration. During Week 12, CivicRec will complete a final data import (if required) and Santa Ana will ensure the site is fully configured and ready for launch. Once the City has indicated a Go for launch, you will place a new link on your site which will redirect your customers to CivicRec. During this time, CivicRec is available to be on site with you or can be available remotely for immediate assistance should the City of Santa Ana desire. 30 25F-31 Pricing Overview To clarify our pricing, we offer the following overview of our cost structure. PRICING MODEL CivicRec utilizes a transaction -based pricing model of 1%per net transaction. Customers are invoiced at the end of each month for the prior month's net transactions. If desired, CivicRec can also consider alternate pricing structures. The City of Santa Ana may prefer to negotiate an annual fixed fee that approximates 1%of net annual transactions. Or, the City may prefer fixed monthly payments or may prefer to establish a cost structure where fees are passed along to end users in the form of Convenience Fees, LICENSES/USERS All customers on the CivicRec system receive the entire system with no licenses to purchase or update. CivicRec does not price per -user. There is no price increase or limit to concurrent users. MERCHANT PROCESSING Customers do have the option of using their own merchant account if they choose. For departments that do not have an existing merchant account, there is an option for CivicRec to collect and disburse all credit card monies. A Percentage + Transaction Fee (3%+ $0,30 per transaction) applies. This fee is assessed separately from the software fee of 1%. Convenience fee options are also available for passing along merchant fees. PROFESSIONAL SERVICES INVOICING Professional services are invoiced separately from Software/Merchant invoices. Santa Ana will not owe any money for solicited services until the services are certified to have been completed in full. INVOICING Unless contracted otherwise, CivicRec invoices on a monthly basis. On the first of each month, CivicRec will initiate an electronic invoice that includes Software Fees (based on the prior monthi s Net Revenue) and also Merchant Fees (if applicable). Standard payment terms are Net 30. HARDWARE CivicRec does not sell hardware but will happily work with the City of Santa Ana to identify and procure hardware that is known to be compatible with the CivicRec system. 36 25F-32 Technical Attributes CP Is your product offered as a hosted or on -premise solution? CivicRec is cloud -based and utilizes a transaction -based pricing model. There are no minimum requirements to run CivicRec. It's cloud -based and simply requires a reasonably modern PC with internet access. We recommend running it on a high speed internet connection. Will the City own a perpetual license to the software? Yes. During the lifetime of the contract, CivicRec will handle all server -side maintenance, backups, replication, PCI compliance, fixes, patches, and software upgrades. All maintenance, hosting, and product upgrades are included at no additional cost beyond the net transaction fee per month. Will the City own and have direct access to the database? Yes. Does your firm provide the ability to export the database for the City to archive locally? Yes. Does your product have pre -built API's for integration with other systems? Yes. Does your firm provide development, testing, and production environments? Yes. We would like to offer the City of Santa Ana the opportunity to access a CivicRec sandbox environment so the City can trial the product during the software evaluation process. The sandbox will mirror the production environment and will include all CivicRec capabilities. It's important that the City understand exactly what you're getting prior to signing up. We can also offer the assistance of a CivicRec Solution Consultant during this period to ensure you are getting the most out of the sandbox. How are updates and patched applied to the system? CivicRec currently utilizes a monthly release schedule. The City of Santa Ana can expect to receive an average of one new feature per month. We also try to release a new major module quarterly. If bugs are identified, those are "hotfixed" into production and do not await our standard release dates. What are yopur support levels and hours? CivicRec has formalized support procedures that involve the following Tiers: Tier 1: Simple usability issues and 'How do T questions Tier 2: Complex functional questions Tier 3: Technical issues During regular support hours, we try to have at least six resources available across all tiers. Staff range in experience from 1 to 5 years of supporting the CivicRec product. There is an escalation procedure that is followed by all staff from the initial reception of the issue to its successful resolution. Communication is maintained with the Client throughout the process. 38 25F-33 Technical Attributes Ca Does your product support Active Directory/ LDAP integration for single sign -on? CivicRec is currently developing Active Directory integration. This feature will be made available to the City once it is released. Professional service fees may apply for Active Directory implementation. Does your system provide SSL encryption? Yes. An SSL cerfiticate can be provided if needed. Does your product support a browser -based client? Yes. Does your system support the leatest versions of Microsoft Internet Explorer, Microsoft Edge, Google Chrom, Firefox, and Apple Safari? Yes. Does your system require and browser plug -ins? No. Does your system utilize HTML5? Yes. Does your system's user interface provide a responsive design for adjusted layouts on mobile devices? Yes. 39 25F-34 Technical Support CP Support CivicRec is an internet-based; fully hosted software solution. We will handle all of the server -side maintenance, backups, replication, PCI compliance, fixes, patches, and software upgrades. All maintenance, hosting, and product upgrades are included at no additional cost within the net transaction fee per month. CivicRec processes standard support requests from 9am-6pm Eastern, Monday -Friday (excluding holidays). Emergency support is offered 24/7. A toll free number will be provided to you upon contract signing at no cost. We also offer an online support system for users to submit software issues or requested enhancements. For emergencies, users may either call CivicRec or enter an emergency ticket into the system. Emergency tickets include any CivicRec issue that is causing a disruption to your ability to use our system (Le., the website is down). These issues are addressed immediately. Additionally, CivicRec is available to be on site with you when needed (travel expenses may be incurred). CivicRec also maintains a product Knowledge Base where users can review articles and can get tips on best practices. The Knowledge Base is also where we store Release Notes and PCI certificates. 41 25F-36 Features & Functionality Hardware The City may opt for a variety of hardware peripherals to enhance the CivicRec experience. CivicRec can be integrated with magnetic stripe readers, barcode readers, thermal printers, cash drawers and more. While CivicRec does not provide this hardware, we are happy to assist with procurement and implementation. Release / Upgrade Schedule CivicRec currently utilizes a monthly release schedule. The City of Santa Ana can expect to receive an average of one new feature per month. We also try to release a new major module quarterly. If bugs are identified, those are "hotfixed" into production and do not await our standard release dates. CivicRec is an SaaS solution and all customers are on the same code base. Product enhancements are provided on an ongoing basis to our clients at no additional charge. Many, if not most, of these enhancements originated from a customer enhancement request that was applied to base product and made available to all CivicRec customers. System changes are communicated via our website (users will see a notice upon login). For major changes that may require additional staff training (e.g., a brand new module is being released), we will notify the City in advance and schedule the rollout with you as appropriate, We base our roadmap on requests from our customers as well as on our own internal product goals, We maintain a roadmap request system that allows for customers to request changes and to up/down vote ideas that are under consideration, PCI Compliance For credit card security, CivicRec maintains PCI compliance through an Approved Scanning Vendor (ControIscan). We are scanned monthly and provided a quarterly certificate of compliance. Our customers are provided a copy of that certificate for use in their own PCI Compliance, We also try - when possible - to take CivicRec (and you) completely out of PCI scope by leveraging "hosted" payment pages when available. Many payment gateways have payment forms that can be embedded within CivicRec (or that the browser can be redirected to) that ensure card data never touches the CivicRec servers. Instead, the card data is Keyed directly into the payment gateway's form, and CivicRec simply receives a notification that the payment was successfully made. 42 25F-37 Hosting & Security Ca Data Center/Security CivicRec utilizes industry standards, insurance requirements, and PCI requirements to ensure that CivicRec is only accessed in the manner it's intended to be accessed and by people who are authorized to do so. Methods include: a Physical security at our Tier I data centers (Codero, TeIX, and Rackspace) • Server firewalls ® Anti -virus scanning m IP logging and filtering • Application security monitoring All data centers provide a network operation center with 24/7/365 monitoring of the data center environment, system availability, and performance. The data centers are SSAE 16 compliant. For user security, the CivicRec will assist Santa Ana in configuring user levels and assigning users to those groups. Thousands of permissions can then be configured on a group by group basis. Most permissions apply on individual pages, but some also apply to specific functions within a page (buttons, fields, etc). CivicRec will guide the City through this process as part of Training & Implementation. Disaster Recovery/Redundancy CivicRec has policies and procedures in place to ensure continuity and disaster recovery. We utilize local, replicated servers to ensure that copies of data, software, and files are always available and up to date. These servers can be rolled over in the event of hardware failure or other local issues. In addition, we have a multi -times per day process that encrypts backups and sends them offsite for purposes of disaster recovery. This process ensures that we can reconstitute our entire product and underlying data structure with limited downtime and loss of data ... even in the event of catastrophe. Data Backup and Archive The City of Santa Ana can export data as needed in the standard reporting tool. If the City has elevated data retention requirements, CivicRec can have a scoping session with Santa Ana to address those. Professional Services fees may apply to custom configurations/capabilities. 43 25F-38 Features & Functionality MEMBERSHIP MANAGEMENT Customer Management in CivicRec is particularly easy. Associate photos and avatars with users for use on membership cards and system profiles. Staff can see a history of all of the account's transactions. Leave credit/debit cards on file for future and OLWA 31�6« ri LEAGUE MANAGEMENT recurring payments. Perform other functions like sending invoices, merging accounts, and more. Easily sell memberships and punch cards, take photos of members, print cards or associate barcode key tags, and check people into a facility. CivicRec will even help you auto -bill your members to ensure everyone stays paid and current. Athletics staff can easily create leagues, draft players, assess skills, and generate schedules. Public facing "Scores and Schedules" pages can be linked to directly from your website so that your public always has up to date information about their leagues. We are continuing to evolve these tools including an exciting "Parent/Player Portal" that will make it even easier for participants to follow their leagues. a Team or individual signup ® Assessments ® Auto -scheduling with drag -and -drop adjustments n Drag -and -drop drafting ® Enter in game results a Schedules, scores, and standings available by link from your website 44 25F-39 Features & Functionality CP TICKETING Easily generate tickets for events either through our desktop or our mobile experience. Public users receive additional pages, along with their receipt, that contain their tickets. Those tickets can then be printed and scanned into our mobile check -in or desktop check -in screens. Public users may also prefer to simply show the ticket code on their phone display instead of printing. EMAIUSMS BLASTS There are several links within CivicRec that allow for mail blasts. Many of our reports and roster views allow for mass mailings with just the click of a button. The People Finder report is a particularly handy report that allows for mailings based on several different filters. SMS messaging has recently been introduced to facilitate those particularly time -sensitive notifications like cancellations. SURVEYS Participants will automatically receive post -program surveys requesting feedback on your programs, organization, instructors, and processes. This information is captured and is presented back to staff to assist in determining how well the City of Santa Ana programming is being received. n.s 25F-40 PRICING SCHEDULE 25F-41 IMPLEMENTATION Task Description EXIBIT 13 PRICING SCHEDULE Estimated Hours Cost Project Management 40 $4000 On -Site Training 1, 2 day Session $4000 Travel Costs Included System Integration 40 $4000 Data Migration 40 $4000 Total Implementation $16,000 (Hours may be adjusted from one task to another) ADD -ON SERVICES On Site Visits (Travel Costs Incl.) $1,500 Per Day/Two Day Minimum Add'I Days to Same Visit (Travel Costs Incl.) $1,300 Per Day Remote Service $100 Per Hour Credit Card -Orbital Pmt. Gateway Integration $1,000 One -Time Cost TRANSACTION FEES Maintenance 1 % per net transaction fee All software support and maintenance is included within the 1 % per net transaction fee. (Please note that credit card processing is not Included.) The 1 % yearly fee is Inclusive of all maintenance, support, backups, product upgrades, etc. OptionalOngoin la tams Only if CivicRec Is used as merchant provider Credit Card Fees (3% + $0,30 Per Transaction) 25F-42 EXHIBIT C ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ("additional insureds") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective Policy # Issued to this endorsement form as a part of Named Insured Countersigned by Authorized Representative 25F-43 25F-44 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: AGREEMENT WITH ARAMARK CORRECTIONAL SERVICES INC. FOR INMATE FOOD SERVICES AND COMMISSARY (STRATEGIC PLAN NO. 1, 3A) CITY ANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance onI$'Reading ❑ Ordinance on 2"dReading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a three-year agreement with Aramark Correctional Services Inc. for inmate food services and commissary, for the period of February 1, 2017 through January 31, 2020, in the amount not to exceed $1,460,016, including a 15% contingency ($197,437), subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION California's Board of State and Community Corrections (BSCC) required agencies to provide food services for all incarcerated individuals held within their custody. On October 6, 2016 the Santa Ana Police Department issued a request for proposals (RFP #16-128) for contracted food service and inmate commissary. On October 18, 2016 a pre -proposal conference was conducted, and on November 21, 2016, the City received proposals from two firms. Aramark Correctional Services, Inc. and Keefe, LLC each submitted proposals for evaluation. An evaluation committee consisting of representative from the Santa Ana Jail Operations and Administration reviewed and rated the two proposals. The proposals were evaluated according to Responsiveness to RFP (25%), Experience of Firm and Personnel (25%) and Cost of Proposal (50%), as stated in the RFP. The results of the RFP Evaluations were as follows: Vendor Score Aramark Correctional Services, Inc. 384 Keefe, LLC. 277 400 point max Aramark Correctional Services was the most responsive, capable and cost effective respondent. Their proposal ensures these basic required services continue to be provided to the inmate population. The Police Department proposes to enter into a three-year agreement with Aramark, for the period of February 1, 2017 through January 31, 2020, in the amount not to exceed $1,460,016. The per meal 25G-1 Agreement with Aramark for Jail Food Service April 18, 2017 Page 2 cost at the current average daily population (over 200) is $2.39 per meal. Once the ICE agreement is terminated, the average daily population will drop below 200 and the cost would be $2.88 per meal, an increase of about $65,000 per year to feed US Marshal's and Bureau of Prison inmates. However, the Department will also save approximately $193,000 per year as a result of not having to feed ICE detainees. This base agreement cost of $1,269,579 will provide food service for approximately 122 inmates, and includes a 15% contingency ($190,437) to cover increases in average daily population. Aramark Correctional Services, Inc. has been the provider of inmate food services since 1997 and continues to perform these services in a professional and competent manner. All meals are prepared based on the State of California Code of Regulations, Title 15 nutritional requirements along with all Orange County Health Department health and safety requirements. Through this agreement, Aramark Correctional Services, Inc. also provides catering services to various City functions along with operating the inmate commissary program, and operation of the Code-7 staff cafeteria located within the Police Administration building. The agreement may be terminated without cause by either party upon ninety (90) days written notice. STRATEGIC PLAN ALIGNMENT Approval of this item allows for the City to meet Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy A (continuously evaluate and assess fiscal aspect of service delivery to ensure that the Police Department provides programs and service efficiently and effectively). FISCAL IMPACT Funds are available in the Jail Operations contract services account (no. 01114475 62300) for the following fiscal years as follows: U"� lam. Cihcf�� Carlos Roj Chief of Police Santa Ana Police Department Exhibit: Agreement FY 2016-17 172,732 FY 2017-18 418,155 FY 2018-19 426,792 FY 2019-20 442,337 1,460,016 APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 25G-2 INMATE COMMISSARY AND FOOD SERVICE AGREEMENT THIS AGREEMENT, made and entered into this I" day of February 2017 by and between ARAMARK Correctional Services, LLC., a Delaware limited liability company, having its principal place of business located at the ARAMARK Tower, 110'1 Market Street, Philadelphia, Pennsylvania 19107 (hereinafter "ARAMARK"), 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, whose principal place of business is 20 Civic Center Plaza, Santa Ana, California 92702 (hereinafter "CITY"). RECITALS A. On October 6, 2016, the CITY issued a Request for Proposals (RFP #16-128) for Food Service and Imnate Commissary Management. Two vendors responded to the RFP. Aramark Correctional Services was the most responsive, capable, and cost effective respondent. B. The CITY now desires to enter into a new agreement granting the exclusive right to operate the Santa Ana Detention Facility commissary and to provide food service for the inmates, staff and visitors for the Police Administration and Holding Facility located at 60 Civic Center Plaza, Santa Ana, California ("Facility"). C. ARAMARK represents that it is able and willing to furnish nutritious, wholesomc and palatable food to such inmates, staff and visitors in accordance with the terms of this Agreement. D. In undertaking the performance of this Agreement, ARAMARK represents that it is knowledgeable in its field and that any food services provided by ARAMARK shall meet all current regulations. 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 ARAMARK shall operate the Santa Ana Detention Facility commissary, perform inmate meal preparation, and operate the Code-7 Caf6, as those services are set forth in the CITY's Request for Proposals (RFP #16-128) and ARAMARK's Technical Proposal for Food Service Management dated November 14, 2016, collectively, as described in Exhibit A attached hereto, and the details of which are on file at the Santa Ana Detention Facility in the care of the Jail Administrator, and incorporated by reference to this Agreement. The CITY shall at its expense provide ARAMARK with adequate preparation kitchen facilities at the Facility completely equipped and ready to operate, together with such heat, refrigeration and utilities services as may be reasonably required for the efficient performance of the Agreement. ARAMARK shall be responsible for long distance telephone service. 25G-3 The CITY shall, at its expense, provide ARAMARK with adequate office and storage facilities at the Facility completely equipped and ready to operate together with such heat, and utilities services as may be reasonably required for the efficient performance of the Services. ARAMARK shall be responsible for long distance telephone service. ARAMARK shall install such computer hardware and related equipment and software (collectively "Computer Equipment"), including but not limited to ARAMARK's CORE@ commissary management information systems (the "CORE@ System") as necessary to support ARAMARK's commissary operations, ARAMARK shall remove all Computer Equipment upon the expiration or termination of this Agreement. The CORE@ System is and shall at all times be owned by ARAMARK, which shall hold all rights relative thereto except as may be expressly granted hereunder and then only to the extent of such express grant. All use of the CORE@ System at the Facility shall immediately cease upon the expiration or termination of this Agreement. ARAMARK shall be responsible to support and maintain all Computer Equipment during the term of this Agreement, but any and all such obligations shall cease upon the termination or expiration of this Agreement. To the extent that it is necessary for ARAMARK's or the CITY's employees to be trained to use the CORE@ System, ARAMARK shall provide such training, provided that ARAMARK shall have no other training obligations hereunder. The CITY shall run such cable and wiring, and shall perform such systems integration, as necessary to enable the CORE System to support ARAMARK's commissary operations. In the event the CITY changes any third party vendor whose service interacts with the CORE System (such as its telephone or internet service provider), any costs associated with CORE System customization or code changes will be borne by the CITY, 2. COMPENSATION A. FOOD SERVICE a. CITY agrees to pay, and ARAMARK agrees to accept as total payment for each innate meal served pursuant to this Agreement, a per meal price as specified in Exhibit B, which excludes sales tax. The total payment by the CITY to ARAMARK for services for the total three year period is not to exceed $1,460,016, which includes a $190,437 contingency to be used as the CITY's sole discretion. The price quoted herein applies for the period of February 1, 2017 through January 31, 2020, unless otherwise provided by this Agreement. The per meal price may be adjusted by mutual agreement and set forth in an amendment to this Agreement in the form attached hereto as Attachment B. If the parties cannot reach agreement as to a price increase, unit price shall be increased as further set forth below by the greater of the (a) yearly percentage change in the Consumer Price Index, All Urban Consumers, U.S. City Average, Food Away From Home Index ("CPI -FAH"), published by the U.S. Department of Labor and (b) the yearly percentage change in the Market Basket of Products (as defined below) which approximate the products served at the facilities covered by this Agreement (the "Client Menu"). The period for determining CPI - FAH and Market Basket of Products increases shall be November 1 to November 1 of z 25G-4 the then -current year (the "Base Period"). Notwithstanding the foregoing, in no event shall the yearly increase be greater than 5%. As set forth on the sample client statement attached as Attachment C, a copy of which shall be provided prior to implementing any price adjustments pursuant to this section, the "Market Basket of Products" represents categories or types of products that are generally used in the Client Menu. Such products are classified into the following six categories of food items (each, a "Menu Category"): beverage (composed of juice and non-alcoholic drinks other than milk); baked goods; produce (composed of fruits and vegetables); dairy; meat; and grocery items (composed of the food items in the menu that are not otherwise included in one of the preceding categories). Each Menu Category will be ascribed a percentage (the "Category Weighting") representing the proportion of the Client Menu that such Menu Category approximately represents based on purchasing levels during the Base Period. Each Category Weighting will then be multiplied by the percentage change in the corresponding Bureau of Labor Statistics ("BLS") category compiled by the U.S. Department of Labor and published at www.bls.gov for the Base Period, and the results of each such calculation will be added together to arrive at the overall percentage change which will represent the Market Basket of Products. For the avoidance of doubt, the BLS categories to be multiplied by the Category Weightings are (1) Beverage, All Urban Consumers, U.S. City Average; (2) Baked Goods, All Urban Consumers, U.S. City Average; (3) Produce, All Urban Consumers, U.S. City Average; (4) Dairy, All Urban Consumers, U.S. City Average; (5) Meat, All Urban Consumers, U,S, City Average; and (6) Food, All Urban Consumers, U.S. City Average. in the event that there are any changes in the method in which the BLS reports its annual statistics, including any changes or modifications to any of the applicable BLS categories, the parties agree to negotiate a mutually agreeable modification to the appropriate Market Basket of Products category or categories or the methodology described above. If the parties do not agree on such a modification, ARAMARK shall have the right to terminate the Agreement upon 90 days' prior written notice. The Market Basket of Products is designed to approximate price adjustments with product cost increases at the facility or facilities covered by this Agreement. The Market Basket of Products is an estimate of food costs only and actual costs may vary. While the Menu Categories attempt to approximate the products served at the facility or facilities covered by this Agreement, they may not precisely parallel actual usage or the BLS categories listed above. b. Please refer to Attachment C for an example of the Market Basket of Products calculation. c. The yearly percentage change shall not increase more than five percent 5°% in any year. The percentage shall be applied to the then -current per meal price to determine the price for the subsequent '12-month period, and such unit price shall be effective the first (1 st) day of such 1.2-mouth period. 3 25G-5 d. ARAMARK shall submit to the CITY on the first day of every week, for the preceding week, an invoice for inmate meals ordered or served whichever is greater, and Fresh Favorites meals ordered by inmates. The statements will reflect the preceding week's food services detailing the exact number of meals served on a daily basis as follows: 1. Actual number of adult inmate meals 2. Meals provided through the "Fresh Favorites" program 3. Any additional food or beverage services, as required 4. Staff Cafe sales report. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing meals ordered/served, subject to City accounting procedures. Payment shall be sent to the address listed on the invoice, B. COMMISSARY SERVICE ARAMARK shall process orders for commissary products from inmates in accordance with ARAMARK's standard procedures. The CITY shall be responsible to collect, record and make disbursements from inmate commissary accounts for purchases of such Products; provided, however, that ARAMARK shall have access to each imnate account solely for the purpose of verifying that there are sufficient funds in such account to cover a Product order placed by such inmate, including but not limited to, any sales, use or other taxes related thereto. ARAMARK and the CITY shall jointly determine the prices at which Products shall be sold. If ARAMARK sustains increases in its costs, including but not limited to, increases in its Product, labor or equipment or software -related costs, ARAMARK may request an increase to its prices to recover such increased costs. Additionally, ARAMARK may, at its discretion perform a price audit to compare the prices at which it sells the Products contemplated by this Agreement with the prices at which similar products are being sold in retail outlets in the surrounding community ("Comparable Retail Values"). In the event that any of ARAMARK's prices are below the Comparable Retail Values, the parties shall mutually agree to increase such prices under this Agreement to reflect the Comparable Retail Values. ARAMARK shall submit to the CITY on the first day of every week, for the preceding week, an invoice for total Gross Sales of Products made during such week, and other goods or services provided by ARAMARK during such week, if any. The tern "Gross Sales" shall mcan total commissary sales (ineludin¢, but not limited to, sales of tobacco products, stamps and pre -stamped envelopes, pre -paid telephone calling cards or any other telephone sales, debit cards, and Indigent Product sales) plus any sales or use taxes. For purposes of this Agreement, a sale shall be deemed made when a Product ordered by an inmate is delivered to the CITY for subsequent delivery to the inmate, and the Product is not returned. For purposes of this Agreement, no returns will be honored, unless the inmate who ordered. a Product, refuses delivery of such. Product at the time such Product is delivered, or unless such inmate is released prior to such delivery, and fails to claim such Product within seventy-two (72) hours after release. 4 25G-6 ARAMARK shall forward billing to the Santa Ana Detention Facility. ARAMARK shall keep a complete and accurate record of all gross sales of merchandise records for a period of at least one year. ARAMARK shall keep all inmate sales records for at least one year after termination of this contract. All records and books kept by ARAMARK exclusively related to invoices reflecting services provided by this Agreement shall be open to inspection and audit of the City and its agents during normal business hours. Such records shall be kept separate and apart from any record ARAMARK maintains in connection with other business enterprises. ARAMARK shall return to City a total commission of Forty -Five Percent (45%) of Net Sales of all products from the commissary operations at the Santa Ana Detention Facility, as set forth in the City's RFP #16-128 and ARAMARK's Proposal, dated November 14, 2016. This commission shall exclude all sales of stamps and pre -stamped envelopes, pre -paid telephone calling cards or any other telephone sales, debit cards, and Indigent Products. "Net Sales" means total product sales, less sales or use taxes and authorized returns. In addition, ARAMARK shall pay CITY a rent fee equal to Ten Percent (10%) of Net Sales of all products from the commissary operations excluding all sales of stamps and pre -stamped envelopes, pre -paid telephone calling cards or any other telephone sales, debit cards, and Indigent Products. ARAMARK shall provide a monthly accounting of commissary operations for the previous month, and shall submit said accounting and a check representing the City's portion of Net Sales to the Santa Ana Jail Administrator. kl�IM90I The initial term of this Agreement shall commence on February 1, 2017 and tenninate on January 31, 2020 unless torminated earlier in accordance with Exhibit A or Section 12, below. 4. INDEPENDENT CONTRACTOR ARAMARK 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 ARAMARK performs the services which are the subject matter of this Agreement; however, the services to be provided by ARAMARK shall be provided in a manner consistent with all applicable standards and regulations governing such services. ARAMARK shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. INSURANCE Prior to undertaking perfonnance of work under this Agreement, ARAMARK shall maintain mid shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. ARAMARK shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims 25G-7 arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of ARAMARK's operations in the performance of this Agreement, including. The amounts of insurance shall be 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. Sucb insurance shall (a) name the City, its officers, and employees 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. Any insurance coverage (additional insured or otherwise) that ARAMARK provides for the Additional Insureds shall only cover insured liability assumed by ARAMARK in this Agreement; such insurance coverage shall not otherwise cover liability in connection with or arising out of the wrongful or negligent acts or omissions of the Additional Insureds. If the Consultant maintains broader coverage and/or higher limits than the minimums described above, the City requires and shall be entitled to the broader coverage and/or higher limits maintained by the Consultant. b. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, ARAMARK 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, ARAMARK agrees to provide and maintain any employer's liability insurance with limits of $1,000,000 per accident. c. The following requirements apply to the insurance to be provided by ARAMARK pursuant to this section: (i) ARAMARK 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. d. If ARAMARK 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 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 ARAMARK's right to be paid for its time and materials expended prior to notification of termination, Notice of cancellation of any insurance policies required herein shall be subject to ACORD 25 Certificate of Liability standards, and will be delivered, as applicable, in accordance with policy provisions. 6. INDEMNIFICATION ARAMARK agrees to and shall indemnify and hold harmless the CITY, its officers, agents, employees, and representatives fiom liability for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for bodily injury, including death, and claims for property damage, which may arise from the negligent acts, willful misconduct, or omissions of ARAMARK or its contractors, subcontractors, agents, employees, or other persons acting on their behalf in their performance of the services described in section 1 of this Agreement. However, it is expressly understood that ARAMARK shall not 25G-8 be responsible for damages caused by inmates nor by the acts or omissions of the CITY, its officers, agents or employees. Neither any of the CITY's officers, employees, agents, servants or contractors, nor any inmates, are or will be deemed to be agents or employees of ARAMARK and no liability is or will be incurred by ARAMARK to such persons, except for bodily injury to such persons caused by ARAMARK's negligence or intentional acts. ARAMARK further agrees to indemnify, hold harmless, and pay all costs for the defense of the CITY, regarding fury action by a third party asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises out of claims for bodily injury, including death, and claims for property damage, which may arise from the negligent acts, willfitl misconduct, or omissions of ARAMARK or its contractors, subcontractors, agents, employees, or other persons acting on their behalf in their performance of the services described in section 1 of this Agreement. CITY may make all reasonable decisions with respect to its representation in any legal proceeding, The CITY shall promptly notify ARAMARK of any claim for which indemnity is sought, and shall cooperate with ARAMARK in the investigation and defense of such claim. ARAMARK shall have the sole discretion to defend and settle such claim. 7. CONFIDENTIALITY If either party receives from the other party information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, the receiving party 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 receiving party disclosed in a publicly available source; (c) is in rightful possession of the receiving party without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the receiving party without reference to information disclosed by the other party. 8. CONFLICT OF INTEREST CLAUSE ARAMARK 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. 9. 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, hostage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: 25G-9 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 tetefacsimile: (714) 647-6956 With courtesy copies to: and Chief of Police City of Santa Ana 60 Civic Center Plaza (M-97) P.O. Box 1988 Santa Ana, California 92702 telefacsirnile: (714) 245-8007 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 ARAMARK: ARAMARK Correctional Services, LLC ARAMARK Tower 1101 Market Street Philadelphia, PA 19107 Attn: Vice President, Finance With a copy to: ARAMARK Correctional Services, LLC ARAMARK Tower 1101 Market Street Philadelphia, PA 19107 Attn: Associate General Counsel 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 telefacsimile, 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 maclrine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, CITY or City holidays shall be excluded. 25G-10 10. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the CITY and ARAMARK, 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. hr the event of a conflict between RFP #16-128 and ARAMARK's proposal dated November 14, 2016, ARAMARK's proposal shall control This Agreement may not be modified except by written instrument signed by the CITY and by an authorized representative of ARAMARK. 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 ARAMARK 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. 11. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of ARAMARK, ARAMARIC 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. 12, TERMINATION This Agreement may be terminated without cause by the CITY or by ARAMARK upon ninety (90) days written notice of termination to the other party. In such event, ARAMARK shall be entitled to receive and the CITY shall pay ARAMARK compensation for all services performed by ARAMARK prior to receipt of such notice of termination, subject to the following conditions; Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 13. DISCRIMINATION ARAMARK 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. ARAMARK affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 1.4. 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 25G-11 agree that any lawsuit in connection with or by reason of this Agreement may be brought or removed, as appropriate, in the state or federal courts for Orange County, California. 15. PROI+ESSIONAL LICENSES ARAMARK 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. ARAMARK shall notify 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. 16. PERSONNEL The City acknowledges that ARAMARK has invested considerable time and money in training its supervisory employees in systems, procedures, methods, tecluilques and other valuable information which is proprietary and unique to ARAMARIC's manner of conducting business. Therefore, the City agrees that it will not hire supervisory employees of ARAMARK, working at the Santa Ana Detention Facility during the term of this Agreement and for twelve months after its termination. 17. MATERIAL ADVERSE CHANGE: The financial arrangements in this Agreement are based on conditions existing as of the Effective Date including any representations regarding existing and fature conditions made by CITY in connection with the negotiation and execution of this Agreement. If such conditions change due to causes beyond ARAMARK's control, including, but not limited to, a change in the scope of ARAMARK's services; menu changes; a decrease in the Facility's inmate population ; efforts to organize labor; changes to wage and/or benefit rates pursuant to any federal, state or local law or regulation or determination by a governmental entity; increases in food, fuel, equipment, utilities and supply costs; Federal, State and local sales, and other taxes and other operation costs; a change in Federal, State and local standards, requirements recommendations, and regulations including any applicable Child Nutrition Programs; changes in phone service providers or a change in the way phone service is sold to imitates; or other unforeseen external market conditions outside ARAMARK's control, then ARAMARK shall give CITY written notice of such increase or change, and within thirty (30) calendar days after such notice, ARAMARIC and CITY shall mutually agree upon modification(s) to offset the impact of the increase or change, which modifications may include any or a combination of the following: an adjustment to ARAMARK's price per meal or commission, modifications to the menu or Product offerings, changes to Product pricing or modifications to ARAMARK's scope of services. 18, PRONE SERVICE PROVIDERS: hr the event that there is a change in the phone service provider used at the Facility or in the process by which phone cards or phone time is sold to inmates, the CITY shall be responsible for the cost or shall cause the phone service provider to be responsible for the cost of the following: (1) any software development required by the change; (2) system integration; (3) use of ARAMARK hardware and software to sell phone to 25G-12 service; and (4) any other cost incurred by ARAMARK, including but not limited to increased costs for labor, handling, and reporting. 19. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herembelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify CITY frilly, 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 Cleric of the Council APPROVED AS TO FORM: OFFICE OF THE CITY ATTORNEY B Tamara ogosian Assistant City Attorney CITY OF SANTA ANA GERARDO MOUET Acting City Manager ARAMARK CORRECTIONAL SERVICES, LLC MARK ADAMS Vice President, Finance Tax ID# I 25G-13 EXHIBIT A ARAMARK shall provide commissary service and inmate food service for the Santa Ana Detention Facility as set forth in City's Request for Proposals #16-1.28, and ARAMARK's Proposal dated November 14, 2016. ARAMARK shall serve three weals per day to meet the nutritional standards including the American Correctional Association, National Commission on Correctional Health Care, Recommended Dietary Allowances, as set forth in Section 2 of ARAMARK's Proposal. ARAMARK may utilize the City's Detention Facility kitchen to prepare meals to be sold to other institutions. ARAMARK shall obtain the written approval of the Chief of Police prior to commencing meal preparation for any outside facility. ARAMARK will reimburse City $0.05 per meal sold to any such outside facility, as set forth in section i of ARAMARK's Proposal. ARAMARK will provide food service for the City's Code-7 Caf6 located in the Santa Ana Police Department Administration Facility, with the objective of creating a high quality, inexpensive food service experience for the employees and potential visitors of the Police Department, as set forth in section 6 of ARAMARK's Proposal. ARAMARK shall pay the CITY a commission equal to Fifteen Percent (1S%) of ARAMARK's Net Profit at Code-7 Cafe. "Net Profit" as used in this Paragraph shall mean total sales revenues minus all of ARAMARK's taxes, expenses and costs for operating the Caf6. ARAMARK shall provide catering services for City meetings and events upon the written request of the City Manager or his designated representative. Each such catering request shall be in writing and shall describe the services to be provided and the compensation for those services shall be agreed by the parties. ARAMARK will provide a Fresh Favorites program, allowing inmates of the Santa Ana Detention Facility to purchase a designated memi selection, a minimum of once per week. ARAMARK will fill the orders and deliver them to the inmates on the day(s) of the week agreed between ARAMARK and City. Payment for each individual Fresh Favorites order will be deducted from the individual inmate's account in the Inmate Welfare Fund. ARAMARK will remit to City a twenty-five percent (25%) commission on the total Fresh Favorites Net Sales (as defined above) each month. City will be responsible for deducting the cost of the Fresh Favorites meals from the inmate's accounts. The City shall permit ARAMARK to verify that any innate ordering Fresh Favorites has sufficient funds in his account to cover the Fresh Favorites purchase, 12 25G-14 City of Santa Ana, California Average Number Of Meals Served'' Price Per Meal February 1, 2017 - January 31, 2018 (Price does not include Tax) February 1, 2018 - January 31, 2019 (Price does not include Tax and/or annual CPI February 1, 2019 - January 31, 2020 (Price does not include Tax and/or annual CPI I 99 $2.880 $2.940 $3.000 100 199 $2.880 $2.940 $3.000 200 299 $2.390 $2.449 $2.510 300 399 $2.390 $2.449 $2.510 _. 400 Above $2.260 $2.319 _ $2.380 *The total number of inmate meals served per seven stay week is divided by (21) in order to determine the price point on the sliding scale. 13 25G-15 FORM OF AMENDMENT FOR IMPLEMENTING MARKET BASKET INCREASES Attachment B Amendment No. to Operating Agreement THIS AMENDMENT NO. e (the "Amendment"), is entered into this day of 20_ by and between , with offices at (" "), and ARAMARIC Correctional Services, LLC, a Delaware limited liability company, having its principal place of business located at the ARAMARK Tower, 1101 Market Street, Philadelphia PA 19107 ("ARAMARK"), WITEREAS, and ARAMARK entered into an dated for the management of the food service operation at (as amended, the "Agreement"); and WHEREAS, the parties acknowledge the need to address volatility in the cost of food commodities; WHEREAS, the parties desire to amend the provisions of the Agreement as follows, effective NOW, THEREFORE, in consideration of the foregoing and of the mutual promises in the Agreement and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties agree as set forth below. Capitalized terms used but not defined in this Amendment have the meanings ascribed to such terms in the Agreement. 1. Price Adjustment: In accordance with [Paragraph _ of Amendment No. — to the AgreementJ['Paragraph ._ nf'the Agreement], the parties agree that the price per meal charged to, — by ARAMARIC shall be changed as set forth on Attachment A as a result of [changes in the Consumer Price Index%[changes in the Market Basket of Produet.q[mutual agreement of the partfesJ. This price shall be effective from __ 20, through , 20_. , and shall supersede in all respects the price per meal set forth in Paragraph [_] of the Agreement or in any other prior agreements between the parties. 2. Release; The methodology used to determine the price increase above, including the Category Weighting percentages ascribed to each Menu Category, has been reviewed and accepted by the parties. By their execution of this Amendment, each party hereby waives and releases any and all claims it may have based upon or arising out of any such methodology (including the elements thereof) used to calculate the price per meal as set forth in this Amendment, and further agrees not to bring any action, suit or proceeding challenging such methodology or calculation. 3. Except as specifically set forth herein, all other terns and provisions of the Agreement shall remain unaffected by this Amendment and continue in full force and effect IN WITNESS WHEREOF, the parties hereto have caused this Amendment No. __ to be signed by their duly authorized representatives the day and year first written above. ARAMARK Correctional Services, LLC By: By: _ David Kimmel Vice President Finance 14 25G-16 Attachment C Sample Client Statement - Market Basket of Products Calculation XYZ County Exhibit Market Basket Price Redetermination Statement Period Ended Current Month xxth, 2009 Current Month Menu Category Weighted CATEGORY Wolahting CPI % CPI Baked Goods 12.62% 8.83% 1.11% Beverage 5,68% 4,71% 0.27% Dairy 12.51% -5.00% -0.63% Grocery * 23.32% 4,80% 1.12% Produce 17,15% 1.00% 0.17% Protein 28.73% 5,20% 1.49% TOTAL 100.00% 3.640/o Current Month CPI Food Away from Home Index 4.760/o Greater of Market Basket to Current Month CPI - Food Away from Home 4.760/0_. XYZ County Exhibit Market Basket Price Redetermination Statement Period Ended Current Month xxth, 2009 Current Month Menu Category Weighted CATEGORY Weighting CPI% CPI% Baked Goods 12.62% 8.83% 1.11% Beverage 5.68% 4,71% 0.27% Dairy 12.51% 6.00% 0.75% Grocery * 23.32% 4.80% 1.12% Produce 17.15% 1.00% 0.17% Protein 28.73% 5.20% 1.49% TOTAL 100.00% 4.920/a Current Month CPI Food Away from Home Index 4.76a/o Greater of Market Basket to Current Month CPI - Food Away from Home . 4.921/6 • ` This category includes all menu items that are not otherwise included in another Menu Category. ARAMARK applies the BLS CPI Food Index to the "Grocery' Menu Category for the calculation, The "Food" index encompasses the items in all Menu Categories in addition to food items not used at the facility or facilities covered by this Agreement. 15 25G-17 25G-18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: APPROVE AMENDED AND RESTATED SARTC STATION COOPERATIVE AGREEMENT WITH THE ORANGE COUNTY TRANSPORTATION AUTHORITY (NON -GENERAL FUND) (STRATEGIC PLAN NOS. 3, 2C, 4B; 6, 1G) ® CITY ANAGER RECOMMENDED ACTION 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 Authorize the City Manager and Clerk of the Council to execute an amendment to the SARTC Station Cooperative Agreement with the Orange County Transportation Authority to incorporate provisions for the OC Streetcar, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION On October 17, 1994, the City of Santa Ana and the Orange County Transportation Authority (OCTA) entered into an agreement (Station Agreement) related to the design, construction, maintenance, and security for improvements to the existing Commuter/Intercity Rail Station located in Santa Ana, known as the Santa Ana Regional Transportation Center (SARTC). Since the cooperative agreement was executed, additional improvements have been made to the SARTC commuter/intercity rail station, including but not limited to a parking structure, pedestrian bridge, and an additional station platform. With the identification of SARTC as the terminus station of the OC Streetcar project (Project), which provides an important connection between the Metrolink and Amtrak services and the cities of Santa Ana and Garden Grove, a series of improvements are required to accommodate the Project. These improvements include tracks, a station platform, ticket vending machines, lighting, and the overhead contact system. The improvements will also include a traction power substation at SARTC that was originally proposed at West Garfield Street and Santa Ana Boulevard. Given the above modifications that have occurred since the agreement execution, an amended and restated Agreement is appropriate to: 25H-1 Amendment & Restatement to SARTC Station Cooperative Agreement April 18, 2017 Page 2 • Restate the provisions for the maintenance and security of the SARTC Commuter/Intercity Rail Station as it relates to service including the improvements made since the execution of the original agreement; • Set forth additional provisions for the use of SARTC for the design, construction, operations, and maintenance (O&M) of the Project. Amending and restating the Agreement addresses all O&M responsibilities for the SARTC commuter/intercity rail station and the Project's elements at SARTC. Consensus has been reached between OCTA and the City on the specific terms and conditions of the amended and restated Agreement, and the following provides a summary of the key provisions: • OCTA is responsible for the O&M of specific commuter rail/intercity rail facilities including, but not limited to, the tracks, signage, ticket vending machines, and other facilities. • OCTA is responsible for the O&M of all the Project's facilities, including tracks, a station platform, an overhead contact system, bumping posts, a traction power substation, and other streetcar supporting infrastructure within proposed easement areas yet to be negotiated. • The City is responsible for the O&M of all other facilities at SARTC, not specifically defined as an OCTA responsibility. • The City and all third parties must secure a permit from OCTA when working within controlled work access limits around the streetcar facilities, generally 10 feet from the overhead contact system (poles, span wires, and contact wire) and within 4 feet of any rail. • The City and all third parties must secure a permit from the Southern California Regional Rail Authority when working within the OCTA Right -of -Way (ROW). Staff will return to the Council for approval of any additional required agreements with the OCTA, including an operations and maintenance agreement. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet the following Strategic Plan Goals: 1. Goal #3 - Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies), Strategy C (support business development and job growth along transit corridors through the completion of critical transit plans/projects including: The Fixed Guideway Project, Santa Ana Regional Transportation Center Master Plan, Complete Streets and General Plan Circulation Element update). 25H-2 Amendment & Restatement to SARTC Station Cooperative Agreement April 18, 2017 Page 3 2. 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). 3. 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; e.g., transit vision, street car, fixed guideway project, SARTC master plan, Bristol Street widening, neighborhood streets, traffic improvements, park facilities, sport fields, soccer fields, senior centers, bike master plan, etc.). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. / J A F4 Mousavipour Executive Director Public Works Agency FM/EWG/JG Exhibit: 1. Amended & Restated SARTC Station Cooperative Agreement 25H-3 25H-4 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 AMENDED AND RESTATED COOPERATIVE AGREEMENT No. C-94.859 BETWEEN THE ORANGE COUNTY TRANSPORTATION AUTHORITY AND THE CITY OF SANTA ANA FOR THE SANTA ANA REGIONAL TRANSPORTATION CENTER AND THE OC STREETCAR THIS AMENDED AND RESTATED AGREEMENT (hereinafter the "Agreement") is made and entered into this __ day of 2017 by and between the Orange County Transportation Authority, a public entity, 550 South Main Street, P.O. Box 14184, Orange, California, 92613-1584 (hereinafter referred to as "AUTHORITY") and the City of Santa Ana, 20 Civic Center Plaza, P.O. Box 1988, Santa Ana, California, 92702, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter referred to as the "CITY"). AUTHORITY and CITY may be mutually referred to as "Parties", or individually as "Party". RECITALS WHEREAS, the Parties entered into Cooperative Agreement No. C-94-859 dated October 17, 1994 (1994 Agreement) which set forth the Parties' agreement relating to the design, construction, maintenance, and security for improvements to the existing Commuterllntercity Rail Station (SARTC) located in Santa Ana; and WHEREAS, the Parties desire to amend and restate the 1994 Agreement with this Agreement and that upon the effective date of this Agreement, the 1994 Agreement will be replaced in its entirety with this Agreement; and WHEREAS, the Parties agree to hereby adopt the roles, responsibilities and understandings previously established by Agreement No. A-2004-136, entitled "Agreement Between the City of Santa Ana and the Southern California Regional Rail Authority for 1 of 13 EXHIBIT 1 25H-5 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 Construction and Maintenance of Station Platform and Pedestrian Bridge", dated July 6, 2004; and WHEREAS, the Santa Ana/Garden Grove Streetcar Locally Preferred Alternative was identified by the CITY's City Council at its public meeting on August 5, 2014; and WHEREAS, the Parties entered into a Memorandum of Understanding C-5-3295 dated August 31, 2015 for the design, construction, operations, and maintenance of the "OC Streetcar System" (MOU); and WHEREAS, the CITY will be granting AUTHORITY easements at SARTC which will permit AUTHORITY to use a portion of SARTC for the construction, operation and maintenance of the OC Streetcar System; and WHEREAS, the Parties have entered into or will be entering into various cooperative agreements for the design, construction, use of CITY right of way, and operation and maintenance of the OC Streetcar System; and WHEREAS, the AUTHORITY's Board of Directors authorized its Chief Executive Officer to execute this Agreement on day of , 2017; and WHEREAS, the CITY's City Council approved this Agreement on day of , 2017. NOW, THEREFORE, it is mutually understood and agreed by AUTHORITY AND CITY as follows: ARTICLE 1. DEFINITIONS As used in this Agreement, the following terms, phrases, words and their derivations, shall have meanings set forth herein. Words used in the present tense include the future tense. Words used in the singular shall include the plural, and the plural words shall include the singular. Words not specifically defined shall be given their common and ordinary meaning. a. "Communication Shelter" refers to the communication shelter owned and operated by OCTA/SCRRA Identified as Operating Property within Exhibit A, attached hereto and incorporated herein by this reference. 2of13 25H-6 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 b. "Commuter/Intercity Rail Station" refers to the commuter/intercity rail passenger terminal which includes Operating Property, Non -Operating Property, and the OC Streetcar System and is as depicted in Exhibit B, attached hereto and incorporated herein by this reference. C. "Non -Operating Property" refers to all property not listed as Operating Property or OC Streetcar System Property including but not limited to the items listed in Exhibit C, attached hereto and incorporated herein by this reference. d. "OC Streetcar System" refers to the OC Streetcar passenger transportation system to be owned, operated, and maintained by the AUTHORITY including all streetcar tracks, stations, streetcar vehicles, conduits, electric lines, traction power poles, traction power substations, cross -span wires, streetcar signal equipment, and other functionally related and appurtenant equipment and facilities. The OC Streetcar System elements are contained within the OC Streetcar System Property. e. "OC Streetcar System Property" shall refer to the property described in Exhibit "F", which property will be located upon an exclusive easement that CITY will provide AUTHORITY in connection with AUTHORITY's construction, operation and maintenance of the OC Streetcar System, which easement area is generally depicted as OC Streetcar System Property in Exhibit B, Commuter/Intercity Rail Station. f. "OCTA/SCRRA" refers to the provision of certain elements contained in this Agreement through the AUTHORITY's relationship with the Southern California Regional Rail Authority (SCRRA), a joint powers agency of which AUTHORITY is a member. g. "OCTA/SCRRA Right of Way" means the railroad right of way owned by the AUTHORITY for operating commuter rail service where the Commuter/Intercity Rail Station provides the public access to such commuter service. h. "Operating Property" refers to that property essential to OCTA/SCRRA railroad operations, including but not limited to the items listed in Exhibit A. i. "Platform Fixtures" refers to the fixtures attached to the Standard Platform, 3of13 25H-7 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 including but not limited to lighting fixtures, trash cans, benches, bench shelters, and signs which are categorized as Non -Operating Property. j. "Standard Platform" refers to the station platform(s) at the Commuter/Intercity Rail Station supporting the commuter/intercity rail service in the OCTA/SCRRA Right of Way. The Standard Platforms are categorized as Non -Operating Property. k. "Ticket Vending Machines" are the ticket vending machines owned and operated by OCTA/SCRRA located at the Commuter/Intercity Rail Station and Include any ticket vending machine support facilities. Ticket Vending Machines and ticket vending support facilities are categorized as Operating Property. ARTICLE 2. PURPOSE OF COOPERATIVE AGREEMENT The purpose of this Agreement is (1) to set forth provisions for the maintenance and security for the Commuter/Intercity Rail Station as it relates to the provision of commuter/intercity rail service; and (2) to set forth provisions for the AUTHORITY's use of SARTC for the design, construction, operations, and maintenance of the OC Streetcar System; and (3) to reflect improvements that have been made to SARTC since the 1994 Agreement and the Parties relative obligations relating thereto. ARTICLE 3. RESPONSIBILITIES OF THE CITY 3.01 Commuter/Intercity Rail Station Construction. The City shall be the lead agency for the construction of future Commuter/Intercity Rail Station improvements with the exception of improvements within the OC Streetcar System Property. Any future construction affecting Operating Property shall be coordinated with the AUTHORITY prior to construction. 3.02 Planning Zoning and Permits. The CITY shall obtain and comply with any and all approvals, permits, licenses and authorizations required by applicable law to enable it to fulfill its responsibilities as set forth in this Section 3 and shall comply with all federal, state and local laws, regulations, rules and ordinances. Moreover, the CITY agrees to act as the lead agency on all planning, zoning and permit activities as required by California law, unless specified to the contrary in paragraph 3.04 OCTA/SCRRA Right of Entry. The CITY will apply for and secure, at 4of13 25H-8 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 the sole expense of the CITY, all permits required for the operation of the Commuter/Intercity Rail Station. 3.03 Maintenance and Repair. The CITY agrees, at no cost to the AUTHORITY, to maintain and repair the Non -Operating Property that is described in Exhibit C as well as that portion of OC Streetcar System Property that is described in Exhibit C, in good condition and order, and free from refuse, for the benefit of the public and the persons using the Commuter/Intercity Rail Station for so long as the AUTHORITY shall serve commuter/intercity rail passengers at the Commuter/Intercity Rail Station pursuant to this Agreement. 3.04 OCTA/SCRRA Right of Way Right of Entry. CITY shall, and shall require its contractors, to notify and receive prior permission from the SCRRA In advance of any work to be performed on the SCRRA/OCTA Right of Way. Additionally, the CITY and its contractors shall comply with all SCRRA safety requirements and obtain appropriate SCRRA Right of Entry documents. 3.05 OC Streetcar System Property Right of Entry. All work activities, either those of the CITY or third parties, within the controlled work access zone limits depicted and described in Exhibit D, Streetcar Controlled Work Access, require a permit issued by the AUTHORITY prior to work commencing. The CITY shall not issue any permits to any third parties to work in the Streetcar Controlled Work Access area, within the controlled work access zone without prior evidence of a current AUTHORITY access permit. 3.06 Insurance. The CITY shall, during the term of this Agreement, maintain adequate liability insurance and in no event less than two million dollars ($2,000,000) per occurrence and in the aggregate, for claims relating to bodily injury, death, property damage and all automotive operations, which arise out of CITY's obligations under this Agreement. Such insurance may be in the form of a policy of commercial insurance, self-insurance, joint powers insurance authority or combination thereof. The AUTHORITY, its officers, agents and employees shall be named as an additional insureds on the CITY's policies. The requirement for insurance shall not limit or otherwise modify the CITY's defense and indemnity obligations as set forth in Section 3.07 hereof. 5of13 25H-9 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 3.07 Indemnity. Neither the AUTHORITY nor the SCRRA nor any officers, employees or agents thereof shall be responsible for any damage or liability occurring by reason of anything done or omitted to be done by the CITY in connection with the CITY's responsibilities under this Agreement. The CITY shall be responsible for handling and processing any and all claims relating to the CITY's responsibilities under this Agreement. It is also understood and agreed that, pursuant to Government Code Section 895.4, the CITY shall fully indemnify, defend and hold the AUTHORITY and/or SCRRA harmless from any liability imposed for injury (as defined by Government Code Section 810.8), occurring by reason of anything done or omitted to be done by the CITY in connection with the CITY's responsibilities under this Agreement. 3.08 Station Security. The CITY shall arrange for and fund the provision of security for the Non -Operating Property. CITY standards shall be used to determine the level of security to be provided for the Non -Operating Property. 3,09 Commuter/Intercity Rail Parkinq, The CITY will perform all the appropriate planning, zoning, and permit activities necessary to ensure sufficient station parking is reserved for rail commuters. The CITY shall make good faith efforts to provide a minimum of three hundred (300) spaces for commuter rail parking at SARTC. Should OCTA establish through a parking study that passenger rail parking utilization has reached 85% capacity for a period of six (6) months, the CITY shall make good faith efforts to provide a minimum number of spaces for commuter rail parking as determined in the study up to a maximum of five hundred (500) spaces. In the event that an increase in parking is required, OCTA shall provide all parking control equipment necessary to control access. 3.10 Sublease. The CITY may sublease or grant privileges or concessions at SARTC; excepting therefrom the Standard Platform and the OC Streetcar System Property. The CITY may sublease or grant privileges or concessions on the Standard Platform or the OC Streetcar System Property as mutually agreed, in writing, between the AUTHORITY and the CITY. 3.11 Grant of Easement. The CITY shall, at no cost, grant to AUTHORITY an exclusive easement(s) for use of the OC Streetcar System Property for those purposes set forth in this 6of13 25H-10 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 Agreement in the area generally depicted as OC Streetcar System Property in Exhibit B, Commuter Rail/Intercity Rail Station. The precise terms and conditions of the easement(s) shall be as agreed upon by the Parties and set forth therein. Upon recordation of the easement(s), it shall be attached to this Agreement and be incorporated herein as Exhibit E, entitled "OC Streetcar System Property Easements". To the extent that any terms and conditions of the easement(s) are inconsistent with this Agreement, then the easement(s) shall control. 3.12 Assignment to Another Party. The Parties hereby acknowledge and agree that at some future date, the CITY may, at its option, assign its rights, interest, duties, and obligations under this Agreement to another Party as it relates to the Commuter/Interclty Rail Station, provided that no such assignment shall be effective unless the CITY provides thirty (30) days prior written notice to AUTHORITY. With respect to any such assignment of the CITY's obligations relating to the OC Streetcar System Property, such assignment shall be subject to the assignment provisions in Article 14, entitled, "Assignment", of Cooperative Agreement No, C-6-1433 Use of the City Right of Way by and between the Parties (ROW Agreement), and any amendments thereto, which Article 14 is incorporated herein by reference. ARTICLE 4. RESPONSIBILITIES OF AUTHORITY 4,01 Platform Lease. The AUTHORITY shall lease the Standard Platform to the CITY for one dollar ($1.00) per year, This Agreement constitutes the lease agreement between the AUTHORITY and the CITY. 4.02 Insurance. The OCTA/SCRRA shall, during the term of this Agreement, maintain adequate liability insurance and in no event less than two million dollars ($2,000,000) per occurrence and in the aggregate, for claims relating to bodily injury, death, property damage and all automotive operations, which arise out of OCTA/SCRRA's obligations under this Agreement. Such insurance may be in the form of a policy of commercial insurance, self- insurance, joint powers insurance authority or combination thereof. The CITY, its officers, employees and agents shall be named as an additional insured on the OCTA/SCRRA and AUTHORITY policies. The requirement for insurance shall not limit or otherwise modify OCTA's 7of13 25H-11 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 defense and indemnity obligations as set forth in Section 4.03 hereof. 4.03 Indemnity. Neither the CITY nor any officers, employees or agents thereof shall be responsible for any damage or liability occurring by reasons of anything done or omitted to be done by the AUTHORITY or the SCRRA in connection with the OCTA/SCRRA's responsibilities for the Commuter/Intercity Rail Station or AUTHORITY's responsibilities for the OC Streetcar System Property under this Agreement. It is also understood and agreed that, pursuant to Government Code Section 895.4, the AUTHORITY shall fully indemnify, defend and hold the CITY harmless from any liability imposed for injury (as defined by Government Code Section 810.8), occurring by reason of anything done or omitted to be done by the AUTHORITY or the SCRRA in connection with the OCTA/SCRRA's responsibilities for the Commuter Rail/Intercity Rail Station under this Agreement. This same indemnification, defense and hold harmless obligation is imposed upon AUTHORITY, but not SCRRA, with respect to anything done or omitted to be done by AUTHORITY in connection with AUTHORITY's responsibilities for the OC Streetcar System. 4.04 Assignment to Another Party. The Parties to this Agreement hereby acknowledge and agree that at some future date, the AUTHORITY may, at its option, assign its rights, interest, duties, and obligations under this Agreement as it relates to the Commuter/Intercity Rail Station to another Party, provided that no such assignment shall be effective unless the AUTHORITY has given thirty (30) days prior written notice to CITY. With respect any such assignment of AUTHORITY's use, operation and maintenance of the OC Streetcar System Property, such assignment shall be subject to the same assignment provisions set forth in Section 3.12 of this Agreement. 4.05 OCTA/SCRRA Maintenance and Repair The AUTHORITY agrees, at no cost to the CITY, to maintain and repair the Operating Property (Exhibit A) and the OC Streetcar System Property (Exhibit F), in good condition and order, and free from refuse, for the benefit of the public and the persons using the Commuter/Intercity Rail Station for so long as the AUTHORITY shall serve commuter/intercity rail passengers at the Commuter/Intercity Rail Station pursuant to 8of13 25H-12 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 this Agreement. 4.06 OC Streetcar System Design and Construction. The AUTHORITY shall fund and implement the design and construction of the OC Streetcar System on the OC Streetcar System Property consistent with the provisions of Cooperative Agreement No. C-5-3583 by and between the Parties for the design phase of the OC Streetcar Project" and upon execution by the Parties, Cooperative Agreement C-6-1516, which agreements are, and upon the Parties' execution thereof, incorporated herein by reference to the extent applicable to the OC Streetcar System Property. 4.07 OC Streetcar System Operations and Maintenance. The AUTHORITY shall be responsible for operations and maintenance of the OC Streetcar System. The standards for operations and maintenance shall be as provided for in the MOU and upon execution, the cooperative operations and maintenance agreement to be entered into by the Parties, which are, to such extent, incorporated herein by reference. 4.08 OC Streetcar System Security. The AUTHORITY shall arrange for and fund the provision of security for the OC Streetcar System Property . The AUTHORITY's responsibility for funding security does not supersede or reduce the CITY's responsibility for funding operating costs as identified in the MOU. ARTICLE 5. NOTICES Any notices, requests, or demands made between the Parties pursuant to this Agreement shall be in writing and delivered by certified mail. Phone and e-mail may be used for convenience but are not considered as official notice. Notice information may be changed by either Party at any time upon written notification being received by the other Party of the change in nouce rnrorrnaaon wtm the rnrormaeon provraea Mow, ivouces are to oe airecteo as rouows: To CITY: To AUTHORITY: City of Santa Ana Orange County Transportation Authority Attention: Clerk of the Council 550 South Main Street 20 Civic Center Plaza P.O. Box 14184 9of13 25H-13 1 2 3 4 5 6 7 8 9 10 '1 "1 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 P.O. Box 1988 Santa Ana, CA 92701 Orange, CA 92863-1584 ATTENTION: ATTENTION: SARTC Property Manager Bridget Carman 1000 E. Santa Ana Blvd., Suite 108 Contracts Administration and Materials Santa Ana, CA 92701 Management Email: glomeli@santa-ana.org Tel: (714) 560-5478 E-Mail: bcarman@octa.net Cc: Cc: Fred Mousavipour James G. Bell Executive Director, Public Works Agency Executive Director, Capital Programs Tel: (714) 647-5654 Tel: (714) 560-6646 E-Mail: fmousavipour@sante-ana.org E-Mail: JBeil@octa.net Cc: City Attorney ARTICLE 6. MISCELLANEOUS 6.01 Consents and Approvals. Any and all consents and approvals provided for or permitted by this Agreement shall be in writing, and a signed copy thereof shall be filed and kept with the records of this Agreement. 6.02 Entire Agreement. This document, the attachments hereto, and the documents or portions thereof incorporated herein by reference, contain and constitute the entire understanding and agreement between the Parties with respect to the subject matter hereof. This AGREMEENT supplements and does not supersede Contract No. 172225 between the CITY and the AUTHORITY as successor in interest to the Atchison, Topeka and Santa Fe Railway Company as it applies to the Commuter/Intercity Rail Station. 6.03 Amendments. This Agreement may be amended or modified only by an instrument in writing, stating the amendment or modification, signed by the Parties hereto. 10 of 13 25H-14 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 6.04 Severability. If any term, provision, covenant or condition of this Agreement is held to be invalid, void or otherwise unenforceable, to any extent, by any court of competent jurisdiction, the remainder of this Agreement shall not be affected thereby, and each term, provision, covenant or condition of this Agreement shall be valid and enforceable to the fullest extent permitted by law. 6.05 Headings and Subtitles. Headings and subtitles of this Agreement have been used for convenience only and do not constitute matter to be considered as interpreting this Agreement. 6.06 Attorneys Fees. In the event of any dispute hereunder or any proceeding to enforce the provisions hereof, the prevailing Party in such dispute or proceeding shall be entitled to recover, among other things, all costs, reasonable attorney's fees and reasonable disbursements, regardless of whether such dispute or proceedings are handled by attorneys or employees of such Party or outside counsel. "Prevailing Party in dispute or proceeding" shall be the Party who obtains substantially all the relief sought by such Party in such action or proceedings, regardless of whether final court judgment is entered. 6.07 No Waiver on Default. No waiver of any right or failure to exercise any remedy with respect to any matter or event which is the subject of this Agreement shall be or be deemed to be a waiver of such right or remedy with respect to any other matter or event, or to constitute a precedent for purposes of interpretation of this Agreement. 6.08 Governing Law. This Agreement shall be governed by and shall be construed in accordance with the laws of the State of California. ARTICLE 7. TERMINATION OF AGREEMENT This Agreement shall commence on the date this Agreement is executed by both Parties and shall constitute the Parties' agreement with respect to the matters addressed herein from that date forward. The term of the Agreement shall continue until: a. The AUTHORITY or a properly designated assignee of AUTHORITY discontinues to utilize SARTC to serve commuter/intercity passengers. b. The sale or transfer of title of the Commuter/Intercity Rail Station; 11 of 13 25H-15 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 C. The assignment by a Party without providing prior written notice to the other Party of any of the rights, title, or obligations set forth in this Agreement as it relates to the Commuted]ntercity Rail Station shall give rise to the right of the non -assigning Party to terminate; d. The involuntary transfer by a Party of any of the rights, title or obligations set forth In this Agreement as It relates to the Commuter/Intercity Rail Station shall give rise to the right of the non -transferring Party to terminate; e. Any material default or breach of this Agreement by either Party which has not been cured within thirty (30) days after notice of such default by the other Party, or such later time as is reasonable necessary if the default cannot be reasonably cured within such thirty (30) day period. ARTICLE 8. TERMINATION OF EASEMENT The provisions of Article 7 shall not apply to those provisions of this Agreement governing the Parties' agreement relating to AUTHORITY's use of and easement interests in the OC Streetcar System Property. Article 6, entitled "Termination" of the ROW Agreement, shall govern the termination of that portion of this Agreement relating to the OC Streetcar System Property, which Article 6 is incorporated herein by reference. ARTICLE 9. ACCEPTANCE The undersigned, having read the foregoing, accept and agree to the terms set forth therein. Gerardo Mouet Darrell Johnson Acting City Manager Chief Executive Officer 12 of 13 25H-16 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 By: f Sonia R. Carvalho City Attorney APPROVAL RECOMMENDED: By: Fred Mousavipour Executive Director, Public Works Agency Date: James M. Donich General Counsel APPROVAL RECOMMENDED: By: James G. Beil Executive Director, Capital Programs EXHIBITS Exhibit A — Operating Property Exhibit B — Commuter/Intercity Rail Station Exhibit C — Non -Operating Property Exhibit D — Streetcar Controlled Work Access Exhibit E — OC Streetcar System Property Easements Exhibit F -- OC Streetcar System Property 13 of 13 25H-17 COOPERATIVE AGREEMENT NO. C-94.859 EXHIBIT A OPERATING PROPERTY OCTA/SCRRA is responsible for the maintenance of the following facilities: • OCTA/SCRRA provided electronic information signage • Communication Shelter • Customer Information System (Metrolink Public Address and Electronic Changeable Message Signs) • Operating Property Utility Costs • Painted Guide Lines • Painted "Stand Behind This Line" Messages • Tactile Warning Strips • Ticket Vending Machines & Support Facilities • Track (Rails, Ties, and Ballast) • Inter -Track Fence along OCTA/SCRRA Right of Way 25H-18 COMMUTER/INTERCITY RAIL STATION OC STREETCAR SYSTEM PROPERTY' SEE NOTE I NOTES: LE9ml f 1. SPECIFIC Of, STREETCAR SYSTEM PROPERTY ®� COMA4JTER/INTERCITY RAIL STATION BOUNDARY 1 LIMITS ARE AS DEFINED IN EASEMENT - DC STREETCAR SYSTEM PROPERTY BOUNDARY, SEE NOTE i w DOCUMENTS. NOT TO SCALE 25H-19 COOPERATIVE AGREEMENT NO. C-94.859 EXHIBIT C NON•OPERATING PROPERTY The CITY is responsible for maintaining all facilities at the Commuter/intercity Rail Station that do not constitute Operating Property or OC Streetcar System Property including but not limited to: • Benches • Bench Shelters • City Public Address System • Curbs, curb and gutters, and wheel stops • Driveway pavement north of AUTHORITY's traction power substation within the OC Streetcar System Property • Electronically Controlled Sliding Gates • Fencing, excluding fencing on boundary of OC Streetcar System Property • Landscaping (City Standards shall be used to determine level of maintenance to be provided) • Lighting Fixtures • Non -Operating Property Utility Costs • Parking Garage • Pavement • Pedestrian Bridge Overpass including all associated equipment • Sidewalks • Signage • Standard Platforms • Surface Parking • Trash Cans OC Streetcar System Property The CITY is responsible for maintaining the following elements within the OC Streetcar System Property: • Curb and Gutter north of AUTHORITY'S traction power substation within OC Streetcar System Property • Driveway pavement at south end of OC Streetcar platform area • Sidewalk and curb and gutter at south end of OC Streetcar platform area adjacent to SARTC driveway 25H-20 2� $@ \LU ( 2 LU $ k E 0 0 0 - - - - - - - - - § >I �\ |§ 2 , � ;( \ ! § / J • . . _ .. ? ; « /\[■ �\ | | , )§// ]\ \\§§ AO\ |\ ---� i \ | § L------------- - ---� \ \ } ) 25H- 1 COOPERATIVE AGREEMENT NO. C-94-859 EXHIBIT E OC STREETCAR SYSTEM PROPERTY EASEMENTS 25H-22 COOPERATIVE AGREEMENT NO. C-94-859 EXHIBIT F OC STREETCAR SYSTEM PROPERTY All facilities within the OC Streetcar System Property unless designated otherwise in Exhibit C Non -Operating Property including, but not limited to: OC Streetcar Platform Area • Cobble rock within OC Streetcar System Property at north end of OC Streetcar System Property • Conduit Pull Boxes located in pavement or sidewalks within the limits of the OC Streetcar • Conduits supporting OC Streetcar System • Contact Wire • Drainage Inlets • Landscaping • Light Fixtures • OCS Poles and associated support brackets and hardware • Platform • Sidewalks • Signs • Span Wires • Streetcar Bumpers • Streetcar Signal Equipment • Streetcar Tracks (Rail, concrete, rubber boot, switches, switch boxes) • Streetcar Vehicles • Trash Cans • Benches • Bench Shelters Traction Power Substation Area • Ground Grid • Landscaping within OC Streetcar System Property • Light Fixtures • Meters • Signs • Pull boxes and associated conduits • Sidewalk on south side of traction power substation • Switch Boxes • Traction power substation 25H-23 25H-24 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: AGREEMENT WITH CARDNO, BA INC., AND C BELOW, INC., FOR ON -CALL SUBSURFACE UTILITY ENGINEERING SERVICES (BID NO. 16-114) {ST��PLAN /NO. 6�¢ 1 CIT MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ 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 agreements with Cardno, BA Inc., and C Below, Inc., to provide on -call subsurface utility engineering services, for a three-year period beginning April 18, 2017, and expiring April 17, 2020, in an aggregate amount not to exceed $900,000 for the term of the contract, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION The City of Santa Ana Public Works Agency administers the design and construction of capital improvements projects as part of the Capital Improvement Program (CIP). Some of these CIP projects include the repair and/or replacement of subsurface utilities. Approval of the recommended action will allow the City to perform subsurface utility engineering services to locate and identify underground utilities in the planning, design, pre - construction, and construction phases, as needed. These services will assist staff in minimizing potential conflicts between proposed improvements and other underground utilities, and reducing the potential of unforeseen conditions during construction. On September 14, 2016, the Public Works Agency released a Request for Proposals on the City's website and notified qualified consulting firms. Four proposals were received and evaluated by a review committee from the Public Works Agency. Each firm was rated according to its organization, credentials, resumes, references, and rates to provide the required services. All four of the firms were responsive. Following is the list of the firms and their respective scores: FIRM SCORE Cardno 91.8 BA Inc. 85.8 C Below, Inc. 84.4 SPEC - Services Inc. 81.8 Based on the ratings, staff recommends that Cardno, BA Inc., and C Below, Inc., be retained to provide subsurface utility engineering services. The cost proposals from these firms were negotiated to ensure the City receives the highest quality and value. 251-1 Agreements with Cardno, BA Inc., and C Below, Inc., For Subsurface Utility Engineering Services April 18, 2017 Page 2 After awarding the agreements, the City will use a task -order system to ensure tasks are allocated to all consultants. The actual costs will be based on the approved hourly rates and the time expended on a project. The time and costs for each project will be closely monitored by City staff. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds for these on -call services are available for allocation as needed from various projects in the City's prior year and FY 2016-17 approved Capital Improvement Program (CIP). Funding will also be budgeted in future CIP projects. The following spending plan is subject to change, based on available funding. Any task order over $25,000, or account number not identified below, will require Finance approval prior to issuance of the Notice to Proceed. r)JA PreM s 'pour Executive Director Public Works Agency FMMEG/JG/AF APPROVED AS TO FUNDS AND ACCOUNTS: , 2sz� L� � h �t Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibit: 1. Agreement — Cardno Exhibit: 2. Agreement — BA Inc. Exhibit: 3. Agreement — C Below, Inc. 251-2 AGREEMENT TO PROVIDE SUBSURFACE UTILITY ENGINEERING SERVICES ON AN ON -CALL BASIS THIS AGREEMENT is made and entered into this 1 Sth day of April, 2017 by and between Cardno ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. On September 14, 2016, the City issued Request for Proposal No. 16-114, by which it sought Contractors to provide On -Call Subsurface Utility Engineering Services for the City of Santa Ana Public Works Agency. B. Contractor submitted a responsive proposal that was among those selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 16-114 and attached as Exhibit A. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional contracting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES On an as -needed basis, and at the sole discretion of City, Contractor shall perform the services that are described in Exhibit A. Contractor's proposal is incorporated by reference as though fully set forth herein. When the need for services arises, City may initiate services through use of a task or similar order issued to Contractor. 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximum compensation to Contractor under this Agreement. Contractor shall be paid only for actual services performed under this Agreement at the rates and charges identified in Exhibit B. Contractor is one of three Contractors selected to provide subsurface utility engineering services on an as needed basis under RFP No, 16-114. The total compensation for services provided by all contractors selected under RFP No. 16- H4 is a collective amount not to exceed $900,000 during the term of the Agreement. b. Payment by City shall be made within forty-five (45) clays following receipt of proper invoice evidencing work performed, subject to City accounting Exhibit 1 Page 1 of 251-3 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 tenuinate on April 17, 2020, unless terminated earlier in accordance with Section 17, below. 4. PREVAILING WAGES Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title $, Section 16000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws, 5. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Contractor under this Agreement ("Documents & Data"). Contractor shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Page 2 of 9 251-4 Documents & Data which were provided to Contractor by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 7. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal 'injury, including death resulting therefrom, and property damage, in the total amotmt of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the CITY, its officers, employees, agents, volunteers and representatives as additional insurcd(s), (b) be primary with respect. to insurance or self-insurance programs maintained by the CITY; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the California Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work 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. If Contractor is or employs a 'licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. C. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. Pw,e 3 of 9 251-5 (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) clays prior written notice to the City. (iv) Contractor shall supply City with a fully executed additional insured endorsement. if Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such ternunation shall not affect. Contractor's right to be paid for its time and materials expended prior to notification of termination, Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNI Ia ICA'I'ION Contractor agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Contractor 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; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the tears of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, ,judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Contractor's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. Page 4 of 9 251-6 9. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor shrill defend, indemnify and hold harmless the City, its officers, agents, representatives, and employees against any and all liability, including costs, and attorney's fees, forinfringement of any United States' letters patent, trademark, or copyright contained in the work product or documents provided by Contractor to the City pursuant to this Agreement. 10. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Contractor shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Contractor shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Contractor render this Agreement. 11. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information' shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interest and shall not have interests, direct or indirect, which wound conflict in any manner with performance of services specified under this Agreement. 2t1-7 13. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax 714- 647-6956 To Contractor: Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 Fax 714-647-5635 Cardno 5622 Research Drive, Unit A Huntington Beach, CA 92649 Attn: Matt Tomanek A party may change its address by giving notice in writing to the other party. Thereafter, any communication shill 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. 14, EXCLUSIVITY AND AMENDMENT "Phis Agreement represents the complete and exclusive statement between the City and Contractor regarding the subject matter herein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terns of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terns or conditions of any purchase order or other Page 6 o r 9 251-8 instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 1.6. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Contractor to deliver to the City all work product completed as of such date, and in such case such world product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate. Payment need not be made for world which fails to meet the standard of performance specified in the Recitals of this Agreement. 18. NON-DISCRIMINATION Contractor shall not discriminate because of race, color, creed, relation, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities or in connection with any activities under this Agreement. Contractor affirms that it is an equal opportunity employe- and shall comply with all applicable federal, state and local laws and regulations. 19. JURISDICI"ION-VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 20. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 21. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and 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. ATTEST: CITE' OF SANTA ANA MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney J n M. Funi< Assistant City Attorney GERARDO MOUET Acting City Manager CONTRACTOR Name: 'Title: Page 8 of 9 251-10 RECOMMENDED FOR APPROVAL FRED MOUSAVIPOUR Executive Director Public Works Agency CITY OF SANTA ANA EXHIBIT RIP NO.: 16-114 SUBF'UR FACE UTII_TTV ENGINEERING SEMI CES SCOPIi OF WORK RrltrodraCtion and Backt_Jround: The City of Santa Ana is located in the County oPt7range in Southern California. The City encompasses 27.5 square, miles and a population of over 325,000 people. The City of Santa Ana Public Works Agency (PWA) is soliciting proposals for Subsurface Utility Engineering (SUE) Services. These tastes include location and identifieatioa of underground utilities in the planning, design, pre -construction, and construction phases. These services are on -call and on an as - needed basis. This request for proposal (RF'P) provides interested qualified firms with the hnformation enabling there to submit it Service Bid Proposal and to provide the services described heroin. Dcscrlpilon o('Work: On as needed basis, the selected firmis shall provide the City with the following services as describe([ herein. tlnclergrouud Utility Locating: Determine the precise horizontal and vertical position, size, condition, material, futility owner/s name and other characteristics Of underground utilities using vacuum excavation and or other comparable means. • Obtain and review plans provided by the City showing areas requiring locating (test boraholes) sites as hdantified by the plans. Excavate using a method to enable vertical and horizontal exploration and locating means, Furnish and install permanent above ground marker and color code for each of the utilities (i.e., P,K. nail, peg,, steel pier, or hub) directly above the centerline of the structure and record the elevation of the market, along with all the characteristics of the utility. All horizontal and vertical data shall meet survey standards in accordance and as detailed by the Engineer Provide the following as part of the borehole test information a. Elevation top and bottom of the utility tied to the daturu and or furnished information by the Engineer. The accuracy of the vertical elevation shall be within (+/- ,1 ft). b. Elevation of the existing grade over the utility test borehole and the pavomant and back,fill material c. Horizontal location refireneed to the provided datum and or as requestQd by the Engineer d. Obtain pipe, duct bank, encasement, and multi- conduit configuration vvidth (outside diameter) e. Provide utility structure material composition and condition f. ldendly benchmarks used to deternune elevations and include it as part of the final deliverable report. s. Identify and provide pavement thickness, material and condition and soil type characteristics. 251-12 CITY O SArNTA e\i` A RPP NO,: t6.I14 SUBFURFACE UTILITY ENGIN1."LU GSERVICES • All completed reports shall be certified to be correct and sided by a professional land surveyor registered in California. (Only if required by the Engineer). Work under this category will be paid on hourly basis. • Bacicfill all test holes shall be backfihed with in kind material and compact to a. relative compaction of 90%. • Boreholes greater than 2ftx shall be paved and match existing pavement thickness section unless stated otherwise and or approved by the Englnoer. • Clean and sweep work site at the end of the work day. Provide additional surveying, and underground utility mapping services at an houriv rate General Requirements and Prollect Deliverables' • All work for this work for traffic control shall be done in accordance with the Federal Highway Administration's Manual (NIUTCD) • The selected ftrm�s shall obtain all necessary permits from the City and local jurisdiction prior to commencing any of the work in Public Right of flay. • Any work required on private property shall be authorized by the Engineer prior to commencement of work. • All work shall be done in accordance with ASCE Standard 38.02; Standard Guideline for the collection and depiction of the existing suibsurfaee utility data. • The firn,,s shah secure all permits to work in tae City, These fees are not reimbursable. • All work shall be perfonnod to the specific project and or location as detailed in the notice to proceed and indicated by the Engineer. • All reports and tealuueai memoranda shall be submitted electronically to City and shall include all the information as required and detailed in the notice to proceed. All Computer Aided Drafting Design (CADD) work shall be submitted on electronic format (Mierostation). In addition, a hard copy of the project findings and a digital file in Mierostation shall be submitted to the engineer for review before final approval and final payment is authorized. A list oppositions and hourly rates shall be included as part of the proposal and included in the seal bid Package, See Attachment 4 — ADDITIONAL .PROVISIONS for a sample breakdown. The consulting f nn,='s are responsible for any danla;e to utilities during the locating e#'For ts, Consultant R0112Rsi11illtics: Consultant Audits and Review Process; Prior to awarding the contract, the selected Consultant shall be subject to an audit or review by Caltrans' Audits and Investigations {Ac t), other state audit organizations, or the federal government. The selected Consultant shall complete Exhibit 10-IC— Consultant Certification Contract Costs and financial, in the Appendix of this UP as Attachment 4, Tirme is of the essence and work shall commence within 6 days o" the Notice to Proceed for phaurd untlergr'ou.nd utility locating services. 251-13 CITY OIr SANTA r\:tiA RFP NO.: 1.6-114 SI.iBFURI'ACL UTILITY ENGINEERING SERVICES The consultant shall be available to provide on -call services within 484iours for unplanned utility locating services. City Re ST0110bilitles: The City will provide information in its possession relevant to tho preparation. of the required information in the RFP, The City will provide only the staff assistance and the documentation specifically in referred to herein. Fee Lro gs 11, In addition to Section IV.B3 (Submittal Requirements: Fee Proposal) Pee schedule shall be structured as Follows: for Cahruts Funded projects, reference LAPM Exhibit 10-1-1(sample cost proposal) and inchule to Attaclurtent 4. • The City will select up to (three) firms to provide the services + The fee proposal shall include the fiirtn's standard hourly fee schedule, and/or project Pee schedule whore applicable and as outlined in this this documents. S1:taciall Recttiiruments (Attachment al): Coniyal.tiance with heattirements of Fund,imy Alien fuse as approprinta/d,elete unused section;: o IfCaltnins: This project is hnided through XXXX and shall comply with all requirements of X XX The attached farms must be completed in their entirety and submitted with your proposal: • LAP Exhibit IO-H: Sample Cost Proposal » LAPM Exhibit 10-1: Notice to Proposers, DBE. Information + LAPVI Exhibit IO-Cl: Clonsul.taait Proposal DBE Comnzittnerit + LAP Exhibit 10-K: Consultant Cetlification of Contract Costs and Financial morlagemen', System If the project will be financed by federal funds all services rendered shall meet all required Federal recpiiremtents included in this request for proposal, COnSUltant5 are advised that, as required by federal law, the, City orSunta Ana is implementing the new Race Conscious Disadvantaged. Business Enterprise (DISC) Program. The DBE goal for this contract is 9,60'1,10. 251-14 IMAH110 WWI City of Santa Ana RFP NO 16-114 for Subsurface Utility Engineering Services 2016 Cardno Rates Subsurface Utility En in oring Services Professional Service Prevailing Wa a Rate PW Overtime Unit Pothole Under Natural Ground _ 750.00 $850.00 er hole Pothole Under Paving / Concrete $850.00 $950.00 per hole Pothole Exceeds 6.99 feet in De th $140.00 $160.00 perfoot Vacuum Excavation Truck Crew and E ul ment 455.00 455.00 _per hour Utility Designatin & Investigation Underground $1.251 $1.50 er foot Utilit Desi natin & Investi atinn Overhead $0.67 $0.80 perfoot Utility Deslanating 2 Man Crew and E ui ment $365.00 $425.00 per hour Utility Designating 1 Man Crew and E ui ment $275.00 $335.00 per hour Concrete l Asphalt Coring �_.� $2,10.00 $270.00 per hour Project En ineer $225.00 $225.00 per hour Senior Project Maner$20. ag 500 $205.00 er hour Project Manner $135.00 $135.00 per hour SUE Mangier ___$120.00 $120.00 per hour . SUE Supervisor _ _ �$140.00 $210.00 per hour SUE Technician 111 $120.00 $180.00 er hour _ SUE Technicianµ11 ^ �� $120.00 $180.00 -Per hour SUE Technician i^ _.._.._ _.._. $105.00 157.50. er hour CADD Technician _. 85.Oq ,. 127.50 per hour Technical Sr.ipport $75.00 $112,501 per hour Expenses Per Diern GSA rates __ _ Encroachrnent and Traffic P_ermits actual cost Subcontractors_ cost plus 10% _ Miscellaneous Expenses cnst plus 100/0 251-15 251-16 AGREEMENT TO PROVIDE SUBSURFACE UTILITY ENGINEERING SERVICES ON AN ON -CALL BASIS THIS AGREEMENT is made and entered into this l8th day of April, 2017 by and between BA, Inc. ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. On September 14, 2016, the City issued Request for Proposal No. 16-114, by which it sought Contractors to provide On -Call Subsurface Utility Engineering Services for the City of Santa Ana Public Works Agency. B. Contractor submitted a responsive proposal that was among those selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in RFP No, 16-114 and attached as Exhibit A. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional contracting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the teams and conditions hereinafter set forth, the parties agree as follows; 1. SCOPE OF SERVICES On an as -needed basis, and at the sole discretion of City, Contractor shall perform the services that are described in Exhibit A, Contractor's proposal is incorporated by reference as though firlly set forth herein. When the need for services arises, City may initiate services through use of a task or similar order issued to Contractor. 2. COMPENSATION ,It. City neither warrants nor guarantees any minimum or maximum compensation to Contractor under this Agreement. Contractor shall be paid only for actual services performed under this Agreement at the rates and charges identified in Exhibit B. Contractor is one of three Contractors selected to provide subsurface utility engineering services on an as needed basis under RFP No, 16-114. The total compensation for services provided by all contractors selected under RFP No. 16- 114 is a collective amount not to exceed $900,000 during the term of the Agreement. b. Payment by City shrill be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting Page. 1 of 251-17 procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on April 17, 2020, unless terminated earlier in accordance with Section 17, below. 4. PREVAILING WAGES Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged £allure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Contractor 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-employce relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property ernbodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Contractor under this Agreement ("Documents & Data"). Contractor shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Page 2 of 9 2814b2 Documents & Data which were provided to Contractor by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that ally such use not within the purposes intended by this Agreement shall be at City's sole risk. INSURANCE Prior to undertaking perl=onnance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: I . Commercial General. Liability Insurance. Contractor shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising fro n bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts Of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the CITY, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the CITY; and (c) contain standard separation Of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the California Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. o. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in hill force and effect for the entire period covered by this Agreement. pa , 3 ot'9 25;-19 (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) clays prior written notice to the City. (iv) Contractor shall supply City with a fully executed additional insured endorsement. f. if Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification. of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFIC:ATION Contractor agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Contractor or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, jest compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or assorting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Contractor's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. Page 4 of 9 251-20 9. INT'ELLECTUAL PROPERTY INDEMNIFICATION Contractor shall defend, indemnify and hold harmless the City, its officers, agents, representatives, and employees against any and all liability, including costs, and attorney's fees, for infringement of any United States' letters patent, trademark, or copyright contained in the work product or documents provided by Contractor to the City pursuant to this Agreement. 10. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Contractor shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Contractor shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Contractor under this Agreement. 11. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such inFormation except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shalt not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (c) is independently developed by the Contractor without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. Pa=e S of'9 25-21 13. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax 714- 647-6956 To Contractor: Executive Director Public Works Agency City of Santa Ana 20 Civic Center plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 Fax 714-647-5635 BA, Inc. 800 W 6"^ Street, Suite 400 Los Angeles, CA 90017 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. 14, EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor regarding the subject matter herein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not Page 6 of 9 251-22 bind or obligate Contractor or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 15, ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to litnit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services perfomned by Contractor prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 18, NON-DISCRIMINATION Contractor shall not discriminate because of race, color, creed, relation, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities or in connection with any activities under this Agreement. Contractor affirnns that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. Page 7 of 9 251-23 19. JURISDICTION -VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 20. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain Such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 21, MISCELLANEOUS PROVISIONS a, Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the tears of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's 'fees, for any injurics 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 WL-iEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA MARIA D. I-IUIZAR Cleric of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: 7 n M. Funk Assistant City Attorney GERARDO MOUET Acting City Manager CONTRACTOR Name: Title: pa'w 8 of'9 251-24 RECOMMENDED FOR APPROVAL FRET) MOUSAVIPOUR Executive Director Public Works Agency Page 9 of 9 251-25 CITY OF SAN-I A ANA EXH I BIT A RFP NO.: 16-114 SUBFURFACE UTILITY ENGINEERING SERVICES SCOPE OF WORK Jntt-oduetion and Backarounr,9: The City of Santa Ana is located in the County of Orange in Southern California. The City encompasses 27.5 square miles and a population ofovor 325,000 people, The City of Santa Ana Public Works Agency (PWA) is soliciting proposals for Subsurface Utility Engineering (SUE) Services. These tasks include location and identification of underground utilities in the planning, design, pre -construction, and construction phases. These services are on'catl and on an as - needed basis. This request for proposal (REP) provides interested qualified firms With the information enabling theist to subnut a Service 'Bid Proposal and to provide the services described herein, Description of LN'nrlu On as needed basis, the selected finufs shall provide the City with the following services as described herein. Underground Utility Locating: Determine the; precise horizontal and vertical position, ,size, condition, material, utility owner/s name and other characteristics of underground utilities using vacuum excavation and or other comparable means. Obtain and review plans provided by the City showing areas requiring locating (te.st'boreholes) sites as identified by the plans, Excavate using a method to enable vertical and horizontal exploration and locating means. Furnish and install permanent above groimd marker and color code for each of the utilities (Le., PK, nail, peg, steel pin, or hub) directly above the centerline of the structure and record the elevation of rho marker atong with all the characteristics of the utility. • All horizontal and vertical data shall meet survey standards in accordance and as detailed by the Engineer • Provide the following as part of the borehole test information a. Elevation top and bottom of the utility tied to the datum and or Furnished information by the; Engineer. The accuracy of the vertical elevation shall be within (+/- J ). b. Elevation of the existing grade over the utility test borehole and the pavement and backt:ill matelot c. Horizontal location referenced, to the provided datuAn and or as requested by the Engineer d. Obtain pipe, duct bank, encasement, and multi- conduit configuration width (outside diarneter) Q. provide utility structure material composition and condition f. Identify benchmarks used to determine elevations and include it as part of' the final deliverable report., g. (clentil:y and provide pavement thickness, material and condition and soil type characteristics. 251-26 CITY OF SANTA ANA RFP NO,: 16.114 SUI3h[iI2TACFJIT'1'fh[T�'I YCdIItiE13ltI.tiGSLRVIChS o All completed reports shall be certifiod to be correct and signed by a professional land surveyor registered in California. (Only if required by the Engineer). Work under this category will be paid on hourly basis. A Backfrll all test holos shall be baekfilled with in -kind material and compact to a relative compaction of 90%. • Boretwles greater than 2111 shall be paved and match existing pavement thickness section unless stated otherwise and or approved by the Engineer. Clean and sweep work site at the end of the work day. • Provide additional surveying, and underground utility mapping services at uin hourly rate GetieM LMgiremenfs rand Pa oiect i)elivea° abler° All work for this work for traffic control shall be done in accordance with the Federal Highway Administration's Manual (MCJTCD) • The selected firaVs shall obtain all necessary permits from the City and local jurisdiction prior to conarnencirrg any of the work in Public Right of Way. Any work required on private property shalt be authorized by the Engineer prior to comniencem"nt of work. All work shall be done in accordance with ASCE Standard 38-02; Suindard Guideline for the collection and depiction of the existing subsurface utility data. • 'file firmrs shalt secure all permits to work in the City. These fees are not reirnbursable. All work shall be perfom-icd to the specific project and or location as detailed it,, the notice to proceed grid indicated by the Engineer. + All reports and technical memoranda shall be submitted etectrorucally to City and shall include all the information as required and detailed in the notice to proceed, All Computer Aided Drafting Design (CARD) work shall be submitted on electronic format (Microstation). In addition, a hard copy of the project findings and a digh�at file in. Microstatiou shall be submitted to the engineer for, review before final approval and final payment is authorized, A list of positions and hourly rates shall be included as part of the proposal and included in the seal bid package, See Attachment 4 — ADI)rric)NAL PROVISIONS for a sample breakdown, The consulting firms are responsible for anydaniage to utilities during the locating efforts. C011Staltaant ResJoonsibll.1tics: .Q()n3Ultant Auulht_a`tl Rey.izr+, i'roce;is: Prior to awarding the con`.ract, the selected Consultant shall be subject to an audit or review by Caltran. Audits and bnvestigatious (A8,I), other state wa(lit organizations, or the federal government. The selected Consultant shall complete Exhibit 10-F — Consultant Certitication Contract GosU and Financial, in the Appendix of this RFP as Attachment 4. Time is of the ossenco and work shall commence within .S days of the Notice to Proceed for planned Underground utility locating S::I"V lcu"S, 251-27 CITY OF SANiA ANA R FP NO.: '16-114 SUBFURFr1 CL'OTILITY ENGINF,.t;F ING SERVIC3ES The consultant shall be available to provide on -call services within 44-hours for unplanned utility locating services. City ResponMERies: The City will provide information in its possession relevant to the preparation of the required information in the RFP, The City will provide only the staff assistance and the documentation specifically in referred to herein. Fee EE2posal: In addition to Section IV,B,3 (Submittal Requirements: Fee Proposal) fee schedule shall be structured as follows: for Caltrans funded projects, referencc LAP.M Exhibit 10-1-1 (sample cost proposal) and include in Attachment 4. • The City will select up to (three) firms to provide the services • The f'ee proposal shall include the firm's standard hourly fee schadtile, and/or project fee schedule where applicable and as outlined in this this documents. IS aecieclttirenaenls (Attaohn�ent 4): Coa hti ce vyith. Requirements of Fundin - n_eney use as appropriateldalete unused sections: If Caltrans: This project is funded through XXXX and shall comply with all reduiremonts of XXXX The attached forms must be completed in their entirety and submitted with your proposal: • LAPM Exhibit 10-H: Sample Cost Proposal • LAPM Exhibit 10-I : Notice to Proposers, DBE Intbrination • LAPM Exhibit 10-01: Consultant Proposal DBE Commitment • LAPNI Exhibit I D-IC: Consultant Certification of Contract Costs and Financial rnaaagement Svstcm If the project will be financed by federal funds all services rendered shall meet all required federal requirements included in this request for proposal Consultants are advised that, as requircd by federal law, the City of Santa Ana is implementing the new 'Race Conscious Disadvantaged Bus nabs Enterprise (DBE) Program. The DBE goal for this contract is 9.60%. 251-28 BA Inc.'s rate schedule reflects a communication to provide the City of Santa Ana with high - quality service at a competitive rate. The following rates shown are effective until December 31, 2017: Principal $90.00 - $1105.00 $240.75 - $280,88 Chief Engineer $80.00 - $90.00 $214.00 - $240.75 Director $70.00 - $80.00 $187.25 - $214.00 Project Manager $65.00 - $70.00 $173,88 - $187.25 Senior Project Engineer/ $55.00 - $65.00 $147.13 - $173.88 Lead Superintendent Project Engineer III $45.00 - $60.00 $120.38 - $160.50 Project Engineer 11 $35.00 - $45,00 $93.63 - $120.38 Project Engineer 1 $25.00 - $35.00 $66,88 - $93.63 Field Laborer $20,00 - $30.00 $53.50 - $80.25 Administrative $15.00 - $20.00 $40.13 - $53.50 City of Santa Ana RFP 16- 114: Subsurface Utility Engineering Services 251-29 251-30 AGREEMENT TO PROVIDE SUBSURFACE UTILITY ENGINEERING SERVICES ON AN ON -CALL BASIS THIS AGREEMENT is made and entered into this 4th day of April, 2017 by and between C Below, Inc. ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"), RECITALS A. On September 14, 2016, the City issued Request for Proposal No. 16-114, by which it sought Contractors to provide On -Call Subsurface Utility Engineering Services for the City of Santa Ana Public Works Agency. B. Contractor submitted a responsive proposal that was among those selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 16-114 and attached as Exhibit A. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional contracting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES On an as -needed basis, and at the sole discretion of City, Contractor shall perform the services that are described in Exhibit A. Contractor's proposal is incorporated by reference as though fully set forth herein. When the need for services arises, City may initiate services through use of a task or similar order issued to Contractor. 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximum compensation to Contractor under this Agreement. Contractor shall be paid only for actual services performed under this Agreement at the rates and charges identified in Exhibit B, Contractor is one of three Contractors selected to provide subsurface utility engineering services on an as needed basis under RFP No. 16-114. The total compensation for services provided by all contractors selected under RFP No. 16- 114 is a collective amount not to exceed $900,000 during the term of the 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 Exhibit 3 251-31 procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on April 3, 2020, unless terminated earlier in accordance with Section 17, below. 4. PREVAILING WAGES Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and, "maintenance" projects. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless From any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Contractor shall, during the entire 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 Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Contractor under this Agreement ("Documents & Data"). Contractor shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Page 2 of 9 251-32 Documents & Data which were provided to Contractor by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 7, INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the CITY, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the CITY; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the California Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance, Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. Page 3 of 9 251-33 (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 tivrty (30) days prior written notice to the City. (iv) Contractor shall supply City with a fully executed additional insured endorsement, f. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Contractor agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, 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 Contractor 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; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terns of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Contractor's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to clahns that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. Page 4 of 9 251-34 9. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor shall defend, indemnify and hold hanmless the City, its officers, agents, representatives, and employees against any and all liability, including costs, and attorney's fees, for infringement of any United States' letters patent, trademark, or copyright contained in the work product or documents provided by Contractor to the City pursuant to this Agreement. l ORIG \" Contractor shall keep records and invoices in connection with the work to be performed tinder this Agreement. Contractor shall maintain complete and accurate records with respect to the costs incurred tinder this Agreement and any services, expenditures, and disbursements charged to the City for a minimun period of three (3) years, or for any longer period required by law, from the date of final payment to Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Contractor shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Contractor under this Agreement. 11. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, t1irugh no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City, 12. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. Page 5 of 9 251-35 13. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: 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 To Contractor: Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 Fax 714-647-5635 C Below, Inc. 14280 Euclid Ave Chino, CA 91710 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. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor regarding the subject matter herein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not Page 6 of 9 251-36 bind or obligate Contractor or the City, Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed, by City personnel or by other consultants retained by City. 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, light or remedy. No waiver of any breach, failure or Light, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Exeoutive Director may require Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate, Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 18. NON-DISCRIMINATION Contractor shall not discriminate because of race, color, creed, relation, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities or in connection with any activities under this Agreement. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. Page 7 of 9 251-37 19. JURISDICTION -VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 20. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, 'licenses, approvals, waivers, and exemptions, Said inability shall be cause for termination of this Agreement. 21. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City Billy, 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 fast above written. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALH0 City Attorney By:U Jam, ja M. Funk Assistant City Attorney GERARDO MOUET Acting City Manager CONTRACTOR Name: Title: Page 8 of 9 251-38 RECOMMENDED FOR APPROVAL FRED MOUSAVIPOUR Executive Director Public Works Agency Page 9 of 9 251-39 CITY OF SANTA ANA EXHI BIT A RFP NO.; 16-114 SUBFURFACE UTILITY ENGINEERING SERVICES SCOPE OF WORT{ Introduction and BacicQrouud: The City of Santa Ana is located in the County of Orange in Southern California. The City encompasses 27.5 square iniles and a population of over 325,000 people. The City of Santa Ana Public Works Agency (PWA) is soliciting proposals for Subsurface Utility Engineering (SUE) Services. These tasks include Ioeation and identification of underground utilities in the planning, design, pre -constriction, and construction phases. Those services are on -call and on an as - needed basis. This request for proposal (RFP) provides interested clualifed firms with the information enabling them to submit a Service Bid Proposal and to provide the services described herein. Description ofWorl.: On as needed basis, the selected flnr/s shall provide the City with the followlag services as described herein. Underground Utility Locating: Determine the precise horizontal and vertical position, size, condition, material, utility owner/s name and other characteristics of underground utilities using vacuum excavation a xl or other comparable means, Obtain and review plans provided by the City sbowing areas requiring locating (test boreholcs) sites as identified by the plans. • Excavate using a method to enable vertical and horizontal exploration and locating means. • rv=lsh and install permanent above ground marker and color code for cacti of the utilities (i.e., PK nail, ,peg, steel pin, or hub) directly above, the centerline of the strrcture and record the elevation of the marker along with all the oharactaristiw of the utility, • All horizontal and vertical data shall meet survey standards in accordance and as detailed by the; Engineer • Provide the following as part of the borehole test information a. Elevation top and bottom of the utility tied to the datuum and or furnished information by the Engineer, The accuracy of the vertical elevation shall be, within (+/- l ft). b, Elevation or the existing grade over the utility test borehole and, the pavement and backfill material c Horizontal location referenced to the provided dawn and or as requested by the Engineer d. Obtain pipe, duct bEwk, encasement, and multi- conduit confrguratioa width (outside diameter) e. Provide utility structure material composition and condition £ Identify benchmarks uscd to determine elevations and include it as part of the final deliverable report. g. Identify and provide pavement thickness, material and condition and soil type characteristics, 251-40 CITY OF SAN 1'A ANA RFP NO,: 16.114 SUEFURFACE UTILITY EiN'GINEERINGSERVICES • All completed reports shall be certified to be correct and signed by a professional land surveyor registered in California, (Only if required by the Engineer), Work under this category will be paid on hourly basis. • Backfrll all test holes shall be backfilled with in-kirrd .material and compact to a relative compaction of 90%, • Borelrolos greater than 2RI shalt be paved and match existing pavement thickness section unless stated otherwise and or approved by the Engineer. Clean and sweep work site at the end of the work day, « Provide additional surveying, and undergrornd utility snapping services at an hourly rate General R.eguirerriettts and Pi,oiect Deliverables° • All work for this work. for traffic control shall be done in accordance with the Federal Highway Adrainistration's Manual (MUTCD) • The selected firrn/s shall obtain all necessary permits from the City and local jurisdiction prior to commencing any of the work 11 Public Right of Way, • Any work required on private property shall be authorized by the Enjpleer prior to corrnnencement o:f wad., • All wort. shall be, done in accordance with ASCE Standard 38.02; Standard Guideline for the collection and depiction of the existing subsurface utility data. • The firnt/s shall securc all permits to worlc in the City. These fees are not reimbursable. • All work shall be performed to the specific project and or location as detailed ill the notice to proceed and indicated by the Engineer. • All reports and technical memoranda shall be submitted electronically to City and shall include all the information as required and detailed in the notice to proceed, .All Computer Aided Drafting Design (CADD) work shall be, submitted on electronic format Whorostation). In addition, a hard copy of the project findings and a digital file in Microstation shall be submitted to fhe engineer for reviewbo[are final approval and final payinent is authorizers. A list of positions and hourly rates shall be included as part of the proposal and included in the seal bid package, See Attachment 4—ADDITIONAL PROVISIONS for a sample breakdown. The consulting orris are responsible for any damage to utilities during the locating efforts. Consultant Responsibilities: Consultant Audit find Review Process: Prior to awarding the contract, the selected Consultant shall be subject to an audit or review by Caltrans' Audits and Investigations (AM), other state audit organizations, or the federal government. The selected Consultant shall cornptete Exhibit I0-K — Consultant C:ertitioation Contract Costs and Financial, in the Appendix of this RFP as Attacli vent 4. • Time is of the essernco and work shall commence within 5 days of the Notice to Proceed for planned underground utility locating services, 251-41 CITY OF SANTA ANA RFP NO,: 16-114 SUBFURFACE UTILITY ENGINEERING SERVICES The consultant shall be available to provide on -call services within 48-hours for unplanned utility locating services, City Responsibilities: The City will provide information in its possesslon relevant to the preparation of the required information in the RFP. The City will provide only the staff assistance and the documentation specifically in referred to herein, Fee Proposal: In addition to Section IY,13,3 (Submittal Requirements: Fee Proposal) fee schedule shall be stiuctur•ed as follows: • for Caltrans handed projects, ref recce LAPvl Exhibit 10-H (samaple cost proposal) and hicl,ude ht Attachment 4. • The City will select up to (three) fines to provide the services • The fee proposal shall uiclude the firm's standard hourly fee schedule, and/or project fee schedule where applicable and as outlined in this this documents. Special Reguirement,s (Attachment 4): _Compliance with Regu rements�U Avoncv use as appropriate/delete reused seotious: If Ctu trans: This project is funded through XXXX and shall comply with all requirements ofXXX'X The attached forms must be completed in their entirety and submitted with your proposal: LAPM E.xlaibit IO-H: Sample Cost Proposal « LAPM Exhibit 10-I : Notice to Proposers, DBE Information LAPM Exhibit 1.0.01:.Consultant Proposal DBE Commitment • LAPM Exhibit 10-Ii: Consultant CertiCeation of Contract Costs and Financial management System Ir the project will be financed by federal farads all services rendered shall meet all required federal requirements included in this request Pot proposal, Consultants are advised that, as required by federal law, the City of Santa Ants is implementing the new Race Conscious Disadvantaged Business Enterprise (DBE) Program, The DBE goal for this contract is 9.60%. 251-42 EXHIBIT B 14280 Euolicl Ave Chino, CA 91710 1.888-90-13EC,CW **Fee Proposal Code service Cost Ground Penetrating .._,..µ�: Radar 351 Supervising 'technician I Concrete I Masonry - Location of reinforcing steel, conduit....,,.. $ 175.00 per hour 352 Travel Time I Per Man ................ ........... ......................... ..:............ ..................................... $ 110.00 per hour Utility Locating • 13164trohiagnotio Locator $74 Stipervlsing Technlolan I Locate Electrical, Comm., Water, Power, Ges, Sewer& Storm.. $ 175.00 per hour 375 Locating Tachnblan i See terms and conditions for requirements ... ......................... .......... $ 130.00 per hour 37eTravel Time I Per Crew....... ................ ...—............. :................. ,.::..,.....,..:..:......... .... $ 195.00 per hour Mapping 282 Mapping Party.._ ............... -........ ....,..,................... :...,..................... :.............. ........... .::.... $ 215,00 per hour 383 AutoCAO drawings I Utilities ........... .......................... .:......... ........................ ...........:...... $ 85.00 par hour 384 Travel Time l Per Man .. .... .......... .........:..............:................... ..... ......... ........ .........:.......... $ 110.00 per hour CCTV Pipe inspection 385 Video Pipe Inspection .............:.... ................................ :...........::.....:..:..._..........-...............,$ 3'1(L00 per hour 380 hllgh Pressure Hydro -Jelling .......... .... ..:..:................... ........... ................... I ............ ..,..,:..... $ 300.00 per hour 387 Travel Time i CCTV Crew ..... ............ ............,.................,............................ ....... ................... $ 225.00 per hour 388 Travel 'rims i Water Jetting Crew........... ....... ............ .:.....:...... ......... ...:.:........................ —. $ 225.00 per hour Potholing 600 Standard Pothole V x 1 :x 5'.....:.......... .......... .... ........ ..:........ --- ....... ...... ... ............... ....... $ 550,00 per holy 6P1Pothole l' x 1' x 5'-10'deep........................................:......................................................$ 600.00 per hole 002 Pothole V x V x W-1.5' deep ..,..;�, .....:... ............................... .......... g 660.00 per hole 603 Pothole Vx V x 15'-20' deep .......... .......... ......._....._.,.._......�.,_......................................... $ 850100 per note 604 Traffio Control - price mrjoet to ohangswlllxout notice...................................._..�...,.....,.,$ 800,00 per day, 605 Traffic Control Plains .......,.............:........................... — ...... —... ,.,.........,.:,,........ $ 600.00 par page 606 Pothollny ... ,... .,... -:.................:.....,..,...:........ ...:.,...... $ 475.00 par hour 607 Travel Time i Per Crew..........:......._..................,.......—.............,.......:................................... $ 225,00 par hour Addition{ Porn 3$9 AdminNdritlan I Project Coordination--,............. 390 Per Olson I Per technician .................................... C Below terms R Condlllons apply to all services. "Potholes I Trenching deeper than 20 feet must call for additional pricing "1$% Overtime charges applies to all services for Saturday Work '%% Overtime charges applies to all servlces for Sunday work ..,.,..--- ...............$ 95,00 porhour ...... ---- .,... -..... . $ 150,00 per day wwsv.chelow.com Page 1 251-43 251-44 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: APPROVE TENANT -INTEREST SETTLEMENT AGREEMENT FOR BRISTOL STREET IMPROVEMENTS PRASE 4 (PROJECT NO. 116741) (NON -GENERAL FUND) (STRATEGIC PLAN NOS. 6, 1G; 3, 2C) - V/4VA • NEW 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 a Settlement Agreement of Tenant Interest in the property listed below and goodwill (if any) with the following tenant, subject to nonsubstantive changes approved by the City Manager and City Attorney: No. Tenant Property commonly Acquisition Amount known as / location Type 1 Outfront Media, LLC 2115-2123 South Bristol Street Billboard $500,000 (APN 015-194-20, 21, 22) DISCUSSION Bristol Street is a north -south transportation corridor designated as a major arterial highway in the City's Circulation Element of the General Plan. Improving the 3.9-mile Bristol Street segment from Warner Avenue to Memory Lane has been a long-term priority project that is being constructed in several phases. Improvements include widening the street from two to three lanes in each direction, raised landscape medians, and adding bike lanes. The City is acquiring properties for the development of Phase 4, bounded by Warner Avenue and Saint Andrew Place. Property acquisitions for this phase are expected to be completed by summer 2017, and construction is anticipated to begin in fall 2017. The settlement agreement for tenant interest is necessary to accommodate the improvements and widening for Phase 4 (Exhibit 1). The settlement amount, based on the appraised value prepared by a California State licensed appraiser, was accepted by the tenant. The settlement amount is listed above and shown in the attached agreement (Exhibit 2). 25J-1 Settlement Agreement for Real Property Acquisition Bristol Street Improvements Phase 4 April 18, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). Approval of this item also supports the City's efforts to meet Goal #3 — Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies), Strategy C (support business development and job growth along transit corridors through the completion of critical transit plans/projects). ENVIRONMENTAL IMPACT In 1990, City Council approved the Bristol Street Final Environmental Impact Statement/Environmental Impact Report (FEIS/EIR No. 89-01). Due to several minor design modifications in Phase 4, which lies between Warner Avenue and Saint Andrew Place, an Addendum to the FEIS/EIR was prepared and adopted pursuant to the California Environmental Quality Act by City Council on April 7, 2015. FISCAL IMPACT Funds are available in the Bristol Street Improvements Project (No. 116741) for expenditure in FY 2016-2017 in the Select Street Construction Fund (Account No. 05917661-66100), subject to nonsubstantive changes. F d Mousavipour Executive Director Public Works Agency FM/EWG/JG/ML APPROVED AS TO FUNDS & ACCOUNTS: C Rs� A %�x A i I ,tea Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibits: 1. Location Map 2. Agreement for 015-194-20, 21, 22 25J-2 MATCHLINE SEE BELOW RIGHT I I i I 140&37877 ST GERTRUDE PL 1408d71,01I i LEGEND 408471-17 408« 71,M 61 d15-194.24 �r 's1e-es4-z� ' q. — - qi 5.194.28: 'Rr3.194-9q WARNER AVENUE -SUHJEOT PHAPEN(Y -A LOUIRE PPGPEPi'IE9 1 I I I I I I ST ANDREW PL 4 i i i i m I I A CARLTON PL I I i GLENWOOD PL I i i ✓�� CAMDEN PL .T.._I-. 7,. �ST AN NE PL J EXHIBIT 1 i �f I ryl I I I I _ MATCHLINE SEE TOP LEFT SANTA ANA SETTLEMENT AGREEMENT FOR P 1 CITY COUNCIL BRISTOL STREET IMPROVEMENTS AGENDA DATE: PHASE 4 (PROJECT NO.116741 APRIL 18, 2017 NONGENERAL FUND) PUBLIC WORKS AGENCY (Strategic Plan No. 6, 1, GI and 3, 2, CI PAGE 1 OF 1 25J-3 25J-4 This Settlement Agreement and General Release ("Agreement") is entered into 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 Outfront Media, LLC, formerly known as and successor in interest to CBS Outdoor LLC ("Outfront'), as of the date of frill execution by all parties. Together, City and Outfront will be referred to as the "Parties." RECITALS A. Outfront leases several parcels of real property within the City on which it has constructed and maintains outdoor advertising structures, otherwise known as billboards. Outfront displays advertisements on these billboards for its clients. B. City has acquired the real property at 211.5-2123 S. Bristol Street, Santa Ana ("Property") in which Outfront has a leasehold interest through February 28, 2030, under CBS Outdoor Lease No. 20034 ("Lease"), and maintains a single billboard identified as Outfront Media Display No. 65001/6843 (`Billboard"). City has acquired the Property for the Bristol Street Widening Project ("Project"). C. In exchange for the promises and consideration described below, Outfront has agreed to remove the Billboard to accommodate City's construction schedule for the Project and surrender any and all rights it has or may have under the Lease, D. IC is the intent of the Parties for this Agreement to establish the terms of a full and complete resolution of all differences, contentions, claims, or potential claims. AGREEMENT Incorporating the Recitals above in this Agreement, the Parties hereby agree as follows: t. Compensation to be Paid. Upon full execution of this Agreement, City agrees to pay Outfront $500,000 ("Settlement Amount"). The Settlement Amount shall be made payable to "Outfront Media LLC" and shall be delivered to Outfront's counsel at Miller Starr Regalia, Attn: Brian Shaffer, 1331. N. California Blvd., Fifth Floor, Walnut Creek, California 94596. The Settlement Amormt shall be paid by City within sixty (60) days of the Effective Date (as defined below). 2, Removal of Billboard. At its sole expense and responsibility, Outfront agrees to remove the faces or panels of the Billboard upon which the advertisements are placed ("Panels"). The Panels shall be removed by Outfront within seven (7) days following receipt of the Settlement Amount by Outfront ("Removal Date"), Demolition of the remainder of the Billboard structure shall be conducted by City at City's sole expense and liability, Once the Panels are removed by Outfront, the continued presence of the remainder of the Billboard Structure, including but not limited to any below -grade portions of the Billboard, shall not constitute continued occupancy of the Property by Outfront. 0TAD\53329\1019225.4 25J-5 3. Continuation and Termination of Lease, Outfront shall comply with all the terms and conditions of the Lease, including the payment of rent to City in the amounts set forth in the Lease, until and through the Removal Date, at which time the Lease, and all rights Outfrout has thereunder, shall terminate and be fully extinguished without any further action by the Parties. 4. Failure to Remove Billboard. Poster Panel. If the Panels are not removed by the Removal Date, Outficnt grants City the right to remove the Panels at Oinfront's expense, and City and/or its agents shall be entitled to remove the Panels and dispose of them without any liability to Outfont. Any items of personal property, fixtures, or equipment related to the Billboard that remain after the Removal Date shall be deemed abandoned and shall become the sole and exclusive property of City. City may dispose of such items in any manner it deems appropriate in its sole and absolute discretion without any liability to Outfront, however, any sums received by City through the sale of any such items shall be deducted from any removal costs incurred by the City under this Section. 5. Effective Date: As used herein, the "Effective Date" of this Agreement shall mean and refer to the last date upon which both City and Outfront have executed this Agreement, and the same has been delivered to each Party. 6. Full Settlement. The payment of the Settlement Amount by City constitutes a full settlement of all claims Outfront has, may have, or could have against City for the removal of the Billboard and/or'the termination of the Lease on account of the Project. Outfront waives the ability to claim any additional payment from City on account of the removal of the.Billboard and/or the termination of the Lease, or for any cause of action that could have been brought against City due to City's acquisition of the Property, including without limitation any claim related to the Billboard or the Lease. 7. Mutual Release. By executing this Agreement, each Party hereto, on its behalf and on behalf of its owners, officers, employees, partners, parent companies, affiliates, representatives, attorneys, insurers, agents, subsidiaries, successors, and assigns, hereby expressly and unconditionally waives and releases each other Party hereto, as well as each other Party's owners, officers, partners, parent companies, affiliates, representatives, attorneys, insurers, agents, subsidiaries, successors, and assigns, known or unknown, from any claims or damages relating to the Lease and the Billboard, including, butnot lanited to stay claims for severance, goodwill, relocation, furniture fixtures or equipment, or clahns for inverse condemnation or pre - condemnation conduct that could have been raised in connection with the removal of the Billboard, the termination of the Lease, or acquisition of the Property, or any other compensation, damages or benefits that could have been raised in connection with the Property. Nothing contained in this paragraph or elsewhere in this Agreement shall be deemed to release or relieve any Party of its obligations otherwise assumed under the terms of this Agreement. 8. General Release. With respect to the claims released in Section 7 of this Agreement, the Parties further acknowledge and are aware of the provisions of California Civil Code section 1542, which provides as follows: A general release does not extend to claims which the Creditor does not know or suspect to exist in his or her favor at the time OTAM5332W 019225.4 25J-6 of executing the release, which if known by him or her must have materially affected his or her settlement with the debtor. The Parties acknowledge that they may have sustained damage, loss, costs or expenses that are presently unknown and unsuspected, and such damage, loss, costs or expenses which may have been sustained may give rise to additional damage, loss, costs or expenses in the future, The Parties hereby acknowledge that this Agreement has been negotiated and agreed upon, and hereby expressly waive any and all rights which it may have under California Civil Code section 154.2, or under any statute or common law or equitable principle of similar effect. 9. Representations and Warranties. Each of the Parties hereto represent and warrant that it/he/she is not aware of any other party having any interest in any claim or claims which are the subject of this Agreement; nor has it/he/she assigned, hypothecated or otherwise transferred any interest in any claim or claims which are the subject of this Agreement. 10, No Admission of Liability. This Agreement is a compromise of any disputed claims between the Parties hereto and is not be construed as an admission of liability by any Party for any purpose, 11, Integration. tion. This Agreement constitutes the entire agreement between the Parties pertaining to the subject matter hereof and supersedes all prior and contemporaneous agreements and understandings of the Parties; there are no warranties, representations or other agreements between the Parties except as expressly set forth herein. No amendment hereto is binding unless set forth in a writing stating that it is intended to amend this agreement, executed by the party to be bound thereby. No waiver of any of the provisions of this Agreement will constitute a waiver of any of the other provisions hereof, whether or not similar, nor will such waiver constitute a continuing waiver, 12, Counterparts• This Agreement may be executed in counterparts and, as so executed, will constitute one agreement binding on all Parties. Executed copies sent by facsimile or email will have the same force and effect as original signatures, 13. Severability. In the event that any provision of this Agreement is found by a court of competent jurisdiction to be void or voidable, the remaining provisions of this Agreement will remain in full force and effect, 14. Each Party to Bear Own Costs and Fees. Except as may be otherwise provided herein, each party shall bear its own costs and attorney's 'fees associated with the actions being settled hereby. If any action is brought by any Party to enforce the terms of this Agreement, each Party shall bear its own costs and attorney's fees, 15, Cooperation. The Parties agree to do all things necessary and to execute all Wrther docuinents necessary and appropriate to carry out and effectuate the terms and purposes of this Agreement. 16. Binding on Successors. This Agreement shall be binding upon and inure to the benefit of the successors and assigns of the Parties to the Agreement. OTAO\53329\1019225A 3 25J-7 17. Governing Law and Venue. This Agreement shall be deemed to have been executed and delivered within the State of California. The rights and obligations of the Parties hereunder shall be governed, construed, and enforced in accordance with the laws of the State of California. The venue for any dispute arising from or related to this Agreement, its performance, and its interpretation shall be Orange County Superior Court. 18. Notices. Any notice, request, or communication to be given to either Party under this Agreement shall be given in writing and shall be personally delivered or mailed by prepaid registered or certified mail to the addresses below. Notices so mailed are deemed received within three (3) business days of mailing. With Copy to: With Copy to: Gerardo Monet, Acting City Manager City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 City Attorney City of Santa Ana 20 Civic Center Plaza, M29 Santa Ana, CA 92701 iirector of heal Estate —West 731 Workman Street os Angeles, CA 90031 rian Shaffer, Esq. 4iller Starr Regalia 331 N. California Blvd., Fifth Floor Valnut Creel, CA 94596 19. Each Party Authorized. By signing this Agreement, each party attests that he or she is duly authorized by his or her respective corporation or entity, if applicable, to execute this Agreement. Dated: C , 2017 _ �'C. OUTTRONT MEDIA, LLC Dated: 2017 OTAD\53329\1 e19225.4 Gerardo Mouet Acting City Manager, City of Santa Ana 25J-8 ATTT51• Dated: , 2017 APPROVED AS TO T41IM: SONIA CARVALHO City Attorney City of Santa Ana w & 'IN M. FUNK, Assistant City Attorney OTAD\53329\9 I9225.4 MARIA D. HUIZAR Clerk of the Council, City of Santa Ana 25J-9 SETTLEMENT AGREEMENT AND GENERAL RELEAS This Settlement Agreement and General Release ("Agreement") is entered into 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 Outfront Media, LLC, formerly known as and successor in interest to CBS Outdoor LLC ("Outfront"), as of the date of full execution by all patties. Together, City and Outfrom will be referred to as the "Parties." RECITALS A. Outfront leases several parcels of real property within the City on which it has constructed and maintains outdoor advertising structures, otherwise known as billboards. Outfront displays advertisements on these billboards for its clients. B. City has acquired the real property at 2115-2123 S. Bristol Street, Santa Ana ("Property") in which Outfront has a leasehold interest through February 28, 2030, under CBS Outdoor Lease No. 20034 ("Lease"), and maintains a single billboard identified as Outfront Media Display No. 65001,/6843 ("Billboard"). City has acquired the Property for the Bristol Street Widening Project ("Project"). C. In exchange for the promises and consideration described below, Outfront has agreed to remove the Billboard to accommodate City's construction schedule for the Project and surrender any and all rights it has or may have under the Lease. D. It is the intent of the Parties for this Agreement to establish the terms of a full and complete resolution of all differences, contentions, claims, or potential claims. AGREEMENT Incorporating the Recitals above in this Agreement, the Parties hereby agree as follows: 1. Compensation to be Paid. Upon full execution of this Agreement, City agrees to pay Outfront $500,000 ("Settlement Amount"). The Settlement Amount shall be made payable to "Outfront Media LLC" and shall be delivered to Outfront's counsel at Miller Starr Regalia, Attn: Brian Shaffer, 1331 N. California Blvd., Fifth Floor, Walnut Creek, California 94596. The Settlement Amount shall be paid by City within sixty (60) days of the Effective Date (as defined below). 2. Removal of Billboard. At its sole expense and responsibility, Outfront agrees to remove the faces or panels of the Billboard upon which the advertisements are placed ("Panels"). The Panels shall be removed by Outfront within seven (7) days following receipt of the Settlement Amount by Outfront ("Removal Date"). Demolition of the remainder of the Billboard structure shall be conducted by City at City's sole expense and liability. Once the Panels are removed by Outfront, the continued presence of the remainder of the Billboard Structure, including but not limited to any below -grade portions of the Billboard, shall not constitute continued occupancy of the Property by Outfront. OTAD\53329\1019225.4 25J-10 3. Continuation and Termination of Lease. Outfront shall comply with all the terms and conditions of the Lease, including the payment of rent to City in the amounts sett forth in the Lease, until and through the Removal Date, at which time the Lease, and all rights Outfront has thereunder, shall terminate and be fully extinguished without any further action by the Parties. 4. Failure to Remove Billboard Poster Panel. If the Panels are not removed by the Removal Date, Outfront grants City the right to remove the Panels at Outfront's expense, and City and/or its agents shall be entitled to remove the Panels and dispose of them without any liability to Outfront. Any items of personal property, fixtures, or equipment related to the Billboard that remain after the Removal Date shall be deemed abandoned and shall become the sole and exclusive property of City. City may dispose of such items in any manner it deems appropriate in its sole and absolute discretion without any liability to Outfrom, however, any sums received by City through the sale of any such items shall be deducted from any removal costs incurred by the City under this Section. 5. Effective Date: As used herein, the "Effective Date" of this Agreement shall mean and refer to the last date upon which both City and Outfront have executed this Agreement, and the same has been delivered to each Party, 6. Full Settlement. The payment of the Settlement Amount by City constitutes a full settlement of all claims Outfrom has, may have, or could have against City for the removal of the Billboard and/or the termination of the Lease on account of the Project. Outfront waives the ability to claim any additional payment from City on account of the removal of the Billboard and/or the termination of the Lease, or for any cause of action that could have been brought against City due to City's acquisition of the Property, including without limitation any claim related to the Billboard or the Lease. 7. Mutual Release. By executing this Agreement, each Party hereto, on its behalf and on behalf of its owners, officers, employees, partners, parent companies, affiliates, representatives, attorneys, insurers, agents, subsidiaries, successors, and assigns, hereby expressly and unconditionally waives and releases each other Party hereto, as well as each other Party's owners, officers, partners, parent companies, affiliates, representatives, attorneys, insurers, agents, subsidiaries, successors, and assigns, known or unknown, from any clanns or damages relating to the Lease and the Billboard, including, butnot limited to any claims for severance, goodwill, relocation, furniture fixtures or equipment, or claims for inverse condemnation or pre - condemnation conduct that could have been raised in connection with the removal of the Billboard, the termination of the Lease, or acquisition of the Property, or any other compensation, damages or benefits that could have been raised in connection with the Property. Nothing contained in this paragraph or elsewhere in this Agreement shall be deemed to release or relieve any Patty of its obligations otherwise assumed under the terms of this Agreement. 8. General Release. With respect to the claims released in Section 7 of this Agreement, the Parties further acknowledge and are aware of the provisions of California Civil Code section 1542, which provides as follows: A general release does not extend to claims which the Creditor does not know or suspect to exist in his or her favor at the time OTAD\53329\1019225.4 25J-11 of executing the release, which if known by him or her must have materially affected his or her settlement with the debtor. The Parties acknowledge that they may have sustained damage, loss, costs or expenses that are presently unknown and unsuspected, and such damage, loss, costs or expenses which may have been sustained may give rise to additional damage, loss, costs or expenses in the future. The Parties hereby acknowledge that this Agreement has been negotiated and agreed upon, and hereby expressly waive any and all rights which it may have under California Civil Code section 1542, or under any statute or common law or equitable principle of similar effect. 9. Representations and Warranties. Each of the Parties hereto represent and warrant that it/he/she is not aware of any other party having any interest in any claim or claims which are the subject of this Agreement; nor has it/he/she assigned, hypothecated or otherwise transferred any interest in any claim or claims which are the subject of this Agreement. 10, No Admission of Liability. This Agreement is a compromise of any disputed claims between the Parties hereto and is not be construed as an admission of liability by any Party for any purpose. 11. Integration. This Agreement constitutes the entire agreement between the Parties pertaining to the subject matter hereof and supersedes all prior and contemporaneous agreements and understandings of the Parties; there are no warranties, representations or other agreements between the Parties except as expressly set forth herein. No amendment hereto is binding unless set forth in a writing stating that it is intended to amend this agreement, executed by the party to be bound thereby, No waiver of any of the provisions of this Agreement will constitute a waiver of any of the other .provisions hereof, whether or not similar, nor will such waiver constitute a continuing waiver. 12. Counterparts. This Agreement may be executed in counterparts and, as so executed, will constitute one agreement binding on all 'Parties. Executed copies sent by facsimile or email will have the same force and effect as original signatures. 13. Severability. In the event that any provision of this Agreement is found by a court of eompetentjrnisdiction to be void or voidable, the remaining provisions of this Agreement will remain in full farce and effect. 14. Each Party to Bear Own. Costs and Fees. Except as may be otherwise provided herein, each party shall bear its own costs and attorney's fees associated with the actions being settled hereby. If any action is brought by any Party to enforce the terms of this Agreement, each Party shall bear its own costs and attorney's fees. 15. Cooperation. The Parties agree to do all things necessary and to execute all further documents necessary and appropriate to carry out and effectuate the terms and purposes of this Agreement. 16, Binding on Successors. This Agreement shall be binding upon and inure to the benefit of the successors and assigns of the Parties to the Agreement. OTAD\53329\1019225.4 3 25J-12 17, Governine Law and Venue. This Agreement shall be deemed to have been executed and delivered within the State of California. The rights and obligations of the Parties hereunder shall be governed, construed, and enforced in accordance with the laws of the State of California. The venue for any dispute arising from or related to this Agreement, its performance, and its interpretation shall be Orange County Superior Court. 18. Notices. Any notice, request, or communication to be given to either Party under this Agreement shall be given in writing and shall be personally delivered or mailed by prepaid registered or certified mail to the addresses below. Notices so mailed are deemed received within three (3) business days of mailing. With Copy to: With Copy to: City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 City Attorney City of Santa Ana 20 Civic Center Plaza, M29 Santa Ana, CA 92701 )irector of Real Estate —West 731 Workman Street ,os Angeles, CA 90031 Brian Shaffer, Esq. Miller Starr Regalia 1331 N. California Blvd„ Fifth Floor Walnut Creek, CA 94596 19, Each Party Authorized. By signing this Agreement, she is duly authorized by his or her respective corporation or entity, Agreement. r_�'xaxlt" 4jr I - OUfFRONT MEDIA, LLC PARTIES: Dated:F�r t> ( , 2017 Dated: 2017 OTADA53329A1019225.4 each party attests that he or if applicable, to execute this Gerardo Mouct Acting City Manager, City of Santa Ana 25J-13 A,I,TEST: Dated: 2017 APPROVED AS TO FORM: SONIA CARVALIIO City Attorney City of Santa Ana �1' XON M. FUNK, Assistant City Attorney OTAM5332011010225A MARIA D. I-IUIZAR Clerk of the Council, City of Santa Ana 25J-14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: APPROVE TENANT —INTEREST PURCHASE AGREEMENT FOR BRISTOL STREET IMPROVEMENTS PHASE 3A (PROJECT NO. 136792) (NON -GENERAL FUND) (STRATEGIC PLAN NOS. 6, 1G; 3, 2C) CI Y MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: rp1=1001TACI ❑ As Recommended ❑ As Amended ❑ Ordinance on 18' Reading ❑ Ordinance on 2otl Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a Purchase Agreement of Tenant Interest in the property listed below and goodwill (if any) with the following tenant, subject to nonsubstantive changes approved by the City Manager and City Attorney: No. Tenant Property commonly known as / location Acquisition Amount "'y ""' ' XWV" Tenant 1 Orfilda Magana 1111 North Bristol Street Suite A Interest $11,040 (APN 405-274-10) DISCUSSION Bristol Street is a north -south transportation corridor designated as a major arterial highway in the City's Circulation Element of the General Plan. Improving the 3.9-mile Bristol Street segment from Warner Avenue to Memory Lane has been a long-term priority project that is being constructed in several phases. Improvements include widening the street from two to three lanes in each direction, raised landscape medians, and adding bike lanes. The City is acquiring properties for the development of Phase 3A, bounded by Civic Center Drive and Washington Avenue. Property acquisitions for this phase are expected to be completed by summer 2017, and construction is anticipated to begin in fall 2017. The acquisition of the tenant -interest (Exhibit 1) is necessary to accommodate the improvements and widening for Phase 3A. The above listed tenant agreed to quitclaim all of their tenancy interest, including loss of goodwill for the listed purchase price. The purchase price, based on the appraised value prepared by a State -licensed appraiser, was accepted by the tenant -seller. The purchase price for the acquisition listed above is shown in the corresponding agreement (Exhibit 2). 25K-1 Tenant Interest Purchase Agreement Bristol Street Improvements Phase 3A April 18, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). Approval of this item also supports the City's efforts to meet Goal #3 — Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies), Strategy C (support business development and job growth along transit corridors through the completion of critical transit plans/projects). ENVIRONMENTAL IMPACT In 1990, City Council approved the Bristol Street Final Environmental Impact Statement/Environmental Impact Report (FEIS/EIR No. 89-01). Due to several minor design modifications in Phase 3A, which lies between Civic Center Drive and Washington Avenue, an Addendum to the FEIS/EIR was prepared and adopted pursuant to the California Environmental Quality Act by City Council on April 7, 2015. FISCAL IMPACT Funds in the amount of $11,040 are available in the Bristol Street Improvements Project (No. 136792) for expenditure in FY 2016/2017 in the Select Street Construction Fund (Account No. 05917661-66100), subject to nonsubstantive changes. Frea Mousavipour Executive Director Public Works Agency FMM/G/JG/KN/ML APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibits: 1. Location Map 2. Agreement for Clothing Orfi Ropa APN 405-274-10 25K-2 N (NITS 7 MATCHLINE SEE BELOW RIGHT 9TH STREET LEGEND: -5JB-Z1,1 FPDPEenes --1-1 1"UTFEI PPU-PITes CIVIC CENTER DR. F-T EXHIBIT 1 L-j- WASHINGTON AVENUE MATCHLINE SEE TOP LEFT SANTA ANA TITLE PURCHASE AGREEMENT FOR CITY COUNCIL ISTOL TREET IMPROVEMENTS PW A AGENDA DATE; PHA 3A (PROJECT NO 36792 ramE NONGENERAL FUND) PUMC WOPK. AGENCY (Strategic Plan No. 6, 1, G; and 3, 2, CJ PAGE 1 OF 1 25K-3 25K-4 SELL Project: Bristol Street Improvement Project —Phase 3A APN: 405-274-10 Tenant -Seller: Orfilda Magaua dba Clothing ORFI Ropa AGREEMENT FOR ACQUISITION OF TENANT -SELLER'S INTEREST IN REAL PROPERTY THIS AGREEMENT ("Agreement") is entered into as of this day of , 2017, by and between THE CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California (`Buyer"), and ORFILDA MAGANA DBA CLOTHING ORFI ROPA ("Tenant -Seller") for the acquisition by Buyer of certain interests in real property described herein. IT IS HEREBY AGREED BETWEEN THE PARTIES AS FOLLOWS: 1. AGREEMENT. Tenant -Seller agrees to sell and convey to Buyer, and Buyer agrees to purchase and acquire from Tenant -Seller, upon the terms and for the consideration set forth in this Agreement, (a) all right, title and interest, in and to certain improvements, including fixtures and, equipment (collectively " Conveyed Improvements") located in, on, or affixed in any manner to the premises .mown and numbered as 1111 N. Bristol Street, Suite A, Santa Ana, California ("Premises") which Premises are part of that real property described in EXHIBIT A attached hereto, located in the City of Santa Ana, Orange County, California ("Property"), and (b) any tenancy interest of Tenant -Seller ("Tenancy Interest") in and to the Premises and the Property, The Conveyed Improvements are a part of the Premises, and specifically include, without limitation, the items described in the list of Improvements Pertaining to the Realty and Moveable Furniture Fixtures and Equipment attached hereto as EXHIBIT B and EXHIBIT C. The conveyed Improvements and the Retained Improvements are collectively referred to as the "Improvements.' 2. PURCHASE PRICE, The total purchase price, payable in cash through this Agreement, shall be the sum of: ELEVEN THOUSAND AND FORTY NO/100 DOLLARS ($11,040,00) ("Purchase Price") which is computed as follows: Value of Conveyed Improvements as shown on EXHIBIT B $8,070.00 Value of Conveyed Moveable Furniture Fixtures and Equipment on as shown on EXHIBIT C $2,970,00 TOTAL AMOUNT PAYABLE THROUGH THIS AGREEMENT $11,040.00 3. CONVEYANCE OF INTEREST IN REAL PROPERTY. Tenant -Seller agrees to execrate a Quitclaim Deed in the same form as that attached hereto as EXHIBIT D in favor of Buyer 25K-5 ("Quitclaims Deed"), relinquishing, releasing, and forever quitclaiming to Buyer all right title and interest in and to the Tenancy Interest. 4. Tenant -Seller wilt vacate the property by March 23, 2017. S. CONVEYANCE OF INTEREST IN IMPROVEMENTS. The Quitclaim Deed will. also convey from Tenant -Seller to Buyer all of Tenant -Seller's interest in and to the Improvements, which conveyance shall be free and clear of all recorded and unrecorded enciunbrances, liens, assessments, leases, and taxes. Unless otherwise provided, recording of the Quitclaim Deed and Closing (as defined below) of the transaction described herein shall be subject to Tenant -Seller's. vacation of the Premises and proof of clear title to all said Improvements having been obtained and received by Buyer in accordance with Paragraphs 8 and 9 of this Agreement. 6, RECORDING, Recordation of any documents delivered through this Agreement is authorized if necessary or proper, upon acceptance by Buyer as described herein. 7. CERTIFICATION OF OWNERSHIP. Tenant -Seller hereby warrants and certifies under penalty of perjury that Tenant -Seller is the owner of the Improvements and that no document has been signed by or on behalf of Tenant -Seller for the purpose of creating any lien, encumbrance, or security interest in any of the Improvements, and that the Tenant -Seller does not know of any claim of lien, encumbrance, or other security interest therein, EXCEPT: (a) Trust Deeds on the Property, duly recorded; and (b) real and personal property taxes. S. PERMISSION TO ENTER PREMISES. Tenant -Seller hereby grants Buyer or its authorized agent's permission to enter upon the Premises at all reasonable times prior to Closing of this transaction for the purpose of making necessary inspections. 9, BULK SALE. In order to establish proof of clear title to the Improvements, Buyer may publish a Notice to Creditors pursuant to the Bulk Sales Law of the State of California and obtain a title report and/or a report from the Secretary of State's Office as to filings of security interests covering the Improvements. 10. CONFLICTING INTERESTS. In the event any conflicting claim of title or any security interest or lien of any kind is discovered or asserted as to any of the Improvements, Buyer shall, upon receiving notice or knowledge thereof, withhold an amount otherwise payable to Tenant -Seller as is reasonably necessary, in the sole opinion of Buyer, to protect Buyer against such claim of interest or lien. The withholding of such funds shall not prevent Closing of this transaction if the total funds to be withheld from Tenant -Seller do not exceed the net amount to be paid to Tenant -Seller through this transaction. Buyer will not pay out the withheld funds or disburse any withheld funds to any claimant or other party (except upon court order or levy) without the written consent of Tenant -Seller. A general creditor's claim shall not be deemed to be a claim against any specific item of Improvements aid Tenant -Seller hereby agrees to accept all responsibility therefore. Unless otherwise provided, it shall be presumed that Tenant -Seller is entitled to payment Linder this transaction for the Improvements. It shall be presumed that the Property owner is the owner of all improvements, fixtures and equipment associated with the Premises other than the Improvements. 25K-6 11. DISMISSAL OF EMINENT DOMAIN ACTION. If Buyer has previously filed an action to condemn the Tenancy Interest and/or Tenant -Seller's interest in the Improvements, Tenant -Seller hereby consents to the dismissal of such action and waives any claims for compensation, costs, attorney's fees and deposits in said action, or any claim whatsoever which might arise out of the filing of such action, whether or not such claim is specifically identified herein. Tenant -Seller hereby authorizes Buyer to withdraw and make payable to Buyer any funds deposited with the Court in any such eminent domain action. 12. CLOSING: PURCHASE PRICE ADJUSTMENTS. Recording of the Quitclaim Deed by Buyer will constitute "Closing" of this transaction. At Closing, Buyer will pay the Purchase Price to Tenant -Seller, subject to the following adjustments: A. Pay and charge Tenant -Seller for any and all current and/or delinquent taxes and any ,penalties and interest thereon, and for any delinquent or non -delinquent assessments or bonds against the Improvements and the Tenancy Interest. B. Pay and charge Tenant -Seller for any amount necessary to place title in the condition necessary to satisfy Paragraphs 4 and 9 of this Agreement; C. Disburse funds when conditions of this Agreement have been satisfied by Buyer and Tenant -Seller. 13. FULL AND COMPLETE SETTLEMENT. Tenant -Seller hereby aelmowledges that the compensation paid to Tenant -Seller through this Agreement constitutes the full and complete settlement of any and all claims against Buyer, resulting from or, arising out of Buyer's acquisition of the Property and the Tenancy Interest and any dislocation of Tenant -Seller from the Premises, specifically including, but not limited to the value of the Improvements, leasehold improvements, any and all claims for rental or leasehold value and any and all claims in inverse condemnation and for pre -condemnation damages, and any and all other claims that Tenant -Seller may have, whether or not specifically mentioned here, relating directly or indirectly to the acquisition by Buyer of the Property, the Improvements and the Tenancy Interest (but excluding loss of business goodwill and relocation benefits to which Tenant -Seller may be entitled). Tenant -Seller hereby disclaims any right, title or interest in or to the Premises. Tenant -Seller and Buyer and each and all of their agents, representatives, attorneys, principals, predecessors, successors, assigns, administrators, executors, heirs, and beneficiaries (collectively "Releases"), hereby release the other party, and its Releases, and each of them from any and all obligations, liabilities, claims, costs, expenses, demands, debts, controversies, damages, causes of action, including without limitation those relating to just compensation or damages which any of them now have, or might hereafter have by reason of any matter or thing arising out of or in any way related to any condemnation action affecting the Property, the Improvements, including the Moveable Furniture Fixtures and Equipment, and the Tenancy Interest. Additionally, Tenant -Seller hereby expressly and unconditionally waives any claims (Imown or unlmown) including severance damages, statutory interest, claims for inverse condenmation or unreasonable pre -condemnation conduct, or any other compensation, damages or benefits, arising from the acquisition of the Premises that Tenant -Seller may have against Buyer, its officials, representatives, and attorneys. 14. ACKNOWLEDGMENT CONCERNING CIVIL CODE SECTION 1542. Tenant - Seller acknowledges that it has been advised by its attorneys concerning, and is familiar with, the provisions of California Civil Code § 1542, which provides as follows: 3 25K-7 "A general release does not extend to claims which the creditor does not know or suspect to exist in his or her favor at the time of executing the release, which if known by him or her must have materially affected his or her settlement with the debtor." Tenant -Seller acknowledges that it and any others acting on its behalf herein may have sustained damage, loss, cost, or expenses that are presently unknown and unsuspected and which may give rise to additional damages, loss, costs, or expenses in the future. Nevertheless, Tenant -Seller acknowledges that this Agreement has been negotiated and agreed upon in light of that situation and hereby expressly waives any and all rights which it or others acting on its behalf may have under California Civil Code §1542, or under any statute or common law or equitable principle of similar effect. Tenant -Seller:,,,__, 15. CONTINGENCY. Transaction is subject to and contingent upon receipt by Buyer of the duly executed Quitclaim Deed from Tenant -Seller with respect to the Tenancy hlterest and the Improvements. This transaction is further subject to and, contingent upon approval and acceptance by Buyer. 16. AGREEMENT TO EXECUTE. Tenant -Seller and Buyer agree to execute and file any additional agreements, consents or other documents reasonably necessary to effect the full and complete settlement and purchase of the Improvements and the Tenancy Interest. 17. ' AUTHORIZATION TO EXECUTE, Tenant -Seller and Buyer represent and warrant that the persons executing this Agreement are duly authorized to do so and to act on behalf of Tenant -Seller and Buyer respectively. 18. COMPROMISE IN SETTLEMENT, This Agreement is a compromise in settlement of pending or potential litigation between Tenant -Seller and Buyer and shall never be treated as an admission by Buyer for any purpose of liability or as to value of any property or claim. 19. ' SURVIVAL OF RIGHTS AND OBLIGATIONS. Notwithstanding the releases contained herein and agreement concerning this transaction, all the rights and obligations created under and pursuant to this Agreement shall survive the execution of the Agreement, the releases contained herein and the Closing of this transaction. 20. WARRANTIES REPRESENTATIONS AND COVENANTS OF TENANT - SELLER. Tenant -Seller hereby warrants, represents, and/or covenants to Buyer that: A. To the best of'renant-Seller's knowledge, there are no actions, suits, material claims, legal proceedings, or any other proceedings affecting the Improvements, the Tenancy Interest or any portion thereof, at law or in equity, before any court or governmental agency. B. Until the Closing, Tenant -Seller shall maintain the Improvements and the Premises in good condition and state of repair and maintenance, and shall perform all of its obligations under any service contracts or other contracts affecting the Improvements and the Premises. 4 25K-8 C. Until the Closing, Tenant -Seller shall not do anything which would impair Tenant-Sellex's title to the Premises, the Improvements or the Tenancy Interest. D. All utilities including gas, electricity, water, sewage, and telephone, are available to the Premises, and to the best of Tenant -Seller's knowledge, all such items are in good working order. E. To the best of Tenant -Seller's knowledge, neither the execution of this Agreement nor the performance of the obligations herein will conflict with, or violate any of the provisions of any bond, note, evidence of indebtedness, contract, lease, or other agreement or instrument to which Tenant -Seller, the Premises, the Improvements or the Tenancy Interest may be subject. F. Until the Closing, Tenant -Seller shall, upon learning of any fact or condition which would cause any of the warranties and representations in this Paragraph 20 not to be true as of Closing, immediately give written notice of such fact or condition to Buyer. 21. HAZARDOUS WASTE, Neither Tenant -Seller nor, to the best of Tenant -Seller's knowledge, any previous owner, tenant, occupant or user of the Property or the Premises, has used, generated, released, discharged, stored, or disposed of any hazardous waste, toxic substances, or related materials ("Hazardous Materials") on, tinder, in, or about the Property or the Premises, or transported any Hazardous Materials to or from the Property or the Premises. Tenant -Seller shall not cause or permit the presence, use, generation, release, discharge, storage, or disposal of any Hazardous Materials on, under, in, or about, or the transportation of any Hazardous Materials to or from the Premises. The term "Hazardous Materials" shall mean any substance, material, or waste which is or becomes regulated by any local governmental authority, the State of California, or the United States Government, including, but not limited to, any material or substance which is (i) defined as a "hazardous waste", "extremely hazardous waste", or "restricted hazardous waste" tinder §25115, §25117. or §25122.7, or listed pursuant to §25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), (ii) defined as "hazardous substance" under §25316 of the California Health and Safety Code, Division 20, Chapter 6.8 (Carpenter -Presley -Tanner Hazardous Substance Account Act), (iii) defined as a "hazardous material", "hazardous substance", or "hazardous waste" under §25501 of the California Health and Safety Code, Division 20, Chapter 6.95 (Hazardous Materials Release Response Plans and Inventory), (iv) defined as a, "hazardous substance" under §25281 of the California Health and Safety Code, Division 20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleuun, (vi) asbestos, (vii) polychlorinated byphenyls, (viii) listed under Article 9 or defined as "hazardous" or "extremely hazardous" pursuant to Article 11 of Title 22 of the California Administrative Code, Division 4, Chapter 20, (ix) designated as a "hazardous substances" pursuant to Section 311 of the Clean Water Act, (33 U.S.C. 51317), (x) defined as a "hazardous waste" pursuant to Section 1004 of the Resource Conservation and Recovery Act, 42 U.S.C. 56901 et seq. (42 U.S.C. 56903) or (xi) defined as a "hazardous substances" pursuant to Section 101 of the Comprehensive Environmental Response, Compensation, and Liability Act, 42. U.S.C. 56901, et seq. (42 U.S.C. 56901). 22. COMPLIANCE WITH ENVIRONMENTAL LAWS. To the best of Tenant -Seller's knowledge, the Premises and its use complies with all applicable laws and governmental regulations including, without limitation, all applicable federal, state and local laws pertaining to au and water 5 25K-9 duality, hazardous waste, waste disposal and other environmental matters, including, but not limited to, the Clean Water, Clean Air, Federal Water Pollution Control, Solid Waste Disposal, Resource Conservation Recovery and Comprehensive Environmental Response Compensation and Liability Acts, and the California Environment Quality Act, and the rules, regulations and ordinances of the city within which the subject Property is located, the California Department of Health Services, the Regional Water Quality Control Board, the State Water Resources Control Board, the Environmental Protection Agency and all applicable federal, state and local agencies and bureaus. 23. INDEMNITY, Tenant -Seller agrees to indemnify, defend and hold Buyer harmless from and against any claim, action, suit, proceeding, loss, cost, damage, liability, deficiency, fine, penalty, punitive damage, or expense (including, without limitation, attorneys' fees), resulting from, arising out of, or based upon (i) the presence, release, use, generation, discharge, storage, or disposal of any Hazardous Material on, under, in, or about, or the transportation of any such materials to or from, the Premises, or (ii) the violation, or alleged violation, of any statute, ordinance, order, rule, regulation, permit, judgment, or license relating to the use, generation, release, discharge, storage, disposal, or transportation of Hazardous Materials on, under, in, or about, to or from, the Premises. This indemnity shall include, without limitation, any damage, liability, fine, penalty, ptmitive damage, cost, or expense arising from or out of any claim, action, suit or proceeding for personal injury (including sickness, disease or death, tangible or intangible property damage, damage to the natural resource or the environment, nuisance, pollution, contamination, leak, spill, release, or other adverse effect on the environment. This indemnity extends only to acts or omissions of Tenant -Seller herein. 24. ATTORNEYS' FEES. If legal action is required in order to construe or enforce any provision of this Agreement, the party prevailing in such action shall be entitled, in addition to such other relief as may be granted, to a reasonable sum as its attorneys' fees and costs. 25, COUNTERPARTS, This Agreement may be executed in counterparts and when so executed by both parties, each counterpart will constitute an original document. 26. BINDING EFFECT. The terms, conditions, covenants and agreements set forth herein shall apply to and bind the heirs, executors, administrators, assigns and successors of the parties hereto. 27. ENTIRE AGREEMENT. This Agreement contains the entire agreement between both parties; neither party relies upon any warranty or representation not contained in this Agreement, IN WITNESS WHEREOF, the parties hereto have executed this Agreement the day and year set forth bereinabove. 25K-10 Mailing Address of Tenant -Seller 1111 N. Bristol St., Suite A Santa Ana, CA 92703 Mailing Address of Buyer 20 Civic Center Plaza, M-30 Santa Ana, California 92701 Tenant-Scller Orfilda Magana dba Clothing ORR Ropa By: Date: f) Buyer TIIE CITY OF SANTA ANA By: Gerardo Monet Acting City Manager Date: Attest: Maria D. 1-tuizar City Clerk Date: Approved as to Dorm: By: , JoiWi M. Funk Assistant City Attorney Date: 2.--2.3— 1-1 Recommended for Approval: By: Fred Nlousavipour Executive Director - Public Works Agency 25K-11 EXIIIBIT A LEGAL DESCRIPTION OF PROPERTY All that certain real property situated in the County of Orange, state of California, described as follows: Parcel 1 of Parcel Map No. 87-340, In the City of Santa Ana, County of Orange, State of California, as shown on a map filed In Book 237 Panes 48, 49 and 5o of Parcel Maps, records of Orange County, California. sses-or's Parcel Number: 405-274-10 25K-12 EXHIBIT B CLOTHING ORFI ROPA IMPROVEMENTS PERTAINING TO THE REALTY EFFECTIVE DATE OF VALUE — MAY 99 2016 Fa I Maurhet Awn V9[3w4, ial Ncl Qty. 1"Jr8's'u1.^ijAIun place l 2 Vvny"l Ws I114cs'lw sighs, 65" x 2$", 1101lx9•gnauilltad 16d0"lllkrlll,s, $295 'p�I4opm paraNIllos l�5hlij+.�b`a7o'4 ere BEluflzos, .�'11�,902•, R'sl I oto''."p 2 50 Llnearfeet ofd;acaradva lloldng, uaulllli-c©lr,'md 255 3 14 SrtrvalffElllce Clwllaal'ma" 1ID Pi4ri'4LGt'U91+cr �p7,1$l pTLl C1Fl U4C�', rpu'I .2,525 availa6llti, imcludtlng wtatil rauoums ind cablbia 4 343 Squaaa fbct arsIlahroll panols, laatlillW;e; lal*lu (lirlg ful"vin'S 1.,400 u7ld �iT tirlllost dilup tay racks 5 1. Wall partition €nJ r4lm5krL€4'C r a llra daysaing ra Ol", 760 4.51 x 981" x 3.51,. taasvxmodl 'i'tn be wood f9Qll7ia1& pnialtOd clrywall Ihscial, toxWred, 341" ' opening, 4" Nglwwc€od r;2aw�e esawzrl� ti N Linuarloot of hlgerecor patIvacy %".-']I polldtron, 98" higbM 1,95,0 €tastoaneai: ter l; Nw)od 'Framing, dual-s,6ded dvywual l fzascia, q"exlaam-vl laslni, l oor, 011 x. S2", r"+vacda, haflD w carp r alloll, 5" l 'i„ plmylol d wuaod, with wwal4 braa"hpl..� 55 8 1' Cturalay"1 wall sl aff, 53" x 27" x '12", l.amitnalc.,1--d r, Bi birl 200 1) (m aultl nt I:kangel", 8" rolyg, a.Y dd mll- tvr 9ni mal p+cic„ hall- 160 cln"7a111Wd ai9 1 Open gplrmont �ekQsCt llntrIt, 7„5` Wick' 2.- 14" vied $1101 vel, 300 p4,,, cdl, w1di prltlucat dovmell LAM", IS', a oual, im5 ,lzwdh% privacy curtail€➢,. T hi&, bikric, w iffi dowel }l'al,n-go,r l l l I.,+st eal'millor l9fll=4:1allcolsa 1"ns udWion, kloluuwl'uuag,dell 180 not li9rtalted to wall bolts, li1'£1y,70dvs, hooka d;6mACl ��%n"al'r"..07wWrti ' TOTAL IMPROVEMENTS l"1".g .GaER'i"awl' ANQ TO THE R rE.m"wl,TY � $8,0 i Q 25K-13 EXHIBIT C Page I of 2 CLOTHING ORFI ROPA MOVEABLE FURNITURE FIXTURES AND EQUIPMENIC EFFECTIVE DATE OF VALUE — MAY 9, 20I6 Fair Ra'1arlded 1tc11u Vaaldae in 'i' o1 ty,. D a:ru tiol:a p'lrtce 1x 1' T.,L-dF3'S7e4'.nimn:e S"x T pr11ThAgL"oph1cm and t16lml, n''C`1C]thing $190' orG1 ftop1",, 1xm11 bo ted 12 7. 1mlamneclwl'ns, todxller a iza , Wood, 2 f0, 1 �'torsrau 3r'0 4' 325 1nlzj� 1 23G"f Is 1 Shely tvlrwrl,Bdruda 1'usc� oubtry, 8- x s8l" x 15", idrmbiam, 16-1s1a1 11. 116 2 W x O wx 16", t031110ate, 25414,1 250 17 1 F1001. rarl, 10" x (5.51k earpet 70 111 1. 14.71C9'D15'rk994169 P +Nq1 hgoodt', -54 " 11 figh, plastic'. r@ mo l 1,9me and 60 pole, 4 Vlmt1G bilks 11a 1. 1 ask 4Y4k1:N9'„ phi5':tia, Qfiro911ie lK*t 0119, W41A sem.t an(f ha6k' 90 20 1. "'l:a,sk a:rsalolralm, plastic, v✓ nY1 25e9t And 6,101e 70 21 1 Ca sli registeratand, 48"° x 42" x 22"y h1mbiote, 1 11d7rwe", 90 apan Under she111+11rs 22 1 Cail1 drawer, metal, lock hardware so } 1 1>miee gun, 1x1'is:t1;c 20 ,24 1 1w1:a'rcllandise :El!odar &W, O x l.t1 x IT', g11 25 1 8-mme111au1n10 DVR, 911aau factumir and mod,'a1 91*, 001 265 avall'nlblc, 0,c;hanml, W101 lmonho", 17" ' ; 1 Garniont ara.+add., 6' moid ,,. tubultal" Na'tmol,, Sirig1e fiat gti., Garters 27 t; Wall m111rrar, 27" 76 63", m r tal fii-tdulac IS 1 Chair, metal, 'ftbric 'soal and back 30 25K-14 EXHIBIT C Page 2 of 2 CLOTHING ORFI ROPA MOVEABLE FURNITURE FIXTURES AND EQUIPMENT EFFECTIVE DATE OF VALUE — MAY 9, 2016 Market 1Rcum valun hi Place 29 1 kw kii-mf3'lgeramr, Sanyn, staiaUe s stool., 4 cubic, fear 70 30 1 Microwave, General Eledfle 5a3 31 2 Garment disipslays".'1u.0 War cltromv, 4-my, 54" high 60 32 1 Cuffue table, 26' x 20"„ v4vod, with plyawrmgyp gs,p' 5 Y' x 20" 45 3.3 2 blig ht stamdst elresscss, 26" nti 26" x IS", axrood, 3-clrA er 160 Sal 1 Dr, assur, 561 x 66411 x 1911, wood, 5-dracwaT 1210 35 1 Display rack, 65" x 51 "x 244', land wtc,'2',Dumnl wrwim Rp^d 70 wva1.11 Vanols, 'dry'." >. 4' 36 1 W.4 11 ttmimw, 'p4" N 50", palrastle fratio 30, 37 4 Orriut+.' a0 display reeks.7" xx 2" atuctaal Wire so 38 2 LED 11lgal'al 135 39 1 Neon "Op Lj? Ingbi, 16'N6", 1Mhu:ntie 35 40 1 Myaal party sp ".Kq:r�, Q1;`X, Ndodel nca.w 13BX.5071dU@BT 50 41 1 Flat S.p]' M tw OV'lslenl.i, 111atI'W aCtUrer aa7�d modol L9d . ym o 65 available, N``h 42 1 i4'lr']C1m%' el0car, a7n n a%wurF}L' P1<i9C1 1N7odul'no, slot akrnilLa AO 310 43. 1 Router„ Motorola, Modd no.; SB51,01 4$ i'O'I'AH, MOVABLE E 1:QW11hTIu1 C $2,`�70 25K-15 25K-16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: APPROVE PURCHASE AGREEMENT FOR REAL PROPERTY ACQUISITION RELATED TO BRISTOL STREET IMPROVEMENTS PHASE 4 (PROJECT NO. 116741) (NON -GENERAL FUND) (STRATEGIC PLAN NOS, 6, 1G; 3, 2C) CITY MAAAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 16' 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 Purchase Agreement for the real property acquisition, temporary construction easement, and goodwill (if any) with the property owner listed below, subject to nonsubstantive changes approved by the City Manager and City Attorney: No. Property Owner Property commonly known as / location Sergio Aparicio and Maria G. 1242 West St. Andrew Place Aparicio (APN 015-232-10) DISCUSSION Acquisition Amount Type Partial $2,350 Bristol Street is a north -south transportation corridor designated as a major arterial highway in the City's Circulation Element of the General Plan. Improving the 3.9-mile Bristol Street segment from Warner Avenue to Memory Lane has been a long-term priority project that is being constructed in several phases. Improvements include widening the street from two to three lanes in each direction, raised landscape medians, and adding bike lanes. The City is acquiring properties for the development of Phase 4, bounded by Warner Avenue and Saint Andrew Place. Property acquisitions for this phase are expected to be completed by summer 2017, and construction is anticipated to begin in fall 2017. The property acquisition is necessary to accommodate the improvements and widening for Phase 4 (Exhibit 1). The purchase price, based on the appraised value prepared by a California State licensed appraiser, was accepted by the property owner. The compensation amount is listed above and shown in the attached agreement (Exhibit 2). 25L-1 Purchase Agreement for Real Property Acquisition Bristol Street Improvements Phase 4 April 18, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). Approval of this item also supports the City's efforts to meet Goal #3 — Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies), Strategy C (support business development and job growth along transit corridors through the completion of critical transit plans/projects). ENVIRONMENTAL IMPACT In 1990, City Council approved the Bristol Street Final Environmental Impact Statement/Environmental Impact Report (FEIS/EIR No. 89-01). Due to several minor design modifications in Phase 4, which lies between Warner Avenue and Saint Andrew Place, an Addendum to the FEIS/EIR was prepared and adopted pursuant to the California Environmental Quality Act by City Council on April 7, 2015. FISCAL IMPACT Funds in the total amount of $2,350 are available in the Bristol Street Improvements Project (No. 116741) for expenditure in FY 2016-2017: $1,175 in the Select Street Construction Fund (Account No. 05917661-66100) and $1,175 in the Measure M2 Street Construction Fund (Account No. 03217663-66100), subject to nonsubstantive changes. IVA FrAd Mousa ipour Executive Director Public Works Agency FM/EWG/JG/ML APPROVED AS TO FUNDS & ACCOUNTS: f�CsS� -, )\ Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibits: 1. Location Map 2. Agreement for APN 015-232-10 25L-2 MATCHLINE SEE BELOW RIGHT I I r i i i i 4Daaa�•17 j ST GERTRUDE PL I 1408,471.01! I LEGEND: R 408-171.17 1015-09M41F-•—••--I YC4 E4- - '- - 'o1e-laa-eal ' r-----�--•--•-i 018-384.24, '01s-104.z� ,4 - A713.19R-28: 'Di g.143a; ' i i ! ——L-----J WARNER AVENUE -SUBJECT PPVPEP.T'y - GU1PEB PPOPEPTIE5 1 I _.. T".—F'I; ' I ST ANDREW PL 4 I I I I n l m I //" -• b CARLTON PL T .4 .. iI GLENWOOD PL -.T._�T-.-T""11- I I i n' =� N CAMDEN PL �ST ANNE PL J _.--_ - �7 -'7._-T r t---r--1--- I ry l I I I -i-- I v 9 - — EXHIBIT 1 MATCHLINE SEE TOP LEFT SANTA ANA PURCHASE AGREEMENT FOR CRY COUNCIL BRISTOL STREET IMPROVEMENTS VV AM AGENDA DATE: PHASE 4 (PROJECT NO,116741 wAPRIL 18, 2017 NONGENERAL FUND) PUBLIC n )Strategic Plan No. 6, 1, G; and 3, 2, C) PAGE 1 OF 1 25L-3 25L-4 PURCHASE AND SALE AGREEMENT FOR ACQUISITION OF REAL PROPERTY AND BILATERAL ESCROW INSTRUCTIONS THIS AGREEMENT (hereinafter "PSA"), entered into on 201 7, between the CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California (hereinafter "City' or "Buyer"), and SERGIO APARICIO, an individual, and MARIA G. APARICIO, an individual (hereinafter "Seller"), regardless of number or gender; THEREFORE, for and in consideration of their mutual promises, covenants and agreements, and subject to the terms, conditions and provisions of this PSA, Seller agrees to sell to City, and City agrees to purchase from Seller, that certain real property (hereinafter "Said Real Property") legally described as follows: SEE EXHIBIT `A' — Legal Description ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF (Commonly known as 1242 W. Saint Andrew Place, Santa Ana, CA 92707) (APN#: 015-232-10) Said purchase and sale of Said Real Property shall be in accordance with and subject to all of the following terms, conditions, promises, covenants, agreements and provisions, to wit: t. Conveyance by Seller. Seller agrees to convey said real property to City, by Grant Deed, at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, within sixty (60) days from and after the date on which the City has approved this Agreement. 2. Title to be Conveyed. Seller agrees that, except as may hereinafter be otherwise expressly provided, said real property shall be conveyed by Seller to City, as aforesaid, free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, including any and all leasehold interests), liens, clouds or defects in title except those exceptions shown in Paragraph 15 below. Seller hereby warrants that the title to said real property to be conveyed by Seller to City shall be free and clear as provided above. Seller further agrees that acceptance by City of any deed to said real property, with or without knowledge of any condition, restriction, reservation, exception, easoment, assessment, profit, limitation, encumbrance (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), lien, cloud or defect in title, shall not constitute a waiver by City of its right to the full and clear title hereinabove agreed-tobe conveyed -by — Seller to City, nor of any right which might accrue to City because of the failure of Seller to convey title as hereinabove provided. 3. Title Insurance. Seller agrees to deliver to City, concurrently with the conveyance of said real property to City, within the time and at the place hereinabove specified for said conveyance of said real property, a policy of title insurance to be issued by the above mentioned Title company, with the City therein named as the Insured, in the amount of One Thousand, Six Hundred Forty -Eight and nol100 Dollars ($1,648.00) insuring the title of the City to said real property is free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), liens, clouds or defects in title, excepting such specific ones as city may hereinafter expressly agree to take subject to. Acceptance by City of any such policy of insurance, whether such insurance complies with the requirements of this paragraph or not, shall not constitute a waiver by City of its right to such Insurance as is herein required of Seller, nor a waiver by the City of any rights of action for damages or any other rights which may accrue to City by reason of the failure of Seller to convey title or to provide title insurance as required in this Agreement. Exhibit 2 25L-5 4. Escrow. City agrees to open an escrow at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, (the Escrow Agent) within five (5) days from and after the date on which the City has approved this Agreement. This Agreement constitutes the joint escrow instructions of the City and the Seller and a duplicate original of this Agreement shall be delivered to the Escrow Agent upon the opening of the escrow. Escrow to close within sixty (60) days of the City's execution of this Agreement. If escrow is not in a condition to close by the Close of Escrow, and failure to close is due to unforeseen conditions of title or interest of third parties in the Property that cannot be resolved in Escrow, then buyer may, at its option, request cancellation of escrow and this Agreement and return of any funds it has deposited into escrow. Thereupon, all obligations and liabilities of the Parties under this Agreement shall cease and terminate. If no such request is made, Escrow shall be closed as soon as possible thereafter. Buyer shall be entitled to possession of the Property immediately upon close of Escrow. The Escrow Agent hereby is empowered to act under this Agreement, and upon indicating its acceptance of this Section 4 and of the General Provisions described in Exhibit `B' attached hereto and incorporated herein by this reference, in writing, delivered to the City and to the Seller within five (5) days after delivery of this Agreement, shall carry out its duties as Escrow Agent hereunder. City agrees to bear and Escrow Agent is hereby authorized to charge to the City the cost of any transfer taxes, recording fees, cost of title insurance, re -conveyance fees, document preparation fees, escrow fees and any other closing costs incidental to the conveying of said real property to City. Penalties for prepayment of bona fide obligations secured by any existing deed of trust or mortgage shall be waived pursuant to Civil Code Procedures Section 1265.240. The liability to the Escrow Agent under this Agreement is limited to performance of the obligations imposed upon it under Section 4, Section 6, Section 8 and Exhibit 'B' of the General Provisions of this Agreement. 5. Property Taxes. Such real property taxes, if any, on said real property for the fiscal year within which said real property is conveyed to City as are unpaid at the time of said conveyance shall be cleared and paid in accordance with the provisions of Section 4986 of the Revenue and Taxation Code of the State of California. Seller shall be eligible for a refund under Section 5096.7 of the Revenue and Taxation Code of the State of California for that portion of property taxes on said real property for said fiscal year which have been paid prior to the date the deed conveying said real property to City is recorded which is allocable to that portion of the fiscal year which begins on the date the deed conveying said real property to City is recorded and made uncollectible if unpaid by reason of Section 5086 of the Revenue and Taxation Code of the State of California. To the extent that Seller has prepaid any taxes or assessments attributable to the Property; Seller shall be solely responsible for obtaining any refund due thereon from the taxing authority. Upon written request, Buyer shall assist Seller, at Seller's sole cost, in obtaining said refund, if any; however, in no case shall Buyer credit or otherwise pay Seller for that refund, if any, through or outside of Escrow. All unpaid taxes on said real property for any and all years prior to the fiscal year within which said conveyance is made shall be paid by Seller before conveyance of said real property to City. 6. Payment of Purchase Price. City agrees to pay to Seller, and Seller agrees to accept from City, as and for the full purchase price for said real property, the total sum of Two Thousand, Three Hundred Fifty and no/100 Dollars ($2,350.00). City agrees to deposit said purchase price in escrow with the Escrow Agent within THIRTY (30) days from and after the date on which the City has approved this Agreement, and the Escrow Agent is hereby authorized to pay the same to Seller upon and after: (a) Conveyance of said real property by Seller to City as hereinabove provided; 25L-6 (b) Acceptance by City of a Grant Deed conveying said real property to City; (c) Delivery to City of the policy of title insurance as hereinabove provided; (d) Recordation of the Deed conveying said real property to City, 7. Possession. Seller agrees to deliver to City, on the date the Deed conveying said real property to City is recorded, quiet and peaceful possession of said real property, which shall be made free by Seller of all personal property. a. No later than three (3) days after close of escrow, Seller shall have removed all merchandise, inventory, equipment, personal property, and/or removable trade fixtures from the Property, and shall leave the Property in a broom swept condition. Any merchandise, inventory, equipment, personal property, and/or removable trade fixtures at the Property as of three days after close of escrow shall be deemed abandoned by Seller on that date, unless a prior written agreement has been made with the City or its representatives. If Seller does not vacate the Property by the above stated date, the Seller agrees to have the Court Immediately issue a Writ of Possession and/or Assistance, directing the Marshall or Sheriff of Orange County to take physical possession of the Property in favor of the City. Seller waives the right to have the City file an unlawful detainer action, as well as waive the right to any hearing or any requirements for an application by City to obtain the Writ of Possession and/or Assistance and waives any and all rights to object to the issuance of said Writ if Seller does not vacate the Property by three (3) days after close of escrow. 8. Holdover Seller. At the sole discrepancy of the City, the City may allow the Seller to stay beyond the three days after the close of escrow as stated in Section 7a. In doing so, the Seller will become a Holdover Seller, and will be required to sign an interim rental agreement. Said rental agreement will provide the rental rate and terms of the lease. If the City or its agents fail to provide said rental agreement to Seller and Seller is still in occupancy of the Property after the three days after the close of escrow, then Seller is responsible to contact the City or its agents, to determine as to where to send their rent payment. Failure of City or its agents to present the interim rental agreement to Seller does not absolve the Seller from paying rent. 9. Rental and Occupancy By Seller. Seller agrees to execute a complete, current and correct statement of rentals (Sellor Estoppel) on a form furnished to Seller by City and deliver same to City within fifteen (15) days hereof with copies of any written leases or rental agreements attached. All rents will be prorated as of the close of escrow on the basis of a 30-day month/365-day year consistent with that statement, subject to approval of City. Seller hereby agrees not to rent any units on the premises which are vacant as of the date that this agreement is executed by seller, or which may be vacated by present occupants prior to close of escrow. In return, the City agrees to reimburse seller lost rentals incurred by keeping units vacant through the close of escrow. Seller agrees that any and all Tenant Security Deposits pertaining to the subject property collected by or in the possession of Seller prior to the close of escrow shall be transferred to and become the property of City during escrow. Seller hereby warrants that the rental statement referred to shall include the terms of all rental agreements, tenancies, and leases (written, unwritten, recorded, or unrecorded) and Seller agrees to hold City harmless from all liability from any such leases or agreements. Seller also warrants that there are no oral or written leases on all or any portion of the subject property exceeding a period of one month. 25L-7 10. Waivers. The waiver by City of any breach of any covenant or agreement herein contained on the part of the Seller shall not be deemed or held to be a waiver of any subsequent or other breach of said covenant or agreement nor a waiver of any breach of any other covenants or agreements contained herein. 11, Heirs, Assigns, Successors -in -Interest. This PSA, and all the terms, covenants and conditions hereof, shall apply to and bind the heirs, executors, administrators, successors and assigns of the respective Parties hereto. 12. Time is of the Essence. In all matters and things hereunder to be done and in all payments hereunder to be made, time is and shall be of the essence. 13. Just Compensation. Seller acknowledges and agrees that said purchase price is just compensation at fair market value for said real property. 14, Acknowledgment of Full Benefits and Release A. By execution of this Agreement, Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby acknowledges that this Agreement provides full payment for the acquisition of the Property by Buyer, and Seller hereby expressly and unconditionally waives any claim for compensation for injury to the remainder ("severance damages"); precondern nation damages; claims for inverse condemnation; loss or impairment of any "bonus value" attributable to any lease; damage to or loss of improvements pertaining to the realty; any right to repurchase, leaseback from Seller, or receive any financial gain from, the sale of any portion of the Property , or challenge Buyer's adoption of a resolution of necessity, pursuant to Code of Civil Procedure sections 1245.24.5; any right to receive any notices pursuant to Code of Civil Procedure section 1245.245; any right to enforce any other obligation placed upon Seiler pursuant to Code of Civil Procedure sections 1246.245, 1263,025 and 1263.615; any other rights conferred upon Sellers pursuant to Code of Civil Procedure sections 1245.245 and 1253.615 and 1263.025; and attorney's fees and costs. It being understood that this is a complete and full settlement of all acquisition claims, liabilities, or benefits of any type or nature whatsoever relating to or in connection with the acquisition of the Property by Buyer. This release shall survive the Close of Escrow. B. This Agreement arose out of Buyer's efforts to acquire the Property through its municipal authority. Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby fully releases Buyer, its successors, agents, representatives (including attorneys), and assigns, and all other persons and associations, known or unknown, from all claims and causes of action by reason of any damage which has been sustained by Seller, or may be sustained by Seller, as a result of Buyer's efforts to acquire the Property or to construct the works of improvement thereon, or any preliminary steps thereto. This Agreement does not, and shall not be construed to, require Seller to indemnify Buyer for damages which may arise as a result of Buyer's efforts to construct improvements on the Property. This acknowledgment and release shall survive the Close of Escrow. 15. Notices. The mailing address of the City of Santa Ana is 20 Civic Center Plaza, M 36, P.O. Box 1988, in the City of Santa Ana 92701, County of Orange, State of California. The mailing address of the Seller is 1242 W. Saint Andrew Place, Santa Ana, CA 92707 16. Exceptions. City agrees to accept title to said real property subject to the following: NONE. 25L-8 17. Entire Agreement. It is mutually agreed that the Parties hereto have herein set forth the whole of their Agreement. Performance of this PSA by City shall lay at rest, each, every, and all issue(s) that were raised or could have been raised in connection with the acquisition of Said Real Property by City. 18. Hazardous Waste, Neither Seller nor, to the best of Seller's knowledge, any previous owner, tenant, occupant, or user of the Property used, generated, released, discharged, stored, or disposed of any hazardous waste, toxic substances, or related materials ("Hazardous Materials") on, under, in, or about the Property, or transported any Hazardous Materials to or from the Property. Seller shall not cause or permit the presence, use, generation, release, discharge, storage, or disposal of any Hazardous Materials on, under, in, or about, or the transportation of any Hazardous Materials to or from, the Property. The term "Hazardous Material" shall mean any substance, material, or waste which is or becomes regulated by any local governmental authority, the State of California, or the United States Government, including, but not limited to, any material or substance which is (i) defined as a "hazardous waste", "extremely hazardous waste", or "restricted hazardous waste" under Section 25115, 25117 or 25122.7, or listed pursuant to Section 25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), (ii) defined as "hazardous substance" under Section 25316 of the California Health and Safety Code, Division 20, Chapter 6.8 (Carpenter -Presley -Tanner Hazardous Substance Account Act), (ii) defined as a "hazardous material", "hazardous substance", or "hazardous waste" under Section 25501 of the California Health and Safety Code, Division 20, Chapter 6.95 (Hazardous Materials Release Response Plans and Inventory), (iv) defined as a "hazardous substance" under Section 25281 of the California Health and Safety Code, Division 20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleum, (vi) asbestos, (vii) polychlorinated biphenyls, (viii) listed under Article 9 or defined as "hazardous" or "extremely hazardous" pursuant to Article 11 of Title 22 of the California Administrative Code, Division 4, Chapter 20, (ix) designated as a "hazardous substances" pursuant to Section 311 of the Clean Water Act, (33 U.S.C. S1317), (x) defined as a "hazardous waste" pursuant to Section 1004 of the Resource Conservation and Recovery Act, 42 U,S.C. S6901 et seq. (42 U.S.C. S6903) or (xi) defined as a "hazardous substances" pursuant to Section 101 of the Comprehensive Environmental Response, Compensation, as amended by Liability Act, 42. U.S.C. S9601 et sec. (42 U.S.C. S9601). 19. Compliance With Environmental Laws. To the best of Seller's knowledge the Property complies with all applicable laws and governmental regulations including, without limitation, all applicable federal, state, and local laws pertaining to air and water quality, hazardous waste, waste disposal, and other environmental matters, including, but not limited to, the Clean Water, Clean Air, Federal Water Pollution Control, Solid Waste Disposal, Resource Conservation Recovery and Comprehensive Environmental Response Compensation and Liability Acts, and the California Environment Quality Act, and the rules, regulations, and ordinances of the city within which the subject property Is located, the California Department of Health Services, the Regional Water Quality Control Board, the State Water Resources Control Board, the Environmental Protection Agency, and all applicable federal, state, and local agencies and bureaus. 20, Indemnity. Seller agrees to indemnify, defend and hold the City harmless from and against any claim, action, suit, proceeding, loss, cost, damage, liability, deficiency, fine, penalty, punitive damage, or expense (including, without limitation, attorneys' fees), resulting from, arising out of, or based upon (i) the presence, release, use, generation, discharge, storage, or disposal of any Hazardous Material on, under, in or about, or the transportation of any such materials to or from, the Property, or (ii) the violation, or alleged violation, of any statute, ordinance, order, rule, regulation, permit, judgment, or license relating to the use, generation, release, discharge, storage, disposal, or transportation of Hazardous Materials on, under, in, or about, to or from, the Property. This indemnity shall include, without limitation, any damage, liability, fine, penalty, punitive damage, cost, or expense arising from or out of any claim, action, suit or proceeding for personal injury (including sickness, disease, or death, tangible or intangible property damage, compensation for lost wages, business 25L-9 income, profits or other economic loss, damage to the natural resource or the environment, nuisance, pollution, contamination, leak, spill, release, or other adverse effect on the environment). This indemnity extends only to liability created prior to or up to the date this escrow shall close. Seller shall not be responsible for acts or omissions to act post close of this escrow. 21, Contingency. It is understood and agreed between the parties hereto that the completion of this transaction, and the escrow created hereby, is contingent upon the specific acceptance and approval of the City herein. The execution of these documents and the delivery of same to Escrow Agent constitute said acceptance and approval. 22. Modification and Amendment. This PSA may not be modified or amended except in writing signed by the Seller and City. 23. Partial Invalidity. Any provision of this PSA that is unenforceable or invalid or the conclusion of which would adversely affect the validity, legality, or enforcement of this PSA shall have no effect, but all the remaining provisions of this PSA shall remain in full force. 24. Captions. Captions and headings in this PSA, including the title of this PSA, are for convenience only and are not to be considered in construing this PSA. 25. Governing Law, This PSA shall be governed by and construed in accordance with the laws of the State of California. 26. No Reliance By One Party On The Other. Each party has received independent legal advice from its attorneys with respect to the advisability of executing this PSA and the meaning of the provisions hereof. The provisions of this PSA shall be construed as to their fair meaning, and not for or against any party based upon any attribution to such party as the source of the language in question. 27. No Third Party Beneficiary. This PSA is intended to benefit only the Parties hereto and no other person or entity has or shall acquire any rights hereunder. 28. Duty To Cooperate Further. Each party hereby agrees that it shall, upon request of the other, execute and deliver such further documents (in form and substance reasonably acceptable to the party to be charged) and do such other acts and things as are reasonably necessary and appropriate to effectuate the terms and conditions of this PSA, without cost. 29. Applicability of Agreement To Assignees. This PSA shall be binding upon and shall inure to the benefit of the successors and assigns of the Parties to this PSA. X Authority to (Execute Agreement. 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 PSA, 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. 31. Incorporation of Exhibits. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this PSA. 25L-10 IN WITNESS WHEREOF, the Parties hereto have executed this Purchase and Sale Agreement on the date and year first written above. SEL ER: Cie Date: 0 1 ^ (Q Q'7 Sergio 4aricio, an individual ✓(,.1 /� Date: _ /J--- Maria ;. Apari io, an individual CITY OF SANTA ANA: City/Buyer Date: David Cavazos City Manager ATTEST: Date: Maria D. Huizar City Clerk APPROVED AS TO FORM: Jo M. Funk As istant City Attorney Fred Mousavipour Executive Director Public Works Agency Date: Date: 25L-11 EXHIBIT'A' LEGAL DESCRIPTION FOR RIGHT OF WAY PURPOSES — AP No. 015-232-10 IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, BEING A PORTION OF LOT 19 OF TRACTNO. 1378, PER MAP RECORDED IN BOOK 41, PAGE 28 OF MISCELLANEOUS MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF SAID COUNTY, SAID PORTION LYING NORTHWESTERLY OF THE FOLLOWING DESCRIBED LINE: BEGINNING AT A POINT IN THE NORTH LINE OF SAID LOT, SAID POINT LYING DISTANT THEREON SOUTH 88010'21" EAST, 11.64 FROM THE INTERSECTION OF SAID NORTH LINE WITH THE WEST LINE OF SAID LOT; THENCE, SOUTH 4051'35" WEST, 16.43 FEET TO A PO1NT IN SAID WEST LINE, SAID POINT LYING DISTANT THEREON SOUTH l `46' 14" WEST, 11.61 FEET FROM SAID INTERSECTION. CONTAINING AN AREA OF 46 SQUARE FEET, MORE OR LESS. ALL AS SHOWN ON EXHIBIT `B', ATTACFIED HERETO AND BY THIS REFERENCE MADE A PART HEREOF. SUBJECT TO COVENANTS, CONDITIONS, RESTRICTIONS, RESERVATIONS, EASEMENTS OF RECORD, AND RIGHTS OF WAY, IF ANY. THIS DESCRIPTION HAS BEEN PREPARED BY ME ONC.r SEPTEMBER 22,2?15ANTHONY C. CUOMO, PLS 6042 L OF 25L-12 EXHIBIT `B' (First American) GENERAL ESCROW PROVISIONS All disbursements shall be made by Escrow's check. All funds received in this escrow shall be deposited in one or more of your general escrow accounts with any bank doing business In the State of California and may be transferred to any other general escrow account or accounts. The expression "close of escrow" means the date on which instruments referred to herein are filed for record. All adjustments are to be made on the basis of a 30-day month. Recordation of any instruments delivered through this escrow, if necessary or proper in the issuance of a policy of title insurance called for, is hereby authorized. There shall be no proration of any existing insurance policies in this escrow. You are to furnish a copy of these instructions, amendments thereto, closing statements and/or any other documents deposited in this escrow to the lender or lenders, the real estate broker or brokers and/or the attorney or attorneys involved in this transaction upon request of such lenders, brokers or attorneys. Should you before or after close of escrow receive or become aware of any conflicting demands or claims with respect to this escrow or the rights of any of the parties hereto, or any money or property deposited herein affected hereby, you shall have the right to discontinue any or all further acts on your part until such conflict is resolved to your satisfaction, and you shall have the further right to commence or defend any action or proceedings for the determination of such conflict. The parties hereto jointly and severally agree to pay all costs, damages, judgments and expenses, including reasonable attorney's fees, suffered or incurred by you in connection with, or arising out of this escrow, including, but without limiting the generality of the foregoing, a suit in interpleader brought by you. In the event you file a suit in interpleader, you shall ipso facto be fully released and discharged from all obligations imposed upon you in this escrow. If for any reason funds are retained or remain in escrow, you are to deduct therefrom a reasonable monthly charge as custodian thereof of not less than $10.00 per month. Time is declared to be the essence of these instructions. If you are unable to comply within the time specified herein and such additional time as is required to make an examination of the official records, you will return all documents, money or property to the party entitled thereto upon satisfactory written demand and authorization. Any amendment of and/or supplement to any instructions must be in writing. The seller agrees to sell and the buyer agrees to buy the property herein described upon the terms hereof. These escrow instructions, and amendments hereto, may be executed in one or more counterparts, each of which independently shall have the same effect as if it were the original, and all of which taken together shall constitute one and the same instruction. 25L-13 25L-14 MATCHLINE SEE BELOW RIGHT I f 1 i I I 140&336.17 I 1 ST GERTRUDE PL 1 1408.47141I I I I i 2 S.ANTA ANA ff F' I PUBLIC WORKS ACEP101' 'Q i jr vz-zl, 40SA71-M i 1015.19a-,+1 �----•-- '01&1Sd23� h-.__..1_._..-4 016,194.24, I'016-194-,2�- 2. h15.194-26: WARNER AVENUE -599JECT PPOPEPT/ -ACOIRWD VP➢11EPrT5S I I ' I I I I -..L... _.L -LAJ ST ANDREW PL , 4 I CARLTON PL T_.7..,1 i GLENWOOD PL o i i i m i { } w;5�Ptl J o -� I I I m ' gri i i i ar--r--r -r- i Mi i i i �I CAMDEN PL I I -T... T 7 — I- ..T..�_..p� �3T ANNE PL , n I I I q EXHIBIT 1 MATCHLINE SEE TOP LEFT PURCHASE AGREEMENT FOR CITY COUNCIL BRISTOL STREET IMPROVEMENTS AGENDA DATE: PHASE 4 (PROJECT NO.116741 APRIL 18, 2017 NONGENERAL FUND) (Strategic Plan No. 6, 1, G; and 3, 2, C) PAGE 1 OF 1 25L-15 25L-16 PURCHASE AND SALE AGREEMENT FOR ACQUISITION OF REAL PROPERTY AND BILATERAL ESCROW INSTRUCTIONS THIS AGREEMENT (hereinafter "PSA"), entered into on 2017, between the CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California (hereinafter "City' or "Buyer"), and SERGIO APARICIO, an individual, and MARIA G. APARICIO, an individual (hereinafter "Seller"), regardless of number or gender; THEREFORE, for and in consideration of their mutual promises, covenants and agreements, and subject to the terms, conditions and provisions of this PSA, Seller agrees to sell to City, and City agrees to purchase from Seller, that certain real property (hereinafter "Said Real Property") legally described as follows: SEE EXHIBIT'A' — Legal Description ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF (Commonly known as 1242 W. Saint Andrew Place, Santa Ana, CA 92707) (APN#: 015-232-10) Said purchase and sale of Said Real Property shall be in accordance with and subject to all of the following terms, conditions, promises, covenants, agreements and provisions, to wit: 1. Conveyance,by Seller. Seller agrees to convey said real property to City, by Grant Deed, at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, within sixty (60) days from and after the date on which the City has approved this Agreement. 2. Title to be Conveyed. Seller agrees that, except as may hereinafter be otherwise expressly provided, said real property shall be conveyed by Seller to City, as aforesaid, free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, including any and all leasehold interests), liens, clouds or defects in title except those exceptions shown in Paragraph 15 below. Seller hereby warrants that the title to said real property to be conveyed by Seller to City shall be free and clear as provided above. Seller further agrees that acceptance by City of any deed to said real property, with or without knowledge of any condition, restriction, reservation, exception, easement, assessment, profit, limitation, encumbrance (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), lien, cloud or defect in title, shall not constitute a waiver by City of its right to the full and clear title hereinabove agreed -tube conveyed-b9— — — -- Seller to City, nor of any right which might accrue to City because of the failure of Seller to convey title as hereinabove provided. 3. Title Insurance. Seller agrees to deliver to City, concurrently with the conveyance of said real property to City, within the time and at the place hereinabove specified for said conveyance of said real property, a policy of title insurance to be issued by the above mentioned title company, with the City therein named as the insured, in the amount of One Thousand, Six Hundred Forty -Eight and no/100 Dollars ($1,648.00) insuring the title of the City to said real property is free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), liens, clouds or detects in title, excepting such specific ones as city may hereinafter expressly agree to take subject to. Acceptance by City of any such policy of insurance, whether such insurance complies with the requirements of this paragraph or not, shall not constitute a waiver by City of its right to such insurance as is herein required of Seller, nor a waiver by the City of any rights of action for damages or any other rights which may accrue to City by reason of the failure of Seller to convey title or to provide title insurance as required in this Agreement. Exhibit 2 25L-17 4. Escrow. City agrees to open an escrow at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, (the Escrow Agent) within five (5) days from and after the date on which the City has approved this Agreement. This Agreement constitutes the joint escrow instructions of the City and the Seller and a duplicate original of this Agreement shall be delivered to the Escrow Agent upon the opening of the escrow. Escrow to close within sixty (60) days of the City's execution of this Agreement. If escrow is not in a condition to close by the Close of Escrow, and failure to close is due to unforeseen conditions of title or interest of third parties in the Property that cannot be resolved in Escrow, then buyer may, at its option, request cancellation of escrow and this Agreement and return of any funds it has deposited into escrow. Thereupon, all obligations and liabilities of the Parties under this Agreement shall cease and terminate. If no such request is made, Escrow shall be closed as soon as possible thereafter. Buyer shall be entitled to possession of the Property immediately upon close of Escrow. The Escrow Agent hereby is empowered to act under this Agreement, and upon indicating its acceptance of this Section 4 and of the General Provisions described In Exhibit `B' attached hereto and incorporated herein by this reference, in writing, delivered to the City and to the Seller within five (5) days after delivery of this Agreement, shall carry out its duties as Escrow Agent hereunder. City agrees to bear and Escrow Agent is hereby authorized to charge to the City the cost of any transfer taxes, recording fees, cost of title insurance, re -conveyance fees, document preparation fees, escrow fees and any other closing costs incidental to the conveying of said real property to City. Penalties for prepayment of bona fide obligations secured by any existing deed of trust or mortgage shall be waived pursuant to Civil Code Procedures Section 1265.240. The liability to the Escrow Agent under this Agreement is limited to performance of the obligations imposed upon it under Section 4, Section 6, Section 8 and Exhibit `B' of the General Provisions of this Agreement. 5. Property Taxes. Such real property taxes, if any, on said real property for the fiscal year within which said real property is conveyed to City as are unpaid at the time of said conveyance shall be cleared and paid in accordance with the provisions of Section 4986 of the Revenue and Taxation Code of the State of California. Seller shall be eligible for a refund under Section 5096.7 of the Revenue and Taxation Code of the State of California for that portion of property taxes on said real property for said fiscal year which have been paid prior to the date the deed conveying said real property to City is recorded which is allocable to that portion of the fiscal year which begins on the date the deed conveying said real property to City is recorded and made uncollectible If unpaid by reason of Section 5086 of the Revenue and Taxation Code of the State of California, To the extent that Seller has prepaid any taxes or assessments attributable to the Property; Seller shall be solely responsible for obtaining any refund due thereon from the taxing authority. Upon written request, Buyer shall assist Seller, at Seller's sole cost, in obtaining said refund, if any; however, in no case shall Buyer credit or otherwise pay Seller for that refund, if any, through or outside of Escrow. All unpaid taxes on said real property for any and all years prior to the fiscal year within which said conveyance is made shall be paid by Seller before conveyance of said real property to City. 6. Payment of Purchase Price. City agrees to pay to Seller, and Seller agrees to accept from City, as and for the full purchase price for said real property, the total sum of Two Thousand, Three Hundred Fifty and no/100 Dollars ($2,350.00), City agrees to deposit said purchase price in escrow with the Escrow Agent within THIRTY (30) days from and after the date on which the City has approved this Agreement, and the Escrow Agent is hereby authorized to pay the same to Seller upon and after: (a) Conveyance of said real property by Seller to City as hereinabove provided; 25L-18 (b) Acceptance by City of a Grant Deed conveying said real property to City; (c) Delivery to City of the policy of title insurance as hereinabove provided; (d) Recordation of the Deed conveying said real property to City. 7. Possession. Seller agrees to deliver to City, on the date the Deed conveying said real property to City is recorded, quiet and peaceful possession of said real property, which shall be made free by Seller of all personal property. a. No later than three (3) days after close of escrow, Seller shall have removed all merchandise, inventory, equipment, personal property, and/or removable trade fixtures from the Property, and shall leave the Property in a broom swept condition. Any merchandise, inventory, equipment, personal property, and/or removable trade fixtures at the Property as of three days after close of escrow shall be deemed abandoned by Seller on that date, unless a prior written agreement has been made with the City or its representatives. If Seller does not vacate the Property by the above stated date, the Seller agrees to have the Court Immediately issue a Writ of Possession and/or Assistance, directing the Marshall or Sheriff of Orange County to take physical possession of the Property in favor of the City. Seller waives the right to have the City file an unlawful detainer action, as well as waive the right to any hearing or any requirements for an application by City to obtain the Writ of Possession and/or Assistance and waives any and all rights to object to the issuance of said Writ if Seller does not vacate the Property by three (3) days after close of escrow. 8. Holdover Seller. At the sole discrepancy of the City, the City may allow the Seller to stay beyond the three days after the close of escrow as stated in Section 7a. In doing so, the Seller will become a Holdover Seller, and will be required to sign an interim rental agreement. Said rental agreement will provide the rental rate and terms of the lease. If the City or its agents fail to provide said rental agreement to Seller and Seller is still in occupancy of the Property after the three days after the close of escrow, then Seller is responsible to contact the City or its agents, to determine as to where to send their rent payment. Failure of City or its agents to present the interim rental agreement to Seller does not absolve the Seller from paying rent. 9. Rental and Occupancy By Seller. Seller agrees to execute a complete, current and correct statement of rentals (Seller Estoppel) on a form furnished to Seller by City and deliver same to City within fifteen (15) days hereof with copies of any written leases or rental agreements attached. All rents will be prorated as of the close of escrow on the basis of a 30-day month/365-day year consistent with that statement, subject to approval of City. Seller hereby agrees not to rent any units on the premises which are vacant as of the date that this agreement is executed by seller, or which may be vacated by present occupants prior to close of escrow. In return, the City agrees to reimburse seller lost rentals incurred by keeping units vacant through the close of escrow. Seller agrees that any and all Tenant Security Deposits pertaining to the subject property collected by or in the possession of Seller prior to the close of escrow shall be transferred to and become the property of City during escrow. Seller hereby warrants that the rental statement referred to shall include the terms of all rental agreements, tenancies, and leases (written, unwritten, recorded, or unrecorded) and Seller agrees to hold City harmless from all liability from any such leases or agreements. Seller also warrants that there are no oral or written leases on all or any portion of the subject property exceeding a period of one month. 25L-19 10. Waivers. The waiver by City of any breach of any covenant or agreement herein contained on the part of the Seller shall not be deemed or held to be a waiver of any subsequent or other breach of said covenant or agreement nor a waiver of any breach of any other covenants or agreements contained herein. 11, Heirs, Assigns, Successors in -Interest. This PSA, and all the terms, covenants and conditions hereof, shall apply to and bind the heirs, executors, administrators, successors and assigns of the respective Parties hereto. 12. Time is of the Essence. In all matters and things hereunder to be done and in all payments hereunder to be made, time is and shall be or the essence. 13. Just Compensation. Seller acknowledges and agrees that said purchase price is just compensation at fair market value for said real property. 14. Acknowledgment of Pull Benefits and Release A. By execution of this Agreement, Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby acknowledges that this Agreement provides full payment for the acquisition of the Property by Buyer, and Seller hereby expressly and unconditionally waives any claim for compensation for injury to the remainder ("severance damages"); precondemnation damages; claims for inverse condemnation; loss or impairment of any "bonus value" attributable to any lease; damage to or loss of improvements pertaining to the realty; any right to repurchase, leaseback from Seller, or receive any financial gain from, the sale of any portion of the Property , or challenge Buyer's adoption of a resolution of necessity, pursuant to Code of Civil Procedure sections 1245.245; any right to receive any notices pursuant to Code of Civil Procedure section 1246.245; any right to enforce any other obligation placed upon Seller pursuant to Code of Civil Procedure sections 1245.245, 1263,025 and 1263.615; any other rights conferred upon Sellers pursuant to Code of Civil Procedure sections 1245.245 and 1263,615 and 1263.025; and attorney's fees and costs. It being understood that this is a complete and full settlement of all acquisition claims, liabilities, or benefits of any type or nature whatsoever relating to or in connection with the acquisition of the Property by Buyer. This release shall survive the Close of Escrow. B. This Agreement arose out of Buyer's efforts to acquire the Property through its municipal authority. Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby fully releases Buyer, its successors, agents, representatives (including attorneys), and assigns, and all other persons and associations, known or unknown, from all claims and causes of action by reason of any damage which has been sustained by Seller, or may be sustained by Seller, as a result of Buyer's efforts to acquire the Property or to construct the works of improvement thereon, or any preliminary steps thereto. This Agreement does not, and shall not be construed to, require Seller to indemnify Buyer for damages which may arise as a result of Buyer's efforts to construct improvements on the Property. This acknowledgment and release shall survive the Close of Escrow. 15. Notices. The mailing address of the City of Santa Ana is 20 Civic Center Plaza, M-36, P.O. Box 1988, in the City of Santa Ana 92701, County of Orange, State of California. The mailing address of the Seller is 1242 W. Saint Andrew Place, Santa Ana, CA 92707 16. Exceptions. City agrees to accept title to said real property subject to the following: NONE. 25L-20 17. Entire Agreement. It is mutually agreed that the Parties hereto have herein set forth the whole of their Agreement. Performance of this PSA by City shall lay at rest, each, every, and all issue(s) that were raised or could have been raised in connection with the acquisition of Said Real Property by City. 18, Hazardous Waste, Neither Seller nor, to the best of Seller's knowledge, any previous owner, tenant, occupant, or user of the Property used, generated, released, discharged, stored, or disposed of any hazardous waste, toxic substances, or related materials ("Hazardous Materials") on, under, in, or about the Property, or transported any Hazardous Materials to or from the Property. Seller shall not cause or permit the presence, use, generation, release, discharge, storage, or disposal of any Hazardous Materials on, under, in, or about, or the transportation of any Hazardous Materiels to or from, the Property. The term "Hazardous Material" shall mean any substance, material, or waste which Is or becomes regulated by any local governmental authority, the State of California, or the United States Government, including, but not limited to, any material or substance which is (i) defined as a "hazardous waste", "extremely hazardous waste", or "restricted hazardous waste" under Section 25115, 25117 or 25122.7, or listed pursuant to Section 25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), (ii) defined as "hazardous substance" under Section 25316 of the California Health and Safety Code, Division 20, Chapter 6,8 (Carpenter -Presley -Tanner Hazardous Substance Account Act), (iii) defined as a "hazardous material", "hazardous substance", or "hazardous waste" under Section 25501 of the California Health and Safety Code, Division 20, Chapter 6.95 (Hazardous Materials Release Response Plans and Inventory), (iv) defined as a "hazardous substance" under Section 25281 of the California Health and Safety Code, Division 20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleum, (vi) asbestos, (vii) polychlorinated biphenyls, (viii) listed under Article 9 or defined as "hazardous" or "extremely hazardous" pursuant to Article 11 of Title 22 of the California Administrative Code, Division 4, Chapter 20, (ix) designated as a "hazardous substances" pursuant to Section 311 of the Clean Water Act, (33 U.S.C. S1317), (x) defined as a "hazardous waste" pursuant to Section 1004 of the Resource Conservation and Recovery Act, 42 U.S.C. S6901 et sue. (42 U.S,C. S6903) or (xi) defined as a "hazardous substances" pursuant to Section 101 of the Comprehensive Environmental Response, Compensation, as amended by Liability Act, 4.2. U.S.C. S9601 et sec. (42 U.S.C. S9601). 19. Compliance With Environmental Laws. To the best of Seller's knowledge the Property complies with all applicable laws and governmental regulations including, without limitation, all applicable federal, state, and local laws pertaining to air and water quality, hazardous waste, waste disposal, and other environmental matters, including, but not limited to, the Clean Water, Clean Air, Federal Water Pollution Control, Solid Waste Disposal, Resource Conservation Recovery and Comprehensive Environmental Response Compensation and Liability Acts, and the California Environment Quality Act, and the rules, regulations, and ordinances of the city within which the subject property is located, the California Department of Health Services, the Regional Water Quality Control Board, the State Water Resources Control Board, the Environmental Protection Agency, and all applicable federal, state, and local agencies and bureaus. 20, Indemnity, Seller agrees to indemnify, defend and hold the City harmless from and against any claim, action, suit, proceeding, loss, cost, damage, liability, deficiency, fine, penalty, punitive damage, or expense (including, without limitation, attorneys' fees), resulting from, arising out of, or based upon (i) the presence, release, use, generation, discharge, storage, or disposal of any Hazardous Material on, under, in or about, or the transportation of any such materials to or from, the Property, or (ii) the violation, or alleged violation, of any statute, ordinance, order, rule, regulation, permit, judgment, or license relating to the use, generation, release, discharge, storage, disposal, or transportation of Hazardous Materials on, under, in, or about, to or from, the Property. This indemnity shall include, without limitation, any damage, liability, fine, penalty, punitive damage, cost, or expense arising from or out of any claim, action, suit or proceeding for personal injury (including sickness, disease, or death, tangible or intangible property damage, compensation for lost wages, business 25L-21 income, profits or other economic loss, damage to the natural resource or the environment, nuisance, pollution, contamination, leak, spill, release, or other adverse effect on the environment). This indemnity extends only to liability created prior to or up to the date this escrow shall close. Seller shall not be responsible for acts or omissions to act post close of this escrow. 21. Contingency. It is understood and agreed between the parties hereto that the completion of this transaction, and the escrow created hereby, is contingent upon the specific acceptance and approval of the City herein, The execution of these documents and the delivery of same to Escrow Agent constitute said acceptance and approval. 22. Modification and Amendment. This PSA may not be modified or amended except in writing signed by the Seller and City. 23. Partial Invalidity. Any provision of this PSA that is unenforceable or invalid or the conclusion of which would adversely affect the validity, legality, or enforcement of this PSA shall have no effect, but all the remaining provisions of this PSA shall remain in full force. 24, Captions. Captions and headings in this PSA, including the title of this PSA, are for convenience only and are not to be considered in construing this PSA. 25, Governing Law. This PSA shall be governed by and construed in accordance with the laws of the State of California. 26, No Reliance By One Party On The Other. Each party has received independent legal advice from its attorneys with respect to the advisability of executing this PSA and the meaning of the provisions hereof. The provisions of this PSA shall be construed as to their fair meaning, and not for or against any party based upon any attribution to such party as the source of the language in question. 27. No Third Party Beneficlarv. This PSA is intended to benefit only the Parties hereto and no other person or entity has or shall acquire any rights hereunder. 2& Duty To Cooperate Further. Each party hereby agrees that it shall, upon request of the other, execute and deliver such further documents (in form and substance reasonably acceptable to the party to be charged) and do such other acts and things as are reasonably necessary and appropriate to effectuate the terms and conditions of this PSA, without cost. 29. Applicability of Agreement To Assignees. This PSA shall be binding upon and shall inure to the benefit of the successors and assigns of the Parties to this PSA. X Authority to Execute Agreement. 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 PSA, 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. 31. Incorporation of Exhibits, All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this PSA. 25L-22 IN WITNESS WHEREOF, the Parties hereto have executed this Purchase and Sale Agreement on the date and year first written above. SELLER: Sergio Aparicio, an individual ' Maria 6, Apari .io, an individual CITY OF SANTA ANA: City/Buyer David Cavazos City Manager ATTEST: Maria D. Huizar City Clerk Date: G I -to " 9-417 Date: / / ! 17 Date: Date: qk U - ct��A _ Date: Jo M. Funk As istant City Attorney RECOMMENDED FOR APPROVAL: _ ______ _ Date: Fred Mousavipour Executive Director Public Works Agency 1Z._ t 25L-23 EXHIBIT `A' LEGAL DESCRIPTION FOR RIGHT OF WAY PURPOSES — AP No. 015-232-1.0 IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, BEING A PORTION OF LOT 19 OF TRACT NO. 1378, PER MAP RECORDED IN BOOT{ 41, PACE 28 OF MISCELLANEOUS MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF SAID COUNTY, SAID PORTION LYING NORTHWESTERLY OF THE FOLLOWING DESCRIBED LINE: BEGINNING AT A POINT IN THE NORTH LINE OF SAID LOT, SAID POINT LYING DISTANT THEREON SOUTH 88010'21" EAST, 11,64 FROM THE INTERSECTION OF SAID NORTH LINE WITH THE WEST LINE OF SAID LOT; THENCE, SOUTH 46051'35" WEST, 16.43 FEET TO A POINT IN SAID WEST LINE, SAID POINT LYING DISTANT THEREON SOUTH 1 "46' 14" WEST, 11.61 FEET FROM SAID INTERSECTION. CONTAINING AN AREA OF 46 SQUARE FEET, MORE OR LESS. ALL AS SHOWN ON EXHIBIT `B', ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF. SUBJECT TO COVENANTS, CONDITIONS, RESTRICTIONS, RESERVATIONS, EASEMENTS OF RECORD, AND RIGHTS OF WAY, IF ANY. THIS DESCRIPTION HAS BEEN PREPARED BY ME ON CrAnthoflyCuomo SEPTEMBER 22,2015ANTHONY C. CUOMO, PLS 6042 OF 25L-24 EXHIBIT'B' (First American) GENERAL ESCROW PROVISIONS All disbursements shall be made by Escrow's check. All funds received in this escrow shall be deposited in one or more of your general escrow accounts with any bank doing business in the State of California and may be transferred to any other general escrow account or accounts. The expression "close of escrow" means the date on which instruments referred to herein are filed for record. All adjustments are to be made on the basis of a 30-day month. Recordation of any instruments delivered through this escrow, if necessary or proper in the issuance of a policy of title insurance called for, is hereby authorized. There shall be no proration of any existing insurance policies in this escrow. You are to furnish a copy of these instructions, amendments thereto, closing statements and/or any other documents deposited in this escrow to the lender or lenders, the real estate broker or brokers and/or the attorney or attorneys involved in this transaction upon request of such lenders, brokers or attorneys. Should you before or after close of escrow receive or become aware of any conflicting demands or claims with respect to this escrow or the rights of any of the parties hereto, or any money or property deposited herein affected hereby, you shall have the right to discontinue any or all further acts on your part until such conflict is resolved to your satisfaction, and you shall have the further right to commence or defend any action or proceedings for the determination of such conflict. The parties hereto jointly and severally agree to pay all costs, damages, judgments and expenses, including reasonable attorney's fees, suffered or incurred by you in connection with, or arising out of this escrow, including, but without limiting the generality of the foregoing, a suit in interpleader brought by you. In the event you file a suit in interpleader, you shall ipso facto be fully released and discharged from all obligations imposed upon you in this escrow. If for any reason funds are retained or remain in escrow, you are to deduct therefrom a reasonable monthly charge as custodian thereof of not less than $10.00 per month. Time is declared to be the essence of these instructions. If you are unable to comply within the time specified herein and such additional time as is required to make an examination of the official records, you will return all documents, money or property to the party entitled thereto upon satisfactory written demand and authorization. Any amendment of and/or supplement to any instructions must be in writing. The seller agrees to sell and the buyer agrees to buy the property herein described upon the terms hereof. These escrow instructions, and amendments hereto, may be executed in one or more counterparts, each of which independently shall have the same effect as if it were the original, and all of which taken together shall constitute one and the same instruction. 25L-25 25L-26 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: AGREEMENT FOR ON -CALL RIGHT- OF-WAY COORDINATING SERVICES ON GRANT -FUNDED PROJECTS (NON -GENERAL FUND) (STRATEGIC PLAN NO. 6, 1G) TY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' 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 an agreement with HDR Engineering, Inc., to perform on -call right-of-way coordinating services for a three-year term beginning April 18, 2017, and ending April 17, 2020, with provisions for one, two-year renewal option exercisable by the City Manager and City Attorney, for a total not -to -exceed amount of $500,000, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION Right-of-way coordinating services will be utilized to advance projects in the approved Capital Improvement Program, including Bristol Improvement Phases 3A, 3B and 4, and the Warner Avenue Improvements project. These on -call services will support City staff in the day-to-day oversight of right-of-way 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 property appraisal services for property acquisitions. On December 1, 2016, the Public Works Agency released a Request for Proposals (RFP) to qualified consulting firms to provide on -call right-of-way coordinating services. The RFP was also posted on the City website. Two proposals were received for Right -of -Way Coordinating Services, and both 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. Below is the list of the firms and their respective scores: Riaht-of-Wav Coordinator 1. HDR Engineering, Inc. 88.6 2. 1 Paragon 83.0 25M-1 Agreement for Right -of -Way Coordinating Services April 18, 2017 Page 2 Based on the ratings, staff recommends that the top -rated firm, HDR Engineering, Inc., be retained to provide on -call Right -of -Way Coordinating Services. This firm assisted the City with right-of-way services in the past and has a good performance track record. 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 for these on -call services are available for allocation as needed from various projects in the City's prior year and FY 2016-17 approved Capital Improvement Programs (CIP). Funding will also be budgeted in future CIP projects. Finance approval will be required for any task order over $25,000 and/or if an account number is used that is not identified below. The following spending plan is subject to change, based on available funding: (, A A, L� Fr d Mousavipour Executive Director Public Works Agency FM/EWG/JG/KN APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibit: 1. Consultant Agreement— HDR Engineering, Inc. 25M-2 AGREEMENT TO PROVIDE, ON -CALL RIGHT OF WAY COORDINATING SERVICES THIS AGREEMENT is made and entered into this l8a day of April, 2017 by and between HDR Engineering, Inc. ("Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. On December 1, 2016, the City issued Request for Proposal No. 16-141, by which it sought a consultant to provide on -call right-of-way coordinating services for the City of Santa Ana Public Works Agency. B. Consultant submitted a responsive proposal that was selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 16-141 and attached as Exhibit A. 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 fine 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 On an as -needed basis, and at the sole discretion of City, Consultant shall perform during the term of this Agreement the services that are described in Exhibit A. Consultant's proposal is incorporated by reference as though fully set forth herein, 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximuin compensation to Consultant under this Agreement. Consultant shall be paid only for actual services performed under this Agreement at the rates and charges identified in Exhibit B. The total sum to be expended during the term of this Agreement, including any extension period, shall not exceed $500,000. b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. � llof 30 This Agreement shall commence on the date first written above and terminate on April 17, 2020, unless terminated earlier in accordance with Section 15, below. The tern of this Agreement may be extended for one 2-year period by a writing executed by the City Manager and the City Attorney. EXHIBIT 1 25M-3 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 perfoimmms 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. S. 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. 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. 25M-4 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. 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 indemnity 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 hannless 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") related 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 patties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The insurance policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 25M-5 8. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend, indemnify, and hold harmless the City, its officers, agents, representatives, and employees against any and all liability, including costs and attorney's fees, for infringement of any United States' letters patent, trademark, or copyright contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. J. 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 iidentifiable. 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 infornation 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. It. 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. NONDISCRIMINATION 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, tenn'rnation or other employment related activities, or in connection with any services performed under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications - Exhibit C. 25M-6 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant regarding the subject matter herein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which 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 set -vices which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 15. TERMINATION This Agreement maybe terminated by the City upon thirty (30) clays written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 16, JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 17. PROEESSIONAI., 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 5 25M-7 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. 18, WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, 'failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 19, 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. 20. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be property given if delivered in person or mailed by first class or certified marl, 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: 101 Executive Director, Public Works Agency City Attorney City of Santa Ana City of Santa Ana 20 Civic Center Plaza (M-21) 20 Civic Center Plaza (M-29) P.O. Box 1988 P.O. Box 1988 Santa Ana, California 92702 Santa Ana, California 92702 25M-8 To Consultant: MDR Engineering, Inc. 3230 El Camino Real, Suite 200 Irvine, CA, 92602 Phone: (71.4) 730-2438 Fax:(714)730-2301 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 -Pour (24) hours after the time set f alh 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. 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 l\ � tl�i1� �-llai.`ll lCfi) �C�l t7tlr l SONIA R. CARVALHO City Attorney By: Qm4 !r!, i' -_9 Funk Assistant City Attorney RECOMMENDED FOR APPROVAL FRED MOUSAVIPOUR Executive Director Public Works Agency CITY OF SANTA ANA Gerardo Mouet Acting City Manager CONSULTANT Tom T. Kim Senior Vice President 7 25M-9 EXHIBIT A 25M-10 CITY OF SANT`A ANA RFP NO.: 16-t4l ON -CALL RIC HTOF WAY COORDINATOR SCOPE OF WORK Introduction and Background: The City of Santa Ana is issuing this Request for Proposals (RFP) to seek a qualified Might -of -Way Consultant to ,provide right-of-way coordinating services for the City of Santa Ana Public Works Agency on an as -needed basis. From the proposals received, it is the City's goal to select one firm to enter into agreement for a not to exceed amount of $500,000. Minimum Qualifications: Consultant qualifications mast demonstrate tine minimum qualifications as established in the California Department ol'Transportation (Caltrans) Right or Way Manual which can be accessed at: http://www,(lot,ca.gov/hq/row/i,owman/manual/index. ham. Description of Work: Consultant under contract with the City of Santa Ana will provide support and services to City of Santa Ana staff or their designee on an as -needed basis. 'The Consultant shall be thoroughly familiar with the Statement of Work prior to submitting a response to this Request for Proposal ('RFP). • The Consultant shall perform work to produce a high quality, professional and complete work product, • Consultant roust have experience with State and Federally funded projects. All work shall be ,performed in conformance with all applicable regulations, policies, procedures and standards. • Work, may include, but not be hrnited to, the following: onsite review of the project area; review of existing records; conducting research and performing analysis; information gathering; negotiations; development of strategies. • The Consultant shall carry out the instructions received from the City and shall cooperate with the City and other agencies, • The Consultant has total responsibility for the accuracy and completeness of the work produced. The work will be reviewed by the City for conformity with the requirements of the Agreement, Reviews by the City may NOT include a detailed review for the accuracy of items submitted. The responsibility for accuracy and completeness; of such items remains solely that of the Consultant. • The Consultant shall be responsible for coordination and supervision of all work performed by its sub - consultants. The Consultant shall review all work performed by its sub -consultants and the responsibility for accuracy and completeness of work performed remains solely that of Consultant. + 'The Consultant shall have a Quality AssuranccJ uality Control (QA/QC) plait in effect during the entire time work is performed under the Agreement. The QA/QC plan is intended to ensure that the appraisals, maps, reports, plans, studies, estinthtes, agreements and other documents submitted under assigned Scope of Work are complete, accurate, checked, and proofread to niect professional standard practice requirements, 25M-11 CITY OF SANTA ANA RFPNO.: t6-141 ON -CALL RIGHT OF WAY COORDINATOR and to monitor work for conformance with the appropriate standards and policies. Additionally, all electronic files shall conform to the City's file naming system. • The Consultant shall diligently work on cacti assignment and complete each task in accordance with the schedule and accommodate the City's needs. • The Consultant's work will be subject to inspection and audit by City, County, State and Federal representatives, • Project tiles including copies of all correspondences, reports, documents, and electronic tiles shall be managed online to be shared among the City and various Consultants and update weekly. The schedule and/or status report shall be updated frequently. • All work, including reports, analysis, data, and intellectual properties developed during the life of the Agreement shall become the properties of the City. • The Consultant will receive written notification of the award of the contract. Upon on such notification, the Consultant will proceed with the services required by the Agreement. Scope of Work* Assist City staff overseeing all the right of way and real estate services. Ensuring all work will be performed in accordance with the public agency's policies and procedures and federal, state and local regulations. Consultant shall assign one staff as Project Coordinator managing and overseeing the following tasks including, but not Iimited to: + Administration of atl right-of-way related consultant contracts including but not limited to: 1) Property appraisal; 2) Furniture, fixture and equipment appraisal; 3) Business goodwill appraisal; 4) Acquisition/relocation and property management services; and S) City real estate properties. • Establishment of right of way requirements for road widening projects • Review accuracy of Right of way mapping and legal descriptions + Review Title reports and identify pertinent information • Review and comment on real estate appraisals + Review and comment on improvements pertaining to realty, furniture, fixtures and equipment appraisals • Review and comment on loss of business goodwill appraisals • Review and comment on environmental studies to meet all applicable local, federal, and state laws, regulations, rules, and other requirements. + Review and comment on acquisition tasks such as offer packages + 'Review and comment on relocation plan, arrange for periodic circulation support in accordance with the Uniform Act, the California Relocation Assistance and Real Property Acquisition Guidelines, CITWs Real Property Policies and Procedures and any other applicable regulations. • Monitor negotiations done by other consultants • Review relocation claim and monitor status of relocation and eviction efforts in accordance with the Uniform Relocation and Real Property Acquisition Act of 1970 ('Uniform Act); the California 25M-12 CITY OF SANTA ANA RFP NO,: 16-'141 ON -CALL RIGLIT OF WAY COORDINATOR Relocation Assistance and Real Property Acquisition Guidelines; CITY's Real Property Policies and. Procedures and any other applicable regulations. • Prepare documentation for administrative settlements • Provide Condemnation support • Monitor Demolition activities • Prepare documentation for Right of way disposition • Attend neighborhood and Council meetings, make public presentations to individuals and organizations and represent CITY in presentations and public hearing on all matters Pertaining to the right of way process. • The overseeing Right of Way Coordinator shall be currently and validly licensed to practice the business of Real Estate in the State ofCahfornia. The Proposal shall include the Right of Way Coordinator's Broker License Number as issued by the California Department of Consumer affairs Bureau of Real Estate, All right ofway activities shall be in accordance with CITY's Rend Property Policies and Procedures Manual, and. Federal, State and local regulations • The Coordinator shall also have Hill time experience conducting same work as those required by this RFP for at least the past 5 years. • Revievv title and escrow services necessary for the acquisition of real property, which include, but are not limited to, preliminary title reports, litigation guarantees, policies of title, title searches, document searches, document preparation, estimates of closing costs, escrow instructions, and other documents. • .Review all documents for submission and delivery to escrow companies; review title and escrow documents; ensure that CITY is acquiring good title and/or the property rights needed for the completion of the PROJECT, free and clear of any and all encumbrances that may affect or hinder the development Of future consideration; coordinate escrow closings and file all applicable forms and documents with the County Assessor's Office. • Coordinate and provide support to CITY legal staff to clear title, if necessary. • Prepare all necessary documents to the title and escrow companies for approval by CITY. CONSULTANT will be responsible for managing and monitoring the title and escrow companies to ensure timely delivery, • Advise CITY of Any Preliminary Title Reports/Litigation Guaranties, determine title deficiencies, develop a plan to resolve and cure title deficiencies and clear liens and encumbrances. • Upon completion of Project, advise CITY of any Policy of Title insurance, American Land Title Association (ALTA) or California Land Title Association (CLTA) extended -coverage owner's policy based on the value of the property provided by CITY, • Market for sale properties via traditional and non-traditional methods • Review design plans, construction plans, appraisal, appraisal maps, legal descriptions, and if necessary, environmental site assessments. • Coordinate Phase 1 Environmental Soil Assessment Reports and, if required, provide Phase It assessments, Hazardous Materials Disclosure Documents (HMDD) and Request to Acquire Contaminated Property (RACP) ifrequired. • Advise for the submittal of any approval, certification or other similar (IocumCut that anyjurisdictional agency may require, and obtain approval/acceptance from said jurisdictional agency. • Recommend aunormt ofjust compensation. The CITY shall make the final determination ofjust compensation, + Review and maintain a parcel negotiator's log (parcel diary) for each parcel. 25M-13 CITY OF SANTA ANA RFP NO; 16-1.41. ON -CALL RIGHT OF WAY COORDINATOR • Advise in the preparation of the Informational Letter and Offer Letter • Maintain a Record of Negotiations documenting that all elements of the acquisition process and transactions were performed in accordance with applicable Federal, State, and local laws and regulations, • Establish and maintain an acquisition file for each property owner or property interest acquired and maintain a file checklist pursuant to CI'T'Y's ,policies and procedures. • Secure Agreements for Possession and Use, Right of Entries, and licenses or permits from property owners for purposes of porl'orming hazardous waste, archeological and other inspections. If needed, provide support to CITY legal staff. • Perform any other normal procedures and processes to implement the acquisition assignment and shall provide any other supporting information and/or correspondence required by CITY • .Provide bilingual acquisition agents as needed. • Assist CITY in achieving California Department of Transportation (Caltrans) Right Of Wary Certification. • Assist CITY in Eminent Domain Support. [('requested, CONSULTANT shall provide expert testimony in any court or administrative proceedings, and assist as required in legal matters as directed by CITY legal staff, especially in the litigation of cases for or against CITY, including but not limited to gathering of documents and information. • Responsible for coordinating the identification, relocation, protection, and abandonment of all utilities required by the PROJECT. • Review existing leases, licenses, franchises, easements, permits and other agreements for the subject properties. • Set-up procedure to sell surplus property The firm must have its own office space with all equipment and supplies necessary to carry out the Right of Way Coordination Services. The Project Manager may at tunes need to work at the City alongside with City staff. The City will provide a work station for the Project Manager to use for no more than 20 hours a week. Consultant Responsibilities: Consultant Audit and Review Process: Prior to awarding the contract, the selected Consultant shall be subject to an audit or review by Caltrans' Audits and Investigations (AM), other state audit organizations, or the federal govertnnent. The selected Consultant shall complete Exhibit 10-K — Consultant Certification Contract Costs and Financial, in the Appendix of this RFP as Attachment 4. City Responsibilities: The City will provide information in its possession relevant to preparation of required information in RFP. The City will provide only the sniff assistance and documentation specifically referred to herein, Special Requirements !Attachment 4). • Compliance with Requirements of Funding Agency o Consultant Audit and Review Process (Caltrans funded contract) o This project is funded through Federal and Measure M2 and shall comply with all requirements of Caltrans and OCTA 25M-14 Consultant: HUR Enginoarinrl, Inr.. Contract No,: T81) data: 12/20/2016 Fringe Benefit 0% 1 Overhead 14g.39% EXHIBIT B + + General Administration 0% =- 149,39% (ICR) FEE = 12% Namo/Job Title7Classificatlon Hourly Billing Rates Straight OT(1.5x) OT(2x) Effective date of Hourly Rate From To % or $ Increase Hourly range for classification$ only Michels Chinn - Program Managoi $ 160.55 111/2017 12/31/2 17 0% $ 1'Y8.33 111/2018 12131/2018 4% $ 183,38 111120'to 12/31/2019 41% ReberI Woodard • QXQC Manager If 20144 1/1/2017 123i/ 017 0% $ 209.60 111I201t) 12/31/20 88 4% $ 217.88 1/1/2019 12/31/2010 4% Jennifer Cola ROW Tochinican $ 87.12 1/t12017 12131/2017 0% $ 90.60 i/1l2018 1213112018 4% $ 94.23 1/112019 12/31/2019 4'Y, Jessica Talman - Project Controller $ 04.83 1/112017 12I3112017 0% $ g8.82 1H12018 12/311201a 4% t02.57 '1/112019 12/31l2019 4% SCHEDULE OF OTHER DIRECT COST ITEMS HDR Engineering, Inc. I Wiggans Group, Inc. DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL DESCRIPTION OF ITEMS UNIT UNIT COST TOTAL Printing 1 Al Cost Pmect ManageNSrokei 55 $ 140,00 $7,700.00 Poets o 1 At Cost I lGenlor ROW Anent 102,5 $ 120.00 $12.300.00 Mileage 1 IRS Patel Imileago 'I I IRS Rate Direct Cost I At Cost RIME rOTAL ODCs=ATCOSI _ _ SUSCOPISUL I AN 1 NI ODCS=$20AUUMU 25M-15 EXHIBIT C CITY OF SANTA ANA RFF NO.: 16-141 ON -CALL RIGHT" OF WAY COORDINATOR NON-DI5+CRIMIN T'IA ON CERTIFICATION CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL, RIGHT OF WAY COORDINATOR RFP NO.: 16-141 The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: 1. The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin, The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer•, recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship, The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4, The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6, In the event of the Consultant's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Consultant may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by ride, regulations, or order of the Secretary of Labor, or as otherwise provided by law, Page 1 of 25M-16 CITY OF SANTA ANA RFP NO.: 16-141 ON -CALL. RIGHT OF WAY COORDINATOR The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the [United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Slats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the C er. Signed: Title: SY• VIC& ort.5iaf-h•i- Firm: o2?_ Date: 1)-/),o ( alb Pago 2 of 2 25M-17 CITY OF SANTA ANA RFP NO.: 16-141 ON -CALL RIGHT OF WAY COORDINATOR NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) In conformance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any other BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non -collusion Affidavit is part of the Proposal. BIDDERS are cautioned that making a false certification may subject the certifier to criminal Signed State of California County Of.—__ Subscribed and sworn to (or affirmed) before me on thi day of _ _, 20_ , by _ proved to me on the b s of satisfactory evidence to be the person(s) who appeared%efore me Notary Public Signature Notary Public Seal Page I of 1 25M-18 CALIFORNIA JURAT WITH AFFIANT STATEMENT GOVERNMENT CODE § 8202 ,See Attached Document (Notary to cross out lines 1-6 below) See Statement Below (Lines 1-6 to be completed only by document signer(sj, not Notary) of Document Signer No, 1 Signature of Document Signer No. 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�� IAICHELLE A. WHm1E commission * 2104067 -: Notary Public - California orange County comm,E meesA 1j.2ot9r Subscribed //and sworn to (or affirmed) before me on this I- - day of � 20_U& by note month Year (and Narnefs) of Signer(s) proved to me on the basis of satisfactory evidence to be the person(s) voo, appeared before me, r Signaturew_ L&I - I ��— Signature of Notary Public Sea/ Place Notary Seal Above OPTIONAL Though this section is optional, completing this Information can deter alteration of the document or fraudulent reattachment of this form to an unlntanded document. Description of Attached Document Title or Type of Document; - (t t h `Gmocument mate; __) . —< Ul Number of Pages: --- Signers) tither Than Named Above: • src,'�r.�c�z. 02014 National Notary Association = www.NationaiNotery.org = 1-800-US NOTARY (1-800.876-6827) ftem #8910 25M-19 CITY OF SANTA ANA RFP NO.: 16-141 ON -CALL RIGHT OF WAY COORDINATOR NON -LOBBYING CERTIFICAJ'ION CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON -CALL RIGHT OF WAY COORDINATOR RFP NO.. I6-I41 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 finds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities' in conformance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure, The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Signed: Title: Sr. Vi(L ?YtSidbA4- Firm: *JnnL• Date: 1 .)..a 1 'Lot1� Page 1 of 1 25M-20 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: AWARD AGREEMENT TO NV5 GLOBAL, INC., FOR CONSTRUCTION ENGINEERING SERVICES FOR THE SANTA ANA-DELHI CHANNEL DIVERSION PROJECT (PROJECT NO. 16-6467) (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 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute an agreement with NV5 Global, Inc., to provide Construction Engineering Services for the Santa Ana —Delhi Channel Diversion project for the two-year term beginning April 18, 2017, and expiring on April 17, 2019, with provisions for a one-year extension exercisable by the City Manager and City Attorney, for a total amount not to exceed $683,448 over the entire life of the agreement, including any renewal period, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION The Santa Ana -Delhi Diversion Project (Delhi Project) is a regional collaboration between the City of Santa Ana, the County of Orange, the Orange County Flood Control District, and the cities of Newport Beach and Costa Mesa, The Delhi Project is located south of SR-73 and east of SR-55 in the Newport Beach Golf Course (Exhibit 1). The goal of the project is to improve the water quality in Newport Bay and increase regional groundwater supplies. The City of Santa Ana will greatly benefit from this project because it will help meet federal storm water program requirements mandated by the California State Water Resources Control Board. Compliance with these federal requirements would otherwise prove to be very costly to Santa Ana. On June 23, 2016, the Public Works Agency released a Request for Proposals (RFP) on the City's website and notified qualified consulting firms to provide Resident Engineer and Inspection Services. Three proposals were received and evaluated by a review committee from the Public Works Agency. Each firm was rated according to its organization, credentials, resumes, references, and fees to provide the required services. The list of the firms and their respective scores are listed below: 25N-1 Consultant Agreement with NV5 Global, Inc. Santa Ana -Delhi Channel Diversion Project April 18, 2017 Page 2 FIRM SCORE NV5 Global, Inc. 92 Wallace & Associates 89 Dudek 84 The cost proposal from NV5 Global, Inc. was negotiated to ensure the City would receive the highest quality and value. Staff recommends that NV5 Global, Inc. be retained and a contract awarded for construction engineering services in the amount not to exceed $683,448 (Exhibit 2). The funding partners reviewed the cost analysis and agreed to amend the construction contingency and construction management costs by $267,875 to cover the costs for this agreement. 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 On May 3, 2016, the City Council approved a Mitigated Negative Declaration (MND) in accordance with the California Environmental Quality Act (CEQA). The proposed project would have a less than significant impact on the environment. As planned, the Delhi Project would eliminate dry weather flows in the Santa Ana Delhi Channel to help improve water quality in downstream receiving waters including Upper Newport Bay. FISCAL IMPACT Council has recognized project funding commitments from the participating agencies, in the total amount of $9,367,875, in the following revenue accounts: FY AUTHORITY & FUNDING SOURCE 2013/14 Capital Improvement Program M2 Environmental Cleanup Grant 2015/16 Council Approval, April 19, 2016 City of Costa Mesa City of Santa Ana: Federal Clean Water Enterprise Capital Improvement Program City of Santa Ana: Federal Clean Water Enterprise ACCOUNT NO. AMOUNT 03217002-52332 $2,572,875 05717002-57013 $600,000 05717002-50001 $500,000 05717002-50001 $343,050 25N-2 Consultant Agreement with NV5 Global, Inc. Santa Ana -Delhi Channel Diversion Project April 18, 2017 Page 3 2016/17 Council Approval, November 15, 2016 Orange County Flood Control District City of Newport Beach Irvine Ranch Water District Orange County Water District City of Santa Ana: Federal Clean Water Enterprise TOTAL PROJECT FUNDING: 05717002-57014 $1,600,000 05717002-57017 $1,500,000 05717002-57016 $195,000 05717002-57015 $1,000,000 05717002-50001 $1,056,950 $8,767,875 $701,000 has been budgeted for Construction Management expenditures for the Delhi Project in accordance with the following proposed spending plan: FISCAL YEAR ACCOUNT NOS. 03217663-66220 05717660-66220 TOTAL 2016/17 $100,000 $100,000 2017/18 $100,000 $175,000 $275,000 2018/19 $326,000 $326,000 TOTAL $200,000 $501,000 $701,000 Executive Director Public Works Agency FM/EWG/TC/MG Exhibits: 1. Location Map 2. Agreement- NV5 Global, Inc. APPROVED AS TO FUNDS AND ACCOUNTS: Executive Director Finance & Management Services Agency 25N-3 25N-4 p PAULARINC AV ProposedPlpeline/Sewer I. ="�— — Connection' t BAKER ST PAUf AFefNO i;1dAP+ItVEt .. !Y{{R{){{ww{4{{!1{{{{{www{N oMw{�� 14.11 R 1�7 �Ir` CIO1i I r —_ ARLINi3TCiN OR j�,��° •�° �A '�y� % SAN11A ANA 'i 15y�+,ii r /.'� Ar Pt7 7" 'G COUNT'RYl"JLua pub I .o +C`h �Y + Nam, 4. i.�; 91 t19 d�;J, t tint'.tt �j�'" I PROPOSED ���v : f,erld `1�. DIVERSION/. \ Proposed Diversion Pipelin. °` + STRUCTURE + &;�e'� � N� t ■ M Existing Seweriine P�'�4ana a +° • w{wxwr �7CFCb i7aeinage Facilities �r `,'� i�t� � � "1+,,,.we to -- City Boundaries' r,,: , -. ;. , : 41a.,•:=.' i� Location Map EXHIBIT 1 SANTA ANA City Council Agenda Date Project No. 16-6467: Santa Ana Delhi Pu PUBLIC W00.ft5AGENCY April 18, 2017 Channel Diversion Construction Management 25N-5 25N-6 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 18th day of April, 2017 by and between NV5 Global, Inc., and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. On June 23, 2016, the City issued Request for Proposal No. 16-080, by which it sought a firm to provide construction engineering services for the Santa Ana -Delhi Charnel Diversion project ("Project"). B. Consultant submitted a responsive proposal that was selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 16-080 and attached as Exhibit A. 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 described in Exhibit A to this Agreement. Consultant's proposal is incorporated by reference as though hilly set forth herein. 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 the term of this Agreement shall not exceed $683,448, including any renewal period. 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 that 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 stated above and continue through April 17, 2019. The term of this Agreement may be extended for up to a 1-year period upon a writing executed by the City Manager and the City Attorney. Exhibit 2 25N-7 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 fiom any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death, resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insurd(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single 'limit of not less than $1,000,000 per occurrence. Such ;insurance shall include coverage for owned, hired and non -owned automobiles. C. Workers' Compensation Insurance. In accordance with the California Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for 201-8 workers' compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in fill 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 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, defend, 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 negligence or willful misconduct of the Consultant or its, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) fi•om any claim that personal injury„ damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terns of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Consultant's indemnification obligations in this section shall survive expiration of this Agreement. Notwithstanding the foregoing, to the extent 25N-9 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 willfiil misconduct of the Consultant 8. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend, indemnify, and hold harmless City, its officers, agents, representatives, and employees against any and all liability or losses, including costs and attorney's fees, for infringement of any United States' letters patent, trademark, or copyright, alleged or contained in the work product or documents provided or used by Consultant under 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 its 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 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 the performance of services specified rtnder this Agreement. 1.2. 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 25N110 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 92702-1.988 Fax 714- 647-6956 With courtesy copies to: To Consultant: Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92702 NV5 Global, Inc. 15092 Avenue of Science, Suite 200 San Diego, CA 92128 A party may change its address by giving notice in writing to the other patty. 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 regarding the subject matter therein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terns 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 25f- 11 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. WAIVER No waiver of a breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right, or remedy. No waiver of any breach, failure, right, or remedy shall be deemed a waiver of any other breach, failure, right, or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 16. 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, City 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. 17, NONDISCRIMINATION 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 or in connection with any activities under this Agreement, Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 18. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venire for any action or proceeding that may be brought or arise out of, in connection. with or by reason of this Agreement. 19. PROFESSIONAL LICENSES Consultant shall, throughout the terra 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 kind all other governmental agencies, Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such pen -nits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 25NG12 20. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: _ John. .Funk Assistant City Attorney RECOMMENDED FOR APPROVAL: Fred Mousavipour, Executive Director Public Works Agency CITY OF SANTA ANA Gerardo Mouct Acting City Manager CONSULTANT: Name: Title: 25N7 EXHIBIT A Appenlux ATTacxlvE �NT i SCOPE Oki WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR CONSTRUCTION ENGINEERING SERVICES FOR SANTA ANA-DELHI CHANNEL DIVERSION RFP'NO.:16-090 A. DESCRIPTION The, City desires to engage a professional consultant to perform construction engineering service for the Santa Ana -Delhi Channel Diversion project. The Consultant shall provide an individual to act as Resident Engineer or construction inspector and serve as an extension of City staff to assist the City in managing construction, ensure that the work to be completed in accordance with the contract documents and respond directly to the City of Santa Ana Construction Manager or his authorized representative, City staff will manage the construction of the project and oversee the work of the Resident Engineer/inspector, S, SCOPE OF SERVICES The required services shall include, but not be limited to, the following: 1, The Resident Engineer/Inspector may be a registered engineer in the State of California and shall represent the City Construction Engineer in the field. 2. Attend pre -construction meeting. May schedule and conduct weekly construction and progress meetings to discuss such matters as procedures, progress, problems and scheduling, May prepare and promptly distribute minutes, 31 May review construction schedule, including activity sequences and duration, schedule of submittals and schedule of delivery for products with long lead time. Update the project schedule as required to show current conditions and revisions required by actual progress. 4. May conduct comprehensive evaluation of change order req}tests, provide independent estimates, render recommendations and assist in claim resolution. 5, Monitor the contractor's safety program, 'fake necessary steps to ensure the job site conditions are in cornplian.ce with OSIJA regulations. 6. N.taintain mst accounting r6cords on authorized work performed under unit costs and additional work performed on the basis of actual coats of labor and materials, or other work requiring accounting records. m�„:_;Ws _ixmrxwcv.saa as+1444v§wsmixna a�..�ew�e»�m��,�wxm��_,.arwumwwai�vmvenw��mc�cwwv�_ ^�.,._,.._rM.S*.^—E5?���� My of Santa Ana RFP 16.060 Page Al 25N-14 May develop and implement procedures for the review and processing of applications by contractor for progress and final payments, Make recommendations for certification to the City for payment. 8. Determine that the work of contractor is being performed in accordance with the contract documents. Make recommendations to the City regarding special inspection or testing of work not in compliance with the provisions of the contract documents. Subject to review by the City, reject work which does not conform to the requirements of contract documents, 9. The individual (Resident Engineer/inspector) shall not be responsible for construction means, methods, techniques, sequences and procedures employed by the contractor in the performance of the contract, and shall not be. responsible for the failure of the contractor to carry out work in accordance with the contract documents. However, any errors, omissions, or discrepancies found in the Contract Documents shall be called to the attention of the Construction Manager and clarified prior to construction starts. 10. Consult with the City when the contractor requests interpretations of the meaning and intent of the drawings and specifications, and assist in achieving the resolution of problems which may arise. It. Record the progress of the project. Submit written daily and progress reports to the City. Keeps a daily log containing a record of weather, contractor's work on the site, number of workers, work accomplished, problems encountered, and other relevant data. Make the log available to the CiY. Prepare and send Weekly Statement of Working Days to the contractor. Monitor contrapttor's compliance with labor code requirements, 12, Maintain (at the job site) records of contract documents including drawings, addenda, change orders, and other modifications of plans and specifications marked to show all changes made during constriction. Maintain as -built records of underground utilities, including locations and depths of trenches. At the completion of the project, deliver to the City all contract documents including as -built records. 13. Evaluate the completion of the work of the contractor and make recommendations to the City when work is ready for final hspection. Assist the City in conducting final .inspections, 14, Facilitate and coordinate inspection by representatives of other agoncies. 15. Schedule and coordinate special inspection and inaterial testing with the County of ©range or other consultants. wu='r�ruvre_nmsceeavvcrruvmaunea�: pgeyrcnP!:.�auu2v�yn�' uvnv:E�R+u!� .___.......ery.�erzrN+xww:tt eu_,,,a.,,,mi�m�a�uMa,_mnu>nncnowuywcmev,a,�uew�..u��a�w.sv City of Santa Ana RFP 16.080 Pago Al-2 25N-15 C. CITY RUSPOINSIIIILITIES 1. Provide a testing laboratory for special inspection and material testing and other quality assurance program as required by the contract documents. 2. Process progress payments upon receipt of approved payment requests from the resident ongineer/inspector. 3. Furnish copies of construction documents, including plans and specifications, d. Communicate with other consultant to review shop drawings and submittals, respond to requests for information and revise plans if needed. S. Provide a field office for the resident engineer/inspector. D. SPL CIAL RrfQUWXI MENTS This agreement is funded, in part, through Measure M2, therefore requiring compliance with all requirements of OCTA, Proposer shall comply witlr all requirements as they pertain to the use of this fiord, Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or their designee , The Consultants shall be thoroughly familiar with the Scope of Work prior to submitting a response to this Request for Proposal (RPP), • The Consultant shall perform work to produce a high quality, professional and complete work product. • Consultant work shall be performed in conformance with all applicable regulations, policies, procedures and standards. • The Consultant shall carry out the instructions received from the City and shall cooperate with the City and other agencies. • The Consultant shall diligently work on project in accordance with the schedule and accommodate the City's needs. • The Consultant's work will be subject to inspeotion by City and representatives of other agencies involved in this project. • Project tiles including copies of all correspondences, reports, documents, and eleotronio tiles shalt be submitted to the City when requested and electronically updated monthly. • All work, including reports, analysis, data, and intellectual properties developed during the life of the Agreement shall become the properties of the City. • The Consultant will receive written notification of the award of the contract, Upon on such notifhoaticn, the Consultant will proceed with the services required by tbo Agreement. • 'Phis agreement is subject to compliance, monitoring and enforcement by the State of California Department of Industrial Relations, Consultants are required to inform themselves fully of the conditions relating to labor under which the work will be perforned. In accordance with the California State Labor Code, prevailing wage rates applyper the following link. _ ttp://wvvrov.dir ea agov/rubiic.v cnI / ub icworks limn! � MWmM6Nf'WIMGNA9WMYRJrt�%(TO.�affi�FY�SM1.tlYJL��bW�(p.I�l ,PAR. LW�LIWAtl1R��!���.Ff�SL�.�SM1�LICiU���'3��'�L'L%SAM:,Li�iYmlflWaN.RtlI�RYTii City of Santa Ana RFP 10.080 Page Al-3 25N-16 w � a Wa 8 Oo CL o 0 IL w W LL EXHI JT!-B �S®f° k OR vi ter yj o W Il; '� 07 tt5 W d F, O O pp q M ai v $ owm m mm vX N CI � �Yd �Fu u ���apy �uRQ0Eo aac 14 00 L) z�U O 25N-17 � \k [ /! &£ & ( $ �\ w ` ( 2 \� �( S \ k q i « / k § � 2 \ {CL 25N.1§ REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: AGREEMENT WITH WILLDAN FINANCIAL SERVICES FOR PREPARATION OF A USER FEE STUDY (STRATEGIC PLAN NO. 4, 3D) RECOMMENDED ACTION 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 Authorize the City Manager and Clerk of the Council to execute a consulting services agreement with Willdan Financial Services for a two-year term beginning April 18, 2017, and ending April 17, 2019, to prepare a User Fee Study, for a total amount not to exceed $36,000, subject to nonsubstantive changes approved by the City Manager and City Attorney, DISCUSSION The City charges user fees for specific services and programs to recover costs to provide those services. Best practices require that agencies periodically analyze and update the fee rates in order to ensure appropriate cost recovery. The last comprehensive cost of services study was undertaken in 2008. The new User Fee Study will ensure that the City is accurately accounting for the true cost of providing various programs and services for City -provided services and operations. It is the City's goal to have a well -documented and defensible analysis that will identify labor, material, and overhead rates to be used in the calculation of fees to be charged for a variety of user fees, including plan checking, permits, City facility usage; and to develop user fees that comply with Proposition 218. Staff released a Request for Proposals on May 18, 2016 and received three proposals from firms specializing in local government financial analysis. A selection committee comprised of staff from the Public Works Agency, Planning and Building Agency, Finance and Management Services, and the Police Department reviewed the proposals and rated each firm based on a number of criteria: demonstrated knowledge and capabilities, experience, proposed approach, project rates and fees. Of the three firms, two met the selection committee's minimum criteria and were interviewed with the final results as follows: Rank Firm Average Score 1 Willdan Financial Services 95 2 MGT 87 250-1 Agreement with Willdan Financial Services for User Fee Study April 18, 2017 Page 2 Based on rating and cost, it is recommended that Willdan Financial Services be retained for an amount not to exceed $36,000 for development of a User Fee Study. The contract includes an amount of $29,835 for the defined scope of services, and a contingency budget of $6,165 for any additional services or analysis which may be necessary during the course of the fee study. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #4 - City Financial Stability, Objective #3 (maintain a structurally balanced budget with appropriate reserve levels), Strategy D (establish a committee of City staff to explore innovative revenue and cost recovery strategies (i.e. full cost recovery, receivership program, etc.)). FISCAL IMPACT Funds are budgeted and available for expenditure in Fiscal Year 2016/17 as follows: Agency Account Description Account Number Amount PWA Administrative Services, Contract 10117601-62300 $12,000 Services -Professional PRCSA Recreation and Community Services, 01113230-62300 $12,000 Contract Services -Professional PBA Permit & Plan Check, Contract 01116530-62300 $12,000 Services -Professional TOTAL: $36,000 The proposed project spending plan is as follows: FISCAL YEAR 10117601-62300 01113230-62300 01116530-62300 TOTALS 2016-17 $2,000 $2,000 $2,000 $6,000 2017-18 $10,000 $10,000 $10,000 $30,000 TOTAL $12,000 $12,000 $12,000 $36,000 250-2 Agreement with Willdan April 18, 2017 Page 3 Financial Services for User Fee Study VAtA_'j ,— rred Mousavipour Executive Director Public Works Agency ov Hassan H hani Executive Director Planning & Building Agency FM:TH Exhibit: 1. Agreement APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez t // Executive Director Finance & Management Services Agency Jeannie Jurado Acting Executive Director Parks, Recreation and Community Services 250-3 250-4 CONSULTANT AGREEMENT CITY OF SANTA ANA This AGREEMENT is made and entered into this 18" day of April , 2017 by and between the City of Santa Ana, California, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California, (hereinafter "CITY") and Willdan Financial Services (hereinafter "CONSULTANT"). RECITALS A. The CITY desires to retain a consultant having special skill and knowledge in the field of financial analysis for local governments to prepare a user fee study. B. CONSULTANT represents that CONSULTANT is able and willing to provide such services to the CITY. C. In undertaking the performance of this Agreement, CONSULTANT represents that it is knowledgeable in its field and that any services performed by CONSULTANT under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES CONSULTANT shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Scope of Services - Exhibit A, attached hereto and incorporated by reference. The Scope of Services shall include a Schedule for the Delivery of Services, which shall be delivered as prescribed, beginning upon the CITY's issuance of a Notice to Proceed. 2. COMPENSATION CITY agrees to pay, and CONSULTANT agrees to accept as total payment for its services for CITY, the rates and charges identified in Compensation - Exhibit B, attached hereto and incorporated by reference, the total amount of which shall not exceed Thirty Six Thousand Dollars and No Cents ($36,000) for the term of the agreement. Compensation shall be processed in accordance with Section 18. This Agreement shall commence on the date first written above for a two -Year term, unless terminated earlier in accordance with Section 15, below. Exhibit 1 rev. 01t26/2017 Page 1 of 250-5 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 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 hn 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. 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 representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of CONSULTANT's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the CITY, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the CITY; and (e) contain standard separation of insured's provisions. Page 2 of 8 250-6 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 filly executed additional insured endorsement. 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 indemnity the CITY for any work performed prior to approval of insurance by the CITY. 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, Page 3 of 8 250-7 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 shrill 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 (c) 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. Conflict may be further specified in Certifications - Exhibit C, attached hereto and incorporated in this Agreement by reference. Page 4 of 8 250-8 12. 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. 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 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. Page 5 of 8 250-9 16. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 17. 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. 18. PAYMENTS & INVOICES a 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, b. Invoices should be submitted on the 15th 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 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, C. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. Page 6 of 8 250-10 20. 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 marl, postage prepaid, or sent by fax 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 Fax: (714) 647-6956 With courtesy copies to: Executive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 Fax: (714) 647-5635 To CONSULTANT: Chris Fisher Vice President -Group Manager Willdan Financial Services 27368 Via Industria, Suite 200 Temecula, CA 92590 Fax: (951) 587-3510 City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, CA 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. Page 7 of 8 250-11 IN WITNESS WHEREOF, the parties hereto have executed this Agreement on the day and year first above written, ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: /. J FUNK Assistant City Attorney RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director Public Works Agency CITY OF SANTA ANA GERARDO MOUET Acting City Manager CONSULTANT: Willdan Financial Services ROBERT CHRIS FISHER Vice President -Group Manager Tax ID# Page 8 of 8 250-12 EXHIBIT A SCOPE OF SERVICES 250-13 city of Santa Ana I California D. Understanding of Need Executive Summary Based upon our review of the City's Request for Proposal, and on our extensive experience with exactly this type of project, Willdan Financial Services ("Wilidan") is confident that we can meet the City's objective of reviewing, and evaluating the identified categories of user fees, developing appropriate and defensible methods of analysis to determine the full cost of providing various City services, and then recommending updated fee amounts based upon this analysis. The overall objective is to establish an updated schedule of fees that is objective, fair and equitable, that maximizes the recovery of the costs of providing City services. The end products will include a report and a user-friendly Excel -based model, which City staff will retain, and which can be easily updated in the future. The model will be used to calculate and analyze the components that make up the full cost of services provided by the City, the recommended level of cost recovery (taking Into account appropriate subsidies), and the revenue impacts to the City of proposed changes in fees. Most importantly, we will ensure that the results and recommendations are clear and understandable, defensible, and easily implementable. For this user fee study, we will meet directly with departmental representatives at the City, to discuss the approach and process that is best suited for each fee category; and then in more detail to Identify processes and levels of activity and effort involved in providing services for which user fees are paid. Through this process we will identify the full cost recovery amount for each fee related activity, compare this with the City's current cost recovery levels, and then discuss with staff, policy and/or political concerns that need to be considered in developing recommended fees. Final recommended fees will be the result of these collaborative discussions, so that they reflect realities and considerations that are specific to the City of Santa Ana. We will review and analyze existing userfee programs, and based upon conversations with City staff, a review of other neighboring cities, and our experience with fee programs in other cities, make suggestions as necessary for fees that may need to be added to the City's fee schedule, for activities that occur with some regularity, for which a fee is not currently being charged. We will also review other similar Orange County jurisdictions to provide a comparison of common fees. In determining specific agencies to utilize in the comparison, we will provide our own recommendations, and consult with City staff to understand their view of comparable agencies. For a successful and effective engagement, it is important to have a thorough understanding of the structure and organization of the City. We bring years of successful experience working directly with hundreds of cities throughout California, and specifically with the City of Santa Ana. Wilidan possesses the resources, practical experience, creative thinking, and collaborative consulting skills necessary to complete this important project. Key distinct advantages that Willdan brings to the City include the following: On -site Data Gathering: Our experience has taught us that working together, via face-to-face discussions, Is the most efficient and thorough way to ensure that results are accurate, and that studies are completed in a timely manner, which again, is critical in this proposed engagement. Consequently, through on -site interviews with your staff, Willdan will collect the majority of required data for the user fee study. This method Is better than the typical "time and motion surveys" that are provided to agency staff when studies like these are conducted. This process ensures that we gather the data we need in one coordinated step, rather than having to go through repeated follow-up and clarification. This approach and the dedication of proposed project team will help ensure we meet the City's timeline and objectives, and provide important Information to City staff and the Council as soon as possible. Public Engagement: Our models and project approach are geared toward delivering our work on schedule and presenting our analysis results at public meetings and Council workshops. While the City Council and local business community may be generally supportive of increasing fees where necessary, it will be important to present recommendations to them in a way that clearly demonstrates the rationale and supporting analysis. The Willdan Team is experienced at communicating complex analytical results in a manner that is easy to Comprehensive. Innovative. Trusted. 10 °8. : . City of Santa Ana User Fee Study 250-14 City of Santa Ana I California understand by non -finance oriented individuals and facilitates discussion. Mr. Fisher has coordinated or participated in numerous public and staff workshops regarding fees and cost of service based charges. As previously mentioned, our objective is to provide useful, detailed information to the Council and City staff, necessary to make important decisions. Our experience ensures that we can meet this objective. User-friendly Models and Reports: Willdan prides itself on creating user-friendly Excel -based models that the City can retain, and conducting our analysis and developing the model collaboratively with City staff. With City staff's immediate input and collaboration; Willdan will design an extremely flexible, intuitive Excel -based model. In the future, as the City assumes new responsibilities, modifies existing processes, and/or eliminates unnecessary services or programs, the model will be capable of adding or deleting funds, objects, departments, programs, staff positions, and activities. Willdan understands that issues facing the City are unique; consequently, we design our model to match your immediate and desired needs to ensure that end results exceed staff expectations. This model is then the City's to retain, after our study is completed, and allows us to create revenue projections, highlight potential new revenues and current levels of subsidy. Experience with Development Service Processes: A unique aspect of our firm is our relationship with our Engineering Division. For many agencies throughout California and other Western states, this division provides contracted services in planning, engineering, and building and safety. When conducting cost recovery studies, we regularly consult with our engineering and land -development staff of experts on development -related issues. By working with our planners, engineers, and building officials, we understand development -related agency service procedures and workflow functions, which often make the entire user fee study process smoother for your staff. A key element of this study is presenting results and recommendations in a straightforward mannerthat allows Council and staff to confidently make fee setting policy decisions, and understand the impacts of those decisions. Rather than using an inflexible proprietary software program, we construct our models from the ground up, and as previously discussed, mirroring the City's budget format wherever possible. As a result, the information contained In our models is easy for City staff to Interpret, and the familiar software ensures ease of navigation. As the model is being designed and constructed, we will work together with City staff to determine the best and most effective features to include, such as Index links and color -coding to identify input cells and protected formulas. After the project is completed, we will provide training, so that your staff can independently and efficiently evaluate the effects of changes in certain factors. Created directly from the models, our reports clearly and graphically illustrate bases for the allocation of costs, the full cost recovery level of fee programs, provide projections of revenue from fee programs, both at full cost recovery and at recommended levels, break down the costs into direct and Indirect overhead categories, and present the fee methodologies. User Fee Study Approach In order to comprehensively and regularly update fees, the City should develop a comprehensive user fee schedule that accurately accounts for the true cost of providing services. Once the study is complete, the user fee study model must be flexible so that the City can add, delete, and revise fees in the future. To meet this goal, we will bring our expertise and unique perspectives to your fee study by approaching the project with these four principles: 1) Technical Expertise The City's fee and rate study requires a professional firm possessing years of user fee study experience. Our staff has performed user fee studies for agencies ranging in size from the City of Rolling Hills (population 1,500) to the City of Phoenix (population 1,500,000). These studies presented unique opportunities for our staff to incorporate enhancements into each fee model's capabilities. Willdan staff members assigned to this project developed user fee expertise through the completion of dozens of such projects, which will benefit the City as they evaluate the fees associated with the services delivered. 2) Defensibility Our user fee projects have not been legally challenged since the inception of this practice area in our firm. We have accomplished this by closely working with legal counsel familiar with user fee studies, our Comprehensive, lnnovative. Trusted. 911,11 City of Santa Ana . 250-15 User fee Study City of Santa Ana I California engineering division and with agency staff. In this way, we can tailor the correct approach to ensure full cost recovery combined with a sound and reasonable basis for each user fee you implement. While Proposition 218 does not directly apply to non -property -related fees, we employ principles from this Important constitutional article to make certain that your user fee schedule is developed with fairness, equity, and proportionate cost recovery principles in mind. With the addition of Proposition 26, Willdan will review each analyzed user fee for compliance and appropriateness to ensure continued defensibility. Although our fee studies have not been challenged, we have assisted cities that have encountered prior legal challenges to their current fee schedules. We are frequently brought into situations in which we help prepare user fee schedules that are acceptable to both the agency and challenging party. Through this process, we have developed a wide variety of fee approaches that we can bring to the table for this fee study to meet your defensibility requirements. 3) Project and Staff Time The City must have a sound and technically defensible fee schedule to ensure costs are appropriately recovered, as applicants approach the City for Its services. Our standards and approaches serve to get to the issues of your fee study quickly. Starting with the project kick-off, we will make certain that your staff understands the purpose and scope of the study and its corresponding on -site departmental interview. As Willdan is able to communicate directly with the service providers, this face-to-face interaction provides valuable time estimates. In addition, Willdan is able to extract information beyond normal time and motion data, which allows a more usable and comprehensive fee schedule. By working collaboratively with your staff during on -site meetings, we help ensure that the survey process does not become a burden; but, rather, a simple means by which to ensure adequate cost recovery. 4) Responsiveness We take great pride in providing responsive service to our client agencies. Frequent communication Is critical to a successful fee study experience. We will provide a list of data requirements in advance of the project kick-off meeting. Due to this simple step, the introductory meeting can focus on the survey Input process, answering questions, determining policy goals, and defining next steps in the project. We will follow up weekly with you at each step in the fee study process to make sure that staff "buys in" to the fee study approach and results. If we feel that the project schedule is starting to slip, we will immediately notify your staff to discuss ways to steer the project back on track to meet the City's timing goals. User Fee Steady Methodology Our approach to preparing the user fee study and documentation for Santa Ana includes: - Close coordination with your staff to devise a consensus approach. Different programs and/or different service delivery methods will necessitate different approaches. We will discuss specific pros and cons with City staff as we determine which methods work best for various categories of fees; - Strict adherence to key legal and policy issues with regard to user fees, including the percent of cost recovery that the City seeks to achieve. A user fee shall not be set higher than the reasonable cost of providing a fee -generating service. Our approach provides you with a fee schedule that achieves maximum legal cost recovery while ensuring that each fee is supported by technically defensible documentation; and - Technical analysis necessary for project participants to resolve policy issues. As described below, there are two basic approaches to calculating user fees: Approach 1: Case Study Method This is also sometimes referred to as a cost build-up approach. Using a time and materials approach, the "Case Study Method" examines the tasks, steps and City staff involved in providing a particular 'unit' of service, such as a permit review, and then uses that Information to develop estimates of the actual labor and material costs associated with providing a unit of service to a single user. It is often used when a service is provided on a regular basis, and staff and other costs associated with the service can be segregated from available budget data. Estimated costs, based on City staff interviews regarding the time spent on specific tasks, and on the review of available records. Willdan will most likely recommend using this methodology to determine the full cost of a service for which the process and steps can easily be identified, and associated ,,; ),1 1 j Comprehensive. Innovative, Trusted. 12 City of Santa Ana User Fee Study 250-16 City of Santa Ana I California with one occurrence. Examples where this method could be used are: reviews of applications and permits, requests for specific individual services or inspections, and licenses. A typical case study fee model should comprise the following three general cost layers: 1) Central Services Overhead: This category may Involve such costs as labor, services, and supplies that benefit more than one department, division, or project. The exact benefits to specific areas are impossible to ascribe to a single activity. Examples are purchasing, human resources, and liability insurance. As part of the user fee study, these costs are calculated in the overhead cost review. 2) Department Overhead: This category may include expenses related to such items as office supplies, outside consultants, and membership dues. It may include management, supervision, and administrative support that are not provided to a direct fee -generating service. Typically, these items are charged, on an item -by -item basis, directly to the department, division, or project. e Person:11 3) Personnel Costs: This category refers to Costs _ direct salary and benefit costs of staff hours spent on providing a fee -generating service (e.g., on -site building inspector), N Approach 2: Average Cost Method This is also sometimes referred to as a programmatic approach, because it looks at costs at a program level, and then allocates them to participants on an occurrence basis. By taking total service costs across a substantial sample period (a year), and dividing by the total number of service units delivered over that same period, costs per unit of service is estimated. This approach is useful when services or programs are provided in a more aggregate manner, where it might be difficult to identify a specific sequence of steps associated with one user or participant; or where it is not feasible to cost-effectively segregate costs associated with specific activities. An example of where this approach is applicable is recreational programs. In these cases, residents or customers sign up to participate in a group activity, with one instructor, using a building that is shared by multiple programs or activities. In this case segregating costs associated with one participant would be very difficult; so by determining the cost of a program (such as aquatics for Instance), and attributing that cost to participants based on historical and/or planned participation levels, a cost per user can be calculated. User Fee Study Work Plan Our proposed work plan, described in detail by task, is provided below. We explain how each task will be accomplished, and identify associated meetings and deliverables. We want to ensure our scope provides quality and clarity, and is responsive to the City's needs and specific local circumstances. We will work in concert with the City to adjust our scope as needed during the course of the study. Taxes, fines, utility rates, and penalties are not "user fees' and will not be part of our work plan for this project. However, we will advise the City regarding additional study efforts it may pursue to evaluate fee categories not considered user fees. rf"" Cornprehensive.innovative.Trusted. 13 City of Santa Ana d . , "; User Fee Study 250-17 "Clty of Santa Ana f California " ik .i r DocumentTask 1: Initial Objective: Initial due diligence; obtain study -related data. Description: Prior to the kick-off meeting, we will obtain and review relevant documentation to further enhance our understanding of the services, fees, and rates to be We will refresh the model created in the original study, and discussion any proposed changes in approach from before. We will also request a copy of the City's updated cost allocation plan model or other available data and methodology used by the City for allocating Internal overhead costs. A written request for data will be sent to the City. Please Note that Time Survey data is not part of this request and will be gathered during the on -site interviews described in Task 5. We will request updated information and documentation on current fees and fee programs, activity levels, and budget and staffing information (to the extent not already available) related specifically to programs and activities which have associated fees, and for which the City has this level of detail. D0verables: Wilidan: Submit information request to City. City: Provide requested data to Willdan (prior to Task 3, Kick-off Meeting/Refine Scope). We will follow up with the City to confirm receipt of requested data and information, and highlight data elements that are outstanding. Task 2: Compile Inventory of Current and Potential Fees Objective: Wilidan will identify the updated schedule of fees and methodology for calculating the full cost of providing services. Description. Based on the results of the initial document request and independent research, incorporate into our model the existing fees, provided by the City, to comprise the parameters of the fee study. Meetings: It is possible that a conference call with the City will be necessary, to discuss new fees to implement or existing fees that may no longer be required. Deliverables: Wilidan: One (1) draft list of current fees based on initial data provided (to be discussed and finalized during the kick-off meeting). City: Review completed fee schedule with comments/revisions to be discussed at kick-off meeting. Task 1 Kick-off Meeting/Refine ..- Objective: Confirm project objectives. Identify and resolve policy issues typically raised by a fee study, address gaps in data, and refine appropriate existing or new fee categories (based on Task 2). Description: Verify our understanding of the City's goals, the City's cost -recovery policy for user fees, and to fill any gaps in data/information necessary for the project. It is important for the City and Willdan to identify and address any foreseeable problems and maintain open communication throughout the process. During this call, we will ask that the City identify a project manager who will serve as the primary contact for the project. The project manager shall have responsibility for ensuring that all available data is provided in a timely manner, thereby maintaining adherence to the project's schedule. Meetings: One (1) project kick-off meeting, to initiate the project, discuss data needs, and address policy issues. Deliverables: Willdan: 1) Revised project scope and schedule (if needed); and 2) brief summary of policy decisions (if needed). City: 1) Provide further data needs; and 2) determine/introduce City's project manager. V'gg� &, 1 Comprehensive. Innovative, iYusted. 14 City of Santa Ana User reeStudy 250-18 City of Santa Ana I California Task 4: Develop Comprehensive Fee Model Objective: Develop and test model. Description: This task involves updating the model developed for the original study, which will ultimately be used to calculate the updated departmental fees, based on data and information gathered in previous tasks and in the Time Survey Interviews described in Task 5. To ensure that City policies are met through the imposition of the calculated fees, the model will be formatted to Include appropriate costs. Key model inputs will include staff and allocated overhead costs per position, and relevant budget data on salaries and benefits. This information will be obtained directly from the City and incorporated directly into the user fee model. We will request clarification and/or additional data if necessary. The model will provide an allocation of administrative and overhead costs to fee related activities and departments providing services to customers, so that fees and billable rate schedules Incorporate applicable costs. Furthermore, the fees and rates charged to customers will also reflect the cost of the services being provided, to the extent possible given policy and/or political considerations. Deliverables: Willdan: One (1) user-friendly model in Microsoft Excel format, which, when finalized, City staff can use to calculate fee changes annually, or as often as deemed appropriate by the City Council. Task 5Time Survey Interviews On -site Information Gathering: Objective: Meet with City staff to complete Time Surveys and understand service delivery processes. Description: In order to assist staff with the completion of the survey worksheets, we will schedule a full day of on -site meetings with staff; however, the number of meetings needed may vary depending on the number of staff and departments involved. The Willdan Team will conduct interviews with supervisors/managers, as well as other staff, as deemed appropriate and/or necessary, from each department involved In the fee study to determine the average time required by City staff to provide each of the services for which a fee is collected. The fee model is designed so that full cost recovery fees are calculated immediately upon input of staff time. This will allow Willdan and City staff to conclude with a final meeting to review the draft full cost recovery fees, and adjust any times as necessary, once all Information has been compiled and Input into the fee model. We will schedule the interviews with staff to minimize any disruption to their normal workflow. Meetings: One (1) full business day of meetings/staff interviews, with one (1) additional follow up day Deliverables: Willdan and City; Time surveys and draft full cost recovery fees. Objective: Examine the user fees charged by comparable Orange County, orjurisdictions that are similar to the City of Santa Ana. Description: We will access and use our knowledge of other jurisdictions to benchmark the City's five (5) most common fees or highest yielding fees with comparable jurisdictions agreed. Fee schedules are rarely readily or directly comparable from agency to agency due to definitional and operational differences. For example, a grading permit in one jurisdiction may include the plan check service, while the same permit in another jurisdiction may not, resulting in similar sounding services with widely varying costs. For this reason, Willdan takes a selection of the City's most commonly used and/or highest yielding fees. The survey will contain the following: IVComprehensIve. Innovative. T'nisted. 15 City of Santa Ana 250-19 User Fee Study Cify'of Santa Ana j Cal fornfa • Comparison of common or similar fees and charges used by the City and other jurisdictions; • Current and proposed fees and charges unique to the City of Santa Ana; • Fees and charges used by other public entities not currently used in the City; and • If possible, identify characteristics and processes unique to the City that account for significant variances in fees and charges used by other jurisdictions. Deliverables: W111dan: Recommendations provided in Task 8 will incorporate the data gathered during our examination. Task 7: Data Analysis and Final User ree Schedule Objective: Incorporate information obtained from on -site surveys to fully develop model. Description: We will update the model, based on information received during the on -site surveys, to generate a comprehensive user fee schedule. In addition, it is very common that a supplemental data request may be necessary, based on new fees identified that the City is not currently collecting. Where appropriate, we will suggest and discuss with staff alternate approaches to existing fee programs (i.e. building fees), and suggest potential areas where fees could be collected where they are not currently. We will present the full cost recovery level for fees, and revenue projections, given certain assumptions about the levels of subsidy for different fees. Cost will be calculated at reasonable activity levels, and include all appropriate direct and indirect costs and overhead. We will review fee programs for compliance with Propositions 218 and 26. The user fee data analysis and model development may take three (3) to four (4) weeks with frequent correspondence with City staff to discuss current cost recovery amounts, necessary to recover full cost and frequency activity. We will analyze selected fees to examine the difference (if any) in their associated costs that might result from significant changes in the levels of service provided to customers — for example expedited or more in-depth plan check fees. Based on the discussions during those meetings, results will be updated as necessary to maintain focus with City goals and objectives. Meetings: Conference calls to finalize fee schedule. Deliverables: WAldan: Final user fee model for City Council presentation and discussion. Objective: Prepare draft report. Description: This task involves the preparation of the draft report that discusses the study's background, the methodologies utilized in the study, and the results and presentation to various stakeholder groups. As noted below, meetings may occur during this or the next task as appropriate. The calculations used to generate the user fee study will be included textually, as well as in easy to understand tables. Individual fee summaries by department and a comprehensive fee schedule will be Included. The draft report will include the following: • Key results and findings; • Basic descriptions of each service; • The full cost of each service and current cost recovery levels; • Fee recommendations with associate levels of cost recovery; • Projections of potential fee revenue; • Costs broken down graphically Into indirect and direct components, with a graphic display of the level of cost recovery; Assessment of reasonableness of each City's costs; £yrr,x� t Comprehensive. Innovative. Trusted. 16 City of Santa Ana User Fee Study 250-20 City of Santa Ana I California"" ...:..._ • Common Fees Comparison survey; • Review of reasonableness of current consultant cost structure (for Building Division services); • As appropriate, recommend alternative methodologies for building permit fee calculation; and • Summary and recommendations. The objective of the report is to communicate the recommendation of appropriate fees, which include the appropriate subsidy percentage for those fees where full cost recovery may be unrealistic. Based on City direction, we will also prepare single sheet rate justification breakdowns for up to 30 fees in various departments. These will be prepared so that City Staff can provide them to interested residents/customers to explain the methodology for a fee that is being paid. Meetings: One conference call with City staff to discuss the draft report. Deliverables: Wilidan: Draft report for City review and comment. City: Review of draft report, with comments and edits. Objective: Review of draft report and fee model. Description: Following the preparation of the fees and draft report, the goal of this task is to conduct an in- depth review and discussion of the draft report and model, and finally arrive at an optimum fee structure. Often through the course of an engagement, City staff will volunteer insightful likes and dislikes regarding the existing fee structure. We listen to this feedback carefully because your staff members know the community best. Comments usually revolve around issues of: • Understandability; • Appropriate levels of cost recovery; and • Fairness to applicants; • Full cost recovery hourly rates. • Ease of calculation; When adjusting fee recovery levels, we believe it is important to address these concerns. Following one (1) round of comments from City staff on the draft report, we will prepare the final report for presentation to the City Council. Meetings: One (1) meeting with the City Council Subcommittee, and one (1) meeting with the City Council to present and discuss results of the study. Deliverables: Wiildan: Draft report, revised draft /final report. Objective: Prepare and present final report to City Council. Train staff on the operation and use of the model for future modifications. Description: This task is the culmination of the entire project. Based on staff comments received regarding the draft report, we will prepare the final report for presentation. Meetings: One (1) meeting with City Council for adoption of the updated fees. We will also provide staff training on the operation and use of the model on the same day during regular business hours. Deliverables: Willdan: We will provide up to ten (10) bound copies, one (1) unbound copy and one (1) electronic PDF file copy of the final report and model to the City. Using Microsoft Word and Excel, an updateabie electronic copy of the study and model, Including related schedules, will also be provided on CD/ROM. r� Comprehensive.InnovatIve.TrUsted, 17 City of Santa Ana uz , � user Fee Study 250-21 city of Santa Ana I California City Staff Support 7o complete our tasks, we will need the cooperation of City staff. We suggest that the City of Santa Ana assign a key individual to represent the City as the Project Manager who can function as our primary contact. We anticipate that the City's Project Manager will: 1) Coordinate responses to requests for data and information; 2) Coordinate review of work products; and 3) Help resolve policy issues. We will ask for responses to initial information requests in a timely manner. If there are delays on the part of the City, we will contact the City's Project Manager to steer the project back on track. We will keep the City's Project Manager informed of data or feedback we need to keep the project on schedule. In the completion of this project and our analysis, Willdan will endeavor to minimize any impact on City staff. Willdan will rely on the validity and accuracy of the City's data and documentation to complete our analysis. Willdan will rely on the data as being accurate without performing an independent verification of accuracy, and that Willdan will not be responsible for any errors that result from inaccurate data provided by the client. Comprehensive. Innovative, Trusted, 18 City of Santa Ana User Fee Study 250-22 19►4IIHYIlli3 COMPENSATION The total compensation includes $29,835 as summarized in the Fee Proposal, and $6,165 for additional services which may be required and authorized by the City, for a not to exceed total of $36,000. 250-23 City of Santa Ana: I California Fee Proposal User Fee Study Based on our outlined work plan, we propose a not -to -exceed fixed fee of $29,835 for a User Fee Study. The table below provides a breakdown of this fee by task and project team member. re of Services 1: Initial Document Request 2: Compile Inventory of Current and Potential Fees 3:.Kiek-off /Refine Soaps - 4: Develop Comprehensive Fee Model 5:: Time Survey Interviews and On•site Information Gathering 6: Common Fees Comparison 7: Data Analysis and Final Fee and Rate Schedule 6: Prepare and Present Draft Report (with meetings) 9: '. Revise DraOlDeterr*6 Cost Recovery Levels 10: Prepare and Present Final Report/Model Training (meeting) ih..+.[ _ I I... Fen Qhuiu. Willdan Labor Costs '.. C. Fisher T. Thrasher P. Patel R. Quaid Project Analytical Analytical QA1Tech Manager Support Support Advisor Total $ 210 $ 130 $ 120 $ 165 Hours - 2.0 - 2.0..$ 260 - 1.0 410 5.0 610 -2.0 3.0 3.0 -_8.0 1'im 1.0 4.0 16.0 1.0 22.0 2,815 12.0 - 14.0 14.0 ' - 40.0 6.020 - 2.0 12.0 14.0 1,700 2.0 16.0 26.0 2A -46.0 5,050 4.0 1010 22.0 2.0 38.0 5,110 8.0 -14.0 8.0 2.0 C 32.0 '4,790 3.0 6.0 9.0 1,410 32.0 72.0 105A 7.01 216.0 :$ %29,835 �i1fC5. • There is no additional expense for a proprietary software program. • Our fee includes all direct expenses associated with the project. • We will invoice the City monthly based on percentage of project completed. • Additional services may be authorized by the City and will be billed at our then -current hourly overhead consulting rates. Corn pre hensive. Innovative. Trusted. 1 City of Santa Ana User Fee Study 250-24 city of Santa Ana I California Additional Services Hourly Rates Group Manager $ 210 t' Principal Consultant 260 Senior Project Manager 165 T f, Projecf=Mariager ,145 Senior Project Analyst 130 Senior Analyst = 120 Analyst 100 N r1 C n Comprehensive. Innovative. Trusted. 2 City of Santa Ana User Fee Study 250-25 EXHIBIT C CERTIFICATIONS 250-26 City of Santa Ana I California Required Forms Non -Collusion Affidavit CITY OF SANTA ANA. RPP NO.: 16.072 USER. PEE STUDS` NON-ML LU,,,, L JS 9kiATRfUAV1'f (Title23 United States Code Section 112 and Public Contract Code Section 7106 In conformance with Title 23 United States Code Section 112 mid Public Contract Code 7106 the BIDDER declares tint the bid is not made in die interest of, or on behalf of, may undisclosed person, partnership, company, association, organization, or corponaian; that the bid is genuine and not collusive or $Iran%; that the BIDDER has not directly or Indirectly induced or soliefted any other BIDDER to pm in a false or sham bid, and bits not directly or indirectly colluded, conspired, connived, or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner,. directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any other BIDDER, or to fix may overhead, profit, oncost element of time bid price, orordmnt orany other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statement% contained in the bld are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or may breakdown thereof, or the contents thereof; or divulged information or data relative thereto, or paid, and will not pay, any tee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive orshmim bid. Note: The above Non -collusion Affidavit is pan of the Proposal. BIDDERS are cautioned drat making a false Certification may subject tie certifier to criminal Signed State om County of Subscribed and swo to (or affirmed) before me on this day or 20 , by proved to time on the basis of satisfactory evidence to be the porson(s) wlto appaared biro c Notary Public Signature Public Seal Comprehensive. Innovative. "Ilrusted. 24 City of Santa Ana User Fee Study 250-27 °City�of Santa Ana I _California Notary hornn CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT CIVIL CODE 51189 A notary Febrile 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, arvaildity of that document. State of Ca ornia County oi. ``i ..�.. On V_r L tb before me, Date personally appeared Insert Name and Name(s) who proved to me on the basis of satisfactory evidence tobe the parsatdWwhose name(a) Isleae- subscribed to the within Instrument and acknowledged tome that he/thssfthay executed the some in hiafherftheirauthorized capaoitylle* and that by hisMerH4ra+r signature(* on the Instrument the pemott(s}, or the entity upon behalf of which the persan(o acted, executed the instrument. ]�+-- ] REOEKAH LEE SMITH 7 RCammlSsteaPuhOn • Cafar 20Ss612 I otary NomiA alwrside County M Oamm, E ima Nov? 201E I certify under PRNALTY OF PEFWURY under the laws of the State of California that the foregoing paragraph istrue and correct. WITNESS my hand and official seal. Signatu Signatu ofNatayPualtC Place Notary Seat Above OPTIONAL Though this saation is optional, completing this Information can dater alteration of the document or fraudulent reattachment of this form to an unintended document Description of Atlached Doaunion Title at Type at Document: m�k- MIJ Document Date:"''x„ Number of Pages: a.�___ _ Signers) Other Than Named Above: Oapacityjies) C Imed by Signaf Signer's i'ai Corporate Officer — Titis(s): .e i • Partner — 0 Limited 0 General • Individual [J Attamey in Fact C Trustee ❑ Guardian or Conservator C) Other. Signer Is Represent)ng: rp D- 0 Individual C) Trustee 0 Other: „ Signer Is N — IIdols);..._.... ....�v led CI General I Attorney in Fact l.Guard)an or Conservator 02014 National Notary Association - www.NationalNotary.org - 1-800•US NOTARY Wts�5r' t . Comprehensive. Innovative.'frusted. 25 ,�u . Item #5907 City of Santa Ana User fee Study 250-28 City of Santa Ana I California Non -Lobbying Certification CITY OF SANTA ANA RFF NO.: 16-072 USER FEE STUDY 10N-I. Oflpl'INQ CCRTtC1CATI04 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 die undersigned, to any person for Imlueneing or attempting to influence an oMcar or employee of any Federal agency, a Member of Congress, an officer or employee or Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, de mailing of any Federal grant, (lie making of any Federal torn, the entering into of any cooperative agreement, and die e><7ension, continuation, renewal, anendmmt, or modification of any Federal contract, grant, lost(, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to Any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress In connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL„ "Disclosure of Lobbying Activities," in conformance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered Into. Submission of this certification is a prerequisite for making ar entering into this trim saction imposed by Section 1052, Title 51, U.S. Code. Any person who fait; to file the required certification shall be subject to a civil penalty of not less than S10,000 and not more that $100,000 for each such failure. 111e prospective participant also agrees by submitting his or her bid or proposal that lie or she aliull require that the language of this certification be included in all lower tier subcontracts, which eseend SI00,9i)0 lint alI suet ^ci nts shall certifyand disclose accordingly. Signed: 'rifle: Vice Pfasidcnt Cnoun Man eer Fimr: Will4,an financial Services Date: -Jane 13. 2Q,i6, Comprehensive. Innovative. Trusted. 26 71 I1erllr"" .• City of Santa Ana User fee Study 250-29 City, of Santa Atha I California Non -Discrimination Certification CITY Or SANTA ANA RFP NO.. 16.072 USER rI!;E STCIDY NON-DISCIUMINATION CLWIFICATION The undersigned consultant or corporate officer, during the performance ordris contract, certifies as follows; L The Consultant shall not discriminate against arty employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applioants are employed, and that employees are 'treated during employment without, regard to their race, color, religion, sox, or national origin. Srrch 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 advertisement's 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 nation origin. 3. The Consultant shall send t9 each labor union or representative o'fworkers with which he/she has as 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 Girder 11246 of September 24, 1965, and o.fthe rules, regulations, and relevant orders of the Secretary of Labor. d. The Consultant shall furnish all information and reports required by Exwutive Order 1.1246 or 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 tabor far purposes of investigation, to ascertain complianoc with such raffles, 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 roles, regulations, or orders, the contract may be canceled, terminated, or suspended in whole, or in pant and the Consultant may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 1.1246 or 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 or the Secretary of Labor, or as otherwise provided by law. ' Comprehensive.Innovative. 'i'rusted. 27 City of Santa Ana User Fee Study 250-30 city of Santa Ana i California Non -Discrimination Certification - Continued CITY Or SANTA ANA RFP NO.: 16.072 USER IFEE STUDY 7. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved In, or is threatened will, litigation with a subcoumiliamor vendor as a result or suet, direction by the administering agency, the Consultant may request that ilia United States enter into such litigation to protect ilia Interests of the United States. S. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stets. 1939, and as amended, no discrimination shall be made in ilia 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 nil the penalties imposed for a violation oftbe Chapter Signed: G Tice: _Vic_Presidcnt. thmtn Manager Firm: Willdan Financial Services Date; it 13. 20i I Com(Jrehenslve. Innovative. Trusted, 28 City of Santa Ana User Fee Study 250-31 EXHIBIT D ADDITIONAL PROVISIONS 250-32 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: AGREEMENT WITH DAVID TAUSSIG AND ASSOCIATES TO PREPARE A DEVELOPMENT IMPACT FEE STUDY (STRATEGIC PLAN NO. 6, 1D } CI MANAGER RECOMMENDED ACTION 16WAA3dX01011II[441411Idt" APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' 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 consulting services agreement with David Taussig and Associates for a two-year term beginning April 18, 2017, and ending April 17, 2019, to prepare a Development Impact Fee Study, for a total amount not to exceed $55,000, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION The City imposes impact fees on land development projects to mitigate general impacts to city infrastructure, such as parks, library, transportation, sewer, and storm drainage systems. The primary objective of a development impact fee program is to ensure that new development pays the capital costs associated with growth. Impact fees must comply with the requirements of the Mitigation Fee Act (Act) contained in California Government Code Sections 66000 et seq. The City periodically analyzes and updates the development impact fee rates to ensure compliance with the Act and ensure future developers pay their fair share to mitigate impacts. The study will include rates for existing fees, possible fee adjustments, as well as consideration of new fees that may become necessary with continued development within the City. Staff published a Request for Proposals on July 14, 2016 and received two proposals from firms specializing in local government financial analysis. A selection committee comprised of staff from the Public Works Agency, the Planning and Building Agency, and the Parks, Recreation and Community Services Agency reviewed both proposals and rated each firm based on a number of criteria: demonstrated knowledge and capabilities, experience, proposed approach, project rates and fees. Both of the firms were interviewed by the selection committee with the results as follows: Rank Firm Average Score 1 I David Taussig and Associates 94 2 1 Willdan Financial Services 86 Based on rating and cost, it is recommended that David Taussig and Associates be retained for an amount not to exceed $55,000 to develop the Development Impact Fee Study. The contract includes an amount of $44,975 for the defined scope of services, and a contingency budget of $10,025 for any additional services or analysis which may be necessary during the course of the fee study. 25P-1 Development Impact Fee Study April 18, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts Objective #1 (establish and maintain a Com (explore creative financing options with private with infrastructure improvements). FISCAL IMPACT to meet Goal #6 - Community Facilities & Infrastructure, munity Investment Plan for all City assets), Strategy D property owners amenable to share the costs associated Funds are available in FY 2016-17 and will be budgeted and made available in FY 2017-18: Accounting Unit FY 16117 FY 17/18 05717640-62300 Federal Clean Water Enterprise $7,334 06017645-62300 Water Admin/Engineering $7,333 05617640-62300 Sewer Service $7,333 10920140-63001 Network and Telecommunications $5,500 01114403 62300 Police Building and Facility $5,600 01113250 62320 10200501102-3090 Rec.Comm Svc. -Park Mtce. $11,000 01105015 62300 General Non -Departmental $11,000 IV A Fred lousavipour Executive Director Public Works Agency Jeannie Jurado Acting Executive Director Parks, Recreation and Community Services Agency U Jack "a Chief echnology Innovations Officer Infor ation Technology Department WG:GPL:TH Exhibit: 1. Agreement APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Carlos Rofa Chief of P Ice Santa Ana Police Department 25P-2 Exhibit 1 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 18!' day of April 2017 by and between David Taussig and 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 Financial analysis and studies to establish fees for Development Impact Fees. 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 perfonned 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 during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Scope of Services - Exhibit A, attached hereto and incorporated by reference. The Scope of Services shall include a Schedule for the Delivery of Services, which shall be delivered as scheduled, beginning upon the City's issuance of a Notice to Proceed. 2. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services to the City, the amount of $55,000 in accordance to rates and charges identified in Compensation - Exhibit B, attached hereto and incorporated by reference, and in accordance with Section 18. UNEEKIlm 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 a No extension renewal option(s) exercisable by the City Manager and the City Attorney, unless terminated earlier in accordance with Section I5, below. 03 21 11 XXX PWA 07a nlE Study"raussig Exhibit 1 (wg) 25P-3 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 mamier 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 of 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. 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 representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of 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. 03 21 17 XXX PWA 07a DIP Study Tnssig Exhibit I (wg) page 2 of 8 25P-4 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. 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 To the fidlest 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 pokey limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 03 21 11 XXX PWA 07n DIP stwy'raussig 8xhihit 1 (wg) Page 3 of 8 25P-5 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 tinder 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 tlus 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. Conflict may be further specified in Certifications - Exhibit C, attached hereto and incorporated in this Agreement by reference. 03 21 17 XXX PWA 07a DIF Study Tnussig Exhibit I (wg) Page 4 of 8 25P-6 12. 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. 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 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. 03 21 17 XXX PWA 07n DIP Study "nmsslg Exhibit I (wg) Page 5 of 8 25P-7 16. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 17. 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. 18. PAYMENTS & INVOICES a. 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. b. Invoices should be submitted on the 15th of each month and shall include the following information at a minimum. V. Consultant's invoice number and City's agreement number vi. Beginning and ending dates for services vii. City Project and/or Task Order number and/or name (if applicable) viii. Work site address/location (if applicable) ix. Tasks or deliverables completed and percentage (%) of total services completed. X. Remaining Overall and Task Order budget available 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 filly, 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. 03 21 17 XXX PWA 07a DW Sau1y 9'nussig Exhibit I twg) Page 6 of 8 25P-8 20. 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 commtnication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax; 714- 647-6956 With courtesy copies to: Executive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 Fax: 714- 647-5635 To Consultant: Andrea Roess Managing Director David Taussig and Associates 5000 Birch Street, CA Suite 6000 Newport Beach, CA 92660 Fax 949-955-1590 Sonia R. 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. 03 21 17 XXX PWA 07a DIF Sludy Taussig Exhibit 1 (wg) Page 7 of 8 25P-9 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; Qc4ftol.l John nk Assistant City Attorney RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director Public Works Agency CITY OF SANTA ANA Gerardo Monet Acting City Manager CONSULTANT: David Taussig and Associates Tax ID# 03 21 17 XXX PWA 071 DIP Study'faussi0 Exhibit I (wg) Page 8 of s 25P-10 1 *: ai 3 I�IIi1 SCOPE OF SERVICES 25P-11 SECTION II 0 SCOPE OF SERVICES & SCHEDULE �t✓��.���Wf����3 J� � t4 ti�i k�� 1 1' Y i f 4 i N!T tM3k } 5 _2 p ih Work products stemming from the Work Plan described in this section will include the following: • A memorandum summarizing the fee methodology options • The draft and final Fee Study or Fee Studies DTA has an enviable reputation for producing high quality work in a quick and efficient manner to correspond with even the most aggressive project schedule. DTA's clients also receive high levels of personal attention from senior staff, with a Managing Director or other senior management always available to meet with public agency staff and other groups. TASK 1 — EVALUATE CURRENT DIF PROGRAM DTA will review and evaluate the City's current DIF program, including review of General Plan, level of service, Capital Improvement Programs, existing levels of development, projected future growth, and all other required data, for discussion during the Kickoff Meeting in Task 2. TASK 2—ATTEND KICK-OFF MEETING DTA staff will meet with City staff in an initial kick-off meeting to finalize the details of the Work Plan; discuss the current DIF program, potential fee methodologies, and best practices; identify needed and available information (i,e., reports, project/needs lists, stakeholder groups, data, etc.); determine period of time to be examined in Fee Study; prepare final schedule; discuss the public process; and resolve other concerns as appropriate. TASK 3 — REVIEW AND CONFIRM DEVELOPMENT PROJECTIONS 7 DTA will review Southern California Association of Governments Regional Transportation system growth projections, as well as other sources, such as the City General Plan, existing Master Plans, the City's Transportation System Improvement Area DIF, the U. S, Census, and the State Department of Finance. DTA will consult with the City Community Development Department to ensure growth is consistent with the City General Plan and projections. Also, DTA will survey and compile results to determine development impact fees charged by ten similar cities within the region, with at least four from Orange County, TASK 4 - REVIEW FACILITY / CAPITAL NEEDS AND LEVELS OF SERVICE This task entails review of the facility and capital needs required to serve the new development in the study area projected in Task 3. DTA will use existing City materials (and any relevant developers' facilities reports) as base documents and focus our effort on updating this information. In order for any fee program to be comprehensive in its scope, it is necessary to complete a thorough identification and review of all the facilities which will be impacted by additional growth, including those already discussed in the General Plan or CIP. This task will require close coordination with all appropriate City departments. Subtask 4(A) — Survey/Interview City Staff DTA shall survey/interview City staff to review projected facilities in the City, along with major equipment needs, the timing at which improvements will be needed, and any physical data that would assist in developing the costs estimated below in Subtask 4(C). Based upon the results of the surveys and interviews, as well as the City General Plan, DTA will verify and, if appropriate, expand the list of new facilities to be financed through the DIF Program. Subtask 4(8) —Facilities List Development Impact Fee Study Inc. 25P-12 16 SECTION II IM SCOPE ®ESERVICES & SCHEDULE Based on the information collected In Subtask 4(A), DTA shall prepare a facilities needs list that details the new facilities and equipment needed to serve new development in the City. Subtask 4(C) — Review Cost Estimates DTA's engineering and technical staff will, as necessary: consult with City department heads and/or engineering staff or equivalent to ascertain and understand in-house cost data for existing and projected facilities and equipment; apply appropriate inflation and cost of living escalators to the list of projected public facilities to determine future costs; review and/or refine existing cost data; examine major sources of revenue to fund construction of new public facilities; and provide a proportional estimate between projected costs for new facilities and projected revenue from mitigation fees and other sources, Deliverable: Needs List TASK 5 - DEVELOP METHODOLOGY FOR CALCULATING NEW FEE AMOUNTS This task entails developing the methodology used to establish the fee amount to the extent appropriate. There are two critical issues that must be considered in developing a fee program. The fee program must generate revenues in a timely manner and the methodology must meet the nexus or benefit requirements of AS 1600. Since fees of any sort are controversial, it is critical that any fee established be legally defensible. DTA's fee study methodology must meet the nexus or benefit requirements of AB-1 600, which requires that there be a nexus between fees imposed, the use of the fees, and the development projects on which the fees are imposed. Furthermore, there must be a relationship between the amount of the fee and the cost of the improvements. In order to impose a fee as a condition for a development project, the methodology must accomplish the following: ■ Identify the purpose of the fee. • Identify the use to which the fee is to be put. If the use is financing public facilities, the facilities must be identified. • Determine how there is a reasonable relationship between the fee's use and the type of development project on which the fee is imposed. • Determine how there is a reasonable relationship between the need forthe public facility and the type of development project on which the fee is being imposed. Implicit in these requirements is a stipulation that a public agency cannot impose a fee to cure existing deficiencies in public facilities or improve public facilities beyond what is required based on the specific impacts of new development. The benefit methodology established in this Subtask will be documented in the Report. DTA shall prepare a memorandum to City staff summarizing the recommended methodologies and their pros and cons. DTA will recommend a fee expenditure plan to ensure that projects can be fully funded and implemented within any required time limits for expenditures of such funds, as well as possible flexibility to allow collected fees to be used to provide the City match for grant applications. Finally, the memo will include recommendations for methodology and next steps. Upon review and discussion by City staff, a methodology will be selected. Deliverable: Memorandum summarizing the DIF methodology options TASK 6 - DETERMINE FEE LEVELS This task entails calculating the fee amounts based upon the dwelling unit and commercial/industrial development projections completed in Task 3, facilities needs and costs determined in Task 4, and the methodology selected in Task 5. City of Santa Ana — Proposal for Development Impact Fee Study August 3, 201E David Taussia & Associates, Inc. Page 17 SECTION 11 0 SCOWE F SERVICES SCHEDULE Subtask 6(A) — Calculate Recommended Fee Amounts DTA shall calculate the fees for the City by Inputting the data compiled under the preceding tasks, and computing the amount of each fee to be levied. This work will be done in a spreadsheet format which can be updated on an annual basis. Subtask 6(B) — Document Fee Derivation DTA shall document the methodology utilized for the fee calculation model in a manner that can be understood by the City and the public. DTA shall prepare written statements documenting the validity of the methodology for deriving each of the fees for the City. These statements will be made to meet the requirements of AB 1600 and will be documented in the Final Report discussed below. Deliverable: List of Proposed Impact Fees for Single Family Detached, Single Family Attached, Multi- family, and Non -Residential land use categories TASK7PREPARE DRAFT AND FINAL FEE STUDY REPORTS This task entails preparation of the draft and final reports for consideration by the City Council and City Staff. Subtask 7(A) — Prepare Draft Fee Study Report for Comments Based on the work completed in Tasks 1 through 6, DTA will prepare the Draft Report for review and consideration by City staff. The report will be prepared pursuant to the standards of AB 1600 and Quimby Act and is expected to include: • Executive Summary • Population Projections • Facilities and Improvements List • Areas of Benefit (if applicable) • Fee Calculations • Recommended Fee Levels • Recommended Process for Keeping Fees Current Subtask 7(B) — Prepare Final Fee Study Report Based on the incorporation of City staff comments and concerns on the Draft Report, DTA will prepare the Report for presentation to the City Council and City staff. Deliverable: Five (5) bound copies, one unbound copy, and single Microsoft Word and PDF file of the Final Development Impact Fee Study Reports TASK 8 — ATTEND MEETINGS AND PUBLIC OUTREACH This task entails attendance at 5 meetings/workshops in addition to the Kickoff meeting included herein under Task 2: 1 to 5 are working site visits with City staff, meeting to brief the City Council, and one presentation to City Council. During these meetings, and throughout the course of the preparation of the Fee Study or Fee Studies, DTA will make recommendations regarding the use and collection of proposed fees, as well as recommendations regarding specific components or elements that are of concern. City of Santo Ana — Proposat for Development Impact Fee Study AugaV 3, 2016 David Taussiq & Associates, Inc. Page 18 25P-14 SECTION II 0 a OC PE O MMES & SCH_ HEDUL rmy, .:�.fi OEM f, fb ,M1 1.si.r»;i.'.asxk+r-Asy. In DTA's experience, City staffs role in the preparation of a Fee Study relates to (1) the procurement of specific types of data, as listed below, (ii) assistance and local expertise in the selection of Facilities to be included on the Needs List, (III) review of all documents produced by DTA, and (iv) assistance in working with the City Council and outside stakeholders. DTA requests that the following information be provided by City staff at no charge and in a timely manner such that the project does not extend beyond six (6) months from the date of authorization to proceed: 0 City General Plan, any specific/master plans, development agreements, and data regarding existing entitlements. 0 Forecasts and Development Information re: ongoing development activities or those in process and recent projections or forecasts being used by the City staff. 0 To the extent available, detailed description of the proposed public facilities, including the facility name and number of square feet, acres, etc. (as applicable for each type of facility). 0 To the extent available, any infrastructure standards utilized by City, such as police or fire protection personnel per 1,000 residents, library books per capita or per building square foot, inventory of completed Facilities within.District that -constitute a standard,. including type., size, and location of facility, City infrastructure standard policies, etc. 0 Cost estimates for proposed facilities (DTA anticipates that City's cost data and estimates will be reviewed by DTA staff and discussed with City staff). 0 Existing City Fee Ordinances and/or Resolutions. 0 Current Annual and Five Year Reports per Government Code Sections 66006 and 66001 (if available). 0 Identification of any existing committed revenue sources pledged to fund facilities on the proposed Needs List. City of Santa Ana — Proposal for Development Impact Fee Study August 3, 2016 David Taussig & Associates, Inc. _. Fade 19 SECTION ill ■ FEE PROPOSAL AND SECTION IV ® CERTIFICATIONS As stated in "Section I - Fee" of this proposal, DTA's fee schedule and cost proposal are provided in a separate sealed envelope. IV; C«TE t0 5M ,N {...< :_. t . , ,,,r, s, } M. In Attachment A are the signed Certifications: Non -Collusion Affidavit Non -Lobbying Certification Non-discrimination Certification City of Garden Grove — Proposal for Development Impact Fee Study August 3, 2016 David Toussig & Associates, Inc. Page 20 25P-16 11 r ATTACHMENT 0 A 25P-17 EXHIBIT B COMPENSATION Fee Proposal including hourly rates (from Consultant Proposal) The total compensation includes $48,475 as summarized in the Fee Proposal, and $6,525 for additional services which may be required and authorized by the City, for a not to exceed total of $55,000 25P-18 SECTION III ® FEE PROPOSAL DTA's proposed consulting fees for services performed for the City under the Technical Approach and Scope of Work (Section I, D and Section II of the proposal) is not -to -exceed $44,975 (excluding expenses). Please note, the proposed fees reflect preparation for and attendance at 6 meetings; the actual fees invoiced may be lower. DTA's Comprehensive Development Impact Fee Price Proposal Kam Managing Director —.._._._.`-...-..----.....-....�......_.. 2 $210 $420 _.-...__�_._.._. Evaluate Current DIF Program Months 1-2 Vice President/Engineering 6 $200 $1,200 SeniorAssoclate 4 $165 $660 1 i0 FsUgr ` � �� a�A*. 1 ai�:•ra�� ��- * '� r -1' A9e 4. a.�x �wu,. Managing Director 4 $210 $840 Kick -Off Meeting Months 1-2 Vice President/Engineering 4 $200 $800 Senior Associate 0� �$165^ $0 IN 6 Managing Director_ 5 $210 $1,050 Review Development Projections Months 2-3 Vice Presldent/Englneering 5 $200 $1,000 Senior Associate 0 $165 $1,485 Managing Director 6 $210 $1.260 Review Fa Needs Months 2-4 _ Vice President/Engineering 30 $200 $6,000 Levels of Service & Levols of Service Senior Associate 10 $166 $1,650 sm Mana ig ng Director 7 $210 $1,470 Develop Methodology for Months 3-4 Vice President/Engineering 9 $200 $1,800 Calculating Now Fee Amounts Senior Associate 10 $165 $1,650 WY T e'3fs�. .+1 BMW a , •. �pv�'`H u.. .At. rrvPwnR< Managing Director 7 $210 1 $1,470 _ Vice President/Engineering 9 $200 $1,800 Determine Fee Levels Months 3-5 Senior Associate 8 _ $165 _ $1,320 OTA '101 EL? F: * P �10 Managing Director $210 $2,100 Prepare Draft & Final Reports Months 5-7 Vice President/Engineering 16 $200 $3,200 Senior Associate 4D _ $165 $6,600 �7 {; ru T 'r NO ' x"7 r''taT�F � " R - , � �.� , s d b `�$6 r :„y m ., - Asa- �.._ $ .:.£ 00�• T. ts,'3 - 2i WE T � ,k" �nr.-0 Managing Director 20 $210 $4.200 Attend 5 Meetings and Public Months 1-8 Vice ProsidontlEnginoering - _ _ _ _ $200 $3,000 Outreach Senior Associate �15 0 _ 1 $165 $0 ' T "� a - TOTAL NOT TO EXCEED Managing Director 61 $210_ $12,alo "TASKS 1 TO 8* _ Vice President/Enginecring 94 $200 $18,800 SeniorAssociate81 _ $165 $13,3.65 1 5 .3i. _3"" M :.. A$ ,, ..., 1k TL?e�t 2'' Rr'YiYJ f i 25P-19 SECTION III ® FEE PROPOSAL Fees for services shall be charged according to the following professional services fee schedule: Managing Director $210/Hour Vice President/Engineer $200/Hour Manager $185/1-lour Senior Associate $165/Hour Associate $155/Hour Senior Analyst $145/Hour Analyst $130/Hour Research Assistant $105/Hour In addition to fees for services, City shall reimburse DTA for out-of-pocket and administrative expenses by paying a charge equal to 3% of DTA's monthly billings for labor, plus clerical time at $75 per hour, travel costs, and any outside vendor payments, not to exceed a total of $3,500, Any additional tasks assigned by the City if the total fee listed above has been exceeded shall be charged at the hourly rates listed above. Consultant shall notify City if and when charges approach the estimates listed above to obtain written consent for additional fees to continue work. Invoices shall be submitted on a monthly basis and shall be due within thirty (30) days thereafter. A late charge of 1.22 percent per month shall be charged on late payments. Work not specifically outlined in the Technical Approach and Scope of Work (Section I, D and Section It of this proposal), such as detailed written responses to resolve disputes or preparation of more than one set of major revisions to the draft report, may be classified as Additional Work and mav require additional billing at hourly rates identified in the table above if the maximum fee levels have been exceeded. Other examples of Additional Work shall include: 0 Additional analyses based on revised assumptions requested by the City, including (a) possible changes in Facilities Needs List, infrastructure costs, population projections, and related data once preparation of draft administrative report has been initiated, and (b) adjustments to assumptions once the draft administrative report has been approved. 0 Negotiations with stakeholders once the Report has been prepared, 0 Time expended related to obtaining data assigned to City under "Information to be Provided by City," as listed below. 0 Actual Implementation of fee programs. 0 Reproduction of more than 5 bound copies of the Report. 0 Attendance at more than 5 meetings. All hourly rates for services apply for a 12 month period from execution of the agreement and are subject to a cost -of -living increase every 12 months, On or about the first two weeks of each month during which Consulting Services are rendered hereunder, DTA shall present to City an invoice covering the current consulting services performed and the reimbursable expenses incurred. 25P-20 The maximum fees listed above assume the review and implementation of the Fee Program with a schedule between initiation of services and public outreach that is no longer than nine (9) months. Information To Be Provided By City DTA requests that the following information be provided by the City at no charge and in a timely manner such that the project does not extend beyond six (6) months from the date of authorization to proceed: 0 City General Plan, any specific/master plans, development agreements, and data regarding existing entitlements. 0 Forecasts and Development Information re: ongoing development activities or those in process and recent projections or forecasts being used by the City staff. 0 To the extent available, detailed description of the proposed public facilities, including the facility name and number of square feet, acres, etc. (as applicable for each type of facility). 0 To the extent available, any infrastructure standards utilized by City, such as police or fire protection personnel per 1,000 residents, library books per capita or per building square foot, inventory of completed Facilities within District that constitute a standard, including type, size, and location of facility, City infrastructure standard policies, etc. 0 Cost estimates for proposed facilities (DTA anticipates that City's cost data and estimates will be reviewed by DTA staff and discussed with City staff). 0 Existing City Fee Ordinances and/or Resolutions (or County ordinances or resolutions that have been utilized within the City). 0 Current Annual and Five Year Reports per Government Code Sections 66006 and 66001 (if available), 0 Identification of any existing committed revenue sources pledged to fund facilities on the proposed Needs List. 25P-21 EXHIBTI' C CERTIFICATIONS C-1 tivougli C-3 25P-22 CITY ®F' SANTA ANA RFP NO,; 16-074 DEVELOPMENTIMPACTF'EES �V-CQ9)( F.UJ�9d9N AF'1!IdAAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) In conformance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or Indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any other BIDDER, er to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note; The above Non -collusion Affidavit is part of the Proposal. BIDDERS are cautioned that making a prosecution, false certification may subject the certifier to criminal Signed State of Q County of Subscribed and sworn to person($) who appeared before me Notary Public Signature d) before me on this day of 20.w by to me on the basis of satisfactory evidence to be tho Seal Page 1 of 1 25P-23 CITY OF SAWA ANA RFP NO.: 16-074 DEVELOPMENTIMPACTFEES NO CD+RTIFICATION 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 malting of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions, This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly, Signed: Title: Firm: AA�1i/A ij�tttcv�,abc SUCr� Date: Page 1 of I 25P-24 CITY O1' SANTA ANA RFP NO.: 16-074 DEVELOPMENTIMPACTFEES 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 Tabor 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 subconsultaut or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats, 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter, Signed: Title;\P191t�cia Firm: j �Ss_t%Snir ir. S Date: Page 2 of 2 25P-25 EXHIBIT D ADDITIONAL PROVISIONS There are no additional provisions. 25P-26 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: DONATION AGREEMENT WITH SANTA ANA MUSIC BOOSTERS FOUNDATION TO SUPPORT THE ARTS AND LITERARY FESTIVAL (STRATEGIC PLAN NO. 5,4) Ci 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 an agreement with Santa Ana Music Boosters Foundation for a one-time donation amount of $2,000, subject to nonsubstantive changes approved by the City Manager and the City Attorney. DISCUSSION On August 4, 2015, City Council adopted Resolution 2015-042, establishing a City Special Event Sponsorship Policy and Guidelines for Disbursement of Discretionary Funds. The resolution and policy outline the eligibility criteria for neighborhood associations and eligible non-profit entities for consideration of City Council sponsorship. In accordance with this policy, each Councilmember is allowed to appropriate up to $10,000 per fiscal year to support eligible organizations, including neighborhood associations and non-profit organizations. Eligible organizations that are not tax exempt under section 501(c)3 of the Internal Revenue Code are eligible for in -kind funding for City Services. Councilmember Benavides recommends appropriating $2,000 to the Santa Ana Music Boosters Foundation to support the Santa Ana Unified School District's Arts and Literary Festival event that took place March 4, 2017 in downtown Santa Ana in response to their donation request (Exhibit 1). Upon approval of this item, a donation agreement (Exhibit 2) will be executed. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). 29A-1 Donation Agreement With Santa Ana Music Boosters Foundation to Support the Arts and Literary Festival April 18, 2017 Page 2 FISCAL IMPACT Funds to support the City Council Sponsorship Policy are available in the Fiscal Year 2016-17 General Non -Departmental account (01105015-62300). The $2,000 will be spent from Councilmember Benavides's appropriated amount for FY 2016-17. APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency EXHIBITS: 1. Donation Request Form 2. Donation Agreement 29A-2 CCity of Santa Ana sDonation Request GkY ddanapar'a t770xa-wi 20 CWIc Center Plata AO. sox lose Santa Ana, CA 92702 (1114) 547.5200 Name.. Robyn MaOMald ___ __ ,._. ,V_`-.-«..••••`- Tift: .. VAPA Program SpecIeffst Address» 620 W. Walnut Street city, ststa, np: Santa Ana, CA 92701 Phonat (714) 657-4927 Emallr robyn.macnalr%ilsousd,us Fax: U nIz-W itthifat stun Nernst Santa Ana Music Boosters Foundation delimit UnderSd Won bycaorpwsxae0na dSaventa OW wrexampl a9erdsad0nm Solid Cne: delNrod under aeWonsnttast01 of0e hrkmel pevame Coda? �ris El No NN0, you wat0rdyga4Jy Axis crodli to'CltyaooLNd nsdr lmyatrnewefit a partdflaae, ateNfbrte, rsrYNnMx hvladplax or agdpmont, akJ.Caala raClyxavvtrx vay andN pYea, lax l0 yS�T appmvW,aod'I meyartaeyretmvar lueensl e/raquesfad Gsy xarvkax el �q— % a, 1066rd paquesiaW i ®ale Needed: Mayedcaomllaemoar Benavides atraetlayfnenlAmavais $2000.00 eventCafe1 March 4, 2017 evantTlrna: / . Regoaatad: � �}.111. ' 8 p.m. event t.aaSaa Downtown Santa Ana between 2nd and 41h Streets and Broadway and French streets A6a4t,. Car state, Zia aescdpdon or SAUSD Is having Its first ads and iiterarp feai M dawntown Santa Ana in the Artists Whip an March avant i purposx: 4. This funding would pfoAde transportation to students to give them access to parttdpating as Performers, exh Wtom and patmrm at the WON evenly associated with this major citywide event th,. Walk,w aw..+rk armumw,aw xaawlW.e.►.saN.ur+.�wwuGw wn9ai.eeM,aww.Mr, ty aan4a,ewm, anwyains.,rsairu�we.e~..�.,°�am em MnWareYn.M,a.+W aaUieaNWa.weamn�a a 91"t-* Carnmvnt a.nenk nor _. _ 'Appecani ftieturnt Data: February-0, 2017 MUM City Manaaaria ama-M-3i .Email; donatlantegaaaP�aentaare,a0 20 CMe CitmarPlaris Pax: t71410474oe4 P.C. aoa rasa Santa Aria. CA 92702 flunanon tiaqunH,i U an :annrn PRao6�a�9nta 04/18/2017 K,rtaniltllg MAI vm-, No YES f.,n:,raenra Ya,x�pnt $2,000 Gfty h1nonpar +f0n€tura tantn ReAaad 01IN2017 EXHIBIT 1 29A-3 29A-4 CITY OF SANTA ANA DONATION AGREEMENT WITH SANTA ANA MUSIC BOOSTERS FOUNDATION 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on APRIL is, 2017 by and between the City of Santa Ana, a municipal corporation ("City") and SANTA ANA MUSIC BOOSTERS FOUNDATION, a California 501(e)3 NON-PROFIT ORGANIZATION ("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 finding to assist Recipient with THE SANTA ANA UNIFIED SCHOOL DISTRICT'S ARTS AND LITERARY FESTIVAL IN DOWNTOWN SANTA ANA THAT OCCURRED MARCH 4, 2017 ("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, by recommendation of COUNCILMEMBER BENAVIDES, believes there is a public purpose in supporting the Community Benefit because it will PROMOTE YOUTH EDUCATION, ENGAGEMENT and POSITIVE LIFE SIULLS. Tlic foregoing is a general description of the public purpose, and is not necessarily the only public purpose to be gained from the Community Benefit. TERmq AND CONDITIONS 3.1 Use of Funds, 'rho City has chosen to provide Recipient with a one-time payment of TWO THOUSAND DOLLARS ($2,000.00) for the Arts and Literary Festival event, 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 frilly with the terms of this Agreement, City shall have the right to terminate this Agreement and demand the return of the finds 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 through Recipient's full expenditure of the finds. 'rho 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 aimum. Notwithstanding the foregoing, the indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. EXHIBIT 2 29A-5 CITY OF SANTA ANA DONATION AGREEMENT Page 2 of 3 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 propose which may cause a significant risk of injury, 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 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, aclmowledges 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's 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 acid satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or voltnteers, 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's obligation to indemnity 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 Patties 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 Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party, EX141BIT 2 29A-6 CITY OF SANTA ANA DONATION AGREEMENT Page 3 of 3 RECOMMENDED FOR APPROVAL By: Robert C. Cortez Deputy City Manager City Manager's Office CITY OF SANTA ANA By: Gerardo Mouet Acting City Manager Attest By: _ Maria D, Huizar Clerk of the Council Approved as to Form: By:. I n M. Funk Assistant City Attorney SANTA ANA MUSIC BOOSTERS FOUNDATION a 501(c)3 NON-PROFIT ORGANIZATION By: Signature Name Title EXHIBIT 2 29A-7 29A-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: DONATION AGREEMENT WITH TKO YOUTH FOUNDATION FOR YOUTH PROGRAMS (STRATEGIC PLAN NO. 5, 4) CLERK OF COUNCIL USE ONLY: ".1400T61wel ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER CITY ANAGER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute an agreement with TKO Youth Foundation for on -going youth programs for a one-time donation amount of $1,000, subject to nonsubstantive changes approved by the City Manager and the City Attorney. DISCUSSION On August 4, 2015, City Council adopted Resolution 2015-042, establishing a City Special Event Sponsorship Policy and Guidelines for Disbursement of Discretionary Funds. The resolution and policy outline the eligibility criteria for neighborhood associations and eligible non-profit entities for consideration of City Council sponsorship. In accordance with this policy, each Councilmember is allowed to appropriate up to $10,000 per fiscal year to support eligible organizations, including neighborhood associations and non-profit organizations. Eligible organizations that are not tax exempt under section 501(c)3 of the Internal Revenue Code are eligible for in -kind funding for City Services. Councilmember Tinajero recommends appropriating $1,000 to TKO Youth Foundation to support on -going youth gang prevention programs and educational programs along with fitness skills, in response to their donation request (Exhibit 1). Upon approval of this item, a donation agreement (Exhibit 2) will be executed. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). 29B-1 Donation Agreement with TKO Youth Foundation for Youth Programs April 18, 2017 Page 2 FISCAL IMPACT Funds to support the City Council Sponsorship Policy are available in the Fiscal Year 2016-17 General Non -Departmental account (01105015-62300). The $1,000 will be spent from Councilmember Tinajero appropriated amount for FY 2016-17. APPROVED AS TO FUNDS AND ACCOUNTS: C \\y Francisco Gutierrez , Z Executive Director Finance and Management Services Agency EXHIBITS: 1. Donation Request Form 2. Donation Agreement 29B-2 . ' Ctry Manager's Offico - M-31 City ol'Santa Ana 20 Civic Confer PAnm P.O. Box 1080 D011at'(dh7 RequesttSanto Ana, GA 92702 ••,. (714) &i7.0200 Name; ' w� _ lJ..`"-"'---��-""-•---�—^-Lam'=�, AAddrost''� Y Q �•�/• City, 5htta, gip; .A. !.�' ti �•")�Cl QY phone; Email; a4AA.:.. GU-C�- C.� _ Fax: ...�_.-- Name; Tax•6xempt3tatus: is your orgoehatlona non•profit or publiotex-exampt organization as a12CE0ao: �I" relined under Section 501 (c)(3) of Ih InPemal Revenue Code4 �, I � Yea No 00,you W11 only qualily for a ors(&the City-ro/ated casts foryour request li,e• psm1f fees, sfaff8me, rental rates forfecilldos er equipmen;efm).Cosfa for City s9mYces vary and if If Yea, approved, craditmayer,may nofroNfrfull Cost of requested City w4ees. iTax in 0: I �- �7 3-. byr/ unt Requ=d: Bate Needod; �%Cdy Services Cradh �I$ r &r� atp( D+lCouncllmemhsr. ffI + If ,, Cireot Payment Amount S Event 0dte: OEvent Time: a fl-"- Event Location: Adare9a, city, state, Lp IjI i1 a� (r t,p..yt..+e.a-e.. yam+ w-ILAI ��• o� "74+}- . Description n of �i 'Event! �='r'� `� � 'Q' 0, VP- A) Purpose: e- V','t) d/ . Community Bonefih � �"=•�:�D y' „h �� S' � ,C(,� / Moil: City Manag®r's Office-U411 Enroll: donadonrequast�santa.ana.org 20 CIVIC Confer Plaza Fax: (714) 0d7.0934 P.O, nag 1908 I Santa Ana, CA 92702 Donation Roquest#: CouneiV'MnoS�g f)clle; . tdererempA# on allrelatedtS'Pvs' ._._—•,�..._ '04/18/2017W--_.--._ elinmulty Mot r S f No YES' Appravad •Amount $1,000 City Manager 5iggatua Dam vi Radsed 0110512D17 Exhibit ". L"l? r•- CITY OF SANTA ANA DONATION AGREEMENT WITH TKO YOUTH FOUNDATION 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on APRIL 18, 2017 by and between the City of Santa Ana, a municipal corporation ("City") and TKO YOUTH FOUNDATION, a California 501(c)3 NON-PROFIT ORGANIZATION ("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 finding to assist Recipient in PROVIDING THE SANTA ANA YOUTH COMMUNITY WITH GANG PREVENTION PROGRAMS, EDUCATIONAL PROGRAMS AND FITNESS SKILLS ("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 P ose, The City, by recommendation of COUNCILMEMBER TINAJERO, believes there is a public purpose in supporting the Community Benefit because it will PROMOTE EDUCATION, SAFETY, HEALTH, FITNESS, AND POSITIVE LIFE SKILLS 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 a one-time payment of ONE THOUSAND DOLLARS ($1,000.00) for the on -going youth gang prevention and. educational programs because the City has determined that there is a public purpose to be served in supporting the Comnmity Benefit. In executing this Agreement and receiving the fiuuds, 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 finds for such purpose or otherwise comply fully with the terms 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 through Recipient's full expenditure of the funds. 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 Exhibit 2. CITY OF SANTA ANA DONATION AGREEMENT Page 2 of 3 injury, the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver/release protections, This right shall be ongoing 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 Cam. 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's 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's 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 indermufication 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 Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. r•- CITY Or SANTA ANA DONATION AGREEMENT Page 3 of 3 RECOMMENDED FOR APPROVAL Un Robert C. Cortez Deputy City Manager City Manager's Office CITY OF SANTA ANA Gerardo Monet Acting City Manager Attest: By: Maria D. Huizar Clerk of the Council Approved as to Form: By: 7yl,. - Jon M. Funk Assistant City Attorney TKO YOUTH FOUNDATION a 501(c)3 NON-PROFIT ORGANIZATION m Signature Name: MARY H. LARA Title: Director 29B-7 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: DONATION AGREEMENT WITH TEMPLO CALVARIO COMMUNITY DEVELOPMENT CORPORATION FOR THE LOVE SANTA ANA INITIATIVE (STRATEGIC PLAN NO. 5,4) i Cl RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council Calvario Community Development Corporation for the donation amount of $2,000, subject to nonsubstantive and the City Attorney. DISCUSSION CLERK OF COUNCIL USE ONLY: r-Avia-Womall ❑ As Recommended ❑ As Amended ❑ Ordinance on 1a` Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER to execute an agreement with Templo Love Santa Ana Initiative for a one-time changes approved by the City Manager On August 4, 2015, City Council adopted Resolution 2015-042, establishing a City Special Event Sponsorship Policy and Guidelines for Disbursement of Discretionary Funds. The resolution and policy outline the eligibility criteria for neighborhood associations and eligible non-profit entities for consideration of City Council sponsorship. In accordance with this policy, each Councilmember is allowed to appropriate up to $10,000 per fiscal year to support eligible organizations, including neighborhood associations and non-profit organizations. Eligible organizations that are not tax exempt under section 501(c)3 of the Internal Revenue Code are eligible for in -kind funding for City Services. Councilmember Tinajero recommends appropriating $2,000 to Templo Calvario Community Development Corporation to support the Love Santa Ana Initiative that will bring community groups together for a neighborhood beautification day, in response to their donation request (Exhibit 1). Upon approval of this item, a donation agreement (Exhibit 2) will be executed. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). 29C-1 Donation Agreement with Templo Calvario Community Development Corporation April 18, 2017 Page 2 FISCAL IMPACT Funds to support the City Council Sponsorship Policy are available in the Fiscal Year 2016-17 General Non -Departmental account (01105015-62300). The $2,000 will be spent from Councilmember Tinajero appropriated amount for FY 2016-17. APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance and Management Services Agency EXHIBITS: 1. Donation Request Form 2. Donation Agreement 29C-2 City of Santa Ana Cult Manegar's office - M-21 20 Civic Confer Pine Donation Request P.O. Box 1988 0 Santa Ana, CA 92702 (714) 647-5200 t ct Information IName: Lee de Leon [PrediTe�tICE_0____ v draw: 2501 W. Sth St �Itystot , ZWiw. [ Santa Ana, �CA 927�03___[Phlrie __[(714) _54,3-371:i__' Zeman:�e@tccdc.org- (714) 543-2399 owanization Information - - ------- IName: ITemplo Calvario Community Development Corporation - Love Santa Ana Program _Tax-exempt S_ta_tu$:Is your ­drganGa_ti0n_a n—onprofft or —public tax-exempt orgaril—zationas defined under Section 501(c)(3) of the Intemid Revenue Code? Fe'�e_o��rm: Y08 ®Na IF No, you well only qualify for a credit for City -misted costs lot your request (i.e. permit fees, stsif gme, rental totes for facilities Of equipment, elc.). Costs for City Services very and if If Yea, approved credit may or may not cover full cost of requested City services, ax 10 M 77-0601589 Donation Request City Smirvices Credi m"yosunt Requested:t F AS Date Needed: AP I ;;yOr/Councilmomber: I Tinajero D ---'--F Direct Pays ant Amount _t P 'to' �Roqmisreyd. 2,000 r___ _Fvent -Dot, F4/8/2017 Requested: Event Thron, 17:30am-1:00pm I C Event Location: Casa Bonita & Bella Vista Neighborhood Event Lot F F__ Add—,, Cft�y State, Dip Tha, Ia r .Santa Ana Uem a =9mm-at T-em p "a h wi o _MQ_Waj3 D of on mobilizing churches, community groups and the business community to work [Enescribilim event( Purpose: together to bring beauty, hope and transformation to some of the most hallenged areas of our city. On April 8th, hundreds of volunteers will gather at �jthe Bella Vista _&C ilia Bonita neighborhood Nei '5C d an up, murals, working on Jerome Community Garden, r W IIR source i n uch more Applicantlure Fate- �&l 7 Mail: City Manager's Office - M-31 email: donationmqumt@santa�na.org 20 Civic Center Plan x: (714) 647-8954 P.O. Box 1908 Santa Ana, CA 92702 7, 'g 'Q Donation Request OR lF Council Meeting Date - : 04/18/2017 Eligibility Met: YES I NO YES Approved Amount- $2,000 City Manager Signature: IDate; Revised 0110512017 Exhibit 1 29C-3 29C-4 CITY OF SANTA ANA DONATION AGREEMENT WITH TEMPLO CALVARIO COMMUNITY DEVELOPMENT CORPORATION 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on APRIL 18, 2017 by and between the City of Santa Ana, a municipal corporation ("City") and TEMPLO CALVARIO COMMUNITY DEVELOPMENT CORPORATION, a California 501(c)3 NON-PROFIT ORGANIZATION ("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 SUPPORT OF THE LOVE SANTA ANA INITIATIVE THAT WILL BRING COMMUNITY GROUPS TOGETHER FOR A NEIGHBORHOOD BEAUTIFICATION DAY ("Community Benefit"), The Parties wish to enter into this Agreement to establish the terms and conditions under which the City will provide furiding. 2.2 Public Purpose. The City, by recommendation of COUNCILMEMBER TINAJERO, believes there is a public purpose in supporting the Community Benefit because it will PROMOTE COMMUNITY HEALTH, LIVABILITY, ENGAGEMENT, POSITIVE LIFE SKILLS. 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 a one-time payment of TWO THOUSAND DOLLARS ($2,000.00) for the Love Santa Ana Initiative to beautify a neighborhood 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 finds, Recipient agrees to use the finds 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 terms 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 through Recipient's full expenditure of the funds. 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. Exhibit 2 29C-5 CITY OF SANTA ANA DONATION AGREEMENT Page 2 of 3 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, 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 assu ne 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 mamier 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's 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's 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. 33 Authorit to o 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 Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. 29C-6 CITY OF SAN-rA ANA DONA,r[ON AGREEMENT Page 3 of 3 RECOMMENDED FOR APPROVAL LKA Robert C. Cortez Deputy City Manager City Manager's Office CITY OF SANTA ANA Gerardo Mouet Acting City Manager Attest: By: Maria D. Huizar Clerk of the Council Approved as to Form: By: hn M. Funk Assistant City Attorney TEMPLO CALVARIO COMMUNITY DEVELOPMENT CORPORATION a 501(c)3 NON-PROFIT ORGANIZATION Signature Name: Lee de Leon Title: President/CEO 29C-7 29C-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: CONDITIONAL USE PERMIT NO. 2016-26 TO ALLOW CONTINUED USE OF A 55-FOOT TALL WIRELESS FACILITY FOR ATC SEQUOIA LLC LOCATED AT 2961 WEST MACARTHUR BOULEVARD - GREGORY MERCIER, APPLICANT {STRATEGIC PLAN NOS. 3, 2, 5) 16e. ITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 18' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2016-26 as conditioned. PLANNING COMMISSION ACTION At its regular meeting on March 27, 2017 by a vote of 6:0 (Alderete absent), the Planning Commission adopted a resolution approving Conditional Use Permit No. 2016-26 as conditioned to renew an existing 55-foot high major wireless facility disguised as a mono -pine located at 2961 West MacArthur Boulevard located in the Light Industrial (M-1) zoning district. The Planning Commission made no changes to the recommendation outlined in the attached staff report (Exhibit A). DISCUSSION Gregory Mercier, representing ATC Sequoia LLC, is requesting approval of a new conditional use permit (CUP) for an existing 55-foot high major wireless communication facility ("mono -pine") at 2961 West MacArthur Boulevard. As part of this renewal application, the applicant will install 24 additional branches to the existing mono -pine to enhance its appearance as requested by the Planning Commission during the project's initial public hearing held on November 28, 2016. The 24 new branches will be installed to conceal the tower and antennas. Equipment for the wireless facility will continue to be contained within an enclosure that measures approximately 12 feet by 19 feet for a total of 228 square feet; no changes to this component are proposed at this time. This enclosure is located at the rear (northwest) of the existing building, while the mono -pine itself will remain in its current location within the enclosure at the rear of the building. An existing, mature tree will remain adjacent to the facility to assist with stealthing, with other vegetation planted along the perimeter of the equipment enclosure to remain. Full-sized site plans are available for public viewing in the Clerk of the Council Office. 31 A-1 CUP No. 2016-26 — ATC Sequoia Wireless Facility at 2961 West MacArthur Boulevard April 18, 2017 Page 2 Since the subject facility is an existing communication facility, the City is limited to certain modifications under Section 6409(a) of the Middle Class Tax Relief Act. Therefore, this subject facility is exempt from additional structural alterations. However, the City will condition all new communication facilities to comply with an Importance Factor of 1.5, which is the building standard for public safety facilities. This will assure telecommunication facilities are functional and providing cell coverage after a major natural disaster. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 - Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies), and Objective #5 (leverage private investment that results in tax base expansion and job creation citywide). FISCAL IMPACT There is no fiscal impact associated with this action. titit�p Hassan Hagha , AIC Executive Director Planning & Building Agency EM:rb M1Projects\CUP16-26 ATC Sequoia Mono-Tree.cc Exhibit: A. Planning Commission Staff Report 31 A-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: MARCH 27, 2017 TITLE: (STRATEGIC PLAN NOS. 3, 2; 3, 5) Prepared by Escarlet Mar el' Exec ve Dir or PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED ❑ Applicant's Request ❑ Staff Recommendation CONTINUED TO Planning M n r RECOMMENDED ACTION Adopt a resolution approving Conditional Use Permit No. 2016-26 as conditioned. Executive Summary Gregory Mercier, representing ATC Sequoia LLC, is requesting approval of a new conditional use permit (CUP) for an existing 55-foot high major wireless communication facility ("mono -pine") at 2961 West MacArthur Boulevard. Major wireless communication facilities require approval of a CUP pursuant to Section 41-198.3(b) of the Santa Ana Municipal Code (SAMC). As part of this renewal application, the applicant will install additional branches to the existing mono -pine to enhance its appearance as requested by the Planning Commission during the project's initial public hearing held on November 28, 2016. Table 1: Project and Location Information Item '_ Information Project Address 2961 West MacArthur Boulevard Nearest Intersection Fairview Street and MacArthur Boulevard General Plan Designation Industrial (IND) — Zoning Designation Light Industrial (M-1) Surrounding Land Uses North Industrial East Commercial South Industrial West Industrial Property Size 6.02 acres Existing Site Development _ The site contains four buildings with approximately 38,679 square feet of industrial, warehouse, and office uses. Use Permissions Allowed with a conditional use permit (CUP). Zoning Code Sections Affected Use SAMC Section 41-198.3 b Operational Standards SAMC Section 41-198 (Wireless Communication Facilities) EXHIBIT A 31 A-3 CUP No. 2016-26 March 27, 2017 Page 2 Protect Description In addition to the applicant's request for a new CUP, the existing tower will be refurbished to enhance its stealth appearance. New branches will be installed to conceal the tower and antennas. Equipment for the wireless facility will continue to be contained within an enclosure that measures approximately 12 feet by 19 feet for a total of 228 square feet; no changes to this component are proposed at this time. This enclosure is located at the rear (northwest) of the existing building, while the mono -pine itself will remain in its current location within the enclosure at the rear of the building. An existing, mature tree will remain adjacent to the facility to assist with stealthing, with other vegetation planted along the perimeter of the equipment enclosure to remain. Table 2: Development Standards Stan`tards ` ;Eiequir®;d by RAMC" P,�ovsdad' ..""" , , ., Screening Criteria A stealth facility Mono- ine Site Selection Areas that will minimize aesthetic The facility is located at the rear intrusion (northwest) of the property away from sensitive land uses Height Criteria Not to exceed 60 feet in height 55 feet from ground level as measured from the nearest street curb Landscaping Groundcover at the base of the The site currently has two (2) facility and one twenty-four (24) mature trees but the groundcover inch box tree has died over the years. As part of this application, the applicant will replant the required roundcover. Equipment Screening Decorative fencing such as Complies; a 7 feet metal fence wrought iron or block around the provided on -site wireless facility Project Background In July 2007, the Planning Commission approved Conditional Use Permit No. 2007-14 to allow construction of the subject mono -pine and equipment enclosure. Since its construction, the facility has provided cellular coverage to the immediate area. SAMC Section 41-198.13 states that major wireless communication facilities shall be approved for a period not to exceed five years, although subsequent State legislative acts have required that such facilities be approved for a period not to exceed 10 years. As the current facility is reaching its 10 years, the applicant is required to apply for a new CUP in order to maintain the current facility. 31 A-4 CUP No. 2016-26 March 27, 2017 Page 3 On November 28, 2016 the Planning Commission held a public hearing for Conditional Use Permit No. 2016-26 for the subject facility. After a discussion, the Planning Commission recommended that the applicant provide additional branches to help stealth the existing facility. The applicant elected to provide a total of 24 new branches similar to the existing branches in order to help give mono - pine a fuller and healthier look. The item was scheduled to return to the Planning Commission on January 23, 2017 in order to discuss the new improvements but was then continued to a date uncertain. Proiect Analvsis 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 ATC Sequoia LLC 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. Staff has reviewed the applicant's request to operate a major wireless communication facility at this location. In analyzing the conditional use permit request, staff believes that the following analysis warrants staff's recommendation of approval for the conditional use permit. As part of the development review of the project, staff worked closely with the applicant to identify improvements to enhance the overall appearance of the site. These improvements include maintenance of existing landscape to comply with SAMC standards. Pursuant to provisions contained within Section 6409(a) of the Middle Class Tax Relief Act [47 U.S.C. § 1455(a)], local agencies are preempted from requiring additional screening or stealthing of the facility if such screening or stealthing was not required at the time of original construction. However, following the Planning Commission hearing on November 28, 2016 the applicant has agreed to construct additional Improvements to the mono -pine by adding 24 additional branches to the existing mono -pine to enhance its appearance. This location is optimal to provide the coverage necessary for existing and expanding service. The proposed facility will provide a benefit to Santa Ana residents, businesses and motorists who subscribe to ATC Sequoia LLC services by expanding cellular and data coverage in the area. The proposed facility will be in compliance with Federal law that governs health related issues for wireless facilities, including safety regulations from the Federal Communications Commission (FCC) and Federal Aviation Administration (FAA). Finally, the use will continue to comply with all provisions pertaining to the construction and installation of wireless facilities identified in Chapter 41 (Zoning Code) of the SAMC. The facility 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. 31 A-5 CUP No. 2016-26 March 27, 2017 Page 4 Table 3: CEQA. Strategic Plan Alignment and Public Notification & Community Outreach CEQA, Strategic Plan Alignment, and Public Notification &'Community Outreach CEQA CEQA Type General Rule [Section 15061 (b) (3)1 Document Tye General Rule Exemption (ER No. 2016-78) Reason(s) This exemption applies to projects where it can be seen with certainty that there is Exempt or Analysis no possibility that the activity in question may have a significant effect on the environment. This is an existing major wireless communication facility and no expansion of square footage or physical land disturbances are proposed as part of the project. Strate ic`P,,lan Alignmer Goal(s) and Approval of this item supports the City's efforts to meet Goal No.3 (Economic Policy(s) Development) Objective No, 2 of creating new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies. As well as Objective No. 5 that leverage private investment that results in tax base expansion and job creation citywide. Public Notification.& Communit',Qutreach Required Measures A public noticed was posted on the project site on March 17, 2017. Notification by mail was mailed to all property owners and occupants within 500 feet of the project site on March 17, 2017. Newspaper posting was published in the Orange County Reporter on March 17, 2017, Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit No. 2016-26 as conditioned. Escarlet Mar Planning Technician EM:jm M.Trojectt=Pt 6-26 ATC Sequoia Mono-Tree.pc Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Location Map Exhibit 3 — Site Photo Exhibit 4 — Site Plan Exhibit 5 — Elevations/Photo Simulations 31 A-6 SGCfRSTROM AV M7 II II it IL- M7 M i .�� MI I M1 Mi AI 3 K � � m M7 < a __ K M1 M7 ijw cs t ligii nt.rnn Fc,7 R" IIR M7 M1 nz.Aau €M7 MI MI ICa R3 SO--58lTc1T[ cs AI RI 1 M'I R � m Nil B0-98 Nilm� ar SU 74 _ R1 ' C7 RI Alml CINJ LACRCUUUPALI CR DONMIMALf DWAL m SNWRMILYSOMAL .8 FARUNGM0DlnC00N CC GOWNMiENTMTI i P2 PA9 FAMILYFESU.NCL ODA OOMMMALSDJ MAIN M1 UO+RINDUSITAAL FD MUL111 -MNSNMULIIP.E CI CQMMUNIIYCOMMEMAL M2 HEAVVINDUS AL FAMILYREBDENOE 01.MD C MXOMMCMAUMUSa1MDISRZOF MO MUTARl OFHe1110NS PA WBUFPANAMRIMSIB C8 GENMR LMMMUUAL 0 O ,IFACE la= FUIDINIIALEWTE C3 CE1,ML8USN6i P FROFMONAL S7 G--mmc EVF cmwT CtA aNTPALBUSNE5 1111 FMIAGE IM RANNMOOMMUNINDEVBMIENT 51 3r FGFl N CA RANN®SAORNGUAMR Rm RANNOW3DWALDP/AONIENT C5 A911RALWAMQiMAL CUP 2016-26 (� w� k 7n�{ CALVARY CHAPEL MONOPINE RENEWAL GY pip x 2961 WEST MacARTHUR BOULEVARD — = Soo FEET T' =1➢DD 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 VICINITY MAP 31 A-7 W � W U J � � W W u' W N z ° _ - N N N I N D U S T R I A L LLJ P s C O M M E R C I A L "kSr �� MacARTHUR BOULEVARD 'S w o JUNIPER STREET P A R K I N G v c� M U T I- F M I L Y �R SIDEN E —LL R MULTI - F MIL Y R S I D E N (. E CUP 2016-26 CALVARY CHAPEL MONOPINE RENEWAL p� 2961 WEST MacARTHUR 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 EXHIBIT 2 31 A-8 I ly- I §w•gap d 3a9 i� � � I d .X. is �— yIda� TS�d1�Y§�i IQ HIBIT 4 _00 I 1� ;�$Ebw� ygq�ql'361! Ing n ' All N� % yyd- ,d i _. �. Sm EXHIBIT 5 g" 3"e=II�4 HallS12P 1ijgSP!g3e 4r No HIM: 3StlP 3 a y p3 a g Y �g IM: p4py�yp�}a� 3a 5YR. 9p3gyg€ e3� I OUR .Y�.��� Fz�9� r Y 77% gg Y1 fl a Y • � F � vj �•}$a.Y 8Y is �kN' � F �3� ]yy w K ♦ 'EC, t r +' - l �)7I Y SS Y z{ �4zhf � Y xE •' - year LS 3.27.17 RESOLUTION NO. 2017-08 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2016-26, AS CONDITIONED, TO ALLOW A 55-FOOT TALL WIRELESS FACILITY LOCATED AT 2961 WEST MACARTHUR 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. ATC Sequoia LLC (Applicant) is requesting approval of Conditional Use Permit No. 2016-26 to renew the entitlements of an existing 55-foot high major wireless communications facility disguised as a pine tree (mono - pine) located at 2961 West MacArthur Boulevard. B. Pursuant to Santa Ana Municipal Code (SAMC) Section 41-198.10, a Conditional Use Permit (CUP) is required for major wireless communications facilities established in the City of Santa Ana. C. SAMC Section 41-198.13 states that major wireless communications facilities shall be approved for a period not to exceed five (5) years, although subsequent State legislative acts have required that such facilities be approved for a period of not less than ten (10) years. D. As the current facility is near approaching its 10 years, the Applicant is required to apply for a new CUP in order to maintain the entitlements of the current facility. E. On November 28, 2016, the Planning Commission held a duly noticed public hearing on the item and continued the item to allow the Applicant time in order to revise the proposed project's plans to enhance the stealthing of the existing facility. In addition, the Applicant has proposed to refurbish the facility to enhance the stealth appearance as part of feedback received at the initial Planning Commission hearing on such date. F. On March 27, 2017, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2016-26. G. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit Resolution No. 2017-08 Page 1 of 5 31A-14 pursuant to SAMC Section 41-638, have been established for Conditional Use Permit No. 2016-26 to allow a 55-foot tall wireless facility: 1. That the proposed use will provide a service or facility which will contribute to the general well-being of the neighborhood or the community. The project will continue to provide a service which will contribute to the community. The major wireless communication facility will continue to provide a service to Santa Ana residents, businesses and motorists who subscribe to ATC Sequoia LLC services by providing cellular service and data coverage for its users in the center city sector of Santa Ana. 2. That the proposed use under the circumstances of the particular case will not be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. The issuance of a new conditional use permit for the facility at this location will not be detrimental to persons residing or working in the area as the proposed facility will remain in compliance with Federal law that governs health -related issues for wireless facilities, including safety regulations from the Federal Communications Commission (FCC) and Federal Aviation Administration (FAA). 3. That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. The mono -pine, in conjunction with the onsite improvements, will be compatible with the surrounding area and will not adversely affect the economic viability in the area. The stealthing provided by the facility's location at the rear of the site will not contribute to any potential visual blight. Moreover, the mono -pine will maintain and increase the economic stability for this commercial and industrial area by providing an additional service for business owners, workers, and residents in the area. 4. That the proposed use shall comply with the regulations and conditions specified in Chapter 41 for such use. The use will continue to comply with all provisions pertaining to the continuation of existing wireless facilities identified in Chapter 41 (Zoning Code) of the Santa Ana Municipal Code. The facility is stealthed by its design and surrounding landscape and complies with other standards outlined in the SAMC. Additional improvements to the tower will screen the Resolution No. 2017-08 Page 2 of 5 31 A-15 tower and antennas, bringing the facility into closer compliance with SAMC standards. That the proposed use will not adversely affect the General Plan or any specific plan of the City. The major wireless communication facility 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 mono -pine. In addition, Goals 3 and 5 require preservation of neighborhood character and integrity as well as mitigation of developments' impacts. The mono-pine's location minimizes visual impact on the area and assists with the stealthing of the equipment. 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 adds to the services that are readily available for business owners, workers, and residents in the immediate vicinity. H. In accordance with the California Environmental Quality Act (CEQA) the recommended action is exempt from CEQA per Section 15061(b)(3). This exemption applies to projects where it can be seen with certainty that there is no possibility that the activity in question may have a significant effect on the environment. The project proposes to renew an existing major wireless facility through the issuance of a new CUP. No expansion of square footage or physical land disturbances are proposed as part of the project. Categorical Exemption Environmental Review No. 2016-78 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 sole 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 Conditional Use Permit No. 2016-26, as conditioned in Exhibit A, attached hereto and incorporated 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 March 27, 2017, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2017-08 Page 3 of 5 31A-16 ADOPTED this 27th day of March, 2017 by the following vote: AYES: Commissioners: BACERRA, CONTRERAS-LEO, MCLOUGHLIN, MENDOZA, NGUYEN, VERINO (6) NOES: Commissioners: ABSENT: Commissioners: ALDERETE (1) ABSTENTIONS: Commissioners: Lynnette Verino Chairperson APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Bv: Lisa Storck Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, SARAH BERNAL, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2017-08 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on March 27, 2017. Date: Commission Secretary City of Santa Ana Resolution No. 2017-08 Page 4 of 5 31A-17 Conditions for Approval Conditional Use Permit No. 2016-26 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 prior to exercising the rights conferred by this conditional use permit. The Applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. The Applicant must comply with all conditions and requirements of the Development Review Committee for the development project (DP No. 2016-27). 2. The Applicant shall install thirteen (13) new six-foot branches and eleven (11) new eight -foot branches to the existing tower within 180 days of the effective date of this conditional use permit. 3. 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. 4. The proposed facility shall be maintained as per approved plans and any existing landscaping shall be enhanced and well maintained. Any damage to existing structures, walls, parking areas, or landscaping must be repaired. 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. 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. The permit Applicant shall ensure 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. Conditional Use Permit No. 2016-26 expires 10 years from the date of City Council approval. Resolution No. 2017-08 Page 5 of 5 31A-18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: CONDITIONAL USE PERMIT NO. 2017-09 TO ALLOW THE SALE OF ALCOHOLIC BEVERAGES FOR ON -PREMISE CONSUMPTION AT ESPORTS CAFE LOCATED AT 120 WEST FIFTH STREET - TYLER ENDRES, APPLICANT (STRATEGIC PLAN NO. 3, 2, 4) CITJ MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: F11i0i]7OF-1 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 B' 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. 2017-09 as conditioned. PLANNING COMMISSION ACTION At its regular meeting on March 27, 2017, by a vote of 6:0 (Alderete absent), the Planning Commission adopted a resolution approving Conditional Use Permit No. 2017-09 which approved the sale of alcoholic beverages for on -premise consumption at eSports Cafe located at 120 West Fifth Street located in the Transit Zoning Code/Specific Development (SD-84) zoning district. The Planning Commission added a condition to require that hot foods be available for purchase at all times alcohol is offered for sale to patrons (Exhibit A). DISCUSSION The applicant proposes to construct a 440-square-foot cafe that will operate as a bona -fide eating establishment within the existing footprint of the eSports Arena. The cafe and the availability of hot foods for purchase would allow the applicant to sell alcoholic beverages for on -premise consumption. The alcoholic beverages will be stored within a walk-in cooler at the back of the restaurant within the kitchen area, as well as at a front service counter (bar) and will consist of less than five percent of the floor area. No other construction, expansion of square footage, or outdoor component is proposed at this time. Full-sized site plans are available for public viewing in the Clerk of the Council Office. 31 B-1 Conditional Use Permit No. 2017-09 — eSports Cafe at 120 West Fifth Street April 18, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 - Economic Development, Objectives #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies) and 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 fiscal impact associated with this action. Hassan Hagha i, AI Executive Director Planning & Building Agency AP: rb ap\reports\Staff Reports for PC\CUP 17-09 eSports Cafe ABC.cc Exhibit: A. Planning Commission Staff Report 31 B-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: MARCH 27, 2017 TITLE: PUBLIC HEARING — FILED BY TYLER ENDRES FOR CONDITIONAL USE PERMIT NO.2017.09 TO ALLOW THE SALE OF ALCOHOLIC BEVERAGES FOR ON -PREMISE CONSUMPTION AT ESPORTS CAFE LOCATED AT 120 WEST FIFTH STREET (STRATEGIC PLAN NO.3, 2) 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 J Planning Manager RECOMMENDED ACTION Adopt a resolution approving Conditional Use Permit No. 2017-09. Executive Sumrnary Tyler Endres, representing eSports Cafe, is requesting approval of a conditional use permit (CUP) to allow the sale of alcoholic beverages for on -premise consumption at the eSports Arena, an existing indoor commercial recreation facility with a cafe proposed inside. Staff is recommending approval of the applicant's request due to the site's location away from sensitive land uses, the operator's history of compliance with the City codes, and consistency with similar indoor commercial recreation venues that offer food and ancillary on -site alcoholic beverage sales to customers. Table 1: Project and Location Information ltelrt Information Project Address 120 West Fifth Street Nearest Intersection Fifth and Sycamore streets General Plan Designation District Center (DC) Zoning Designation Specific Development (SD) No. 84 — Downtown land use district Surrounding Land Uses North Commercial East Parking structure South _ Commercial West Commercial Property Size 12,277 square feet 0.28 acres Existing Site Development The site contains the historic Ramona Building, a 35,000-square foot structure of which the majority of floor area is occupied by the eSports Arena and administrative offices. Use Permissions Restaurant use is allowed by right; alcohol sales are allowed with a removal of conditional use permit (CUP) _ Zoning Code Sections Affected Uses I SAMC Section 41-2007 O erational Standards I SAMC Section 41-1g6 g) EXHIBIT A 31 B-3 Conditional Use Permit No. 2017-09 March 27, 2017 Page 2 Project Description The applicant proposes to construct a 440-square-foot cafe that will operate as a bona -fide eating establishment within the existing footprint of the eSports Arena. The proposed alcoholic beverages will be stored within a walk-in cooler at the back of the restaurant within the kitchen area, as well as at a front service counter (bar) and will consist of less than five percent of the floor area. No other construction, expansion of square footage, or outdoor component is proposed at this time. Table 2: Operational Standards StaricJards ,_ , ,, , Re oared qy SAMC: Provided_ . Eating Establishment Type Bona -Fide Complies Hours of Operation for ABC 8:00 am to 12:00 am CUP No. 2014-11 allows operation of Sales the venue until 2:00 a.m. on select evenings. Alcoholic beverage sales will comply with the City's regulations that limit sales from 8:00 a.m. to 12:00 a.m. (midnight) Window Display 25% of Window Coverage Complies Live Entertainment Entertainment Permit No Entertainment Proposed Alcohol Storage and Dis la 5% of G.F.A. 3.9% of G.F.A. Exteriorele hone Prohibited None The Ramona Building, constructed in 1922, currently contains the eSports Arena and several administrative offices. Following approval of CUP Nos. 2014-11 and 2014-12, the eSports Arena opened in late 2015. The facility currently operates as a computer gaming facility and arena for special events, and has two configurations: "game day" and "event day." During "event day" configurations, the interior of the facility is changed to function as a spectator venue in which patrons view live -action computer games and other forms of "e-gaming." Following its success as North America's first dedicated e-gaming venue, eSports Arena embarked on plans to expand services to its patrons. eSports Arena intends to construct a small cafe with a variety of hot and cold foods and snacks. As an ancillary component to its food sales, the facility is proposing to sell beer and wine through a Type 41 Alcoholic Beverage Control (ABC) license. The cafe will provide occupancy for 50 patrons while the existing eSports Arena will maintain its existing maximum occupancy of 880. Similar to Round 1 in Santa Ana and other indoor commercial recreation facilities such as bowling alleys, eSports Arena would allow customers to purchase food and beer and wine from the cafe and consume the products within the entire facility. 31 B-4 Conditional Use Permit No. 2017-09 March 27, 2017 Page 3 Protect Analvsis Conditional use permit requests are governed by Section 41-638 of the SAMC. Conditional use permits may be granted when it can be shown that the proposed project will not adversely impact the community. 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. Staff has prepared the following analysis, which in turn forms the basis for the recommendation contained in this report. The purpose of regulating establishments that sell alcoholic beverages is to set forth operating practices and procedures, and to minimize impacts to surrounding areas. Staff has reviewed the applicant's request to obtain the on -sale ABC license. Since the proposed ABC license is intended to provide an added amenity to the facility and the sale of alcoholic beverages will be ancillary to the primary uses on site, staff recommends approval of the proposed CUP. The proposed sale of alcoholic beverages for on -premise consumption will not be detrimental to the health, safety, and welfare of the community. eSports Arena is located in a commercial district with commercial and public uses nearby. Since opening in late 2015, the site has operated in compliance with City codes and regulations and has established itself as a business that provides a novel and niche service to the community and visitors of the City. The proposed cafe and alcoholic beverage service will enhance the economic viability of the area and create a more attractive entertainment and dining opportunity for visitors and residents in the community. Moreover, eSports Arena will operate similar to Round 1 at MainPlace and other indoor commercial recreation venues. Like Round 1, which was approved for indoor commercial recreation and on -premise alcoholic beverage sales in 2014, eSports Arena will contain an onsite cafe with alcoholic beverage sales at which patrons may purchase food and drinks for consumption throughout the premises. On event day configurations, the sale of alcoholic beverages with food will allow eSports Arena to function similar to other sports arenas such as the Angel Stadium and the Honda Center that offer food and alcohol to patrons who attend sporting events. eSports Arena is located away from sensitive land uses such as residences, schools, and parks, and the proposed cafe will operate in compliance with all applicable regulations and standards imposed on a bona fide public eating establishment pursuant to Chapter 41 of the SAMC. Finally, the proposed CUP will be consistent with several goals and policies of the General Plan, including Goal 2 of the Land Use Element, which encourages land uses that enhance the City's economic and fiscal viability. eSports proposes to provide an additional amenity as part of the facility's operations by serving alcoholic beverages to guests and residents of the City. 31 B-5 Conditional Use Permit No. 2017-09 March 27, 2017 Page 4 Table 3: Police Department Analysis and Criteria for Recommendation Police Department Analysis and Gnteria for Redommend" itian Police Grid No. and Police Grid No. 165; ranked 1 out of 103 Police Reporting 1" p g Grids { percentile) Rank Threshold for High This reporting district is above the 20 percent threshold established by the State Crime for high crime Police Department The Police Department contends that the operational standards applicable to Recommendation on -premise ABC licenses will mitigate any potential Impacts to the surrounding community and therefore does not oppose the granting of a CUP. The Police Department reviews conditional use permit applications for the sale and service of alcoholic beverages in order to ensure that the potential crime and nuisance behaviors associated with alcohol consumption are mitigated to the greatest extent possible. For on -sale licenses, the Police Department analyzes the crime rate in the area using the standards and definitions contained in the Business and Professions Code Section 23948.4(c)(2), which also are utilized by the State Department of Alcoholic Beverage Control (ABC). This section defines "reported crimes" as criminal homicide, forcible rape, robbery, aggravated assault, burglary, larceny theft, and motor vehicle theft, combined with all arrests for other crimes, both felonies and misdemeanors, except traffic citations. The Police Department then compares the number of such crimes in the reporting district as compared to the number of crimes in other reporting districts. In keeping with the standard used by the State ABC and Business and Professions Code, should the Police Department determine that the reporting district has a 20 percent greater number of reported crimes than the average number found in all reporting districts, the Police Department will consider this information in making its recommendation. Table 4: CEQA. Strategic Plan Alignment and Public Notification & Community Outreach CEQA, Strategic Plan Alignment„and Public Notification & Community Outreach CEQ_A CEQA Type General Rule Section 15061 b 3 Reasons) This exemption applies to projects where it can be seen with certainty that there is Exempt or Analysis no possibility that the activity in question may have a significant effect on the environment. This is an existing eating establishment and no significant alterations are bemg,proposed at this time. Strategic Plan Alignment Goal(s) and Approval of this item supports the City's efforts to meet Goal No.3 (Economic Policy($) Development) Objective No. 2 of creating new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies. MEW Conditional Use Permit No. 2017-09 March 27, 2017 Page 5 t'ubtic Notification & Community Outreach Required Measures A public noticed was posted on the project site on March 17, 2017, Notification by mail was mailed to all property owners and occupants within 500 feet of the project site on March 17, 2017. Newspaper posting was published in the Orange County Reporter on March 17, 2017. The Downtown Neighborhood Association was contacted by phone on March 9, Additional Measures 2017 to identify any areas of concern. At the time this report was printed, no issues of concern were raised re ardinc this application. Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit No. 2017-09. Ali Pezeshkpour, AICP Senior Planner AP:jm ap\reports\Staff Reports for PC\CUP17-09 e5porls Cafe ABC, pc Attachments: Exhibit 1 — General Vicinity Map Exhibit 2 — Existing Land Use Map Exhibit 3 — Site Photo Exhibit 4 — Site Plan Exhibit 5 — Floor Plan Exhibit 6 -- Floor Plan Detail 31 B-7 SEVENTEENTH sT. cs �Ip'"� pf1011 IIOA NpA �` Nd. P2. � f 1—Mi i-1 i-1 1 Tr r uI — 1'--'— I r St. Aw Al GENERAL AGRICULTURALt DT DOWNTOWN RS TWO FAMILY RESIDENCE -R PARKING MODIFCATION HIP FLOORAREARATIO AS MULTIPLE -FAMILY RESIDENCE C-SM COMMERCIAL SOUTH MAIN GC GOVERNMENT CENTER N SUBURBAN APARTMENTS CI COMMUNITY COMMERCIAL Ml LIGHTINDUSTRIAL RE RESIDENIIALESTATE CHMD COMM. COMMERCIAUMUSEUM DISTRICT M2 HEAWINDUSTRIAL SO SPECINCDEVELOPME.NT CS GENERAL COMMERCIAL 0 ONNSPACE SIP 5PECIFICPLAN C6 PLANNED SHOPPING CENTER P PROFESSIONAL TV 1'RANSITVILLAGE C5 ARTERIALCOMMERCIAL PRO PLANNED RESIDENTIAL DEVELOPMENT UC URBAN CENTER CDR CORRIDOR R1 SINGLE FAMILY RESIDENCE UNH URBAN NEIGHBORHOOD CA COMMERCIAL RESIDENTIAL UN-2 URBAN NEIGHBORHOODS CUP 2017-09 ESPORTS ARENA ON -PREMISE ABCAll _ 120 WEST FIFTH STREET — = 500 FEET 1.1" = SODO FMT 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 VICINITY MAP w • COURTHOUSE �� L � SANTA ANA BOULEVARD COMM. w ¢ ¢ w w v u m w COMMERCIAL I- w H COMM RCIAL PARKING ^ 2 ,n GARAGE O 0 5TH STREET COMM. >- w ¢ cr: GOVERNMENT a ER COMM CIAL Q Q C) V C M . m >- m Ln 4TH STREET 0 MER AL COMMERCIAL io iAL ONiME I Z R PARKING dF7,, IAL GARAGE O :2 V 3RD STREET ,R�tOJEGT `51TE F} CUP 2017-09 ESPORTS ARENA ON -PREMISE ABC 120 WEST FIFTH STREET P L A N N I N G A N U B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 31 B-9 - � v: ` � � ®�~��\ 2 , , � § ,� : � .�� » a � 2.�/ ���< �^���y :& � ,«(°^/�� §§ ��>\L§.y� \ � /�� _ - � � � � \:. ° ���/ . � � � � . ���� y� � \. ���\ , _� � 2 . � � d<° � . \ �� : � � < -� � � �� % � ..\ � ry�� � \:-�>� . .y �` \ :� \ � \ } �� � G# _,mmrmOV J.�E \ ' _ma_)�\{. e E +VO s1a \ a , r] §•� ƒ § � B A � 31B.11 .. 6 0� � '%Nlll liSNtlJ �� VN3UV 1NVUI1Vl 7U >� SDAOdS 3 3A la VN 91 NI 11h, M 1 Q 5�7 s�L m EXHIBIT 6 I 31 B-1 3 LS 3.27.17 RESOLUTION NO. 2017-12 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2017-09, AS CONDITIONED, TO ALLOW THE SALE OF ALCOHOLIC BEVERAGES FOR ON -PREMISE CONSUMPTION AT ESPORTS CAFE LOCATED AT 120 WEST FIFTH 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. Applicant is requesting approval of Conditional Use Permit No. 2017-09 to allow the sale of alcoholic beverages for on -premise consumption for the property located at 120 West Fifth Street. B. Santa Ana Municipal Code Section 41-2007 (Table 2A) requires a conditional use permit for the sale or consumption of alcoholic beverages. C. On March 27, 2017, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2017-09. D. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code (SAMC) Section 41-638, have been established for Conditional Use Permit No. 2017-09 to allow for sale of alcoholic beverages for on -premise consumption: 1. That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or the community. The proposed sale of alcoholic beverages for on -premise consumption at this location will provide an ancillary service to eSports Arena and its patrons by allowing them the ability to purchase a variety of food and alcoholic beverages at the entertainment venue. This will thereby benefit the community by providing a full -service entertainment and recreation facility with an additional and complementary food -related amenity. Standards are applicable to the alcoholic beverage control license and the proposed on -site cafe which will address any potential impacts created by the Resolution No. 2017-12 Page 1 of 5 31 B-14 sale of alcoholic beverages and ensure that the uses will not negatively affect the surrounding community. 2. That the proposed use under the circumstances of the particular case will not be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. The proposed sale of alcoholic beverages for on -premise consumption at this location will not be detrimental to persons residing or working in the vicinity because operational standards applicable to the alcoholic beverage control license will address any potential negative or adverse impacts created by the use. The subject facility operates primarily as a computer gaming facility and spectator arena with the sale of alcoholic beverages for on -site consumption at the proposed cafe as an added amenity. The addition of alcohol will be ancillary to the main uses on site. Moreover, the site's location away from sensitive land uses reduces any potential impacts to others in the vicinity. Finally, the sale of alcohol at the cafe is intended to be incidental to the primary use as an eating establishment and will occur within the premises. 3. That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. The proposed use will not adversely affect the economic stability of the area, but will instead allow eSports Arena to enhance its services to its customers, similar to other indoor commercial recreation facilities in Santa Ana and surrounding communities. Offering alcoholic beverages will allow eSports Arena to remain economically viable and compete with other indoor commercial recreation venues in the vicinity and contribute to the overall success of the City of Santa Ana. 4. That the proposed use shall comply with the regulations and conditions specified in Chapter 41 for such use. The proposed project will be in compliance with all applicable regulations and conditions imposed on an eating establishment selling alcoholic beverages for on -premise consumption pursuant to Chapter 41 of the Santa Ana Municipal Code. The facility will contain a full -service, bona - fide eating establishment, having suitable kitchen facilities and supplying an assortment of foods commonly ordered at various hours of the day. Additionally, the cafe will utilize less than five (5) percent of the gross floor area for the display and Resolution No. 2017-12 Page 2 of 5 31 B-15 storage of alcoholic beverages, which is the maximum threshold established by the Santa Ana Municipal Code. 5. That the proposed use will not adversely affect the General Plan or any specific plan of the City. The proposed sale of alcoholic beverage for on -premise consumption at this location will not adversely affect the General Plan. The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing a variety of full -service recreation venues such as arenas, gaming facilities, bowling alleys, and the subject facility that feature alcoholic beverages with food offers additional entertainment options for Santa Ana residents and visitors. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. eSports arena is located in a commercial area and its operation will be compatible with the surrounding commercial businesses. E. In accordance with the California Environmental Quality Act (CEQA) the recommended action is exempt from CEQA per Section 15061(b)(3). This exemption applies to projects where it can be seen with certainty that there is no possibility that the activity in question may have a significant effect on the environment. The project proposes to allow the on -premise sale of alcoholic beverages at an eating establishment proposed within an indoor recreation use. It has been found by the City that the use will not create any adverse impacts such as noise, traffic, or safety concerns. The cumulative impact of this project will not be significant as the use will be complementary with the nearby commercial uses in the area. There is no reasonable possibility that the project will have a significant effect on the environment due to the facility having the necessary infrastructure to operate the proposed use. Categorical Exemption Environmental Review No. 2017-11 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 sole 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 Conditional Use Permit No. 2017-09 as conditioned Resolution No. 2017-12 Page 3 of 5 31 B-16 in Exhibit "A" attached hereto and incorporated herein. This decision evidence submitted at the abovesaid hearing, which includes, but is Request for Planning Commission Action dated March 27, 2017, an ADOPTED this 27th day of March, 2017 by the following vote: d AYES: Commissioners: BACERRA, CONTRERAS-LEO, MCCLOUGHLIN, MENDOZA, NGUYEN, VERINO (6) NOES: Commissioners: ABSENT: Commissioners: ALDERETE (1) ABSTENTIONS: Commissioners: Lynnette Verino Chairperson APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Bv: Lisa Storck Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, SARAH BERNAL, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2017-12 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on March 27, 2017. Date: Commission Secretary City of Santa Ana Resolution No. 2017-12 Page 4 of 5 31 B-17 EXHIBIT A Conditions for Approval Conditional Use Permit No. 2017-09 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 prior to exercising the rights conferred by this site plan review approval. The applicant must remain in compliance with all conditions listed below throughout the life of the site plan review approval. Failure to comply with each and every condition may result in the revocation of the site plan review approval. A. Planning Division Hot foods shall be available for purchase at all times during which alcohol is offered for sale to patrons. Resolution No. 2017-12 Page 5 of 5 31 B-18 CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: ADOPT RESOLUTION AMENDING THE BASIC CLASSIFICIATION AND COMPENSATION PLAN AND THE ANNUAL BUDGET FOR FISCAL YEAR 2016-2017; AND ADOPT RESOLUTION AMENDING THE BASIC CLASSIFICATION AND COMPENSATION PLAN FOR UNPRESENTED EXECUTIVE MANAGEMENT EMPLOYEES ACTING AS THE CITY MANAGER (STRATEGIC PLAN NO. 1, 1; 1, 22; and 7,6) ClW MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution amending Council Resolution No. 2015-026, the City's Basic Classification and Compensation Plan and the corresponding section of the Annual Budget for Fiscal Year 2016-2017, to create and reallocate several Police Department positions. 2. Adopt a resolution amending Council Resolution No. 2015-026, the City's Basic Classification and Compensation Plan, to Unrepresented Executive Management (EM City Manager. DISCUSSION establish compensation for members of the classification when appointed as the "Acting" Background Supervisor and Background Investigators The police department has been engaged in activities to increase sworn staffing levels. To meet this demand, the police department's background unit has been utilizing one Correctional Supervisor and two Correctional Officers on loan from the jail. The police department is proposing a new classification titled Background Supervisor and reallocating one Correctional Supervisor from the jail to the police department. This position would organize, manage and coordinate the work of staff engaged in the performance of background investigations. The 55A-1 Resolutions Amending the Classification and Compensation Plan April 18, 2017 Page 2 position would oversee the work of two sworn investigators, three civilian investigators, three part-time civilian investigators and one part-time clerical position assigned to the unit. In addition, the police department is proposing to reallocate the two correctional officer positions assigned to backgrounds to the existing classification of civilian Background Investigator. This reclassification would move two Correctional Officers from the jail to the police department to continue police department hiring mandate without interruption. This civilian Background Investigator position would give the police department a total of three, which includes the one civilian background position added to the 15/16 fiscal budget. The Background Supervisor and Background Investigator pay the same as the Correctional Supervisor and Correctional Officer positions, respectively, so there is no net fiscal impact. Police Training Coordinator The police department has been engaged in activities to increase the delivery of quality training to sworn officers, correctional officers and civilians throughout the department. To meet this demand, the police department's Training Division has been utilizing a Correctional Supervisor on loan from the jail. The police department is proposing a new classification titled Police Training Coordinator and reallocating one Correctional Supervisor from the jail to the police department. This position would design, develop, present, and evaluate training programs and related duties. The position would oversee the work of a full-time position and two part-time positions assigned to the division. The Police Training Coordinator pays the same as the Correctional Supervisor, so there is no net fiscal impact. Acting City Manager The City Charter Section 500 authorizes the City Council to appoint a City Manager. The City Manager is the chief administrative officer of the City who, under the direction of the City Council, is responsible for the proper administration of all affairs of the City. The City Council wishes to establish compensation for any member of the Unrepresented Executive Management (EM) classification when appointed as the "Acting" City Manager by acting, interim, temporary, or emergency appointment for a period exceeding 30 days. The compensation shall be one dollar more annually than the highest compensated Unrepresented Executive Management (EM) member, to include the Chief of Police. This would ensure the "Acting" City Manager receives a competitive and equitable salary rate in relation to other Unrepresented Executive Management (EM) members. Currently, Gerardo Mouet is the Executive Director of Parks and Recreation. He is serving as the Acting City Manager. STRATEGIC PLAN ALIGNMENT Approval of these items assists the City in meeting Goal #1 — Community Safety, Objective #1 (Modernize the Community Policing philosophy to improve customer service, crime prevention and traffic/pedestrian/bicycle safety), Objective #1i (Enhance public safety efforts by improving our employee retention efforts and actively seeking a diverse and talented pool of public safety candidates who possess the values and skills consistent with organizational goals), Objective #2 55A-2 Resolutions Amending the Classification and Compensation Plan April 18, 2017 Page 3 (Broaden communications, information sharing and community awareness of public safety activities), and Objective #2a (Purchase and implement a new integrated software system for the Police Department to improve productivity and increase efficiencies and transparency). Approval of this item also 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 There is no net fiscal impact from the reallocation of positions in the police department. The reallocation of the Correctional Officers and Correctional Supervisor positions to Background Investigator and Background Supervisor, respectively, are cost neutral. The reallocation of the Correctional Supervisor to Police Training Coordinator is also cost neutral. The total cost of the "Acting" City Manager compensation assuming an effective date of May 1, 2017 is up to $8,926.00 in base salary for the remainder of the fiscal year. Funds are available in the City Manager's salary account (01103010-61000). Edward S. Raya Executive Director Personnel Services Department Carlos Rojas Police Chief Santa Ana Police Department APPROVED AS TO FUNDS AND ACCOUNTS: "FCOt4,e fi 6 `'e+c,� y Francisco Gutierrezl Executive Director Finance & Management Services Agency 55A-3 55A-4 RESOLUTION NO. 2017-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND RESOLUTION NO. 2015-026 TO EFFECT CERTAIN CHANGES TO THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLANS AND TO AMEND THE CURRENT ANNUAL BUDGET FOR FISCAL YEAR 2016-2017. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby finds, determines and declares as follows: A. Section 1004, Article X of the City Charter of the City of Santa Ana requires the City Manager to prepare, install and maintain a position classification and pay plan subject to civil service rules and regulations and the approval of the City Council. B. On June 16, 2015, the City Council passed and adopted Resolution No. 2015-026 amending and re-establishing the Basic Classification and Compensation Plan for all Full -Time and Part -Time Classifications of Officers and Employees of the City of Santa Ana. C. On June 21, 2016, the City Council passed and adopted Ordinance No. NS-2900, establishing the City's Annual Budget for Fiscal Years 2016- 2017, authorizing position allocations for Fiscal Years 2016-2017, and requiring that alterations in the allocation of authorized positions be reviewed and approved by the City Council. D. The City Council has amended and reestablished the Basic Classification and Compensation Plans on numerous occasions since adoption. E. It is the City's practice to assign job titles that reflect the duties and responsibilities of the classification and are consistent with other classifications within the City's organizational structure as well as comparable job titles in the labor market, while maintaining internal pay equity relationships and attracting and retaining qualified candidates. F. The Personnel Services Department has completed a mid -year review of the various departmental requests to make changes to the City's organizational structure, classification titles, and staffing which revealed the need to effect certain changes to the City's basic classification and compensation plans. Exhibit] Resolution 2017-XXX Page 1 of 3 55A-5 Section 2: The Santa Ana City Council amends Resolution No. 2015-026, to add the following full time classification titles at the monthly five -step salary rate range indicated: 5-Steo Salary Rate Range Effective 04-18-2017 Monthly Salary Classification Title SSR Minimum -Maximum Background Supervisor 700 $6353-$7723 Police Training Coordinator 700 $6353-$7723 Section 3: The Santa Ana City Council further amends the Budget for Fiscal Years 2015-2016, as amended, to reallocate four (4) full time positions in the City's Police Officer Association as follows: Classification Title From: 2-Correctional Supervisor To: 1-Background Supervisor And, 1-Police Training Coordinator M From: 2-Correctional Officer To: 2-Background Investigator 5-S1e2Salary Rate Range Effective 01/01/16 Monthly Salary SSR Minimum -Maximum 700 $6353-7723 700 $6353-7723 700 $6353-7723 651 $5002-6080 651 $5002.6080 ction 44: All salary rate range classifications are set forth in the City's "Salary Schedule" as periodically updated. Section 5: That except as amended by this Resolution, all other provisions of Resolution No. 2015-026, as amended, and the Annual Budget for Fiscal Years 2016- 2017, as amended, shall remain in full force and effect. 55A-6 Section 6: This Resolution is operative from and after April 18, 2017. ADOPTED this 189E day of April, 2017. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: ""A, 21a '.L"L Laura A. Rossini Senior Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Councilmembers Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2017-_ to be the original Resolution adopted by the City Council of the City of Santa Ana on April 18, 2017. IM Resolution 2017-XXX Page 3 of 3 Clerk of the Council City of Santa Ana 55A-7 y • LAR 4/13117 RESOLUTION NO. 2017-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND RESOLUTION NO, 2015-026 TO AMEND THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN FOR CERTAIN CLASSIFICATIONS OF EMPLOYMENT DESIGNATED AS UNREPRESENTED EXECUTIVE MANAGEMENT. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby finds, determines and declares as follows: A. Section 1004, Article X of the City Charter of the City of Santa Ana requires the City Manager to prepare, install and maintain a position classification and pay plan subject to civil service rules and regulations and the approval of the City Council. B. On June 16, 2015, the City Council passed and adopted Resolution No. 2015-026 amending and re-establishing the Basic Classification and Compensation Plan for all Full -Time and Part -Time Classifications of Officers and Employees of the City of Santa Ana. Attached hereto and marked as Exhibit 1" and incorporated by reference is Resolution No. 2015-026. C. The City of Santa Ana's Basic Compensation and Benefit Plan for classes of employment designated as Unrepresented Executive Management (EM) as set forth in Resolution No. 2015-026, is attached to Exhibit 1" as Exhibit "A" to the City's Resolution No. 2015-026. D. The City Council has amended and reestablished the Basic Classification and Compensation Plans on numerous occasions since adoption. Section 2: If any member of the Unrepresented Executive Management (EM) classification is assigned to the position of "Acting" City Manager by acting, interim, temporary or emergency appointment lasting longer than thirty (30) days, they shall be compensated $1.00 more annually than the highest compensated Unrepresented Executive Management (EM) member, including the Chief of Police. Section 3: That except as amended by this Resolution, all other provision of Resolution No. 2015-026, as amended, shall remain in full force and effect. Exhibit 2 Resolution 2017- Page 1 of 2 55A-9 Section 4: This Resolution shall be operative immediately upon adoption by the City Council. ADOPTED this 18th day of April, 2017. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: 4a4ura-�Aft- A6lWi Senior Assistant City Attorney AYES: Councilmembers: NOES: Councilmembers ABSTAIN: Councily-nembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY 1, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2017- to be the original resolution adopted by the City Council of the City of Santa Ana on April 18, 2017. Date: Resolution 2017- Page 2 of 2 Clerk of the Council City of Santa Ana 55A-1 0 EXHIBIT 1 RESOLUTION NO, 2015-026 A RESOLUTION OF THE CITY COUNCIL OF THE CiTY OF SANTA ANA TO AMEND AND REESTABLISH THE CiTY'S BASIC CLASSIFICATION AND COMPENSATION PLANS TO EFFECT CERTAIN CHANGES, AND TO RESCIND RESOLUTION NOS. 2015-001 AND 2015-008, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby finds, determines and declares as follows: A. Section 1004, Article X of the City Charter of the City of Santa Ana requires the City Manager to prepare, install and maintain a position classification and pay plan subject to civil service rules and regulations and the approval of the City Council. B. On January 20, 2016, the City Council passed and adopted Resolution No. 2015-001, modifying, reestablishing and delineating the Basic Compensation and Benefit Plan for classes of employment designated as Unrepresented Executive Management (EM). C. The City of Santa Ana's Basic Compensation and Benefit Plan for classes of employment designated as Unrepresented Executive Management (EM), is attached hereto as exhibit "A," and is made a part hereof, D. On February 17, 2015, the City Council passed and adopted Resolution No, 2015-008, amending and reestablishing the Basic Classification and Compensation Plan for all full-time and part-time classifications of employment, excepting Executive Management, E. The City of Santa Ana's Position Classification and Pay Plan for all full- time and part-time classifications of employment, is attached hereto as exhibits "B" through "I", and is made a part hereof. The City Council has amended and reestablished the Basic Classification and Compensation Plans on numerous occasions since adoption. G. With the adoption of the Annual Budget for Fiscal Year 2016-2016, the City Council authorized certain organizational, staffing, and compensation changes which affect a number of classification titles in the City's Basic Classification and Compensation Plans, Resolution No, 2016-026 Page 1 of 7 55A-11 H. Aligned with the goals of restructuring the City's current Information Services organization to reflect a progressive, and responsive structure that is focused on enhancing service delivery and reflects industry best practices, the City Manager proposes the City's IT Assessment Steering Committee recommendations to add the full-time classification title of Chief Technology Innovations Officer (EM) (see Exhibit A) in the Basic Compensation and Benefit Plan for classes of employment designated as Unrepresented Executive Management (EM), and to add the full-time classification title of Project Management Officer (AM) (see Exhibit E) in the Position Classification and Pay Plan, to advance the City's IT vision and support the Information Technology Strategic Plan (ITSP) 5-year Roadmap. 1. To assist in focusing our resources towards programs and activities with the greatest potential to successfully achieve our budget vision and purpose, the Executive Director of Finance and Management Services proposes adding the full-time classification title of Budget Supervisor (AM) (see Exhibit E) in the Position Classification and Pay Plan. J. To increase communication and effectiveness with risk management, the Executive [director of Personnel Services proposes adding the full-time classification title of Risk Management Coordinator (UC) (see Exhibit B) to the Position Classification and Pay Plan, to provide a level of analysis and technical expertise beyond the scope of the City's current job classification assigned to coordinate liability claim investigation and resolution functions, insurance procurement and loss control activities. K. In order to enhance project and service delivery and achieve operating efficiencies through improved alignment between titles and evolving business processes throughout the Public Works Agency, the Executive Director of Public Works proposes adding the following full-time classification titles to the Position Classification and Pay Plan, 1. Community Liaison (see Exhibit F) will interface with the public and with property owners/oCCupants affected by infrastructure projects to ensure timely notification, substantive consideration of project impacts to commerce and quality of life, feasible mitigation of impacts, first point of contact for responsive review and resolution of public concerns relating to Public Works projects and programs; Resolution No.2015-026 Page 2 of 7 55A-12 Z GIS Systems Analyst/Programmer (see Exhibit F) will collaborate to develop and implement Citywide Geographic Information Systems (GIS) standard operating procedures for recording and maintaining spatial data with reference to City assets, public infrastructure, and patterns of use and points/areas of Interest to the general public, Council and staff. This position will also ensure data quality and timely updates and provide geospatial analysis for policy and project development and review; 3. Maintenance Enterprise Administrator (AM) (see Exhibit E) will participate In and oversee Maintenance Division organizational studies, budget development, administration and forecasting with broad responsibility for operational, fiscal, and human resources process optimization; 4. NPDES Manager (see Exhibit F) will coordinate Intergovernmental relations, including permit terms and program funding, to ensure long- term alignment of City/Agency efforts with applicable mandates and community interest relative to the National Pollutant Discharge Elimination System (NPDES); 5. Public Works Project Manager (see Exhibit F) will serve as the single primary point of contact and coordination for all phases of Public Works projects, relieving engineers of most project management duties and ensuring timely and efficient completion of Council -approved projects; 6. Safety Coordinator (see Exhibit F) will create and maintain safety - oriented loss minimization plans, identify and coordinate job, location and task -specific training to Public Works staff; deliver and/or coordinate safety training and report regularly to and collaborate with the City Safety Committee on agency -specific and citywide opportunities for worker health and well-being through workplace safety; and, 7. Senior Water Services Supervisor (see Exhibit F) will oversee field maintenance personnel and activities for Water and Sewer systems service, maintenance, and improvement. L. In keeping with the Clty's practice to assign job titles that reflect the duties and responsibilities of the classification, and are consistent with other classifications within the City's organization structure, the Executive Director of Finance and Management Services recommends job classification titles in Fleet Services be changed, with no change in Resolution No. 2015-026 Page 3 of 7 55A-13 compensation, in the Position and Classification Pay Plan (See Exhibit F) as follows: 1. Fleet Equipment Supervisor to Fleet Services Supervisor; 2. Fleet Equipment Technician I to Fleet Services Technician I; 3. Fleet Equipment Technician 11 to Fleet Services Technician 11; 4. Fleet Equipment Technician III to Fleet Services Technician 111; and, 5. Senior Fleet Equipment Supervisor to Senior Fleet Services Supervisor, M. In keeping with the City's practice to assign job titles that reflect the duties and responsibilities of the classification, and are consistent with other classifications within the City's organization structure, the Executive Director of Parks, Recreation and Community Services recommends job classification titles in Park Services be changed, with no change in compensation, in the Position and Classification Pay Plan (See Exhibit F) as follows: 1. Park Maintenance Inspector I to Park Services Inspector I; 2, Park Maintenance Inspector II to Park Services Inspector 11; 3. Park Maintenance Supervisor to Park Services Inspection Supervisor; and, 4. Senior Park Maintenance Supervisor to Senior Park Services Inspection Supervisor. N. In keeping with the City's practice of assigning job titles that reflect the duties and responsibilities of the classification, and are consistent with comparable job iitles in the current labor market, the Interim Community Preservation Manager recommends the Community Preservation Division of the Planning and Building Agency be renamed the Code Enforcement Division and that the job classification titles in that division be changed, with no change in compensation, in the Position and Classification Pay Plan as follows: 1. Community Preservation Coordinator to Code Enforcement Coordinator (see Exhibit E); 2. Community Preservation Inspector to Code Enforcement Officer (see Exhibit F); 3. Community Preservation Manager to Code Enforcement Manager (see Exhibit E); Resolution No, 2015-026 Page 4 of 7 55A-14 4. Community Preservation Technician to Code Enforcement Technician; and (see Exhibit F); and, 5, Senior Community Preservation Inspector to Code Enforcement Supervisor (see Exhibit F). O, In keeping with the City's practice of assigning job titles that reflect the duties and responsibilities of the classification, and are consistent with comparable job titles In the current labor market, while ensuring that the compensation properly aligns with the compensation of other middle management classifications in the City and in the labor market, the Executive Director of Personnel Services recommends changing the job classification title of Information Services Manager (MM) to Information Services and Network Manager (MM) and adjusting the compensation (see Exhibit E). P. It is now desired to rescind Council Resolution Nos. 2015-001 and 2015-008, reestablish the City's Basic Classification and Compensation Plans, and affect the aforementioned changes, Section 2. That Resolution Nos, 2015-001 and 2015-008, as amended, are hereby rescinded in their entirety. Section 3. This Resolution is operative from and after July 1, 2016. ADOPTED this 16t" day of June, 2015. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By; —7 Sonia R. Carvalho Resolution No, 2015-026 Page 6of7 55A-15 AYES: Councilmembers: Amezcua Benavides Martinez Pulido, Reyna, Sarmiento Tinalero (7) NOES, Councilmembers: None (0) ABSTAIN: Councilmembers: None (0) NOT PRESENT: Councilmembers: None (0) _ CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, .do hereby attest to and certify the attached Resolution No. 2015-028 to be the original Resolution adopted by the City Council of the City of Santa Ana on June 16, 2015, Date: Resolution No. 2016-026 Page 6 of 7 � rh r LAJV Clerk of the Council City of Santa Ana 55A-16 PLEASE SEE LASERFICHE FOR RESOLUTION NO.2015-026 EXHIBITS A-1 Resolution No. 2015-026 Page 7 of 7 55A-17 Exrt�., i__, u THE BASIC COMPENSATION AND BENEFIT PLAN FOR CLASSES OF EMPLOYMENT DESIGNATED AS UNREPRESENTED EXECUTIVE MANAGEMENT (EM), Unrepresented Executive Management (EM) Basic Compensation and Benefit Plan Effective July 1, 2015, Section 1._ xecutive Ma menf f EM) ageClassjflcations and Compena for Plan. A. Unre_presented xe °utive Mans (M) rn oyeo_0lassificatioM Assistant City Manager (EM) CHIEF TECHNOLOGY INNOVATIONS OFFICER, (EM) — NEW TITLE EFFECTIVE 7/1 /15 Deputy City Manager (EM) Police Chief (EM) Executive Director of Community Development (EM) Executive Director of Parks, Recreation and Community Services (EM) Executive Director of Personnel Services (EM) Executive Director of Planning and Building Safety (EM) Executive Director of Public Works (EM) Special Assistant to the City Manager (EM) B. Schedule of Salaki . A schedule of salaries showing salary rate ranges for classifications of employment designated as unreprosented Executive Management (EM), is attached hereto as attachment "1" and made a part hereof as though set forth In full herein. The schedule for unrepresented Executive Management (EM) classifications and effective dates is listed as follows: Salary Schedule Assistant City Manager (EM) -�~ �. EM-39 02/01/2015 CHIEF TECHNOLOGY INNOVATIONS OFFICER (EM) EM-35 07101/2015 Deputy City Manager (EM) EM-41 02/01/2015 Polloo Chief (EM) EM•47 02/01/2015 Executive Director of Community Development (EM) EM-33 02/01/2015 Executive Director of Finance and Management Services (EM) EM-37 02/0112015 Executive Director of Parks, Recreation and Community Services (EM) EM-37 02/0112.015 Executive Director of Personnel Services (EM) EM-33 02/01/2015 Executive. Director of Planning and Building Safety (EM) EM-42 02/01/2016 Executive Director of Public Works (EM) EM-38 02/01/2015 55A-18 Special Assistant to the City Manager (EM) EM-37 02/01/2015 The unrepresented Executive Management (EM) salary schedule contains numerous salary rate ranges, each range comprised of fifteen (15) separate rates of pay shown in monthly amounts. The rate ranges are Identified by a two -digit number preceded by the capital letters "EM" for Executive Management. The separate rates of pay or steps within each salary rate range are identified by the numbers "1" through "15" Inclusive, with Step "1" being the lowest or minimum rate of the range, Step "8" the middle or midpoint rate of the range, and Step "15" being the highest or maximum rate. Terminal Classifications. The capitalized letter "T" shown within parenthesis [i.e., (T)] next to a classification title signifies a position classification that has been designated as "terminal" by formal City Council action and, as such, will be deleted from this classification and compensation plan for unrepresented Executive Management (EM) classifications of employment when vacated by its last remaining incumbent. No new appointment may be made to a classification that has been designated as terminal. Section 2. SCompensation Ptgvlsions. Bilingual Skill Pay. Qualified employees who are assigned to positions Involving the regular and frequent use of bilingual skill in both English and either Spanish, Vietnamese or any other language designated by the City Manager will be paid In the highest amount as available, to represented management employees. Incumbents of positions where bilingual proficiency is essential to the performance of duties and responsibilities of a critical and/or emergency nature, or of positions where bilingual public contact is a major, essential or integral element of the work being performed, will be paid in the highest amount as available to represented management employees. Section 3. Adm1.q,1 nationLncf Alicablity of the Compensation Plan A. Unless specified otherwise herein, unrepresented Executive Management (EM) employees will be subject to the same changes in compensation plan provisions, including but not limited to, sick leave maximum accrual; bereavement leave; holidays; longevity vacation cash out; health and dental insurance; access to participation in the City's Vision Plan; retirement; Retirement Health Savings Plan; and work week schedule, as provided In the highest amount as available to represented management employees on or after January 1, 2015. 8, ggmpes_ation Man Imoiementation. Upon implementation of the basic salary schedule set forth In Bub-seetlon 1.13, of this Resolution, a current incumbent of an Executive Management (EM) classification listed herein above will be placed at the monthly rate in the assigned salary rate range which matches the Incumbent's assigned base monthly salary rate on the day preceding the effective date of this Resolution. C. fEli in PayPoligy, A newly hired Executive Management (EM) employee will be compensated at a monthly rate within the lower third of the salary range (Steps 1 through 5) for his/her job classification as authorized by the appointing authority. When economic conditions, unusual employment conditions, or exceptional qualifications of a candidate for employment indicates a higher rate would] be in the City's best interest, 55A-19 the City Manager may authorize compensating the new employee within the middle third of the salary range (Steps 6 through 10) but the higher starting salary will generally not be above Step 8. C. Rates of nay for Temporary and Bart -Time Work, When an employee is hired in an Executive Management (EM) classification on a temporary basis, which is defined as employment with an anticipated duration of less than six (6) months, or an employee is hired In an Executive Management (EM) classification or a part-time basis, which is defined as employment of forty (40) hours or less per semimonthly pay period, the employee will be paid at a rate per hour for actual time spent In the duties of his or her employment. Rate per hour will be computed to the nearest whole cent by dividing the classiflcation's standard monthly rate of compensation by 173.33, A computation resulting in exactly one-half (112) cent will fix the rate at the next higher whole cent. E. gyro®. The word "service" as used in this Resolution will 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• Employees hired after the first (1") working day of the month will 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 Executive Menaagement-(EM)-eimployee- or-aperioc-of time-lortger-than-ten_(10)-calandardays-by- reason of resignation, quit, or discharge, will serve to eliminate the accumulated length of service time of such employee for the purpose of this Resolution. P. or Promf?lon !i t.Qujmft_qmaigyN, An employee who is appointed or promoted to an Executive Management (EM) classification from a represented management or nonmanagement classification of the City service will be placed at a salary rate In the Executive Management (EM) salary rate range which provides a minimum of a five percent (5%) pay Increase, G. Reduction In Pay An Executive Management (EM) employee may receive a reduction In salary on the basis of unsatisfactory work performance, conduct or other reasons at the discretion of the City Manager, R TamDoraar l)parade to an Executive Management tEM) Classification. Regular employees of the City who are Incumbents of classes of employment not included In this Resolution and who are temporarily upgraded to an Executive Management (EM) classification will receive a five percent (6%) Increase or the minimum rate of the Executive Management (EM) salary range, whichever is higher, In accordance with current upgrade provisions. I. Reallocation of Is Re a Rannes. When an employee is in an Executive Management (EM) classification which is reallocated from the current salary rate range to a different salary rate range, the employee will retain the same salary step he or she hold prior to the reallocation. The employee will retain credit for length of service in such salary stop towards advancement to the next higher salary step. 55A-20 J, Y- a ing. In special circumstances the City Manager may approve compensating an employee in excess of the salary range of the classification to which he or she is assigned by "freezing" the employee's salary at the current rate. In such cases, Incumbents will not receive step increases or current and future general "across- the-board" salary adjustments scheduled for other classes until the salary level is equal to or greater than the "frozen" salary for the assigned classification. K, Z-Rating. A ZwRate is a special salary rate established by the City Manager which allows an employee who has been reclassified to a classification at a lower salary rate range to be paid at a rate of pay higher than that assigned to his or her reclassified position title for a specified transition time period, Section 4. _ealntl anfa Berle its. The following optional insurance benefits available to Executive Management (EM) employees are provided through a cafeteria plan adopted in accordance with the provisions of internal Revenue Code § 125, The City will contribute to the cafeteria plan in the highest arnount as available to represented management employees. Since the City contracts with CaIPERS for medical insurance, the amount described above will include the VIPERS statutory minimum paid by the City, A. iv edical insurance. Eligible Executive Management (EM) employees may select any of the medloal Insurance plan options offered by CaiPERS. B. Dental insurance. Eligible Exe0l.rtlVe Management (EM) employees will have the ability to select either an HMO or PPO dental insurance plan, C. Vision Insurance, Eligible Executive Management (EM) employees will have the ability to select vision insurance coverage through the City's insurance provider, D. Cash -in -Lieu of Benefits. Executive Management (EM) employees will be eligible to receive cash (subject to taxation as wages) through the cafeteria plan if they either opt -out of receiving one of the optional benefits provided through the plan or if they choose optional benefits that do not cost as much as the maximum dollar amount they receive through the plan. E. Emr)lovee Contrib�, ikon fnr Benefits. If an Executive Management (EM) ernployee chooses optional benefits whose aggregate premium cost exceeds the maximum City Contributions to the Cafeteria flan, the City will automatically deduct the excess premium amount on a pre-tax basis from the employee's regular paycheck, F. Disability Insura. The City will pay one hundred percent (100%) of the premium cost for a long-term disability insurance plan under the policy it maintains on behalf of its employees In order to provide Executive Management (EM) employees a monthly benefit of sixty-six and two-thirds percent (65 213) of base monthly salary (Insured payroll), less offsets conlalned in the existing plan, to a maximum monthly benefit of $5,000. 55A-21 G. Ljta Ins ra ce apd Acci ntal Death & Personal L ss (AD IL . The City will pay one hundred percent (100%) of the premium cost for term life and AD&PL Insurance coverage under the policy it maintains on behalf of its employees in order to provide Executive Management (EM) employees with life and AD&PL Insurance coverage In an amount equal to three times the employee's annual rate of salary to a maximun7 of $300,000 provided Executive Management (EM) employees can provide evidence of insurability for coverage above $160,000 If so required by the terms and conditions of said term life and AD&PI_ insurance policy. In the event an Executive Management (EM) employee is determined to be Ineligible for said Insurance coverage, the City will attempt to provide as much coverage as may be obtained at a reasonable cost without having to provide evidence of Insurability. SQc3jon 5. Leave Accruals and Cash -•Out Provisions. A. Paid Holiday Time Off. Executive Management (EM) employees are not required to appear for work, except in emergencies, and will receive payment at his or her current base salary rate for the following twelve (12) holidays during each year: Januarry lot; third Monday in January; third Monday In February; last Monday in May; July �4t'; first Monday In September; November 11rr'; Thanksgiving Day and the day immediately-following-(f ridgy) CY i°istmas-l3ay;-the last worktng-day-trofare-Christmas Day (unless Christmas Day falls on Thursday, in which instance the day following Christmas Day will be observed) and one (1) floating holiday. Any holiday which falls on Sunday will be observed on the following Monday and any holiday which falls on a Saturday will be observed on the Friday preceding the holiday. B. Vacation Time Off. Executive Management (EM) employees will be granted regular and longevity paid vacation leave on the same basis as provided to represented employees of the City, with the exception that such affected employees will be granted. 1, Regular vacation with pay at the annual rate of fifteen (15) working days for each of his or her first and second completed year of service. 2. An additional five (5) working days per year over the regular and longevity vacation accruals applicable to represented employees of the City. Affected Executive Management (EM) employees must tale at least five (5) consecutive days of vacation leave each year, C. Lo ovity Vac t3ion Credits or Ne I�-F(rol ecutivo. Mgriament EM) Rmpigyge& The City Manager Is authorized to grant to a person newly hired by the City to a position designated as Executive Management (EM), longevity vacation credits In the form of years of service to the City up to a maximum of 2.0 years. The credits will be counted as completed years of service with the City for the purpose of calculating longevity vacation accrual only. The longevity vacation credits will be added to the years of service actually completed with the City of Santa Ana by the employee to establish total years of service for the purpose of calculating longevity vacation. 55A-22 D. on o ity�anq Vgc�rtio�_ Pay Option. Once per fiscal year, Executive Management (EM) employees will be given the option to receive cash compensation, computed on a straight time basis, in Ileu of up to five (5) working days of earned, unused vacation benefits set forth in Section B, E. Sick Leave Credit for NNe 1 es, The City Manager is authorized to grant a newly appointed Executive Management (EM) employee 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. R Payment for U_,nused Sick Leave. Executive Management (EM) employees will be granted payment for Unused sick leave on the same basis as provided to Santa Ana Management Association (SAMA) represented employees of the City. G. Paid or unpaid Administrative e vo,Policy, The City Manager is authorized to grant, at his or her discretion, paid or unpaid leave for Executive Management (EM) employees. Section 6 etirelnent Plan ContHbAL001. A. The terms of the existing contract between the City and California Public Employees' Retirement System (CaIPERS) governing the City retirement benefits of Executive Management (EM) employees covered by this Resolution are incorporated by reference herein, The City will make contributions to CaIPERS In accordance with Its contract with CaIPERS for employees covered by said contract as amended. B. 2.7°/o at 55 Sory�cs atir ennt f✓eneyttter Clae la Iscejlaneous Menders. The City agrees to provide Executive Management (EM) employees covered by this Resolution, and who are defined as Classic Miscellaneous Members under the California Public Employees' Pension Reform Act (PEPRA) of 2013 (AB340), with the 2.7% at 55 Service Retirement benefit. C. Payment of 2.71/6 at__55_. Mvtoe_Retirement Benefit. Classic Miscellaneous Executive Management (EM) employees covered by this Resolution will contribute eight percent (8%) of CalPERS reportable compensation toward the employer cost of the 2.7% at 55 enhanced retirement formula. This payment will 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, this eight percent (8%) employee contribution will be Implemented through payroll deductions on a pre-tax basis. D, 2 0" at 62 Service Retirement ,BprLe-Jt for New Miscellaneous. Me ers. The City agrees to provide Executive Management (EM) employees covered by this Resolution who were appointed to their classification orr or after January 1, 2013, and who are defined as new membors under the California Public Employees' Pension Reform Art (PEPRA) of 2013 (AB340), with the 2.0% at 62 Service Retirement benefit. E, Payment f 2,.0..°(0 _at.62 _Service Retirement „[3enefit. Executive Management 55A-23 (EM) employees defined in 6.D. (above) will contribute at least 50% of normal cost of the 2.0% at 62 retirement benefit. Pre -Taxably Benefi#. To the extent permitted by CsIPERS and Internal Revenue Service regulations, the City will make the above employee deductions pre-tax contributions. F, 3% at 50 Service RetLrpmq oSa�tyoMembers, The City agrees to provide Executive Management (EM) employees covered by this Resolution, and who are defined as Classic Safety Members under the California Public Employees' Pension Reform Act (PEPRA) of 2013 (AB340), with the 3% at 50 Service Retirement benefit, & Pavment of 3.0% at 50 Service Rot re a t Benefit. Classic Safety Executive Management (EM) employees covered by this Resolution will contribute nine percent (9%) of CaIPER8 reportable compensation toward the employer cost of the 3.0% at 50 enhanced retirement formula. This payment will be implemented as cost -sharing pursuant to government Code Section 20516(f). Pre-Ta b e Be r oft. To the extent permitted by CaIPERS and internal Revenue Service regulations, this nine percent (9%) employee contribution will be Implemented through payroll deduction on a pre-tax basis, provide Executive Management (EM) employees covered by this Resolution who were appointed to their classification on or after January 1, 2013, and who are defined as new members under the California Public Employees' Pension Reform Act (PEPRA) of 2013 (AB340), with the 2.7% �7a 57 Service Retirement benefit. 1. pavmenj_,g( 2.7% at 57 Service Retirement Benefit. Executive Management (EM) employees defined In 6.K (above) will contribute at least 60% of normal cost of the 2.7% at 57 retirement benefit. Pie-7axabla Benefit. To the extent permitled by CaiPERS and Internal Revenue Sarvlce regulations, the City will make the above employee deductions pre-tax contributions, J. final Cnmponsation for Pension Calculation. Final compensation for Classic Safety and Classic Miscellaneous Members will be based on the highest annual average compensation earnable during the 12 consecutive months Immediately preoeding the effective date of his or her retirement, or some other 12 consecutive month period designated by the member, Final compensation for Safety and Miscellaneous Members who are defined as New Members under PEPRA will be based on the highest annual average compensation earnable during the 36 consecutiva months Immediately preceding the effective date of his or her retirement, or some other 36 consecutive month period designated by the member. K. Militar.Service Credit as Public SpLyige, An Executive Management (EM) employee covered by this Re -,solution will be permitted to purchase up to four (4) years of service credit for any continuous active military or morchant madna service prior to 55A-24 employment, The cost to purchase this service credit is subject to CaIPERS Regulations and calculated using a present value method. L, D,efe3rgARetlremej3l sSaey Classic Miscellaneous Mem as defined in Se ion B and F (above). The City will continue to make payments to CaIPERS on behalf of each eligible affected employee 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 reportable compensation for Classic Miscellaneous Members and nine percent (g%) for Classic Safety Members. Such payments will be credited to the individual employee's CaIPERS account Such payments are not an increase in base salary and no salary rate range applicable to any of the employees covered by this Resolution will 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 previously received a ruling from the Internal Revenue Service confirming that such payments are deferred compensation and not ordinary Income. In the event that the City receives a now ruling from the Internal Revenue Service that such payments are ordinary income of the employees Instead of deferred compensation, the Clty's obligation to make such payments will discontinue and in place thereof the reportable compensation of each Classic Miscellaneous Member eligible for the 23% at; 65 Benefits Formula will be increased by eight percent (8%) and each Classic Safety Member eligible for the 3% at 50 Benefits Formula will be increased by nine percent (9 %). For the purpose of reporting an employee's compensation to CalPERS, the City will Include these payments as if they were a part of the employee's reportable compensation. Section 7. Tuition Ree mbursement. Executive Management (EM) employees are eligible to participate in the Training and Education Assistance Program provided for all regular, full-time employees of the City, Reimbursement will be based on the cost of tuition, required enroUrnentlregistration fees, miscellaneous fees (health, parking, student union fees, etc.) and all required texts, eBooks and related material for each course. Maximum tuition reimbursement will be paid in the highest amount as available to other represented employees. Leotion 8, Medical Retirement 5ubsidV Plan. A. The City's current annual contribution towards the Medical Retirement Subsidy Plan for Executive Management (EM) employees covered under this Resolution is 1,76% of the base salary, which is based on the first payroll period in October and deposited no later than October 31ac of each year. S. The plan will be administered by the City, at no cost to Executive Management (EM) employees pursuant to the written directives of Executive Management (EM) employees. The funds contributed by the City will be maintained In such a manner as to ensure that the funds are invested in a reasonably secure plan that bears a reasonable rate of interost(growth given current financial markets, For purposes of this Resolution, 55A-25 Investments made pursuant to the then current Statement of Investment Policy for the City of Santa Ana, will be deemed to meet the requirements of this section. This program is for medical insurance premium reduction only. C. 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. 1. The City agrees to amend the current contract with ICMA-RC to allow unrepresented Executive Management (EM) employees to participate in the Retiree Health Savings Plan upon approval of the majority of Executive Management (EM) employees. 2. Upon establishment of the RHS and adoption of the RHS plan by Executive Management (EM) employees, and upon instructions from Executive Management (EM) employees the City's annual contribution of 1.75% deposited in the Medical Retirement Subsidy Plan will cease. Concurrently with said cessation, the City will increase the base pay of each Executive Management (EM) employee by 1.26%4 with said amount being deposited into employees' individual RHS accounts each pay period. This 1,26% increase In base is In -lieu of the Annual City Contribution of 1,75% paid to the Medical Retirement Subsidy fund In October each year. 3, If said RHS Plan Is established after the annual payment of 1.75%u into the existing Medical Retirement Subsidy plan has been made, the salary adjustment and deposit Into the RHS of the 1.25% described In paragraph 8.C.2. above will be effective July 1, 2015. 4, Upon approval to participate in the RHS, Executive Management (EM) employees will determine how the existing Medical Retirement Subsidy Plan funds will be distributed among Its membership and, if applicable, Its retired members. Executive Management (EM) employees will dissolve the existing Medical Retirement Subsidy plan by June 30, 2016, unless said deadline has been extended by mutual agreement of Executive Management (EM) employees and the City. S ctjon il,_ ? tSAllowance. With the exception of the Police Chief who receives a City vehicle, the City will contribute five hundred dollars ($500) per month to each Executive Management (EM) employee to offset reasonable and necessary expenses for the operation, maintenance and insuring of an automobile. In lieu of receiving five hundred dollars ($500) per month, the employee may request and be provided with an optional vehicle. This provision is in accordance with and as specified In Section 2-300, Division 1, Article IV, Santa Ana Municipal Code. 6ectlon 10,. Deferred Co�m?onsation. The City has established and maintains a deferred compensation plan pursuant to the provisions of Section 457(b) of the Internal Revenue Code. Executive Management (EM) employees covered under this resolution, at his or her sole discretion, rnay defer to have deposited Into the Clty's 457(b) plan a portion of his or her compensation up to tine maximum amount permitted by law. 55A-26 The City is desirous of establishing a 401(a) deferred compensation plan. As permissible by law the City will establish a 4401(a) deferred compensation plan at a future date. Executive Management (EM) employees covered under this resolution, at his or her sole discretion, may defer to have deposited into said 401(a) plan upon its establishment a portion of his or her compensation up to the maximum amount permitted by law. All contributions into the 457(b) and 401(a) plan are voluntary employee contributions and will meet the requirements of the Internal Revenue Code. The provision of the unrepresented Executive Management evaluation system are as follows: 111Pur ose, The basic purpose of the performance -based evaluation system Is to help attract, retain and motivate highly competent Executive Managers and to provide them with a strong incentive to excel. 11„7 Specific Gam ansation t7atarmin�atlon. A. The City Manager is hereby given the authority to set the individual compensation, to make adjustments thereto and to make appointments at any salary within the established range for all executive positions except the City Manager, the City Attorney, and the Clerk of the Council, which will be made by the City Council. B. The City Manager will establish performance criteria and appraisal guidelines to be utilized in setting individual compensation for Executive Management (EM) employees. C. After the salary of an employee has been first established and fixed under this plan, salary advancement through the remaining steps of the 15-step salary rate range will be based on the results of an annual performance evaluation. 11_,3 Ev la uation Systcdm Components. The evaluation system will be comprised of the fallowing components: A. p,nnual Objectives. Tile system will Include a list of outcome -based, measurable objectives to be achieved which have been mutually agreed upon between the appropriate appointing authority and each individual manager subject to his or her authority. A relative weight will be assigned to each objective listed with a minimum weight of 10% and all must total 100%. 13. Managorial ehaviois. In addition to his or her performance In achieving agreed upon objectives, each Executive Manager will also be evaluated for his or her managerial behavior performance, Including such behavior as communication (oral or written), analysis and problem solving, decislon-making and judgment, planning and organization, management control, leadership, interpersonal relations, time - management, technical knowledge, handling of stress, etc. 55A-27 11 A Perform an ce Evaluation 9W.W—eritions. A. The City Manager will annually evaluate the performance of each of his or her Executive Management (EM) employees annually to determine their individual eligibility for a performance Increase and how much, if any, increase will be given. Such annual performance evaluation will occur once a year and will cover the twelve month period preceding that date. Additionally, at least one informal mid -year progress review will be held between the City Manager and each of his or her Executive Management (EM) employees. B. Performance Ratings. Each manager's performance in relation to his or her agreed upon annual objectives and managerial behaviors will be evaluated according to the following performance rating scale: Paint Ratlnp Performance Levels Significantly Exceeds Expectations: Consistently exceeds all objectives requirements and expectations by a wide margin. 2 Exceeds Expectations: and exceeds several. Meets Expectations, Meets objectives and requirements. Below Expectations: Pails to meet some objectives and requirements. 1 Unacceptable: Performance required. is significantly below the minimum J1.5 P©rformanoe-Basted Salary Adlustments. Each Executive Management (EM) employee may be eligible to receive an annual performance -based, in -range salary increase and/or one-time monetary payment based on a percentage of current annual rate of base salary, or be subject to a performance -based salary reduction, In accordance with the following: A. For overall performance rated as "Significantly Exceeds Expectations," either step Increases or one-time monetary payment or a combination of step increases and one-time monetary payment not to exceed seven and one-half percent (7.5%) in tote. B. For overall performance rated as "Exceeds Expectations," either step increases or one-time monetary payment or a combination of a step increase and one- time monetary payment not to exceed five percent (5%) in toto. 55A-28 C. For overall performance rated as "Meets Expectations," a one-time monetary payment in an amount up to but not to exceed two and one-half percent (2.5%) of current annual rate of base salary or advancement of one step (2,5%) within the salary rate range, D, For overall performance rated as 'Below Expectations," no performance salary increase or monetary incentive payment, E, For overall performance rated as "Unacceptable," no performance salary Increase or monetary incentive payment. Additionally, any Executive Management (EM) employee who has received such a rating and who Is being paid at a stop higher than the minimum rate of the salary rate range, may be reduced by one or more steps at the discretion of the City Manager, F. Ap ilc t� Ion of Guldelings. 1, If an Executive Manager who Is recommended for a performance increase is at the maximum of his or her salary rate range, then the entire performance increase must be awarded the equivalent amount in a one-time monetary incentive payment. 2, Any one-time monetary incentive payment granted under this plan Is not an Increase in base salary and no salary rate range applicable to any management employee covered by this Resolution will be changed or deemed to have been changed by reason of such payment. 3. The City Manager will be responsible for the development and administration of detailed administrative procedures and guidelines for the consistent and effective application of the unrepresented Executive Management (EM) performance -based evaluation system, Such procedures and guidelines will define how performance objectives, measures and standards are developed; when and how performance reviews are to be carried out; how performance component ratings and composite ratings will be scored; and how performance salary Increase and monetary Incentive payment options are to be exercised. Suction 12, Miscellaneous provisions A. Catastrophic Leave Donation. Executive Management (EM) employees will be eligible to donate and receive catastrophic leave donations as provided to all other represented employees. B. Electronic Device Stipend. Executive Management (EM) employees who use their own personal electronic devices for City business in Ileu of receiving a City owned device will be eligible to receive a stipend at a level matching that received by SAMA employees, C. QtYtar ,Ut�re wont xacutive Mananorr7rn EMZ Ern yyee RigLija and Privllgges, Each employee in a classification of employment designated in Sub-sectlon 1.A. of this Resolution as unroprosonted Executive Management (EM) will continue to 55A-29 enjoy the same rights and privileges to which they were entitled under Resolution 91. 066 unless otherwise amended, altered or eliminated heroin, 55A-30 to •-^ T r \-• r .^ T Y r r r r r r. < .- . \- . r r .- r r r N N � CEpO� rM- C�SyY h- 0> N � W M d' I4)` hpp. tUt~ry�i � � •N�' � Imp Mn � � � IfN7 � Np h�jyl O W M w .- .-• r r v^• r r v N *M.. CyWJ' 0) 11t��j M W ��„? W � M VM• M �r1' 1( thW� �i N � ea O � M F' Cq� W Vmi t•`1 tN� tNry M IN �r N C- M M �vq�y � m N p~i Cb � Y} ^ N N M r r r r .^ r r w � M � V' � eTN1- ICJ Ip t0 t�D � ham.• M t11 rp' r � N tK� (tVV tV I W t� �j' (<V� p y�• C� ¢ry 9 6 N 2 N M p) W N N t9i M `ri' 4~' V1 4f) Ip W h- h W IXi CG tl) r V" r r Y^ M' T Y" Y"' Y'• T Y' r T• Y^'T \^ C^ T V"' t"' Y* F" '1"' <" M1" r CL � � r h��Wy p> h� `9��' � � �+. �+y � � ey !�tjj �j 1C.3, � M tl� � � W '�Q•� �r �vpyy � 4) Cn � d) O CS vN-+ hl N hl M Ci YY' V [t) W t0 1�T•• tN- df W W ty r�,,, \F a^ Y e- v r T r• + r r r r r .^ r r \-' + r w m^ •w v r r v- to f/1 N W CJ i !ram• i+l V' �M o N."-• 0 a W rn p> cn a o a Y' :- ;^' Nw wl chi i+i �Y tl' V n i� VMJ Ed tom. h w m ry 'r r .- �• . r r r .- r• Y'- . r- T NY,, v^+ w'(cyN W tp 4 t N M W Yam) CO4� r Mp �My' h• wy-• a• +- Fpy- NM uY T. �p py W M u) ttCt�� oW 6 N h• N tqp h O) N N 09 w tl• FM•d M h t M �1V� 0 tM-• r- S. tl y� HO. 0 to Y YW" T^ W W Y r r Y^• Y^ P tO h•^ � +F'+ W tt�^ �Mryp �Wp MW 5(PY�� (((Yggq• (WWWn (M.� {•�• �(vC�} Yl�p I}y µ^ � W t0 N� Q�i Off) tlM) O Cl b O� vim• r N N hl M M M V H t0 [p •twV O � - r w v r •r• r r• r vWW'^ r• r rrMy VI r �p �vµn• erg CwV 0 11 T r T rN r• r. r vY^ o r�M• O � hN CW 2WS O C) O rr-v^+ r r r r r r r r r r r <•r T tlVtp S r r r r w \- r 8 S91� O F t.W+ryy a 4W0 m 0 0 a 2 0 8� [8 lE VM) Yt C~h 4 G h tm- M P lN- CO - M �Ny* MN 1� W M <O Ob) VNl o) tl�l b O O CJ +^' eM+ e•• N N N t+d) ['7 M Vp' ¢F Ham' G CMS tp Cb �¢p� t� r r r< Y Y r r r ty r{• r rO w r rp' W r r r- (r-V• 1`� h W GO mW W (T OY fn m ipp) t�QY'••.. O � � r � r^ N N N M M M V' <Y ~V N � N «J M Ca N 3 MN C Iti Cn N W r CCl/�� r r w r w r r .- +-• .•'• o- r• r rry•• r v- Wr {r� .�- M `i} �W 1•� ham- N s a O N (Q� p) yN M O) tfJ h i�t3y m •e"�• If1 hp• tp~�i t') h Nn{• t0 Ip <ry n tWtVV ssssss111111 CO W h r eWWWe�� Uri tWMWi thbl 1COpV W fD \M- (q15' V +++UUUY h. V3 Y#' M U) hp' 0) 12 N h Imp N h n W W m W tV r+ r w T r r r .- r r r .- \•- r r r (1 htl- h F. h� W tf} CW O) tlNi m of 6mY tti b C) O r LYE r MN V N M M to 'tl' 'Y' <i 7 C M V' Vl W N. IX) m C� N 1 (p h N CJ w" N M V• L M1 (n O `j r � `i- ,� .mod iaaww iU mwIII ualuulia�rwu.ii.i1�i6iwuiluu7u uawulwu� wual.11 55A-31 EXHIBIT B CITY OF SANTAANA POSITION CLASSIFICATION AND PAY PLAN FOR CLASSIFICATION TITLES REPRESENTED BY THE CONFIDENTIAL ASSOCIATION OF THE CITY OF SANTA ANA (CASA) P SALARY RATE RANGE EFFECTIVE'10101114 SRR_* MadWy. alary CLASSIFICATIQNIITLE Mlnl um - Maximum BUDGET AIDE (UC) 642 $4847 - $6186 BUDGET ANALYST (UC) 668 $5602 - $7024 COUNCIL. SERVICES SECRETARY (UC) 689 $3741 - $4777 EXECUTIVE ASSISTANT (UC) 645 $4919 - $6276 EXECUTIVE SECRETARY TO THE POLICE CHIEF (UC) 620 $4350 - $5657 FINANCE EXECUTIVE SECRETARY (UC) 616 $4268 - $5449 FINANCIAL ANALYST (UC) 663 $5370 - $6863 LEGAL OFFICE ASSISTANT (UC) 644 $3002 - $3831 LEGAL SECRETARY (UC) 58B $3722 - $4753 'L'IAB[t-.ITY'CLAItMS`PROCESSOR-(UC}"__—. ...__....._. _..__ �93 _� 5f8f2 y{4i3ii1 LOSS CONT"ROLANALYST (UC) 663 $6370 - $6863 LOSS CONTROL TECHNICIAN (UC) 642 $4847-$6186 MANAGEMENT AIDE (UC) 642 $4847-$6186 MANAGEMENT ANALYST (UC) 668 $6602 - $7024 MANAGEMENT ASSISTANT (EXEMPT) (UC) 668 $5602 - $7024 PARALEGAL. (EXEMPT) (UC) 523 $4415 - $5639 PAYROLL SYSTEMS ANALYST(UC) 708 $6680-$8636 PAYROLL TECHNICIAN (UC) 622 $4393 - $5611 PERSONNEL ANALYST (UC) 663 $5370-$6853 PERSONNEL EXECUTIVE SECRETARY (UC) 610 $4142 - $5291 PERSONNEL SECRETARY (UC) 589 $3741-$4777 PERSONNEL SERVICES RECEPTIONIST (UC) 571 $3423 - $4371 PERSONNEL. SERVICES SPECIALIST (VC) 581 $3594 - $4590 PERSONNEL TECHNICIAN (UC) 622 $4393-$6611 POLICE PERSONNEL SERVICES SPECIALIST (UC) 002 $$984 - $6089 RISK MANAGEMENT COORDINATOR (UC) - NEW TITLE EFFECTIVE 711116 648 $4930 - $6291 RISK MANAGEMENT TECHNICIAN (UC) 622 $4393 - $6611 SECRETARY TO THE CITY MANAGER (UC) 666 $6440 - $6956 SENIOR BUDGET ANALYST(UC) 607 $6338 - $8089 SENIOR FINANCIAL ANALYST (UC) 707 $8656 - $8494 SENIOR LEGAL MANAGEMENT ASSISTANT (EXEMPT) (UC) 697 $6338 - $8089 SENIOR LEGAL OFFICE ASSISTANT" (UC) 671 $3423 - $4371 SENIOR LEGAL SECRETARY (UC) 610 $4142 - $6291 SENIOR MANAGEMENT ANALYST (UC) 697 $6338 - $8089 SENIOR MANAGEMENT ASSISTANT (EXEMPT) (UC) 697 $6338 • $8089 55A-32 EXXH SIT B CcrnVd CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR CLASSIFICATION TITLES REPRESENTED BY THE CONFIDENTIAL ASSOCIATION OF THE CITY OF SANTA ANA (CASA) CLMIFJCATION TITLE SENIOR PARALEGAL (EXEMPT) (UC) SENIOR PAYROLL TECHNICIAN (UC) SENIOR PERSONNEL ANALYST (UC) SENIOR PERSONNEL RECEPTIONIST (UC) SENIOR PERSONNEL SERVICES SPECIALIST (UC) SENIOR PERSONNEL TECHNICIAN (UC) SENIOR RISK MANAGEMENT TECHNICIAN (UC) SENIOR WORKERS' COMP, CLAIMS ASSISTANT (UC) SENIOR WORKERS' COMP. CLAIMS EXAM. (UC) SENIOR WORKERS' COMPENSATION SYSTEMS TECH (UC) TRAINING COORDINATOR (UC) WORKERS' COMPENSATION CLAIMS ASSISTANT (UC) WORKERS' COMPENSATION CLAIMS EXAMINER (UC) WORKERS' COMPENSATION SYSTEMS TECHNICIAN (UC) 6-STEP SALARYT RANG EFFECTIVE 4109114 $R9 Monthksalary Minimum - Maximum 603 $5370-$6853 642 $4847-$6186 707 $6650•$8404 580 $3741-$4777 602 $3984 - $6089 042 $4847 - $6180 642 $4847 46186 617 $4280-$5476 682 $5891 - 87520 627 $4504-$5749 707 $6656 - $8494 693 $3812 - $4870 662 $5089 46495 603 $4003-$6114 aotao gg ' Effective 10/l/14, $RR obsolsto due to 1.25%6wrease In4ou of Medical Rettroment Subsidy. "(UCY Is the parenthetical Identifior used to dosignate classification titles as Unaffiliated Conildenlla). Benefits and compensation provisions for oiassi ication thins represented by CARA are by Agreement, and are outlined In the Momorondum of Understanding established between the City and tho Bargaining Unit. This C;la6si0cation and Pay flan was adopted through Resolution on 0116/15. offacdvo 711115. 55A-33 EXHIBIT CITY OF SANTAANA POSITION CLASSIFICATION AND FAY PLAN FOR CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA POLICE MANAGEMENT ASSOCIATION (PMA) SWORN CLASSIFICATION TL1rLF POLICE CAPTAIN (RM) POLICE LIEUTENANT (RM) N9A" W,,RBN„CGAS5IF CA9[ 1ON 1"lT f JAIL, ADMINISTRATOR (RM) POLICE COMMUNICATIONS MANAGER (RM) POLICE SYSTEMS MANAGER (RM) 4•STEP SALARY RATE RANGE EFFECTNE711193 SRR MMtr71.0 Salary Minlmurn - Maximum M834 $12223•$14160 M800 $10360 - $11082 5- T P S LACY & 'Cq � MANGE SIS �R Mnn l X cla y (JltLM m « Maxim—U M813 $11031 - $13409 M739 $ 7686•$ 0342 M777 $ 9250 $11264 'oot7ot0 "(r2M)" Is the parenthetical identlller used to designate classification titles as Represented Management. Benefits and componealion provisions for ciaeaitimlicn titles represented by PMA are by Agreement, and Are outlined in the Memorandum or Understanding established between the City and lbo Bargaining Unit. """ This Clasalficatlon and Pay Clan woe adopted through Resolution on Bt10/M6, effoolive 7/1116. 55A-34 gntl rr DD CITY OF SANTAANA POSITION CLASSIFICATION AND PAY PLAN FOR CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA POLICE OFFICERS ASSOCIATION (PGA) 5-STEP SALARY RATE RANGE _EFFECTIVE 711113 SRR Msqnth Sa any SWORN CLASSIFIC.AltQN TITLE M1111mum • Maximum POLICE OFFICER 690 $6050 - $7355 POLICE SERGEANT 733 $7463 - $9073 Cr57EP SALAj3y R� E RANGE Munttiiv§, ar NON -SWORN CLASSIFICATION TITLE Minimum -Maximum ANIMAL SERVICE OFFICER 1 626 $4426 -$5382 ANIMAL SERVICE OFFICER II 656 $6126 - $0230 BACKGROUND INVESTIGATOR 641 $4764-$6790 COMMUNICATIONS SERVICES OFFICER 621 $4317-$6252 CORRECTIONAL OFFICER 641 $4764-$6790 CORRECTIONAL SUPERVISOR 090 $6060. $7355 CRIME RESEARCH AIDE 652 $6026 • $6110 CRIME RESEARCH ANALYST 078 $6706-$6037 EMERGENCY OPERATIONS COORDINATOR 710 $6870-$8109 FIREARMS EXAMINER 697 $6260-$7609 FORENSIC SERVICES SUPERVISOR 728 $7283 - $8853 FORENSIC SPECIALIST 1 662 $5026 - $6110 FORENSIC SPECIALIST II 671 $6516 - $6702 PARKING CONTROL OFFICER $911 $3728 - $4633 POLICE ATHLETIC/ACTIVITIES LEAGUE ASSISTANT DIR 620 $4206 - $5226 POLICE COMMUNICATIONS SUPERVISOR 686 $5934 - $7211 POLICE COMMUNITY SERVICES SPECIALIST 641 $4764 • $5790 POLICE EVIDENCE AND SUPPLY SPECIALIST 624 $4382 -$5330 POLICE EVIDENCE AND SUPPLY SUPERVISOR 644 $4834 - $5876 POLICE INVESTIGATIVE SPECIALIST 041 $4764 - $6790 POLICE PHOTOIVIDEO SPECIALIST 621 $4317-$5252 POLICE PROPERTY AND EVIDENCE SUPERVISOR 644 $4834-$5876 POLICE RECRUIT 650 $4978 - $8050 POLICE SERVICE OFFICER 621 $4317 - $6252 POLICE SERVICES DISPATCHER 646 $4882 -$6934 55A-35 EXHIBIT D Cont'd CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR CLASSIFICATION TITLES REPRESENTED BY 'rHE SANTA ANA POLICE OFFICERS ASSOCIATION (PDA) NON -SWORN CLASS FICATION TITLE RANGEMASTER SENIOR PARKING CONTROL OFFICER TRAFFIC SERVICES SPECIALIST 5-STEP SALARY RATE RANGE EFFECTIVE 711t13 SRR MagW Salary Minimum - Maximum 621 $4317 - $5252 611 $4111 -$6002 641 $4764-$6790 ,U taft " Beneflte and componaadan provisions for claasl0ostlon Illlos roprosented by POA are by Apreemoni, and are 001lied in the Memorandum or uncealandinp ostabllshed batmon the City and the 0arpalninp Unit. ThIs Clasalfloatlon mnd Pay Plan Was adopted Ihrouph Resolution on 6116116, olfeolive 7I1/'1 G. 55A-36 EXHIBIT CITY Of SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA MANAGEMENT ASSOCIATION (SAMA) 6•STEP SALARY RATE RANGE EFFECTIVE 10101/14 no—njWtEaLqry ADMINISTRATIVE MANAGEMENT CLASSIFICATION TITLE, Mwmwa. Maximum APPLICATIONS SYSTEMS MANAGER (AM) AM774 $0231 - $11226 APPLICATIONS/TECH SUPPORT MANAGER (AM) AM784 $9697. $11786 BENEFITS AND COMPENSATION SUPERVISOR (AM) AM734 $7593 -$ 9231 BENEFITS SUPERVISOR (AM) AM723 $7196-$ 8749 BUDGET AND RESEARCH MANAGER (AM) AM704 $8792 - $10690 BUDGET SUPERVISOR (AM) EFFECTIVE 711115 AM744 $7978 - $ 9697 COMMUNITY PRESERVATION COORDINATOR (AM) - TITLE CHANGED TO CODE ENFORCEMENT COORDINATOR (AM) EFFECTIVE 711115 AM726 $7266 - $ 8834 CORRECTIONAL MANAGER (AM) AM737 $7704-$ 9366 MAINTENANCE ENTERPRISE ADMINISTRATOR (AM) • NEW TITLE EFFECTIVE 711113 AM760 $8621- $10479 PRINCIPAL, MANAGEMENTANALYST (AM) AM734 $7593 - $ 9231 PRINCIPAL PLANNER (AM) AM760 $8621-$10479 PROJECT MANAGEMENT OFFICER (AM) - NEW TITLE EFFECTIVE 711116 AM784 $9697. $11786 SUPERVISOR OF INSPECTIONS (AM) AM745 $8012 - $ 9745 WORKERS'COMPENSATION SUPERVISOR (AM) AM723 $7196-$ 8749 17-STEP SALARY RATE RANGE EFFECTIVE 10/ 14 5RR* Mo_ nthly Salary MIDDLE MANAGEMENT CLASSIFICATION TITLE Minimum . Maximum ACCOUNTING MANAGER (MM) MM-26 $ 8940-$13272 ADMINISTRATIVE SERVICES MANAGER (MM) MM-22 $ 8303-$12324 ASSISTANT'CITYATTORNEY (MM) MM-22 $ 8303-$12324 ASSISTANT DIR OF COMMUNITY DEVELOPMENT (MM) MM-26 $ 9164 - $19601 ASSISTANT DIR OF FINANCE AND MANAGEMENT SVCS (MM) MM-28 $ 9627 - $14292 ASSISTANT DIR OF PARKS, REC, AND CMTY SVCS (MM) MM-26 $ 9164 - $13601 ASSISTANT DIR OF PERSONNEL SERVICES (MM) MM•20 $ 9164-$13601 ASSISTANT DIR OF PLANNING AND BUILDING (MM) MM-28 $ 9627 - $14292 ASSISTANT TO THE CITY MANAGER (MM) MM-22 $ 8303-$1.2.324 BUILDING SAFETY MANAGER (MM) MM•26 $ 9164-$13601 CHIEF ASSISTANT CITY ATTORNEY (MM) MM-30 $10115 - $15015 CITY ENGINEER (MM) MM-28 $ 9627-$14292 55A-37 EXHIBIT E Cont'd CITY OF SANTAANA POSITION CLASSIFICATION AND PAY PLAN FOR CLASSIFICATION TITLES REPRESENTED BY THE SANTAANA MANAGEMENT ASSOCIATION ($AMA) MIDDLE MANAGEMENT ,MffjgATIONTITLE CITYTRAFFIC ENGINEER(MM) COMMUNITY DEVELOPMENT MANAGER (MM) COMMUNITY PRESERVATION MANAGER (MM) TITLE CHANGED TO CODE ENFORCEMENT MANAGER (MM) EFFECTIVE 711/15 COMMUNITY SERVICES MANAGER.(MM) CORPORATE YARD FACILITIES/FLEET SVCS MGR (MM) COUNCIL SERVICES MANAGER (MM) DEPUTY BUILDING OFFICIAL/NEW CONSTRUCTION (MM) DEPUTY BUILDING OFFICIAUPLAN CHECK (MM) DEPUTY CITY ATTORNEY (MM) S-STEP SALARY RATE -RANGE EFFECTIVE 10i01/14 SRR" MVIont 1y Salary MM-25 $ 8940-$13272 MM-22 $ 8303-$12324 MM-26 $ 9164-$13601 MM-22 $ 8303-$12324 MM-22 $ 8303-$12324 MM-22 $ 8303-$12324 MM-22 $ 8303-$12324 MM-26 $ 8940-$13272 MM-12 $ 6484-$ 9627 ECONOMIC DEVELOPMENT MANAGER (MM) MM•22 FACILITIES MAINTENANCE SUPERINTENDENT" (MM) MM-18 HOUSING DIVISION MANAGER (MM) MM-22 INFORMATION SERVICES MANAGER (MM) TITLE CHANGED TO MM-26 INFORMATION SERVICES AND NETWORK MANAGER (MM) TO EFFECTIVE 711115 MM-22 LIBRARY OPERATIONS MANAGER (MM) MM-17 PLANNING MANAGER (MM) MM-20 PRINCIPAL CIVIL ENGINEER (MM) MM-25 PUBLIC WORKS MAINTENANCE MANAGER (MM) MM-24 RISK MANAGER (MM) MM-23 SENIOR ASSISTANT CITY ATTORNEY (MM) MM-28 STRATEGIC COMMUNICATIONS MANAGER (MM) MM-19 TRANSIT PROGRAM MANAGER (MM) MM-26 TRANSPORTATION MANAGER (MM) MM-25 TREASURY AND CUSTOMER SERVICES MANAGER (MM) MM-29 WATER RESOURCES MANAGER (MM) MM-26 ZOO MANAGER (MM) MM•22 $ 8303 - $1.2324 $ 7522-$1.1164 $ 8303-$12324 $ 8940-$13272 TO $ 8303 - $12324 $ 7338-$10893 $ 9104-$13601 $ 8940-$13272 $ 8720-$12947 $ 8508-$12633 $ 9627-$14292 $ 7708-$11443 $ 8940-$13272 $ 8940-$13272 $ 8303-$1232.4 $ 9164-$13601. $ 8303-$12324 P- 0171210n ° Effer..tive 1011114, SRR obsolete due to 1,25% Inoreaso In4lau of Medical Rodrement Subsidy, *" "(AM)" is the parenthetical Identifier used to designate classification titles as Adminlalrative Management. °(MM)" is Ilia parenthetical Identifier weed to dealgnalo ciassilieatlon lilies as Middle Management. benefits and compensallon provisions for clasalliretion lilies roprosentod by SAMA are by Agromnent, and are outlined In the Memorandum of Understanding aetabllahed between the City and the 0arga6dng Unit. This Classlfloalion rind Pay plan was adopted Through Resolution on 61,10116, effective 711115, 55A-38 EXHIBIT F CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR FULL-TIME CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 1839/ SERVICE EMPLOYEES INTERNATIONAL, UNION LOCAL 721 (SEIU) 7-STEP SALARY RATE R6NQ.E EFFECTIVE 7f1113 SRR Mo0thly 5alary FULL-TIM CLA &C.ATION TITI g Minimum • MaxRnum ACCOUNTANT 684 $4601 -$6170 ACCOUNTANTII 662 $5278-$7073 ACCOUNTING ASSISTANT 583 $3586-$4810 ACCOUNTING ASSISTANT/SYSTEMSTECHNICIAN 583 $3586-$4810 ACCOUNTS PAYABLE SUPERVISOR 637 $4671-$6260 ACTIVE TRANSPORTATION COORDINATOR** 673 $5569-$7463 ASSISTANT BUYER* 598 $3861-$5176 ASSISTANT ENGINEER 702 $6415-$8599 ASSISTANT ENGINEER It 716 $6869-$9205 ASSISTANT FLEET EQUIPMENT TECHNICIAN $78 $3501-$4694 ASSISTANT INSTRUMENT TECHNICIAN 609 $4074-$5461 ASSISTANT LIBRARIAN 592 $3747-$5026 ASSISTANT PARKS/LANDSCAPEPLANNEiR 643 $4810-$6446 ASSISTANT PLAN CHECK ENGINEER 702 $6415-$8599 ASSISTANT PLAN CHECK ENGINEER II 716 $6869.$9205 ASSISTANT PLANNER 1 643 $4810. $6446 ASSISTANT PLANNER II 663 $5304-$71.07 ASSISTANTTRAFFICOPERATIONS ENGINEER 716 $6869-$9205 ASSOCIATE PARKAND LANDSCAPE PLANNER 693 $6140•$8229 ASSOCIATE PLAN CHECK ENGINEER 739. $7391-$9906 ASSOCIATE PLANNER 693 $6140-$8229 BIBLIOGRAPHIC TECHNICIAN 582 $3568-$4787 BUILDING INSPECTOR 643 $4810-$6446 BUILDING MAINTENANCE AIDE 561 $3221-$4317 BUILDING MAINTENANCE SUPERVISOR 653 $5051-$6768 BUILDING MAINTENANCE TECHNICIAN 601 $3915-$5252 BUILDING TECHNICIAN 595 $3803-$5101 BUSINESSTAXCOLLECTOR/INSPECTOR 607 $4034-$5408 BUYER 647 $4906-$6574 BUYER/SYSTEMS TECHNICIAN 647 $4906-$6574 CENTRAL SERVICES SUPERVISOR 607 $4034-$5408 COMBINATION BUILDING INSPECTOR 64.3 $4810-$6446 COMMUNITY DEVELOPMENT ANALYST 658 $5176-$6937 COMMUNITY DEVELOPMENT COMMISSION SECRETARY 579 $3519-$4718 COMMUNITY DWELOPMENT DISTRICT MANAGER 713 $6768 • $9073 COMMUNITY DEVELOPMEN1T1TiCHNICIAN 612 $4132-$5542 55A-39 EXHIESIT P Cankd CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR FULL-TIME CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 1939/ SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 (SEIU) EW L-TL=_C AS ION ITI COMMUNITY EVENTS SUPERVISOR' COMMUNITY LIAISON . NEW TITLE EFFECTIVE 7/1/16 COMMUNITY PRESERVATION INSPECTOR • TITLE CHANGED TO CODE ENFORCEMENT OFFICER EFFECTIVE 711115 COMMUNITY PRESERVATION TECHNICIAN - TITLE CHANGED TO CODE ENFORCEMENT TECHNICIAN 7--STEP SALARY RATE RANGE EFFECTIVE 7l1/13 99�b!Y r Minimum • M�xI-, �L1m 668 $6434-$7283 604 $6330•$7141 643 $4810•$6446 COM MUNITY SERVICES SUPERVISOR 683 $5847-$7837 COMPUTER OPERATOR 607 $4034-$5408 COMPUTER PROGRAMMER 650 $4978-$6670 COMPUTER SYSTEMS ANALYST/PROGRAMMER 670 $5488-$7355 CONSTRUCTION IN5PM- OR1 643 $4810-$6446 CONSTRUCTION INSPECTOR II 653 $5051. -$6768 CONTRACTS ADMINISTRATOR 643 $481046446 CORRECTIONAL RECORDS SPECIALIST 544 $2965 -$3974 CUSTODIALAIDEJPORTER 506 $2463-$3302 CUSTODIAN 536 $2853, $3822 CUSTODIAN SUPERVISOR 588 $3676-$4930 CUSTOMER SERVICE REPRESENTATIVE 591 $3728-$5002 DATA ENTRY OFFICE ASST 561 $3221-$4317 DATA ENTRY OPERATOR 552 $3082-$4132 DATA ENTRY SPECIALIST 561 $3221- $4317 DEPUTY CLERI(ORTHE COUNCIL 602 $3935-$5278 DOWNTOWN DEVELOPMENT LIAISON* 664 $5330-$7141 ECONOMIC DEVELOPMENTAIDE 611 $4132-$5542 ECONOMIC. DEVEL.OPMENT SPECIALIST 1 663 $5304-$7107 ECONOMIC DEVELOPMENT SPECIALIST it 693 $63.40-$8229 ECONOMIC DEVELOPMENT SPECIALIST HI 723 $71.07 - $9529 ELECTRICAL INSPECTOR 643 $4810-$6446 EMPLOYMENT SERVICES FISCAL SPECIALIS'r 634 $460:1.-$6170 ENGINEERING AIDE 597 $3841.-$51.51 ENVIRONMENTAL COORDINATOR 693 $6140-$8229 EQUIPMENT OPERATOR 602 $3935-$5278 55A-40 EXHIBIT F ConPd CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR FULL-TIME CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 1939/ SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 (SEIU) 7-STEP SALARY RATE RANGE S„ R� ManBhly 5alspv EULL-TIME CLAL8jHgAjjQtLj=I jt,0yl,lp,r„ a i u EQUIPMENT OPERATOR - WAPERSERVICES 607 $4034-$5408 EXECUTIVE SECRETARY 600 $3896-$5226 FACILITIES SUPERVISOR 653 $5051.-$6768 FLEET EQUIPMENT SUPERVISOR -TITLE CHANGED TO FLEET SERVICES SUPERVISOR EFFECTIVE7/1/15 667 $5408-$7247 FLEET EQUIPMENT TECHNICIAN I -TITLE CHANGED TO FLEET SERVICES TECHNICIAN I EFFECTIVE 7/1/15 608 $4054-$5434 FLEET EQUIPMENT' TECHNICIAN R - TITLE CHANGED TO FLEET SERVICES TECHNICIAN II EFFECTIVE 7/1/15 628 $4470. $5992 FLEET EQUIPMENT TECHNICIAN III - TITLE CHANGED TO FLEET SERVICES TECHNICIAN III EFFECTIVE 7/1/15 643 $4810 • $6446 FLEET PARTS SPECIAL15T 618 $4257-$5706 GENERAL MAINTENANCE AIDE 561 $3221•$4317 GENERAL MAINTENANCE LEADER 622 $4339-$5818 GENERAL MAINTENANCE SUPERVISOR 653 $5051-$6768 GENERAL MAINTENANCE WORKER 601 $391545252 G15ADMINISTRATOR 688 $5992-$802.9 GIS SYSTEMS ANALYST/PROGRAMMER - NEW TITLE EFFECTIVE 7/1/15 670 $5448-$7355 GRAPHICS DESIGNER 604 $3974-$5330 GRAPHICS DESIGNER II 624 $4382-$5876 HOUSING AUTHORITY AIDE 534 $2824-$3784 HOUSING AUTHORITY ANALYST 660 $5226-$7005 HOUSING AUTHORITY COORDINATOR 723 $7107 - $9529 HOUSING AUTHORITY INTAKE SPECIALIST 549 $3040 - $4074 HOUSING AUTHORITY OPERATIONS SUPV. 681. $5790-$7761 HOUSING PROGRAMS AIDE 572 $3398 • $4556 HOUSING PROGRAMS ANALYST 681 $5790-$7761 HOUSING PROGRAMS COORDINATOR 723 $7107-$9529 HOUSING SPECIALIST I 582 $3568 • $4787 HOUSING SPECIALISTII 606 $4014-$5382 INFORMATION SERVICES REPRESENTATIVE 596 $3822-$5126 INSTRUMENT TECHNICIAN 623 $4360-$5847 INTAKE SPECIALIST 549 $3040�$4074 LANDSCAPE DEVELCPME:NTASSOCILNIT 693 $6140-$8229 55A-41 AKWAMc ,�s d CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR FULL-TIME CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 19391 SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 (SEIU) 7-STEP SALARY RATE RANGE SRR Month -I aS lm FULL«�SIPICA1lON TITLE Minim Maximum LEAD ACCOUNTING ASSISTANT 617 $4236-$5678 LEAD CORRECTIONAL RECORDS SPECIALIST 586 $3640-$4882 LEAD POLICE RECORDS SPECIALIST 596 $3822-$5126 LIBRARIAN 632 $4556-$6110 LIBRARYAIDE 489 $2268•$3040 LIBRARY SERVICES ASSISTANT 534 $2824-$3784 LOAN SPECIALIST 633 $4579 - $6140 MAIL CLERK/MESSENGER 515 $2574•$3449 'MAtN'f-EN>aN('.C'-A�t91'3'T7kN•T——_._.�.�_._____r7'36 _.__...$2$T53=`33'822 MAINTENANCE WORKER 556 $31.44-$4215 MAINTENANCE WORKER II 576 $3467-$4648 METER READER COLLECTOR 582 $3568-$4787 MICROSYSTEMS PROGRAMMER 678 $5706-$7647 MICRO SYSTEMS TECHNICIAN 612 $4132-$.5542 NEIGHBORHOOD IMPROVEMENT PROJECTS SPECIALIST* 663 $5304-$7107 NETWORK ENGINEER 718 $6937-$9296 NETWORK SPECIALIST/WAN SYSTEM$ ADMINISTRATOR 678 $5706-$7647 NPDES MANAGER - NEW TITLE EFFECTIVE 7/1/15 703 $6446 • $8641 OFFICE ASSISTANT 534 $2824 • $3784 OFFICE SPECIALIST 509 $2500-$3352 OFFICE SUPERVISOR 603 $3954-$5304 PARK MAINTENANCE AIDE 434 $1734-$2322 PARK MAINTENANCE INSPECTOR I - TITLE CHANGED TO PARK SERVICES INSPECTOR I EFFECTIVE 7/1/15 561 $3221. - $4317 PARK MAINTENANCE INSPECTOR Il . TITLE CHANGED TO PARK SERVICES INSPECTOR II EFFECTIVE]/1/15 605 $3994-$5356 PARK MAINTENANCE LEADER 605 $3994 • $5856 PARK MAINTENANCE SUPERVISOR - TITLE CHANGED TO PARK SERVICES INSPECTION SUPERVISOR EFFECTIVE 7/1/15 653 $5051-$6768 PARK RANGER 622 $4339-$5818 PARKING METER OPERATIONS SUPERVISOR 615 $4194 -$5623 PARKING METER TECHNICIAN 565 $3285-$4404 PARKING METER TECHNICIAN 11 595 $3803 -$5101 PERMITPROCF:SSOR 581 $3550-$4764 55A-42 EWRI F Conu CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR FULL-TIME CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 19391 SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 (SEIU) 7-STEP SALARY RATE RANGE EFFgq E711113 ,$RR Manthly Salary FULL-TIME CI ASSIFICAT,,(O�(T�TL-E, Minimum - Ma imu PERMIT SUPERVISOR 663 $5304-$7107 PERMIT'TECHNICIAN 633 $4579-$6140 PLAN EXAMINER (T) 662 $5278-$7073 PLANNING ASSISTANT 623 $4360-$5847 PLANNING COMMISSION SECRETARY 600 $3896-W26 PLUMBING INSPECTOR 643 $4810-$6446 POLICE FISCAL OFFICER 681 $5790-$7761 POLICE FISCAL SERVICES SUPERVISOR 650 $4978 �$6670 POLICE RECORDS SPECIALIST 554 $3113 - $4173 POLICE RECORDS SUPERVISOR 621 $4317-$5"0 POLICE SYST'EMSSUPPORT ANALYST 698 $6291-$8431 PRINCIPAL LIBRARIAN 652. $5026-$6735 PRINCIPAL PROGRAMMER ANALYST 718 $6937-$9296 PROGRAMMER ANALYST 678 $5706-$7647 PROJECTS MANAGER 703 $6446-$8641. PROPERTY CONTROL SPECIALIST 582 $3568-$4787 PROPERTY REHABILITATION ASSISTANT 582 $3568-$4787 PUBLIC WORKS DISPATCHER 566 $3302-$4426 PUBLIC WORKS PROJECT MANAGER - NEW TITLE EFFECTIVE 7/1/15 754 $8269-$11086 PUBLIC WORKS PROJECTS SPECIALIST 663 $5304-$7107 PURCHASING ASSISTANT 572. $3398-$4556 PURCHASING SPECIALIST 583 $3586-$4810 PURCHASING SUPERVISOR 692 $61.10-$8189 RECEPTIONIST 549 $3040- $4074 RECORDS SPECIALIST 577 $3484-$46.71 RECREATION LEADER 522 $2663-$3568 RECREATION PROGRAM COORDINATOR 602 $3935-$5278 REPROGRAPHICEQUIPMENTOPFRATOR 541 $2921.-$3915 RESIDENTIALCONSTRUCTIONSPL""CIAL15T 643 $4810-$6446 REVENUEANDCONTRACTCOMPL.IANCEAUDITOR 662 $5278-$7073 REVENUE AND CONT'RACT'COMPLIANCEEXAMINER"" 662 $5278-$7073 REVENUE PROCESSING ASSISTANT 552 $3082-$41.32 REVENUE SUPERVISOR 637 $4671-$6260 SAFETY COORDINATOR- NEW TITLE EFFECTIVE 7/l./15 690 $6050-$81.09 55A-43 EXHIBIT F Con4'd CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR FULL-TIME CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 19391 SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 (SEIU) 7-STEP SALARY RATE BAN -GE EFFECTIVE 711/13 SR o El I Setary FULL-TIME CLASSIFICATION TITLE Minimum • Maxlmum SANITATION INSPECTOR 592 $3747-$5026 SANITATION INSPECTOR II 633 $4579 - $6140 SECRETARY 579 $3519-$4718 SECURITY ELECTRONICS TECHNICIAN 656 $5126-$6869 SENIOR ACCOUNTANT 681 $5790-$7761 SENIOR ACCOUNTING ASSISTANT 598 $3861-$5176 SENIOR ACCOUNTING ASSISTANT/SYSTEMSTECHNICIAN 598 $3861-$5176 SENIOR ASSISTANT ENGINEER 731 $7391-$9906 S'EN'IO'R`DU'IL'171NCiINSPECTOR-__._�__ SENiOR CIVIL ENGINEER 754 $8269-$11086 SENIOR COMBINATION WILDING INSPECTOR 663 $5304-$7107 SENIOR COMMUNITY DEVELOPMENT ANALYST 687 $5963-$7989 SENIOR COMMUNITY PRESERVATION INSPECTOR - TITLE CHANGED TO CODE ENFORCEMENT SUPERVISOR EFFECTIVE 7/1/15 663 $5304-$7107 SENIOR CORRECTIONAL RECORDS SPECIALIST 571 $3381-$4533 SENIOR DEPUTY CI.ERK OFTHE COUNCIL 632 $4556. $6110 SENIOR ELECTRICAL INSPECTOR 663 $5304-$7107 SENIOR ELECTRICAL SYSTEMS SPECIALIST 663 $5304-$71,07 SENIOR ENGINEER 754 $8269-$11086 SENIOR FLEET EQUIPMENT SUPERVISOR -TITLE CHANGED TO SENIOR FLEET SERVICES SUPERVISOR EFFECTIVE 7/1/201,5 687 $5963-$7989 SENIOR GRADING SPECIALIST 663 $5304 • $7107 SENIOR HOUSING SPECIALIST 644 $4834-$6478 SENIOR LAND SURVEYOR 764 $8683••$11640 SENIOR LIBRARIAN 637 $4671-$6260 SENIOR LIBRARY TECHNICIAN (T) 592 $3747-$5026 SENIOR OI:FlCE ASSISTANT 561 $3221- $433.7 SENIOR OFFICE SPECIALIST 534 $2824-$3784 SENIOR PARR MAINTENANCE SUPERVISOR - TITLE CHANGED TO SENIOR PART( SERVICE5INSPECTION SUPERVISOR EFFECTIVE7/3,/15 683 $5847•$7837 SENIOR PLAN CI ECK ENGINEER 754 $8269-$1.1086 SENIOR PLANNER 713 $6768 - $907$ 55A-44 E) I T F Cn f'd CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR FULL-TIME CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 1939/ SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 (SEIU) 7-STEP8.ALARY RATE BANGE EFFECTIVE 7/1/13 SRR nnthl Salht_y FULL-TIME CLASSIFICA,T(Q,N `f"L MInlmum - MOXIMUM SENIOR PLUMBING INSPECTOR 663 $5304-$7107 SENIOR PLUMBING/MECHANICAL SYSTEMS SPEC, 663 $5304-$7107 SENIOR POLICE RECORDS SPECIALIST 581 $3550-$4764 SENIOR PROGRAMMER ANALYST 698 $6291-$8431 SENIOR RECEPTIONIST 579 $3519-$4718 SENIOR RESIDENTIAL CONSTRUCTION SPECIALIST 663 $5304-$7107 SENIOR SYSTEMS ADMINISTRATOR 670 $5488 - $7355 SENIOR TRAFFIC ENGINEER 754 $8269-$11086 SENIORT'RANSPORT"ATIONANALYST 754 $8269-$11086 SENIOR WATER SERVICES SUPERVISOR -NEW TITLE EFFECTIVE 7/1/15 G88 $5992-$8029 SENIOR WATER SYSTEMS OPERATOR 643 $4810-$6446 STOCKCLERX 577 $3484-$4671 STOREKEEPER 612 $4132-$5542 STORES AND CITY YARD PROPERTY SPECIALIST"* 612 $4132 - $5542 STORMWATER COORDINATOR 673 $5569-$7463 STREET LIGHTING MAINTENANCE WORKER 612 $4132- $5542 STREET MAINTENANCE SUPERVISOR 653 $5051-$6768 STREET PAINTER 596 $3822-$5126 SUPERVISING ACCOUNTANT 703 $6446-$8641. SUPERVISING BUYER 677 $5678-$7609 SUPERVISING LIBRARYSERVICES ASSISTANT 566 $3302-$4426 SUPERV15ING PARK RANGER 647 $4906-$6574 SURVEY PARTYCHIEF 676 $5650-$7571. SURVEY PARTY TECHNICIAN 1 612 $43.32 -$5542 SURVEY PARTY TECHNICIAN II 643 $4810-$6446 SYSTEMS ADMINISTRATOR 638 $4694-$6291 SYSTEMS SUPPORT ANALYST 698 $6291- $8431 SYSTEMS TECHNICIAN 578 $3501-$4694 TELECOMMUNICAT'IONSCOORDINATOR 680 $5762-$'7723 TELECOMMUNICATIONS CUSTOMER SERVICE REP, 591 $3728-$5002 TENANT SERVICES TECHNICIAN $79 $3519-$4718 TREASURY SERVICES SPECIALIST* *"'"' 622 $4339-$5818 TREASURY SERVICES SUPERVISOR 637 $4671.-$6260 'FREE MAINTENANCE SUPERVISOR 653 $5051.-$6768 55A-45 EEXHISITF Can a CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR FULL-TIME CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 19391 SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 (SEIU) 7-STEP SALARYR T NOE EFFECTIVE 711113 SSRR, mgatAly Salary FULL-TIME CLASSIFICATION TITLE Minimum - Mtyit m TRF,ETRIMMER 596 $3822-$51.26 UTILITIES BILLING/SYSTEM5TECHNICIAN 591, $3728-$5002 VIDEO TECHNICIAN 634 $4601•$6170 WATER SERVICES CREW LEADER 627 $4448-$5963 WATER SERVICES METER REPAIRER 586 $3640-$4882 WATER SERVICES METER REPAIRER 1; 606 $4014-$5382 WATER SERVICES QUALITY COORDINATOR 678 $5706 - $7647 WATER SERVICES QUALITY INSPECTOR 638 $4694-$6291 WATER SERVICES SUPERVISOR 658 $5176-$6937 WATER SERVICES UTILITY INSPECTOR 638 $4694-$6291 WATER SERVICES WORKER 561 $3221•$4917 WATER SERVICES WORKER II 581 $3550-$4764 WATER SYSTEMS OPERATOR 589 $3695-$4954 WATER SYSTEMS OPERATOR11 609 $4074-$5461 WATER SYSTEMS OPERATOR III 623 $4360 - $5847 WEB SYSTEMS TECHNICIAN 578 $3501-$4694 WEBSITE ENTRY SPECIALIST 552 $3082 -$4132 WORK CENTER COORDINATOR 723 $7107-$9529 WORKFORCE SPECIALIST 1 578 $8501 • $4694 WORKFORCE SPECIALIST II 603 $3954-$5304 WORKPORCL•SPECIALIST 111 623 $4360-$5847 WORKFORCE SPECIALIST IV 678 $5706-$7647 YOUTH SERVICES TECHNICIAN 572 $3398-$4556 ZOO ANIMAL REGISTRAR 583 $3586-$4810 ZOO CURATOR 632 $4556••$6110 ZOO CURATOR OP EDUCATION 632 $4556-$6110 ZOO EDUCATION SPECIALIST 583 $3586-$4810 ZOO KEEPER AIDE 491 $231.1-$3098 ZOO KEEPER 1 553 $3098 -$4152 ZOO KEEPER11 583 $3586-$4810 " Tltle/Salary created/changed offacllvo 4/01/14. TItlo/Salary oroated/chwood ortoctly¢ s(7,g/14. Tide/Salary croatodlahengod off ogllve WOV14, 55A-46 TlllefSalary oraatad effective 2/17115, Title/Salary created effective 3/1115. Benefits and compensation provisions for full-time classification tillos represented by SEW are by Agrseman6 and are outlined in the Memoracclum or Understanding established between the City and the Bargaining Unit. "'•"` This Classhicatlon and Fay Plan was adopted through Resolution on 8/18/16, effective 7/1/15. 55A-47 I [BIT G CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR PART-TIME CIVIL SERVICE EMPLOYEES IN FULL-TIME CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 1939/ SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 (SEIU) SALARY RATE RANGE EF�'�fi�lVE 711/13 SI Monthly Salxry FULL TIME CLASSIFICATION TITLE Minimum. Maximum ACCOUNTANTI 644 $4834-$0170 ACCOUNTANT II 672 $5542 - $7073 ACCOUNTING ASSISTANT 593 $3765-$4810 ACCOUNTING ASSISTANT/SYSTEMS TECHNICIAN 593 $3765 -$4810 ACCOUNTS PAYABLE SUPERVISOR 647 $4906-$6260 ACTIVE TRANSPORTATION COORDINATOR** 683 $5847-$7463 ASSISTANT BUYER* 608 $4054 - $5176 ASSISTANT ENGINEER 1 712 $6735 - $8.599 ASSISTANT FLEET EQUIPMENT TECHNICIAN 688 $567644694 ASSISTANT INSTRUMENT TECHNICIAN 619 $4278-$5461 ASSISTANT LIBRARIAN 602 $3935-$5026 ASSISTANTPARKS/LANDSCAPE PLANNER 663 $5051-$6446 ASSISTANT PLAN CHECK ENGINEER 712 $6735-$8599 ASSISTANT PLAN CHECK ENGINEER 11 726 $721.1-$9205 ASSISTANT PLANNER 663 $5051-$6446 ASSISTANT PLANNER II 073 $5569-$7107 ASSISTANTTRAFFIC OPERATIONS ENGINEER 726 $7211-$9205 ASSOCIATE PARK AND LANDSCAPE PLANNER 703 $6446 - $8229 ASSOCIATE PLAN CHECK ENGINEER 741 $7761-$9906 ASSOCIATE PLANNER 703 $6446-$8229 BIBLIOGRAPHICTECHNICIAN 692 $33747-$4787 BUILDING INSPECTOR 653 $505146446 BUILDING MAINTENANCE AIDE 571 $3381-$4317 BUILDING MAINTENANCE SUPERVISOR 663 $5304 -$6768 BUILDING MAINTENANCE TECHNICIAN 611 $4111-$5252. BUILDING TECHNICIAN 605 $3994-$5101 BUSINESS TAX COLLECTOR/INSPECTOR 017 $4236-$5408 BUYER 657 $5151.-$6574 BUYER/SYST'EMSTECHNICIAN 667 $5151-$6574 CENTRAL SERVICES SUPERVISOR 017 $4236-$5408 COMBINATION BUILDING INSPECTOR 663 $5051.-$6446 COMMUNI"IYDI;:VELOPMENT'ANAL.YST 568 $5434-$6937 COMMUNITY DEVELOPMENT COMMISSION SECRETARY 689 $3695 - $4718 COMMUNITY DEVELOPMENT DISTRICT MANAGER 723 $7107 - $9073 55A-48 �I•�,i_S17 G Cont'd CITY OF SANTAANA POSITION CLASSIFICATION AND PAY PLAN FOR PART-TIME CIVIL SERVICE EMPLOYEES IN FULL-TIME CLASSIFICATION TITLES REPRESENTED BY THE SANT'A ANA CITY EMPLOYEES, CHAPTER 10391 SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 (SEIU) 6•STEP SALARY RATE RANEE ARR MgnthlySelary FULL-TIME CLASSIFICATION TITLE Minfmu - nx9num COMMUNITY DEVELOPMENT TECHNICIAN 622 $4339 - $5542 COMMUNITY EVENTS SUPERVISOR " 678 $5706. $7283 COMMUNITY LIAISON - NEW TITLE EFFECTIVE 7/1PI6 674 $6696 - $7141 COMMUNITY PRESERVATION INSPECTOR. TITLE CHANGED TO CODE ENFORCEMENT OFFICER EFFECTIVE 711116 653 $5061 - $6446 COMMUNITY PRESERVATION TECHNICIAN • TITLE CHANGED TO CODE ENFORCEMENT TECHNICIAN EFFECTIVE 7/1115 005 $3994 • $5101 COMMUNITY SERVICES SUPERVISOR 693 $61,40 - $7837 COMPUTER OPERATOR 617 $4236 - $5408 COMPUTER PROGRAMMER 660 $5226-$6670 COMPUTER SYSTEMS ANALYST/PROGRAMMER 680 $5762 - $7355 CONSTRUCTION INSPECTOR 653 $5051-$6446 CONSTRUCTION INSPECTOR If 663 $5304-$6768 CONTRACTS ADMINISTRATOR 653 $5051-$6446 CORRECTIONAL RECORDS SPECIALIST 554 $3113-$3974 CUSTODIAL AIDE/PORTER 516 $2587-$3302 CUSTODIAN 646 $2995-$3822 CUSTODIAN SUPERVISOR 698 $3861- $4930 CUSTOMER SERVICE REPRESENTATIVE 601 $3915 - $5002 DATA ENTRY OFFICE ASST 671 $3381-$4317 DATA ENTRY OPERATOR 562 $3237 - $4132 DATA ENTRY SPECIALIST 571 $3381-$4317 DEPUTY CLERK OrTHE COUNCIL 612 $4132 - $5278 DOWNTOWN DEVELOPMENT LIAISON' 674 $5595-$7141 ECONOMIC DEVELOPMENTAIDE 622 $4339-$5542 ECONOMIC DEVELOPMENT SPECIALIST 1 073 $5569 - $7107 ECONOMIC DEVELOPMENT SPECIALIST it 703 $6446 - $8229 ECONOMIC DEVELOPMENT SPECIALIST 111 733 $7463 - $9529 ELECTRICAL INSPECTOR 663 $5051-$6446 EMPLOYMENT SERVICES FISCAL SPECIALIST 644 $4834-$6170 ENGINEERING AIDE 607 $4034 • $51.51, ENVIRONMENTAL COORDINATOR 703 %446—$8229 55A-49 MHIE IT G Conf'd CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR PART-TIME CIVIL SERVICE EMPLOYEES IN FULL-TIME CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 10301 SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 (SEIU) 6-STEP SALARY RATE RANGg EFFECTIVE711M LRR M-o_4ljjy_Ut -aa FULL-TIME CLASSIFICATION TIILIE MLnlmn.! Maxl=M EQUIPMENT OPERATOR 612 $4132 - $5278 EQUIPMENT OPERATOR. WATER SERVICES 017 $4236 -$5408 EXECUTIVE SECRETARY 610 $4091- $5226 FACILITIES SUPERVISOR 663 $5304 -$6769 FLEET EQUIPMENT SUPERVISOR - TITLE CHANGED TO FLEET SERVICES SUPERVISOR EFFECTIVE 7/l/15 677 $5678 - $7247 FLEET EQUIPMENT TECHNICIAN I - TITLE CHANGED TO FLEET SERVICES TEC14NICIAN I EFFECTIVE 7/1/15 618 $4257 -$5434 'FLErr,MUtPfrAENT'TrClqNI'CIAN'tl-- TITL5CHANGED-TO7ITEET------ SERVICES TECHNICIAN 11 EFFECTIVE 7/l/15 638 $4694 -$5992 FLEET EQUIPMENT TECHNICIAN III -TITLE CHANGED TO FLEET SERVICES TECHNICIAN III EFFECTIVE 7/1/15; 658 $5051 - $6446 FLEET PARTS SPECIALIST 828 $4470 - $S706 GENERAL MAINTENANCE AIDE 571 $3381-$4317 GENERAL MAINTENANCE LEADER 632 $4556-$5818 GENERAL MAINTENANCE SUPERVISOR 663 $5304 - $6768 GENERAL MAINTENANCE WORKER 611 $4111- $5252 GIS ADMINISTRATOR 608 $6291-$8029 GIS SYSTEMS ANALYST/PROGRAMMER - NEW TITLE EFFECTIVE 7/1/15 680 $5762 - $7355 GRAPHICS DESIGNER 1 614 $11173 - $5330 GRAPHICS DESIGNER 11 634 $4601,.$5876 HOUSING AUTHORITY AIDE 644 $2965 -$3784 HOUSING AUTHORITY ANALYST 670 $5488 - $7005 HOUSING AUTHORITY COORDINATOR 73S $7463 - $9529 HOUSING AUTHORITY INTAKE SPECIALIST 669 $3192 - $4074 HOUSING AUTHORITY OPERATIONS 8UPV, 691 $6080 - $7761 HOUSING PROGRAMS AIDE 682 $3568 - $4556 HOUSING PROGRAMS ANALYST 691 $6080-$7761 HOUSING PROGRAMS COORDINATOR 731 $7463 - $9529 HOUSING SPECIALISTI 592 $3747 - $4787 HOUSING SPECIALIST 11 616 $4215 - $5382 INFORMATION SERVICES REPRESLNTAl IVE 606 $4014 - $5126 INSTRUMENT TECHNICIAN 633 $4579 - $5811-1 INTAKE SPECIALIST 569 $3192 - $4074 55A-50 Moff G Conte CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR PART-TIME CIVIL SERVICE EMPLOYEES IN PULL -TIME CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 19391 SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 (SEIU) FULL-TIME _CLASSIFICATlg jjyLg LANDSCAPE DEVELOPMENT ASSOCIATE LEAD ACCOUNTING ASSISTANT LEAD CORRECTIONAL RECORDS SPECIALIST LEAD POLICE (RECORDS SPECIALIST LIBRARIAN LIBRARY AIDE LIBRARY SERVICES ASSISTANT LOAN SPECIALIST' MAIL CLERK/MESSE:NGER MAINTENANCE ASSISTANT MAINTENANCE WORKER I MAINTENANCE WORKER II METER READER COLLECTOR MICRO SYSTEMS PROGRAMMER MICRO SYSTEMS TECHNICIAN NEIGHBORHOOD IMPROVEMENT PROJEC`I"S SPECIALIST" NETWORK ENGINEER NETWORK SPECIALIST/WAN SYSTEMS ADMINISTRATOR NPDES MANAGER - NEW TITLE EFFECTIVE 7/1/15 OFFICE ASSISTANT OFFICE SPECIALIST OFFICE SUPERVISOR PARK MAINTENANCE AIDE PARK MAINTENANCE INSPECTOR 1-TITLE CHANGED TO PARK SERVICES INSPECTOR IEFFECTIVE 7/9,/15 PARK MAINTENANCE INSPECTOR It - TITLE CHANGED TO PART( SERVICES INSPECTOR II EFFECTIVE 7/1/3.5 PARK MAINTENANCE LEADER PARK MAINTENANCE SUPERVISOR - TITLE CHANGED TO PARK SERVICES INSPECTION SUPERVISOR EFFECTIVE 7/1/15 PARK RANGER PARKING METER OPERATIONS SUPERVISOR PARKING METER TECHNICIAN I PARKING METER TECHNICIAN II 6-STEP SALARY B61E RANGE EFFECTIVE 71/13 SRf IonthlV Salary MlnIMgW . Maximum 703 $6446-$8229 627 $4448-$5678 696 $3822-$4882 608 $4014-SS126 642 $4787-$6110 499 $2381-$3040 644 $2965-$3784 643 $4810•$6140 526 $2703-$3449 646 $2995•$3822 556 $3302<$4215 606 $3640-$4648 692 $3747-$4787 6$8 $5992-$7647 622 $4339-$5542 673 $5569-$7107 728 $7283-$9296 688 $5992-$7647 713 $6768-$8641 644 $2955-$3784, 619 $2626-$3352 613 $4152 - $5304 444 $1820 - $2322 571 $3381-$4317 61.5 $4194 - $5356 615 $4194-$5356 663 $5304-$6758 632 $4556-$5818 625 $4404-$5623 676 $3449••$4404 6M $3994-$51,01 55A-51 Coned CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR PART-TIME CIVIL SERVICE EMPLOYEES IN FULL-TIME CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 19391 SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 (SCIU) PUL.-TIME CLASSIFICATION TITLE PERMIT PROCESSOR PERMIT SUPERVISOR PERMIT TECHNICIAN PLAN EXAMINER (T) PLANNING ASSISTANT PLANNING COMMISSION SECRETARY PLUMBING, INSPECTOR POLICE FISCAL OFFICER 6-STEP SALARY RATE RANGE F€.�.?IVE 711113 APPR, Monthly Sjl_ {Ninlm�ryy Maxlrnum 601 $3728-$4764 673 $5569-$7107 043 $4810-$6140 87P $5542•$7073 633 $4579-$5847 610 $4091.$5226 653 $5051-$6446 691 $6080-$7761 -BU(F.-.-.-$.5226-- $6670 POLICE RECORDS SPECIALIST 664 $3269-$4173 POLICE RECORDS SUPERVISOR 631 $4583-$5790 POLICE SYSTEMS SUPPORT ANALYST 708 $6606-$8431 PRINCIPAL LIBRARIAN 662 $5278 - $6735 PRINCIPAL. PROGRAMMER ANALYST 728 $7283 - $9296 PROGRAMMER ANALYST 688 $5992-$7647 PROJECTS MANAGER 713 $6768-$8641. PROPERTY CONTROL SPECIALIST 692 $3747 - $4787 PROPERTY REHABILITATION ASSISTANT 692 $3747 - $4787 PUBLIC WORKS CREW LEADER 612 $4556 - $581.8 PUBLIC WORKS DISPATCHER 676 $3467 - $4426 PUBLIC WORI(S PROJECT MANAGER - NEW TITLE EFFECTIVE 7/1/15 764 $8683•$11086 PUBLIC WORKS PROJECTS SPECIALIST 673 $5.969 - $71:07 PURCHASING ASSISTANT 582 $3568-$4556 PURCHASING SPECIALIST 693 $3765-$483.0 PURCHASING SUPERVISOR 702 $6415 • $8189 RECEPTIONIST 659 $3192-,$4074 RECORDS SPECIALIST 567 $3658-$4671 RECREATION LEADER 632 $2796-$3568 RECREATION PROGRAM COORDINATOR 612 $4132 - $5278 REPROGRAPHIC EQUIPMENT OPERATOR 551 $3067-$391.5 RESIDE..Vr AI. CONSTRUCTION SPECIALIST 653 $5051- $6446 REVENUE AND CONTRACT COMPLIANCE AUDITOR 672 $5542 - $7073 REVENUE AND CONTRACT COMPLIANCE EXAMINER" 672 $5542 - $7073 REVENUE, PROCESSING ASSISTANT 662 $3237 � $4132 55A-52 EXHISIT G CvnVd CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR PART-TIME CIVIL SERVICE EMPLOYEES IN FULL-TIME CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 193DI SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 (SEIU) 6-STEP SALARY RATE RANGE EFFECTIVE 711113 SRR alary FULL-TIME CLASSIFICATION T TLE Mlnimunt-aXlm4�m REVENUE SUPERVISOR 047 $4906 - $6260 SAFETY COORDINATOR . NEW TITLE EFFECTIVE 7/1/15 700 $6353 -$8109 SANITATION INSPECTOR 602 $3935-$5026 SANITATION INSPECTOR II 643 $4810-$6140 SECRETARY 689 $3695-$4718 SECURITY ELECTRONICS -TECHNICIAN 6W $5382.$6869 SENIOR ACCOUNTANT 691 $6080-$7761 SENIOR ACCOUNTING ASSISTANT 608 $4054 • $51.7G SENIOR ACCOUNTING ASSISTANT/SYS-TEMSTECHNICIAN 608 $4054-$5176 SENIOR ASSISTANT ENGINEER 741 $7761- $9906 SENIOR 13LJILDING INSPECTOR 673 $5569-$7107 SENIOR CIVIL ENGINEER 764 $8683 - $11086 SENIOR COMBINATION BUILDING INSPECTOR 673 $5569 - $7107 SENIORCOMMUNITY DEVELOPMENT ANALYST 697 $6260 - $7989 SENIOR COMMUNITY PRESERVATION INSPECTOR -TITLE CHANGED TO CODE ENFORCEMENT SUPERVISOR EFFECTIVE 7/1/15 673 $5569-$7107 SENIOR CORRECTIONAL RECORDS SPECIALIST 58-1 $3550. $4533 SENIOR DEPUTY CLERK OF THE COUNCIL 642 $4787-$61.10 SENIOR ELECTRICAL INSPECTOR 673 $5569•$7107 SENIOR ELECTRICAL SYSTEMS SPECIALIST 673 $5569 - $7107 SENIOR ENGINEER 764 $8683 - $11,086 SENIOR FLEET EQUIPMENT SUPERVISOR - TITLE CHANGED TO SENIOR FLEET SERVICES SUPERVISOR EFFECTIVE 7/1/2015 697 $6260•$7989 SENIOR GRADING SPECIALIST 873 $5569-$7107 SENIOR HOUSING SPECIALIST 654 $5076-$6478 SENIOR LAND SURVEYOR 774 $9117 - $11640 SENIOR LIBRARIAN 647 $4906-$6260 SENIOR LIBRARYTECHNICIAN (T) 602 $3935, $5026 SENIOR OFFICE ASSISTANT 571 $3381- $4317 SENIOR OFFICE SPECIALIST 544 $2965 • $3784 SENIOR PARK MAINTENANCE SUPERVISOR - TITLE CHANGED TO SENIOR PARK SERVICES INSPECTION SUPERVISOR EFFECTIVE 7/1/15 693 $6140-$7837 55A-53 f~XHIBIT O 900 CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR PART-TIME CIVIL SERVICE EMPLOYEES IN FULL-TIME CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 49391 SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 (SEIU) 6-STEP ,,SALARY RA9°E I& EFFECTIVE 711113 SRR Mnnf 1 Sala FUIwLTI E CLASSIEM&TM TITLE Oblullnin' AXL ym SENIOR PLAN CHECK ENGINEER 764 $8683 - $11086 SENIOR PLANNER 723 $7107-$9073 SENIOR PLUMBING INSPECTOR 673 $5569-$7107 SENIOR PLUM BINGIMECHANICAL SYSTEMS SPEC. 673 $5569 -$7107 SENIOR POLICE RECORDS SPECIALIST 601 $3728 - $4764 SENIOR PROGRAMMER ANALYST 708 $660648431 SENIOR RECEPTIONIST 689 $3695-$4718 SENIOR RESIDENTIAL CONSTRUCTION SPECIAUST 673 $5569-$7107 SENIOR TRAFFIC ENGINEER 764 $8683-$11086 SENIOR TRANSPORTATION ANALYST 764 $8683-$11086 SENIOR WATER SERVICES SUPERVISOR - NEW TITLE EFFECTIVE 711/15 698 $6291-$8029 SENIOR WATER SYSTEMS OPERATOR 663 $5051-$6446 STOCK CLERK 587 $3658 - $4671 STOREKEEPER 622 $4339•$5542 STORES AND CITY YARD PROPERTY SPECIALIST— 622 $4339 - $5542 STORMWATER COORDINATOR 683 $5847 - $7463 STREET LIGHTING MAINTENANCE WORKER 622 $4339 - $5542 STREET MAINTENANCE SUPERVISOR 663 $5304-$6768 STREET PAINTER 600 $4014-$5126 SUPERVISING ACCOUNTANT 713 $6768 - $8641 SUPERVISING BUYER 687 $5963 • $7509 SUPERVISING LIBRARY SERVICES ASSISTANT 676 $3467 - $4426 SUPERVISING-, PARK RANGER 667 $5151- $6574 SURVEY PARTY CHIEF 686 $5934 • $7571 SURVEY PARTY TECHNICIAN 1 692 $4339 - $5542 SURVEY PARTY TECHNICIAN II 653 $5051-$6446 SYSTEMS ADMINISTRATOR 848 $4930-$6291 SYSTEMS SUPPORTANALYST 708 $6606-$8431. SYSTEMS TECHNICIAN 688 $3676-$4694 TELECOMMUNICATIONS COORDINATOR 600 $6050-$7723 TELECOMMUNICATIONS CUSTOMER SERVICE REP. 601 $391.5 - $5002 TENANT SERVICES TECHNICIAN 580 $3695-$4718 TREASURY SERVICES SPECIALIST*`*'*, 032 $4556-$58:18 55A-54 Mi!Bi�G Con� CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR PART-TIME CIVIL SERVICE EMPLOYEES IN FULL-TIME CLASSIFICATION TITLES REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 19391 SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 (SEIU) 6-STEP SALARY RATE B_A"G EFFECTIVE 71,1113 SR MRnLhIXSaIary FULL-TIME CLASSIFICATION ON TITLE _ MInImum .&Almum TREASURY SERVICES SUPERVISOR 647 $4906 - $6260 TREE MAINTENANCE SUPERVISOR 663 $5304 - $6768 TREE TRIMMER 606 $4014 - $5126 UTILITIES BILLING/SYSTEMS TECHNICIAN 001 $3915 - $5002 VIDEO TECHNICIAN 644 $4834 -$6170 WATER SERVICES CREW LEADER 037 $4671- $5963 WATER SERVICES METER REPAIRER 1 690 $3822 - $4882 WATER SERVICES METER REPAIRER 11 616 $4215 -$5382 WATER SERVICES QUALITY COORDINATOR 688 $5992 - $7647 WATER SERVICES QUALITY INSPECTOR 648 $4930 - $6291 WATER SERVICES QUALITY SUPERVISOR 668 $5434 - $6937 WATER SERVICES SUPERVISOR 668 $5434 - $6937 WATER SERVICES UTILITY INSPECTOR 648 $4930 -$6291, WATER SERVICES WORKER 1 671 $3381- $4317 WATER SERVICES WORKER 11 991 $3728 - $4764 WATER SYSTEMS OPERATOR 1 699 $3880 - $4954 WATER SYSTEMS OPERATOR 11 619 $4278 - $5461. WATER SYSTEMS OPERATOR 111 633 $4579-$5847 WEB SYSTEMS TECHNICIAN 688 $3676 - $4694 WEBSITE ENTRY SPECIALIST 662 $3237- $4132 WORK CENTER COORDINATOR 733 $7463 - $9529 WORKFORCE SPECIALIST 1 588 $3676 - $4694 WORKFORCE SPECIALIST 11 613 $4152 - $5304 WORKFORCE SPECIALIST 111 633 $4579 - $5847 WORKFORCE SPECIALIST IV 668 $5992 - $707 YOUTH SERVICES TECHNICIAN 682 $3568 - $4556 ZOO ANIMAL REGISTRAR 593 $3765 - $4810 ZOO CURATOR 642 $4787 - $6110 ZOO CURATOR OF EDUCATION 642 $4787 - $6110 ZOO EDUCATION SPECIALIST 693 $3765 - $481.0 ZOO KEEPER AIDE 503 $2427 - $3098 ZOO KEEPER 1 563 $3253 - $4152 ZOO KEEPER 11 593 $3765 - $4810 55A-55 Footnote$ ° Title/Salary created effective 4101114, «" Tltie/Salary created effective 6120114, Title/Salary created effective 071011'14. •°'* TIt1618alory created effective 2/17116, Title/Salary created offeclive St1H6, Benefits and compensation provisions for part-Ome civil service olanslfloatfon titles represented by SEIU are by Agreement and are. outlined In the Memorandum of Understanding established between the City and the Bargaining Unit, '"11 This Classification and Pay Plan was adopted through Resolution on 6116116, effective 711116, 55A-56 Mi!T..t! CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR CLASSIFICATION TITLES FOR REPRESENTED CATEGORIES OF NON -CIVIL SERVICE PART-TIME EMPLOYMENT REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 19391 SERVICE EMPLOYEES INTERNATIONAL. UNION LOCAL 721 (SEIU) a•STEP UASIC HOURLY WAGE RAVES MEACTIVE 8111114 HourW S�El CLASSIFICATION TLF Mlrlfly,p - Maximum ACCOUNT CLERK 1 $1B.56 - $22.53 ACCOUNT CLERK II $20.53 - $24,95 ACCOUNTANT $31.53 , $38,33 ADMINISTRATIVE AIDE $23,53 - $28.60 ANIMAL. KEEPER 1 $11.56 - $14.04 ANIMAL KLEPER II WA 1- $16.28 BUILDING MAINTENANCE ASST. $20.22 - $24.57 CASHIER $11.34 - $13.80 CLERICAL_ AIDE $1327 - $16.14 CLERICAL ASSISTANT $ 9.09 - $11.04 CLERK TYPIST 1 $14.59 - $17.73 CLERK TYPIST 11 $17,14 - $20.81 COMBINATION INSPECTOR $28.74 - $34,95 COMMUNITY CENTER AIDE $17.52 - $2A,31 COMPUTER TECHNICIAN $18.70 - $Z2.76 CUSTOMER SERVICE CLERK $19.28 - $23.43 DATA ENTRY CLERK $15.98 - $19.45 EQUIP. SVC, ATTENDANT $17.99 - $21.86 GENERAL ASSISTANT $ %09 - $11.04 GRAPHICS AIDE $13.11- $15,9.5 HOUSING AUTHORITY ASST, $20.70 - $25.18 JANITOR $14,74 - $17.93 LIBRARIAN (PART-TIME $21,44 - $26,07 LIBRARY ASSISTANT $1.8.05 - $21.96 LIBRARY CLERK 1 $15.03 - $1.8.26 LIBRARY CLERIC 11 $16.65 - $20,22 LOSS CONTROL OFFICE ASST, $18.61- $22.62 MAINTENANCE AIDE $ 9.09-$11.04 MAINTENANCE AIDE 11 $10.07 MEDIA RELATIONS SPECIALIST $18.61-$22.62 MOBILE LIBRARY CLERK $1.8.32 - $22,29 MUNICIPAL UTILITY READER/COLL. $18.44 - $22.41 PAGE $ 9,09-$11.04 PAINTER $17.47 - $21.23 55A-57 EXHIBIT H Cont'd CITY ON SANTA ANA POSITION CLASSIFICATION AND PAY PLAN FOR CLASSIFICATION TITLES FOR REPRESENTED CATEGORIES OF NON -CIVIL SERVICE PART-TIME EMPLOYMENT REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 19391 SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 (SEIU) CLA IFICA IQNTITL PARK MAINTENANCE ASST, PARK RANGER (PART TIME) PARK SECURITY GUARD PARKING METER MAINTENANCE AIDE PERMIT PARKING AIDE PLANNING TECHNICIAN POLICE RECORDS CLERK I POLICE RECORDS CLERK II PROGRAM COORDINATOR PROGRAM LEADER I PROGRAM LEADER II PUBLIC WORKS RECORDS ASSISTANT PURCHASING AGENT PURCHASING CLERK RIGHT OF WAY TECHNICIAN SENIOR ADMINISTRATIVE AIDE SENIOR CLERICAL AIDE SENIOR PROGRAM LEADER SPECIAL EMP. COUNSELOR I SPECIAL EMP. COUNSELOR II SPECIAL EMP, COUNSELOR III SPECIAL EVENTS LEADER I SPECIAL EVENTS LEADER II SPORTS ATTENDANT SR, LIBRARY ASSISTANT SR. MAINTENANCE AIDE I SR, MAINTENANCE, AIDE It SR. MAINTENANCE WORKER SR. SPECIAL EMP, COUNSELOR SR, TUTOR STORES AIDE STRUCTURAL PLAN EXAMINER I STRUCTURAL PLAN EXAMINER II 6-STEP BASIC HOURLY WAGE RATES EFFE,C,,l SI11114 Haurly 5alary (I,�r 1 yr - xlrnutr� $15,62-$19.01 $25.93 - $31,54 $18.70 - $22.76 $16.97 - $20.63 $1.9.89 - $24.19 $23.64 - $ 28,74 $116,06 - $19.53 $17.47 - $21.23 $1SA8 - $18.49 $ 9.09 - $1.1.04 $3.0.48 - $12.72 $22.16 - $26.95 $29.32 - $35,62 $18.49 - $22.46 $1.4.87 - $18.07 $25,90 - $31.48 $15.03 - $18.25 $12,41- $15.05 $ 9.95 • $12,A9 $12,24 - $14.87 $1.3,78 - $16,74 $12,09 - $14.69 $1434 - $17.93 $ 9.09-$11.04 $19.16-$23.28 $11,50 - $13,95 $1.8.03-$15.86 $1.6.35 - $19.86 $14.87 - $18.07 $14.52. - $17.67 $17,16-$20,84 $31,54 - $38.33 $33,77 - $41.03 55A-58 EXHIBIT H Cono CITY OF SANTAANA POSITION CLASSIFICATION AND PAY PLAN FOR CLASSIFICATION TITLES FOR REPRESENTED CATEGORIES OF NON -CIVIL SERVICE PART-TIME EMPLOYMENT REPRESENTED BY THE SANTA ANA CITY EMPLOYEES, CHAPTER 19391 SERVICE EMPLOYEES INTERNATIONAL, UNION LOCAL 721 (SEIU) 5 STEP BASIC HOURLY WAGE RA.T EFFECTIVE„WgL4 ffgtE SY .?laSY CLASSIFICATION TITLE M nlmu - a Imam SUPERVISING PARK RANGER (PART TIME) $29.29-$35.62 TUTOR $1.2.24 • $14.87 pootlwto `"" This Onssiticatlon end Pay Plan was adopted through Resolution on 6/16115, etleolivo 7h1115. 55A-59 OBIT I1 CITY OF SANTA ANA POSITION CLASSIFICATION AND PAY PLAN CLASSIFICATION TITLES FOR SEASONAL AND OTHER UNAFFILIATED CATEGORIES OF NON -CIVIL SERVICE PART-TIME EMPLOYMENT C LASS IFI1tATI0N„TITLE ADMINISTRATIVE INTERN ANIMAL CONTROL OFFICER BACKGROUND INVESTIGATOR BUDGETINTERN COLD GASP INVESTIGATOR CORRECTIONAL SERVICES OFFICER ENGINEERING INTERN FINGERPRINT EXAMINER FORENSIC BALLISTICS TECHNICIAN LAW CLERK MANAGEMENT INTERN* POLICE CADET POLICE RESERVE LEVEL 1** POLICE RESERVE LEVEL 2" POLICE RESERVE LEVEL 8*" POLICE RESERVE SERGEANT** POLICE SPECIAL EVENTS OFFC. POLICE TRAINING FACILITATOR PROFESSIONAL STANDARDS INV REDEVELOPMENT PROJECT COORD SR. ADMINISTRATIVE INTERN STUDENT INTERN'** 6-STEP BASIC HOURLY WAGE RATES AFFECTIVE 7119109 Hourly Salaey (din mum . Maximum $12.23 - $14.88 $23 96 . $29.13 $28.45 - $34.60 $16.18-$1.9166 $2845 - $34.60 $20.01- $24.32 $16.18 - $19,66 $29.88 - $36.32 $24.56 - $29.87 $15.10 - $18,35 $18.68 - $19.61 $10.1.9-$12.43 $29,16 $20,83 $16.66 $32.08 $18.51- $22,53 $22.21-$27,00 $28.45 - $34,60 $42.06 - $51.,11 $14.72 - $1.7.89 $ 9,00-$10.93 Fooinoiep, " Two Step Wage Rates. *° One'Stop Wage Rate. "" Mlnirnupr Wape;,iep Inrgoase L"-ffsoilvs A1111-0. Thls ClauslQcatlon and Pay Plan was adopted through Resolution on 6110196. effsctiva 711118. 55A-60 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: APPROVE AMENDED AND RESTATED SOLID WASTE SERVICES AGREEMENT WITH USA WASTE OF CALIFORNIA, INC. (DEIA WASTE MANAGEMENT OF ORANGE COUNTY) (STRATEGIC PLAN NO. 4, 1) C TY MANAGER RECOMMENDED ACTION /_ 1 1i1�14! ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Approve the proposed Amended and Restated Solid Waste Services Agreement with USA Waste of California, Inc. (dba Waste Management of Orange County). 2. Authorize staff to start negotiation of a possible extension of the current agreement with USA Waste of California, Inc. (dba Waste Management of Orange County) for a period of two years. Staff will return to Council with results within 90 days for further consideration and direction. DISCUSSION On June 30, 1993, at the completion of a Request for Proposals process, the City entered into an agreement with Great Western Reclamation for solid waste collection and handling. Subsequently, there were 13 separate Council -approved amendments and resolutions in order to, among other things, establish fees, implement the 3-cart curbside trash collection service, and to extend the agreement term. The most recent of these amendments was approved on June 1, 2009 (Exhibit 1). In December 2015, the City Council approved a consultant services agreement with Sloan Vazquez to assist the City with a solid waste program transition. The scope included a comparison of solid waste services rates and level of service in ten comparable municipalities in Orange County. In addition to analyzing the services, the consultant was also tasked with providing an analysis of the options for either a new or extended contract. Separately, the City Attorney's office reviewed the current solid waste services agreement and recommended restating all amendments to the current solid waste services agreement into a single Amended and Restated Agreement ("Proposed Agreement"), and clarifying the pass -through and impact fees, for tracking and transparency purposes, as well as compliance with applicable legal requirements (Exhibit 2). 65A-1 Amended and Restated Agreement with USA Waste of California, Inc. (dba Waste Management of Orange County) April 18, 2017 Page 2 Action 1 • The Proposed Amended and Restated Agreement is a consolidation of all of the previous amendments and agreements and identifies a single franchise fee to replace a number of miscellaneous charges and transfers to the City (i.e., Program Surcharge, Administrative, NPDES, and other fees added to the cost of services). • All of the fees from residential, commercial, and industrial services will be consolidated and set forth as a single Franchise Fee of 26.15 percent (Exhibit 2). • The Proposed Agreement does not present any customer rate or service changes. The Proposed Agreement allows for pass -through of Sustainable Mobility and Roadway Transformation (SMaRT) Program fees should Council approve the program. • Waste Management of Orange County has agreed to the terms of the Amended and Restated Agreement. Action 2 A Request for Proposal (RFP) process requires at least 15-18 months for a city the size of Santa Ana to complete. Considering the expiration date of June 30, 2018, there is not adequate time to conduct a thorough RFP process, culminating in a new agreement. Furthermore, the Sloan Vazquez report recommends that it would be in the best interest of the City to extend the agreement for two years (July 1, 2018 — June 30, 2020). The primary reasons for the recommendation to extend the agreement are as follows: • The City must immediately address existing program gaps mandated by legislation, which will require modification to the current agreement. • Finalization of County of Orange renewable energy infrastructure plan during this time could provide local, lower -cost options not currently available. • Rollout of Los Angeles commercial franchise system requires transition of approximately 70,000 commercial accounts over next 9-12+ months and will place strain on equipment (truck, bin, etc.) manufacturing and delivery capabilities, will most likely raise those prices which would not be to the City's benefit, and impact human and capital assets available to most major haulers during that timeframe. • Current rates are competitive compared to ten other similar Orange County municipalities (not considering the current franchise fee) and services meet or exceed most offerings in those municipalities. The City would continue to benefit from the current contract benefits during the short-term contract extension • This will allow staff to conduct a competitive procurement process for a new, long-term agreement to commence July 1, 2020. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #4 — City Financial Stability, Objective #1 (maintain a stable, efficient and transparent financial environment). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. 65A-2 Amended and Restated Agreement with USA Waste of California, Inc. (dba Waste Management of Orange County) April 18, 2017 Page 3 FISCAL IMPACT There is n fiscal impa t associated with this item. Fred ousavipour Executive Director Public Works Agency FM/MLM/ck Exhibits: 1. Solid Waste Agreement History 2. Proposed Amended and Restated Agreement 65A-3 65A-4 a 4 G E E G a E m a � a m d G _ k G psi vE E c F. E V E E c E E E P E E C n S 3 o a Y m um a = w q b $ a a o J o o v 2 Y E E 3 9 3 E E E E E n N v E XI c E c E E \ E E e a 5 # a a o w a a a S C c yEe mE G E $ a k �E�m2vE o eewv c eavvEo „cusc�� v E d 5 u E E E o u 65A-5 65A-6 FOURTH AMENDED AND RESTATED AGREEMENT FOR COLLECTION AND HANDLING OF SOLID WASTES GENERATED, PRODUCED AND/OR ACCUMULATED IN THE CITY OF SANTA ANA by and between THE CITY OF SANTA ANA AND USA WASTE OF CALIFORNIA INC. EXHIBIT 2 65A-7 TABLE OF CONTENTS Pale RECITALS ............... 1 I . GRANT OF CONTRACT:...... 2 2, TERM OF CONTR.ACT:.................................................................... 2 3. DEFINITIONS: .................................................................................. 2 4. SCOPE OF SERVICE: ........................... :............................. ............................................. 6 5. COLLECTION HOURS: ........................................ ................ 6 6. HOLIDAYS :.............. 7 7. FREQUENCY OF COLLECTIONS: ......... ....... ............................ ............................ 7 8. MAINTENANCE OF SCHEDULES; ............................................................................... 7 9, EXCLUSIVENESS OF AGREEMENT: ......... ................ ............................................. 7 10. SOLID WASTE FRANCHISE FEE: ................................................................................. 8 11, AUTOMATED SYSTEM: ................................................................. 9 (a) -(I) Intentionally Omitted (g) REPLACEMENT OF RESIDENTIAL AND COMMERCIAL COLLECTION VEHICLES ................................................... 9 12, COLLECTION POINTS AND R.EQUIREMENTS:...... 9 13. SERVICES TO BE PROVIDED BY CONTRACTOR TO CITY FOR CITY OPERATIONS:................................................................................................................ 10 (a) CITY GOVERNMENT OPERATIONS............................................................. 10 (b) STREET SWEEPING....................................................................... ..................10 (e) , NEIGHBORHOOD CLEANUPS ......................................... 10 14. COLLECTION, RECYCLING, YARD WASTE DIVERSION AND DISPOSAL, REQUIREMENTS: ............................................... ..... I I (a) CURBSIDE SERVICE......,, .............................11 (1) Non -Recyclable Solid Waste Collection and, Recycling Plastic Carts.......................................................................... 11 (2) Recyolable Solid Waste Collection and Recycling Plastic Calls ............. 11 (3) Yud Waste Collection and Recycling Plastic Carts, I (b) BIN SERVICE.....................................................................................................11 (c) ROLL -OFF SERVICE. ..... ............................................. ........ It (d) TEMPORARY BIN SERVICE ............................................ 12 i 65A-8 TABLE OF CONTENTS (continued.) Page (e) PARKWAY CLEAN-UP FOLLOWING GARAGE SALES .............................12 (� ALLEY CLEAN -TIP FOLLOWING THE 1ST OF EACH MONTH................12 (g) DISPOSAL.......................................................................................................... 12 15. [RESERVED] 16, CIWMA REPORTING REQUIREMENTS: ................................................................... 13 17, SRRE CONSULTANT: ................................................................................................... 13 18. PUBLIC EDUCATION SERVICES: ..............................................................................14 19, STANDARDS FOR COLLECTION, EQUIPMENT AND NOISE: ... .......................... 15 20, MAINTENANCE OF BINS AND ROLL -OFF CONTAINERS:...................................1 S 21, COLLECTION OF BULKY ITEMS:.............................................................................16 22. CURBSIDE SERVICE PAYMENTS: .......................................... ................................ . 17 23. RESIDENTIAL BIN SERVICE RATES: ... .................................................................... 17 24. COMMERCIAL/INDUSTRIAL BIN SERVICE RATES: ......... ................................... 17 25. ROLL -OFF SERVICE RATES:_ ....................... __ ........................................... 18 26, COMPENSATION FOR GRANTS: .................................... ....... . .................. .............. 18 27, ADJUSTMENTS TO CHARGES: ....................... .......................................................... 18 (e) HAULING AND PROCESSING CHARGES.....................................................18 (1) PRICE INDICES.....................................................................................18 (2) CURBSIDE SERVICE........................................................................... 18 (3) BIN SERVICE AND ROLL -OFF SERVICE ......................................... I8 (b) GATE FEES.........................................................................................................19 (c) SOLID WASTE FRANCHISE FEE....................................................................19 (d) SMART FEES ..... .................... ............................................................................ 19 28, SPECIAL BIN SERVICES AND CUSTOMER SERVICE REQUIREMENTS .......... 19 29, MINIMUM SERVICE LEVELS - MULTI -FAMILY RESIDENTIAL BUILDINGS: ............................................................... ............................... 20 30. MINIMUM SERVICE LEVELS - COMMERCIAL/INDUSTRIAL BIN SERVICE AND ROLL -OFF SERVICES ........................................ 20 3L SERVICE STANDARDS:., ..............................................................21 ii 65A-9 TABLE OF CONTENTS (continued) Page 32. SUPERVISION: ....................... ....................................... .............................................. 21 33, TITLE TO SOLID WASTE: ........................................................................................... 21 34, FAILURE TO COLLECT: .............................. .............. .............................. ................. 21 35. DEFAULT, DAMAGES AND TERMINATION OF AGREEMENT: ......................... 22 36. LIQUIDATED DAMAGES: ...................... .. .................. .............................................. 24 37, USE BY CITY OF CONTRACTOR'S EQUIPMENT: ............................... — ........... ..... 25 38. COMPLAINTS: ........................ ...................................................... .......................... ... . 25 39. COMPENSATION REDUCTION DURING STRIKE PERIOD: .................................. 25 40. FEES AND GRATUITIES: ........................................... .......... ......................... ............ 26 41. LEGAL RELATIONS AND RES'PONSIBILITIES:...................................................... 27 (a) Applicable Laws.................................................................................................. 27 (b) Personnel..............................................................................................................27 (o) Permits and Licenses............................................................................................ 27 (d) Workers' Compensation Policy........................................................................... 27 (e) Public Liability lasurance................................................................................... 27 (f) Insurance Responsibility for CITY Owned Solid, Waste Collection and RecyclingVehicles.............................................................................................. 28 (S) Indemnification ................................................................................................28 (h) Enforcement of Scope of Services....................................................................... 29 (i) Waivers................................................................................................................29 42. SUBCONTRACTORS AND MANAGEMENT: ............................................................ 29 43. ACCOUNTING AND AUDITING; .... ............................................... ........... — ............. 29 44. BOND: ........................... ....... ...................... ................. -- ........ .......................... -- 30 45. MEDIA RELATIONS: ........... ........................ .............. ............ -- ................................ 30 4.6, NOTICES: ............... ... - ................................................ .................................................. 30 47. GENDER AND N'UMBER:............................................................................................ 31 48. VALIDITY:......—............................................................................................................31 49. ASSIGNABILITY: .............. —,— ...... ................................................. ......... ........... .... 31 50. GOVERNING LAW:....................................................................................................... 31 WASTE MANAGEMENT HOLDINGS INC. (WMH) GUARANTEE .................................... 33 iii 65A-10 TABLE OF CONTENTS (continued) Page EXHIBIT "A" _ SPECIFICATIONS.........................................................................................36 EXHIBIT "B" — NOT REQUIRED EXHIBIT "C" _ RATES............................................................................... 40 EXHIBIT "iY' — NOT REQUIRED iv 65A-11 FOURTH AMENDED AND RESTATED AGREEMENT FOR COLLECTION AND HANDLING OF SOLID WASTE GENERATED AND/OR ACCUMULATED IN THE CITY OF SANTA ANA This FOURTH AMENDED AND RESTATED AGREEMENT, made and entered into this I9`h day of April, 2017 by and between the City of Santa Ana, a charter city and municipal corporation duly authorized under the Constitution and laws of the State of California (referred to herein as "City")," and USA Waste of California Inc., a Delaware corporation dba Waste Management of Orange County, formally Great Western Reclamation, a division of Waste Management Collection and Recycling, Inc, a California corporation, hereinafter called, "CONTRACTOR," RECITALS 1. The Legislature of the State of California, by enactment of the California Integrated Waste Management Act of 1989, Division 30 of the California Public Resources Code, commencing with Section 40000 ("CIWMA"), declares that it is within the public interest to authorize and require local agencies to make adequate provisions for Solid Waste handling within their jurisdictions. 2. In the opinion of the City Council of the City of Santa Ana, the public health, safety and wellbeing require that the collection, transportation, and recycling, diversion by means of composting, mulching and/or transforming, and disposal of Solid Waste, including, but not limited to, the frequency and means of such collection, transportation and recycling, yard waste diversion or disposal, and the charges and fees therefore, be provided by contract to a qualified contractor, 3. On June 30, 1993, CITY and CONTRACTOR entered into an agreement for such Solid Waste collection and handling (the "Original Agreement"). 4. Since the execution thereof, CITY and CONTRACTOR jointly concurred that it would be in the best interest of the CITY and the residents therein that the Original Agreement be revised to provide for Solid Waste collection, recycling and disposal of Curbside Service Units by means of automated Solid Waste collection vehicles and Solid Waste collection and recycling plastic carts. 5. On June 1, 1996, CITY and CONTRACTOR entered into an agreement entitled "Amended and Restated Agreement for Collection and Handling of Solid Waste Generated and/or Accumulated in the City of Santa Ana" (hereinafter referred to as "Amended Agreement" to effectuate the new curbside service collection program. 6. On June 19, 1997, CITY and Contractor entered into an Agreement entitled "Second Amended and Restated Agreement for the Collection and Handling of Solid Waste Generated and/or Accumulated in the City of Sauna Ana" to clarify the responsibilities associated with the collection, handling, and processing of solid waste collected by Contractor, 7. On April 3, 2005, CITY and CONTRACTOR entered into an Agreement entitled "Third Amended and, Restated Agreement for the Collection and Handling of Solid Waste 1 65A-12 Generated and/or Accumulated in the City of Santa Ana" ("Third Amended Agreement"), in order to, among other things: (i) extend the term of the Agreement to June 30, 2018, (ii) incorporate new programs to increase recycling and reduce illegal disposal of used oil, as well as to reduce illegal dumping and litter throughout the City and (iii) include measures to ensure continued compliance with the 50% diversion requirernents as imposed by the State of California, 8. The parties again desire to amend the Third Amended Agreement in its entirety to incorporate the provisions of previous amendments and to clarify, update and realign the financial provisions of the Agreement. The City Council of the City of Santa Ana, hereby desires that CONTRACTOR be engaged to provide for both the collection of Solid Wastes within the corporate limits of the City of Santa Ana and the transportation of such Solid Wastes to appropriate places of processing, recycling, yard waste diversion, and disposal, and to perform such services on the terms and conditions set forth in this Agreement. NOW, THEREFORE, for the reasons recited above, and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: 1. GRANT OF CONTRACT: CITY hereby grants to CONTRACTOR, for the terra hereinafter set forth, the contract, right and privilege to collect, reeyole, divert by means of composting, rnulching, and/or transforming, dispose and transport, to appropriate facilities as set forth in this Agreement, all Solid Wastes (as herein defined and subject to the terns herein) generated, produced, kept and/or accumulated irr the City of Santa Ana, and CONTRACTOR, subject to all of the terms hereof, hereby accepts and agrees to faithfully perform such contract and obligation, 2. TERM OF CONTRACT: The term of this Agreement shall begin upon execution of this Agreement and shall extend to June 30, 2018. 3. DEFINITIONS: As used in this Agreement, the following words and phrases shall have the meaning assigned in this section, unless the context at. the point of usage clearly requires a different meaning. (1) Agreement shall mean this Amended and Restated Agreement, including the exhibits thereto and the docrunents incorporated herein by reference. (2) Auditor shall mean the certifted public accountant firth retained by City for auditing services. (3) 13in Service shall mean all Solid Waste collection setvlces provided by CONTRACTOR by means of front -loaded collection bins of various sizes, 65A-13 (4) California Integrated, Waste Manaaement Act V'CIWMA")") shall mean that act codified by California Public Resources Code Sections 40000 et seq., and any subsequent amendments thereto. (5) California Integrated Waste Manageinont Board shall mean the Board created by the California Integrated Waste Management Act, and any subsequent modifications thereto, aid shall encompass any other agency which assumes the duties of this Board. (6) CITY shall mean tho City of Santa Ana. (7) City tto ne shall mean the City Attorney of CITY, (8) City C :qjt_ilc1j shall mean the City Council of CITY. (9) City Manger shall mean the City Manager of CITY. (10) _Qjerk of the Council shall mean the Clerk of the Council of CITY. (11) Code shall mean the Municipal Code of CITY, both codified and miscellaneous ordinances. (12) Conmiercial/Ind.ustrial Bin Service shall mean Bin Service which is provided by CONTRACTOR to commercial and/or industrial units. (13) Commercial Solid Wastes shall mean Solid Waste orighlating from stores, business offices, commercial warehouses, hospitals, educational, health care, military and correctional institutions, non-profit research organizations and government offices, (14) Com osl means the product resulting from the controlled biological decomposition of 3 organic wastes that are source separated from the Solid Waste stream. (15) CoMposting means a method of wasto treatment Which Produces a product meeting the definition of "compost" herein. (16) Composting Facility means a state permitted Solid Waste facility at which composting is conducted and which produces a product meeting the definition of compost. (17) Construction and Demolition Solid Waste includes Solid Wastes, such as building materials, and packaging and nibble resulting from construction, remodeling, repair and demolition operations on streets, pavements, houses, commercial buildings, and other structures, (18) Contract shall mean this Agreement, entered into between CITY and CONTRACTOR. (19) CONTRACTOR shall mean USA Waste of California Inc., a California corporation, and shall also include the parent comparny Waste Management, Inc. (20) C. rbside Service Unit shall mean each single family residence and. duplex unit which receives crnbside collection services provided by CONTRACTOR. This shall include 65A-14 conmiereial curbside users and any multi -family, business or professional user which does not require Bin Service as determined by the Executive Director. (21) Customer shall mean a user of CONTRACTOR's bin or roll -off container service, (22) Disposal Site shall mean any licensed landfill site permitted by the California Integrated Waste Management Board for the receipt and ultimate disposition of Solid Waste, (23) Exeoutive Director shall mean the Executive Director of Public Works of CITY, or his or her designate. (24) Crate Fees shall mean those charges by a Disposal Site for Solid Wastes disposed of at said site, Gate Fees are also known as "tipping" fees and "landfill" fees. (25) Grass Receipts means and includes all revenues actually received by CONTRACTOR arising from, or attributable to, the services provided by CONTRACTOR to its Customers in the CITY pursuant to this Agreement. Gross Receipts include Gate Fees as defined herein. Gross Revenue does not include any revenue received by CONTRACTOR from the sale of Recyclable Solid Waste. Notwithstanding the above, "Gross Receipts" shall not include any SMaRT Fees collected by the CONTRACTOR from the customer as authorized by Section 7 of Exhibit "C" herein. (26) Hauling Charges shall mean those portions of the curbside, bin, roll -off and othor rates provided for in this Agreement which compensate CONTRACTOR for the Solid Waste collection and transporting services required of CONTRACTOR under this Agreement. The parties have agreed upon the initial Hauling Charges as set forth hereinafter, and such charges are subject to adjustments as provided in this Agreoment. (27) Hazardous Wastes are those wastes which, because of their physical or chemical, characteristics, and are defined as a "hazardous substance" or "hazardous waste" pursuant to the Resource Conservation and Recovery Act" ("RCRA"), caunot be disposed of in a Class III landfill Linder the applicable laws and regulations of the State of California. (28) Industrial Solid aster means Solid Waste originating from mechanized marrafa.cturing facilities, factories, refineries, and publicly operated treatment works, and/or Solid Wastes placed in bins and/or roll -off containers. (29) Licensed B ui inept means the Solid Waste collection and Recycling vehicles and Solid Waste collection and Recycling plastic carts licensed by the CITY to the CONTRACTOR pursuant to Section 11 of this Agreement. (30) Materials Recovery Facility means a facility permitted as a Solid Waste Facility by the California llrtegrated Waste Management Board for sorting, separating and processing of Recyclable Solid Wastes as well as the segregation and transportation. of non -Recyclable Solid Wastes to aDisposal Site. 65A-15 (31) Permitted Solid Waste Facility means a Solid Waste facility for which there exists a Solid Waste Facilities Permit issued by the local enforcement agency and concurred in, by the California Waste Management Hoard. (32) Person shall include, without limitation, associations, clubs, societies, firms, partnerships, sole proprietorships, corporations, schools, colleges and all governmental agencies and entities, as well as individuals, including the officers of such associations, corporations, etc. (33) Procossin means the reduction, separation, recovery, conversion or Recycling of Solid Waste. (34) Processing Charges, shall mean those portions ofthe curbside, bin, roll -off container and other rates provided for in this Agreement which compensate CONTRACTOR for Processing Solid Wastes collected by CONTRACTOR in the CITY and delivered by CONTRACTOR to a designated Materials Recovery Facility or Composting Facility. The parties have agreed upon the initial Processing Charges, as set forth hereinafter, and such charges are subject to adjustments as provided in this Agreement, The cost of transporting the residue of the CITY' S Solid Waste stream to a Disposal Site after Processing the Recyclable Solid Wastes therefrom and the cost of transporting Recyclable Solid Wastes to their ultimate destination shall be deemed part of this Processing Charge, but the gate fee charged at said Disposal Site for depositing said Solid Waste residue shall not be included in the Processing Charge. (35) Recyclable Solid Waste means and includes those Solid Wastes which may be sorted, cleansed, treated, processed and/or reconstituted for purposes of reuse. Recyclable Solid Wastes are not a separate category of materials, but merely an evolving portion of the entire stream of Solid Waste generated within the CITY, (36) Recyclint means collecting, sorting, cleansing, treating, Processing and reconstituting Rocyclable Solid Wastes for the purpose of reuse or sale. (37) Residential Bin Service shall mean Bin Service which is provided by CONTRACTOR to any and all residential users which request or require such services pursuant to this Agreement. (38) Residential -Solid Waste means Solid Waste originating from single-family or multiple family dwellings. (39) Roll -Off Service shall mean Solid Waste collection from transportable containers of 10 cubic yards or larger which are dropped off at a residence, commercial or industrial establishment and later removed for collection of contents of said container. Roli-Off Service includes compactors which maybe used with roll -off containers, (40) Solid Waste shall mean all Solid Wastes, including, but not'by way of limitation, Recyclable Solid Wastes, whether now recyclable or not, generated and/or accumulated by all residential, commercial and industrial sources, and at all construction and demolition sites within the CITY excluding that Solid Waste referred to in Section 9(a) herein; provided, however, that Solid Waste shall notbedeemed, forpwposes of this Agreement, to include any Hazardous Wastes as defined hereinabove, 65A-16 (41) Solid Waste Facility shall include a Composting Facility, Materials Recovery Facility or a transfer station. (42) Source Reduction and Recycling Element shall be the CITY'S plan for meeting the requirements of CIWMA. (43) Waste Tye means identified wastes having the features of a group or class of wastes that are distinguishable from any other Waste Type, as identified by the C1TY'S Source Reduction and Recycling Element. (44) Yard Waste means any wastes generated from the maintenance or alteration of public, commercial or residential landscapes including, but not limited to, leaves, yard clippings, tree trimming, brush, weeds and pruning. (45) Yard Waste Diversion shall mean the diversion from the waste stream of yard waste or organic waste and the composting, mulching, and/or transformation thereof. 4. SCOPE OF SERVICE: (a) CONTRACTOR shall furnish all labor, material, facilities and equipment necessary, except for those vehicles and, equipment which the CITY shall license to CONTRACTOR pursuant to Section I 1 herein, for the collection of all Solid Waste originating, generated and/or accumulated by any person within CITY boundaries, as they now exist or may hereafter exist, and shall transport, process, Recycle, divert by means of composting, mulching and/or transforming anti/or dispose of said Solid Waste in compliance with the terms of this Agreement. (b) All Solid Waste collected by CONTRACTOR within the CITY shall not be commingled in equipment and/or vehicles used by CONTRACTOR, whether such equipment and vehicles are owned by or licensed to CONTRACTOR pursuant to Section I herein, with Solid Waste from any other jurisdiction or person from outside the CITY limits; however, in the event of an emergency vehicle breakdown, a vehicle from a neighboring jurisdiction may complete the route of the vehicle which broke dawn. In this case, the CONTRACTOR must notify the CITY in waiting within twenty four (24) hours of such emergency breakdown and must also provide the CITY with the allocation of tonnages contained in the vehicle. 5. COLLECTION HOURS: (a) All collections from residential areas shall be made between the hours of 6:00 a.m. and 6:00 p,m, Collections from commercial and industrial locations greater than 100 feet from residential units may start at 3:00 a.m. and must terminate by 9:00 p.m., however, if complaints are received from such residential snits, the Executive Director may direct that collections in such areas shall be made between the horns of 6:00 a,m. arid 6:00 p,m. and in that event CONTRACTOR agrees to comply with such order. (b) Notwilhst:mding section (a) above, Solid Waste collected pursuant to Section 13 hereto shall be collected pursuant to the provisions contained therein. 65A-17 6. HOLIDAYS: Where, on a given route, the day of collection would be a legal holiday, CONTRACTOR shall collect along said route on the work day next following said legal holiday and collection on each day during said holiday week shall be similarly delayed one day. Legal holidays for the purpose of this Agreement shall be New Year's Day, Memorial Day, Independence Day, Labor Day, Thanksgiving Day, Christmas Day and such other days as may be mutually agreed upon in advance by the parties, 7. EREOUENCY OF COLLECTIONS: The Contractor will collect all Solid Waste from all areas of the CITY at least once each week and in addition will provide more frequent service for those Customers using the Bin Services or Roll -Off Services supplied by CONTRACTOR if requested by a Customer or if required by the CITY. Contractor shall provide additional collection services as set forth in Sections 14 (e) and (0, S. MAINTENANCE OF SCHEDULES: Presently existing routes, schedules and times for collection of Solid Waste shall be maintained but maybe changed by authorization of the Executive Director and at least one week's advance notification by CONTRACTOR to occupants of the buildings in the area where the changes are to be made, 9• EXCLUSIVENESS OF AGREEMENT: The CONTRACTOR shall have the exclusive duty, right and privilege to collect, transport, process, Recycle, divert by means of composting, :mulching, and/or transforming, retain and dispose of all Solid Waste, as defined in this Agreement, generated and/or accumulated within the CITY, except as provided below. CONTRACTOR recognizes that 'this grant of exclusiveness is subject to the restraints provided in Public Resources Code Sections 49320 et seq. (a) The grant of exclusiveness shall not include Construction and Demolition Solid Waste which has accumulated and/or been generated at a temporary construction site and w1deh is being disposed of in roll -off containers or in bins. (b) This Agreement shall not prohibit the persons who generate Solid Waste, or the persons who own the premises upon which solid waste has been generated or accumulated, from personally collecting, transporting and disposing of their own Solid. Waste so long as they dispose of such Solid Waste at a site permitted by the California Integrated Waste Management Board in accordance with all governing laws and regulations. (c) This Agreement shall not prohibit the persons Who generate Solid Waste, or the persons who own the premises upon which Solid Waste has generated or accumulated, fiom: (1) selling their Recyclable Solid Wastes, or, (2) donating their Recyclable Solid Wastes; provided, however, that in both instances, (a) the person must, on its premises, personally segregate (by Waste Type) from other Solid Waste the Recyclable Solid Waste to be sold or donated, and (b) the person may not pay the buyer or the donee any sirms, consulting fees or other fees in lieu of 65A-18 charging for collection, or other tangible consideration for collecting, Processing or transporting such segregated Recyclable Solid Wastes, A poison who simply receives a discount of, or reduction in, the collection and disposal service rates of its unsegregated Solid Waste shall not be deemed to be selling or donating Recyclable Solid Wastes for purposes of this exception, (d) This Agreement shall not prohibit a gardener, tree trimmer or person engaged, in landscape rnaintenanco who has a business license to operate in the CITY from collecting yard waste or other organic Solid. Wastes which it generates as an incidental portion of providing its licensed services, Arty yard waste or other organic Solid Waste collected pursuant to the exception provided by this subsection must be transported by the gardener, tree trimmer or person to a composting facility permitted by the California Integrated Waste Management Board in accordance with all laws and regulations. (e) This Agreement shall not prohibit collectors of Solid Waste originating outside the CITY from hauling such Solid Waste over CITY streets, provided such collectors comply with any governing laws or ordinances. (f) CONTRACTOR's right to collect and/or dispose of Solid Waste shall not be exclusive in the event of a failure to collect under Section 34 of this Agreement during which CONTRACTOR fails to maintain substantially complete regular collection services pursuant to this Agreement and the oolleotion schedules then in effect, for any reason, including a strike by CONTRACTOR's employees or similar labor dispute. The CITY may provide for collection and/or disposal by persons other than CONTRACTOR during such periods and may permit the public to obtain collection and/or disposal services from persons other than CONTRACTOR during such periods, including CONTRACTOR's Bin and/or Roll -Oft Service Customers. (g) CONTRACTOR shalt not have the exclusive right to collect and dispose of Solid Waste by providing Bin and/or Roll -Off Service if the conditions stated in Section 28(c) are applicable. 10, SOLID WASTE FRANCHISE FEM (a) CONTRACTOR shall pay to the CITY, as a franchise fee, twenty-six and fifteen - hundredths percent (26,15%) of the Gross Receipts received by CONTRACTOR for each applicable period. This amount may be increased by resolution of the City Council and, whenever said franchise fee is increased by resolution of tho City Council, CONTRACTOR shall be permitted, to pass through to its , Bin Service Customers and Roll -Off Service CuMomors one hundred ('100°/n) percent of the amount of such increase. Payments to the CITY of said franchise fee shall be made to the CITY on a monthly basis and'shall be due and payable on or before the last calendar day of the following month. Accompanying each payment will be a listing of the Gross Receipts for that corresponding ruonth. CONTRACTOR shall, whenever requested to do so, make available suoh records to the Executive Director at any reasonable tune. (b) Failure of CONTRACTOR to make any of the payments provided for in section (a) above on or before the crates due will result in a penalty of ten. (10%) percent per mouth to CONTRACTOR. 65A-19 11. AUTOMATED SYSTEM: (a)-(J) Intentionally Omitted (g) REPLACEMENT OF RESIDENTIAL AND COMMERCIAL COLLECTION VEHICLES: When any collection vehicles used by CONTRACTOR to provide services under this Agreement, have reached the end of their useful lives, the CONTRACTOR will provide at its expense, new low -emission collection vehicle replacements which meet or exceed the emission requirements of all Federal, State or Local air quality laws or regulations. All residential collection vehicles will display the City's recycling logo. The CONTRACTOR will also replace the Solid Waste collection and Recycling plastic carts as described in Exhibit A with new carts as needed, All replacement vehicles and carts provided shall be owned and operated by the CONTRACTOR. 12, COLLECTION POINTS _AND (a) CONTRACTOR shall not be required to collect Solid Waste from any Curbside SeiTice Unit unless the same is placed on the curb along a public or private street, or along an alley having street access at both ends, and is placed in Solid Waste collection and Recycling plastic carts provided to the Curbside Service Unit by CONTRACTOR and is prepared for collection in a manner prescribed by the CITY'S regulations covering the saute, Under no circumstances shall CONTRACTORbe required to pick up and collect anymatorial or matter which is not Solid Waste as defined in this Agreement, or to pick up and collect any Solid Waste fiom Curbside Service Units which does not comply with the following standards and limitations: (1) All Solid Waste shall be placed in the Solid Waste collection and Recycling plastic carts provided by CONTRACTOR to each Curbsidc Service Unit pursuant to the following: (a) Non -Recyclable Solid Waste shall be placed in burgundy plastic carts provided by CONTRACTOR; (b) Recyclable Solid Waste shall be placed in greyplastic carts provided by CONTRACTOR; said, (e) Yard Waste shall be placed in green plastic carts provided by CONTRACTOR. (2) All non -Recyclable Solid Waste, Recyclable Solid Waste and Yard Waste shall be placed in the appropriate Solid Waste collection and Recycling plastic carts adequate to eliminate over£l.ow or contamination of surrounding areas. Any non -Recyclable Solid Waste, Recyclable Solid Waste and/or Yard Waste which is not placed in a Solid Waste plastic cart which has been provided to the Curbside Service Unit will not be picked up; and, (3) Large, heavy items, including, without limitation, water heaters, couches, tables, refrigerators, stoves, and large pieces of furniture or household equipment shall be considered bully items which may be disposed of under the provisions of Section 21. 65A-20 (b) The aforementioned requirements to place non -Recyclable Solid Waste, Recyclable Solid Waste and Yard Waste in appropriate Solid Waste collection and Recycling plastic carts shall not apply to Christmas trees properly placed for collection. (c) Whenever any Solid Waste that does not comply with the above standards and limitations is not collected by CONTRACTOR, CONTRACTOR shall leave a notice, the format of which is subject to the approval of the CITY, indicating the reason for non -collection at such Curbside Service Unit. Said notice shall also contain the CONTRACTOR'S business name and his local telephone muubm. A copy of said notice shall be delivered, or sent viatelephone facsimile, to the CITY upon request by the Executive Director and, if the reason for noncollection is not corrected within seven (7) days, CONTRACTOR shall notify the CITY as to this continued nonoollection. 13, (a) CITY GOVERNMENT OPERATIONS: CONTRACTOR shall collect all Solid Waste and Construction and Demolition Solid Waste which is generated by CITY government operations at no cost to the CITY. The CITY shall provide CONTRACTOR with a list of locations ofbim and/or roll -off containers from which such Solid Waste shall be collected. Said list may be modified by time to time by the Executive Director, Solid Waste generated by such CITY operations shall be collected by CONTRACTOR per a schedule provided to CONTRACTOR by the Executive Director which schedule shall be approved between the CONTRACTOR and, the Executive Director. (b) STREET SWEEPING; The CONTRACTOR will coordinate with the Executive Director to ensure that Solid Waste collection is compatible with the CITY'S street sweeping operations. CONTRACTOR will be required to complete their designated routes each day so as not to interfere with the CITY'S street sweeping operations, (c) NEIGHBORHOOD CLEANUPS The Contractor shall snpply rolloff containers for CITYsponsored neighborhood cleanups at no cost to the CITY, The number of roll off containers shall not exceed a, maximum total ncunber of three hundred (300) containers annually. Notwithstanding the above, at any time that the CITY determines that the number of collections and/or the number of roll -off containers provided for in section (c) is not adequately meeting the CITY'S needs, then the CITY and CONTRACTOR agreo to meet and confer regarding these provisions, and may, by mutual agreement, modify the number of collections and/or roll -off containers, (d) The CONTRACTOR shall coordinate with the Executive Director to provide household hazardous waste collection events allowing residents to deliver their waste to a collection site for proper, disposal by CONTRACTOR. (e) The CONTRACTOR shall administer a Residential Mail -Back Service, providing containers approved for safe disposal of used medical sharps by residents. Whan the container is full, the resident will, mail it for incineration at an authorized facility. This program will be offered to residential customers who, for medical reasons, require the use of medical sharps. 10 65A-21 14. COLLECTION, RECYCLING, YARD WASTE DIVERSION AND DISPOSAL, (a) CURBSIDE SERVICE: CONTRACTOR shall provide each Curbside Service Unit within the CITY with a rainimurn of three (3) Solid Waste collection and Recycling plastic carts, Any provision of less than three (3) such plastic carts to any Curbside Service Unit shall be approved by the Executive Director. Each Solid Waste plastic cart shall be a different color as described in Section 12 above, CONTRACTOR shall be required to collect contents of each Solid Waste plastic cart once per week and CONTRACTOR shall be required to process the contents of said plastic carts as follows; (1) Non -Recyclable Solid Waste Collection and Recycling Plastic Carts; Contents of plastic carts containing Solid Waste shall be hauled directly to a legally authorized Disposal Site pursuant to subsection (a) herein. (2) Recyclable Solid Waste Collection and Recycling Plastic Carts; The contents of containers oontaining Recyclable Solid Waste shall be hauled to a Material Recovery Facility ("MRF"), which MRF shall be acceptable to the CITY, for Processing and diversion, All Solid Waste transported to said MRF shall be processed and the portion thereof which is recyclable shall be recycled by Waste Type in amounts so as to comply with CIWMA and the CITY'S Source Reduction and Recycling Element ("SRRE"), In the event that the MRF approved by the CITY is not operated by the, CONTRACTOR, CONTRACTOR will be responsible to subcontract for the use of such a. facility so as to ensure the CITY'S compliance with CIWMA.. (3) Yard Waste Collection and Recycling Plastic Carts; The contents of the plastic carts containing Yard Waste will be transported to a Composting Facility which meets all state, federal and local laws for Yard Waste .Diversion and which is acceptable to the CITY. CONTRACTOR shall be responsible to ensure that the Yard Waste collected by CONTRACTOR is diverted in compliance with CIWMA and the CITY'S SRRE. (b) BIN SERVICE: CONTRACTOR shall operate a Recycling program as described herein for Bin Service. Such Recycling program shall require that CONTRACTOR take the Solid Waste in bins which have clean "dry" loads to a MRF which is acceptable to the CITY for Processing and diversion, CONTRACTOR shall guarantee that, at e,minimum, fifty (50%) percent of the tonnage of Solid Waste winch is contained in bins aad which is determined to have a high recyclable content will be transported to a MRF. All Solid Waste which is transported to said rVIRF shall be processed and the portion thereof which is recyclable shall be recycled by Waste Type in amounts so as to comply with CIWMA and the CITY'S SRRE. In the event that the MRF approved by the CITY is not operated by the CONTRACTOR., CONTRACTOR will be responsible to subcontract for the use of such a facility so as to ensure the CITY'S compliance with CIWMA, CONTRACTOR shall be permitted to transport directly to a legally authorized Disposal Site those bins which are determined to have limited Recycling potential due to food or other types of contamination, Any modifications to the above -referenced percentage shall be approved by the Executive Director and shall be based on the diversion realized. (c) ROLL -OFF SERVICE: CONTRACTOR shall process all Solid Waste collected from its Roll -Off Service in cornpli-cuice with the CITY'S SRRE and CIWMA. CONTRACTOR I 65A-22 shall transport all Solid Waste collected by the CONTRACTOR from roll -off service within the CITY boundaries to a state permitted MRF, as provided in, and in compliance with, CIWMA, which MRF shall be acceptable to the CITY. All Solid Waste transported to said MRF shall be processed and the portion thereof which is recyclable shall be recycled by Waste Type in atnounts so as to comply with CIWMA and the CITY'S SRRE. In the event that the MRF approved by the CITY is not operated by the CONTRACTOR, CONTRACTOR will be responsible to subcontract for the use of such a facility so as to ensure the CITY'S compliance with CIWMA. (d) TEMPORARY BIN SERVICE: CONTRACTOR shall process all Solid Waste collected from temporary bins, not including Construction and Demolition Solid Waste, in compliance with the CITY'S SRRE and CIWMA. CONTRACTOR shall transport all Solid Waste collected by the CONTRACTOR from temporary bins within the CITY boundaries to a state permitted MRF, as provided in, and in compliance with, CIWMA, which MRF shall be acceptable to the CITY. All Solid Waste transported to said MRF shall be processed and the portion thereof which is recyclable shall be recycled by Waste Type in amounts so as to comply with CIWMA and the CITY'S SRRE. In the event that the MRF approved by the CITY is not operated by the CONTRACTOR, CONTRACTOR will be responsible to subcontract for the use of such a facility so as to ensure the CITY'S compliance with CIWMA. (e) PARKWAY CLEAN-UP FOLLOWING GARAGE SALES: CONTRACTOR shalt provide 2 employees in a "front -loader" vehicle that will devote 60 hours each six working days following the quarterly garage sales to canvass the City neighborhoods in order to remove debris left in the parkways after garage sales. CONTRACTOR shall transport all Solid Waste collected by the CONTRACTOR from Parkway Cleanups within the CITY boundaries to a state perntted MRF, as provided in, and in compliance with, CIWMA, which MRF shall be acceptable to the CITY. (t) ALLEY CLEAN-UP FOLLOWING THE 11T OF EACH MONTH: CONTRACTOR shall provide 2 employees in a "front -loader" vehicle that will devote 60 hours each six working days following the first day of each month and six working days during the third week of the month to canvass the City neighborhoods in order to remove debris left in alleyways following relocations. CONTRACTOR shall transport all Solid Waste collected by the CONTRACTOR from Alley Cleanups within the CITY boundaries to a state permitted MRF, as provided in, and in compliance with, CIWMA, which MRF shall be acceptable to the CITY. (g) DISPOSAL: CONTRACTOR shall be required to dispose of any and all Solid Waste which is not recycled or diverted by means of composting, mulching and/or transforming pursuant to the terms of this Agreement, at a legally authorized Disposal Site(s) as designated by the CITY. If CONTRACTOR is directed to dispose of said Solid Waste at a location other than the County of Orange's Disposal Sites, both parties agree to meet and confer regarding any potential rate adjustments which may be necessitated thereby. Should Disposal Sites become unavailable in Orange County at any time during the tern of this Agreement, CONTRACTOR hereby guarantees disposal at another Disposal Site owned and operated by CONTRACTOR or an affiliate, and both parties agree to meet and confer regarding any potential rate adjustments which may be necessitated thereby. Additionally, CONTRACTOR hereby agrees and guarantees to the CITY that the CITY will be indemnified for CERCLA liability for any Solid Waste collected by the CONTRACTOR in the CITY which is delivered to CONTRACTOR's landfill. 12 65A-23 (h) CONTRACTOR will act as the contracting body and lead agency with the MRF and Composting Facility with respect to this Agreement and shall bo responsible for, and insure that, bath facilities act so as to meet the requirements of both this Agreement and CIWMA, (i) CONTRACTOR hereby agrees and guarantees to the CITY that CONTRACTOR will do each, every and all things required to ensure that all Solid Waste generated, produced or aocuunulated in the CITY which is collected by CONTRACTOR will at all times be in full compliance with all of the provisions of the CITY'S SRRE, CIWMA, and amendments thereto adopted hereafter, and will protect, indemnify, pay, save, defend, and hold die CITY harmless from any and all toss, expense, damage, fines, penalties and liability of every kind and nature whatsoever by virtue of any non-compliance with such CITY and statutory requirements, provided, however, that CONTRACTOR shall not be responsible to the extent Solid Waste is generated in the CITY and collected, processed or disposed of, by other than CONTRACTOR, Further, CONTRACTOR agrees to protect, defend, with counsel approved by the CITY, and indemnify CITY against any and all fines and/or penalties imposed by the California Integrated Waste Management Board in the event that the diversion quantities contained in the CITY's SRRE, or any other requirement of CIWMA, are not met. 15. (RESE RED] 16. CIWMA REPORTING REOUIREMENTS: CONTRACTOR shall prepare and submit to the CITY, on fonxis previously approved by the CITY, all monthly or annual reports required of the CITY pursuant to the CIWMA. In addition thereto, within sixty (60) days after the end of each calendar year, the CONTRACTOR shall provide to the CITY an annual report which; (a) provides a collated summary of all the information contained in the monthly reports referred to above; (b) provides a narrative description of all public awareness activities of CONTRACTOR during the past one year which may have impacted Recycling participation; and (c) provides a. discussion of Recycling and source reduction program, highlights and difficulties, CITY may require additional reports from CONTRACTOR should the reports requested, or submitted, pursuant to this section not satisfactorily fulfill the CITY'S requirements. 17. SRRE CONSULTANT: (a) CONTRACTOR shall provide consultant services as necessary to modify the CITY'S SRRE as required by either the County of Orange Ala 939 Local Task Force and/or the State of California. The consultant to perform such service's shall be approved by the CITY. Such consultant services shall be. provided upon request by the CITY and shall be subject to final approval of the CITY. The CONTRACTOR shall be responsible for a maximum cost for such services of twenty thousand ($20,000.00) dollars per fiscal year. Any costs incurred by the CONTRACTOR for services approved by the CITY which exceed twenty thousand ($20,000.00) dollars per fiscal year shall be the responsibility of the CITY as provided in section (b) below, (b) CONTRACTOR shall submit a monthly report showing consultant services performed for the preceding month. Subjoct to the approval of the Executive Director, any costs for approved services which exceed twenty thousand ($20,000.00) dollars per fiscal year shall be 13 65A-24 made by the CITY within thirty (30) days of receipt of said report for work satisfactorily performed, 18. PUBLIC EDUCATION SERVICES: The CONTRACTOR shall be responsible for the provision of public education services as provided in the CITY'S SRRE, These services shall include, but are not limited to, the following items: (a) the production and distribution of a pamphlet containing trash regulations and holidays to all Customers and Curbside Service Units on a yearly basis and to all new service starts at service initiation; (b) the production and distribution to all Customers and Curbside Service Units every year of pamphlets concerning source reduction, Recycling and/or Yard Waste Diversion on an annual basis and to all now service starts at service initiation; (e) the performance, as needed, of community presentations on source reduction, Recycling and Yard Waste Diversion, including the production of all presentation materials; (d) the provision, as necessary, of technical assistance in the areas of source reduction, Recycling and Yard Waste Diversion; (a) the establishment and maintenance of a telephone hotline to receive calls from the public and provide information concerning integrated waste management; (f} cooperation in the production of an integrated waste numagcanent video for use by the CITY; and, (g) development andmanagement of grants pursuant to the regulations contained in the CIWMA and/or adopted by the California Integrated Waste Management Board including the Department of Conservation and other govenimental agencies that offer grants related to collection and. recycling services provided under the Agreement. Contractor shall be oorapensated $75.00 per hour for grant administrator's time to development and administer the grant programs. Annually, on July 1, or as soon thereafter as the CIWMB detennincs the level of ftuiding to be, provided to City, the City and CONTRACTOR will set the compensation and level of service for collection of used oil containers and filters. This Section may be reasonably modified from time to time as deemed necessary and appropriate by the Executive Director, including increased grant compensation paid to Contractor upon a writing executed by the Executive Director. The CONTRACTOR shall be required to work with the Executive Director in the preparation and production of the services listed and to ,proceed in the rendering of such services as the CITY dictates. Any services required hereunder shall require the Executor Director's approval prior to the execution thereof, 14 65A-25 19. STANDARDS FOR COLLECTION. EOVIPMENT AND NOISE: (a) Equipment and vehicles used by CONTRACTOR, whether awned by or licensed to CONTRACTOR, for the collection and hauling of Solid Waste shall be used so as to assure, in the reasonable opinion of the Executive Director, that adequate standards of collection will be maintained. All loads in CONTRACTOR's vehicles shall be kept completely covered at all times except when material is actually being loaded or unloaded or where the vehicles are on route in the process of collection. The collection equipment must be designed and operated in such a manner as to prevent Solid Waste from escaping the vehicle. Any spillage of materials which occurs during the collection process shall be immediately cleaned up by the CONTRACTOR at its expense, Further, all vehicles used by the CONTRACTOR pursuant to this Agreement which are not owned by the CITY shall be registered by CONTRACTOR with the Department of Motor Vehicles of the State of California. The CONTRACTOR's vehicles and equipment shall be subject to inspection by the CITY. (b) It is the declared interest of the CITY that the CONTRACTOR be able to provide a variety of sizes of bin and roll -off containers to meet the capacity requirements of conuncroW and residential bin and roll -off container users. No material shall be permitted to leak, fall or be spilled on CITY streets, alloys or highways. Any such leakage or spills occurring shall be innnediately corrected and the area cleaned at the CONTRACTOR's expense. The equipment used must be maintained in good mechanical condition and must employ adequate safety conditions for the operating personnel. (c) All collections shall be made as quietly as possible and no unnecessarily noisy trucks or equipment shall be used. Employees of the CONTRACTOR who are unnecessarily noisy or who violate the provisions of the State Motor Vehicle Code and/or any applicable CITY ordinance in the collection of said materials shall be disciplined pursuant to CONTRACTOR'S performance standards, (d) CONTRACTOR shall equip all Solid Waste collection and Recycling vehicles which collect Solid Waste within the CITY with informational displays. The CITY shall advise CONTRACTOR as to the messages which should be, displayed while said, vehicles are operating for the CITY. The CITY may, at its option, have the messages to be displayed changed once per year. 20. MAINTLNANCE OF BINS AND ROLL -OFF CONTAINERS: (a) Bins and roll -off containers provided by CONTRACTOR shall be of a design and size to contain, at all times, the contents therein in such a manner as to promote best possible housekeeping conditions, Bins and roll -off containers supplied by the CONTRACTOR shall, at all times, be maintained by it in a welt -kept appearance and shall be marked, with reflectorized material where such bins and/or roll -off containers are or may reasonably be expected to be located in the public right-of-way. Customers shall be responsible for the cleanliness, sanitation and deodorizing of such bins and roll -off containers; provided, however, CONTRACTOR shall provide in its agreements with its Customers for a bin or roll -off container cleaning service, including painting either as needed, at the request of the Customer or at the request of the CITY, for a fee of twenty five ($25.00) dollars. 15 65A-26 (b) Curbside Service Units shall be responsible for the cleanliness and sanitation of the Solid Waste collection and Recycling plastic carts provided to such units. (c) CONTRACTOR shall cause to have graffiti removed from bins within two (2) business days and from roll -off containers within five (5) business days of a request by CITY to do so, Failure to remove the graffiti within the required two (2) business days for bins and five (5) business days for roll -off containers, excluding holidays, shall result in the assessment of a two hundred dollar ($200.00) fine to the CONTRACTOR. CONTRACTOR may ohm -go the user of a bin or roll -off container which requires such graffiti removal a charge of twenty five ($25,00) dollars per incident. (d) The Solid Waste collection mud Recycling plastic carts receiving curbside service shall be replaced where found by CONTRACTOR, The CITY reserves the right, upcnr submission of proof by the Curbside Service Unit, to withhold sufficient compensation under this Agreement to adjust and pay any claim for Solid Waste collection and Recycling plastic carts damaged by the willfiul or careless acts of the employees of the CONTRACTOR. Repairs and replacement costs for said plastic carts shall be borne by CONTRACTOR; provided, however, that such repairs and/or replacements costs shall not be borne by CONTRACTOR when caused by the wanton or intentional destruction thereof by the Curbside Service Unit. Curbside Service Units shall be billed by CONTRACTOR for replacements caused by intentional or wanton destruction. 21. COLLECTION OF BULKY ITEMS - In order to promote public sanitation and reduce fire hazards, CONTRACTOR shall provide to all Curbside Service Units the service of curbside collection of bulky items such as couches, refrigerators, tugs, water heaters, and other items of Solid Waste, which CONTRACTOR is not required to collect under Section 12 beeauso of size or weight, as follows; (a) Upon request by a Curbside Service Unit within the CITY, CONTRACTOR shall provide no more than two at -demand bulky item collections per year per Curbside Service Unit at no additional cost. Each such Curbside Service Unit is litnited to a maxirnuui of four (4) bulky items (or twenty (20) bags of yard waste) per pick-up request. Such collectiot services shall provide the, opportunity of having large objects, and other Solid Waste which is not required to be picked up pursuant to this Agreement, picked up and processed properly. Requests by Curbside S ervice Units for such collections shall be made directly to the CONTRACTOR who shall provide satisfactory telephone message receiving, transmitting and response procedures and who shall be responsible for naaintaining a lag of such large item collections. At demand pick ups shall be responded to by CONTRACTOR within a reasonable time but no more than five (5) working days after such a request is received, Requests for more than two (2) at -demand collections per year shall cost thirty ($30.00) dollars per collection and shall be billed to the Curbside Service Unit requesting the additional collection by the CONTRACTOR. (b) CONTRACTOR shall provide assistance of removal of bulky items on private property to senior citizens and the disabled at no cost. (c) CONTRACTOR shall provide for the collection and recycling of televisions, computer monitors and computer laptops as part of the Bulky Item collection program. 16 65A-27 (d) CONTRACTOR shall provide on -request bulky item collection for commercial and residential bin service customers,, as set forth in subsection 21. (a), above, Each such request for Residential/Commercial bulky item pickup shall cost forty-two dollars and eighty cents ($42.80) per collection and shall be billed to the residential/commercial bin service customer requesting the additional collection by CONTRACTOR. 22. CURBSIDE SERVICE PAYMENTS: (a) The CONTRACTOR shall establish rates for its provision of curbside services pursuant to this Agreement, Such rates shall in no case exceed those set forth on Exhibit "C" attached hereto and incorporated herein by this reference, The City shall collect on behalf of the CONTRACTOR the rates established by the CONTRACTOR for said services. Rates collected and paid to the CONTRACTOR shall be based on the total number of Curbside Service Units billed by the CITY for curbside service during that month. CITY shall make billing records available to CONTRACTOR upon reasonable notice for the purpose of auditing such records, (b) Remittance to the CONTRACTOR of payments collected by the CITY for curbside service shall on a monthly basis, (c) Payments to be made to the CONTRACTOR. shall be reduced each month by an amount equal to the total monthly payment on the C.O.P.s, A monthly payment schedule of the maximum amount of monthly payments on the C.O.P.s will be attached as Exhibit "D" once they are issued. The payments to be made to CONTRACTOR shall not be reduced to the extent of any credits against installment payments received by the CITY pursuant to Section 4, 01 of the ITC. 23. RESIDENTIAL BIN SERVICE RATES: (a) The CONTRACTOR shall receive compensation for supplying Bin Service to residential bin users by direct billing of the Customers receiving such service bymeans of separate agreements entered into between the CONTRACTOR and each Residential Bin Service Customer, A copy of every such agreement shall be made available to the Executive Director by CONTRACTOR. (b) Rates for Residential Bin Service, including Gate Fees, Hauling Charges, Processing Charges and any Recycling and 'Yard Waste Diversion, shall be established by the CONTRACTOR and shall not exceed those set forth on Exhibit "C" attached hereto and incorporated herein by reference. CONTRACTOR shall make records containing Residential Bin Service available to the Executive Director at any reasonable time. 24. COi ME, RCIALANDUSTRIAL BIN SERVICE RATES: (a) The CONTRACTOR shall receive compensation for supplying Bin Service to commercial/industrial bin users by direct billing of the Customers receivhig such service by rmm�s of separate agreements entered into between the CONTRACTOR and each such Bill Service Customer. A copy of every such agreement shall be made available to the Executive Director by CONTRACTOR, 17 65A-28 (b) Rates for Commercial/Industrial Bin Service, including Gate Pees, Hauling Charges, Processing Charges and any Recycling and Yard. Waste Diversion, shall be established by the CONTRACTOR and shall not exceed those set forth on Exhibit "C" attached hereto. CONTRACTOR shall make records containing Commercial/Industrial Bin Service available to the Executive Director at any reasonable time. 25. ROLL -OFF SERVICE RATES: (a) The CONTRACTOR shall receive compensation for supplying Roll -Off Service by direct billing of the Customers receiving such service by means of separate agreements entered into between the CONTRACTOR and each such Customer copy of every such agreement shall be made available to the Executive Director by CONTRACTOR. Roll -off Service shall be provided at a minimum of three (3) dumps per month per Customer. (b) Rates for Roll -Off Services, including container delivery, collection, hauling and transportation, shall be established by the CONTRACTOR and shall not exceed those set forth on Exhibit "C" attached hereto. CONTRACTOR shall make records containing Roll -Off Service available to the Executive Director at any reasonable time. 26. COMPENSATION FOR GRANTS: CONTRACTOR shall be permitted to obtain compensation in an amount approved by the Executive Director for the management of grants pursuant to Section 18(g) herein. 27. AIDJUSTMENTS TO CHARGES: (a) hAULING AND PROCESSING CHARGES: (1) PR.JCE INDICES: The two indices which will be used for determining adjustments to Flailing and Processing Charges shall be the December Consumer Price Index ("CPT') for All, Urban Consumers (base years 1982-1984 = 1.00) for Los Angeles-Anaheirn- Riverside CMSA, published by the United States Department of Labor, Bureau of Labor Statistics and the Decctnber ProducerPiiec Index ("PPP'), Diesel Fuel #2 (#057303). When both indices are to be used to detesrnine an adjustment to the hauling and Processing Charges, then the adjustment formula shall be as follows: the CPI shall be weighted at ninety (90%) percent and the PPI shall be weighted at ten (1,0%) percent. (2) CURBSIDE SERVICE: The Hauling Charges and Processing Charges for ourbsido service shall be adjusted annually, using the CPI and PPI adjustment formula set forth in subsection (a)(1) above without limitation; provided, however, that adjustments permitted to the Hauling and Processing Charges chiring this time period, shall be calculated at seventy five (75%) percent of the CPI with a five (5%) percent maximum adjustment and a zero 0% percent mvumLun adjustment per year. (3) BIN SERVICE AND ROLL -OFF SERVICE: From July 1, 1997 until the termination of this Agreement, the hauling and Processing Charges for Bin Service and Roll -Off Service shall be adjusted in accordance with the CPI and PPI adjustinent formula set forth in subsection (a)(1) above. Adjustments to the hauling and Processing Charges for Bin Service and i8 65A-29 Roll -Off Service shall be calculated at seventy five (75%) percent of the CPI with a five (5%) percent maximum adjustment and a zero 00/c percent minimum adjustment per year. (b) GATE FEES: Should any increase or decrease in the Cate Fees charged by a Disposal Site occur during the tern of this Agreement, CONTRACTOR shall be permitted to pass through to both its Bin Service Customers and its Roll -Off Service Customers and CITY shall pass through to its Curbside Service'Units one hundred (100%) percent of such increase or decrease in the Gate Fees for that portion of the Solid Waste which is taken to the Disposal Site, CITY shall pass through to CONTRACTOR such increase or decrease in its curbside service payments to CONTRACTOR, Should a change in Cate Fees become effective on July 1st of any year, the parties agree to utilize the tonnages from the previous calendar year to determine the percentage of Solid Waste that is taken to the Disposal Site. (c) SOLID WASTE FRANCHISE FEE: Should any increase or decrease in the Hauling and Processing Charge, or the Cate Fees occur during the term of this Agreement, CONTRACTOR shall be permitted to pass through to Bin Service Customers and its Roll -Off Service Customers the corresponding increase or decrease incurred by CONTRACTOR for the Solid Waste franchiso fee which CONTRACTOR is required to pay to the CITY par'suant to Section 10 herein. (d) SMART FEES: Notwithstanding any provision of this Section 27 to the contrary, the SMaRT Fees (as defined in Section 7 of Exhibit "C" herein), shall not be subject to adjustment by CPT, PPI or any other index, Rather, the Smart Fees may be adjusted annually, in accordance with the SMaRT Program, not to exceed a maximum amount of five (5%) percent per annum,. 28, SPECIAL BIN SERVICES AND CUSTOMER SERVICE REQUIREMENTS. (a) The CONTRACTOR may enter into agreements with Bin Service Customers for special collection services different from, in addition to, or greater than the minimum collection services required by this Agreement, The special fees which CONTRACTOR may charge Bin Service Customers are set forth on attached Exhibit "C." (b) CONTRACTOR shall not be permitted to charge a special fee fox moving a bin from between buildings, other than the fees permitted as set forth on attached Exhibit "C". Further, CONTRACTOR, may not charge a fee when it is required to move its vehicles in reverse for purposes of emptying a bin. Circumstances not covered by any of the above or on attached Exhibit "C" shall require an inspection by the CITY prior to a determination of the charges which may be imposed. The decision of the Executive Director in respect to these charges shall be final. A brief explanation of each special service charge must be 'included on every Customer's billing. (c) In the event the CONTRACTOR is unable to provide temporary service to any Customer within five (5) calendar days after receipt of a call by such Customer, the Executive Director may permit any other licensed hauler to provide temporary servica to such Customer if, but. only if, CONTRACTOR has not provided such service within twenty-four (24) hours after reasonable notification by the Executive Director to CONTRACTOR. 19 65A-30 29. MINIMUM SERVICE LEVELS - MULTI-FAMILY_RESiI)I NTTAL BUILDINGS: (a) CITY shall require that all residential buildings with three or more dwelling units be served by Bin Service, except that CITY may waive such requirement for any residential buildings with four (4) or more units existing on January 1, 1972 and for any residential buildings with three (3) units existing on February 23, 1983, upon a determination that no lawfully usable space is available for such container within the boundary lines of the subject property, The CONTRACTOR shall provide bin containers of such capacity and collections of such frequency for residential buildings required to have Bin Service by this section as to provide for Solid Waste collection of not less than one-half (1/2) of one (1) yard of Solid Waste collection per dwelling unit per week. In all cases, collections shall be made at least once per week. CONTRACTOR shall comply with any request by the Executive Director to change the scheduled collection days for Residential Bin Service Customers, which is designed to promote conformity of Bin Service collections in any specified area of the CITY to improve sanitation or reduce noise. (b) In the event that Solid Waste being disposed of at a Residential Bin Service building exceeds the bin capacity for such building, CONTRACTOR shall notify the Executive Director who shall cause an inspection to be, made of the premises, If the Executive Director determines that there is insufficientbin capacity at said location, he shall cause written notification to be given to the property owner and/or person in possession of the property. Said notification shall contain the date of the reported overflow of Solid Waste from the bias. The notice shall also inform. the Property owner and/or person in possession of the property that should another incident of overcapacity occur within thirty (30) days following tho elate of the original incident, the property owner and/or person in possession of the property will be required to increase the number of bins, the size of the bin, or the frequency of collections, up to the equivalent of two (2) cubic yards per dwelling unit per week. In the event that this should occur, the Executive Director shall determine whether to increase the nurabcr of bins or the frequency of collections and CONTRACTOR shall furnish such additional services and shall be entitled to compensation from the Customers to the same extent as if the Customer requested such additional collections from the CONTRACTOR. 30, MINIMUM SERVICE LEVELS - COMMERCTAL/INDUSTRIAL BIN SERVICr<. City shall require that all commercial and/or iadaNWal units and/or buildings be served by Bin Service or Roll -Off Service; provided, 'however, that this requirement may be waived by the Excoutive Director, In the event that Solid Waste being disposed of at a cornmercial/industrial bin or roll -off container unit exceeds the bun or roll -off container capacity for such building, CONTRACTOR shall notify the Executive Director who shall cause an inspection to be made of the, promises. If the Executive Director determines that there is insufficient bin or roll -off container capacity at said location, he shall cause written notification to be given both to the businoss and the property owner, Said notification shall contain the date of the reported overflow of Solid Waste from the bin or roll -off container. The notice shall also inform the business and property owner that shotildanother incident of overcapacity occur within thirty (30) days following the Hate of t'he original incident, the business and/or property owner will be required to increase the number of bins or ro11-off containers, or the frequency of collections. In the event that this shotnld, occur, the Executive Director shall determine whether to increase the number of bins or roll -off containers, the size of the bin or roll -off container, or the frequency of collections and CONTRACTOR shall 20 65A-31 furnish such additional services and shall be entitled to compensation from such Customers to the same extent as if the Customer requested such additional collections frornn the CONTRACTOR, 31, SERVICE STANDARDS: (a) The CONTRACTOR's office shall be accessible by a local or toll=&ee telephone number. The CONTRACTOR's offioe hours shall be open at a minimum from 8:00 a.m. to 5:00 p.m. Monday through Friday and from 8:00 am, to noon on Saturdays. CONTRACTOR's offices shall be closed on Sundays mid holidays. The CONTRACTOR shall have an answering machine in operation after normal business hours, and on Sundays and holidays thus enabling the public to leave a message, The CONTRACTOR shall have the capability of responding to the public in English and Spanish during office hours, (b) CONTRACTOR may charge a delinquency fee of not more than ten (10%) percent per month on accounts which have not remitted required payments within 30 days after the date of billing, Should payment not be received within 45 days of billing, CONTRACTOR shall notify said Customer on forms approved by the CITY that services may be discontinued 15 days from the date of the notice if payment is not made before that time. Upon payment of the delinquent fees, CONTRACTOR shall resume collection on CONTRACTORS next regularly scheduled collection clay. CONTRACTOR shall provide the CITY with a bi-weekly list indicating the Customers which have had service ceased clue to nonpayment. 32. SUPERVISION: Per£onnance of each of the provisions of this Agreement shall be under the direction and supervision of the Executive Director. The CONTRACTOR shall furnish the Executive Director every reasonable opportunity of ascertaining whether or not the work is performed in accordance with the requirements of this Agreement. The CONTRACTOR shall designate a person to serve as agent and liaison between its organization and the CITY and shall maintain a telephone and a means for contact at all times daring periods of strike or other emergencies, The Executive Director may inspect the CONTRACTOR's operations, facilities andequipment at any reasonable time and the CONTRACTOR shall admit him to make such inspections at any reasonable time and place, 33. TITLE TO SOLID WAS.i PE: Title to all Solid Waste collected pursuant to this Agreement shall be vested in CONTRACTOR upon being placed at the curb for collection, or placed in a bin or roll off container for collection. CONTRACTOR expressly hereby reserves and is granted the right to retain, dispose of and otherwise use such Solid Waste, or any part thereof, in any fashion and for any lawful purpose desired by CONTRACTOR and to retain any benefit or profit resulting there from provided, however, that CONTRACTOR first complies with this Agreement, the CITY'S SRRE and CIWMA 34, FAILURE TO COkLECT: (a) Should the CONTRACTOR materially and substantially fail to collect aid recycle, divert by means of composting, mrtiohing and/or transforming or dispose of Solid 'Waste in accordance with this Agreement and the collection schedules then in effect pursuant to Section 8, 21 65A-32 the CITY, after prior written notice of not less than forty eight (48) hows to the CONTRACTOR, may collect, recycle, divert and/or dispose of all or any part of such Solid Waste, or initiate services to cause or promote its collection, Recycling, Yard Waste Diversion and/or disposal, using CITY employees and/or independent contractors, and the CONTRACTOR shall be liable for all reasonable expenses thereby incurred by the CITY. (b) The CITY may give such notice for any specified individual omission by CONTRACTOR in which event CONTRACTOR shall be allowed a reasonable time of not less than forty eight (48) hours to remedy such omission. In the event of substantial nonperformance by CONTRACTOR for any reason, including a strike of CONTRACTOR's employees, the notice shall continue in effect with respect to Solid Waste originating thereafter as long as the omission continues, In addition to any other lawful means of effecting reimbursement from the CONTRACTOR, such expenses may be deducted by the CITY from money due or which may become due the CONTRACTOR. In addition, CITY shall be permitted to take control acid possession of the Licensed Equipment it owns pursuant to Section I 1 herein and shall be allowed to use, without charge, any of CONTRACTOR's other collection vehicles, containers, and other equipment not then in actual use by CONTRACTOR which CITY shall deem necessary to provide collection, Recycling, Yard Waste Diversion and/or disposal services pursuant to this section. The right of the CITY to enter upon and use facilities and equipment as specified herein shall extend for a period of ninety (90) days. (e) Should CONTRACTOR fail to collect, recycle, divert by means of composting, mulching and/or transforming, and/or dispose of Solid Waste in accordance with this Agreement, CONTRACTOR shall be deemed to be in material default in the performance of its obligations of this Agreement. In the event of such a material default, the reasonable time for correction pursuant to Section 35 herein shall be seven (7) days, 35. DEFAULT , DAMAGES AND TERMINATION OF AGREEMENT: (a) In the event CONTRACTOR defaults in the performance of any of the obligations, covenants or agreements to be kept, done or performed by it under the terms of this Agreement, or any other applicable Federal, State, or local law or regulation, the CITY shall notify CONTRACTOR in writing of the nature of such default, (b) The Executive Director tray, in such written instrument, set a reasonable time within which correction of all such deficiencies is to be made. Unless otherwise specified, a reasonable time for correction shall be thirty (30) days from the receipt by the CONTRACTOR of such written notice, If the CONTRACTOR. cannot reasonably correct or remedy the breach within the time set forth in such notice, CONTRACTOR sball still be required to commence to correct or remedy the violation witliln such time as set forth in the notice and shall be regaired to diligently achieve such correction or remedy as soon thereafter as possible. (c) The Executive Director shall review the CONTRACTOR's response to the notice of deficiencies and shall either dveido the matter and notify the CONTRACTOR of that decision in writing, or, refer the matter to the City Council. A decision or order of the Executive Director shall be final and binding on CONTRACTOR if the CONTRACTOR fails to file a "Notice of Appeal" with the City Clerk within 10 days of receipt of the Executive Director's decision. Within 22 65A-33 thirty working days of receipt of a Notice of Appeal, the City Cleric shall refer the appeal to the City Council for proceedings in accordance with Chapter three of the Santa Ana Municipal Code, (d) In such case, the City Council may set the matter for hearing, The City Clerk shall give CONTRACTOR written notice of the time and. place of the hearing. At the hearing, the City Council shall consider the report of the Executive Director indicating the deficiencies, and shall give the CONTRACTOR a reasonable opportunity to be heard. (e) Based on the evidence presented at the public hearing, the City Council shall determine by Resolution whether this Agreement should be terminated. If, based upon the record, the City Council determines that the performance of CONTRACTOR is in breach of any material term of this Agreement or any material provision of any applicable Federal, State, or local statute or regulation, the City Council, in the exercise of its sole discretion, may terminate forthwith the Agreement, The decision of the City Corn nil shall be final and conclusive, CONTRACTOR's performance under the Agreement is not excused during the period of time prior to the City Coumcil's final determination as to whether such performance is deficient. (t) The rights of termination or imposition of liquidated damages, as set forth in Section 36 hereof, are in addition to any other rights of CITY upon a faihure of CONTRACTOR to perform its obligations under this Agreement. The CITY further reserves the right to terminate CONTRACTOR's Agreement or impose liquidated damages in the event of my of the following: (1) If the CONTRACTOR practices, or attempts to practice; any fraud upon the CITY; (2) If the CONTRACTOR becomes insolvent, unable, or unwilling to pay its debts, or upon listing of cua order for relief in favor of CONTRACTOR in a banknti ptey proceeding; (3) If the CONTRACTOR fails to provide or maintain in full force and effect the workers' compensation, liability or indemnification coverage as required by this Agreement; (4) If the CONTRACTOR willfully violates any orders or rulings of any regulatory body having jurisdiction over the CONTRACTOR relative to this Agreement, provided that the CONTRACTOR may contest any such orders or rulings by appropriate proceedings conducted in good faith, in which case no breach of this Agreement shall be deemed to have occurred; (5) If the CONTRACTOR willfully fails to make any payments required under the Agreement and/or refuses to provide the CITY with required information and/or reports in a timely manner as provided in this Agreement; or, (6) Any other act or omission by the CONTRACTOR which materially violates the terms, conditions, or requirements of this Agreement, CIWMA, as it may be amended from time to time, or any order, directive, rule, orr. egulation issued theretander and which is not corrected or remedied within the tuna set in the written notice of the violation (g) In addition to the remedies set 'forth herein, the CITY shall have the right to obtain damages and/or injunctive relief, Both parties recognize and agree that in the event of a breach 23 65A-34 under the terms of this Agreement by CONTRACTOR, the CITY may suffer irreparable injury and incalculable damages sufficient to support injunctive relief, to enforce the provisions of this Agreement and to enjoin the breach thereof. (h) If CONTRACTOR claims default by the CITY in the payment of any money due or alleged to be due to CONTRACTOR pursuant to this Agreement, CONTRACTOR shall not be entitled to cancel this Agreement if the CITY, within seven (7) days after receipt of notice of the claimed default, deposits the amount in controversy into an interest bearing account in a commercial batik or lending institution and maintains such deposit until such time as a final judicial decision or agreement between the parties determines the rightfcrl disposition of the said amount in controversy; provided that CONTRACTOR shall be deemed to have waived all claims to the said amount if no agreement is reached nor any legal proceeding initiated within ninety (90) days of the CONTRACTOR's service of written notice of default on the CITY. 36. LIOUIDATED DAMAGES: (a) The CITY finds, and the CONTRACTOR agrees, that as of the time of the execution of this Agreement it is impractical, if not impassible, to reasonably ascertain the extent of damages which shall be incurred, by the CITY as a result of a breach by CONTRACTOR of its obligations under this Agreement. The factors relating to the impracticability of ascertaining damages include, but are not limited to, the fact that; (i)substantial damage results to members of the public who are denied Solid Waste collection services or denied quality or reliable collection service; (d) such breaches cause inconvenience, anxiety, frustration, and deprivation of the benefits of this Agreement to individual members of the general public for whose benefit this Agreement exists, in subjective ways and in varying degrees of intensity which are incapable of measurement in precise monetary terms; (iii) that the monetary loss resulting from denial of services or denial of quality or reliable services is impossible to calculate in precise monotary terms; arid, (iv) the termination of this Agreement for such breaches, and other remedies are, at best, a means of future correction and not remedies which make the public whole for past breaches. (b) Accordingly, the CITY may, in its discretion but after complying with the notice and hearing procedures set forth in Section 35, assess liquidated damages of Five Hundred Dollars ($500.00) per day, for each calendar day that collection setl4ce is not provided by CONTRACTOR in accordance with this Agreement, The amount of the liquidated damages shall be subject to an annual CP1 adjustment computed at one hundred (100%) percent of the CPI for All Urban Consumers (base years 1982.1984 = 100) for Los Angeles -Anaheim -Riverside CMSA, published by the United States Department of Labor, Bureau of Labor Statistics. (c) The CITY finds, and the CONTRACTOR acknowledges and agrees, that the above described liquidated damages provisions represent a reasonable sum in light of all of the circumstances, Said liquidated damages stuns shall be applicable to each calendar day of delay during which CONTRACTORS has been found by the CITY to be in default after having boon given the proper notice and hearing set forth in Section 35 of this Agreement. The CONTRACTOR shall pay any liquidated damages assessed by the CITY within ton (10) calendar days after they are assessed. If they are not paid within the ton (10) dayperiod, the CITY may order the termination of this Agreement. 24 65A-35 37. USE BY CITY OF CONTRACTOR'S E+OUIPMIENT: Upon cancellation of this Agreement by either party fox any reason prior to the end of the period specified herein as the term of this Agreement, the CITY shall take possession and control of all vehicles and equipment which it has licensed to CONTRACTOR pursuant to Section 11 herein and CITY shall also have the exclusive right to rent or lease and operate any or all tracks, trailers, tractors and other items of equipment used by CONTRACTOR in the performance of the work specified in this Agreement, Further, the City shall have access to the NIRF and composting facilities used by the CONTRACTOR for the Processing, Recycling and Yard Waste Diversion of Solid Waste produced or accumulated within the CITY, The right of the CITY to enter upon and use facilities and equipinwit as specified herein shall extend following the date of cancellation of this Agreement for a period, of ninety (90) consecutive calendar days, The rental prices to be paid the CONTRACTOR under this section shall be such to adequately reflect the most current rental prices prevailing in the County of Orange at the date of termination, Any moneys due the CONTRACTOR for rental of the equipment under the provisions of this section may be withheld by the CITY and used by it for the purpose of paying any outstanding liens or payments due and unpaid upont the said equipment. 38. COMPLAINTS: (a) The CITY shall record all complaints and cornmuuucations ,received by the CITY from persons and businesses being served under the provisions of this Agreement and all other inoidents of failure to perform in accordance with this Agreement noted by the CITY. The CONTRACTOR shall be responsible to resolve such complaints within two (2) business clays of receipt thereof. CONTRACTOR shall likewise record all complaints received by CONTRACTOR in a daily lag which shall include the complaint, the eommimication, the date, time, complainant's name and address if provided, and the nature, date and manner of resolution of the complaint, A copy of said log shall be delivered to the Executive Director on a quarterly basis; however, the Executive Director reserves the right to require the CONTRACTOR to deliver, or send via telephone facsimile, such records to the Executive Director within twenty four (24) hours of receipt thereof. (b) The failure of the CONTRACTOR to pick up Solid Waste which has been set out in the proper manner shall be considered a missed pickup, and the CONTRACTOR shall collect the tnaterial from, the service recipient within twenty-four (24) hours of the CONTRACTOR's receipt of notification of the missed pick-up. If the CONTRACTOR is notified of a missed pick- up by 9:00 a.m. the following business day, the missed pick -tip will be collected that same day. The CONTRACTOR shall maintain a written record of all calls related to missed pick-ups and the service response provided by the CONTRACTOR, Such records shall be made available for inspection upon request by the Executive Director. 39. COMPENSATION REDUCTION ]DURING STRI]CO;i PERIOD: In the event that there occurs any period in which CONTRACTOR fails to maintain substantially complete regular collection services pursuant to this Agreement and the collection schedules then in effect, by reason of a strike or CONTRACTOR's fa ltue to pay his employees, 25 65A-36 and only if such period includes more than ten (10) normal collection days (weekdays), then the following shall apply. (a) The City Council may assess damages against the CONTRACTOR in an amount which does not exceed the sum of the following; (1) The expenses incurred by the CITY in providing collection, Recycling, Yard Waste Diversion and/or disposal services pursuant to Section 34; and, (2) Fifty percent (50%) of the amount by which CITY revenue from fees collected for curbside service by the CITY from the pdolic is reduced due to any reduction or refund of such fees granted by the City Council to compensate such fee payers for the inconvenience experienced by them due to CONTRACTOR's failure to furnish full performance during such period. (b) In assessing damages, the City Council shall take into account the CONTRACTOR's efforts to mitigate the inconvenience to the public receiving curbside service. In particular, CONTRACTOR shall be, given credit for Curbside. Service Unit collections made by CONTRACTOR by having damages assessed, subject to the above said maximum, in approximately the same proportion. to the compensation due CONTRACTOR for ourbside service during the subject period as the number of CLubsido Service Unit collections which CONTRACTOR failed to make bears to the total number of Curbside. Service Unit collections which should have been made pursuant to this Agreement. (c) In addition to any other lawful means of effecting recovery of the damages assessed against CONTRACTOR the amount thereof may be deducted by CITY frorn money due or which may become dine to the CONTRACTOR either in single stun or in installments. In the event CONTRACTOR objects to such assessment or set-off, it shall nevertheless maintain full performance under this Agreement, reserving all rights to subsequently litigate the propriety or amount of the damages assessed. (d) Refunds or reduction of payments of CONTRACTOR's Customers shall be the sole responsibility of CONTRACTOR, CONTRACTOR. covenants for the benefit of each Such Customer to grant a reasonable and fair refund or reduction or compensatory service; provided, however, that the CONTRACTOR may condition such refunds or reductions or compensatory service upon the Customer's filing of a claim for the same with the CONTRACTOR, To the extent Bin or Roll -Off Service collections are made at CITY'S expense in the absence of CONTRACTOR's performance, CONTRACTOR, shall be liable to CITY for a proportionate amount of the Customers' payments due to the CONTRACTOR.. 40, FE ES A qD GRATUITIES; CONTRACTOR shall not, nor shall it permit any agent, employee or subcontractor employed by it to, request, solicit, demand, or accept, either directly or indirectly, any compensation or gratuity for the collection of Solid Waste otherwise required. to be colleoted under this Agreement, except such compensation as is provided for in this Agreement. However, CONTRACTOR may make available to Bin Service users special services as provided for in Section 28 hereof. CONTRACTOR may make a direct charge in each, instance for such service 26 65A-37 under a written agreement which shall be subject to the approval of the Executive Director and at such rates as are reasonable, just and uniform for all persons requesting such additional services. All such charges shall be collected by CONTRACTOR. Nothing in this section or in this Agreement shall be construed, however, to require CONTRACTOR to render services of any kind to any person to the extent such services are not specifically required by the provisions of this Agreement, or to require that CONTRACTOR having rendered special or additional services not provided for herein to one or more persons, to offer or render the same services to any other person or entity. 41. LEGAL RELATIONS AND RESPONSIBILITIES:. (a) Applicable Laws: CONTRACTOR shall at all tunes comply with all applicable provisions of the Code, as now in effect or hereafter enacted, as well as all other applicable County, State and Federal laws and regulations; provided, however, no amendment of the Code shall operate to change CONTRACTOR's right to decline to pick up and collect any material or matter which is not Solid Waste as defined in this Agreement or to decline to pick up and collect Solid Waste which does not comply with the standards and limitations sot forth in this Agreement, or otherwise operate to materially impair the rights and privileges of CONTRACTOR heron nder. Should any state or federal laws become effective after the date of execution of this Agreement which require modifications to the terms hereof, the parties agree to meet and confer regarding any such modifications. (b) Personnel: No employee of CONTRACTOR shall continue to be employed on any work under this Agreement who is intemperate, discourteous, disorderly, inefficient or unduly noisy, (c) Permits and Licenses: CONTRACTOR shall obtain all permits and licenses required of it by City, County, State and Federal agencies. (d) Workers' Compensation Polioti CONTRACTOR shall maintain in full force and effect during the term of this Agreement, a workers' Compensationpolicy in accordance with the provisions and .requirements of the Labor Code of the State of California and such other forms of insurance as shall be required by law. The policy providing coverage shall provide that the insurance shall not be suspended, voided, canceled, or reduced in coverage or in limits except after thirty (30) days prior written notice by certified mail has been given to the CITY. Waivers of Subrogation shall be in effect for any claims asserted against the CITY which arise out of CONTRACTOR's operations and CONTRACTOR shall have this clause endorsed on their Workers' Compensation policies. (e) Public Liability InLLgance: CONTRACTOR shall obtain, at its sole cost, and file with the City Clerk of CITY, prior to exercising any right or performing any obligation pursuant to this Agreement, and maintain for the period covered by this Agreement, a policy or policies of liability insurance satisfactory to the City Attorney of CITY, naming CITY, its officers, agents and employees, as insured or additional insured, which provides coverage for liability for tiny and all claims and suits for damages or injuries to persons or property resulting from or arising out of the performarice by CONTRACTOR its officers, agents, or employees, or by CITY, its officers, 27 65A-38 agents, or employees pursuant to Section 1 of this Agreement, of CONTRACTOR's covenants hereunder, or any failure or omission thereof. Said policy or policies of insurance shall provide coverage for both bodily injury and property damage in not less that the following minimum amount: One Hundred Million Dollars ($100,000,000,00) combined single limit and, in addition, Ten Million Dollars ($10,000,000,00) of Envirormzental Impairment Liability coverage for bodily injury, property damage and cleanup costs as it relates to the transportation of Solid Waste. Said insurance shall protect CONTRACTOR and CITY from any claim for damages for bodily injury, including accidental death, as well as from any claim for property damage which may arise from operations performed pursuant to this Agreement, whether such operations be by CONTRACTOR itself, or by its agents, employees, and/or subcontractors, Such policy or policies shall contain severability of interests clauses so that the rights and duties of the CITY are clearly separate from CONTRACTOR's interests. Said policy or policies shall also contain a provision that no termination, cancellation or change of coverage of insured or additional insured shall be effective until after thirty (30) days prior written notice by certified mail thereof has been given to CITY, CONTRACTOR shall give CITY prompt and timely notice of any claim made or suit instituted. (i) Insurmce Responsibility for CITY Owned Solid Waste Collection and Rec cline Vehicles: This Agreement expressly and absolutely transfers the entire responsibility for any and all damage to the CITY owned Solid Waste collection and Recycling vehicles, and any and all liability arising out of the use of such vehicles, directly and completely to CONTRACTOR. This same transfer includes the requirement that CONTRACTOR has expressly agreed to be contractually, hilly and completely responsible for complying with all of the State of California's Motor Vehicle Insurance laws, rules and regulations. To be moxe specific, this includes having CONTRACTOR insure each and every CITY Solid Waste collection and Recycling vehicle for auto liability and physical damage, including both collision and comprehensive insurance. The amount of auto liability insurance shall be not less than One Htiuidred Million Dollars ($100,000,000.00) combined single limit, covering auto bodily injury said property damage for owned, non -owned and hired vehicles. Collision and Comprehensive coverage shall be insured on an actual cash value basis, If the physical damage insuuance is insured on a loss -limit basis, the loss limit shall be equal to or exceed. the actual cash value of all of the CITY Solid Waste collection and Recycling vehicles. Insurers shall be otuxcntly rated by A,M. Best Company with a minimum rating at A VII. The policy or policies shall contain severability of interest clauses so that the right and duties of the CITY are clearly separate from CONTRACTOR's interests. The CITY, its officers, agents and employees shall be additional insureds, CONTRACTOR will verify to CITY that adequate funds are available to pay any liability Self -Insured Retention, collision and comprehensive deductibles, or other self-insurance plans approved by the CITY, Ninety (90) days or more of prior notice for material change in coverage, exclusions and conditions or cancellation will be endorsed onto CONTRACTOR's policies in favor of the CITY, Loss .Payee endorsements or similar clauses will be endorsed onto CONTRACTOR's property insurance policies protecting the CITY'S Solid Waste collection and Recycling vehicles, Endorsements to all policies with policy declaration pages will be required. Certificates of Insurance shall be provided prior to receiving insurer policy endorsements. (g) Indemnifzoation: CONTRACTOR shall indemnify and save harmless CITY, its officers and employees, against any and all damages to property or injuries to or death of any W 65A-39 person or persons, including property and employees or agents of CITY and shall defend, indemnify and save harmless CITY, its officers and employees, from any and all olaims, demands, suits, actions or proceeding of any kind or nature, including, but not by way of Invitation, workers' compensation claims, of or by anyone whomsoever, directly or indirectly caused by, or arising out of a breach of a requirement of this Agreement by the CONTRACTOR, or any negligent or willful act or omission of CONTRACTOR or any negligent or willful not or omission of tho CONTRACTOR its employees or subcontractors in the performance of this Agreement. CONTRACTOR shall procure and maintain, at its own oast and expense, any additional kinds and amounts of insurance which, in its own judgment, may be necessary for its proper protection in the performance of the work. Insurance coverage specified in this Agreement shall in no way lessen or limit the terms of this indemnification. (h) Enforcement of Scone of Services; CONTRACTOR shall reimburse the CITY for any costs incurred by the CITY in enforcing and potentially defending any challenges by any and all school and college districts regarding the Salad Waste collection regulations contained herein. (i) ivers: No acquiescence, failure or neglect of either of the contracting parties to insist on strict performance of any or all of the terns hereof shall be considered as or constitute a waiver or any term or condition of this Agreement or any performance required thereunder, or any remedy, damage or other liability arising out of such refusal, neglect or inability to perform at any time. 42. SUBCONTRACTORS AND MANAGEMENT: (a) The CONTRACTOR shall not subcontract this Agreement nor, any part hereof without first obtaining the consent of the City Council, (b) CONTRACTOR shall designate the person to be in charge of administering this Agreement. The CITY retains the right to reject said person at any time during the term of this Agreement upon reasonable grounds, Should the CITY require the replacement of ally person so designated by CONTRACTOR, the CONTRACTOR shall have thirty (30) days within which to designate, with the CITY'S approval, anew person, (o) The CTTY may cancel this Agreement pursuant to Section 35 or in the event of a breach of the covenants in subsections (a) and (b) hereinabove. 43. ACCOUNTING ANU AYIDZTINQ (a) The CONTRACTOR shall maintain financial records in accordance with generally accepted accotunthng principles, (b) CONTRACTOR shall make its records, reports, and methods of accounting available to the CITY'S designatedrepresentative during nonnal business hours to allow the such person to review and verify the information reported pursuant to this Agreement including, but not limited to, the information reported pursuant to Section 16 hereof, the information reported pursuant to Sections 22 through 25 including, but not limited to, the tonnages reported therein, and the Gross Receipts reported pursuant to Section 10 hereof. 29 65A-40 (c) CITY shall make its billing records available to CONTRACTOR upon reasonable notice for the purpose of auditing such records. 44, BOND: The CONTRACTOR shall, prior to the initial date of the term of this Agreement, execute and file with the City Clerk a surety bond in the penal sum of Two Million Dollars ($2,000,000,00) conditioned upon the £aithfiil performance of this Agreement by the CONTRACTOR and its subcontractors, if any. Said bond may be written for a term of one year, and may thereafter be renewed by certificate, provided however, that the CONTRACTOR agrees to maintain such bond or bonds in force for the complete term of this Agreement, 45. MEDIA RELATIONS., The CONTRACTOR shall notify the CITY by facsimile of all requests for news media interviews related to the CITY'S Solid Waste collection program within twenty-four (24) hours. Before responding to any inquiries involving controversial issues, CONTRACTOR will discuss the proposed response with the CITY, Copies of draft news releases or proposed trade journal articles shall be submitted to CITY for prior review and approval at least two (2) working clays in advance of release, Copies of articles resulting from media interviews or news releases shall be provided to the CITY within five (5) days after publication. 46. NOTICES: Any notice required by this Agreement shall be sufficiently served if personally delivered or if deposited into the U.S. Mail, postage prepaid, and if addressed as follows: If served by CONTRACTOR upon CITY: Executive Director of Public Works Public Works Agency City of Santa Ana 20 Civic Center Plaza M-21 Santa Ana, California 92701 If served by CITY upon CONTRACTOR: Public Sector Manager Waste Management 1800 South Grand Santa Ana, California 92705 30 65A-41 With a courtesy copy to: West Group General Counsel Waste Management, Inc. 7025 N Scottsdale Road, Suite 200, Scottsdale, AZ 85253 47. GENDER AND NUMBER: As used herein, the masculine gender shall include the feminine and neuter, and the singular shall include the plural. 48. VALIDITY: The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of the other provisions of this Agreement. 49. ASSIGNABILITY: CONTRACTOR may not assign or transfer any rights, interests or duties or obligations of perfor inauce under this Agreement, whether by assignment or novation, without the prior written consent of the CITY; provided, however, that claims far money due or to become due to the CITY under this Agreement may be assigned to a bank, trust company or other financial institution, or to a trustee in bankruptcy, without such approval. This section shall not prohibit the assignment, merger or transfer of any rights or interests herein to any other wholly owned subsidiary of Waste Management, Inc. Notice of any assignment, merger or transfer shall be furnished to the CITY in writing within seven (7) calendar days of such assignment, merger or transfer. So. GOVERNINGLAW_ This Agreement shall be governed by and construed in accordance with the laws of the State of California. 31 65A-42 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the day and year first hereinabove written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO, CITY ATTORNEY j6XIN M. FUNK Assistant City Attorney CITY OF SANTA ANA GERARDO MOUET Acting City Manager USA Waste of California, Inc. By: FRED MOUSAVIPOUR Executive Director, Public Works Agency Title: 32 65A-43 WASTE MANAGEMENT HOLDINGS INC. (WMH) GUARANTEE Name of Underlying Contract: Fourth Amended and Restated Agreement for Collection and Handling of Solid Waste Generated and/or Accumulated in the City of Santa Ana Date of Underlying Contract: June 19,1997 Beneficiary: CITY OF SANTA ANA, a municipal corporation of the State of California Address: 20 Civic Center Plaza, Santa Ana, CA 92701 WMH Contracting Company: USA Waste of California, Inc,, a Delaware corporation TO THE BENEFICIARY IDENTIFIED ABOVE: With respect to that certain underlying contract identified above (hereinafter the "Agreement") dated as of the above specified date by and between the WMii Contracting Company identified above (the "Contractor") and the beneficiary identified above (the "Beneficiary"), and subject to the terms of this letter agreement (the "Guarantee"), Waste Management Holdings Inc., a Delaware corporation (hereinafter "WMH"), hereby irrevocably and unconditionally guarantees to the Beneficiary the performance of all obligations and the due and punctual payment of all amounts payable by the Contractor to the Beneficiary under the Agreement when the same shall become due and payable in accordance with the terns of the Agreement, Upon failure of the Contractor punctually to perform or pay any such amounts, and upon written demand by the Beneficiary to WMH at its address set forth below (or to such other address or person as WMH may specify in writing), Will agrees to perforn or cause to be performed, and to pay or cause to be paid such amounts. Notwithstanding the foregoing, WMH's obligations hereunder as to any claim, suit, proceeding, event or other matter in respect of which the Beneficiary at any time shall be seeking payment hereunder (referred to herein as "Guarantee Events") shall be subject to the preconditions that (i) the Beneficiary shall have given written notice of such Guarantee Event to the Contractor promptly after learning thereof, (ii) in the case of any failure by the Contractor to perform any obligation under the Agreement, shall have afforded WMH a reasonable opportunity to cure such failure, and (iii) there shall not have occurred and be continuing any material breach by the Beneficiary of its obligations under the Agreement, WMH hereby agrees that, except as expressly provided herein, its obligations hereunder will be unconditional and will not, be discharged except by complete payment or other lawful discharge (other than by operation of Barilcruptcy law) of the amounts due under the Agreement, irrespective of any claim as to the lack of authority of the Contractor to execute or deliver the Agreement, the absence of any action to onforce the Agreement, the failure to obtain any judgment against the Contractor, the failure to commence any action to enforce a judgment against the Contractor under the Agreement or any similar circumstance which night otherwise constitute a legal or equitable discharge or defense of a guarantor generally. Except as set forth above, WMH hereby waives diligence, presentment, demand on the Contractor for payment, filing of claims, requirement of a prior proceeding against the Contractor 33 65A-44 and protest or notice, except as provided for in the Agreement with respect to amounts payable by the Contractor. If at any time payment under the Agreement is rescinded or must be otherwise restored or returned by the Beneficiary upon the insolvency, banl"ptcy, or reorganization of the Contractor or WMH or otherwise, WMH's obligations hereunder with respect to such payment shall be reinstated upon such restoration or return being made by the Beneficiary. WTMH represents the Beneficiary as of the date hereof that: (1) it is duly organized and validly existing under the laws of the jurisdiction of its incorporation and has fall corporate power and legal right to execute and deliver this Guarantee and to perform the provisions of this Guarantee on its part to be performed; (2) its execution, delivery, and performance of this Guarantee have been and remain duly authorized by all necessary corporate action and do not contravene any provision of its certificate of incorporation or by-laws or any law, regulation, or contractual restriction binding on it or its assets; and. (3) this Guarantee is its legal, valid and binding obligation enforceable against it in accordance with its terms except as enforcement hereof may be limited by applicable bankruptcy, insolvency, reorganization, or other similar laws affecting the enforcement of creditors' rights or by general equity principles. By accepting this Guarantee and entering into the Agreement, the Beneficiary agrees that WMH shall be subrogaW to rights of the Beneficiary against the Contractor in respect of any amounts paid by WMH pursuant to the Guarantee. WMH acknowledges that llie Contractor is a direct or indirect subsidiary of WMH and that WMH will receive substantial benefit from the performance of the Agreement. Neither this Guarantee nor the Agreement may be amended without the advance written consent of WMH and the Beneficiary, No amendment shall be effective unless set forth in a written instrument so executed. If WMH shall default in the performance of its obligations hereunder, WMH shall pay to the Beneficiary all costs incurred by the Beneficiary in enforcing its rights hereunder against WMH, including reasonable attorney fees and court costs. Any notice or other communication required or permitted, by the terms hereof shall be in writing and shall be given in a commercially reasonable manner to WMH at 1001 Fannin, 40" Floor, Houston TX 77002, Attention: General Counsel, or to such other address as WMH shall specify in writing to the Beneficiary at its above -specified address or such other address as the Beneficiary shall notify to WMI3 as provided herein. This Guarantee shall be governed by and construed in accordance with the internal laws of the State of Delaware applicable to contracts made to be performed therein. The Beneficiary's receipt and acceptance of this Guarantee shall constitute the Beneficiary's acceptance of and agreement to each and every term hereof, 34 65A-45 WA,sTF. MANAGEMENT HOLDINGS, INC. RECEIVED AND ACCEPTED: By: By; Its: Its; (Batiefciary) 35 EXHIBIT "A" SPECIFICATION'S Solid Waste collection and Recycling plastic carts ("carts") for curbside service, City of Santa Ana, California I)escrintion Size A: 35 gallon Depth: 23.75 inches maximum (including handles) Width: 19 inches maximum Height: 35 inches maximum (to body rim) Size B: 64 gallon Depth, 27 inches maximum (including handles) Width: 24 inches maximum, Height: 39 inches maximum (to body rim) Size C: 96 gallon Depth: 34.5 inches maximum (including handles) Width: 26 inches maximum Height: 43 inches maximum (to body rim) All three sizes must be available in green, grey and burgundy. Technical Requiremonts 1, Body: Carts shall beinjectionmoldedofvirgin high densitypolyethyleneplastic. The body of the cart shall be molded to present a smooth interior and exterior surface. The body of the carts shall have a minimrun wear strip under the floor of `A inch (protecting the floor from abrasive contact with the street surface). 2, Material: Recyclable polyethylene, U.L.approved with a rating of HB or better. Average Wall Thickness: Size A: Not Less than .140 inch Size B: Not less than .160 inch Size C: Not less than .165 inch Carts shall be suitable for use in temperature of>120 F to -20"F. All plastic and component parts used in the construction of the carts shall be recyclable into other polyethylene products. Crosslinkrosin is not acceptable, All carts shall bomanufactured with a minimum of 20% post consumer recycle content. Carts shall be manufactured with a UV stabilizer, The UV stabilizer shall be added in the solution during the polymerization, prior to polloti,zing, compounding and, molding. 36 65A-47 independent laboratory tests of the carts bid must accompany bid samples certifying compliance as specified in part 2 of the detailed specifications. 3. Wheels: Two (2) wheels with self-lubricating bearings with a minimum load rating of 120 lbs. per wheel. Wheels shall be attaclied to the axle via a tamper resistant snap -on method which contains to .metal components, No cotter pins, "Pal nuts" or similar restraining devices shall be utilized to attach the wheel. All wheels shall be 1.75 inches wide. Wheals shall be easily removed for replacement with a non -commercially available tool. Wheel Sizes: Size A: 8 inches Size B: 10 inches Size C: 12 inobes 4. Axles: Axles shall be solid steel and cleetro-plated with blaolc zinc for durability and long life. Carts should be designed in such a way as to prevent the axle from popping out, An axle, which is only press fitted and not secured in some additional manner will not be acceptable, Axle Sizes: Size A: 518 inch Size B: 6/8 inch Size C: 7/8 inch 5. Lids: Lids shall be molded of the same material as the cart body and shall be permanently attached to the cart body with plastic hinge(s). Metal fasteners are not acceptable. Lids shall be watertight and slightly domed to facilitate run-off of rainwater. The lid shall be designed to fold over parallel to the back side of the cart when fully opened. Lids shall be factory assembled. 6. Locking Bar: The semi -automated lifting area shall be integrally molded with the body of the cart, Phe locking bar shall be able to rotate a £ull three-hiundred sixty (360) degrees and shall be 6onstraowd of zinc -coated steel to prevent rust mud corrosion, Plastic locking bars are unacceptable. 7, Certification by a certified independent laboratory shall be required of the following minimum standards and quality assurance measurements: T1 Drop ImpactTest - material and weight shall be cold soaked at a temperature of not less than -20 F for 24 hours and dropped within 60 seconds of leaving the cold chamber, Carts shall remain watertight after a minimum drop height of 15 feet. Test loads are as follows: Size A: 120 'lbs, distributed Size B: 160 lbs. distributed Size C: 1801bs. distributed 7.2 Lift and Dump Test - shall verify the cart's compatibility with approved, commercially available, standard dumping equipment, Test shall be performed at room temperature with a cycle time that simulates lift, dump and rehurn of 6 37 L7 . . 46 seconds. Carts shall remain watertight and functional beyond 6,000 cycles. Test loads are as follows: Size A: 160lbs. distributed Size B: 250 lbs. distributed Size C: 350 lbs. distributed 7.3 Wheel/.Axle Test - shall verify the combined durability of the wheels, axle and cart axle supports under fully loaded conditions, The two cycle tests shall be performed at room temperature as follows: Cycle 1 - with a rolling length of 75 feet and a 5" curb drop. Cart shall continue to roll freely and be watertight after 1,000 drops. Cycle 2 - repeated with a 5,5" stair drop. Cart shall continue to roll freely and be watertight after 1,000 drops. Test loads shall be as follows: Size A: 1251bs. distributed Size B: 2001bs. distributed Size C: 350tbs. distributed 7.4 Salt Spray - ASTM B117-90 corrosion tests shall be applied to the lift bracket for a minimum of 96 hours end to the axle for a minimum of 500 hours. Bracket and axle shall remain corrosion free. 8, Serial NLunber/Manufacture Date: Each cart shall be hot stamped with a seven digit, 1-1/2" high alpha/numeric identification number on the front of the cart. An in -molded year/month date wheel identification will be located on the bottom of the cart. 9. Markings: Each cart lid shall be clearly and permanently marked with the cart's size or volume capacity. 9,1 Precautionary instructions shall be molded into the lids in English and Spanish as follows: Size A: Cart Capacity 35 Gallons Do not overload or you may have difficulty controlling the cart, Do not roll cart with lid open. Do not put sand, soil, rocks or concrete in cart, Maximum load 125 pounds. Do not put anything hot such as ashes in the cart. Do not part paints, solvents, gasoline, oil, etc. in cart. 38 65A-49 Size B: Cart Capacity 64 Gallons. Do not overload or you may have difficulty controlling the cart. Do not roll cart with lid open. Do not put sand, soil, rocks or concrete in cart, Maximum load 200 pounds. Do not put anything hot such as ashes in the cart. Do not put paints, solvents, gasoline, oil, etc. in cart. Size C: Cart Capacity 96 Gallons. Do not overload or you may have difficulty controlling the cart. Do not roll cart with lid open. Do not put sand, soil, rocks or concrete in cart. Maximum load 250 pounds. Do not put anything hot such as ashes in the cart. Do not put paints, solvents, gasoline, oil, etc, in cart. 9.2 The hot stamp text area size shall be as follows: Size A: 2%a" x 14" Size B: 31/2" x' it Size C: 41/2„ "x 19" 10. References: Each bid shall include references of communities which have purchased like sizes and quantities of carts. For each reference, carts shall currently be in service for a minimum of 2 years. 11. Warranty: Each cart must be covered by a nvinimum 10 year warranty against materials and manufaoturi,ng defects. The first five years (1 through 5) shall be with fall warranty; years 6 tbrough 10 shall be prorated. 39 65A-50 I. 2. EXHIBIT"C" Rates Effective , 2017 CURBSIDE SERVICE Subject to the provisions of this Agreement, the City shall collect the rate of $20.03 on behalf of the Contractor fax curbside service. The City shall collect the rate of $17.69 on behalf of the CONTRACTOR for all qualifying senior citizen and mobile park curbside service units, Rates for each additional solid waste collection and recycling plastic cart shall be no greater than $2,00 per month. RESIDENTIAL BIN SERVICE RATES Subject to the provisions of this Agreement, the CONTRACTOR may change no more than the following rates for Residential Bur Service; Monthly Rate 1 YARD BIN X 1/WEEK $102.52 1 YARD BIN X 2/WEEK $184.24 1 YARD BIN X 3/WEEK $265,94 1 YARD BIN X 4/WEEK $347.74 1 YARD BIN X MEEK $429.39 1 YARD BIN X 6/WEEK $531.97 2 YARD BIN X 1/WEEK $111.61 2 YARD BIN X 2/WEEK $202.44 2 YARD BIN X 3/WEEK $293.30 2 YARD BIN X 4/WEEK $384.12 2 YARD BIN X 5/WEEIC $474.94 2 YARD BIN X 6/WEEK $565.76 3 YARD BIN X I/WEEK $162.18 3 YARD B]N X MEEK $282,91 3 YARD BIN X MEEK $403,51 3 YARD BIN X 4/WEEK $524.35 3 YARD BIN X 5/WEE17, $645.04 3 YARD BIN X 6/WBEK $817.63 4 YARD BIN X IMEEK $192.07 4 YARD BIN X 2/WBBK $332.29 4 YARD BIN X MEEK $472.43 4 YARD BIN X 4/WEEK, $612.68 lul 65A-51 4 YARD BIN X 5/WEEK 4 YARD BIN X 6/WEEK $752.79 $965.58 CONTRACTOR may offer a discount in the Residential Bin rates to a Residential Bin Service Customer if said Customer regularly segregates Recyclable Solid Waste and/or Yard Waste by Waste Type in separate bins. 3. 4, COMiVIERCIALANIDUSTRIAL BIN Subject to the provisions of this Agreement, the CONTRACTOR may charge no more than the following rates for Commercial/Industrial Bin Service: Monthly Rate 1 YARD BIN X I[WEEI£ $81.94 I YARD BIN X 2/WEEK $143.06 1 YARD BIN X 3/WEEK $204.30 1 YARD BIN X 4/WEEK $265.57 1 YARD BIN X 5/WEEK $326.74 1 YARD BIN X 6/WEEK $408.64 2 YARD BIN X MEEK $91.22 2 YARD BIN X 2/WEEI£ $161,79 2 YARD BIN X YWEEK $232.28 2 YARD BIN X 4/WBEK $302.74 2 YARD BIN X 5/WEEK $373.25 2 YARD BIN X 6/WEEK $4.74.86 3 YARD BIN X I/WEEK $131.69 3 YARD BIN X 21WEEK $242.67 3 YARD BIN X 3MEEK $353,59 3 YARD BIN X 4/WEEK $464.52 3 YARD BIN X 5/WEEK $575.45 3 YARD BIN X 6/WEEI£ $738.18 4 YARD BIN X 1/WEEK $172.17 4 YARD BIN X 2/WEEK $313.11 4 YARD B1N X 3/WEEK $4.54.11 4 YARD BIN X 4•/WEEK $595.20 4 YARD BIN X 51WEEK $736.20 4• YARD BIN X 6/WEEI£ $949.80 CONTRACTOR may offer a discount in the comuaercial/industrial bin rates to a Commercial/ladustrial Bin Service Customer if said Customer regularly segregates Recyclable Solid Waste and/or Yard Waste by Waste Type in separate bins. ROLL-O0F SERVICE RATES 41 65A-52 5. Subject to the provisions of this Agreement, the CONTRACTOR may charge no more than the following rates for Roll -Off Services: Container Size Haul Rate LC Cubic yard $248.13 20 Cubic yard $248.13 40 Cubic yard $248.13 Additional Fee for Compactor $51.71 $51.71 $51.71 In addition to the Ro11-Off Service rates set forth above, CONTRACTOR may charge the Roll -Off Service Customer for the aot<ial Gate Fees paid at the Disposal Site or fees charged at the Materials Recovery Facility. SPECIAL BIN SERVICE RATES Subject to the provisions of this Agreement, the CONTRACTOR may charge no more than the following rates for Special Bin. Services: (A) A bin which needs to be moved in excess of twenty-five (25) feet in order to be emptied may be assessed no more than the following fees: (1) Moving of bins 25 to 50 feet: $1.49 per month times the number of times emptied each week, (2) Moving of bins 51 to 75 feet: $2.92 per month times the number of times emptied cacti weak. (B) A bin which possesses casters may be assessed a castor charge of no more than $3.63 per bin per month. (C) CONTRACTOR may apply a surcharge to bin Customers who use trash compactors of not to exceed a multiplier of 1.5 times the romaal bin rate for said service, (D) CONTRACTOR may charge a special service charge of no more than $2.92 a month times the number of.times a week a bin is emptied for moving a bin out of an enclosure. (E) CONTRACTOR may charge a fee of no more than $84.48 per bin for an additional bin pickup when such pickup is requested by a Customer. (F) CONTRACTOR may charge a fee of no more than $2.92 per month to a Customer who reduests a bin with a lock, (G) CONTRACTOR may charge a reasonable fee for six (6) cubic yard Bin Sorvice. (H) CONTRACTOR may charge a reasonable fee for a plastic injection molded two (2) cubio yard container. W 65A-53 a (I) CONTRACTOR may charge a fee of no more than $85.68 per bin to persons who need temporary use of a three (3) cubic yard bin. (J) CONTRACTOR may charge a reasonable fee for collection of Solid Waste on difficult to service streets, (K) CONTRACTOR .may charge a fee of no more than $42,80 per occurrence for overflowing bins. (f.,) CONTRACTOR may charge a restart fee of $20.01 to restart commercial and roll off service wheat a permanent account has been terminated for non-payment. (M) CONTRACTOR may charge abin exchange fee of $57.04 for each of two or more bin exchanges in a twelve (12) month period, due to bin size change, (N) CONTRACTOR may charge a trip charge of $68,43, per scheduled visit when the roll-offes not serviceable. (0) CONTRACTOR may charge a return to service fee of $69.43 per call, for two or more calls in a one -month period, by a commercial/residential bin service customer to return to provide service. (P) CONTRACTOR may charge a fee of $7.12 per bin, times the nw-Aber of service visits per month, when stinger service is required lbr a commeroial/residential bin service customer. (Q) CONTRACTOR may charge a customer a fee of $1.49 each for copies of disposal tickets, (A) The rate per vehicle hoar with a two (2) person crew providing emergency Roll - Off Service on an on -call basis shall be no more than sixty dollars (.$60.00) for the term of this Agreement. (B) The rate per vehicle hour with a two (2) person crew providing emergency Bin Services on an on-oall basis shall be no more than sixty five dollars ($65.00) for the term of this Agreement. INCORPORATION OF "SMART" ZOGRAM IMPACT FELTS INTO REFUSE SERVICE RATES (A) As of the date of this Agreement, the City is considering adoption of the "Sustainable Mobility and Roadway Transformation (SMaRT)" Program. The primary purpose of the SMaRT Program is to provide funding for necessary improvements to the City's streets to offset the "wear slid tear" impact of heavy vehicle travel thereon, 43 65A-54 (H) As part of the SMaRT Program, the City commissioned a study to assess the impact heavy vehicles travelling within the City have on City streets. The study concluded that approximately 38.1% of the impact is due to refuse trucks and similar heavy vehicles travelling on City streets. As such, the study concluded that the costs of maintaining City streets to offset these impacts may be fairly apportioned to the cost of providing refuse service. (C) Therefore, should the City Council establish the SMaRT Program and should it apportion an amount of street maintenance costs to CONTRACTOR as pant of providing refirse service, those additional costs, as established by ordinance or resolution (the "SMaRT Fees"), may be added as a separate line item by the CONTRACTOR to the customer's service rates and charges, in addition to those authorized herein, 44 65A-55 65A-56 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: REVIEW AND ADOPT THE 2017 FEDERAL AND STATE LEGISLATIVE PLATFORM AND 2016 SCORECARD {STRATEGIC PLAN NOS. 1, 2, 3, 4, 5, 6, 7} t RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Review and adopt the 2017 Federal and State Legislative Platform and 2016 Federal and State Legislative Scorecard. DISCUSSION The Legislative Platform is a tool to protect and promote the City's interests on priority programs and projects, legislative proposals, and regulatory matters that may impact the City. The Legislative Platform includes guiding principles and policy statements that allow City staff and legislative advocates to address legislative and regulatory issues by providing a framework that summarizes the City's position on policy issues and priorities, without precluding the consideration of additional legislative and budget issues that arise during the year. The proposed 2017 Federal and State Legislative Platform and 2016 Federal and State Legislative Platform Scorecard were prepared by staff in conjunction and reviewed by the Legislative Affairs, Ethics and Transparency Council Committee at the Special Meeting held on April 5, 2017. The 2017 Federal and State Legislative Platform proposes the new year's guiding principles that focus legislative advocacy efforts on: 1) preserving local control; 2) promoting fiscal stability; 3) supporting funding opportunities; and 4) maximizing regional collaboration and cooperation. In addition, the policy statements, City programs/projects, and legislative proposals identified within the Legislative Platform are aligned with the goals of the City's Five -Year Strategic Plan and are prioritized according to federal and state legislative priorities. State and federal lobbyist provided recommendations in collaboration with staff to set City priorities in the 2017 Legislative Platform, which include, but are not limited to: Police Officer 65B-1 Review and Adopt the 2017 Federal and State Legislative Platform and 2016 Scorecard April 18, 2017 Page 2 Body Cameras, Homeless Assistance, Medical Marijuana Legislation, Safe Mobility, Veterans Assistance, Immigration Reform, Parks, Library, Santa Ana Zoo, Affordable Housing, Economic Development Initiatives, Enhanced Infrastructure Financing Districts, Transportation Infrastructure Funding, Preserve Tax -Exempt Municipal Bonds, Renewable Energy, Santa Ana Water Conservancy, OC Streetcar, Santa Ana Regional Transportation Center, Grade Separations, Open Data Platform, Technology, and Legislative matters. The 2016 Federal and State Legislative Platform Scorecard summarizes the many accomplishments and progress achieved throughout the 2016 calendar year. Each department outlined the completion of projects, grant funds acquired, and/or development attained. Further, state and federal lobbyist provided updates on pertinent legislation that occurred in 2016 as it relates to the Legislative Platform Scorecard. Recognizing the need to actively engage in legislative advocacy, the Legislative Platform helps strengthen the City's ability to articulate, influence, and monitor its position on these and other policy and priority issues. The Legislative Platform also allows the City to respond quickly in support or opposition to issues in a manner that is consistent with the Council's policy positions and direction. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet all seven goals and objectives of the strategic plan which include: 1) Community Safety; 2) Youth, Education, Recreation; 3) Economic Development; 4) City Financial Stability; 5) Community Health, Livability, Engagement and Sustainability; 6) Community Facilities and Infrastructure; and 7) Team Santa Ana. FISCAL IMPACT There is no fiscal impact associated with this action. EXHIBITS: 1. City of Santa Ana Federal and State Legislative Platform 2017 2. City of Santa Ana Federal and State Legislative Platform Scorecard 2016 65B-2 Exhibit 1 FEDERAL AND STATE LEGISLATIVE PLATFORM 20 Civic Center Plaza, Santa Ana, CA 92701 Phone: (714) 647-6900 1 Fax: (714) 647-6954 65B-3 CITY OF SANTA ANA 2017 FEDERAL AND STATE LEGISLATIVE PLATFORM SANTA ANA CITY COUNCIL Mayor Miguel Pulido Mayor Pro Tern Michele Martinez Ward 2 Councilmember Vicente Sarmiento Ward 1 Councilmember Jose Solorio Ward 3 20 Civic Center Plaza, Santa Ana, CA 92701 Phone: (714) 647-6900 1 Fax: (714) 647-6954 65B-4 Councilmember David Benavides Ward 4 Councilmember Juan Villegas Ward 5 Councilmember Sal Tinajero Ward 6 TABLE OF CONTENTS WYIi3Rl111•Y111P GUIDING PRINCIPLES ..........1 GOAL 1: COMMUNITY SAFETY...................................................................................................................2 BodyCameras / COPS Funding....................................................................................................................2 Homelessness..............................................................................................................................................2 Medical/Recreation Marijuana....................................................................................................................2 Gangs...........................................................................................................................................................2 DomesticViolence.......................................................................................................................................2 SafeMobility................................................................................................................................................2 Veterans....................................................................................................................................................... 3 ImmigrationReform....................................................................................................................................3 GOAL 2: YOUTH, EDUCATION, RECREATION..............................................................................................3 Parks............................................................................................................................................................4 Library..........................................................................................................................................................4 SantaAna Zoo..............................................................................................................................................4 GOAL3: ECONOMIC DEVELOPMENT.........................................................................................................4 AffordableHousing......................................................................................................................................4 Recycling Market Development Zone (RMDZ)............................................................................................5 Reducing Impediments to Business.............................................................................................................5 Economic Development Initiatives..............................................................................................................5 GoodsMovement and Mobility...................................................................................................................5 Enhanced Infrastructure Financing Districts................................................................................................5 Housing Authority/Section 8 Voucher Program..........................................................................................5 Workforce Innovation and Opportunity Act................................................................................................6 U.S. Department of Housing and Urban Development — Reauthorization.................................................6 GOAL 4: CITY FINANCIAL STABILITY.......................................................................................................... 6 Transportation Infrastructure Funding........................................................................................................6 Preserve Tax -Exempt Municipal Bonds.......................................................................................................7 RenewableEnergy Grants............................................................................................................................7 o• 2017 LEGISLATIVE PLATFORM ReceivershipActions....................................................................................................................................7 GOAL 5: COMMUNITY HEALTH, LIVABILITY, ENGAGEMENT & SUSTAINABILITY..........................................7 Water Conservation and Water Supply Reliability......................................................................................8 Health..........................................................................................................................................................9 Mobility........................................................................................................................................................9 ResidentialGroup Homes............................................................................................................................9 SustainableDevelopment............................................................................................................................9 Engagement.................................................................................................................................................9 GOAL 6: COMMUNITY FACILITIES & INFRASTRUCTURE............................................................................ 10 O.C. Streetcar.............................................................................................................................................10 Santa Ana Regional Transportation Center...............................................................................................11 First/Last Mile Connections to Santa Ana Regional Transportation Center..............................................11 GradeSeparations.....................................................................................................................................11 Automated Meter Infrastructure...............................................................................................................12 ReplacementWater Wells.........................................................................................................................12 Recycled Water System Master Plan.........................................................................................................13 BristolStreet..............................................................................................................................................13 AltonParkway............................................................................................................................................13 GrandAvenue............................................................................................................................................14 WarnerAvenue..........................................................................................................................................14 FairviewBridge..........................................................................................................................................14 GOAL7: TEAM SANTA ANA....................................................................................................................14 Transparency and Engagement.................................................................................................................15 OpenData / Public Records.......................................................................................................................15 Technology.................................................................................................................................................15 LegislativeAgenda.....................................................................................................................................15 20 Civic Center Plaza, Santa Ana, CA 92701 Phone: (714) 647-6900 1 Fax: (714) 647-6954 65B-6 2017 LEGISLATIVE PLATFORM INTRODUCTION The Legislative Platform is a tool to protect and promote the City's interests on priority issues and legislative/regulatory matters that may impact the City. The Guiding Principles and Policy Statements below allow City staff and legislative advocates to address 2017 calendar year legislative and regulatory issues in a timely and directed manner, without precluding the consideration of additional legislative and budget issues that arise during the year. This Platform supplements other City Council established policies reflected in other plans and policy documents and is consistent with the goals of the City's Strategic Plan. GUIDING PRINCIPLES I. PRESERVE LOCAL CONTROL Preserve and protect the City's charter powers, duties and prerogatives to enact legislation and policy direction concerning local affairs, and oppose legislation that preempts local authority. Local agencies should preserve and enhance authority and accountability for revenues raised and services provided. II. PROMOTE FISCAL STABILITY Support measures that promote fiscal stability, predictability, and financial independence. Support measures that preserve the City's revenue base and local control over local government budgeting. Oppose measures that make cities more dependent on the County, State or Federal Governments for financial stability, such as mandated costs with no guarantee of local reimbursement or offsetting benefits. Oppose measures that shift local funds to the County, State or Federal Governments, without offsetting benefits. III. SUPPORT FUNDING OPPORTUNITIES Support opportunities that allow the City to compete for its fair share of regional, state and federal funding, and that maintain funding streams. Opportunities may include competitive grant and funding programs. Opportunities could also include dedicated funding streams at the regional, state and federal levels that allow the City to maximize local revenues, offset and leverage capital expenditures, and maintain City goals and standards. IV. REGIONAL COLLABORATION AND COOPERATION Leverage the City's ability to preserve local control, promote fiscal stability, and support funding opportunities through collaboration with municipalities, local government agencies, special districts, regional government agencies / organizations and local, state and federal elected representatives. Share the City's Legislative Platform and municipal projects / programs with regional government agencies and local, state, and federal elected representatives to seek their support. Note: Items are ordered within each goal to align City of Santa Ana priorities with Federal and State priorities. CITY OF SANTA ANA 1 65B-7 2017 LEGISLATIVE PLATFORM GOAL 1: COMMUNITY SAFETY A safe and secure community is essential to the quality of life and economic success for the City of Santa Ana. The City is committed to a high level of public safety and working in partnership with the community to maintain a safe and secure City. Body Cameras / COPS Funding (Police Department) Support legislation which continuously provides funding for local police agencies to operate body worn camera programs. Seek grant opportunities to fund the evaluation of the police department's body worn camera program. Seek to sustain the COPS and juvenile justice programs. Homelessness (Community Development Agency) At the Federal level, incentivize and reward Public Housing Authorities for allocating Housing Choice Voucher Program resources to reduce homelessness. At the State level, seek changes to the Tax Credit Allocation Committee Qualified Allocation Plan under the scoring and selection policies, to more effectively incentivize developers to build more permanent supportive housing. - Increase permanent housing options linked to a range of supportive services - Improve access to emergency shelter and rapid rehousing opportunities - Improve data systems to centralize and coordinate information on homeless individuals - Develop systems and organizational structures to connect homeless individuals with employment -related supportive services. Medical/Recreation Marijuana (Planning and Building Agency / Police Department / Finance and Management Services Agency) Support legislation which maintains local control, considers critical health and safety requirements, provides for community education opportunities, and increases assistance and/or funding opportunities to municipalities that have adopted medical marijuana regulations to support enforcement of adopted operational standards. In addition, increase assistance and collaboration from state and federal agencies in investigating marijuana operations that are found to be associated with international drug trafficking organizations and engage in money laundering activities. Monitor the implementation of Proposition 64, California Marijuana Legalization Initiative, which makes it legal for individuals to use and grow marijuana for personal use. Gangs (Police Department) Support grant funding that focuses on the gang prevention and supports gang enforcement. Support legislation or initiatives that would maintain or Seel< to increase funding for the Edward Byrne Justice Grant (JAG) program. Domestic Violence (Police Department) Support legislation that increases the efficiency and effectiveness, and enhances the safety of domestic violence victims. Safe Mobility (Police Department and Public Works Agency) CITY OF SANTA ANA 2 65B-8 2017 LEGISLATIVE PLATFORM Increase local funding for infrastructure and programs that increase traffic and pedestrian safety in support of the City's Strategic Plan. Continue to seek traffic safety grants and support increased funding for California Office of Traffic Safety grants. The City is actively seeking funding to expand the installation and construction of safety infrastructure to protect pedestrians and bicyclists from motor vehicles on arterial and collector roadway corridors city-wide. The City has the fourth highest population density in the nation, and pedestrian and bicycle volumes are the highest in Orange County, and one of the highest in California. As a result, the City has one of the highest incidences of pedestrian and bicycle fatality and accident rates in California. New funding would prepare projects for "shovel ready" delivery. Updated polices will be adopted to ensure all newly rehabilitated infrastructure meets new safety standards. Updated design standards will include new curb and roadway alignments that will elevate the priority of pedestrian and bicycle use on city streets, and will emphasize shared use of the public rights -of -way. Programs related to traffic and pedestrian safety, and enforcement and education are included. The estimated cost to construct the immediate and near term city- wide phases of safe mobility initiatives is approximately $16 million. Advocate for passage of AB 342 (Chiu), which would authorize the Cities of San Jose and San Francisco to implement a 5-year pilot program utilizing automated speed enforcement system for speed limit enforcement on certain streets, and explore opportunities to authorize the City of Santa Ana to implement a similar program. The pilot programs authorized by this legislation may demonstrate new ways to reduce excessive speeding, reduce the number of vehicle collisions, and provide added safety to our streets for bicyclists and pedestrians. Veterans (Community Development Agency) At the State and Federal level seek increased funding to ensure veterans have adequate access to job training, employment opportunities, affordable housing, and mental health services in a dignified manner that honors their service and commitment to our country. Immigration Reform (City Manager's Office) Recognizing the liberty and civil rights of all individuals regardless of national origin or immigration status, and to protect the well- being and safety of all people residing in our community, the City supports comprehensive federal immigration reform that provides sensible and effective solutions that, while ensuring for border security, provide for legalization and a pathway to citizenship, sustain economic strength, and promote stronger communities and family reunification. The City also supports state legislation that limits state and local law enforcement agencies involvement in immigration enforcement and ensures that eligible individuals are able to seek services from state agencies without regard to their immigration status. GOAL 2: YOUTH, EDUCATION, RECREATION Santa Ana enjoys a young, vibrant population. The City is committed to working with other youth -oriented organizations to make a full range of opportunities available so our children and young adults can achieve success in their lives. CITY OF SANTA ANA 3 65B-9 2017 LEGISLATIVE PLATFORM Parks (Parks, Recreation and Community Services Agency) Work with local state representatives to support a proposed State park bond and ensure that funding is included that will be available to the City for park development and maintenance, as well as adding a program for joint -use funding. Library (Parks, Recreation and Community Services Agency) Advocate funding to address and support bridging the digital divide; adding art and culture exhibits at public libraries to engage the community to read, learn and appreciate art and culture; advancing early literacy; workforce development for youth; increasing library programming for teens; and programs to support the effectiveness of teen counselors and teachers. The Santa Ana Public Library was awarded a one-time $495,000 federal grant from the National Institute for Museum and Library Services for the Memories of Migration Program. The Memories of Migration program provides youth apprenticeship opportunities for Santa Ana's young adults. Seek joint -use and other funding opportunities to enhance the scope and reach of the Roosevelt -Walker e-Library. The "Biblio Tech" leverages technology tools to help the public access library resources. Collaborate with state and federal representatives to identify literacy program funding for collaborative efforts between the Library and the Santa Ana Unified School District. Continue to pursue the goal of providing a Santa Ana Public Library card to every SAUSD student. Collaborate with state and federal representatives to identify opportunities to add a new Public Library in the south part of Santa Ana. Santa Ana Zoo (Parks, Recreation and Community Services Agency) Work with state and federal representatives to identify funding for climate change education to be provided at the Santa Ana Zoo. Collaborate with local and state representatives to identify funding for water conservation education to be provided at the Santa Ana Zoo. GOAL 3: ECONOMIC DEVELOPMENT Robust; successful businesses bring jobs and opportunity to the City and provide tax revenues for public services that benefit the entire community. The City of Santa Ana will work aggressively to encourage businesses to locate and invest in our community, providing good jobs, reducing unemployment and bolstering our City's tax base. Affordable Housing (Community Development Agency) At the Federal level, maintain or seek to increase funding for the Community Development Block Grant (CDBG) Program, the HOME Investment Partnerships Program (HOME), Emergency Solutions Grant (ESG) Program, and the Housing Choice Voucher Program; support measures to expand HUD's Promise Zone Program; oppose legislation that would cut or reduce federal funding to Sanctuary cities. In addition, support efforts to CITY OF SANTA ANA 4 65B-10 2017 LEGISLATIVE PLATFORM expand the Low Income Housing Tax Credit (LIHTC) program and ensure that any federal tax reform efforts do not negatively impact LIHTC. At the State level, seek a permanent source of funding for affordable housing programs, as well as increased funding for the Low -Income Housing Tax Credit Program, Affordable Housing and Sustainable Communities Program and Veterans Housing and Homelessness Prevention Program. Recycling Market Development Zone (RMDZ) (Community Development Agency/Public Works Agency) Support continued funding for the Recycling Market Development Zone Program which incentivizes local green businesses, create jobs, increases the use of locally collected recyclables, reduces greenhouse gas emissions and diverts waste from landfills through the City's designation and participation in the Orange County Recycling Market Development Zone. Reducing Impediments to Business (Community Development Agency) Support legislation that reduces the cost of doing business in California and the City of Santa Ana. Support efforts to remove barriers, decrease unnecessary burden and regulations and assist in the streamlining of starting up a business in the City. Economic Development Initiatives (Community Development Agency) Collaborate with the Governor's Office of Business and Economic Development in support of ongoing economic initiatives and programs that provide direct technical and financial assistance to businesses looking to locate or expand in the City of Santa Ana. Programs such as California Competes Tax Credit, Sales and Use Tax Exemption, New Employment Hiring Tax Credit, Industrial Development Bonds, and the Employment Training Panel. Goods Movement and Mobility (Public Works Agency) Legislation is sought which values the economic development from improved goods movement and mobility to core Santa Ana industries. Goods movement would be enhanced by improving roadway infrastructure in and around the city's industrial centers estimated to cost in the cost range of $15 Million. Enhanced Infrastructure Financing Districts (Community Development Agency) Support legislation to improve, promote or fund Enhanced Infrastructure Financing Districts to issue bonds to fund infrastructure projects such as street improvements, highway interchanges, transit facilities, sewage treatment and water reclamation plants, low and moderate income housing, and transit priority projects, pursuant to the infrastructure financing plan and the agreement of affected taxing entities. Seek funding to plan and implement Enhanced Infrastructure Financing Districts. This will help fill a gap following the dissolution of redevelopment agencies. Housing Authority/Section 8 Voucher Program (Community Development Agency) Maintain or seek to increase funding for the Family Self -Sufficiency Program. The Santa Ana Housing Authority administers the Housing Choice Voucher Program (Section 8). As part of the program, families have the opportunity to voluntarily participate in the Family Self - CITY OF SANTA ANA 5 65B-11 2017 LEGISLATIVE PLATFORM Sufficiency Program to become independent from housing assistance. Participation in this program reduces housing assistance costs per family for the Housing Authority and allows the agency to assist new families that are on the Waiting List. Support legislation to implement an "opt -out" model for nondisabled, nonelderly (e.g. work capable adults) Housing Choice Voucher Program participants to be automatically registered for the Family Self -Sufficiency Program (ex. Cambridge Housing Authority Rental Assistance Asset Account model). Oppose legislation that would implement a lifetime limit on the receipt of housing assistance. Workforce Innovation and Opportunity Act (Community Development Agency) The City will continue to work with the Congressional delegation, and the Departments of Labor, Commerce, and Education to support and implement the Workforce Innovation and Opportunity Act (WIOA) with specific attention and emphasis on opposition to reduction in funding for WIOA; support for local Workforce Boards and local control; a single set of common performance measures for adults, dislocated workers and youth programs authorized under WIOA; and continued work on alignment of all federal workforce programs in U.S. Department of Housing and Urban Development, Health and Human Services, and Department of Education. U.S. Department of Housing and Urban Development — Reauthorization (Community Development Agency) Seek to maintain or increase funding the Community Development Block Grant (CDBG) Program to improve low to moderate -income neighborhoods, eliminate blight and create a stable economic base. GOAL 4: CITY FINANCIAL STABILITY It is essential that the City maintain fiscal stability to be able to deliver high quality services. This requires an effective and transparent financial system, accurate and reliable forecasting of revenues, an enhanced tax base, and control of expenses. Transportation Infrastructure Funding (Public Works Agency) The City's Gas Tax revenue has declined precipitously in the last three years- from over $10 million in FY2013/14 to less than $7 million in the current fiscal year. The reduction in this revenue is due, in part, to the increase in the number of alternative fuel vehicles and has restricted the ability to maintain the streets. Gov. Jerry Brown's latest state budget may offer a boost California's transportation funding by raising the gas tax or some other financing plan. Additionally, legislative leaders in both the Senate and the Assembly have indicated that developing a plan for the long-term financing of transportation infrastructure is a high priority. The City of Santa Ana is keenly interested in raising and stabilizing gas tax based revenues and also establishing other transportation funding for aging public infrastructure. While there have been a number of legislative proposals, introduced in previous years, those efforts have not been successful. Santa Ana management should be kept informed of the latest legislative developments so that timely support may be provided. Support legislation that would ensure that all users of the Cities transportation system pay CITY OF SANTA ANA 6 65B-12 2017 LEGISLATIVE PLATFORM their fair share for the maintenance and improvement of the system. Preserve Tax -Exempt Municipal Bonds (Finance and Management Services Agency) As Congress and the Administration consider tax reform, the City opposes any effort to eliminate or alter tax-exempt municipal bonds. Tax-exempt municipal bonds are critical for the City's efforts to improve and expand vital infrastructure. Ending the tax exemption would reduce the appeal of muni bonds for investors who would demand higher yields to compensate for the lost exemption, which would raise debt service costs for the City. Renewable Energy Grants (Public Works Agency) Seek State of California and federal grants or already established funding streams for renewable energy opportunities for City facilities, fleet operations and citywide benefit where applicable: - Solar Energy (photovoltaic arrays) - currently seeking low or no cost opportunities as they become available for city sites - Cogeneration within Civic Center facilities - Ice Energy - previously implemented at fleet, with future consideration for other sites - Alternative fuels vehicle and infrastructure - continue to purchase alternate fuel vehicles for fleet when available. Ongoing development of Public Access CNG station at Corporation Yard, providing public sales and yielding revenue. - Cap -and -Trade funding for public buildings and infrastructure, i.e. transportation Receivership Actions (Planning and Building Agency) Support legislation which would amend the California Health and Safety Code regarding municipalities' use of receivership actions. Specifically, revise Section 17980.7 to make the recovery of attorney's fees unilateral, rather than to the prevailing party. Support legislation which would amend the California Health and Safety Code Section 17980.7 to allow for first priority of receiver's liens and recovery of City's attorney fees and costs from the receivership estate. Support legislation which would remove the 3- day notice requirement and/or reduce the noticing requirement to service by certified mail. Support legislation which would clarify that unpaid administrative fines can be recovered as special assessments. GOAL 5: COMMUNITY HEALTH, LIVABILITY, ENGAGEMENT & SUSTAINABILITY A vibrant community is full of energy and life, characterized by investment in its people, its culture, and its physical environment. Our built environment has a direct effect on the community's overall quality of life. The task of community planning includes envisioning new commercial areas and new neighborhoods that enhance quality of life, as well as improving the neighborhoods we already have in order to create a sense of place and community. Essential to a vibrant community is strong community involvement, the celebration of arts and cultural diversity, and o focus on resource conservation. CITY OF SANTA ANA 7 65B-13 2017 LEGISLATIVE PLATFORM improvements to help achieve coequal Water Conservation and Water Supply goals of water supply reliability and Delta Reliability ecosystem protection and restoration. (Public Works Agency) Regional Water Resources The Drought has dominated much of the water Management: headlines from 2013 to 2015. However, in Support administrative/legislative action 2016, for the first time in three years, water to promote the development of a supplies available to the City's major water Regional Recycled Water Program for suppliers exceeded demands. This change indirect potable reuse of recycled water caused a shift in operational priorities from as new drought proof water resource. drought management and storage usage to drought recovery. Conservation efforts during Ground Water Replenishment System the drought were successful in suppressing Final Expansion: water demand. The City exceeded the Support the GWRS-Final Expansion Governor's mandate to conserve all throughout project to augment the existing system the Emergency Drought Declaration. With the to replenish the Orange County increase in available supplies in early 2016 Groundwater Basin from 100 to 130 water supply allocation was lifted, however, the Million Gallons per Day. City continued with its water conservation efforts and outreach. On February 1, 2017 the Ocean Water Desalination: State Water Project watershed hydrology had Support administrative/legislative action improved to 197 percent of average to date. to promote the development of fiscally Many of the state's reservoirs are full or above responsible ocean water desalination their historic averages. Castaic Lake for example projects as a water resource, without is 92% of its capacity. Under these wet compromising the operational, financial, conditions, with average rain of 27.81 inches water quality, regulatory and customer's statewide from October 1, 2016 to February 28, interests of the City and other water 2017 the Department of Water Resources agencies. announced a 60 percent State Water Project (SWP) allocation. With the understanding that Efficient Water Use: droughts are cyclical, the City supports state and Provide incentives, funding, and other regional water supply projects and initiatives to assistance where needed to facilitate drought proof the Southern California water water market transformation and gain supplies. The City supports the following wider implementation of water -efficient projects/initiatives: indoor and outdoor technologies and practices. Bay -Delta and State Water Project Improvements: Water Quality: Support administrative/legislative action Funding that helps Cities meet state and and federal and state funding to keep federal water quality standards. the Bay Delta Conservation Plan/California WaterFix to advance Water Infrastructure Financing: conveyance and ecosystem Reduce the cost of financing water CITY OF SANTA ANA 8 65B-14 2017 LEGISLATIVE PLATFORM infrastructure planning and construction, such as tax -credit financing, tax-exempt municipal bonds. The City will continue to monitor the activities of the State Water Resources Control Board, as well as any legislation introduced, related to long-term urban water conservation. Health (Parks, Recreation and Community Services Agency) Advocate for special grant monies for community outreach and education efforts to enhance the public awareness of preventing health issues such as obesity, diabetes, heart disease, and hypertension. Mobility (Public Works Agency and Parks, Recreation and Community Services Agency) A safe, well-connected network of non - motorized transportation facilities provides many benefits to the City, including increased mobility, greater access to fresh foods, enhanced viability to local businesses, and reduced traffic congestion. Support Federal, State and regional funding programs for improved bicycle and pedestrian facilities such as Active Transportation Program, Highway Safety Improvement Program, Bicycle Corridor Improvement Program, and the Compass Blueprint Program. Seek special grant monies for outreach and education efforts to enhance walking and biking safety in our town. Residential Group Homes (Planning and Building Agency) To protect residential neighborhoods, support legislation which promotes local control of residential groups homes including sober living facilities. Planning staff has identified regulating residential group homes as a critical tool for protecting the City's residential neighborhoods. Staff will initiate the preparation of an ordinance that will include restrictions and/or regulations as well as development standards for group homes such as sober living facilities. Sustainable Development (Planning and Building Agency) Seek special grant monies for planning, outreach and education efforts to support sustainable development. Projects may include comprehensive planning efforts, zoning and building code updates and specific planning efforts. Eneaeement (Parks, Recreation and Community Services Agency and Planning and Building Agency) Seek special grant monies for community engagement. These grant monies may be used to support public outreach on a number of planning efforts including the City General Plan update, historic preservation programs and survey efforts as well as specific planning urban design projects such as the Santa Ana Public Library's AGUA drought tolerant demonstration garden. In addition, monies may be used to support the City's existing Neighborhood Improvement Program community engagement efforts. CITY OF SANTA ANA 9 65B-15 2017 LEGISLATIVE PLATFORM Discuss with state and federal legislature representatives the need to find a funding stream to help the Santa Ana Public Library and its cohort of Youth Civic Engagement interns provide a 5-year effort to increase voter registration. GOAL 6: COMMUNITY FACILITIES & INFRASTRUCTURE The City of Santa Ana has the responsibility to install and maintain the basic facilities required for a community to operate including streets, sidewalks and bikeways, sanitary sewers, storm drains, water systems, public buildings and facilities, and collection of solid waste. The City also has an important advocacy role concerning mass transit and public utilities. O.C. Streetcar (Public Works Agency) Seek continued support for OC Streetcar federal funding. This project is a modern streetcar running from the Santa Ana Regional Transportation Center (SARTC) through Santa Ana's Downtown and Civic Center within mixed flow traffic in city streets and within the Pacific Electric right-of-way to Garden Grove. The streetcar will expand regional transportation system benefitting mobility and goods movement as well as providing expanded regional and local economic development opportunities. The OC Streetcar received final environmental clearance in March 2015. In February 2016, the OC Streetcar received federal consideration when former President Obama included $125 million for the OC Streetcar in his budget. The Orange County Transportation Authority (OCTA) has become the lead agency for the design, construction, operations and maintenance of the project. The project is currently in the design phase and is scheduled to begin construction in 2018. To date, 60 % design review has been completed. The OC Streetcar will link the bustling Santa Ana Regional Transportation Center (SARTC), which provides regional rail, OCTA bus, and intercity and international bus services, to a new multimodal hub at Harbor Boulevard / Westminster Avenue in Garden Grove. Along the way, OC Streetcar will connect directly with 18 OCTA bus routes. OC Streetcar will serve the historic downtown Santa Ana and Civic Center which includes government offices, federal, state and local courthouses, unique restaurants and shops, an artists' village, several colleges and a variety of community enrichment organizations. OC Streetcar will increase transportation options and provide greater access along its 4.15-mile route (in each direction) along Santa Ana Boulevard, 4th Street, and the Pacific Electric right-of-way to Harbor Boulevard in Garden Grove. The project serves Santa Ana which is the fourth most densely populated city in the United States, and serves the City's densely populated communities, many of whom (17.8%) do not own cars and currently use public transportation. The estimated cost of the project is $298 million. Project funding is currently comprised of the following funding sources: Federal New Starts, Congestion Mitigation and Air Quality (CMAQ), Federal Transit Administration (FTA) 5307, State Cap -and -Trade, and Measure M2 Project S. If construction begins in 2018, the OC Streetcar Project could be operating by 2020. In coordination with OCTA, support the inclusion of the O.C. Streetcar Project in New Starts CITY OF SANTA ANA 10 65B-16 2017 LEGISLATIVE PLATFORM funding. The City will continue to seek Federal and State funding opportunities for the project. Santa Ana Regional Transportation Center (Public Works Agency) Funding is needed to repair and modernize the Santa Ana Regional Transit Center (SARTC) to support increasing mobility demands locally and regionally. Expanding rail and other mass transit mobility modes is critical to support an ever- increasing demand for inter - and intra - county rail services resulting from growth in population and employment in the surrounding areas. The SARTC station is a key link between local passenger access to the OCTA Metrolink Railroad and Amtrak connecting Orange County to other outlying areas of nearby regions, including Los Angeles, the Inland Empire, San Diego and beyond. Specifically, the SARTC facility is in dire need of bathroom expansion to support the increase station demands and meet today's American's with Disabilities Act standards, and other modernizations to encourage travel by higher efficiency mobility. Facility needs include modernization of interior climate control systems, repair of the building envelope to make water tight, update of interior painting and floor coverings, plumbing system upgrades, improved access and pathways from the facility's perimeter and expanded passenger loading and unloading kiosks/stalls. The estimated cost to complete these improvements is $4 Million. First/Last Mile Connections to Santa Ana Regional Transportation Center (Public Works Agency) New first and last mile connections to regional rail and bus passengers are critical to expand regional mobility. One key to expand system capacity is adding seamless travel connections at the Santa Ana Regional Transit Center (SARTC) to access Civic Center, Downtown, the Museum District and other employment, cultural, commercial and educational centers. Funding to plan and construct these first and last mile travel connections is needed, including bike lanes and infrastructure, safe and accessible pedestrian routes, and convenient transit facilities. Infrastructure may include protected bike lanes, bike lockers and racks, new sidewalk and access ramps, upgraded bus shelters. Programs and planning efforts could include educational campaigns, travel safety advertisements, and community based complete streets planning. The City supports Federal, State and regional funding programs and policies which would facilitate first and last mile connections. Grade Separations (Public Works Agency) Grade separation projects allow incompatible mobility modes to coexist These types of projects work by not only making existing incompatible transportation systems successfully match, but will greatly improve crossover connections between multimodal mobility and goods movement, and also result in reduced congestion, improved air quality, and reduced dependence on fossil fuels. Three separate grade separation projects have completed the conceptual engineering and environmental analysis phase. The three projects are located on Santa Ana Boulevard, Grand Avenue, and 17`h Street. The three currently intersect with railroad tracks carrying Amtrak and Metrolink commuter traffic, and Union Pacific Railroad freight cars. CITY OF SANTA ANA 11 65B-17 2017 LEGISLATIVE PLATFORM Daily rail traffic is now 75 trains per day and is expected to increase to 110 per day by the year 2035. The grade separation projects are essential to allow for future and current commuter and goods movement, while also maintaining and improving train, pedestrian and bicycle mobility, and safety by uniting divided neighborhoods and commercial districts. The City of Santa Ana is the lead for the Santa Ana Boulevard project. This is a unique Grade Separation Plaza because it not only allows and encourages mass pedestrian and bicycle traffic to safely cross rail tracks adjacent to the Santa Ana Regional Transit Center (Amtrak and Metrolink station). It would also allow for the extension of the OC Streetcar across the rail tracks without any additional infrastructure but the streetcar line. The environmental clearance of the Santa Ana Boulevard Grade Separation Plaza was completed September 2014 and the project is estimated to cost $73.3 million. This project is in 18th place on the state's priority list. The roadway carries over 20,000 vehicles per day within a very congested segment of roadway adjacent to an interchange with 1-5 freeway. In addition, 54 school buses and 309 passenger buses cross the rail tracks. Staff seeks State and/or Federal funding support either through the Orange County Transportation Authority or independently for 100% of the project construction cost through Regional Surface Transportation Program, CMAQ, Demonstration, and Federal Section 130 funds. OCTA has been the lead agency for the planning and environmental studies of the other two grade separations at (2) Grand Avenue and (3) 17th Street. It's anticipated that they will seek funding to implement those two projects. Automated Meter Infrastructure (Public Works Agency) The City supplies potable water to over 45,000 customer accounts which include all of the City's 324,000 plus residents, business, and institutions. All customer accounts are metered by traditional dummy meters which record water usage mechanically and are manually read every two months. The City is committed to pursuing Automated Meter Infrastructure (AMI) and converting all meters to new smart meters capable of detecting leaks and allows customers to manage their water consumption on a daily basis. The proposed system will have customer engagement which will generate notifications such as excessive water use, irregular consumption patterns, and most importantly water leaks. The system is planned to be completely wireless and accessible through the Web. This is a key water conservation project. The City has awarded a contract to perform a feasibility study and implementation plan. Full AMI conversion and implementation costs are estimated to be in the range of $14 million. Staff will continue to seek funding for automated meter infrastructure. Replacement Water Wells (Public Works Agency) The City supplies up to 75%of water demand via a system of groundwater wells. A number of these wells are aging and no longer produce the quantity or quality of water they once did. In order to sustain the quantity and quality of water for the community at the lowest cost possible, it is essential to retain our groundwater pumping capacity. A need exists to drill and equip new replacement wells. As a regional aquifer, this project would also protect the integrity of the aquifer for other water producers. The City is in the process of acquiring a site and has prepared a preliminary CITY OF SANTA ANA 12 65B-18 2017 LEGISLATIVE PLATFORM feasibility study for up to two new replacement wells. The replacement well improvements are estimated to be in the cost range of $7 million. Staff will continue to seek funding for the replacement of water wells. Recycled Water System Master Plan (Public Works Agency) The Orange County Water District (OCWD) owns and operates a recycled water system, a portion of which traverses through parts of Santa Ana. Santa Ana properties may connect to the recycled water system, where available. Currently only a limited number of parcels have access to the system as the recycled water pipelines only exist in a limited area. The City is considering commissioning a recycled water system master plan to identify opportunities to expand the system to serve recycled water demands. The OCWD has tentatively committed to supply additional recycled water but Santa Ana will have to fund construction costs associated with expanding the system. The recycled water master plan is estimated to cost $100,000. The cost to construct additional reclaimed water pipeline is estimated to be $1.25 million per mile. Staff will seek funding to develop a recycled water system master plan. Santa Ana River Conservancy Program (Public Works Agency) Support the Santa Ana River Conservancy program by supporting the State of California Coastal Conservancy in its effort to address the resource and recreational goals of the Santa Ana River region including open space, trails, wildlife habitat, agricultural land protection, water quality protection, educational use, and public access in line with all provisions of SB 1390. Bristol Street (Public Works Agency) The City of Santa Ana has been in the process of improving 3.9 miles of Bristol Street between Warner Avenue and Memory Lane in conformance with the City's General Plan, and OCTA's Master Plan of Arterial Highways. The project adds one through lane in each direction, bike lanes, sidewalk, landscaping and medians, as well additional turn lanes and bus turnouts at major intersections. The completed or near completed portions of the project total over 2.5 miles. OCTA has funded construction of the remaining segments between Warner Avenue and 17th Street. However, no funding sources exist for the portion between 17th Street and Elm Street (the north -most half mile), which handles an average of 48,000 vehicles per day. The estimated cost for this segment is $40 million. Depending on future federal funding programs, the City would anticipate a request of up to one half, or $20 million of total project cost. Alton Parkway (Public Works Agency) The City of Santa Ana has been the lead agency in coordinating the design and environmental clearance of the Alton Parkway Grade Separation. Alton is part of the Master Plan of Arterial Highways, and the proposal is to cross over SR-55. The roadway would expand regional connectivity, benefitting mobility and goods movement as well as providing expanded regional and local economic development opportunities, and significant benefits to local Santa Ana businesses located in the fringes of this project. Coordination with neighboring Irvine has been completed. CITY OF SANTA ANA 13 65B-19 2017 LEGISLATIVE PLATFORM This project's design / environmental phases were previously done but need to be updated per the latest state requirements. This will take an estimated 8-12 months to update. $55 million in construction and right-of-way funding is needed to implement this project. Half of this funding would be requested through the Measure M Regional Capacity Program with the remaining $22.5 million from Federal or other sources. Grand Avenue (Public Works Agency) The City has a project to widen Grand Avenue between 1st Street and 17th Street. The project, similar to Bristol, adds one through lane in each direction, bike lanes, sidewalk, landscaping and medians, as well as additional turn lanes and bus turnouts at major intersections in conformance with OCTA and City plans. The initial 900-foot segment between 1st Street and 4th Street began construction earlier in 2014 and was completed in 2015. Except for design phase funding, no funding has been identified for the remaining 4,300 feet, estimated to cost $49 million. A Federal $24 million grant to match the anticipated future OCTA Measure M2 funding could cover construction and project delivery. Warner Avenue (Public Works Agency) The City finalized the Environmental Impact Report (EIR) in 2015 to widen Warner Avenue between Main Street and Grand Avenue. The project, similar to Bristol Street and Grand Avenue, adds one through lane in each direction, bike lanes, sidewalk, landscaping and medians, as well as additional turn lanes and bus turnouts at major intersections in conformance with OCTA and City plans. The project's cost is estimated at $60 million for design, right-of-way, and construction phases. OCTA has funded the design phase and a portion of right-of-way for Phase I (Main Street to Oak Street). Staff seeks the remaining funding of $53 million through federal support independently or via OCTA. Fairview Bridge (Public Works Agency) Fairview Street is planned for three lanes in each direction on the City's General Plan and OCTA's Master Plan of Arterial Highways. However, because the Fairview Bridge over Santa Ana River is only about 50 feet wide, the roadway can accommodate only two lanes in each direction. Further, the bridge lacks separated sidewalks and the barrier rail does not meet current standards. For a similar project (First Street Bridge), the City received Federal funding to cover half the cost to replace and widen the bridge. For the Fairview Bridge, the cost is conceptually estimated at about $14 million, 88.53% of which could be requested through the Federal Highway Bridge Replacement and Rehabilitation program with matching funds requested through OCTA Measure M2. To receive federal funding, the segment would need to be cleared under the National Environmental Policy Act. GOAL 7: TEAM SANTA ANA The City continues to face increasing demands for service with limited resources. This challenge provides an opportunity for the organization to become innovative and efficient in the delivery of City Services. Success in this effort requires that the City retain and attract experienced, motivated employees who are committed to engaging and serving the community. Additionally, improving interdepartmental and community lines of communication will ensure greater transparency and community engagement. CITY OF SANTA ANA 14 65B-20 2017 LEGISLATIVE PLATFORM Transparency and Engagement (City Manager's Office) Support federal and state legislation that promotes greater transparency and community engagement. Continue to convey information to residents, partners and stakeholders via various communication platforms in accordance with the Sunshine Ordinance. Open Data / Public Records (Information Technology and Clerk of the Council) Facilitate efforts to publish data on the City's website which will increase transparency, access to public information, and improve coordination and efficiency among City agencies and partner organizations. Through the implementation of an Open Data site, the public will be able to access meaningful data on one web page, including legislative reports, building permit activity, crime reports, budget information, and land use data. Allowing the public to access, visualize, and sync to public information promotes a new kind of civic engagement and allows them to provide valuable feedback on local issues. An Open Data site will promote government transparency and openness by giving residents, visitors, and business access to records and reduce the number of public records received annually. Technology (Information Technology) The City's Information Technology Department is committed to provide insightful information to our elected representatives regarding the complex and multi -dimensional aspects of technology infrastructure and business of IT systems. The department's legislative platform includes: Support legislation and policies that encourage the streamlining of business processes for responding to open records requests and that provide funding for these activities. Support legislation that helps bridge the digital divide by promoting low cost, high-speed internet access to the city's low-income population. Support legislation that promotes and provides funding for the increased use of technology and assistance in adhering to regulatory compliance requirements. Support legislation that promotes and provides funding for cybersecurity in order to reduce the risk of cyber-attacks. Support legislation that includes operational expenses as an acceptable use of public, educational, government access (PEG) funds, collected from cable franchise fees per the Federal Communications Commission, for government access stations. Support legislation and regulations that ensure emergency communication capabilities and interoperability for information technology and public safety departments and agencies. Support legislation that addresses existing labor law limitations that discourage use of 21st century technologies for employees. Oppose legislation that reduces or limits local government's discretion to approve right of way use from unsightly and potentially hazardous equipment placement by telecommunications companies. Legislative Agenda (City Manager's Office) Reflecting input from various departments, the City will recommend an annual legislative CITY OF SANTA ANA 15 65B-21 2017 LEGISLATIVE PLATFORM agenda consistent with the Strategic Plan, will provide updates and information to the City Council and will continue to work closely with State and Federal lobbyists to promote the City's legislative priorities. Council and staff will continue to attend legislative -related events or meetings in Sacramento and Washington D.C. to advocate for local/regional programs and initiatives. The City will coordinate meetings or attend legislative events to advocate for funding for local/regional initiatives. CITY OF SANTA ANA 16 65B-22 CITY OF SANTA ANA 2017 FEDERAL AND STATE LEGISLATIVE PLATFORM SANTA ANA CITY COUNCIL Mayor Miguel Pulido Mayor Pro Tern Michele Martinez Ward 2 Councilmember Vicente Sarmiento Ward 1 Councilmember Jose Solorio Ward 3 20 Civic Center Plaza, Santa Ana, CA 92701 Phone: (714) 647-6900 1 Fax: (714) 647-6954 65B-24 Councilmember David Benavides Ward 4 Councilmember Juan Villegas Ward 5 Councilmember Sal Tinajero Ward 6 2016 LEGISLATIVE PLATFORM SCORECARD TABLE OF CONTENTS INTRODUCTION.........................................................................................................................................................1 GUIDINGPRINCIPLES................................................................................................................................................1 GOAL1: COMMUNITY SAFETY..................................................................................................................................2 GOAL 2: YOUTH, EDUCATION, RECREATION............................................................................................................8 GOAL3: ECONOMIC DEVELOPMENT.....................................................................................................................10 GOAL 4: CITY FINANCIAL STABILITY.......................................................................................................................14 GOAL 5: COMMUNITY HEALTH, LIVABILITY, ENGAGEMENT & SUSTAINABILITY...................................................17 GOAL 6: COMMUNITY FACILITIES & INFRASTRUCTURE.........................................................................................19 GOAL 7: TEAM SANTA ANA....................................................................................................................................25 20 Civic Center Plaza, Santa Ana, CA 92701 Phone: (714) 647-6900 1 Fax: 714) 647-6954 2016 LEGISLATIVE PLATFORM SCORECARD INTRODUCTION The Legislative Scorecard provides a summary of actions taken to protect and promote the City of Santa Ana's interests on priority issues and legislative/regulatory matters which may impact the City. The Guiding Principles and Policy Statements below allowed City staff and legislative advocates to address 2016 legislative and regulatory issues in a timely and directed manner, without precluding the consideration of additional legislative and budget issues that arose during the year. This Platform and Scorecard supplement other City Council established policies reflected in other plans and policy documents and is consistent with the goals of the City's Strategic Plan. GUIDING PRINCIPLES I. PRESERVE LOCAL CONTROL Preserve and protect the City's charter powers, duties and prerogatives to enact legislation and policy direction concerning local affairs, and oppose legislation that preempts local authority. Local agencies should preserve and enhance authority and accountability for revenues raised and services provided. II. PROMOTE FISCAL STABILITY Support measures that promote fiscal stability, predictability, and financial independence. Support measures that preserve the City's revenue base and local control over local government budgeting. Oppose measures that make cities more dependent on the County, State or Federal Governments for financial stability, such as mandated costs with no guarantee of local reimbursement or offsetting benefits. Oppose measures that shift local funds to the County, State or Federal Governments, without offsetting benefits. III. SUPPORT FUNDING OPPORTUNITIES Support opportunities that allow the City to compete for its fair share of regional, state and federal funding, and that maintain funding streams. Opportunities may include competitive grant and funding programs. Opportunities could also include dedicated funding streams at the regional, state and federal levels that allow the City to maximize local revenues, offset and leverage capital expenditures, and maintain City goals and standards. IV. REGIONAL COLLABORATION AND COOPERATION Leverage the City's ability to preserve local control, promote fiscal stability, and support funding opportunities through collaboration with municipalities, local government agencies, special districts, regional government agencies / organizations and local, state and federal elected representatives. Share the City's Legislative Platform and municipal projects / programs with regional government agencies and local, state, and federal elected representatives to seek their support. CITY OF SANTA ANA 1 65B-26 2016 LEGISLATIVE PLATFORM SCORECARD Note: Items are ordered within each goal to align City of Santa Ana priorities with Federal and State priorities. GOAL 1: COMMUNITY SAFETY A safe and secure community is essential to the quality of life and economic success for the City of Santa Ana. The City is committed to a high level of public safety and working in partnership with the community to maintain a safe and secure City. Body Cameras / COPS Funding (Police Dept.) Support legislation which continuously provides funding for local police agencies to operate body worn camera programs. Any supported legislation should take into account, data storage costs, personnel costs and equipment in support of the administration of justice in criminal cases. (PD) The Santa Ana Police Department is moving forward with the implementation of the Body Worn Camera program. A vendor has been selected and the implementation / training will begin in February 2017. ® (TPA) Townsend Public Affairs has been monitoring legislation related to body worn cameras. No funding has been made available since the last legislative cycle. California Police Chiefs Association recommends the creation of statewide minimum requirements for the use of body worn cameras. • (H&K) The Santa Ana Police Department applied for the 2016 Community Oriented Policing Services grants and was awarded funding for the third consecutive year. The funding allocated will allow the Police Department to hire ten additional police officers. With the upcoming submission of the President's FY 18 budget, we will continue to showcase, as we have in the past, with the City's delegation and with appropriators, the success of the City of Santa Ana's initiatives to demonstrate the value of the COPS programs. • (H&K) The Santa Ana Police Department received Urban Areas Security Initiative funding totaling $5.43 million. Homelessness (Community Development Agency) Reprioritize existing affordable housing resources allocated through the U.S. Department of Housing and Urban Development and the Low -Income Housing Tax Credit Program and seek increased funding to provide housing for homeless individuals that is consistent with local and regional priorities, including increased permanent housing options linked to a range of supportive services; improved access to emergency shelter and rapid rehousing opportunities; improved data systems to centralize and coordinate information on homeless individuals; and the development of systems and organizational structures to connect homeless individuals with employment - related supportive services. • (CDA) The City declared a public health and safety crisis related to the homeless and urged the County of Orange to take immediate action to provide service at the Santa Ana Bus Terminal in order to CITY OF SANTA ANA 2 65B-27 i • • 0 2016 LEGISLATIVE PLATFORM SCORECARD improve access to emergency shelter and rapid rehousing opportunities. (CDA) Following a competitive RFP process, the City awarded a project with 71 project -based vouchers for Permanent Supportive Housing. The City also awarded $1.2 million in HOME Investment Partnership Program funds to the project. (CDA) Working in conjunction with the Illumination Foundation and Mercy House the City has increased permanent housing options linked to a range of supportive services using Housing Choice Vouchers. (CDA) The City awarded $45,510 to the Illumination foundation to hire a Housing Navigator to increase permanent housing options linked to a range of supportive services using Housing Choice Vouchers. (CDA) The City provided $99,750 to the County of Orange to improve access to emergency shelter by keeping the Santa Ana National Guard Armory Emergency Shelter open longer. (CDA) The City met all requirements to continue to receive funding from the U.S. Department of Housing and Urban Development for the Emergency Solutions Grant Program. (TPA) Townsend Public Affairs (TPA) worked with City staff on issues of homelessness, specifically as it relates to the potential relocation of the Orange County Needle Exchange Program. TPA has provided City staff with background information on the state legislation that allowed for the authorization of the program, as well as potential recommendations for moving forward. • (TPA) Townsend Public Affairs provided regular updates to the City's legislative delegation on issues related to homelessness in order for the City to be informed in the event that outreach with the Department of Public Health was needed. ® (H&K) Holland & Knight coordinated meetings with the Inter -Agency Council on Homelessness and Department of Housing and Urban Development leadership to highlight Santa Ana's efforts to address homelessness, including its project to provide permanent supportive housing using project based vouchers. Medical Mariivana (Planning and Building Agency / Police Department) Support legislation which maintains local control, considers critical health and safety requirements, provides for community education opportunities, and increases assistance and/or funding opportunities to municipalities that have adopted medical marijuana regulations to support enforcement of adopted operational standards. In addition, increase assistance and collaboration from federal agencies in investigating marijuana operations that are found to be associated with international drug trafficking organizations and engage in money laundering activities. CITY OF SANTA ANA 3 65B-28 • (PD) The Santa Ana Police Department has maintained relationships with federal and state partners in order to investigate any marijuana operations 2016 LEGISLATIVE PLATFORM SCORECARD that are found to be in violation of the municipal code, and state and federal law. • (PD/PBA) The Medical Marijuana Task Force has closed all but approximately twenty of the illegal marijuana dispensaries. The remaining illegal dispensaries continue to be the focus of the Task Force enforcement efforts. + (PD/PBA) In collaboration with the Planning and Building Agency, the Santa Ana Police Department has issued fifteen Regulatory Safety Permits related to Measure BB with an additional four in process. Since the program was established two years ago over $3.8 million in fees and taxes have been generated to fund public safety efforts and program related costs. • (PBA) The City's medical marijuana regulatory safety program task force continues to explore options to enhance or streamline the program. Round -table discussions were held with industry representatives during which participants shared feedback to City officials on methods for improving the existing program. • (CAO) On April 19, 2016 the City of Santa Ana ammended Chapter 18 of the Santa Ana Municipal Code regarding unarmed guards at dispensaries; establishing regulatory safety permit application deadlins; and prohibiting issuance of regulatory safety permit aplications to narcotic registrants. • (TPA) Townsend Public Affairs provided ongoing information to the City on legislative activity to regulate medical marijuana. The Legislature ultimately passed a three -bill licensing framework for medical cannabis in California. TPA actively participated in the stakeholder process with legislative staff, Administration staff, and key interested parties to help form the framework and ensure that local control and public safety was given the highest consideration. • (TPA) Proposition 64 Adult Use of Marijuana Act passed on November 8, 2016. The Act provides for local control and defines limitations related to possession, cultivation and use related to recreational marijuana. • (TPA) Townsend Public Affairs worked closely with the Brown Administration, the Bureau of Medical Cannabis Regulation, the Legislature, and industry stakeholders regarding the development of an integrated medical and adult -use regulatory framework to ensure that local control is preserved. • (H&K) Holland & Knight monitored federal developments relating to medical marijuana. A bipartisan bill known as the Compassionate Access Act was re- introduced recently. The bill would remove cannabidiol (CDB) from the Controlled Substances Act so physicians, with state approval of its use, could prescribe CDB treatment, as in the case of epilepsy, cancer or glaucoma. Hearings on the bill have yet to be scheduled. CITY OF SANTA ANA 4 65B-29 2016 LEGISLATIVE PLATFORM SCORECARD Gangs (Police Department) Support state legislation that would make theft of a firearm a grand theft and punishable by state prison. • (TPA) On November 8, 2016 Proposition 63 passed mandating that any theft of a firearm regardless of value is to be classified a felony. + (H&K) In the Department of Justice, grant opportunities are available to support local efforts to address high levels of youth -related gun crime and gang violence, including its safe and thriving communities program. With the submission of the President's FY 18 budget, we will work with the City's delegation and appropriators to seek to sustain the COPS and juvenile justice programs. Domestic Violence (Police Department) Support legislation that increases the efficiency and effectiveness of protective orders to enhance the safety of domestic violence victims. • (PD) The Santa Ana Police Department partnered with local non-profit Human Options and has received a $400,000 grant to provide enhanced resources for domestic violence victims. • (TPA) On January 1, 2017 the California's Gun Violence Restraining Order Law passed. The law will help the Police Department in enhancing the safety of domestic violence victims. Safe Mobility (Police Department and Public Works Agency) Increase local funding for infrastructure and programs that increase traffic and pedestrian safety in support of the City's Strategic Plan. While the City currently receives between $300,000 and $400,000 annually from the State of California's Office of Traffic Safety, federal funds have not been secured. The City is actively seeking funding to expand the installation and construction of safety infrastructure to protect pedestrians and bicyclists from motor vehicles on arterial and collector roadway corridors city-wide. The City has the fourth highest population density in the nation, and pedestrian and bicycle volumes are the highest in Orange County, and one of the highest in California. As a result, the City has one of the highest incidences of pedestrian and bicycle fatality and accident rates in California. New funding would prepare projects for "shovel ready" delivery. Updated polices will be adopted to ensure all newly rehabilitated infrastructure meets new safety standards. Updated design standards will include new curb and roadway alignments that will elevate the priority of pedestrian and bicycle use on city streets, and will emphasize shared use of the public rights -of -way. Programs related to traffic and pedestrian safety, and enforcement and education are included. The estimated cost to construct the first city-wide phase of re- alignments is approximately $5 Million. CITY OF SANTA ANA 5 65B-30 + (PWA) The City adopted the Safe Mobility Santa Ana plan which analyzed 10 years of traffic collision data, identified priority corridors, and proposed projects for which to pursue grant funding. 2016 LEGISLATIVE PLATFORM SCORECARD • (PWA) All of the bicycle and pedestrian improvements identified in the Safe Mobility Santa Ana Plan are within the public right of way and support a safe shared use of the public space. • (PWA) Through funding from the State of California Office of Traffic Safety, the Public Works Agency (PWA) conducted ten helmet and bike light distributions and ten bicycle safety skills classes. Further the PWA partnered with the Santa Ana Unified Police Department, Santa Ana Police Department, and Parks and Recreation - Youth Commission to promote and support bicycle safety initiatives by providing helmets and educational materials. Veterans (City Manager's Office) Advocate for social policy and increased funding to ensure veterans have adequate access to job training, employment opportunities, medical care, affordable housing, and mental health services in a dignified manner that honors their service and commitment to our country. • (CDA) Following a competitive application process, the City was awarded 75 U.S. Department of Housing and Urban Development Veterans Affairs Supportive Housing Project -Based Vouchers to provide affordable housing for homeless veterans. ® (CMO) Beginning in 2015, the City Manager's Office had coordinated with local organizations to host a monthly flag raising ceremony to honor local veterans from the community and to engage residents to increase their awareness of veterans' contributions. The monthly ceremony was held at the Santa Ana Public Library's flagpole, and regular contributors included the American Legion, VFW, the Santa Ana Public Library, the Santa Ana Police Department, the Employment Development Department, Heroes Elementary School, and the Main Place Christian Fellowship, among others. • (H&K) As part of Holland & Knight's coalition advocacy efforts to reverse housing cuts in the President's FY 18 budget, they are working with the City's delegation to demonstrate the impact on the City's homeless veterans and ensure Department of Housing and Urban Development / Department of Veterans Affairs funds are sustained for homeless veterans. Immigration Reform (City Manager's Office) Recognizing the liberty and civil rights of all individuals regardless of national origin or immigration status, and to protect the well- being and safety of all people residing in our community, the City supports comprehensive federal immigration reform that provides sensible and effective solutions to secure our boarders, ensure economic strength, and promote stronger communities. • (CMO) On April 9, 2016 the City of Santa Ana in collaboration with OCCORD, OC Labor Federation, Public Law Center, and several other partners, hosted a Citizenship Fair at the Southwest Senior Center. Over 800 people attended the Citizenship Fair, approximately 600 citizenship applications were processed, and another 200 people were provided with information. There were over 340 CITY OF SANTA ANA 6 65B-31 2016 LEGISLATIVE PLATFORM SCORECARD volunteers, which comprised of 110 legal volunteers that helped make the 12 hour event a success. + (CMO) At the December 6, 2016 meeting, the City Council adopted Resolution No. 2016-086, declaring the City of Santa Ana a sanctuary for all its residents, regardless of their immigration status. This resolution outlined that the City would implement various policies called for by the resolution, including: protecting sensitive information; reaffirming the City's commitment to preventing biased -based policing and disallowing the use of City resources for immigration enforcement; exercising appropriate discretion in policing; providing additional training for all affected City employees, officials, and agents; and establishing a task force for oversight. An ordinance affirming these policies was later adopted in January 2017. + (TPA) Townsend Public Affairs provided ongoing information on immigration and sanctuary city status discussions at the State level and the State's response to the President's Executive Orders on immigration. • (TPA) Townsend Public Affairs (TPA) provided updates on legislation introduced in Sacramento to limit state and local law enforcement agencies' involvement with immigration enforcement and ensure that eligible individuals are able to seek state services without regard to their immigration status. TPA attended the Senate Public Safety Committee hearing with a City of Santa Ana Councilmember, who was one of the three primary witnesses to testify CITY OF SANTA ANA 7 65B-32 on the measure. TPA provided updates on this legislation as well as other issues occurring across the State that impact this discussion. • (TPA) Townsend Public Affairs worked with the Office of Speaker Anthony Rendon to provide information regarding the City's sanctuary city ordinance. • (H&K) Holland & Knight connected City staff with other localities working to proactively assist immigrant communities to identify best practices, including assisting the City in working with Los Angeles' Office of Immigrant Affairs. • (H&K) In response to the President's efforts to implement his campaign promises to target sanctuary cities and increase interior immigration raids, Holland & Knight is working in coalition with other sanctuary cities to counter the Administration's current stance in seeking to punish sanctuary cities, meeting with both senators and House representative, including the senior counsels for the ranking member of the Senate Judiciary Committee; providing legislative analysis on sanctuary cities legislation; and providing information and analysis on the Administration's change in detention policies back to "safe communities" enforcement. We are also continuing to meet with congressional supporters of the Bridge Act legislation, working towards getting the President to sustain the Deferred Action for Childhood Arrivals program. 2016 LEGISLATIVE PLATFORM SCORECARD GOAL 2: YOUTH, EDUCATION, RECREATION Santa Ana enjoys a young, vibrant population. The City is committed to working with other youth -oriented organizations to make a full range of opportunities available so our children and young adults can achieve success in their lives. Parks (Parks, Recreation and Community Services Agency) Work with local state representatives to support the proposed State park bond and to add a program for joint -use funding. The City of Santa Ana has been awarded a $1,030,800 grant to develop a half -acre park at Memory Lane and the Santa Ana River, adjacent to the Vista Del Rio Housing Project. • (PRCSA) Construction on Memory Lane Park was completed on June 30, 2016 and a Ribbon Cutting ceremony was held on October 4, 2016. The project includes bike and equestrian rest stops, a shade structure, play equipment area, exercise equipment, and a passive rest area with drought tolerant planting. • (PRCSA) The City was awarded $5 million of Prop 84 state grant funds and $2.1 million of Community Development Block Grant funding to construct a new Community Center and Park at the Roosevelt/Walker School site under a Joint Use agreement with Santa Ana Unified School District. A ground breaking event was held on December 16, 2016. Construction will begin in January 2017 and is expected to be completed within a year. • (TPA) Townsend Public Affairs worked directly with members of the Orange County delegation, as well as the author and sponsors of AB 2444 (the proposed legislative park bond) throughout the legislative session, to ensure that any final park bond contained funding that would be accessible by the City. The final version of the bill included per capita funding for cities, competitive grant funding for park poor communities, as well as dedicated funding for the Santa Ana River Conservancy Program (with preference to projects in cities with high populations), all which would be available to the City. While AB 2444 was unsuccessful, there is a commitment among the key stakeholders to work to place a bond on the ballot in 2018. • (TPA) Townsend Public Affairs worked closely with the authors of AB 18 and SB 5, as well as the City's legislative delegation and other stakeholders to include dedicated parks and recreation funding for the City. Library (Parks, Recreation and Community Services Agency) Advocate funding to address and support bridging the digital divide; adding art and culture exhibits at public libraries to engage the community to read, learn and appreciate art and culture; advancing literacy; providing career guidance for youth; and increasing library programming for teens. • (PRCSA) The library has utilized a consultant to create the framework for a website devoted exclusively to career, job, and internship information and CITY OF SANTA ANA 8 65B-33 ri 2016 LEGISLATIVE PLATFORM SCORECARD opportunities for Santa Ana youth. The site is expected to go live early in 2017. (PRCSA) The library coordinates its Workforce Investment Opportunity Act program with CTV-3 to engage youth in training in producing videos to interest, engage and inform youth. (PRCSA) In April of 2016, the Santa Ana Public Library hosted a Youth Services Provider Summit for the city's key stakeholders in youth development and education. Nearly one hundred attendees explored the subject under the aegis of Dr. Kenneth Ginsburg who is one of the country's best-known experts on the treatment of homeless and marginalized youth. (PRCSA) The library's Children's Services Department has committed itself to increasing early literacy among Santa Ana's young children by providing Early Literacy stations which contain games, books and tablets that promote academic development and enable parents to read to their children in an interactive environment. (PRCSA) The library continues to expand services to teens and young adults. With the help of volunteers, staff, and Youth Civic Engagement Interns, the Young Adult Department supports the City's Youth Commission, offers workshops on college choice, financial aid, FAFSA applications, provides tutoring, computer access and 12-15 programs weekly for teens. Staff also recruits and mentors youth volunteers, encouraging community service and engaging them with the library. • (PRCSA) The library has hosted exhibits of traditional toys from Mexico provided by the Mexican Consulate and complex origami created by a nine-year old Orange County boy. The Santa Ana Public Library was awarded a $495,000 federal grant from the National Institute for Museum and Library Services for the Memories of Migration Program. Memories of Migration is a 3-year community memory program that builds on the Library's unique Teen Historian Program to jump start the development of cultural heritage collections around the shared stories of human migration in America. • (PRCSA) The Memories of Migration Program grant is in its third and final year. The Teen Historians have developed and implemented techniques for gathering migration stories from local residents. The archive to date consists of oral histories, photos and media. The project can be found on Facebook, History Pin, and the library's website. The team has also provided training and support for similar projects at West Hartford, CN, Queens, NY, New Mexico Highlands University and the New Mexico Department of Cultural Affairs. Seek joint -use and other funding opportunities to establish a community e-Library. The "Biblio Tech" leverages technology tools to help the public access library resources. • (PRCSA) The e-Library has two components. The first is an enhancement to the number and kinds of e-resources the library provides to the community. The second will be a physical presence in the new Roosevelt / Walker Community Center, for which ground CITY OF SANTA ANA 9 65B-34 2016 LEGISLATIVE PLATFORM SCORECARD was broken in late 2016. These efforts are serving to narrow the digital divide in the community. Collaborate with state and federal representatives to identify literacy program funding for collaborative efforts between the Library and the Santa Ana Unified School District. • (PRCSA) The library has partnered with the Santa Ana Unified School District to provide all SAUSD students with a library card. So far, students at three Santa Ana high schools, four elementary schools and eight Head Start programs have received cards. Collaborate with state and federal representatives to identify opportunities to add a new Public Library in the south part of Santa Ana. • (PRCSA) In an effort to extend library services to residents located further away from the Main and Newhope Libraries, the library has placed satellite services in several Community Centers. Residents may visit teen centers in Garfield and Jerome Centers, get computer access and training at Garfield and El Salvador Centers, and find children's services at Garfield. Recently, the library has begun an after -school homework help program at the Delhi Center. Santa Ana Zoo (Parks, Recreation and Community Services Agency) Work with state and federal representatives to identify funding for climate change education to be provided at the Santa Ana Zoo. • (PRCSA) Worked with the U.S. Geological Survey's Western Ecological Research Center to develop and build a new exhibit and breeding center for the locally endangered Mountain Yellow - Legged Frog, a species located in the Santa Ana River drainage and directly affected by climate change. Exhibit signage will discuss effects of climate change on animals and people. • (PRCSA) Two zoo education staff went through the National Network for Ocean and Climate Change Interpretation (sponsored by the National Science Foundation) training workshop learning best practices to communicate climate change to the general public through programs and signage. These climate change education practices have been incorporated into existing education programs and will be integrated into the new Zoo Master Plan and signage for the new Giant River Otter exhibit. GOAL 3: ECONOMIC DEVELOPMENT Robust, successful businesses bring jobs and opportunity to the City and provide tax revenues for public services that benefit the entire community. The City of Santa Ana will work aggressively to encourage businesses to locate and invest in our community, providing good jobs, reducing unemployment and bolstering our City's tax base. Affordable Housing (Community Development Agency) Seek increased funding for affordable rental housing, support homeownership programs, and improve the City's housing stock through funding from the Community Development CITY OF SANTA ANA 10 65B-35 2016 LEGISLATIVE PLATFORM SCORECARD Block Grant (CDBG) Program, the HOME Investment Partnership Program (HOME), and the City's Housing Opportunity Ordinance. These programs improve the City's housing stock while providing opportunities for affordable rental and ownership housing for residents within the City of Santa Ana. • (CDA) To support homeownership, the City administered a down payment assistance program for first-time homebuyers with funding from the HOME Investment Partnership Program (HOME) and Community Development Block Grant (CDBG) Programs. A total of 105 applications were distributed, four were received and approved for this program. The City also provided a quarterly workshop for interested applicants in the community. • (CDA) To improve the City's housing stock, the City administered Residential Rehabilitation Programs for single-family homes, mobile homes, historic homes and multi -family properties. For the Single -Family Home Rehabilitation Program, a total of 73 applications were distributed, three were received, and one application was approved for this program. From applications that were approved a total of two (2) single-family homes were repaired through the City's program in 2016. For the Mobile Home Rehabilitation Program, a total of 57 applications were distributed, eight were received, and four applications were approved for this program. Three mobile home units were funded and the rehabilitation of one unit was completed in 2016. • (CDA) The City issued an RFP for $1.2 million in HOME Investment Partnership Program funds and awarded the funds to a project which provides 71 units of permanent supportive housing for homeless individuals. • (CDA) For the City's Housing Opportunity Ordinance, the City executed a pre - commitment for $2,600,000 of inclusionary housing in -lieu fees for a 69- unit affordable housing project. The City also executed a loan agreement for $1,875,000 for a 57-unit affordable housing project. • (CDA) The City met all requirements to continue to receive funding from the U.S. Department of Housing and Urban Development for the Community Development Block Grant and HOME Investment Partnership Program. • (TPA) Townsend Public Affairs provided information to the City on various legislative and budget proposals related to affordable housing, including Governor Brown's "by -right" housing proposal. Economic Development Initiatives (Community Development Agency) Collaborate with the Governor's Office of Business and Economic Development in support of ongoing economic initiatives and programs that provide direct technical and financial assistance to businesses looking to locate or expand in the City of Santa Ana. Programs such as California Competes Tax Credit, Sales and Use Tax Exemption, New Employment Hiring Tax Credit, Industrial Development Bonds, and the Employment Training Panel. CITY OF SANTA ANA 11 65B-36 • (CDA) On July 26, 2016, along with the Santa Ana Chamber of Commerce, the 2016 LEGISLATIVE PLATFORM SCORECARD City co -hosted the Governor's Office of Business and Economic Development Go -Biz Workshop to inform businesses on the process for applying for the California Competes Tax Credit. • (H&K) With the expectation that Congress will seek to move forward on tax reform through the budget reconciliation process sometime later this year, Holland & Knight will again seek to include extension of the empowerment zone tax incentives as they did successfully in tax extender legislation. In addition, Holland & Knight has worked to mobilize an active coalition to support expansion of the Low Income Housing Tax Credit and will continue to advocate for its inclusion in tax reform. Goods Movement and Mobility (Public Works Agency) Legislation is sought which values the Economic Development from improved goods movement and mobility to core Santa Ana industries. Goods movement would be enhanced by improving roadway infrastructure in and around the city's industrial centers estimated to cost in the cost range of $15 Million. ® (PWA) The street reconstruction within the Warner Industrial Community is planned to commence in April 2017 and be completed by the end of 2017. ® (TPA) Townsend Public Affairs (TPA) provided information to the City regarding legislative and administration proposals to generate funding for transportation infrastructure. TPA advocated with the authors of the measure, as well as the City's legislative delegation, to include significant funding for local streets and roads, as well as other programs that would be available to fund City projects. Enhanced Infrastructure Financing Districts (Community Development Agency) Support and establish an Enhanced Infrastructure Financing District to issue bonds to fund infrastructure projects such as street improvements, highway interchanges, transit facilities, sewage treatment and water reclamation plants, low and moderate income housing, and transit priority projects, pursuant to the infrastructure financing plan and the agreement of affected taxing entities. This will help fill a gap left with the dissolution of redevelopment agencies. • (CDA) The City continues to research eligibility to create a Community Revitalization Investment Authority as authorized under AB 2492. Housing Authority/Section 8 Voucher Program (Community Development Agency) Seek increased funding for the Family Self - Sufficiency Program. The Santa Ana Housing Authority administers the Housing Choice Voucher Program (Section 8). As part of the program, families have the opportunity to voluntarily participate in the Family Self - Sufficiency Program to become independent from housing assistance. Participation in this program reduces housing assistance costs per family for the Housing Authority and allows the agency to assist new families off of the Waiting List. ® (CDA) Following a competitive grant application process, the City was successful in its application and received CITY OF SANTA ANA 12 65B-37 2016 LEGISLATIVE PLATFORM SCORECARD an award of $138,000 to administer the Family Self -Sufficiency Program for calendar year 2017. ® (H&K) Holland & Knight is working with the City's delegation and appropriators to counter drastic cuts in the Department of Housing and Urban Development programs. Please reference the Homelessness section. Workforce Innovation and Opportunity Act (Community Development Agency) On July 22, 2014, President Barack Obama signed into law the Workforce Innovation and Opportunity Act (WIOA) — designed to promote a job -driven public workforce system helping to strengthen the partnerships between Workforce Boards, businesses, and education. The City will work with the Congressional delegation, and the Departments of Labor, Commerce, and Education to support and implement the Workforce Innovation and Opportunity Act (WIOA) with specific attention and emphasis on full funding for WIOA; support for local Workforce Boards and local control; a single set of common performance measures for adults, dislocated workers and youth programs authorized under WIOA; and continued work on alignment of all federal workforce programs in U.S. Department of Housing and Urban Development, Health and Human Services, and Department of Education. ® (CDA) To meet the requirements of the new legislation the City formed a Workforce Development Board to provide grant oversight and engage regionally on workforce issues. The State of California approved the new structure and the continuation of receipt of federal workforce funding. • (CDA) The State of California announced that the City exceeded its Workforce Investment Act / Workforce Innovation and Opportunity Act performance measures for PY 2015-16. + (CDA) The WORK Center was awarded a Sling Shot Grant funded by The Orange County Workforce Development Board. Sling Shot is an initiative of the State of California which encourages and supports regional partnerships across the state promoting engagement in new collective actions on workforce challenges. U.S. Department of Housing and Urban Development — Reauthorization (Public Works Agency) Continue Community Development Block Grant (CDBG) to cover capital cost to improve city streets in economically disadvantaged areas. The improvements would reduce blight and improve residential neighborhoods. The need is approximately$5 Million. CITY OF SANTA ANA 13 65B-38 • (CDA) Using the resources provided by the U.S. Department of Housing and Urban Development, the City allocated Community Development Block Grant funds in the amount of $749,261, equivalent to 14% of the annual grant allocation, for residential street improvements in the Annual Action Plan. • (H&K) In light of drastic cuts in the President's proposed FY 18 budget for Department of Housing and Urban Development programs, we are organizing a concerted effort among key cities and mayors including the City of Santa Ana to build strong bipartisan 2016 LEGISLATIVE PLATFORM SCORECARD support in Congress to sustain funding • (FMSA) SB 987 passed the State Senate for CDBG. on June 1, 2016 and was ordered to the State Assembly. On June 20, 2016, however, it failed passage in the GOAL 4: CITY FINANCIAL Revenue & Tax Committee and was subsequently returned to the Chief Clerk STABILITY on Nov. 30, 2016 where it was left inactive. it is essential that the City maintain fiscal stability to be able to deliver high quality services. This requires an effective and transparent financial system, accurate and — Marijuana Regulation and Safety Act reliable forecasting of revenues, an enhanced tax base, (MMRSA) Amendment - Assembly BIII 1575 and control of expenses. (Assembly Member Bonta) proposing term changes in the MMRSA requiring the Board Medical Mariivana Taxation of Equalization to create a working group to (Finance and Management Services Agency) examine strategies including point -of -sale systems to improve financial monitoring of Monitor pending Assembly and Senate Bills: cannabis businesses and would create an enhanced financial monitoring certification — Medical Marijuana Excise Tax - Senate Bill for entities licensed under the MMRSA. 987 (Senator McGuire) seeking to establish a Also, specifies a local ordinance that state excise tax of 15 percent on the regulates cannabis or medical cannabis shall consumption or use of medical marijuana not require the consent of, the Department purchased from any retailer in California. of Food and Agriculture. Revenue allocation: 30% to the General Fund; 30% to the Bureau for grant program . (FMSA) AB 1575 was passed by the State administration to distribute grants to local Assembly on June 1, 2016 and ordered agencies that are affected by the regulation to the State Senate. On June 29, 2016 it of medical marijuana activities pertaining to was referred to the Government & the cultivation of marijuana in violation of Finance Committee. However, on state law or local ordinance (upon August 8, 2016 it was referred to the appropriation by the Legislature); 20%to the Committee on Appropriations suspense Department of Parks and Recreation for the file. It was held under submission in stewardship, operation, maintenance, and committee, reported from Senate preservation of state park units, including committee without further action on units operated on behalf of the state by local November 30, 2016, and left inactive. or regional agencies or by nonprofit organizations (upon appropriation by the — Policing Authority for Medical Marijuana Legislature); 20% to counties for drug and Cultivation - Senate Bill 435 (Senator Pan). alcohol treatment programs. Revenue An exemption from the medical marijuana impact: Annual revenue of $251 million. licensing requirements; does not limit or With an operative date of January 1, 2018, prevent local government from exercising its this revenue would be reduced by half to police power authority. $125.5 million in fiscal year 2018-19. CITY OF SANTA ANA 656-39 2016 LEGISLATIVE PLATFORM SCORECARD • (FMSA) SB 435 (multi -year bill) passed the State Senate and was ordered to the State Assembly on June 3, 2015. It was referred to the Committee on Health and passed committee on August 31, 2015, but was classified inactive on request of Assembly Member Holden. On January 19, 2016 it was re -referred to the Committee on Health and subsequently reported both from committee and State Assembly without further action. On November 30, 2016 it was left inactive. Renewable Energy Grants (Finance and Management Services Agency) Seek State of California and federal grants or already established funding streams for renewable energy opportunities for City facilities, fleet operations and citywide benefit where applicable: - Solar Energy (photovoltaic arrays) - Cogeneration within Civic Center facilities - Ice Energy - Chiller Replacement - Backup Generator/ Emergency replacement - Alternative fuels vehicle and infrastructure - Cap -and -Trade (funding for public buildings and infrastructure, i.e. transportation) • (FMSA) FMSA has evaluated and received approval from Southern California Edison (SCE) to establish light retrofitting projects at three City library facilities. The retrofit projects are scheduled to begin construction during calendar year 2017. Receivership Actions (Planning and Building Agency) Support legislation which would amend the California Health and Safety Code regarding municipalities' use of receivership actions. Specifically, revise Section 17980.7 to make the recovery of attorney's fees unilateral, rather than to the prevailing party. Support legislation which would amend the California Health and Safety Code Section 17980.7 to allow for first priority of receiver's liens and recovery of City's attorney fees and costs from the receivership estate. Support legislation which would remove the 3- day notice requirement and/or reduce the noticing requirement to service by certified mail. Support legislation which would clarify that unpaid administrative fines can be recovered as special assessments. CITY OF SANTA ANA 15 65B-40 ® (PBA) The Code Enforcement Division of the Planning and Building Agency continues efforts to uncover unsanitary conditions and life safety hazards for occupants of residential rental properties. Staff has continued working with property owners, or managers of rental properties to make repairs and conduct preventative building maintenance. These efforts help to prevent deteriorated conditions in rental properties. City staff continues to coordinate with all governmental agencies to inspect and enforce city codes to remedy code violations and to expedite compliance. In 2015, city staff generated structural permits with a valuation of over $1.5 million in improvements to rental properties. In 2016, City Council renewed the Proactive Rental Enforcement Program with support from the Orange County Rental Association. 2016 LEGISLATIVE PLATFORM SCORECARD Sales Tax (Finance and Management Services Agency) Monitor anticipated Professional Services Tax Bill (Senator Hertzberg) replacing previous Senate Bill 8 which would likewise seek to extend the California state sales tax to impose a tax on services to increase revenues. Local jurisdictions would not be authorized to increase sales tax on services, as they are currently able to do. The additional revenues would be collected by the state, and the funds allocated to local government. Health care services, education services and small businesses with under $100,000 of gross sales would be exempt from the sales tax on services. The intent of the legislation is to generate an estimated $10 billion to be used for K-14 education, UC/CSU systems. The bill's other possible impacts are that it may provide additional revenues to local governments and possibly lower personal income tax rates. • (FMSA) SB 1445 was introduced February 19, 2016 as a spot bill to carry forward the prior session's unsuccessful SB 8 sales tax restructuring bill. It was referred to the Committee on Government & Finance and remained there in suspense until it was reported out from committee without further action on November 30, 2016. Internet Tax Freedom Forever Act (Finance and Management Services Agency) On February 11, 2016 federal legislation, opposed by the City and California League of Cities, making the 18 year temporary moratorium on taxation of internet access permanent was appended to the Trade Facilitation and Trade Enforcement Act and passed. To address defective definitional language incorporated in Permanent Internet Tax Freedom Act which could negatively impact the City's telecommunication services Utility Users' Tax (UUT), staff recommends the City adopt a comprehensive administrative ruling and interpretation of the City's UUT Code regarding the bundling of taxable and non-taxable telecommunication services, including internet access. Staff is currently working with the City's Professional UUT Consultants to arrive at a suitable administrative ruling and interpretation to be reviewed by the City Attorney and administratively adopted by the Executive Director of Finance and Management Services before August 31, 2016. • (FMSA) To address defective definitional language incorporated into federal law with the passage of the Permanent Internet Tax Freedom Act (PIFA), City staff working together with the City s Professional Utility Users' tax Consultant, MuniServices, successfully developed a comprehensive administrative ruling and interpretation of the City's Utility Users' Tax Code regarding the bundling of taxable and non-taxable tele- communication services, including internet access. Acting at the same time as over 60 California cities, Santa Ana's administrative ruling was approved by the City Attorney and administratively adopted by the Executive Director of Finance and Management Services on December 22, 2016. CITY OF SANTA ANA 16 65B-41 2016 LEGISLATIVE PLATFORM SCORECARD GOAL 5: COMMUNITY HEALTH, LIVABILITY, ENGAGEMENT & SUSTAINABILITY A vibrant community is full of energy and life, characterized by investment in its people, its culture, and its physical environment. Our built environment has a direct effect on the community's overall quality of life. The task of community planning includes envisioning new commercial areas and new neighborhoods that enhance quality of life, as well as improving the neighborhoods we already have in order to create a sense of place and community. Essential to a vibrant community is strong community involvement, the celebration of arts and cultural diversity, and a focus on resource conservation. Water Conservation (Public Works Agency) Staff will continue to seek funding to facilitate water conservation efforts. The State of California continues to experience severe drought conditions. Winter 2015 saw improved hydrologic conditions in parts of California. More rain and snow fell in Northern California as compared to Central and Southern California, yet, due to California's water conveyance systems, concerns over supply reliability have eased even in urban Southern California. Consequently, the City's 12% conservation standard has been adjusted by the State Water Resources Control Board and Governor Brown's May 9, 2016 Executive Order. The new order allows the City to define its individualized conservation standard based on its unique water supply and demand conditions. The City has evaluated its supply portfolio and although we have self -certified to the State a zero percent conservation target, because the drought is not over, the City has elected to reduce water usage by 3% and step down the Phase Two Water Supply Shortage to Phase One Water Supply Shortage allowing residents to water their lawns three days per week and keeping all permanent water conservation measures in full force. In order to achieve the 3% water use reduction, the City will continue with its comprehensive drought outreach plan. • (PWA) Moving to bolster California's climate and drought resilience, Governor Edmund G. Brown Jr. issued an executive order in May 2016 that builds on temporary statewide emergency water restrictions to establish longer -term water conservation measures, including permanent monthly water use reporting, new permanent water use standards in California communities and bans on clearly wasteful practices such as hosing off sidewalks, driveways and other hardscapes. In the latter part of 2016 the State Water Board stressed the need for continued conservation given that Central and Southern California remain in drought conditions despite recent storms. The water conservation target for City customers remains at 3% and all permanent water conservation measures are in full force. Health (Parks, Recreation and Community Services Agency) Advocate for special grant monies for community outreach and education efforts to enhance the public awareness of preventing health issues such as obesity, diabetes, heart disease, and hypertension. CITY OF SANTA ANA 17 65B-42 (PRCSA) State and Federal funds were used to develop a new park at Roosevelt/Walker school. The new park 2016 LEGISLATIVE PLATFORM SCORECARD includes a community garden, exercise equipment, basketball courts, jogging track and multi -purpose field which help address health issues and obesity. • (TPA) Townsend Public Affairs monitored funding opportunities through Proposition 47 which provide funding for mental health services, substance use disorder treatment, diversion programs for people in the criminal justice system and other community based supportive services. Mobility (Public Works Agency and Parks, Recreation and Community Services Agency) Support legislation which increases funding and legal support for improved bicycle and pedestrian facilities. Seek special grant monies for outreach and education efforts to enhance walking and biking safety in our town. • (PWA) In 2016, the City applied for over $30 million in grant funding and expects to receive over $25 Million in Active Transportation Program, Highway Safety Improvement Program, and Bicycle Improvement Program Grant funds. • (PRCSA) Parks and Recreation staff along with County of Orange staff worked together to develop another segment of a Class I bike trail along the Santa Ana Gardens Flood Control Channel. The project is being paid for by the County of Orange and maintained by the City. • (PRCSA) A mural promoting the importance of sharing the road and pedestrian safety was created at the Corbin Community Center. Community volunteers participated in the mural concept development, design and production. Residential Group Homes (Planning and Building Agency) To protect residential neighborhoods, support legislation which promotes local control of residential groups homes including sober living facilities. • (TPA) Townsend Public Affairs provided information to the City regarding AB 2403 (Bloom), which would have required the Department of Health Care Services to deny applications for new sober living facilities in areas of over - concentration. The bill was ultimately held on the Suspense File in the Assembly Appropriations Committee. Sustainable Development (Planning and Building Agency) Seek special grant monies for planning, outreach and education efforts to support sustainable development. Projects may include comprehensive planning efforts, zoning and building code updates and specific planning efforts. + (PBA) The City received monies from Air Quality Management District to help fund sustainable planning programs such as the Metro East Specific Plan Expansion and the Santa Ana General Plan Update. CITY OF SANTA ANA 18 65B-43 2016 LEGISLATIVE PLATFORM SCORECARD Engagement (Parks, Recreation and Community Services Agency and Planning and Building Agency) Seek special grant monies for community engagement. These grant monies may be used to support public outreach on a number of planning efforts including the City General Plan update, historic preservation programs and survey efforts as well as specific planning urban design projects. In addition, monies may be used to support the City's existing Neighborhood Improvement Program community engagement efforts. • (PRCSA) The library has utilized volunteer assistance and staff expertise to begin creating a drought -tolerant demonstration garden adjacent to the library. The first phase was planted during the Dia de los Nino celebration in 2016. The library plans to continue development of this community resource in 2017, adding plantings and explanatory signage, along with a specialized collection of books to assist residents with developing their own low- water -use gardens. (PBA) This past year the Santa Ana Public Library submitted a grant funding proposal, on behalf of the Santa Ana Civic Atlas to the Knight Foundation. The proposal was not funded, but staff will continue to pursue funding for the Civic Atlas and community engagement in Santa Ana on an ongoing basis. Discuss with state and federal legislature representatives the need to find a funding stream to help the Santa Ana Public Library provide a 5-year effort to increase voter registration. • (PRCSA) in November 2016, the library's Young Adult Department and its Youth Civic Engagement Interns collaborated with the City Clerk in a city-wide project to outreach to Santa Ana youth, promoting increased voter participation among 18-24 year olds. GOAL 6: COMMUNITY FACILITIES & INFRASTRUCTURE The City of Santa Ana has the responsibility to install and maintain the basic facilities required for a community to operate including streets, sidewalks and bikeways, sanitary sewers, storm drains, water systems, public buildings and facilities, and collection of solid waste. The City also has an important advocacy role concerning mass transit and public utilities. O.C. Streetcar (Public Works Agency) Seek continued support for the OC Streetcar. The project under consideration is a modern streetcar running from the Santa Ana Regional Transportation Center through Santa Ana's Downtown and Civic Center within mixed flow traffic in city streets and within the Pacific Electric right-of-way to Garden Grove, The OC Streetcar may be extended to the east at the SARTC, and could potentially connect with a OC Streetcar being planned by the City of Anaheim via Harbor Boulevard in Garden Grove. The streetcar will expand regional transportation system benefitting mobility and goods movement as well as providing expanded regional and local economic development opportunities. CITY OF SANTA ANA 19 65B-44 2016 LEGISLATIVE PLATFORM SCORECARD The OC Streetcar has received environmental clearance, and is ready to begin final design. The project environmental analysis was completed including a locally preferred alternative. The final environmental approval was received on January 20, 2015. Orange County Transportation Authority (OCTA) has become the lead agency for the project. OCTA will manage the project's final design, construction, operations, and maintenance. The OC Streetcar has been accepted into project development phase in the new starts Federal grant program. The OC Streetcar alternatives are approximately four miles long with about twelve station stops in each direction. The proposed fleet size is six to seven cars with headway running ten minutes in peak conditions and fifteen minutes off peak. The ridership is expected to reach 6,000 daily boardings during its initial operation, and would result in a reduction of 2,165 vehicle miles traveled per day. The OC Streetcar ridership capacity could respond to increased use and could also expand and extend service. The project serves Santa Ana which is the fourth most densely populated city in the United States, and serves the City's densely populated communities, many of whom (17.8%) do not own cars and currently use public transportation. The estimated cost of the project is $298 million. Potential Federal funding requests could be from a combination of Congestion Management and Air Quality (CMAQ) programs or New Starts/Small Starts programs totaling over $200 million. If construction begins in Federal Fiscal Year 2016/17, the OC Streetcar Project could be operating by 2020. ® (H&K) As the County of Orange/City of Santa Ana moves forward to secure a Full Funding Grant Agreement with the Federal Transit Administration, Holland & Knight has continued to work with the City's delegation to include funding in the FY 17 Transportation — Department of Housing and Urban Development Appropriations Bill. While funding in the Senate and House bills provides approximately $75 Million in New Starts funding for the OC Streetcar Project, no final action has been taken on the bills. The Department of Transportation, along with most Federal departments and agencies, has been operating under a Continuing Resolution which expires April 28, pending either an extension of the CR until the end of this fiscal year or final House -Senate conference and passage of the Transportation and other appropriations bills. Getting final passage of the FY 17 Transportation bill is important in order to initiate funding for OC Streetcar Project. The City's delegation with key support from our Senate appropriator remains fully supportive of the Project. Once Congress disposes of the FY 17 appropriations, work on the President's FY 18 budget request will begin. Since his budget is expected to drastically cut the Federal Transit Administration programs including New Starts, the City's advocacy effort with the delegation, while coordinated closely with OCTA, will continue in high gear to gain House and Senate appropriations support for New Start funding of the OC Streetcar Project. Santa Ana Regional Transportation Center (Public Works Agency) Seek funding to repair and upgrade the Santa Ana Regional Transit Center (SARTC). This regional rail facility serves to support an ever- increasing demand for inter - and intra - county CITY OF SANTA ANA 20 65B-45 2016 LEGISLATIVE PLATFORM SCORECARD rail services resulting from growth in population and employment in the surrounding areas. The SARTC station is the local passenger access location to the OCTA Metrolink Railroad and Amtrak connecting Orange County to other outlying areas of nearby regions, including Los Angeles, the Inland Empire, San Diego and beyond. The SARTC facility is in dire need of bathroom expansion to support the increase station demands and upgrades to modernize them to today's American's with Disabilities Act standards. Other facility needs include improved access and pathways from the facility's perimeter and expanded passenger loading and unloading kiosks/stalls. The estimated cost to complete these improvements is $4 Million. • (PBA) The Public Works Agency has identified approximately $6 million in deferred maintenance and upgrades required at the Santa Ana Regional Transportation Center (SARTC). SARTC facility needs include the following: restroom upgrade and ADA compliance, a new roof, HVAC system replacement / upgrade, repair / resurfacing of parking lot, exterior and interior painting, electrical and plumbing upgrades, generator replacement, improved access and expanded passenger loading and unloading The Public Works Agency has begun project development for restroom upgrade and ADA compliance. Santa Ana Regional Transportation Center First/Last Mile Connections (Public Works Agency) The need exists to provide regional rail and bus passengers via SARTC the ability to seamlessly travel to and from the Civic Center, Downtown, the Museum District and other employment, cultural, commercial and educational centers. Seek funding to plan and construct first and last mile travel connections including bike lanes and infrastructure, safe and accessible pedestrian routes, and convenient transit facilities. Infrastructure may include protected bike lanes, bike lockers and racks, new sidewalk and access ramps, upgraded bus shelters. Programs and planning efforts could include educational campaigns, travel safety advertisements, and community based complete streets planning. Support Federal, State and regional funding programs and policies which would facilitate first and last mile connections, such as Active Transportation Program, Highway Safety Improvement Program, and the Compass Blueprint Program. • (PWA) New bicycle parking was installed at the Santa Ana Regional Transportation Center utilizing funding from the Orange County Transportation Authority's Bicycle Corridor Improvement Program. • (PWA) Funded through the Affordable Housing and Sustainable Communities Program, the Bush Street Bicycle Boulevard extends connections from the SARTC north toward 17th Street. • (PWA) Through funding from the Active Transportation Program, pedestrian improvements were made to enhance connectivity along First Street through Downtown Santa Ana. • (PWA) Davis Elementary School's 'Safe Routes to School' program funded through the Active Transportation Program included the installation of CITY OF SANTA ANA 21 65B-46 2016 LEGISLATIVE PLATFORM SCORECARD pedestrian improvements throughout the neighborhood to the north of the Santa Ana Regional Transportation Center. Grade Separations (Public Works Agency) Grade separation projects allow incompatible mobility modes to intersect without impeding with one another. These types of projects work with existing transportation systems to greatly improve multimodal mobility and goods movement, and also result in reduced congestion, improved air quality, and reduced dependence on fossil fuels. Three separate grade separation projects are in or have completed the conceptual engineering and environmental analysis phase. The three projects are located on Santa Ana Boulevard, Grand Avenue, and 17th Street. The three currently intersect with railroad tracks carrying Amtrak and Metrolink commuter traffic, and Union Pacific Railroad freight cars. — Daily rail traffic is now 75 trains per day and is expected to increase to 110 per day by the year 2035. The grade separation projects are essential to allow for future and current commuter and goods movement, and maintain and improve train, pedestrian and bicycle mobility, and safety. The City of Santa Ana is the lead for the Santa Ana Boulevard project. This is a unique Grade Separation Plaza because it allows and encourages mass pedestrian and bicyclist traffic to safely cross rail tracks adjacent to the Santa Ana Regional Transit Center (Amtrak and Metrolink station). It would also allow for the extension of the OC Streetcar across the rail tracks without any additional infrastructure but the streetcar line. The Santa Ana Boulevard Grade Separation Plaza is estimated to cost $73.3 million and the environmental clearance was completed September 2014. The environmental clearance places this project in 18th place on the state's priority list. The roadway carries over 20,000 vehicles per day within a very congested segment of roadway adjacent to an interchange with 1-5 freeway. In addition, 54 school buses and 309 passenger buses cross the rail tracks. Staff seeks Federal funding support either through the Orange County Transportation Authority or independently for 100% of the project construction cost through Regional Surface Transportation Program, CMAQ, Demonstration, and Federal Section 130 funds. OCTA has been the lead agency for the planning and environmental studies of the other two grade separations at (2) Grand Avenue and (3) 17th Street. It's anticipated that they will seek funding to implement those two projects. Automated Meter Infrastructure (Public Works Agency) The City supplies potable water to over 45,000 customer accounts which include all of the City's 324,000 plus residents, business, and institutions. All customer accounts are metered by traditional dummy meters which record water usage mechanically and are manually read every two months. The City is committed to pursuing Automated Meter Infrastructure (AMI) and converting all meters to new smart meters capable of detecting leaks and allows customers to manage their water consumption on a daily basis. The proposed system will have customer engagement which will generate notifications such as excessive water use, irregular consumption patterns, and most importantly water leaks. The system is planned CITY OF SANTA ANA 22 65B-47 2016 LEGISLATIVE PLATFORM SCORECARD to be completely wireless and accessible through the Web. This is a key water conservation project. The City has awarded a contract to perform a feasibility study and implementation plan. Full AMI conversion and implementation costs are estimated to be in the range of $14 million. Staff will continue to seek funding for automated meter infrastructure. • (PWA) The Public Works Agency has been actively seeking funding for this project. Replacement Water Wells (Public Works Agency) The City supplies up to 70% of water demand via a system of groundwater wells. A number of these wells are aging and no longer produce the quantity or quality of water they once did. In order to sustain the quantity and quality of water for the community at the lowest cost possible, it is essential to retain our groundwater pumping capacity. A need exists to drill and equip new replacement wells. As a regional aquifer, this project would also protect the integrity of the aquifer for other water producers. The City is in the process of acquiring a site and has prepared a preliminary feasibility study for up to two new replacement wells. The replacement well improvements are estimated to be in the cost range of $7 million. Staff will continue to seek funding for the replacement of water wells. • (PWA) The Public Works Agency received funding for the purchase of replacement water wells and is awaiting approval from the City Council for the sale. * (PWA) The site for a new replacement well has been located and the feasibility study has been completed. The Public Works Agency will seek the City Council's approval for the site location in 2017. Reclaimed Water System Master Plan (Public Works Agency) The Orange County Water District (OCWD) owns and operates a reclaimed water system, a portion of which traverses through parts of Santa Ana. Santa Ana properties may connect to the reclaimed water system, where available. Currently only a limited number of parcels have access to the system as the reclaimed water pipelines only exists in a limited area. The City is considering commissioning a reclaimed water system master plan to identify opportunities to expand the system to serve reclaimed water demands. The OCWD has tentatively committed to supply additional reclaimed water but Santa Ana will have to fund construction costs associated with expanding the system. The reclaimed water master plan is estimated to cost $100,000. The cost to construct additional reclaimed water pipeline is estimated to be $1.25 million per mile. Staff will seek funding to develop a reclaimed water system master plan. • (PWA) The Public Works Agency has actively applied for grant funds. Bristol Street (Public Works Agency) The City of Santa Ana has been in the process of improving 3.9 miles of Bristol Street between Warner Avenue and Memory Lane in conformance with the City's General Plan, and OCTA's Master Plan of Arterial Highways. The project adds one through lane in each direction, bike lanes, sidewalk, landscaping and medians, as well additional turn lanes and bus turnouts at major intersections. The completed or near completed portions of the project total over 2.5 miles. CITY OF SANTA ANA 23 65B-48 2016 LEGISLATIVE PLATFORM SCORECARD OCTA has funded construction of the remaining segments between Warner Avenue and 17th Street. However, no funding sources exist for the portion between 17th Street and Elm Street (the north -most half mile), which handles an average of 48,000 vehicles per day. The estimated cost for this segment is $40 million. Depending on future federal funding programs, the City would anticipate a request of up to one half, or $20 million of total project cost. • (PWA) Current Bristol Phases for improvements consist of three segments: 1) Bristol from Civic Center to Washington Street; 2) Bristol from Washington Street to 17th Street; 3) Bristol from Warner Avenue to St. Andrew Place. • (PWA) The City acquired properties along Bristol St. and continued to make improvements. The upcoming construction schedule includes work from Civic Center to St. Andrew Place. Alton Parkway (Public Works Agency) The City of Santa Ana has been the lead agency in coordinating the design and environmental clearance of the Alton Parkway Grade Separation. Alton is part of the Master Plan of Arterial Highways, and the proposal is to cross over SR-55. The roadway would expand regional connectivity, benefitting mobility and goods movement as well as providing expanded regional and local economic development opportunities, and significant benefits to local Santa Ana businesses located in the fringes of this project. Coordination with neighboring Irvine has been completed. This project's design / environmental phases were previously done but need to be updated per the latest state requirements. This will take an estimated 8-12 months to update. $55 million in construction and right-of-way funding is needed to implement this project. Half of this funding would be requested through the Measure M Regional Capacity Program with the remaining $22.5 million from Federal or other 441!ID141YI • (PWA) Funding was not available through the Measure M Regional Capacity Program in 2016. The Public Works Agency will continue to seek grant funding for the right-of-way and construction phases of the project. Grand Avenue (Public Works Agency) The City has a project to widen Grand Avenue between 1st Street and 17th Street. The project, similar to Bristol, adds one through lane in each direction, bike lanes, sidewalk, landscaping and medians, as well as additional turn lanes and bus turnouts at major intersections in conformance with OCTA and City plans. The initial 900-foot segment between 1st Street and 4th Street began construction earlier in 2014 and was completed in 2015. Except for design phase funding, no funding has been identified for the remaining 4,300 feet, estimated to cost $49 million. A Federal $24 million grant to match the anticipated future OCTA Measure M2 funding could cover construction and project delivery. • (PWA) The initial 900-foot segment between 1st Street and 4th Street was completed in 2015. The remaining segment from 4th Street to 17th Street is in the design phase and should be completed by the end of 2017, CITY OF SANTA ANA 24 65B-49 2016 LEGISLATIVE PLATFORM SCORECARD Warner Avenue (Public Works Agency) The City finalized the Environmental Impact Report (EIR) in 2015 to widen Warner Avenue between Main Street and Grand Avenue. The project, similar to Bristol Street and Grand Avenue, adds one through lane in each direction, bike lanes, sidewalk, landscaping and medians, as well as additional turn lanes and bus turnouts at major intersections in conformance with OCTA and City plans. The project's cost is estimated at $60 million for design, right-of-way, and construction phases. OCTA has funded the design phase and a portion of right-of-way for Phase I (Main Street to Oal< Street). Staff seeks the remaining funding of $53 million through federal support independently or via OCTA. + (PWA) In October 2016, the Public Works Agency applied for the remaining balance of right-of-way funding for the segment from Main Street to Oak Street and design funding for the segment from Oak Street to Grand Avenue through the Orange County Transportation Authority's (OCTA) Regional Capacity Program (RCP). The OCTA Board of Director will review and approve the funding for RCP in March 2017. Fairview Bridge (Public Works Agency) Fairview Street is planned for three lanes in each direction on the City's General Plan and OCTA's Master Plan of Arterial Highways. However, because the Fairview Bridge over Santa Ana River is only about 50 feet wide, the roadway can accommodate only two lanes in each direction. Further, the bridge lacks separated sidewalks and the barrier rail does not meet current standards. For a similar project (First Street Bridge), the City received Federal funding to cover half the cost to replace and widen the bridge. For the Fairview Bridge, the cost is conceptually estimated at about $14 million, 88.53% of which could be requested through the Federal Highway Bridge Replacement and Rehabilitation program with matching funds requested through OCTA Measure M2. To receive federal funding, the segment would need to be cleared under the National Environmental Policy Act. • (PWA) In 2016, City applied for additional Federal Highway Bridge Replacement and Rehabilitation funding ($1.6 million) to replace the bridge. It is anticipated that the funding will be received by the spring of 2017. GOAL 7: TEAM SANTA ANA The City continues to face increasing demands for service with limited resources. This challenge provides an opportunity for the organization to become innovative and efficient in the delivery of City Services. Success in this effort requires that the City retain and attract experienced, motivated employees who are committed to engaging and serving the community. Additionally, improving interdepartmental and community lines of communication will ensure greater transparency and community engagement. Transparency and Engagement (City Manager's Office) Support federal/state legislation that allows the City to promote greater transparency and community engagement. + (CMO) the City has increased and improved transparency and engagement throughout the community by adhering to the Sunshine Ordinance, publishing the Strategic Plan, providing open data CITY OF SANTA ANA 25 65B-50 2016 LEGISLATIVE PLATFORM SCORECARD platform on City's financial information & budget, conducting community budget meetings, leading meetings with the community to gain input on the General Plan Update, hosting neighborhood association meetings, agendizing monthly updates on Public Works projects, sharing information to the community via Nixie and other social media platforms. Open Data Platform (Clerk of the Council) Seek funding to implement an Open Data Platform (ODP) which will increase transparency, access to public information, and improve coordination and efficiency among City agencies and partner organizations. Through the implementation of the ODP, the public will be able to access meaningful data on one web page, create reports and download information including building permit activity, crime reports, budget information, and land use data. Allowing the public to access, visualize, and sync to public information promotes a new kind of civic engagement and allows them to provide valuable feedback on local issues. An Open Data Platform will promote government transparency and openness by giving residents, visitors, and business access to all City public records. • (IT) Software demonstrations have been scheduled with five Open Data platform vendors in order to evaluate the functionality of their systems and obtain price quotes. Discussions have begun with City departments to identify specific data sets which can be made available. Technology (Information Technology) Support federal/state legislation which allows the City to promote innovation and efficiency through greater use of technology. Protect local government franchise fees and core local functions such as the Public, Educational and Government Programs channels (PEG). Protect local government's right of way use from unsightly and potentially hazardous equipment placement by telecommunications companies. Legislative Agenda (City Manager's Office) The City will recommend an annual legislative agenda consistent with the Strategic Plan. CITY OF SANTA ANA 26 65B-51 (CMO) The City Council Legislative Council Committee met twice throughout 2016 in concurrence with State and Federal lobbyist to solidify the annual legislative agenda consistent with the Strategic Plan. 65B-52 � 4 +00N • •_ CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: REVISED BUDGET AND FISCAL POLICY {STRATEGIC PLAN NO 4, 1d} CITY IMANAGP�' RECOMMENDED ACTION Adopt the revised Budget and Fiscal Policy. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 18' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER On June 4, 2012 the City Council approved the City's Budget and Fiscal Policy (Policy). The objective of the Policy was to establish General Fund Reserve limits as well as budgetary guidelines. The Policy was developed as a result of the 2008 recession that caused a major economic downturn and resulted in significant revenue shortfalls for many governmental agencies. The policy maintains base elements of providing a balanced budget including that ongoing revenues should match ongoing expenditures, as well as that one time funds may only be used for one-time non -recurring expenditures or term specific projects or programs. The revised policy addresses times that the City may encounter structural challenges. In addition, the policy will now include terminology and define one-time funds such as the ending operation balance, operating reserve account, and the unallocated fund (amount). With the attainment of the 20 percent reserve limit, staff is recommending modernizing the fiscal policy to include definitions consistent with the Governmental Accounting Standards Board on depicting fund balances and activities. In addition, staff recommends establishing a minimum reserve limit consistent with the Government Finance Officers' Association recommendation of no less than two months or 16.67 percent of General Fund operating revenues and expenditures. The resulting effect of this change will be increasing the current minimum level from 15 percent to 16.67 percent. In addition, the attainment of the 20 percent reserve level will now only be a recommended option. In addition, the recommended limits for the Economic Uncertainty fund will 65C-1 Amendment to the Budget and Fiscal Policy April 18, 2017 Page 2 be reduced from 10 percent to 5 percent of operating expenditures. Finally, the policy also allows the use of one time funds to be used for balancing the budget if a structural budget deficit has been identified. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #4 City Financial Stability — Objective #1 (maintain a stable, efficient and transparent financial environment), Strategy D (develop a fiscal health analysis tool that informs a department of its financial position in order to assist in its decision making process). FISCAL IMPACT Revision of the Fiscal Policy will allow the City to utilize one time funds to address structural budget challenges over the next few years. ��ll¢ecc�r/B �r sue* J� Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibit 1: Budget and Financial Policy (Revised — 2017) Exhibit 2: Budget and Financial Policy (June 2012) Exhibit 3: Government Finance Officers Association — Best Practice recommendation 65C-2 EXHIBIT 1 City of Santa Ana (D Council Policy Mayor's Authorization Subject Council Approval Date: BUDGET AND FINANCIAL POLICIES Rev. 04/2017 BACKGROUND Recent economic recessions highlighted the need to establish and maintain adequate reserve policies to offset significant economic downturns and unforeseen rising costs, more effectively. During September 2015, the Government Finance Officers' Association (GFOA) recommended reserve levels, regardless of size of government, to be no less than 2 months of general fund operating revenues or expenditures. Thus, the adoption of a formal City Budget along with a Reserve Policy will provide a basis to manage significant financial events more effectively in the upcoming fiscal years. PURPOSE The City's Budget and Financial Policies ("Reserves' or "Policy") will define the recommended level for reserves for the General Fund as well as internal and enterprise operations. Additionally, it will also establish a criteria for the use of reserves and a process by which to replenish them if utilized. It is the intent to focus on the General Fund and incorporate additional reserve policies for internal and enterprise funds over the following fiscal year(s). GENERAL FUND The General Fund is the City's chief operating fund. It accounts for all general revenues including sales tax, property tax, business tax, hotel visitor's tax, as well as other fees and charges. It is the basis to fund general ongoing City operations such as police, fire (contract services), recreation, planning and building as well as other general support services. Furthermore, the following budget policy directives are recommended to be continued/implemented in order to maintain a positive operating reserve levels: General Fund Budget Policy Directives 1) It shall be established that a balanced budget will be presented annually to the City Council for adoption. A balanced budget will be defined as ongoing recurring operating revenues matching ongoing recurring operating expenditures including debt service. 2) Budget consideration of new programs, personnel, or capital related expenditures shall only be considered if a source of funding is identified either through a corresponding cost reduction, an identified general increase in general tax revenue. Source of funding should include consideration of ongoing general maintenance and operational costs. 3) In order to ensure a balanced budget objective, the City will continue to pursue internal operational efficiencies and strategies, such as technology, which minimize costs and impacts to City services. 4) Departments will be encouraged to continually achieve savings through internal organizational efficiencies. 5) Technology will be encouraged if it can be demonstrated that a one-time capital infusion can result in savings being generated beyond two fiscal years. 65C-3 Page 2 GENERAL FUND (continued) General Fund Budget Policy Directives (continued) 6) One time or term specific funding may only be used to match one-time non -recurring expenditures, term specific projects and programs, as well as capital expenditures unless specifically authorized by the Mayor and City Council. 7) In order to ensure proper maintenance of a continued balanced budget, the City Council should adopt a compensation and retirement benefit directive that provides guidance and conforms with established budget directives and reserve requirements as outlined in this policy. Unassigned Fund Balance In accordance with Governmental Accounting Standards Board (GASB) 54 and continuing to ensure a continued orderly operation of City Government and address any unforeseen economic occurrences, the City shall establish the following Reserve Accounts within the Unassigned Fund Balance category: • Operating Reserve • Economic Uncertainty Reserve • Unallocated Amount Operating Reserve Account As a measure of strong fiscal health and recommendations made by GFOA the City created an Operating Reserve Account, disclosing where two months (approximately 16.67%) of recurring General Fund (011) operating revenues or expenditures (including transfers) are maintained. At no time is it permissible for the Operating Reserve requirement to fall below the above -referenced threshold. However, it is the intent of the City to ensure a significant Operating Reserve position is maintained and permitting should strive for a maximum amount of 20% for the Unassigned Reserve Account. Such Operating Reserves shall not be used to fund any form of operating expenditures or to cover any budgetary shortfall other than to preserve ongoing cash flow needs for the City. If at any point in time it is deemed that the City budget is performing at a structural deficit, the use of the unassigned fund balance account(s) is permissible upon approval by two thirds of the City Council. If approved, a corresponding plan to replenish the reserves should be adopted by the same vote. Use of the Operating Reserve account beyond two consecutive years is strictly prohibited unless a corresponding plan to balance the budget is submitted for approval to the Mayor and City Council. As a matterof prudence and fiscal solvency and in the event of a projected and/or realized structural deficit (budget basis), the City will utilize Economic Uncertainty (see below for account description) account funds prior to accessing the Operating Reserve account. Economic Uncertainty Account The reserve for Economic Uncertainty is established to offset any major variations in tax receipts as well as fees and charges or unforeseen cost increases. It is hereby established the City maintain within its Economic Uncertainty account a minimum level of 1%to 5%of recurring General Fund revenues with an objective of attaining a maximum goal of 5%. Upon determination by the Finance Department, that negative variations in projected revenues from the largest revenue sources defined as Sales tax, Property tax, Property tax in Lieu, Utility Users tax, Business Tax, and Hotel Visitors tax exceed 2% with no corresponding General Fund expenditure offset, then the City Council may authorize use of the Economic Uncertainty Reserve by a two-thirds vote to offset the revenue loss prior to the close of the fiscal year end. A corresponding plan to replenish the reserve account must be adopted by the same vote. Budget and Financial Polices 65C-4 Page 3 GENERAL FUND (continued) Economic Uncertainty Account (continued) Upon determination by the Finance Department and report submission to the City Council that a structural deficit exists in the budgeted forecast of the upcoming fiscal year, the City Council may authorize use of the Economic Uncertainty Reserve to balance the budget by two thirds vote of the Council. However, authorization to utilize the Economic Uncertainty Reserve beyond two consecutive years is strictly prohibited unless a corresponding plan to balance the budget is submitted for approval to the Mayor and City Council. o Funding of the Eco no mic Uncertainty account wi I I beach ieved via a I location of excess fund balance, as determined/calculated at fiscal year-end (June 30). Specifically, funding will occur only if the Operating Reserve requirement has been met first, for an amount up to $500,000 annually. Unallocated Amount The Unallocated amount is defined as the General Fund's excess fund balance beyond the Operating Reserve (two months operating revenues and/or expenditures) and Economic Uncertainty goals ($500,000 available) funding/objectives are met. Amounts denoted in the unallocated account are to be used as additional funds to ensure that the City's minimum operating reserve requirement are met for future fiscal years. Additionally, this amount will be determined at year-end upon conclusion of the City's audit cycle. However, if at any point in time the City is determined to have excess balances resulting from project close-out or savings, encumbrance liquidations and or other savings, the amount should remained within the Unallocated amount available for assignment into the above -referenced fund balance categories. Ending Operating Balance The City's fiscal year-end (June 30) position otherwise known as Ending Operating Balance is calculated as follows: Operating Revenues (Total Revenues) Plus Other Financing Sources (Transfersln) Less: <Operating Expenditures> >(Total Expenditures)> Less: <Other Financing Sources> <(Transfers Out)> Ending Operating Balance Specifically if the operating balance is Positive, Operating Revenues and Transfers In is greater than Operating Expenditures and Transfers Out, fund balance is generated to fund either the Operating Reserve, Economic Uncertainty or Unallocated accounts. Conversely, if the Ending Operating Balance is negative, Operating Revenues and Transfers In is lower than Operating Expenditures and Transfers Out, no additional fund balance is generated to fund the above -referenced accounts. In addition the Unassigned Fund balance is reduced by the shortfall (negative amount). Upon meeting the above -referenced reserve requirements, any excess operating balances shall be provided to City Council for consideration, with a minimum of fifty percent (50%) allocated for deferred maintenance, ensuring maintenance of pension stability, with the remaining balance to be utilized for non -recurring expenditures. Any General Fund ending operating balance, as determined at year-end, may be available to be assigned to the above -referenced Unassigned Fund Balance accounts. Any internal service fund that has funds in excess of the identified minimum reserve requirement as outlined in this policy, can be utilized as a means to meet the minimum General Fund Reserve requirements. Budget and Financial Polices 65C-5 Page 4 INTERNAL SERVICE FUNDS Background Internal Service Funds are established to administer and account for various activities whose purpose is to provide for goods and services to support other departments for their ongoing operational and programming needs. The delivery of these services is recovered on a cost recovery basis. Purpose It is the intent of the Internal Service Fund Reserve Policy to establish general guidelines as to the establishment of a proper recovery rate structure and define an appropriate level of reserves for each Internal Service Fund. It will also establish criteria for the use of reserves and establish a process by which to replenish reserves if utilized. Although this policy only addresses the Risk Management Funds (i.e. Liability and Property Insurance and Workers Compensation Fund), it is the intent to build upon and include all internal service funds within this policy. Operating Reserves Reserves for these accounts will be funded at target level approximating 80% of the claims payable (long-term liability) as defined in the actuarial study. In addition, one to two months of operational reserves will be included to address any variations related to revenues and/or expenditures (internal cost/cross charges). In the event a positive operating balance is generated, amounts defined in these accounts from general agencies shall be available for transferto the General Fund until such time that the General Fund reserve meets the minimum requirement of 15% or to establish the reserve for Economic Uncertainty. Transfers shall be submitted to Council for approval. Thereafter, any additional positive operating balances generated may be utilized to fund any deficits identified within other Internal Service Funds, as well as other unfunded capital and deferred related maintenance. Risk Management The Risk Management programs are established to protect the City's assets through the administration of a properly funded liability claim and insurance program and by minimizing the cost and effect of work -related injuries. Rates for these programs are established on a biennial actuarial basis. Deferred Maintenance Capital or deferred maintenance related funds should also maintain a one to two month operating reserve in order to minimize the impact of revenue and/or expenditures fluctuations year over year. In addition, Internal Service Funds, with the responsibility to maintain, replace, and/or repair facilities and/or equipment should develop a rate structure which supports capital replacement within the said funds. Reporting for the fund(s) capital replacement should be reported in a separate fund and/or accounting unit. The use of these funds for expenditures that do not include capital replacement requires two-thirds (2/3) vote from the City Council. Budget and Financial Polices 65C-6 EXHIBIT 2 } City of Santa Ana Council Policy Subject BUDGET & FINANCIAL POLICIES Mayor's Authorization Council Approval Date: June A, 2012 Background The severity of the recent economic recession highlighted the need to establish and maintain adequate reserve policies to offset significant economic downturns and unforeseen rising costs more effectively. In 2002, The Government Finance officers' Association (GFOA) recommended reserve levels equal to a minimum of 5% to 15% of operating revenues or one to two months of operating expenditures as a basis to establish sound reserve levels. Adoption of a formal City Budget and Reserve Policy will provide a basis to manage significant financial events more effectively in the future. PURPOSE The City's reserve policy will define the recommended level for reserves for the General Fund as well as internal and enterprise operations. The policy will outline a timeframe and plan that will assist the City in meeting the minimum General Fund requirements over the course of the next few years. It will also establish criteria for the use of reserves and establish a process by which to replenish reserves if used. It is the intent to focus on the General Fund initially and incorporate additional reserve policies for internal and enterprise funds over the next fiscal year. The General Fund is the general operating fund for the City. It accounts for all general revenues including sales tax, property tax, business tax, hotel visitor's tax, as well as other fees and charges, it is the basis to fund general ongoing City operations such as police, fire (contract services), recreation, planning and building as well as other general support services. General Fund Budget Policy Directives - it shall be established that a balanced budget will be presented annually to the City Council for adoption. A balanced budget will be defined as ongoing recurring operating revenues matching ongoing recurring operating expenditures including debt service. One time or term specific funding can only be used to match one-time non recurring expenditures, term specific projects and programs, as well as capital expenditures. In order to ensure a balanced budget objective, the City will continue to pursue Internal operational efficiencies and strategies, such as technology, that minimize City costs and impacts to City services. in addition, no language shall be adopted that requires the City to maintain a minimum or required level of staffing and overtime. Budget & Financial Polices 65C-7 Page 1 In order to ensure proper maintenance of a continued balanced budget, the City Council will adopt a compensation and retirement benefit directive that provides guidance and conforms with the established budget directives and reserve requirements as outlined in this policy. General Fund Reserves In order to ensure a continued orderly operation of City Government and to address any unforeseen economic occurrences the City shall establish two General Fund Reserve Accounts: An Unassigned Reserve Account and an Economic Uncertainty Reserve Account. Unassigned Reserve Account -In accordance with GFOA and in order to maintain the highest level of fiscal health, the City will maintain under the Unassigned Reserve Account designation a minimum reserve level of between 5 and 15% of recurring General Fund operating expenditures. At no time Is it permissible for the reserve requirement to fall below 5%. However, it is the intent of the City to ensure a significant reserve position of at least 15%. Upon attainment of 15%, the City shall consider and if approved continue to strive for an overall goal of 20% for the Unassigned Reserve Account. Such reserves shall not he used to fund any form of operating expenditures or to cover any budgetary shortfall other than to preserve ongoing cash flow needs for the City. if at any point in time It is deemed that the City budget is performing at a structural deficit, the use of the Unassigned Reserve Account to balance the budget is strictly prohibited unless approved by two thirds of the City Council. If approved, a corresponding plan to replenish the reserves must be adopted by the same vote. Economic Uncertainty Reserve Account - It is hereby established that upon fulfillment of achieving a minimum Unassigned Reserve Account of 10%, the City shall consider the establishment of a reserve account for Economic Uncertainty. The reserve for Economic Uncertainty is established to offset any major variations in tax receipts as well as fees and charges or unforeseen cost Increases. It is hereby established the City maintain a minimum reserve level of 1 to 10% of recurring General Fund revenues with an objective of attaining a maximum goal of 10%. - Upon determination by the Finance Department, that negative variations in projected revenues from the largest revenue sources defined as Sales tax, Property tax, Property tax in Lieu, Utility Users tax, Business Tax, and Hotel Visitors tax exceed 2% with no corresponding General Fund expenditure offset, then the City Council may authorize use of the Economic Uncertainty Reserve by a two-thirds vote to offset the revenue loss prior to the close of the fiscal year end. A corresponding plan to replenish the reserve account must be adopted by the same vote. Upon determination by the Finance Department and report submission to the City Council that a structural deficit exists in the budgeted forecast of the upcoming fiscal year, the City Council may authorize use of the Economic Uncertainty Reserve to balance the budget by two thirds Vote of the Council. However, authorization to utilize the Economic Uncertainty Reserve beyond two consecutive years is strictly prohibited. General Work Plan for Achieving General Fund Reserve Obiectives The following work plan is Intended to reach the unassigned reserve account of 15% in phases. The initial objective is to attain at least a 5% threshold over the course of the following fiscal year and between 7% and 8% ,> . Budget & Financial Polices 65C-8 Page 2 over the subsequent fiscal year. Upon attainment of the phased objectives, a comprehensive review of the general financial condition of the City will be completed and a new reserve work plan will be developed and submitted for approval that outlines the next intermediate steps for meeting the main objective of a reserve target level of 15%. Until such time that the General Fund Unassigned Reserve meets the minimum phased requirements as outlined above, the following budgetary and operational guidelines shall be used as a basis to achieve the various minimum requirements. Budget consideration of new programs, personnel, or capital related expenditures shall only be considered If a source of funding is identified either through a corresponding cost reduction, an identified general increase in general tax revenue, or a one-time revenue infusion, Source of funding should include consideration of ongoing general maintenance and operational costs. Departments will be encouraged to continually achieve savings through internal organizational efficiencies. Technology will be encouraged if it can be demonstrated that a one-time capital infusion can result in savings being generated beyond two years. Any General Fund savings generated at the fiscal year end can be considered either for term specific operational or capital needs but a minimum of 50%(up to 100°/u) of the savings shall be deposited Into the unassigned reserve balance until such time that the phased reserve levels are met, Any internal service fund that has funds In excess of the identified minimum reserve requirement as outlined in this policy, can be utilized as a means to meet the minimum General Fund Reserve requirements. Only unrestricted funds deemed transferable can be utilized. Any transfer to the General Fund Unassigned Reserve Balance will be submitted to Council for consideration and approval. In order to generate additional savings and until such time that the minimum level of reserves has been achieved, the Budget Office will only utilize a fiscally conservative profile for revenue projections. If the phased reserve target requirements as outlined above have not been met it is recommended that beginning in FY 14-15 a more conservative projection factor be used to generate forced budgetary savings: (NOTE: Each 1% equates to approximately $2 million) FY 12-13: 100%of recurring revenue projected; FY 13-14: 100%of recurring revenue projected; FY 14-15: 99% of recurring revenue projected; Such factors shall be used to generate General Fund savings until such time that a 7%-8% unassigned General Fund reserve has been achieved. Any generated General Fund savings achieved after reaching between a 7%-8% undesignated General Fund reserve shall be applied in the following order: Up to a max of 25%-Unassigned General Fund Reserve Up to a max of 25%-Economic Uncertainty Reserve Up to a max of 50% -Can be applied to term specific programs, projects, personnel as well as deferred capital maintenance. Page 3 Budget & Financial Polices 65C-9 Internal Service Funds Background Internal Service Funds are established to administer and account for various activities whose purpose is to provide for goods and services to support other departments for their ongoing operational and programming needs. The delivery of these services is recovered on a cost recovery basis. Purpose It is the Intent of the Internal Service Fund Reserve Policy to establish general guidelines as to the establishment of a proper recovery rate structure and define an appropriate level of reserves for each Internal Service Fund. It will also establish criteria for the use of reserves and establish a process by which to replenish reserves if utilized. Although this policy only addresses the Risk Management Funds (i.e. Liability and Property Insurance and Workers Compensation Fund), it Is the intent to build upon and include all internal service funds within this policy. Risk Management The Risk Management programs are established to protect the Clty's assets through the administration of a properly funded liability claim and insurance program and by minimizing the cost and effect of work -related injuries. Rates for these programs are established on a biennial actuarial basis. Reserves Reserves for these accounts will be funded at not less than 80% as defined in the actuarial study. In addition, three months of operational reserves will be included to address any variations related to revenues and expenditures. Any surplus amounts defined in these accounts from general agencies shall be available for transfer to the General Fund until such time that the General Fund reserve meets the minimum requirement of 15% or to establish the reserve for Economic Uncertainty. Transfers shall be submitted to Council for approval, There after any surplus can be used to fund any deficits identified in other Internal Service Fund reserves, as well as other unfunded capital and deferred related maintenance. Page 4 Budget &Financial Polices 65C-10 EXHIBIT 3 Government Finance Officers Association n BACKGROUND: In the context of financial reporting, the term fund balance is used to describe the net position of governmental funds calculated in accordance with generally accepted accounting principles (GAAP). Budget professionals commonly use this same term to describe the net position of governmental funds calculated on a government's budgetary basis,' While In both cases fund balance is intended to serve as a measure of the financial resources available in a governmental fund; It Is essential that differences between GAAP fund balance and budgetary fund balance be fully appreciated. 1. GAAP financial statements report up to five separate categories of fund balance based on the type and source of constraints placed on how resources can be spent (presented in descending order from most constraining to least constraining): nonspendable fund balance, restricted fund balance, committed fund balance, assigned fund balance, and unassigned fund balance.' The total of the amounts in these last three categories (where the only constraint on spending, if any, is imposed by the government Itself) is termed unrestricted fund balance. In contrast, budgetary fund balance, while it is subject to the same constraints on spending as GAAP fund balance, typically represents simply the total amount accumulatad from prior years at a point in time. 2. The calculation of GAAP fund balance and budgetary fund balance sometimes is complicated by the use of sub -funds within the general fund. In such cases, GAAP fund balance includes amounts from all of the subfunds, whereas budgetary fund balance typically does not. 3. Often the timing of the recognition of revenues and expenditures is different for purposes of GAAP financial reporting and budgeting. For example, encumbrances arising from purchase orders often are recognized as expenditures for budgetary purposes, but never for the preparation of GAAP financial statements. The effect of these and other differences on the amounts reported as GAAP fund balance and budgetary fund balance In the general fund should be clarified, understood, and documented. It is essential that governments maintain adequate levels of fund balance to mitigate current and future risks (e.g., revenue shortfalls and unanticipated expenditures) and to ensure stable tax rates. In most cases, discussions of fund balance will properly focus on a government's general fund. Nonetheless, financial resources available in other funds should also be considered in assessing the adequacy of unrestricted fund balance in the general fund. RECOPIIMENOATION: GFOA recommends that governments establish a formal policy on the level of unrestricted fund balance that should be maintained in the general fund for GAAP and budgetary purposes.' Such a 65C-11 guideline should be set by the appropriate policy body and articulate a framework and process for how the government would increase or decrease the level of unrestricted fund balance over a specific time period." In particular, governments should provide broad guidance in the policy for how resources will be directed to replenish fund balance should the balance fall below the level prescribed. Appropriate Level. The adequacy of unrestricted fund balance in the general fund should take into account each government's own unique circumstances. For example, governments that may be vulnerable to natural disasters, more dependent on a volatile revenue source, or potentially subject to cuts in state aid and/or federal grants may need to maintain a higher level In the unrestricted fund balance. Articulating these risks in a fund balance policy makes it easier to explain to stakeholders the rationale for a seemingly higher than normal level of fund balance that protects taxpayers and employees from unexpected changes in financial condition. Nevertheless. GFOA recommends, at a minimum, that general-purpose governments, regardless of size, maintain unrestricted budgetary fund balance in their general fund of no less than two months of regular general fund operating revenues or regular general fund operating expenditures.5 The choice of revenues or expenditures as a basis of comparison may be dictated by what Is more predictable in a government's particular oircumstances a Furthermore, a government's particular situation often may require a level of unrestricted fund balance in the general fund significantly in excess of this recommended minimum level. In any case, such measures should be applied within the context of long-term forecasting, thereby avoiding the risk of placing too much emphasis upon the level of unrestricted fund balance in the general fund at any one time. In establishing a policy governing the level of unrestricted fund balance in the general fund, a government should consider a variety of factors, Including: 1. The predictability of its revenues and the volatility of its expenditures (Le., higher levels of unrestricted fund balance may be needed if significant revenue sources are subject to unpredictable fluctuations or if operating expenditures are highly volatile); 2. Its perceived exposure to significant one-time outlays (e.g., disasters, immediate capital needs, state budget cuts); 3. The potential drain upon general fund resources from other funds, as well as, the availability of resources in other funds; 4The potential impact on the entity's bond ratings and the corresponding Increased cost of borrowed funds; 5. Commitments and assignments (i.e., governments may wish to maintain higher levels of unrestricted fund balance to compensate for any portion of unrestricted fund balance already committed or assigned by the government for a specific purpose). Governments may deem it appropriate to exclude from consideration resources that have been committed or assigned to some other purpose and focus on unassigned fund balance, rather than on unrestricted fund balance. Use and Replenishment. The fund balance policy should define conditions warranting its use, and if a fund balance falls below the government's policy level, a solid plan to replenish it. In that context, the fund balance policy should: 1. Define the time period within which and contingencies for which fund balances will be used; 2. Describe how the government's expenditure and/or revenue levels will be adjusted to match any new economic realities that are behind the use of fund balance as a financing bridge; 3. Describe the time period over which the components of fund balance will be replenished and the means by which they will be replenished. Generally, governments should seek to replenish their fund balances within one to three years of use. Specifically, factors influencing the replenishment time horizon Include 65C-12 1. The budgetary reasons behind the fund balance targets; 2. Recovering from an extreme event, 3. Political continuity; 4. Financial planning time horizons; 6. Long-term forecasts and economic conditions; 6. External financing expectations. Revenue sources that would typically be looked to for replenishment of a fund balance include nonrecurring revenues, budget surpluses, and excess resources In other funds (if legally permissible and there Is a defensible rationale). Year-end surpluses are an appropriate source for replenishing fund balance. Unrestricted Fund Balance Above Formal Policy Requirement. In some cases, governments can find themselves in a position with an amount of unrestricted fund balance in the general fund over their formal policy reserve requirement even after taking Into account potential financial risks In the foreseeable future, Amounts over the formal policy may reflect a structural trend, in which case governments should consider a policy as to how this would be addressed. Additionally, an education or communication strategy, or at a minimum, explanation of large changes in fund balance is encouraged. In all cases, use of those funds should be prohibited as a funding source for ongoing recurring expenditures. Notes: 1. For the sake of clarity, this recommended practice uses the terms GAAP fund balance and budgetary fund balance to distinguish these two different uses of the same term. 2. These categories are set forth in Governmental Accounting Standards Board (GASB) Statement No. 54, Fund Balance Reporting and Governmental Fund 7ype Definitions. 3. Sometimes restricted fund balance includes resources available to finance items that typically would require the use of unrestricted fund balance (e.g., a contingency reserve). In that case, such amounts should be included as part of unrestricted fund balance for purposes of analysis. 4. See Recommended Practice 4.1 of the National Advisory Council on State and Local Budgeting governments on the need to "maintain a prudent level of financial resources to protect against reducing service levels or raising taxes and fees because of temporary revenue shortfalls or unpredicted one-time expenditures" (Recommended Practice 4.1). 5, In practice, a level of unrestricted fund balance significantly lower than the recommended minimum may be appropriate for states and America's largest governments (e.g, cities, counties, and school districts) because they often are in a better position to predict contingencies (for the same reason that an insurance company can more readily predict the number of accidents for a pool of 500,000 drivers than for a pool of fifty), and because their revenues and expenditures often are more diversified and thus potentially less subject to volatility. 6. In either case, unusual items that would distort trends (e.g., one-time revenues and expenditures) should be excluded, whereas recurring transfers should be included. Once the decision has boon made to compare unrestricted fund balance to either revenues and/or expenditures, that decision should be followed consistently from period to period. 203 N. LaSalle Street - Suite 27001 Chicago, IL 60601-12101 Phone: (312) 977-0700 - Fax: (312) e77-4806 65C-13 65C-14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: PUBLIC HEARING —ZONING ORDINANCE AMENDMENT NO. 2016-03 TO AMEND CERTAIN SECTIONS OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE — CITY OF SANTA ANA, APPLICANT (STRATEGIC PLAN NO. 3, 2) C Y MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: r1:7 161F/AW ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt an ordinance approving Zoning Ordinance Amendment No. 2016-03. PLANNING COMMISSION ACTION At its regular meeting on March 13, 2017, by a vote of 6:0 (Mendoza absent), the Planning Commission recommended that the City Council adopt an ordinance approving Zoning Ordinance Amendment No. 2016-03 to amend various sections of Chapter 41 of the Santa Ana Municipal Code (SAMC) pertaining to two-family residences, site plan review, development project approval, off-street parking and other administrative items. The Planning Commission made no changes to the modifications outlined in the attached staff report (Exhibit A). DESCRIPTION Staff is proposing to amend several sections of Chapter 41 of the SAMC to streamline certain permit processes, clarify and revise certain standards, comply with changes in state and federal laws, and respond to current economic trends. The following provides a brief summary of the recommended solutions to the eight key areas of concerns identified by the Planning Division staff and the public: 1. Wireless Facilities Sec. 41-198.13 - Currently, conditional use permits for wireless facilities that are valid for five years. The amendment increases the time period to ten years in compliance with determinations made by the Federal Communication Commission (FCC). 2. Two -Family Residence (R-2) Section 41-246 - In the R-2 zoning district, single-family residences are permitted by right, subject to compliance with the General Agricultural (A-1) developments standards. In other districts, single-family homes must meet the R-1 district 75A-1 Zoning Ordinance Amendment No. 2016-03 — Amending Certain Sections of Chapter 41 of the Santa Ana Municipal Code April 18, 2017 Page 2 standards. The amendment changes standards for single family -homes in the R-2 zoning district from A-1 to R-1 in order to provide consistent development standards for single-family residences in other residential zones. 3. Specific Development (SD) Site Plan Review Sec. 41-593.4 - Site plan review approval by the Planning Commission is required for development projects proposed within any specific development (SD) district. The proposed amendment will allow future changes to projects with an SD zone to be approved by staff (consistent with the intent of the SD zone) instead of the Planning Commission. 4. Minor Exceptions for Parking Sec. 41-593.5 - Minor Exceptions to allow reductions in parking are limited to shared parking proposals, non-integrated parking, and tandem parking subject to review and approval by the Zoning Administrator. The proposed amendment will give the Planning Manager authority to approve or disapprove minor exceptions, as defined in the Code, for parking. 5. Planning Commission Approval Authority of Discretionary Actions Sec. 41-638.1 and 41-639 - The Planning Commission holds public hearings and makes a determination to approve or deny variances, conditional use permits and minor exceptions. Decisions made by the Planning Commission are then placed on the City Council's consent calendar for confirmation. The proposed change will streamline the development process by making all decisions made by the Planning Commission final. Parties aggrieved by the Planning Commission's determination have the ability to appeal the decision to the City Council. Further, if the Council is dissatisfied with the action of the Planning Commission or is of the opinion that the matter is of such magnitude as to be of special interest to the people of the City of Santa Ana it may, by majority vote, set the matter for a public hearing to be held at a regular or adjourned meeting with public notification made by the Planning Division as was required for the initial hearing. 6. Development Project Plan Approval Sec. 41-668 and Sec. 41-669 - Development project review is required for the construction of any new building or buildings, or additions to any existing building or buildings, of 500 square feet or more, or if the cost exceeds $50,000.00. The amendment increases the threshold from 500 square feet to 2,500 square feet, which will substantially expedite the development process for smaller projects and reduce the cost for development processing. 7. Change of Use Exception Sec. 41-1309 and 41-1309.1 - The proposed change of use exception will allow the change of certain uses within an existing building up to 2,500 square feet in size without the need to provide additional parking and loading spaces. 8. Parking Standards Sec. 41-1341 thru 1411 - The current parking standards are outdated and do not reflect the urban setting of Orange County today. This proposed adjustment will 75A-2 Zoning Ordinance Amendment No. 2016-03 — Amending Certain Sections of Chapter 41 of the Santa Ana Municipal Code April 18, 2017 Page 3 ensure that parking standards do not create an economic disadvantage in attracting development to the city. Uses Existing Requirement in spaces per 1,000 sf of floor area Proposed Requirement ins aces per 1,000 sf of floor area) Restaurant 10 spaces 8 spaces Medical Office 6 spaces 5 spaces Exercise Gyms 35 spaces 5.5 spaces Churches 28.5 spaces 20 spaces Staff recommends adopting an ordinance approving Zoning Ordinance Amendment No. 2016-03. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 - Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies). FISCAL IMPACT There is no fiscal impact associated with this action. Hassan Hagha i, AIC Executive Director Planning & Building Agency AN:rb an\PIanCom m2\ZOA2018-03,=041817 Exhibit: A. Planning Commission Staff Report B. Ordinance 75A-3 75A-4 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: MARCH 13, 2017 TITLE: PUBLIC HEARING — FILED BY THE CITY OF SANTA ANA FOR ZONING ORDINANCE AMENDMENT NO. 2016.03 TO AMEND CERTAIN SECTIONS OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE (STRATEGIC PLAN NO. 3,2) Prepared by Ann Hsin-An NI Executive Director Wx4o]a11a,[Ak, 1-1]4 rmelw.3 PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED ❑ Appiicanfs Request ❑ Staff Recommendation CONTINUED TO a �69e Recommend that the City Council adopt an ordinance approving Zoning Ordinance Amendment No. 2016-03 to revise certain sections of Chapter 41 (Zoning) of the Santa Ana Municipal Code (SAMC). Request of the Applicant Staff is proposing to amend several sections of Chapter 41 of the SAMC to streamline certain permit processes, clarify and revise certain standards, comply with changes in state and federal laws, and respond to current economic trends. Specifically, staff is requesting amendments to Chapter 41 including Section 41-198.13 (wireless facilities), Section 41-246 (R-2/Two-Family Residence), Section 41-593.4 and 41-593.5 (Specific Development/SD site plan review), Section 41-638.1 (minor exception), Section 41-639 (Planning Commission to make findings of fact), Sections 41-668 through 41-669 (development project approval), and Sections 41-1309 through 41-1411 (parking standards). , Various sections within Chapter 41 of the Santa Ana Municipal Code (Zoning) have been revised periodically over the last several years to respond to changes in development, to adopt new permitting procedures, and to comply with changes to state and federal laws. in a continuing effort to establish high -quality development standards and to create a user friendly environment for residents and the business community within the city, the Planning Division is proposing revisions to various sections of the Zoning Code. After a thorough analysis of the current code requirements in the city, staff identified a number of code amendments and additions that are necessary to ensure clear, uniform, predictable, and legally consistent regulations. The proposed changes and additions will enable the City to implement a regulatory framework that both protects the health, safety, and welfare of the city and limits undue strain on home owners, business operators and developers. EXHIBIT A 75A-5 Zoning Ordinance Amendment No. 2016-03 March 13, 2017 Page 2 Prolect Analysis Staff is proposing several amendments to Chapter 41 of the SAMC. The amendments identified below are the first of several amendments that will be made to the Code until the General Plan update is completed and a comprehensive Zoning Code update commences. The following sub -sections detail the proposed modifications to the Zoning Code. The following provides a brief summary of the recommended solutions to the eight key areas of concerns identified by the Planning Division staff and the public: Wireless Facilities Sec. 41-198.13. The current City wireless ordinance requires a conditional use permit for major wireless facilities that is valid for a period of five years. The proposed amendment will increase the time period from five years to 10 years to be in compliance with determinations made by the Federal Communication Commission (FCC). 2. Two -Family Residence (R-2) Section 41-246. In the Two -Family Residence zoning district, single-family residences are permitted by right, subject to compliance with the General Agricultural (A-1) developments standards. In other districts, single-family homes must meet the R-1 (Single -Family Residence) district standards. The proposed amendment will change standards for single family -homes in the R-2 zoning district from A-1 (General Agricultural) to R-1 (Single -Family Residence) in order to provide consistent development standards for single-family residences in various residential zones. 3. Specific Development (SD) Site Plan Review Sec. 41-593A Site plan review approval by the Planning Commission is required for development projects proposed within any specific development (SD) district. The proposed amendment will allow future changes to projects with an SD zone to be approved by staff (consistent with the intent of the SD zone) instead of the Planning Commission. 4. Minor Exceptions for Parking Sec. 41-593.5. Minor Exceptions to allow reductions in parking are limited to shared parking proposals, non- integrated parking, and tandem parking subject to review and approval by the Zoning Administrator. The proposed amendment will give the Planning Manager authority to approve or disapprove minor exceptions, as defined in the Code, for parking. 75A-6 Zoning Ordinance Amendment No. 2016-03 March 13, 2017 Page 3 5. Planning Commission Approval Authority on Discretionary Actions Sec. 41-638.1. and Sec. 41-639. The Planning Commission holds public hearings and makes a determination to approve or deny variances, conditional use permits and minor exceptions. Decisions made by the Planning Commission are then placed on the City Council's consent calendar for confirmation. The proposed change will streamline the development process by making all decisions made by the Planning Commission final. Parties aggrieved by the Planning Commission's determination will have the ability to appeal the decision to the City Council. 6. Development Project Plan Approval Sec. 41-668 and Sec. 41-669, Development project (site plan) review is required for the construction of any new building or buildings, or additions to any existing building or buildings, of 500 square feet or more, or if the cost exceeds $50,000.00. The proposed change will increase the threshold from 500 square feet to 2,500 square feet, which will substantially expedite the development process for smaller projects and reduce the cost for development processing. Based on a review of development projects submitted in the past two years, this change will result in a reduction of 10 percent of the total number of projects submitted into the development project review process. The 2,500- square-foot threshold will also be consistent with the threshold proposed for parking reductions and landscaping plan review. 7. Change of Use Exception Sec. 41-1309 and 41-1309.1. The proposed change of use exception will allow the change of certain uses within an existing building up to 2,500 square feet in size without the need to provide additional parking and loading spaces. For example, a tenant space may change from retail (5 spaces per 1,000 gross square feet) to a restaurant use (10 spaces per 1,000 gross square feet) without providing additional parking. The proposed amendment will allow an easier transition when change of use occurs in the commercial, professional and industrial zoning districts. 8. Parking Standards Sec, 41-1341 thru 1411 The current parking standards were adopted in the early 1990's based on a nationwide parking demand analysis conducted by the ULI (Urban Land Institute). These standards are outdated and do not reflect the current urban setting of Orange County. A recent staff survey of various cities, including Anaheim, Glendale, Long Beach, Sacramento and Santa Monica, noted that the City's parking standards were higher in some categories, with a reduction necessary to be more aligned with current parking trends (Table 1). This proposed adjustment will ensure that Santa Ana is consistent with current standards and the parking standards will not create an economic disadvantage in attracting necessary new development to the city. 75A-7 Zoning Ordinance Amendment No, 2016-03 March 13, 2017 Page 4 Table 1 Anaheim Glendale Long Beach Sacramento Santa Monica Restaurants 8/1,000 sf 10/1,000 sf 10/1,000 plus 0.5 to 2.5/1,000 sf 3.3 to 8/1,000 sf 20/1,000 bar area Exercise Gyms 5.5/1,000 sf 1011,000 sf _ 20/1,000 sf 3 to 6/1,000 sf 3.3/1,000 sf Medical/Dental 6/1,000 sf 5/1,000 sf 5/1,000 sf 0.5 to 4/1,000 sf 3.3 to 4/1,000 sf _ Offices Churches 29/1,000 sf 28.6/17000 sf 113.3 fixed seats 114 to 6 fixed 3.3/1,000 sf seats The proposed reduction of parking requirement for the following use reflects the actual demand based on the analysis of parking requirements from other cities and parking demand analysis conducted In the last few years (Table 2): Table 2 Uses Existing Proposed Restaurant 10 spaces/1,000 sf of gross floor area 8 spaces/1,000 sf of gross floor area Medical Office 6 spaces/1,000 sf of gross floor area 5 spaces/1,000 sf of gross floor area Exercise Gyms 35 spaces/1,000 sf of gross floor area 5.5 spaces/1,000 sf of gross floor area Churches 28.5 spaces/1,000 sf of gross floor area 20 spaces/1,000 sf of gross floor area On July 11, 2016, staff presented an initial package of proposed amendments to Chapter 41 to the Zoning and General Plan Subcommittee, comprised of Commissioners Bacerra and McLoughlin. On February 3, 2017 staff presented a revised set of amendments which comprised of Commissioners Bacerra, McLoughlin and Mendoza. The Zoning and General Plan Subcommittee recommended minor changes and noted that the proposed amendments would create a user and business friendly version of Chapter 41 (Zoning) of the Santa Ana Municipal Code. Public Notification The proposed amendments are citywide and the project site is not located one single neighborhood association. However, a notice was published Register. At the time of this printing, no correspondence, by phone, written received from any members of the public. within the boundaries of in the Orange County or electronic, has been 75A-8 Zoning Ordinance Amendment No. 2016-03 March 13, 2017 Page 5 CEQA Comullance In accordance with the California Environmental Quality Act (CEQA) the recommended action is exempt from CEQA per Section 15061(b)(3). This exemption applies to projects covered by the general rule that CEQA applies only to projects which have the potential for causing a significant effect on the environment. Where it can be seen with certainty that there is no possibility that the activity in question may have a significant effect on the environment, therefore, the activity is not subject to CEQA. Strategic Plan AUgnment 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 recommend that the City Council approve Zoning Ordinance Amendment No. 2016-03, Ann Hsln-An Ni Associate Planner AN:jm an%PlanComm2lZOA2016-03.pc.031317 Attachment: Exhibit 1— Proposed Amendments to Chapter 41 75A-9 ZONING ORDINANCE AMENDMENT NO. 16-03 PROPOSED MODIFICATIONS Strike Out is deletion Underline is addition Wireless Facilities See, 41-198.13. Same -Conditional use permit expiration. Each wireless communication facility approved pursuant to this article shall be approved for a period not to exceed 4*e-(5) ten 10 years. R2 (TWO-FAMILY RESIDENCE) Section 41-246, Applicability of Regulations R-2 (two-family residence) districts are specifically subject to the regulations contained in this division, except that one -family dwellings are subject to the design and development standards set forth in Division -I 3 of this article, townhouses are subject to the design and development standards set forth in Division 6 of this article, and uses allowed under section 41-247.5 are subject to the design and development standards set forth in Divik—:f this article. Sneelfie Develonment Site Plan Review Sec. 41-593.4 Submission of development plans; architectural review. (a) ag of tl spsei€te developplan e;" agr t}i (1*blssv Ally application for a permit for a building or structure in the SD District shall be accompanied or preceded by the filing with the director of planning of a specific development plan which shall be one of either of the following types: (1) A plan consisting of architectural drawings or sketches and plot plans, all to a workable scale, showing the elevation of the proposed building or structure, signs, proposed landscaping or other treatment of grounds around such building or structure, off-street parking and other physical features such as trees, hydrants, poles, and other installations, and in addition, such other plans, drawings or information as may be determined by the director of planning to be necessary to fully evaluate any requirement for a building permit; 1 EXHIBIT 1 75A-10 (2) A plan consisting of standards and regulations pertaining to the following: (i) The height, location, and bulk of buildings: (ii) The location, arrangement and configuration of open space and building setback, (iii) The location and design of off-street parking areas; (iv) The number, size, and location of all signs; (v) Such other regulations and standards as maybe necessary to accomplish the purposes and intent of this division or to insure the proper execution of the general plan. (b) Upon receipt of a specific development plan by the director of planning, the same shall be referred to the planning eormnissie n division for review and reeonmmendations. The planning division shall review said plans for the purpose of ensuring that buildings, structures, and grounds will be in keeping with the neighborhood and will not be detrimental to the harmonious development of the city or impair the desirability of investment or occupation in the neighborhood. Sec. 41-593.5. Approval of specific development plans. No permit for it building or structure shall be issued for any property subject to the provisions of this division until the following requirements have been met: (a) If the property is within a zoning district classification combined with an SD suffix, the applicant must obtain for said property a conditional use permit permitting use of the property in accordance with a specific development plan. Said conditional use permit shall be approved, conditionally approved, or denied in accordance with tine provisions of Article V of this chapter. All development shall be in compliance with all conditions of approval prior to issuance of a utility release by the director of building. (b) If the property is within an SD District, the specific development plan must be adopted by ordinance of the city. Such ordinance, in addition to adopting the specific development plan, shall specify the uses permitted on such property, together with any restrictions or conditions pertaining to such uses. 75A-11 Sec. 41-638.1. Minor exceptions from off-street parking requirements. (a) Minor exceptions from the off-street parking regulations referenced in this section shall be subject to grant or denial by the Planning Manage based upon the standards set forth in this section and not upon the standards set forth in Section 41-638. (b) A minor exception from the requirement that required parking areas be integrated such that a vehicle need not enter a street to move from one aisle to another may be granted if: (i) The stalls in an aisle are all reserved or assigned so as to be unavailable for parking by persons permitted to park in another aisle; or (ii) A parking area serves an office use and is immediately across a street or alley from it; or (iii)The parking area is wholly or partly within a structure. (c) A minor exception may be granted from the provisions of this chapter requiring each use to have its required number of off'street parking stalls to allow: (i) Two (2) or more independent uses to share required parking stalls provided no conflict will arise between parking for one use and parking for another due to differences in tirne of primary utilization of parking as between such uses. (ii) Any use conducted in a building which cannot reasonably be considered as within the scope of any other section of this article setting minimum parkingnace requirements, unless a parking demand analysis is required at the discretion of the Planning Manager. (d) A minor exception may be granted from the off-street parking design requirements of this chapter to allow for tandem parking sepA%---any aonresiileritiat-use if the parking area is adequately managed by a valet service or parking management service plan. See. 41-639. Planning commission to make finding of fact; filing, review. In granting or denying a variance, conditional use permit or minor exception, the planning commission shall make a written finding which shalt specify all facts relied upon by said commissionin rendering its decision and in attaching conditions and safeguards. A copy of the decision of the planning commission, together with the written finding of fact, shall be filed with the clerk of the council, with the city planning 75A-12 departraent division, and mailed to the applicant, All decisions of the planning commission miry -be reviewed -by shall be final unless appealed to the city council asset Perth-tn4ec4ion 41 642-pursuant to Section 41-645. DIVISION 3. - DEVELOPMENT PROJECT PLAN APPROVAL See.41-668. Definitions. (a) Development project: As used in this division, the term "development project" includes any of the following projects: (1) The new construction of any building or buildings, and additions to any existing building or buildings, if new floor space of # e hundred Gn" () square--feet-two thousand five hundred 2 5. 001 square feet or more is constili'led or added, ems£ t17e eastc� He •do,e-�d c,.��_:atae;:.delkrrs-($58�91kIF1); but excluding the following: a. Single family homes; b. Room additions to duplexes; c. Tenant improvements not involving a change of use; d. Facade improvements; e. Equipment covers or structures to cover equipment. (2) Tenant improvements involving an intensification or change in occupancy classification. (3) Any now a,,s ,..; , a sere-4atio*- � 4rtrg Aeade—iiii{iYB'c''F91iif'nt5,--btk '-i33Fel#drH-g--e}Yi4re}ii:n 8nd9fgretlTkEi-tPt%�F�P.n3.6'd81-81=Fejilae2H?e1i� (5) Any project that requires a discretionary approval, excluding conditional use permits for operation of eating establishments between the hours of 12:00 a.m. and 5:00 a.m. and conditional use permits for the sale of alcoholic beverages. See, 41-669. Plan approval. (a) No building permit shall be issued for any development project unless consistent with plans that have been approved for such development project in accordance with this division, except as otherwise provided in a discretionary approval. (b) in event tkat a development lnsjee q s a diseretserzary approva. B-eider-to prec€ed; ne al' on €orsuel�discret ortaapproval May be plaeed-en- +-agenda 4 75A-13 Parldn Sec. 41-1.309. Interpretation of standards. In interpreting the parking standards set forth in this article, the following rules shall govern: (1) Wherever required off-street parking is based upon gross floor area, the number of required spaces shall be determined by applying the appropriate mathematical ratio. If the product is not a whole number, the number of required spaces shall be the next lower natural member if the decimal fraction is less than five -tenths (0.5) or the next higher natural number if the decimal fraction is five -tenths (0.5) or more. Wherever required off-street parking is based upon some other factor, the number of required spaces shall be determined by the same arithmetical process. (2) Wherever two (2) or more uses identified in this article exist on the same site or within the same building: a. The number of parking spaces required for each use shall be determined separately. b. Except as provided in sections 41-1390 and 41-1391, ancillary activities or uses within a single tenant space riot exceeding fifteen (15) percent of the gross floor area shall be calculated at the parking ratio of the primary use. (3) Wherever a particular use of property can be classified under more than one (1) section of this article which sets minimum parking space requirements, the section. which contains the more specific use description shall apply. If two (2) or more equally specific sections apply, the section imposing the 'higher standard shall apply. (4) Wherever required parking is based upon the number of seats in an area, eighteen (18) inches of bench space shall be deemed the equivalent of one (1) seat. (5) Reduction itnvarking due to disabilities upgrade may ranted. When required solely as a need to upgrade existing parking facilities to comply with Americans Manager. (6) Additions of floor area up to twenty-five (25) percent of a designated 'historic resource on the Santa Ana Register of Historic Properties shall be exempt from the 75A-14 requirements of this subsection. Additional parking shall be provided only for the floor area being, added which exceeds a twenty-five (25) percent increase. 41-1309.1 Change of Use, Exceptions. Upon the change of use of an existing building, lot, or a portion of a buildin og r lot, additional parking: and loading spaces shall be provided for the new use as required by this chapter over and above the number of parking_ and loading spaces required by this chapter for the prior use only, with the following exceptions: (1) Change of use in a historic district or registered historic property. Any change of use permitted in a historic resource shall not be required to provide additional parking to that legally required prior to the change of use. (2) Change of use in a space under two thousand five hundred (2,500) square feet The oceupaney of any tenant space of less than two thousand five hundred (2,500) square feet in all zones, may be interchanged among the below land uses without the need to provide additional parking beyond that. currently pravided on -site or in covenanted off -site.. spaces. The prior use must bave been established with a valid business license and certificate of occupancy. Required parking shall be determined by the last oeeupaucy that did not use this subsection in a space under two thousand five hundred (2,500) square feet in all zones. Parking will be determined by subsection 41-1300. • Professional and administrative offices Service uses • Medical and dental offices • Restaurants/eating establishments • Retail and service activities • Live/work, spaces • Banks and financial institutions • Gvnmasiams and studios operated for commercial or public purposes DIVISION 3. - COMMERCIAL AND OFFICE STANDARDS Sec. 41-1341. - Restaurants, cafes, etc. (a) The minimum off-street parking requirements for restaurants, cafes and other eating establislunents are as follows: ten—+10) eight 8 spaces for each one thousand (1,000) square feet of gross floor area and open-air dining area except that an open-air dining area no greater than twenty-five (25) per cent of the gross 75A-15 floor area of the restaurant, or one thousand (1,000) square feet, whichever is smaller, is exempt from a parking requirement. (b) Each drive -through eating establishment shall have vehicular stacking lanes of at least eighty (80) feet from the pick-up window to the order point, and eighty (80) feet from the order point to the end of the drive -through lane. Such stacking lanes shall he located so that they do not serve as entries to parking spaces. Sec. 41-1346. Medical, dental, psychiatric and chiropractic offices and clinics. The minimum off-street parking requirements for medical, dental, psychiatric, and chiropractic offices and clinics are as follows: s *4-) five 5 spaces for each one thousand (1,000) squarc feet of gross floor area, but*r�les thna ( apftees,-. Sec. 41-1375. Exercise gyros, spas, health clubs, etc. The minimum off-street parking requirements for exercise gyrns, spas, health clubs and similar facilities are as follows: one (I) space for each twenty-eigl (2-8) one hundred and eighty 0 80) square feet of floor area devoted to ,physical activity other than racquetball or handball (exclusive of locker rooms, shower facilities, utility rooms and ancillary public areas) l�kss t�vo ar�d en®-hel€(� S}spaceser sash raeq�tetball erlrteardbakl eourt. See. 41-1411. Churches, chapels and religious meeting halls. (a) The minimum off-street parking requirements for churches, chapels and religious meeting halls are as follows: one (1) space for each three fixed seats plus one, (1) space for each fifty (501 square feet of floor area in seating areas without fixed seats. (b) For purpose of this section, "seating areas" shall include congregation seating, prayer and cry rooms, pastor and choir areas, and similar areas. 75A-16 ORDINANCE NO. NS-XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING VARIOUS SECTIONS OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE INCLUDING SECTION 41-198.13 (WIRELESS FACILITIES), SECTION 41-246 (R-2/TWO-FAMILY RESIDENCE), SECTION 41-593.4 AND 41-593.5 (SPECIFIC DEVELOPMENT/SD SITE PLAN REVIEW), SECTION 41-638.1 (MINOR EXCEPTION), SECTION 41- 639 (PLANNING COMMISSION TO MAKE FINDINGS OF FACT), SECTION 41-642 (REVIEW OF DECISION OF PLANNING COMMISSION BY CITY COUNCIL; HEARING), SECTION 41-645 (APPEALS FROM DECISIONS OF PLANNING COMMISSION AND/OR ZONING ADMINISTRATOR -GENERALLY), SECTIONS 41-668 AND 41-669 (DEVELOPMENT PROJECT APPROVAL), AND SECTIONS 41-1309, 41-1309.1, 41-1346, 41-1375 AND 41- 1411 (VARIOUS PARKING STANDARDS) THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. Various sections within Chapter 41 of the Santa Ana Municipal Code (Zoning) have been revised periodically over the last several years to respond to changes in development, to adopt new permitting procedures, and to comply with changes to state and federal laws. In a continuing effort to establish high -quality development standards and to create a user friendly environment for residents and the business community within the city, the Planning Division is proposing revisions to various sections of the Zoning Code. B. After a thorough analysis of the current code requirements in the city, staff identified a number of code amendments and additions that are necessary to ensure clear, uniform, and legally consistent regulations. The proposed changes and additions will enable the City to implement a regulatory framework that both protects the health, safety, and welfare of the city and limits undue strain on home owners, business operators and developers. Ordinance No. NS-XXXX Page 1 of 13 75A-17 C. Zoning Ordinance Amendment No. 2016-03 amends various sections in Chapter 41, including Section 41-198.13 (wireless facilities), Section 41- 246 (R-2/Two-Family Residence), Section 41-593.4 and 41-593.5 (Specific Development/SD site plan review), Section 41-638.1 (minor exception), Section 41-639 (Planning Commission to make findings of fact), Section 41-642 (review of decision of Planning Commission by City Council; hearing), Section 41-645 (appeals from decisions of Planning Commission and/or Zoning Administrator -generally), Sections 41-668 and 41-669 (development project approval), and Sections 41-1309, 41-1309.1, 41-1346, 41-1375 and 41-1411 (various parking standards). D. On March 13, 2017, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council adopt Zoning Ordinance Amendment No. 2016-03 to amend Chapter 41 of the Santa Ana Municipal Code including Section 41-198.13 (wireless facilities), Section 41-246 (R-2/Two-Family Residence), Section 41-593.4 and 41- 593.5 (Specific Development/SD site plan review), Section41-638.1 (minor exception), Section 41-639 (Planning Commission to make findings of fact), Sections 41-668 and 41-669 (development project approval), and Sections 41-1309, 41-1309.1, 41-1346, 41-1375 and 41-1411 (various parking standards). 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), and a Notice of Exemption will be filed upon adoption of this ordinance. Section 3. Section 41-198.13 (wireless facilities) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-198.13. Same -Conditional Use Permit Expiration. Each wireless communication facility approved pursuant to this article shall be approved for a period not to exceed five-(6) ten 10 years. Section 4. Section 41-246 (R-2/Two-Family Residence) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: DIVISION 4. R2 (TWO FAMILY RESIDENCE) Section 41-246. Applicability of Regulations. Ordinance No. NS-XXXX Page 2 of 13 75A-18 R-2 (two-family residence) districts are specifically subject to the regulations contained in this division, except that one -family dwellings are subject to the design and development standards set forth in Division 4 3 of this article, townhouses are subject to the design and development standards set forth in Division 6 of this article, and uses allowed under section 41-247.5 are subject to the design and development standards set forth in oivio� this article. Section 5. Sections 41-593.4 and 41-593.5 (Specific Development/SD site plan review) of Chapter 41 of the Santa Ana Municipal Code are hereby amended to read as follows: Sec. 41-593.4. Submission of Development Plans; Architectural Review. (a) Via G e--spesifis-deve4epnasnt—pl eubiqaFagraph r v.f. Any application for a permit for a building or structure in the SD District shall be accompanied or preceded by the filing with the director of planning of a specific development plan which shall be one of either of the following types: (1) A plan consisting of architectural drawings or sketches and plot plans, all to a workable scale, showing the elevation of the proposed building or structure, signs, proposed landscaping or other treatment of grounds around such building or structure, off-street parking and other physical features such as trees, hydrants, poles, and other installations, and in addition, such other plans, drawings or information as may be determined by the director of planning to be necessary to fully evaluate any requirement for a building permit; (2) A plan consisting of standards and regulations pertaining to the following: (i) The height, location, and bulk of buildings. (ii) The location, arrangement and configuration of open space and building setback; (iii) The location and design of off-street parking areas; (iv)The number, size, and location of all signs; (v) Such other regulations and standards as may be necessary to accomplish the purposes and intent of this division or to insure the proper execution of the general plan. (b) Upon receipt of a specific development plan by the director of planning, the same shall be referred to the planning eenv*ssien division for review and Ordinance No. NS-XXXX Page 3 of 13 75A-19 recommendations. The planning ssr-nrnissien division shall review said plans for the purpose of ensuring that buildings, structures, and grounds will be in keeping with the neighborhood and will not be detrimental to the harmonious development of the city or impair the desirability of investment or occupation in the neighborhood. Sec. 41-593.5. Approval of specific development plans. No permit for a building or structure shall be issued for any property subject to the provisions of this division until the following requirements have been met: (a) If the property is within a zoning district classification combined with an SD suffix, the applicant must obtain for said property a conditional use permit permitting use of the property in accordance with a specific development plan. Said conditional use permit shall be approved, conditionally approved, or denied in accordance with the provisions of Article V of this chapter. All development shall be in compliance with all conditions of approval prior to Issuance of a utility release by the director of building. (b) If the property is within an SD District, the specific development plan must be adopted by ordinance of the city. Such ordinance, in addition to adopting the specific development plan, shall specify the uses permitted on such property, together with any restrictions or conditions pertaining to such uses. 5 -9 C Section 6. Section 41-638.1 (minor exception) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-638.1. Minor Exceptions from Off -Street Parking Requirements. (a) Minor exceptions from the off-street parking regulations referenced in this section shall be subject to grant or denial by the Planning Manager Ordinance No. NS-XXXX Page 4 of 13 75A-20 based upon the standards set forth in this section and not upon the standards set forth in Section 41-638. (b) A minor exception from the requirement that required parking areas be integrated such that a vehicle need not enter a street to move from one aisle to another may be granted if: (1) The stalls in an aisle are all reserved or assigned so as to be unavailable for parking by persons permitted to park in another aisle; or (11) A parking area serves an office use and is immediately across a street or alley from It; or (iii) The parking area is wholly or partly within a structure. (c) A minor exception may be granted from the provisions of this chapter requiring each use to have its required number of off-street parking stalls to allow: (i) Two (2) or more independent uses to share required parking stalls provided no conflict will arise between parking for one use and parking for another due to differences in time of primary utilization of parking as between such uses. (ii) Any use conducted in a building which cannot reasonably be demand analysis is required at the discretion of the Planning Manager. (d) A minor exception may be granted from the off-street parking design requirements of this chapter to allow for tandem parking serving -any nGi;;,s ++,rRb e if the parking area is adequately managed by a valet service or parking management service plan. (e) No minor exceptions shall be granted under this section if the effect would be to substantially increase difficulties of vehicle maneuverability or traffic congestion. Any minor exception granted under this section may be conditioned to avoid such adverse impacts, including the condition of maintaining parking according to an approved parking site and/or management plan. Ordinance No. NS-XXXX Page 5 of 13 75A-21 Section 7. Section 41-639 (Planning Commission to make findings of fact) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-639. Planning Commission to Make Findings of Fact; Filing, Review. In granting or denying a variance, conditional use permit or minor exception, the planning commission shall make a written finding which shall specify all facts relied upon by said commission in rendering its decision and in attaching conditions and safeguards. A copy of the decision of the planning commission, together with the written finding of fact, shall be filed with the clerk of the council, with the city planning department division, and mailed to the applicant. All decisions of the planning commission may be reviewed by shall be final unless appealed to the city council as--s.,t f� 44n c�Fn' by any interested Section 8. Section 41-642 (Review of Decision of Planning Commission by City Council) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-642. - Review of decision of planning commission by city council; hearing. Upon the filing, by the planning commission, of a written finding of fact with the clerk of the council, the council may review and appeal said finding as set forth herein and in the timeframe set forth in Section 41-645(b). If the council is dissatisfied with the action of the planning commission or is of the opinion that the matter is of such magnitude as to be of special interest to the people of the City of Santa Ana it may, by majority vote, set the matter for a public hearing to be held at a regular or adjourned meeting with public notification made by the planning department as was required for the initial hearing; otherwise, all decisions of the planning commission shall be final. Section 9. Section 41-645 (Appeals from decisions Planning Commission of planning commission and/or zoning administrator -Generally) of Chapter 41 of the Santa Ana Municipal Code Is hereby amended to read as follows: Sec. 41-645. - Appeals from decisions of planning commission and/or zoning administrator -Generally. (a) An appeal from a decision or requirement of the planning commission or zoning administrator may be made by any interested party, individual or group. Ordinance No. NS-XXXX Page 6 of 13 75A-22 (b) Any appeal made under the terms of this article shall calendar days following the date of the decision by the zoning administrator. Further, said appeal period shall end calendar day following said date of the decision by the zoning administrator. If said tenth calendar day ends or holiday, the ten (10) day period shall end at 5:00 p.m. on ie made within ten (10) planning commission or at 5:00 p.m. on the tenth planning commission or a Saturday, Sunday or ie next regular business (c) All appeals shall be in writing and on forms provided by the planning department and shall specify wherein there was any error of decision or requirement by the commission or zoning administrator. Furthermore, a copy of said appeal shall be filed with the planning department and the clerk of the council. (d) Upon receipt of said appeal of the decision of the planning commission, the planning department shall set the matter for hearing by the council. In the event the matter is an appeal from a ruling by the zoning administrator, the matter shall be heard by the planning commission. (e) All appeals shall be heard in the same manner as prescribed for the original hearing. (f) Upon filing of an appeal, the planning department shall forward to the clerk of the council a copy of the written findings, maps, papers and exhibits upon which the decision of the planning commission and/or zoning administrator was based. (g) The council, or in the case of a zoning administrator appeal, the planning commission, may, after public hearing, affirm, reverse, change, modify the original decision and may make any additional determination it shall consider appropriate within the limitations imposed by this chapter. Such decision shall be filed with the clerk of the council, and the city planning department; one (1) copy thereof shall be sent to the applicant. Section 10. Sections 41-668 and 41-669 (development project approval) of Chapter 41 of the Santa Ana Municipal Code are hereby amended to read as follows: DIVISION 3. - DEVELOPMENT PROJECT PLAN APPROVAL Sec.41-668. Definitions. (a) Development project: As used in this division, the term "development project" includes any of the following projects: Ordinance No. NS-XXXX Page 7 of 13 75A-23 (1) The new construction of any building or buildings, and additions to any existing building or buildings, if new floor space of •five-hwndred-(W&)-sgUare feet -two thousand five hundred (2,500) square feet or more is constructed or added, ar—if the east of-the-werk to -be dene e» eeds fifty the��sand-dollars ($50,000.90); but excluding the following: a. Single family homes; b. Room additions to duplexes; c. Tenant improvements not involving a change of use; d. Facade improvements; e. Equipment covers or structures to cover equipment. (2) Tenant improvements involving an intensification or change in occupancy classification. (13) ^s a .a (53) Any project that requires a discretionary approval, excluding conditional use permits for operation of eating establishments between the hours of 12:00 a.m. and 5:00 a.m. and conditional use permits for the sale of alcoholic beverages. (b) Discretionary approval: As used in this division, the term "discretionary approval' means a conditional use permit, variance, minor exception, tentative map approval, change in use district designation, or similar entitlement for development, the granting of which involves the exercise of discretion, other than the plan approval process set forth in this division. (a) No building permit shall be issued for any development project unless consistent with plans that have been approved for such development project in accordance with this division, except as otherwise provided in a discretionary approval, Ordinance No. NS-XXXX Page 8 of 13 75A-24 eMUM '0 .0• ^C NOWC :,.:. Section 11. Section 41-1309 (interpretation of parking standards) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-1309, Interpretation of Standards. In interpreting the parking standards set forth in this article, the following rules shall govern: (1) Wherever required off-street parking is based upon gross floor area, the number of required spaces shall be determined by applying the appropriate mathematical ratio. If the product is not a whole number, the number of required spaces shall be the next lower natural number if the decimal fraction is less than five -tenths (0.5) or the next higher natural number if the decimal fraction is five -tenths (0.5) or more. Wherever required off-street parking is based upon some other factor, the number of required spaces shall be determined by the same arithmetical process. (2) Wherever two (2) or more uses identified in this article exist on the same site or within the same building: a. The number of parking spaces required for each use shall be determined separately. b. Except as provided in sections 4.1-1390 and 41-1391, ancillary activities or uses within a single tenant space not exceeding fifteen (15) percent of the gross floor area shall be calculated at the parking ratio of the primary use. (3) Wherever a particular use of property can be classified under more than one (1) section of this article which sets minimum parking space requirements, the section which contains the more specific use description shall apply. If two (2) or more equally specific sections apply, the section imposing the higher standard shall apply. (4) Wherever required parking is based upon the number of seats in an area, eighteen (18) inches of bench space shall be deemed the equivalent of one (1) seat. Ordinance No. NS-XXXX Page 9 of 13 75A-25 (5) the discretion of the Planning Manager. (6) Additions of floor area up to twenty-five (25) percent of a designated be provided only for the floor area being added which exceeds a twenty- five (25) percent increase. Section 12. Section 41-1309.1 (change of use/exceptions) of Chapter 41 of the Santa Ana Municipal Code is hereby added to read as follows: 41-1309.1 Change of Use. Exceptions. Upon the change of use of an existing building lot or a portion of a building or exceptions: (1) use. (2) Change of use in a space under two thousand five hundred (2 500 interchanged among the below land uses without the need to provide additional parking beyond that currently provided on -site or in covenanted off -site spaces The prior use must have been established • Professional and administrative offices Service uses Ordinance No. NS-XXXX Page 10 of 13 75A-26 • Medical and dental offices • Restaurants/eating establishments • Retail and service activities • Live/work spaces • Banks and financial institutions • Gymnasiums and studios operated for commercial or public purposes Section 13. Section 41-1341 ((parking standards for Restaurants, Cafes, etc.) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: DIVISION 3. - COMMERCIAL AND OFFICE STANDARDS Sec. 41-1341. Restaurants, cafes, etc. (a) The minimum off-street parking requirements for restaurants, cafes and other eating establishments are as follows: ten-(48) eight 8 spaces for each one thousand (1,000) square feet of gross floor area and open-air dining area except that an open-air dining area no greater than twenty-five (25) per cent of the gross floor area of the restaurant, or one thousand (1,000) square feet, whichever is smaller, is exempt from a parking requirement. (b) Each drive -through eating establishment shall have vehicular stacking lanes of at least eighty (80) feet from the pick-up window to the order point, and eighty (80) feet from the order point to the end of the drive -through lane. Such stacking lanes shall be located so that they do not serve as entries to parking spaces. Section 14. Section 41-1346 (parking standards for Medical, Dental, Psychiatric and Chiropractic Offices and Clinics) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-1346. Medical, dental, psychiatric and chiropractic offices and clinics. The minimum off-street parking requirements for medical, dental, psychiatric, and chiropractic offices and clinics are as follows: 64464 five 5 spaces for each one thousand (1,000) square feet of gross floor area.t�i+rr ne ease �s f� flare454pa4es- Ordinance No. NS-XXXX Page 11 of 13 75A-27 Section 15. Section 41-1375 (parking standards for Exercise Gyms, Spas, Health Clubs, etc.) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-1375. Exercise Gyms, Spas, Health Clubs, etc. The minimum off-street parking requirements for exercise gyms, spas, health clubs and similar facilities are as follows: one (1) space for each twe4ty-akjht (-2g) one hundred and eighty (180) square feet of floor area devoted to physical activity other than racquetball or handball (exclusive of locker rooms, shower facilities, utility rooms and ancillary public areas); plus--twe--and--ene-half%� spases-for each-racquetball-or-Indball-oo+arl. Section 16. Section 41-1411 (parking standards for churches, chapels and religious meeting halls) of Chapter 41 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41.1411. Churches, chapels and religious meeting halls. (a) The minimum off-street parking requirements for churches, chapels and religious meeting halls are as follows: one (1) space for each three (3) fixed seats, plus one (1) space for each thi+ y fi ems; fifty 50 square feet of floor area in seating areas without fixed seats. (b) For purpose of this section, "seating areas" shall include congregation seating, prayer and cry rooms, pastor and choir areas, and similar areas. Section 17. 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 2017 Ordinance No. NS-XXXX Page 12 of 13 75A-28 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 that the attached Ordinance No. NS-XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on _ , 2017 and that said ordinance was published in accordance with the Charter of the City of Santa Ana. rrM Clerk of the Council City of Santa Ana Ordinance No. NS-XXXX Page 13 of 13 75A-29 75A-30 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: PUBLIC HEARING - AMENDMENT APPLICATION NO. 2016-05 AND CONDITIONAL USE PERMIT NOS. 2016-44 AND 2017-06 TO ALLOW A CAR WASH FACILITY AND A DRIVE -THROUGH FOR THE PROJECT LOCATED AT 2603 SOUTH MAIN STREET - LEON FELUS, APPLICANT (STRATEGIC PLAN NO. 3,2) afry MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: Wil-061wo, ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2"tl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Adopt an ordinance approving Amendment Application No. 2016-05. 2. Adopt a resolution approving Conditional Use Permit No. 2016-44 as conditioned. 3. Adopt a resolution approving Conditional Use Permit No. 2017-06 as conditioned. PLANNING COMMISSION ACTION At its regular meeting on March 27, 2017, by a vote of 6:0 (Alderete absent), the Planning Commission recommended that the City Council adopt an ordinance approving Amendment Application No. 2016-05 to change the zoning from General Commercial (C-2) to Light Industrial (M-1); adopt a resolution approving Conditional Use Permit No. 2016-44 as conditioned to allow a carwash facility; and Conditional Use Permit No. 2017-06 as conditioned to allow a drive -through for a proposed restaurant located at 2603 South Main Street. The Planning Commission made no changes to the attached staff report (Exhibit A). DISCUSSION Leon Felus, representing Gardena Group Holdings LLC, is requesting approval of an amendment application to rezone property from General Commercial (C-2) to Light Industrial (M-1), and two separate conditional use permit applications to allow a service gas station with a retail convenience store, a car wash, and an eating establishment with drive -through service at 2603 South Main Street. Approving the zone change will allow for the General Plan designation and the new zoning designation to be consistent. The site is approximately 59,906 square feet (1.37- acres) in size. The central component of the project will be a new 4,064-square-foot building 75B-1 AA No. 2016-05, CUP Nos. 2016-44 & 2016-06 — Car Wash Facility and Drive -Through at 2603 South Main Street April 18, 2017 Page 2 located to the north east of the site. The building will be occupied by two separate tenant spaces: a convenience store proposing to utilize 2,000 square feet of the building, and a restaurant occupying the remaining 2,064 square feet. The service station will also consist of a 3,686-square-foot canopy located at the west of the property. Under the canopy will be a total of 12 pump stations for customers to use. Lastly, the applicant is proposing to construct a self-service, automated carwash facility and vacuum stations. The new 2,300-square-foot carwash will be located at the south of the property with the entrance located at the center of the site. The carwash facility will provide three vacuum stations for use before or after the vehicle has been washed. Full-sized site 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 #3 - Economic Development, Objectives #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. Hassan Hagh4ni, AIG Executive Director Planning & Building Agency IO:rb to\Planning Commission@603 S Main\2603 S Main Street Chevron AA-CUP.cc Exhibit: A. Planning Commission Staff Report B. Ordinance C. Resolution 75B-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: MARCH 27, 2017 TITLE: PUBLIC HEARING — FILED BY LEON FELUS FOR AMENDMENT APPLICATION NO. 2016-05 AND CONDITIONAL USE PERMIT NOS. 2016.44 AND 2017-06 TO ALLOW A CAR WASH FACILITY AND A DRIVE -THROUGH FOR THE PROJECT LOCATED AT 2603 SOUTH MAIN STREET {STRATEGIC PLAN NO. 3,2) Prepared by Ivan Orozco Executive Director.% RECOMMENDED ACTION Recommend that City Council: PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED ❑ Applicant's Request ❑ Staff Recommendation CONTINUED TO Planning .: 1. Adopt a resolution recommending that the City Council adopt an ordinance approving Amendment Application No. 2016-05. 2. Adopt a resolution approving Conditional Use Permit No. 2016-44 as conditioned (carwash facility). 3. Adopt a resolution approving Conditional Use Permit No. 2017-06 as conditioned (drive -through). Executive Summary Leon Felus, representing Gardena Group Holdings LLC, is requesting approval of an amendment application to rezone property from General Commercial (C-2) to Light Industrial (M-1), and two separate conditional use permit applications to allow a service gas station with a retail convenience store, a car wash, and an eating establishment with drive -through service at 2603 South Main Street. Staff is recommending approval of the zone change and the conditional use permits to allow the proposed construction of the various uses. Approving the zone change will allow for the General Plan designation and the new zoning designation to be consistent. Additionally, the proposed uses will provide additional services to residents, workers, and visitors in the area and will not negatively impact the surrounding community due to the site's location away from sensitive land uses and the site's proposed design. Table 1: Project and Location Information litern I Information Project Address 2603 South Main Street _ Nearest Intersection Main Street and dyer Road EXHIBIT A 75B-3 AA No. 2016-05, CUP Nos. 2016-44 & 2017-06 March 27, 2017 Page 2 Item`. Information. , General Plan Designation Industrial IND Existing Zoning Designation General Commercial C-2 Proposed Zoning Desi nation Light Industrial M-1 Surrounding Land Uses North I Commercial East Commercial South Commercial West Industrial x Pro ert Size 59,906 s uare Peet 1.37 Acres Existing_Site Development Vacant Use Permisslons/Proposed Development Service Station & Canopy: Allowed by right and limited to 2,000 square feet of floor area devoted to non -auto related uses. Restaurant with drive -through window service: The restaurant use is allowed by right; however, the drive -through window service requires approval of a CUP. Automated car wash: The car wash facility requires approval of a CUP. Zoning Code Sections Affected Uses Section 41-472 & 41-472.5 SAMC Development Standards Section 41-374 & 41-474 SAMC Project Description The project includes construction of a service station, car wash, and restaurant with a drive -through lane. The central component of the project will be a new 4,064-square-foot building located to the north east of the site. The building will be occupied by two separate tenant spaces: a convenience store proposing to utilize 2,000 square feet of the building, and a restaurant occupying the remaining 2,064 square feet, The service station will also consist of a 3,686-square-font canopy located at the west of the property. Under the canopy will be a total of 12 pump stations for customers to use. The proposed restaurant will be located within a 2,064-square-foot tenant space. The restaurant space will provide a full -service kitchen and seating area, which allows for a variety of different food related tenants. The restaurant is also proposing to provide a drive -through facility as part of the daily operations. The drive -through is designed to wrap around the entire building, with the entrance of the drive -through at the south of the building traveling up and around the east elevation until it exits towards the project site's Goetz Avenue driveway. Lastly, the applicant is proposing to construct a self-service, automated carwash facility and vacuum stations. The new 2,300-square-foot carwash will be located at the south of the property with the entrance located at the center of the site. The carwash facility will provide three vacuum stations for use before or after the vehicle has been washed. The design and amenities of the car wash will 75B-4 AA No. 2016-05, CUP Nos. 2016-44 & 2017-06 March 27, 2017 Page 3 provide patrons a full -service wash in a small and quick service automated facility. The architecture of the building is proposed to complement that of the restaurant and convenience store. Special consideration has been taken to provide a higher level of materials for the building and the roll -up doors. The landscaping for the site will be reviewed to meet all City of Santa Ana Landscaping requirements at the time of Building plan check. Tables 2A and 2B provide a detailed comparison of the project's compliance with the applicable land use and development standards. Table 2A: Land Use Standards Light Industrial (M1) (SAMC Sec. 41-471) Proposed Land Use Permit Requirements Restaurant Allowed by Right Drive -through Service for Restaurant Conditional Use Permit Carwash Conditional Use Permit Service station and Store Allowed by right (Convenience store is limited to 2,000 square feet) 24hr Operation of service station Allowed b Ri ht 24nr C eration of satin establishment Allowed b Right Table 28: Development Standards —Light Industrial (M1) (SAMC Sec. 41-474 through 41.481) Standard Re aired b SAMC Provided Lot Size Minimum 12,000 Square Feet Complies; 59,549 Square Feet Complies; 715 Feet (project has frontage Street Frontage Minimum 100 Feet on Main Street, Goetz Avenue, and C ress Avenue) Building Height Not to exceed 35 Feet Complies; Less than 22 Feet Landscape Buffer 20 Feet on Main/10 Feet on Complies Goetz and Cypress Parking Required: 32 spaces and 3 _ Complies; 32 spaces and 3 vacuum vacuum spaces spaces F.A.R. Not to exceed 0.45 FAR Complies; 0.17 FAR Signage Not required Freestanding and wall signs (deferred submittals) Stacking Distance (drive- 80 Feet Complies; 80 Feet #nrou h Driveway Width (service 35 feet maximum _ Complies; 32 Feet station 75B-5 AA No. 2016-05, CUP Nos. 2016-44 & 2017-06 March 27, 2017 Page 4 Light industrial (M1) (SAMC Sec. 41-474 through 41-481) — Standard Required by SAMC Provided _ _ Landscaping Buffer (service _ 5 Foot landscape yard along Complies, 5 foot landscape yard station) the rear/side lot line Landscaping Adjacent to Requires landscape berm Complies Street Protect Background and Chronoloay The property was formerly improved with a laundry and dry cleaning business that was constructed in 1948. Through the years, the building underwent several modifications until 1991 when a demolition permit was issued and the lot was cleared. In February 2015, the applicant submitted plans to develop the site with a new service station, restaurant, and a carwash. The project was reviewed by the Development Review Committee (DRC) where it was determined that the drive - through service lane and the car wash facility would require approval of conditional use permits. Project Analysis The Light Industrial (M-1) zoning designation allows for a variety of uses by right, as long as those uses meet the SAMC parking requirements. The project site is proposing to construct several of those uses, including a service station and restaurant. Pursuant to the SAMC, up to 2,000 square feet of product sales retail square footage can be devoted to non -auto related services as part of the service station. The proposed service station and its retail store comply with this 2,000-square-foot limitation. Although the site is considered a multi -tenant industrial site and all of the uses are complimentary to the other, each of the uses proposed on the property is independent from the other. The convenience store and restaurant are not connected or require the other to operate. Amendment Application The existing zoning designation of the property is General Commercial (C-2); the C-2 zoning designation is inconsistent with the General Plan land use designation of Industrial (IND). Because the project proposes developing several commercial uses that require approval of discretionary actions, the zoning designation and General Plan land use designations must be made consistent with each other. The C-2 zone and the Light Industrial (M-1) zone allow for a restaurant use, service station, and carwash; however, some of the uses require discretionary approval of a conditional use permit (CUP). In order to approve a CUP, the General Plan Land Use designation and the zoning designation must be made consistent. In addition to the subject property, the General Plan land use designation for the vicinity Is Industrial (IND) and the majority of the properties in the area are already zoned Light Industrial (M-1) with the exception of several properties south of the subject site. Those properties are zoned C-2 and will need to be modified through a General Plan land use designation and rezoning clean-up effort. 75B-6 AA No. 2016-05, CUP Nos. 2016-44 & 2017-06 March 27, 2017 Page 5 Conditional Use Permit (Carwash The applicant's request for a conditional use permit (CUP) to allow an automated carwash will create an additional amenity for the property and the area. The carwash facility is designed to be operated with minimal supervision as the tunnel and three vacuum stations are intended for self -operation. The facility is also designed and located so as to generate minimal noise and traffic impacts to the surrounding land uses. The entrance to the facility is located at the center of the site with sufficient stacking space as to minimize any potential traffic generated on -site, as well as providing sufficient distance from the entrance of the carwash to the pay station. The stacking distance that is proposed for the car wash not only meets all minimum City required distances but also wraps around the car wash building and away from other on -site circulation. Currently, there are no residential uses in the near vicinity; the surrounding land uses are commercial or industrial. Conditions of approval have been added to ensure that sound does not become a nuisance to the neighboring properties. In addition, to minimize the noise and potential traffic, staff has conditioned the proposed hours of operation from 7:00 a.m. to 8:00 p.m. Conditional Use Permit (Drive-throuah The applicant's request for a conditional use permit to allow a drive -through facility for the restaurant will allow the proposed restaurant to provide an added amenity to the property, the employees who work In the close vicinity, and the residents who live in the general area. Allowing the restaurant to have a drive -through window will provide a service that will help promote economic development to the area which will contribute to the general well-being of the neighborhood and the community. The drive - through is designed and intended to generate the least amount of impact for the on -site and off -site circulation. Since the drive -through lane goes through the rear of the property, it will produce minimal Visual impact onto Main Street and will allow vehicles to flow through the additional driveways on Goetz and Cypress Avenues. Additionally, the drive -through is intended to minimize any possible stacking issues on any of the streets. The drive -through is also designed to generate minimal noise impacts; the speaker boxes and the order menu are both located at the center on the site and directed towards the parking area. Any potential noise generated from the idling of vehicles or the drive -through order equipment is anticipated to blend into the surrounding industrial and commercial uses in the vicinity, thus lessening any potential impacts on the neighborhood. The proposed drive -through has met all the Design Review Committee requirements which include landscaping berms and pedestrian walkways. These design requirements will ensure that the drive -through facility does not negatively impact the uses on the site, the neighboring properties, or the vehicular or pedestrian circulation in the area and will not be detrimental to the health, safety, and welfare of the residents or persons working in the vicinity. 75B-7 AA No. 2016-05, CUP Nos, 2016-44 & 2017-06 March 27, 2017 Page 6 Table 3: CEQA, Strategic Plan Alignment, and Public Notification & Community Outreach CEQA; Strategic Plan„Alignment and Public Notification & Cornmunit` Outreach CEQA CEQA T e Class 3 Section 15303) Document Type Cate orical Exern tion (ER No. 2015-15) Class 3 exemptions apply to new construction, The subject project is limited to less Reason(s) Exempt than 10,000 square feet on new commercial buildings in an urbanized area. Additionally, it has been identified that the development of the site will not adversely or Analysis impact the environment, any designated scenic highways, or sites which have been identified to contain hazardous waste. _Strafe iC.Rlat Ali nment Goal(s), Policy or 3, 2 (create new opportunities for business/job growth and encourage private Policies development through new General Plan and Zon ng Ordinancepolicies) Ndtlficatia`n,& Community Outr•®aeh ,Public , s .`;.,: Site posting A public noticed was posted on the project site on March 3, 2017. Notification by mail was mailed to all property owners and Required Measures Notification by mail occupants within 500 feet of the project site on March 3, 2017. Newspaper posting Newspaper posting was published in the Orange County Reporter on March 3, 2017. The Delhi Neighborhood Association chairpersons were contacted by phone 10 days Additional Measures prior to the public hearing. At the time this report was printed, no issues of concern were raised regarding this a lication. Lased on the analysis provided within this report, staff recommends that the Planning Commission recommend that the City Council approve Amendment Application No. 2016-05, Conditional Use Permit No. 2016-44 as -conditioned, and Conditional Use Permit No. 2017-07 as conditioned. Ivan Orozco `W' t/ Assistant Planner II IO:jm IoTlanning Commisslon12003 S Maln\2303 S Main Street Chevron AA-CUP.pc 75B-8 AA No. 2016-05, CUP Nos, 2016-44 & 2017-06 March 27, 2017 Page 7 Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Land Use Map Exhibit 3 — Proposed Sectional District Map Exhibit 4 — Site Photo Exhibit 5 -- Site Plan Exhibit 6 — Technical Site Plan Exhibit 7 -- Restaurant and Convenience Store Elevations Exhibit 8 — Car Wash Elevations Exhibit 9 — Service Station Canopy Elevations 75B-9 I C9 . 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INDUSTRIAL INDUSTRIAL INDUSTRIAL GOETZ AVENUE F- LU w cc SITE > INDUSTRIAL. `n INDUSTRIAL w rc INDUSTRIAL a r v INDUSTRIAL Z INDUSTRIAL AA 2016-05/CUP 2016-44• & CUP 2017-06 CHEVRON SERVICE STATION, CARWASH & r` RESTAURANT DRIVE THRU 2603 SOUTH MAIN STREET P L A N N I N G A N D 6 U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 75B-11 1 ° W)A77R((ILF1�R A4 § ° AV WARNM ! ��11■ii6 Emil wl-W; y! Q �r it qq e g V Y r a ) �t o g A » l um . 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Gi htiYfE84V.GflNRVE#SI:V. N 4'#SR?2tliSi.;AI OP APE9IFlLPL:ti �i �' )ev>�rwa�a�,u+m i f1# CCP%i5iC.41LR£34X_alilAL PCL+. iP6MM1=4 G]IAIAURFiYC£l'EdiWtiflCIT .` Nye. <.1!_..._ Y 1��—� p .11fA 1Y.1 � I 1 1 1 I I I I I I I aaa}mvn A,M1WA 4Y T:TY1 b 4'M1l r -� -� �.I+'f AM.Y u� TT-1-TT T- TITT �iNKRi iE ,1. I �A (�) 4 - CITY OF SANTAAWA. CALIFORNIA i4 .. PREPARSO BY TWE PLAMNING DIVISION 75B-12 � y !r � i' 4+ l 1. :Yl s nrt f� 3 [ P� 3 Ctt �, xh�� {�*'i�t' ' 4� I i� 15 'iVg �1t 1 RAP �.f F{'Si 2 Th. fs4 31� East and West Elevations North and South Elevations 3D perspective Service Station Fueling Canopy 75B-18 LS O4.18.17 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AMENDMENT APPLICATION NO. 2016-05 REZONING THE PROPERTY LOCATED AT 2603 SOUTH MAIN STREET FROM GENERAL COMMERCIAL (C-2) TO LIGHT INDUSTRIAL (M-1) (AA NO. 2016-05) THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. Amendment Application No. 2016-05 has been filed to change the zoning designation of the parcel located at 2603 South Main Street from General Commercial (C-2) to the Light Industrial (M-1) zoning designation. B. On March 27, 2017, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council: Adopt an ordinance approving Amendment Application No. 2016-05 for the property located at 2603 South Main Street, 2. Approve a conditional use permit as conditioned (No. 2016-44) to permit a carwash facility and conditional use permit as conditioned (No. 2017-06) to permit a drive -through service window at 2603 South Main Street, C. The zoning designation of the Light Industrial (M-1) will allow the subject site approval of applications for conditional use permits to allow the development of a carwash facility and a drive -through window service by bringing the rezoned property into consistency with the General Plan land use designation of Industrial (IND). D. The City Council has reviewed applicable general plan policies and has determined that this proposed rezoning is consistent with the purpose of the general plan. E. The City Council, prior to taking action on this ordinance, held a duly noticed public hearing on April 18, 2017. F. The City Council also adopts as findings all facts presented in the Request for Council Action dated April 18, 2017 accompanying this matter. Exhibit B Ordinance No. NS-XXXX Page 1 of 3 75B-19 G. For these reasons, and each of them, Amendment Application No. 2016- 05 is hereby found and determined to be consistent with the intent and purpose of Chapter 41 of the Santa Ana Municipal Code, thus changing the zoning district is found to be consistent with the General Plan of the City of Santa Ana and otherwise justified by the public necessity, convenience, and general welfare. Section 2. In accordance with the California Environmental Quality Act (CEQA) the recommended action is exempt from CEQA per Section 15303. This Class 3 exemption allows small construction projects or buildings in urban areas up to 10,000 square feet in size, not involving the use of significant amount of hazardous substances where all necessary public services and facilities are available. The cumulative impact of this project will not be significant as the use will be complimentary with the nearby commercial uses in the area. Additionally, it has been identified that the development of the site will not adversely impact the environment, any designated scenic highways, or sites which have been identified to contain hazardous waste. Additionally, it was evaluated that the proposed uses for the site are consistent with both the General Commercial (C-2) and the Light Industrial (M-1) zoning designation. The amendment application to change the existing zoning designation to the Light Industrial (M-1) zone is intended to provide consistency with the General Plan of the city. Categorical Exemption Environmental Review No. 2015-15 will be filed for this project. 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 sole negligence of the City of Santa Ana. Section 4. The City Council of the City of Santa Ana hereby adopts an ordinance rezoning the real property located at 2603 South Main Street from General Commercial (C-2) to Light Industrial (M-1), (AA No. 2016-05). Amended Sectional District Map number 30-5-9 showing the above described change in use district designation, is attached hereto as Exhibit "1" and incorporated by this reference as though fully set forth herein. This decision is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Council Action dated April 18, 2017, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this day of , 201 T Miguel A. Pulido Mayor Ordinance No. NS-XXXX Page 2 of 3 75B-20 APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By:—tLGJe,�r c / 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- to be the original ordinance adopted by the City Council of the City of Santa Ana on , 2017 and that said ordinance was published in accordance with the Charter of the City of Santa Ana. mom Clerk of the Council City of Santa Ana Ordinance No. NS-XXXX Page 3 of 3 75B-21 TONING DISTRICTS Al GENERAL AGRICULTURAL CSM SOUTH MAIN STREET COMMERCIAL DIST. R2 TWO- FAMILY RESIDENCE -E PARKING MODIFICATION C1 COMMUNRYCOMMERCNL GC GOVERNMENTCENTER R3 MULTIPLE -FAMILY RESIDENCE -OZ OVERLAYZONE C1MO COMMUNITY COMMERCIAL-MUSEUMDIST. MI LIGHTINDLISTRIAL R4 SUBURBAN APARTMENT .FRD PLANNED RESIDENTIAL C2 GENERAL COMMERCIAL M2 HEAVY INDUSTRIAL RE RESIDENTIAL ESTATE DEVELOPMENT C4 PLANNED SHOPPING CENTER 0 OPENSPACE SD SPECIFIC DEVELOPMENT HD2 HEIGHTDISTRICTII C5 ARTERIAL COMMERCIAL P PROFESSIONAL SP SPECIFIGPLAN OR COMMERCIALRESIDENTIAL RI SINGLE-FAMILY RESIDENCE SECTIONAL DISTRICT MAP 30-5-9 41) CITY OF SANTA ANA. CALIFORNIA Exhibit: 1 75B-22 LS O4.18.17 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AMENDMENT APPLICATION NO. 2016-05 REZONING THE PROPERTY LOCATED AT 2603 SOUTH MAIN STREET FROM GENERAL COMMERCIAL (C-2) TO LIGHT INDUSTRIAL (M-1) (AA NO. 2016-05) THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. Amendment Application No. 2016-05 has been filed to change the zoning designation of the parcel located at 2603 South Main Street from General Commercial (C-2) to the Light Industrial (M-1) zoning designation. B. On March 27, 2017, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council: 1. Adopt an ordinance approving Amendment Application No. 2016-05 for the property located at 2603 South Main Street, 2. Approve a conditional use permit as conditioned (No. 2016-44) to permit a carwash facility and conditional use permit as conditioned (No. 2017-06) to permit a drive -through service window at 2603 South Main Street. C. The zoning designation of the Light Industrial (M-1) will allow the subject site approval of applications for conditional use permits to allow the development of a carwash facility and a drive -through window service by bringing the rezoned property into consistency with the General Plan land use designation of Industrial (IND). D. The City Council has reviewed applicable general plan policies and has determined that this proposed rezoning is consistent with the purpose of the general plan. E. The City Council, prior to taking action on this ordinance, held a duly noticed public hearing on April 18, 2017. F. The City Council also adopts as findings all facts presented in the Request for Council Action dated April 18, 2017 accompanying this matter. Ordinance No. NS-XXXX Page 1 of 3 75B-23 G. For these reasons, and each of them, Amendment Application No. 2016- 05 is hereby found and determined to be consistent with the intent and purpose of Chapter 41 of the Santa Ana Municipal Code, thus changing the zoning district is found to be consistent with the General Plan of the City of Santa Ana and otherwise justified by the public necessity, convenience, and general welfare. Section 2. In accordance with the California Environmental Quality Act (CEQA) the recommended action is exempt from CEQA per Section 15303. This Class 3 exemption allows small construction projects or buildings in urban areas up to 10,000 square feet in size, not involving the use of significant amount of hazardous substances where all necessary public services and facilities are available. The cumulative impact of this project will not be significant as the use will be complimentary with the nearby commercial uses in the area. Additionally, it has been identified that the development of the site will not adversely impact the environment, any designated scenic highways, or sites which have been identified to contain hazardous waste. Additionally, it was evaluated that the proposed uses for the site are consistent with both the General Commercial (C-2) and the Light Industrial (M-1) zoning designation. The amendment application to change the existing zoning designation to the Light Industrial (M-1) zone is intended to provide consistency with the General Plan of the city. Categorical Exemption Environmental Review No. 2016-15 will be filed for this project. 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 sole negligence of the City of Santa Ana. Section 4. The City Council of the City of Santa Ana hereby adopts an ordinance rezoning the real property located at 2603 South Main Street from General Commercial (C-2) to Light Industrial (M-1), (AA No. 2016-05), Amended Sectional District Map number 30-5-9 showing the above described change in use district designation, is attached hereto as Exhibit "1" and incorporated by this reference as though fully set forth herein. This decision is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Council Action dated April 18, 2017, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this day of , 2017. Miguel A. Pulido Mayor Ordinance No. NS-XXXX Page 2 of 3 75B-24 APPROVED AS TO FORM: Sonia R. 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- to be the original ordinance adopted by the City Council of the City of Santa Ana on , 2017 and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Clerk of the Council City of Santa Ana Ordinance No. NS-XXXX Page 3 of 3 75B-25 - � ,[p Ngpwdo a10 x1 9f� REfN I � �L oR M1 m IP1 aE z C, M, fn ill M, R] RE' O y P RE RE ' a CE C¢H,vnL PV U j RI q " 0 - ♦ R AP Q eP ys`dv <z o Rz o a J, om MI VID-1 CE 111 OIEPONCS r4 y SmxP4H DYER RD n NCE n -j - MI e x `UtlNs9., tl RSe,uNexe 3 � a Na CR Pf n,rnvv �� ;av Rl AtF} OIV i ` 3L LLL ] d [gU,PSMe xv .. i— SCSY_N4tli�' ]i[ AV q % _ — THUR B0 LV MACAR Cs Role♦. % °p :I \ MIS ZONING DISTRICTS P Al GENERAL AGRICULTURAL CSM SOUTH MAIN STREET COMMERCIAL DIST. R2 TWO-FAMLYRESIDENCE -B PARKING MODIFICATION Ci COMMUNRYCOMMERCIAL GC GOVERNMENTCENTER R3 MULTIPLE -FAMILY RESIDENCE -OZ OVERLAY ZONE CIMD COMMUNRYCOMMERCIAL MUSEUMDIST. Ml LIGHTNDUSTRAL R4 SUBURBAN APARTMENT PLANNED RESIDENTIAL C2 GENERAL COMMERCA L M2 HEAVY INDUSTRIAL RE RESIDENTIAL ESTATE PRO DEVELOPMENT C4 PLANNED SHOPPING CENTER 0 OPEN SPACE SO SPECFICDEVELOPMENT -H02 HFJGHTDISTRICTU C5 ARTERAL COMMERCIAL P PROFESSIONAL SP $PECFICPLAN CR COMMERCIAL RESIDENTIAL R1 SINGLE-FAMILY RESIDENCE SECTIONAL DISTRICT MAP: 30-5-9 e CITY OF SANTA ANA. CALIFORNIA Exhibit: 1 75B-26 LS 03.27.17 RESOLUTION NO. 2017-09 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA RECOMMENDING THAT THE CITY COUNCIL ADOPT AN ORDINANCE CHANGING THE ZONING DISTRICT OF THE PROPERTY LOCATED AT 2603 SOUTH MAIN STREET FROM GENERAL COMMERCIAL (C-2) TO LIGHT INDUSTRIAL (M-1) (AA NO. 2016-05) 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. Amendment Application No.2016-05 has been filed to change the zoning designation of the parcel located at 2603 South Main Street from General Commercial (C-2) to the Light Industrial (M-1) zoning designation. B. On March 27, 2017, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council: 1. Adopt an ordinance approving Amendment Application No. 2016-05 for the property located at 2603 South Main Street. 2. Approve a conditional use permit as conditioned (No. 2016-44) to permit a carwash facility and conditional use permit as conditioned (No. 2017-06) to permit a drive -through service window at 2603 South Main Street. C. The zoning designation of the Light Industrial (M-1) will allow the subject site approval of applications for conditional use permits to allow the development of a carwash facility and a drive -through window service by bringing the rezoned property into consistency with the General Plan land use designation of Industrial (IND). D. The Planning Commission has reviewed applicable general plan policies and has determined that this proposed rezoning is consistent with the purpose of the general plan. E. For these reasons, and each of them, Amendment Application No. 2016- 05 is hereby found and determined to be consistent with the intent and purpose of Chapter 41 of the Santa Ana Municipal Code, thus changing the zoning district is found to be consistent with the General Plan of the Exhibit C Resolution No. 2017-09 Page 1 of 3 75B-27 City of Santa Ana and otherwise justified by the public necessity, convenience, and general welfare. Section 2. In accordance with the California Environmental Quality Act (CEQA) the recommended action is exempt from CEQA per Section 15303. This Class 3 exemption allows small construction projects or buildings in urban areas up to 10,000 square feet in size, not involving the use of significant amount of hazardous substances where all necessary public services and facilities are available. The cumulative impact of this project will not be significant as the use will be complimentary with the nearby commercial uses in the area. Additionally, it has been identified that the development of the site will not adversely impact the environment, any designated scenic highways, or sites which have been identified to contain hazardous waste. Additionally, it was evaluated that the proposed uses for the site are consistent with both the General Commercial (C-2) and the Light Industrial (M-1) zoning designation. The amendment application to change the existing zoning designation to the Light Industrial (M-1) zone is intended to provide consistency with the General Plan of the city. Categorical Exemption Environmental Review No. 2015-15 will be filed for this project. 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 sole negligence of the City of Santa Ana. Section 4. The Planning Commission of the City of Santa Ana recommends that the City Council adopt an ordinance rezoning the real property located at 2603 South Main Street from General Commercial (C-2) to Light Industrial (M-1), (AA No. 2016- 05) Amended Sectional District Map number 30-5-9 showing the above described change in use district designation, is hereby attached hereto as Exhibit " 9" and incorporated by this reference as though fully set forth herein. This recommendation is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Planning Commission Action dated March 27, 2017, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2017-09 Page 2 of 3 75B-28 ADOPTED this day of March, 2017. AYES: Commissioners: BACERRA, CONTRERAS-LEO, MCCLOUGHLIN, MENDOZA, NGUYEN, VERINO (6) NOES: Commissioners: ABSENT: Commissioners: ALDERETE (1) Lynnette Verino Chairperson APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Bv: Lisa Storck Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Sarah Bernal, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2017-09 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on March _, 2017. Date: Recording Secretary City of Santa Ana Resolution No. 2017-09 Page 3 of 3 75B-29 LS 3.27.17 RESOLUTION NO. 2017-10 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA TO RECOMMEND APPROVAL OF CONDITIONAL USE PERMIT NO. 2016-44 AS CONDITIONED TO ALLOW A CARWASH FACILITY, AND CONDITIONAL USE PERMIT NO. 2017-06 AS CONDITIONED, TO ALLOW A RESTAURANT WITH DRIVE -THROUGH WINDOW SERVICE FOR THE PROPERTY LOCATED AT 2603 SOUTH MAIN 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. Applicant is requesting approval of Conditional Use Permit (CUP) Nos. 2016-44 and 2017-06 to allow a carwash facility and a restaurant with drive -through service for the property located at 2603 South Main Street. B. On March 27, 2017, the Planning Commission held a duly noticed public hearing on Conditional Use Permit Nos. 2016-44 and 2017-06. C. The Planning Commission determines that for Conditional Use Permit No. 2016-44 (carwash facility), the following findings, which must be established pursuant to Santa Ana Municipal Code (SAMC) Section 41- 638 have been established: 1. That the proposed use will provide a service or facility which will contribute to the general well-being of the neighborhood or the community. The proposed carwash facility will provide an amenity to the neighborhood and surrounding community by allowing customers the opportunity to pump gas, purchase a variety of products, and wash their vehicles in one location. The carwash facility will be the only one in the vicinity. Conditions of approval will be added that are applicable to the daily operation of the carwash facility to ensure that the use will not negatively affect the surrounding community. 2. That the proposed use under the circumstances of the particular case will not be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. Resolution No. 2017-10 Page 1 of 7 75B-30 The proposed carwash facility has been designed to reduce any potential negative impacts to the health, safety, and general welfare of the residents, workers, or visitors to the site. Construction requirements for the structure and overall layout and access to the facility will reduce any potential negative or adverse impacts created by the use. This is primarily an ancillary amenity to the service station and therefore will not be frequented or utilized for extended periods of time. In addition the hours of operation that are proposed for the carwash are between 7:00 am to 8:00 pm daily. 3. That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. The proposed carwash will create an additional place of business and amenity for the project site. Offering the ancillary service of a carwash will attract additional customers to the site which will take advantage of the other uses such as the service station and restaurant. The additional source of income to the site will not adversely affect the economic stability of the area, but will instead promote a higher business activity in the area and the site which currently sits vacant and has done so for a number of years. 4. That the proposed use shall comply with the regulations and conditions specified in Chapter 41 for such use. The proposed project will be in compliance with all applicable regulations and conditions imposed on a commercial carwash facility pursuant to Chapter 41 of the Santa Ana Municipal Code. The facility will be maintained as a self-service automated carwash facility providing the necessary tools to service a vehicle that any carwash facility provides. In addition to the amenities that the carwash will provide, the carwash will provide all the necessary stacking distances to help mitigate any potential traffic impacts on and off the site. The proposed hours of operation will allow the facility to conform to the SAMC noise standards and regulations. 5. That the proposed use will not adversely affect the General Plan or any specific plan of the City. The proposed use will not adversely affect the General Plan. The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate Resolution No. 2017-10 Page 2 of 7 75B-31 the City's needs for goods and services. Providing an additional amenity on the site allows for Santa Ana residents and visitors, especially those in the industrial area to have options to needed uses in the close proximity that are currently not available. Furthermore, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. The project has gone through the Design Review Committee and been approved as it is proposed. Additional design and construction requirements will guarantee that the site maintains a safe and attractive environment in Santa Ana. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The service station and ancillary carwash will be located in a commercial/industrial area and its operation will be compatible with the surrounding commercial and industrial businesses. D. The Planning Commission determines that for Conditional Use Permit No. 2017-06 (drive -through window service), the following findings, which must be established pursuant to Santa Ana Municipal Code Section 41-638 have been established: 1. That the proposed use will provide a service or facility that will contribute to the general well-being of the neighborhood or the community. The proposed restaurant establishment with drive -through window service will provide an additional service to the community and the project site. The restaurant establishment with drive -through window service is a use that is supportive of the primary commercial and industrial uses in the area. The use will provide dining opportunities to the residents and workers in the immediate vicinity by providing options for patronage. 2. That the proposed use under the circumstances of the particular case will not be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. The proposed drive -through service for the restaurant use will not be detrimental to the persons residing or working in the vicinity because the drive -through service lane and window have been designed to minimize any potential impacts to vehicles traveling along Main Street as the internal stacking area has been designed to meet the minimum standards required by Santa Ana Municipal Code. Furthermore, landscaping requirements have been Resolution No. 2017-10 Page 3 of 7 75B-32 incorporated to the design of the drive -through such as providing a berm to the landscape buffer in order to minimize potential adverse impacts from occurring on the premises. The drive -through lane as proposed will be located at the rear of the property closer to Cypress Avenue, which is a less -traveled roadway, thus reducing any potential queuing impacts. This design condition will help mitigate any potential traffic issues related to drive -through service windows. 3. That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. The new restaurant and proposed drive -through window service will not adversely affect the economic stability of the area but will make a positive contribution to the surrounding area. The project will provide a well -maintained and operated service to the community and will complement and improve the economic viability of the area as the proposed restaurant with drive -through window service will include an overall improvement to the property and streetscape including new on -site landscaping and architecture, helping revitalize the area. 4. That the proposed use shall comply with the regulations and conditions specified in Chapter 41 for such use. The proposed drive -through window service will be in compliance with all applicable regulations and provisions of Chapter 41 of the Santa Ana Municipal Code and all other provisions that are applicable to a restaurant use that provides a drive -through window service. The entire property will be developed to meet all applicable regulations and provisions of the SAMC. Each independent use proposed will be designed to operate in conformance to all SAMC standards and the site will act as a one -stop -shop for residents, workers, and visitors to the area. The drive - through window service has been approved through the City's Development Review Committee (DRC) and meets all development standards of the SAMC. 5. That the proposed use will not adversely affect the General Plan or any specific plan of the City. The proposed use will not adversely affect the General Plan. The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing an additional amenity in the form of a drive -through window Resolution No. 2017-10 Page 4 of 7 75B-33 service for a new restaurant encourages and promotes development of services important to the residents and workers in the area. Furthermore, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Design comments have been addressed to help make the proposed drive - through window service a safe and attractive amenity to the restaurant and the site. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The drive -through window service being provided for the new restaurant will assist in addressing the needs of dining services to those working in the immediate area and will provide employment opportunities to the residents that live in the area. E. In accordance with the California Environmental Quality Act (CEQA) the recommended action is exempt from CEQA per Section 15303. This Class 3 exemption allows small construction projects or buildings in urban areas up to 10,000 square feet in size, not involving the use of significant amount of hazardous substances where all necessary public services and facilities are available. The cumulative impact of this project will not be significant as the use will be complementary with the nearby commercial uses in the area. Additionally, it has been identified that the development of the site will not adversely impact the environment, any designated scenic highways, or sites which have been identified to contain hazardous waste. Categorical Exemption Environmental Review No. 2015-15 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 sole 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 Conditional Use Permit No. 2016-44 and 2017-06 as conditioned in Exhibit A, attached hereto and incorporated herein. This decision is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Planning Commission Action dated March 27, 2017, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2017-10 Page 5 of 7 75B-34 ADOPTED this day of March, 2017. AYES: Commissioners: BACERRA, CONTRERAS-LEO, MCCLOUGHLIN, MENDOZA, NGUYEN, VERINO (6) NOES: Commissioners: ABSENT: Commissioners: ALDERETE (1) ABSTENTIONS: Commissioners: Lynnette Verino Chairperson APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa Storck Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Sarah Bernal, Commission Secretary, do hereby attest to and certify the attached Resolution No. 2017-10 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on March _, 2017. Date: Recording Secretary City of Santa Ana Resolution No. 2017-10 Page 6 of 7 75B-35 EXHIBIT A Conditions for Approval (CUP No. 2016-44 and CUP No. 2017-06) Conditional Use Permit No. 2016-44 (carwash facility) and Conditional Use Permit No. 2017-06 (drive -through window service) are 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 prior to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit application. 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-2015-07. 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 if the conditional use permit must be amended. The Applicant must submit detailed landscape plans at the time of submittal into Building plan check. The landscape plan shall incorporate features to conceal or improve aesthetics of the site such as decorative vines for walls and trash enclosures as well as meet the requirements of section 10.4.5 of the City of Santa Ana Citywide Design Guidelines and Santa Ana Municipal Code Section 41-477. The landscape plan must be approved prior to issuance of a building permit. The Applicant must provide noise reduction measures to be constructed into the design of the carwash building. Said sound proofing barriers shall reduce the noise levels leading out of the carwash facility. These construction and noise measures will be included as part of the construction drawing that is submitted into plan check. 5. The hours of operation for the carwash facility will be scheduled from 7:00 a.m. to 8:00 p.m. daily. 6. Fuel delivery shall be limited to the hours of 8:00 p.m. and 6:00 a.m. daily. Resolution No. 2017-10 Page 7 of 7 75B-36 ZONING DISTRICTS Al GENERAL AGRICULTURAL CSM SOUTH MAIN STREETCOMMERCIAL DIST. R2 TWO- FAMILY RESIDENCE -B PARKING MODIFICATION Cl COMMUNITY COMMERCIAL GC GOVERNMENT CENTER R3 MULTIPLE- FAMILY RESIDENCE -OZ OVERLAY ZONE CiMD COMMUNITY COMMERCIAL - MUSEUM DIST. MI LIGHT INDUSTRIAL R4 SUBURBAN APARTMENT PLANNED RESIDENTIAL 02 GENERAL COMMERCIAL M2 HEAVY INDUSTRIAL RE RESIDENTIAL ESTATE PRD DEVELOPMENT C4 PLANNED SHOPPING CENTER 0 OPEN SPACE SD SPECIFIC DEVELOPMENT -H02 HEIGHT DISTRICTII C5 ARTERIAL COMMERCIAL P PROFESSIONAL SP SPECIFIC PLAN CR COMMERCIAL RESIDENTIAL Ri SINGLE-FAMILY RESIDENCE SECTIONAL DISTRICT MAP: 30-5-9 CITY OF SANTA ANA, CALIFORNIA Exhibit: 1 75B-37 75B-38 LS 4.18.17 RESOLUTION NO. 2017-xx A RESOLUTION OF THE CITY COUNCIL APPROVING CONDITIONAL USE PERMIT NO, 2016-44 AS CONDITIONED TO ALLOW A CARWASH FACILITY, AND CONDITIONAL USE PERMIT NO, 2017-06 AS CONDITIONED, TO ALLOW A RESTAURANT WITH DRIVE -THROUGH WINDOW SERVICE FOR THE PROPERTY LOCATED AT 2603 SOUTH MAIN STREET BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. Conditional Use Permit (CUP) Nos. 2016-44 and 2017-06 have been filed to allow a carwash facility and a restaurant with drive -through service for the property located at 2603 South Main Street. B. On March 27, 2017, the Planning Commission held a duly noticed public hearing and voted to approve Conditional Use Permit Nos. 2016-44 and 2017-06, as conditioned. C. The City Council, prior to taking action on this ordinance, held a duly noticed public hearing on April 18, 2017. D. The City Council also adopts as findings all facts presented in the Request for Council Action dated April 18, 2017 accompanying this matter. E. The City Council determines that for Conditional Use Permit No. 2016-44 (carwash facility), the following findings, which must be established pursuant to Santa Ana Municipal Code (SAMC) Section 41-638 have been established: That the proposed use will provide a service or facility which will contribute to the general well-being of the neighborhood or the community. The proposed carwash facility will provide an amenity to the neighborhood and surrounding community by allowing customers the opportunity to pump gas, purchase a variety of products, and wash their vehicles in one location. The carwash facility will be the only one in the vicinity. Conditions of approval will be added that are applicable to the daily Exhibits Resolution No, 2017-xx Page 1 of 7 75B-39 operation of the carwash facility to ensure that the use will not negatively affect the surrounding community. 2. That the proposed use under the circumstances of the particular case will not be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. The proposed carwash facility has been designed to reduce any potential negative impacts to the health, safety, and general welfare of the residents, workers, or visitors to the site. Construction requirements for the structure and overall layout and access to the facility will reduce any potential negative or adverse impacts created by the use. This is primarily an ancillary amenity to the service station and therefore will not be frequented or utilized for extended periods of time. In addition the hours of operation that are proposed for the carwash are between 7:00 am to 8:00 pm daily. 3. That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. The proposed carwash will create an additional place of business and amenity for the project site. Offering the ancillary service of a carwash will attract additional customers to the site which will take advantage of the other uses such as the service station and restaurant. The additional source of income to the site will not adversely affect the economic stability of the area, but will Instead promote a higher business activity in the area and the site which currently sits vacant and has done so for a number of years. 4. That the proposed use shall comply with the regulations and conditions specified in Chapter 41 for such use. The proposed project will be in compliance with all applicable regulations and conditions imposed on a commercial carwash facility pursuant to Chapter 41 of the Santa Ana Municipal Code. The facility will be maintained as a self-service automated carwash facility providing the necessary tools to service a vehicle that any carwash facility provides. In addition to the amenities that the carwash will provide, the carwash will provide all the necessary stacking distances to help mitigate any potential traffic impacts on and off the site. The proposed hours of operation will allow the facility to conform to the SAMC noise standards and regulations. Resolution No. 2017-xx Page 2 of 7 75B-40 5. That the proposed use will not adversely affect the General Plan or any specific plan of the City. The proposed use will not adversely affect the General Plan. The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing an additional amenity on the site allows for Santa Ana residents and visitors, especially those in the industrial area to have options to needed uses in the close proximity that are currently not available. Furthermore, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive, The project has gone through the Design Review Committee and been approved as it is proposed. Additional design and construction requirements will guarantee that the site maintains a safe and attractive environment in Santa Ana. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The service station and ancillary carwash will be located in a commercial/industrial area and its operation will be compatible with the surrounding commercial and industrial businesses. F. The City Council determines that for Conditional Use Permit No, 2017-06 (drive -through window service), the following findings, which must be established pursuant to Santa Ana Municipal Code Section 41-638 have been established: 1. That the proposed use will provide a service or facility that will contribute to the general well-being of the neighborhood or the community. The proposed restaurant establishment with drive -through window service will provide an additional service to the community and the project site. The restaurant establishment with drive -through window service is a use that is supportive of the primary commercial and industrial uses in the area. The use will provide dining opportunities to the residents and workers in the immediate vicinity by providing options for patronage. 2. That the proposed use under the circumstances of the particular case will not be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. The proposed drive -through service for the restaurant use will not be detrimental to the persons residing or working in Resolution No. 2017-xx Page 3 or 7 75B-41 the vicinity because the drive -through service lane and window have been designed to minimize any potential impacts to vehicles traveling along Main Street as the internal stacking area has been designed to meet the minimum standards required by Santa Ana Municipal Code. Furthermore, landscaping requirements have been incorporated to the design of the drive -through such as providing a berm to the landscape buffer in order to minimize potential adverse impacts from occurring on the premises. The drive -through lane as proposed will be located at the rear of the property closer to Cypress Avenue, which is a less -traveled roadway, thus reducing any potential queuing impacts. This design condition will help mitigate any potential traffic issues related to drive -through service windows. 3. That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. CAN 4 The new restaurant and proposed drive -through window service will not adversely affect the economic stability of the area but will make a positive contribution to the surrounding area. The project will provide a well -maintained and operated service to the community and will complement and improve the economic viability of the area as the proposed restaurant with drive -through window service will include an overall improvement to the property and streetscape including new on -site landscaping and architecture, helping revitalize the area. That the proposed use shall comply with the regulations and conditions specified in Chapter 41 for such use. The proposed drive -through window service will be in compliance with all applicable regulations and provisions of Chapter 41 of the Santa Ana Municipal Code and all other provisions that are applicable to a restaurant use that provides a drive -through window service, The entire property will be developed to meet all applicable regulations and provisions of the SAMC. Each independent use proposed will be designed to operate in conformance to all SAMC standards and the site will act as a one -stop -shop for residents, workers, and visitors to the area. The drive - through window service has been approved through the City's Development Review Committee (DRC) and meets all development standards of the SAMC. That the proposed use will not adversely affect the General Plan or any specific plan of the City. Resolution No, 2017-xx Page 4 of 7 75B-42 The proposed use will not adversely affect the General Plan. The granting of this conditional use permit supports several policies contained in the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. Providing an additional amenity in the form of a drive -through window service for a new restaurant encourages and promotes development of services important to the residents and workers in the area. Furthermore, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. Design comments have been addressed to help make the proposed drive - through window service a safe and attractive amenity to the restaurant and the site. Finally, Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The drive -through window service being provided for the new restaurant will assist in addressing the needs of dining services to those working in the immediate area and will provide employment opportunities to the residents that live in the area. G. In accordance with the California Environmental Quality Act (CEQA) the recommended action is exempt from CEQA per Section 15303, This Class 3 exemption allows small construction projects or buildings in urban areas up to 10,000 square feet in size, not involving the use of significant amount of hazardous substances where all necessary public services and facilities are available. The cumulative impact of this project will not be significant as the use will be complementary with the nearby commercial uses in the area. Additionally, it has been identified that the development of the site will not adversely impact the environment, any designated scenic highways, or sites which have been identified to contain hazardous waste. Categorical Exemption Environmental Review No. 2015-15 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 sole negligence of the City of Santa Ana. Section 3. The City Council of the City of Santa Ana after conducting the public hearing hereby approves Conditional Use Permit No. 2016-44 and 2017-06 as conditioned in Exhibit A, attached hereto and incorporated herein. This decision is based upon the evidence submitted at the above said hearing, which includes, but is not Resolution No. 2017-xx Page 5 of 7 75B-43 limited to: the Request for Council Action dated April 18, 2017, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this ____, day of 2017, Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. 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 the attached Resolution No. 2017-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on 2017. Date: Clerk of the Council City of Santa Ana Resolution No. 2017-xx Page 6 of 7 75B-44 Conditions for Approval (CUP No. 2016-44 and CUP No. 2017-06 Conditional Use Permit No. 2016-44 (carwash facility) and Conditional Use Permit No. 2017-06 (drive -through window service) are 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 prior to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit application. 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-2015-07. 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 if the conditional use permit must be amended. 3. The Applicant must submit detailed landscape plans at the time of submittal into Building plan check. The landscape plan shall incorporate features to conceal or improve aesthetics of the site such as decorative vines for walls and trash enclosures as well as meet the requirements of section 10.4.5 of the City of Santa Ana Citywide Design Guidelines and Santa Ana Municipal Code Section 41-477. The landscape plan must be approved prior to issuance of a building permit. 4. The Applicant must provide noise reduction measures to be constructed into the design of the carwash building. Said sound proofing barriers shall reduce the noise levels leading out of the carwash facility. These construction and noise measures will be included as part of the construction drawing that is submitted into plan check. 5. The hours of operation for the carwash facility will be scheduled from 7:00 a.m. to 8:00 p.m. daily. 6. Fuel delivery shall be limited to the hours of 8:00 p.m. and 6:00 a.m. daily. Resolution No, 2017-xx Page 7 of 7 75B-45 75B-46 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 18, 2017 TITLE: PUBLIC HEARING - COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM FISCAL YEAR 2017-2018 {STRATEGIC PLAN NOS. 2,2; 2,4; 5,4; 5,61 Ae-C9`"*O- ClTf MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 a' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER 1. Approve the proposed Fiscal Year 2017-2018 Community Development Block Grant Program in the estimated amount of $5,771,317, subject to adjustment upon notification of the Grant Year 2017 award from the U.S. Department of Housing and Urban Development; 2. Direct the City Attorney to prepare and authorize the City Manager and the Clerk of the Council to execute memorandums of understanding with various city departments and agreements with nonprofit agencies awarded funds as part of the approved program, subject to funding adjustment upon notification of the Grant Year 2017 award from the U.S. Department of Housing and Urban Development and non -substantive changes approved by the City Manager and City Attorney. COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At a Special Meeting on April 5, 2017, the Community Redevelopment and Housing Commission recommended approval of the Fiscal Year 2017-2018 Community Development Block Grant public service programs to the City Council by a vote of 4:0 (Cano and A. Garcia absent, Aguinaga abstained) for nonprofit organizations (Exhibit 1). DISCUSSION The City of Santa Ana receives an annual allocation of Community Development Block Grant (CDBG) funds from the United States Department of Housing and Urban Development (HUD) to improve low to moderate -income neighborhoods, eliminate blight and create a more stable economic base. These funds may be used for a diverse range of programs including housing, street improvements, park and public facilities improvements, economic development, code enforcement and public services. The City's estimated CDBG allocation for Grant Year (GY) 2017, Fiscal Year (FY) 2017-18, is $5,127,675 and reflects an estimated three percent reduction from the current year allocation. 75C-1 CDBG Program FY 2017-2018 April 18, 2017 Page 2 The proposed FY 2017-2018 CDBG program and funding plan (Exhibit 2) consists of the Community Redevelopment and Housing Commission's (CRHC) funding recommendations for nonprofit public service programs and staff's funding recommendations for program administration, code enforcement, economic development, capital improvements, and housing programs. If this item is approved, staff will prepare and execute memorandums of understanding with various city departments (Exhibit 3) and agreements with nonprofit organizations (Exhibit 4) for the period of July 1, 2017 through June 30, 2018. The proposed FY 2017-2018 CDBG program and funding plan includes the anticipated allocation from HUD at an estimated level of $5,127,675, anticipated program income in the amount of $252,000, and reallocation available of $391,642 from prior year allocations, for a total of $5,771,317. Once the City receives the actual CDBG allocation for GY 2017 from HUD, the anticipated allocation amount of $5,127,675 will be adjusted to the actual amount. This adjustment may be an increase or decrease and will be applied to the FY 2017-2018 CDBG program proportionately. The increase or decrease in the allocation will be applied to public service nonprofit allocations and agreements with nonprofits and memorandums of understanding with city departments will be adjusted accordingly. A maximum of 15 percent of CDBG funding, estimated to be $769,151 for FY 2017-18, may be used for public services. In FY 2017-18, the City is providing the entire estimated public service allocation to nonprofit organizations for programs with an emphasis on crime prevention, intervention, and/or suppression for children, youth, and families. The City solicited applications from nonprofit organizations from February 8, 2017 to March 8, 2017 via a new online application system. Marketing of the CDBG application process and nonprofit outreach efforts included a press release, use of social media (via the City's Facebook page), a -mails via a nonprofit distribution list, mailings to nonprofits, and a dedicated CDBG webpage. In addition, four CDBG training workshops were conducted to inform nonprofit organizations of the federal and local grant requirements. A total of 30 applications were received from 29 nonprofit organizations (one nonprofit organization submitted two applications). Six applications did not pass the Initial Qualification Review and were not eligible to move forward in the evaluation process. Twenty-four remaining applications were eligible and moved forward to the Community and Redevelopment and Housing Commissioners for review and rating based on community need, experience, capacity to provide service, and the effective and efficient use of funds. Representatives from those organizations were invited to present their proposed public service programs for funding consideration at the Community Redevelopment and Housing Commission public hearing on March 22, 2017. At the Special CRHC meeting on April 5, 2017, Commissioners finalized the funding recommendations listed in Exhibit 1. The recommended funding amounts for the nonprofit organizations equals $769,151, with the exclusion of the Orange County Fair Housing Council, which is recommended to be funded out of program administration, as in previous years, as permitted by CDBG regulations. 75C-2 CDBG Program FY 2017-2018 April 18, 2017 Page 3 The CDBG allowable cap of 20 percent for administrative and fair housing services is estimated to be $1,025,535 for FY 2017-18. Administration is necessary for compliance, reporting, fiscal management, and monitoring of all project implementation. Fair housing is necessary due to CDBG requirements that the City further fair housing. The remaining 65 percent of CDBG funding, estimated to be $3,332,989, is proposed for code enforcement in low to moderate -income areas of the city to address health and safety violations, economic development to provide small business grants, residential street improvements, bike trail security lighting, neighborhood safety lighting, multi -family rehabilitation loans, single-family rehabilitation loans, and homebuyer down payment assistance loans. Additionally, the anticipated program income in the amount of $252,000, and the reallocation available of $391,642, totaling $643,642 is proposed to supplement the residential street improvements and bike trail security lighting. Given the nature of these funds, the $643,642 can only be used for non -administrative and non-public service projects. Residential street improvements and bike trail security lighting projects will each be allocated $321,821 in addition to the GY 2017 allocation. This amount of $321,821 for each project will not be subject to the proportionate reductions to programs based on the actual allocation from HUD since it is a fixed amount. The above referenced programs and projects have been determined to be of highest priority need, eligible for CDBG funding, and are in alignment with the City's Five -Year Consolidated Plan and Strategic Plan. The City Council public hearing provides an opportunity for public input and the completion of the process necessary to submit our locally approved program to HUD as part of the Annual Action Plan. The plan must be submitted to HUD by May 15, 2017. Notice of the public hearing was published in the OC Register in English on April 6, 2017, La Opinion in Spanish on April 8, 2017, and the Nguoi Viet in Vietnamese on April 7, 2017. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's effort to meet: Goal #1 - Community Safety, Objective #6 (Enhance Public Safety integration, communications and community outreach), Strategy F (The Santa Ana Police Department will collaborate with the Orange County Probation Department, Orange County Healthcare Agency caseworkers, business community, and associated non-profit organizations to assist in re-entry of recently released offenders into the community); Goal #2 - Youth, Education, Recreation, Objective #2 (Expand youth programing), Strategy A (Focus resources on quality youth engagement, enrichment and education programs through community center, libraries and after -school programs during out -of - school hours), and Strategy B (Expand the youth sports program so that youth recreational opportunities are established year-round); 75C-3 CDBG Program FY 2017-2018 April 18, 2017 Page 4 Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (Support neighborhood vitality and livability), Strategy D (Implement new Neighborhood Improvement Initiatives focusing on residential areas that have been adversely affected by disinvestment and decline. Program and services from a variety of resources will be utilized to achieve positive and sustainable improvements), and Objective #6 (Focus projects and programs on improving the health and wellness of all residents), Strategy C (Integrate a variety of health and wellness programs into existing programming at each of the city's community/recreation centers). FISCAL IMPACT Funds will be budgeted and available in the Community Development Block Grant account (nos. 13518780, 13518782, and 13518783) upon execution of a grant agreement between the City and HUD and adoption of the FY 2017-2018 annual budget. It is anticipated that the CDBG allocation will be expended as follows: Grant Year Program Account No. Anticipated Expenditure in FY Amount 2017 Administration 13518780-various 2017-2018 $1,025,535 2017 Housing 13518782-various 2017-2018 $500,000 2017 Housing 13518782-various 2018-2019 $500,000 2017 Projects 13518783-various 2017-2018 $1,686,734 2017 Projects 13518783-various 2018-2019 $1,607,406 2014-2016 Projects 13518783-various 2017-2018 $451,642 TOTAL: $5,771,317 APPROVED AS TO FUNDS AND ACCOUNTS: WCo z Francisco Gutierrez Deputy City Ma Executive Director City Manager's Office Finance and Management Services Agency Exhibits: 1. CRHC Public Service Recommendations 2. Program Recommendations 3. City Departments Memorandum of Understanding 4. Nonprofit CDBG Agreement 75C-4 Nonprofit Funding CRHC Recommendations CDBG FY 2017-1 B CRHC Organization Name Applicant CRHC Recommended Evaluation Program Requested Application Running Total Score Funding Funding 89.00% The Illumination Foundation $100,000 $75,000 $75,000 Children's Resource Center 88,60% America On Track $60,000 $57,000 $132,000 Brighter Futures for Children of Prisoners 88.60% Orange County Children's Therapeutic Arts Center $74,950 $67,992 $199,992 Crime Prevention & Intervention for Willard Middle School Families 86.60% Community Health Initiative of Orange County $60,000 $50,838 $250,830 Community Health Access Program 83.60% Boys & Girls Club of Santa Ana $75,000 $60,000 $310,830 College Bound 83.00% Delhi Center $105,342 $58,271 $369,101 Teens Engaged in Learning and Leadership 8225% Santa Ana Unidos $75,000 $56,250 $425,351 Boxing Youth/Neighborhood Crime Prevention Initiative 81,60% Neutral Ground $75,169 $51,000 $476,351 Neli's House Neutral Ground 80.60% Big Brothers Big Sisters of Orange County $42,000 $36,800 $513,151 Community Based Mentoring Program 80.20% The Cambodian Family $80,000 $49,800 $562,951 Plan Ahead Youth Program 80.20% WISEPlace $40,000 $36,000 $598,951 Steps to Independence 80.00% Legal Aid Society of Orange County $60,000 $41,600 $640,551 Record Ex un ement 79 80% Legal Aid Society of Orange County $60,000 $39,600 $680,151 Domestic Violence 77 80% Young Men's Christian Association of Orange County $40,000 $34,000 $714,151 Financial Assistance Program 77.40% ALBI $69,804 $55,000 $769,151 _,.,_ I Active Learni Believe and In�ire __,_._._._._.-._. ,_,_,_, ,_,_,_ _,_,__ 76.60% Public Law Center $50,000 Healthy & Livable Mobile Homes & Apartments 76.40% Boy Scouts of America, Orange County Council $85,320 Santa Ana ScoutReach - New Apartment Program 74.40% Colette's Children's Home $152,827 Homeless Shelter Program 7280% Hands Together A Center for Children $58,000 Morning Garden 71.80% Veterans Legal Institute $30,800 Pro Bono Le al Clinics 64.40% Casa de Is Familia $60,000 LaTEENa!Power 62.20% Community School of the Arts Foundation $270,000 Arts Education for Students with Moderate to Severe Disabilities 61.60% Chaves Angels At Heart Foundation $40,000 Sports Program *Public service funding availability is estimated to be $769,151. The evaluation scores and recommended funding amounts are calculated based on the average of Community Redevelopment and Housing Commissioner's fully evaluated applications. Note that Santa Ana Unions only includes four Commissioner averages due to a recusal. EXHIBIT 1 75C-5 Organization Name Requested Staff Program Funding Recommendation Orange County Fair Housing Council Inc. $64,000 ** $62,241 Santa Ana Fair Housing Education, Counseling & Enforcement "Fair housing services are not subject to the 15% public service cap. As such, Staff will be allocating $62,241 (a 3% reduction from FY2016-17) to align with the anticipated reduction of CDBG funds from HUD. EXHIBIT 1 75C-6 FY 2017-2018 PROGRAM APPROVED REQUESTED RECOMMENDED FY 16-17 FY 17-18 FY 17-18 ADMINISTRATION & PLANNING $ 1,057,252 $ 1,027,294 $ 1,025,535 Administration and Planning $ 993,086 $ 963,294 $ 963,294 Fair Housing $ 64,166 $ 64,000 $ 62,241 CODE ENFORCEMENT $ 815,958 $ 791,479 $ 791,479 Community Preservation Code Enforcemen $ 765,958 $ 742,979 $ 742,979 Community Preservation Legal Services $ 50,000 $ 48,500 $ 48,500 ECONOMIC DEVELOPMENT $ 72,955 $ 70,766 $ 70,766 New Business Start -Up $ 72,955 $ 70,766 $ 70,766 PUBLIC SERVICES $ 792,939 $ 1,017,265 $ 769,151 City Public Services Total $ 462,207 $ - $ - Nonprofit Public Services Total $ 330,732 $ 1,017,265 $ 769,151 The Illumination Foundation $ - $ 100,000 $ 75,000 Amerlca On Track $ 29,182 $ 60,000 $ 57,000 OC Children's Therapeutic Arts Center $ - $ 74,950 $ 67,992 Community Health Initiative of Orange County $ - $ 60,000 $ 50,838 Boys & Girls Club of Santa Ana $ 48,637 $ 75,000 $ 60,000 Delhi Center $ - $ 105,342 $ 58,271 Santa Ana Unidos $ - $ 75,000 $ 56,250 Neutral Ground $ - $ 75,169 $ 51,000 Big Brothers Big Sisters of Orange County $ - $ 42,000 $ 36,800 The Cambodian Family $ 43,773 $ 80,000 $ 49,800 WISEPlace $ 29,182 $ 40,000 $ 36,000 Legal Aid Society of OC (Record Expungement) $ - $ 60,000 $ 41,600 Legal Aid Society of OC (Domestic Violence) $ - $ 60,000 $ 39,600 Young Men's Christian Association of OC (YMCA) $ - $ 40,000 $ 34,000 ALBI (Active Learning Believe and Inspire) $ - $ 69,804 $ 55,000 CITY CAPITAL IMPROVEMENTS $ 1,547,159 $ 2,114,385 $ 2,114,386 6th and Lacy Park $ 60,000 $ - $ - RooseveltMalker Community Center & Par $ 689,261 $ - $ - Pacific Electric Bike Trail Lighting $ 853,604 $ 853,604 Raitt and Myrtle Park Design $ 180,000 $ 180,000 Residential Street Improvements $ 749,261 $ 1,033,604 $ 1,033,604 Neighborhood Sponsored Improvements $ 48,637 $ 47,177 $ 47,178 HOUSING $ 1,000,000 $ 1,000,000 $ 1,000,000 Single Family Rehab -City $ 500,000 $ 500,000 $ 500,000 Multi Family Rehab $ 300,000 $ 300,000 $ 300,000 Homebuyer Down Payment Assistance $ 200,000 $ 200,000 $ 200,000 TOTAL $ 5,286,263 $ 6,021,189 $ 5,771,317 CDBG ALLOCATION $ 5,286,263 $ 5,127,675 $ 5,127,675 CDBG ANTICIPATED PROGRAM INCOME $ - $ 252,000 $ 252,000 CDBG RE -ALLOCATION -AVAILABLE $ - $ 391,642 $ 391,642 SURPLUS/(DEFICIT) $ - $ (249,872) $ (0) ADMINISTRATION CAP 20%OF ALLOCATION $ 1,057,252.00 $ 1,025,535 $ 1,025,535 ADMINISTRATION PROPOSED $ 1,057,252.00 $ 1,027,294 $ 1,025,535 SURPLUS/(DEFICIT) $ - $ (1,759.00) $ - PUBLIC SERVICE CAP 15% OF ALLOCATION $ 792,939 $ 769,151 $ 769,151 PUBLIC SERVICE PROPOSED $ 792,939 $ 1,017,265 $ 769,151 SURPLUS/(DEFICIT) $ - $ (248,114) $ (0) EXHIBIT 2 75C-7 m a a N N C= d'j C O N lL n 0 o LL N¢ E G > m N U) o o oo.` N U w 75 U L a o E m o LL C O p _ C U 'C E c co op a E t 2 E c a`Qi m E m U O O C O p U � Ul m C m m Q tNn 0 O U d o L E aai -Eo c E� `o m N w N api 0 o T i> p to L o- � 'C .E Ol to C E a- Q m N a a O In L U E. o tTN 2 acaU j j 2 E L = I- N o LL m O V C 7 m 2a � � N d Z d Z c a ry N 0 U-O m E E .` o U U¢ O U i U d O LL od C u m LL y c c m E Q a o U d m .0 y C O UQ (n=LLUU W a a o c m mw 0c°o C m C N N � m U C o ON C o N C N G � Q � E tT r N p N QaC O O C O.LL O O m L a a C m o m m ma m N c C C a C U O) E a C N O m U E .> 0 G a N O N O 0 Q N a N N tll w � C ` d O to O L S] . R O G a O_ — O m w c m E m O N Q o O_ LL CN o m p N U '- U L C .T. C U O U O U E a o o E _ C Z p U m > o N L U N d C 7 m `a L6 6 N Z O C U Q m -Fg a ac C N C m m ° Q F U) � tT `o E Q O Y m.= m U a M w V O Z N 'o c m E ll � C- E o of o 2 c U a_U W � 2ill E O � . Q N 0 a � = m m •3 U N c � w � m 'O U p •L D7 V C N N 3 (mn d N C C d 'y a LL N a C U tll > U N .0 � � L � � O ui a o m C N y w d C C O E2 � rT m tv ,c N N a N m w > E N O O O Ln U d - m m L C U V C M Y0 i0 a h t- o N Z ® Q N C Q N C O C � U m O- 0, O E > aci o > U U O Q w 0 E d N � O a � d c d ® — c CL E u O � 75C-8 w 0OM p O C E O 'o c a) L `0 > 0 L N Y O Z U) o o Mn- N_ E NN E p OC N cEv U_ U U L E p ul E M O E n E E o (6 v- Q I— N U O rN• 3� t C f O O N� L N O S O O p m L C d U 00 O L N U N o U! L L C -O m C w p O N Z O N m E N '.O' N d N >> O N> N C E O 21) N E m E a o N -o Q@ @ <? o L c rL-� U O_ 2 fO N o� `6 E E U o> 0 E o cmi m y 0 m O m C C_ C 0 d U) O a N >' U y N C N O N O UI Ol 0010.. N m L C Q MyE OJ > 3 E t uoi t �•' aio c L CDd nO nN a>ci caca 2` OOO E o� C_ ) CNU Nm_ N~C 0N 3m: N C 0 f NU— N m.` wON O d>E p O L N_ X N a)o m N c Nc m w ui E -c m 'a o c cmi N .> c "o _ o m .- o_ m o m o_ m Q a m o m E c ai ami L C C C O` U) m C U) U C O N U >> > O C U N m Z Q E o. ai 3 c ) f �° m d E o¢ o a Nj N c m N m (o) N M _- O N N C O N > 0 C O NC m .� C O W N '� O, E Q N O 0_ �6 Z E C N C C O d 0 d L C m '- Q Fu N w O O N O N O .-• > N C O m' C p N N 3 V 0 .c D_ O -O Cf)Z O m C N -p N -7 Y N C O N Q O Z` N j E N a O S N@ O-W N O O>' �GU O NO N p co c .� O O_ a 2 O 4 Q — O Om M E LO=w O `O = O C U U O_ m O U N U O_.eL... U N Q. J f1 U) C Z O m m m U w m N N N Ld nl Ln N N 1 fn Z Z Z Z Z Z Z Z U O oc o m m U G H c Q 'c .E U y .� o -U` Q c ¢ F� 00 0 USU m o CO z y `oo M = ou—E c o o E CO c m -' L C C m � u a •o =d m Zd. o c c a cU) LU mL NCL 0 d ami o o.E m U U o o U C) U Q U H J J M >- U- Z C7 75C-9 O N U N c �•- U > •L-. m C L pl E L O N N E N N `m E O a C N c N E m c o w? o-LMo3o0 a� C O y N N L N@ —O -- C N N N C Q U V U p fD p a N .0 s @ > o N p E E O aEi OL,> o T E E aai m m m m 'o a t c o waXi a> m d o 'o o m m Q o > ac u> c m m a c E U n¢ E )o a a co m _ m m o 3 0 m m .w N g >, o> j N N c c > ¢ > E 0@ N N N N a y U o N E E N O f6 p' d O L m o m @ N E@ d N O N C O N — > N a OJ G@ N da N (n O C—¢ y= O @ m L m— .3 ¢ o v� 0 0 o3 N -m N o¢@Ca an da N cm � o s uiO U o2� p L >' O] N E o nC > a o N N L Q y 'E O N @ Q E @ Qd m a. N:R 'o uJ m nNa N O `O N m "c a } _> Cn E y > o> N m ,_Fo N N V N 7 O N z z z z z z z 00 � .o o m .o � O o N U) U) e c p t o m 'o o> -o m c 76 U @ ¢ @ m @ 'U NOI N co O m m m O On N L m U L L No J O N J O O L h } U¢ O ¢ N _ N a E N co C p Mn m m 2i- a. a N c n > ¢ m G m E a U .N m E "n .mc m o U 0 N C Ep EO O 'O 0 @ O d C U U� as C5 d' 0 iL a. ¢ m 75C-10 K \(7g oz LL 2 Om ( \ � 75 \co \ CL � ~ ƒ Ia. \ - f)SCL CO ®2 : 0 - /2\=s - //\2t 7f2 _ \ \ 15 ) U} U \\\#(\ /0 \)j\ \a4/a§ \7a\0EE (%ƒf(3{ ( . , GZG7 ezGas&a 0z7 80a2 ƒt /{ { _ LLI,- {{) CL jj \\ \\\/ of 75C.11 77K)a 2±7 / - �:-> \ \73 /a ©/7»/ 07U {ƒ /J\2f -m@\ Em e»( \©� ®/ ƒ\»§\ t!a& -- \- \\ U- 76 _\«\® C \)\w \ _ / - \I �o \\\\\ }j7 \\\ CO ®a3zz -2«a §9f2} &o 2*s§\ \� \ ¥§\f) \))(/ ©% \\«») I/E7:g:§§ m\M= o M\- c/ \2 a %7 ]EE ]EE - \ \(�(\ CO \E> \E> . Ge/$7 Ge/72 Gaa72 * + _ \»\; \(\§ \>\: \ 2 !(\} ' /f)£ \f)2 7z/a- 75C.12 NOTE: Same MOU will be used for City deparments approved for the CDBG 2017.2018 program. MEMORANDUM OF UNDERSTANDING BETWEEN TIE CITY OF SANTA ANA AND CITY AGENCY FOR USE OF COMMUNITY DEVELOPMENT BLOCK GRANT FUNDS This Memorandum of Understanding is hereby made and entered into this 1st day of July, 2017, 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 the CITY AGENCY of the City, ("SUBRECIPIENT"). RECITALS: A. The CITY, as an entitlement recipient and grantee of the United States Department of Rousing and Urban Development ("HUD") Community Development Block Chant ("CDBG') Entitlement Program, Catalog of Federal Domestic Assistance (CFDA) Number 14.218, and i edezal Award Ideir0cati9n Ngaphef (FAIN) B-17-!4C-O(r050$ , desires to enter this Agreement with the SUBRECIPIENT for the expenditure of CDBG funds in accordance with Title 24, Part 570 of Code of Federal Regulations 24 CFR 570.000, et seq. ("CDBG REGS"). B. CITY has applied for and received CDBG funds from HUD pursuant to Title I of the Housing and Community Development Act of 1974, Public Law 93.383, as amended ("ACT"). C. The SIIBRSCIP1h.NT has been selected by the CITY to receive CDBG funds and administer such financial assistance; and to provide the services described in Exhibit A, in accordance with the schedule of performance included therein, hereinafter referred to as "said program". SUBRECIPIENT represents that it is qualified and willing to operate said program and certifies that the activities carried out with funds provided under this Agreement will meet one or more of the CDBG prograr'n's National Objectives (24 CFR Part 570.208). D. SUBRECIPIENT agrees that it will adhere to the performance measurements and outcomes as indicated on Exhibit A (Schedule of Performance). Failure to follow the measurements and meet the stated outcomes may constitute breach of contract that could result in termination of this Agreement or serve as reason for the City to recapture the grant funds awarded to SUBRECIPIENT pursuant to this Agreement. WHEREFORE, it is agreed by and between the parties that the foregoing Recitals are a substantive part of this Agreement and the following terms and conditions are approved and together with all exhibits and attachments hereto, slaal'l constitute the entire Agreement between the CITY and SUBRECIPIENT: L SUBRECIPIENT'S OBLIGATIONS A. Representations and Warranties. (a) Authority. SUBRECIPIENT is in good standing and authorized to do business under the laws of the State of California. SUBRECIPIENT bas full right, power and lawful authority to accept the funding hereunder and to undertake all obligations as provided herein and the execution, perfonnance and delivery of this Agreement by SUBRECIPIENT has been fully authorized by all requisite actions on the part of SUBRECIPIENT. (b) Experience. SUBRECIPIENT is a qualified provider of the services to be provided hereunder. Ceu-11r993 75C-13 (c) Familiarity With Services Required. By executing this Agreement, SUBRECIPIENT warrants that (i) it has thoroughly investigated and considered the services to be performed and provided hereunder, (iri) it has carefully considered how the services should be performed, and (iii) it fully understands the facilities, difficulties and restrictions attending performance of the services under this Agreement. (d) No Conflict. To the best of SUBRECIPIENT'S knowledge, SUBRECIPIENT'S execution, delivery and performance of its obligations under this Agreement will not constitute a default or a breach under any contract, agreement or order to which SUBRECIPIENT is a party or by which it is bound. (e) No Bankruptcy. SUBRECIPIENT is not the subject of any current or threatened bankruptcy Proceeding. (f) No Pending Legal Proceedings. SUBRECIPIENT is not the subject of a current or threatened 'litigation that would or may materially affect SUBRECIPIE{NT'S performance under this Agreement. (g) Application Veracity. All provisions of and information provided in SWME.CIPIENT'S application for funding submitted to CITY including any exhibits are true and correct in all material respects. (h) No Pending Investigation. SUBREUPIENT'is not aware that it is the subject of any current or threatened criminal or civil action investigation by any public agency, including without limitation a police agency or prosecuting authority, that would relate to affect performance of the Agreement or provision of services hereunder. B. Amount of Grarriffertr and .Quarterly Dist7ursemant. The amount granted to SUBRECIPIENT is $00,00 ("CDBG FUNDS"), for the term of July 1, 2017 through June 30, 2018. Such funds shall be expended by SUBRECIPIENT on or before June 30, 2018, I'he Term of this Agreement may be extended by a writing executed by the City Manager; or his or her designee, and the City Attorney. The CDBG FUNDS shall be disbursed by CITY to SUBRECIPIENT on a quarterly basis subject to and upon receipt and approval of a complete quarterly activity report from SUBRECIPIENT, with the final payment subject to the satisfaction of the condition precedent of submittal of complete reporting information due on or before July 15 of the applicable funding year, as hereinafter more fully set forth. SUBRECIPIENT shall be obligated to perform such duties as would normally extend beyond the term, including, but not limited to, obligations with respect to indemnification, audits, reporting, data retention/reporting, and accounting. Failure to provide any of the required documentation and reporting will cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such documentation and reporting has been received and approved by CITY. The CITY reserves the right to reduce (he grant application if the CITY's fiscal monitoring indicates that SUBRECIPIENT's rate of expenditure will result in unspent funds at the end of the program year. Amendments in the grant allocation will be made after consultation with SUBRECIPIENT. C. Use ofIFunds. SUBRECIPIENT agrees to use all federal finds provided by CITY to SUBRECIPIFN'I' pursuant to this Agreement to operate said program, as set forth in "Exhibit A," attached heroto and by this reference incorporated herein. SUBRECIP ENT"S failure to perform as required may, in addition to other remedies set forth in this Agreement, result in readjustment of the amount of funds CITY is otherwise obligated to pay to SUBREC]PIENThereunder. 75C-14 D. Allowable Costs, SUBRECIPIENT agrees to complete said program on or before June 30, 2017, and to use said funds to pay for necessary and reasonable costs allowable under the federal law and regulations to operate said program. Said amounts shall include, but not be limited to, wages, administrative costs, and employee benefits comparable to other similarly situated employees, and indirect costs. Other allowable program costs are detailed in the budget, as set forth in "Exhibit B," attached hereto and by this reference incorporated herein. SUBRECIPIENT shall use all income received from said funds only for the same purposes for which said funds may be expended pursuant to the terns and conditions of this Agreement. SUBRECIPIENT has the ability to adjust line iten amounts in the budget with the written approval of the CITY's Executive Director of the Community Development Agency, or designee, so long as the total budget amount does not increase. Pursuant to 2 CPR §200.331(a)(4), the Indirect Cost Rate for the SUBRECIPIENT's award shall be an approved federally recognized indirect cost rate negotiated between the SUBRECIPIENT and the Federal government, or, if no such rate exists, the de minimis indirect cost rate as defined in 2 CFR §200.414(b) Indirect (F&A) costs. For this agrcennent, the de minfnnis indirect cost rate oft BDO/ will apply. R Licensing. SUBRECIPIENT agrees to obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing its operations. SUBRECIPIENT shall ensure that its staff shall also obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing SUBRECIPIEWs operations 'hereunder. Such licensing requirements include obtaining a City business license, as applicable. F. Zunis SUBRECIPIENT agrees that any facility/property used in furtherance of said pregnant shall be specifically zoned and permitted for such usc(s) and activity(ies). Should SUBRECIPIENT" fail to have the required land entitlement and/or permits, thus violating any local, state or federal rules and regulations relating thereto, SUBRECIPIENT shall inm ediately make good -faith efforts to gain compliance with local, state or federal rules and regulations following written notification of said violation(s) from the MY or other authorized cithug agency. SUBRECIPIENT shall notify CTI"Y immediately of any pending violations. Failure to notify CITY of pending violations, or to remedy such known violation(s) shall result in termination of grant funding hereunder. SUBRECIPIENT' must make all corrections required to bring the facility/property into compliance with the law within sixty (60) days of notification ofthe violation(s); failure to gain compliance within such time shall result in termination of grant funding hereunder. G. Separationof Accounts. All funds received by SUBRECIPIENT from C1TY pursuant to this Agreement shall be maintained in an account in a federally insured banking or savings and loan institution with record keeping of such accounts maintained prusnant to applicable 2 CFR 200.302 requirements. SUBRECIPIENT is not required to maintain separate depository accounts for CDBG FUNDS; provided however, the SUBRECIPIENT must be able to account for receipt, obligation and expenditure of CDBG FUNDS pursuant to applicable 2 CPR 200,302 requirements. H. Audit Reoort Recpuiremerns. SUBRECIPIENT agrees that if SUBRECIPIENT expends Seven Hundred Fifty Thousand Dollars ($750,000) or more in federal funds, SUBRECIPIENT shall have an annual audit conducted by a certifiers public accountant in accordance with the standards as set forth and published by the United States Office of Management and Budget. SUBRECIPIENT shall provide CITY with a copy of said audit by April I of the year following the program year in which this Agreement is executed. 75C-15 1. Record Keening%eporthuzy. SUBRECIPIENT shall keep and maintain complete and adequate records and reports on program participants to determine their initial and continuing eligibility for the program services being provided to assist CITY in meeting and maintaining its record keeping responsibilities under the CDBG BEGS, including the following: (1) Records a. Documentation evidencing program income requirements in conformity with 24 CFR 570.504(b((2)(i), (ii) and 24 CFR 570.503(b)(3) and 24 CFR 570.208(a)(2)(B) of the income level of persons and/or families participating in or benefiting by the SUBRECIPIENT program. b. Documentation of the number of persons and/or families participating in or benefiting by the SUBRECIPIEN'f program. c. Household information shall include number of persons, identification of head of household, race/othnicity, and income verification of all household members ages 18 and over. d. Documentation of all CDBG FUNDS received from CITY. e. Documentation of expenses as identified in the Budget Proposal, including evidence of incurring the expense, invoices fbr goods or services, copies of any and all contracts or documentation pertaining to costs for subcontractors, plus all other invoices and proof of payment for which CDBG FUNDS were expended, and any payments therefor. f, Any scrch other related records as CITY shall reasonably require or as required to be maintained pursuant to the CDBG REGS. (2) Reports a. Payment Request. Concurrently with the submittal of each quarterly report, on or before the 15th day of October, January, April and July, SUBRECIPIENT shall submit both: an original invoice/request for reimbursement and true copies of invoices, receipts, canceled checks, bank statements, credit card statements, procurement documentation for goods or services, tiniesheets, payroll records, benefit statements, agreements, contracts or documentation pertaining to costs for subcontractors, and/or other documentation supporting and evidencing how the CDBG FUNDS have been expended during the applicable quarter. b. Quarterly Progress Report. SUBRECIPIENT agrees to keep records of all ethnic and racial statistics of persons and families benefited by SUBRECIPIENT in the performance of its obligations under this Agreement, including, but not limited to, the number of low and moderate income persons and households assisted in accordance with federal income limits, the number of fernale heads of households assisted, new program information and year-to-date program statistics on expenditures, caseload and activities. Failure to provide any of the required documentation and reporting will cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SU'BRECIPIENT, until such documentation and reporting has been received and approved by CITY. J. Access to Records. CITYand the United States Government and their representatives or auditors shall have access for purposes of monitoring, auditing, and examining SUBRECIPIENT's activities and performance, to books, documents and papers, and the right to examine records of SUBRECfPIBNT's subcontractors, bookkeepers and accountants, employees and participants in regard to 75C-16 said program. CITY and the United States Government and their representatives or auditors shall also schedule on -site monitoring at their discretion. Monitoring activities may also include, but are not limited to, questioning employees and participants in said program and entering any premises or any site in which any of the services or activities funded hereunder is conducted or in which any of the records of SUBRECIPIENT are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. K. Location of Records/Required Length of Record Kee 'ping. All accounting records, reports, and evidence pertaining to all costs, expenses and the CDBG FUNDS of SUBRECIPIENT and all documents related to this Agreement shall be maintained and kept available at SUBRECIPIENT' S office or place of business for the duration of the Agreement and thereafter for five (5) years from the date of final payment under this Agreement. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY or any other governmental agency takes exception, shall be retained beyond the five (5) years until complete resolution or disposition of such appeals, litigation claims, or exceptions. In the event SUBRFCIPIENT does not make the above -referenced documents available within the city of Santa Ana, California, SUBRECIPIENT agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. L. Compliance. with Law/P 2 t Income. SUBRECIPIENT acknowledges that the funds being provided by CITY for said program are received by CITY pursuant to the ACT as amended and that expenditures of these funds shall be in accordance with the ACT and all pertinent regulations issued by agencies of the federal government, including, but not limited to, all regulations found at Title 24 of the Code of Federal Regulations. Program income received by SUBRECIPIENT shall be returned to CITY unless otherwise provided for in this Agreement. SUBRECIPIENT agrees to comply 'fully with all federal, state and local laws and court orders applicable to its operation whether or not referred to in this Agreement. M. Debarniont. To protect the public interest and ensure the integrity of Federal programs, C£fY may only conduct business with responsible persons and may not make any award or permit any award to any party which is debarred or suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs under Executive Circler 12549, "Debarment and Suspension". See also 24 CFR 570.609. SUBRECIPIENT must review and sign Exhibit C "Debarment", which is attached hereto and incorporated herein by this reference. SUBRECIPIENT shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in the corporate status or suspension of SUBRECIPIENT shall be reported immediately to CITY. N. Confidentiality. Without prejudice to any other provisions of this Agreement, SUBRECIPIENT shall, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements, of federal and state law. However, SUBRECIPIENT' sball submit to CITY and or HUD or its representatives, all records requested, including audit, examinations, monitoring and verifications of reports submitted by SUBRECIPIENT, costs incurred and services rendered hereunder. 0. Independent Contractor. SUBRECIPIENT agrees that the performance of obligations hereunder is Tendered in its capacity as an independent contractor and that it is in no way an agency of CITY, P. Violation of Terms and Conditions. SUBRECIPIENT agrees that if SUBRECIPIENT violates arty of the terns and conditions of this Agreement or any prior Agreement whereby CDBG finds were received by SUBRECIPIENT, or if SUBRECIPIENT reports inaccurately, or if on audit there is a 75C-17 disallowance of certain expenditures, SUBRECIPIENT agrees to remedy the acts or emissions causing the disallowance and repay CITY all amounts spent in violation thereof. If SUBRECIPIENT engaged in fraudulent activity to obtain and/or justify expenditure of the CDBG funds granted hereunder, SUBRECIPIENT shall be required to reimburse the CITY of all such 'funds that were obtained and/or spent under fraudulent circumstances. Q. Equipment. SUBRECIPIFNT agrees to maintain a record for each item of non -expendable personal property acquired under the terms of this Agreement. Said record shall be made available to CITY upon request. The term "non -expendable personal property" shall include leased and purchased equipment. R. Prohibited Use. SUBRECIPIENT hereby certifies and agrees that it will not use funds provided through this Agreement to pay for entertainment, meals or gifts, or other prohibited uses. S. Lobbvina. SUBRECIPIENT certifies that it will comply with federal law (31 U.S,C. 13.52) and regulations found at 24 CPR Part 87, which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, Member of Congress, or an officer or employee of a Member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. SUBRECIPIENT shall sign a certification to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference incorporated heroin. SUBRECIPIENT shall submit said signed certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to SUBRECIPIENT under the terms and conditions of this Agreement. If any funds other than Federal appropriated funds have been ,paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, gram, loan, or cooperative agreement, the undersigned shall complete and submita "Disclosure Porn to Report Lobbying," in accordance with its instructions (Exhibit D). SUBRECIPIENT shall require that the language of this certification be included in the award documents for all sub -awards at all tiers (including subcontractors, sub -grants, and contracts under grants, loans, and cooperative agreements), and agrees to take all actions necessary to ensure that all subrecipient's shall similarly certify and disclose accordingly. T. Financial Interest. SUBRECIPIENT agrees that except for the use of CDBG funds to pay salaries and other related administrative or personnel costs, no persons who exercise or have exercised any function with respect to CDBG activities assisted under the terns of this Agreement, or who are in a position to participate in a decision -making process or gain inside information with regard to such activities, may obtain a financial interest or benefit from a CDBG-assisted activity of SUBRECIPIENT, either for themselves or those with whom they have family or business ties, during their tenure or for one year thereafter. This prohibition applies to any person who is an employee, agent, consultant, officer, or elected or appointed official of CITY, or of any designated public agency, or the SUBRECIPIENT. U. Labor Standard!L._The SUBRECIPIENT agrees to comply with the requirements of the Secretary of Labor in accordance with the Davis -Bacon Act as amended, the provisions of Contract Work Hours and Safety Standards Act (40 U.S.C. 327 et seq.) and all other applicable Federal, state and local laws and regulations pertaining to labor standards insofar as those acts apply to the performance of this Agreement. The SUBRECIPIENT agrees to comply with the Copeland Anti -Kick Back Act' (18 U.S.C. 874 et seq.) and its implementing regulations of the U.S. Department of Labor at 29 CFR Part 5. The 75C-18 SUBRECIPIENT shall maintain documentation that demonstrates compliance with hour and wage requirements or this part. Such documentation shall be made available to the CITY for review upon request. SUBRLCIPIFNT agrees that, except with respect to the rehabilitation or construction of residential property containing less than eight (8) units, all contractors engaged tinder contracts in excess of $2,000.00 for construction, renovation or repair work financed in whole or in part with assistance provided under this contract, shall comply with Federal requirements adopted by the CITY pertaining to such contracts and with the applicable requirements of the regulations of the Department of Labor, under 29 CFR Parts 1, 3, 5 and 7 governing the payment of wages and ratio of apprentices and trainees to journey workers; provided that, if wage rates higher than those required under the regulations are imposed by state or local law, nothing hereunder is intended to relieve the SUBRECIPIENT of its obligation, if any, to require payment of the higher wage. The SUBRECIPIENT shall cause or require to be inserted in full, in all such contracts subject to such regulations, provisions meeting the requirements of this paragraph, V. Section 3 of the Housing and Urban Development Acl of 1968. SUBRECIPIENT will make every effort to provide training opportunities for low -and moderate -income persons residing within the community wbere the construction project is located and contracts awarded to local businesses therein to the greatest extent feasible as required under the provisions of Section 3 of the Housirng and Urban Development Act of 1968, the regulations set forth fit 24 CFR 135, and all applicable rules and orders issued hereunder prior to the execution of this Agreement. Compliance with the foregoing requirements shall be a condition of the federal financial assistance provided under this Agreement and binding on the SUBRECIPIENT. Failure to ftdfi'll these requirements shall subject the SUBRECIPIENT, its successors and designees, to those sanctions specified by the Agreement through which federal assistance is provided. The SUBRECIPIENT certifies and agrees that no contractual or other disability exists which would prevent compliance with these requirements. SUBRECIPIFNT shall make every effort to ensure that all projects funded wholly or in part by CDBG funds shall provide equal employment opportunities for minorities and women. W. Drug Free Workplace. SUBRECIPIFNT agrees to provide a drug -free work place and to execute a certification as set forth in "Exhibit E" attached hereni and incorporated herein by this reference. X. Uniform Administrative Requirenents, Cost Principles and Audit Re uq rernents for Federal Awards. The following requirements and standards must be complied with: 2 CFR Part 200 et al. SUBRLCIPIENT shall procure all materials, property, or services in accordance with the requirements of 2 CFR 200.318-326. Y. Suboart R of 24 CFR 570. SUBUC.IPIENT will cagy out its activities in compliance with the requirements of Subpart IC of 24 CPR 570, however SLIBRLCIPIENT does not assume the CITY's environmental responsibilities or the responsibility for initiating the environmental review process under 24 CFR Part 52. Z. Women- and Minority -Owned Businesses (WIMBE) SUBRECIPIENT will use its best efforts to afford small businesses, minority business enterprises, and women's business enterprises the maximum practicable opportunity to participate in the performance of this Agreement in accordance with the requirements of 2 CFR 200.321 "Contracting with small and minority businesses, women's business enterprises, and labor surplus area firms". As used in this Agreement, the term "small business" means a business that meets the crit'eia set forth in section 3(a) of the Small Business Act, as amended (15 U.S.C. 632), and "minority and women's business enterprise" means a business at least fifl'y-one percent (51%) owned and controlled by minority group uembers or women. For the purpose of this definition, "minority group members" are African -Americans, Spanish-speaking, Spanish surnamed or Spanish- 75C-19 heritage Americans, Asian -Americans, and American Indians, SUBRECIPIENT may rely on written representations by businesses regarding their status as minority and female business enterprises in lieu of an independent investigation. IL CITY'S OBLIGATIONS A. Payment of Funds. On July 1, 2017, the CITY was allocated $5,286,263 for fiscal year 2017- 2018 from the, United States Department of }lousing and Urban Development ("HUD") Community Development Block Grant ("CDBG") Entitlement Program. CITY agrees to pay to SUBRECIPIENT when, if and to the extent federal funds are received a sum not to exceed . a Dollars t$0R pt]) for SUBRECIPIENT"S performance in accordance with the Budget attached hereto as "Exhibit B" during the period of this Agreement. Payments shall be made to SUBRECIPIENT through the submission of invoices/reimbursement requests. CITY shall pay such invoices/reimbursement requests within thirty (30) days after receipt thereof provided CITY is satisfied that such expenses have been incurred and documented within the scope and provisions of this Agreement and that SUBRECIPIENT is in compliance with the terms and conditions of this Agreement. Failure to provide any of the required documentation and reporting AM cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such documentation and reporting has been received and approved by CITY. Documentation may include, but is not limited to true copies of invoices, receipts, canceled checks, bank statements, credit card statements, procurement documentation for goods or services, timesheets, payroll records, benefit statements, agreements, contracts or documentation pertaining to costs for subcontractors, mid/or other documentation supporting and evidencing how the CDBG FUNDS have been expended during the applicable quarter. B. Audit of Account. CIPY shall include an audit of the account maintained by SUBRECIPIENT in CITY's annual audit of all CDBG FUNDS in accordance with Title 24 of me Code of Federal Regulations and other applicable federal laws and regulations. C. Common Rule: Pursuant to 2 CFR 200:328(a), the CITY manages the day-to-day operations of cacti grant and subgram supported activities, CITY staff has detailed knowledge of the grant program requirements and monitors grant and subgrant supported activities to assure compliance with Federal requirements. Such monitoring covers each program, function and activity and performance goals are reviewed periodically. D. Environmental Review: In accordance with 24 CFR 58, the CITY is responsible for undertaking environmental review and maintaining environmental review records for each applicable project. E. Performance Nlonitoriin: CITY shall monitor the performance of SUBRECIPIENT against goals and performance standards required herein. The SUBRECIPIENT shall be responsible to accomplish the levels of performance as set forth in Exhibit A and report such measures quarterly to the CITY. If the SUBRECIPIENT estimates such goals will not be met, the SUBRECIPIENT is to contact the CITY, at which time the CITY will determine if any adjustments to the grant award is appropriate. Substandard performance as determined by the CITY will constitute non-compliance with this Agreement. Should the CITY determine that, the SUBRECIPIENT has not performed its obligations as stated in this contract in a satisfactory manner, or if the CITY determines that insufficient supporting information has been submitted, the CITY shall notify the SUBRECIPIENT" in writing of its determination specifying in frill detail the objections which it has to the SUBRECIPIENT's performance, Ii' action to correct such substandard performance is not taken by the SUBRECIPIENI" after being 75C-20 notified by the CITY, within a reasonable period of time as stipulated in the written notification, contract suspension or termination procedures will be initiated. III. NONDISCRIMINATION A. SUBRECIPIENT agrees to comply with Executive Order 11246 which requires that during the performance of this Agreement, SUBRECIPIENT agrees not to discriminate against any employee or applicant for employment because of race, religion, sex, color or national origin. Such action shall include, but not be limited to the following: employment, upgrading, demotion, or transfer, rates of pay or other forms of compensation, and selection for training, including apprenticeship. SUBRECIPIENT agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the SUBRECIPIENT setting forth the provisions of this nondiscrimination clause. B. SUBRECIPIENT agrees to comply with Title VI of the Civil Rights Act of 1964 which indicates that no person shall, on the ground of race, color or national origin, be excluded from participation in, be denied the benefits of, or be subject to discrimination under any program of activity receiving federal financial assistance. C, No person shall, on the grounds of race, sex, creed, color, religion, marital status, national origin, age, sexual orientation, or physical or mental handicap be excluded from participation in, be refused the benefits of, or otherwise be subject to discrimination in any activities, programs or employment supported by this Agreement. SUBRECIPIENT is prohibited from discrimination on the basis of age or with respect to an otherwise qualified 'handicapped person as provided for under Section 109 of the housing and Community Development Act of 1974, as amended. 1I. SUBRECIPIENT agrees to comply with the Age Discrimination Act of 1975 which requires that during the perfomrance of this Agreement, SUBRE'CIPIENT agrees not to discriminate against any employee or applicant for employment because of age, Such action shall include, but not be limited to the following: employment upgrading, demotion, or transfer, rates of pay or other forms of compensation, and selection for training, including apprenticeship. SUBRECIPIENT agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the SUBRECIPIENT setting fordr the provisions of this age discrimination clause. E. SUBRECIPIENT agrees to comply with Section 504 of the Rehabilitation Act of 1973 which requires that no otherwise qualified individual with a disability in the United States, shall, solely by reason of his or her disability, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance or under any program or activity conducted by any executive agency or by the United States Postal Service. IV. CONFLICT OF INTEREST Pursuant to the conflict of interest requirements set forth in 24 CFR 570.611 and 2 CFR 200.112, SUBRECIPfENT certifies that no member, officer, employee, agent or assignee of CITY having direct or indirect control of any CDBG monies granted to the CITY, inclusive of the subject CDBG FUNDS, shall serve as an officer of SUBRECIPIENT. Further, any conflict or potential conflict of interest of any officer of SUBRECIPIENT shall be fully disclosed in writing prior to the execution of this Agreement and said uniting shall be attached and deemed fully incorporated as a part hereof. Notice shall be sent by SUBRECIPIENT to CITY regarding any changes or modifications to its board of directors and list of officers. 75C-21 V. SPECIAL CERTIFICATION FOR RELIGIOUS ENTITIES If SUBRECIPIENT is a religious entity, SUBRECIPIENT hereby agrees that in connection with the provision of the services SUBRECIPIENT shall provide with CDBG funds, in accordance with 24 CFR 570.2000): A. SUBRECIPIENT shall not discriminate against any employee or applicant for employment on the basis of religion and shall not limit employment or give preference in employment to persons on the basis of religion, B. SUBRECIPIENT shall not discriminate against any person applying for the services SUBRECIPIENT agrees to provide under the terms of this Agreement on the basis of religion and shall not limit such services or give preference to applicants for such services on the basis of religion. C. SUBRECIPIENT shall NOT provide religious instruction or counseling, conduct any religious worship or services, or engage in any religious proselytizing, or exert any religious influence in the provision of the services in said program. The patties agree that this covenant is intended to and shall be construed for the limited purpose of assuring compliance with respect to the use of CITY funds by SUBRECIPIENT with applicable constitutional 'limitations respecting the establishment of religion as set forth in the establishment clause under the First Amendment of the United States Constitution and Article 1, Section 4 of the California Constitution, and is not in any manner intended to restrict other activities of SUBRECIPIENT. D. The portion of a facility used to provide public services assisted in whole or in part under this Agreement shall contain no sectarian or religious symbols. E. Where the services to be provided under said program are rendered on property awned by the primarily religious entity SUBRECIPIENT, CDBG funds may also be used for minor repairs to such property which are directly related to the cost of rendering the services under said program, where the cost constitutes in dollar terms only an incidental portion of the CDBG expenditure for rendering the, services under said program. VI. PROHIBITION OFNEPOTISM SUBRECIPIENT agrees not to hire or permit the hiring of any person to fill a position funded through this Agreement if a member of that persons immediate family is employed in an administrative capacity by SUBRECIPIENT. For the purposes of this section, the term "immediate family" means spouse, child, mother, father, brother, sister, brother-in-law, sister inn -law, father-in-law, mother-in-law, sonarrlaw, daughter-in-law, aunt, uncle, niece, nephew, stepparent and stepchild. The term "administrative capacity" means having selection, hiring, supervisor or management responsibilities. VII. NOTICES Notices to the parties shall, unless otherwise requested in writing, be sent by U.S. Mail, postage prepaid, and addressed as follows: TO CITY: City of Santa Ana Community Development Agency (M-25) 20 Civic Center Plaza P.O. Box 1988 Santa Ana, California 92702-1988 Ict 75C-22 TO SUBRECIPIENT: Organization Contact Address Line i Address Line 2 Address Line 3 VIII. ASSIGNABILITY None of the duties of, or work to be performed by, SUBRECIPIENT under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. SUBRECIPIENT must submit all subcontracts and other agreements that relate to this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of SUBRECIPIENT pursuant to this Agreement. IX. HOLD HARMLESS SUBRECIPIENT shall indemnify, defend and save harmless CITY, its officers, employees, agents, representatives and volunteers from and against any and all damages to or for loss of use of property and for injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harness CITY, its officers, ornployees, agents, representatives and volunteers from and against any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers compensation claims and including attorney fees and reasonable expenses for litigation or settlement, resulting from or arising out of the negligent or wrongful acts, errors or omissions of SUBRECIPIENT, its officers, directors, employees, agents, subcontractors and suppliers arising out of SUBRECIPIENT's performance of this Agreement. X. INSURANCE 1. Commercial General Liability. SUBRECIPIENT agrees to obtain and keep in force during the tern of this Agreement a policy of comprehensive commercial public liability insurance insuring the CITY, and SUBRECIPIENT against any liability for accident, injury at death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence. Said policy of comprehensive liability insurance shall be endorsed to provide to CITY at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, additional insured; and state that such coverage is primary to any other coverage or self- insurance and CITY. Governmental entities may provide proof of self-insurance. (a) Such insurance shall: (1) name the City of Santa Ana, its officers, agents, representatives, employees and volunteers as additional insured's; (2) be primary with respect to insurance or self-insurance programs maintained by the CITY; (3) contain standard separation of insured's provisions; and (4) give to CITY prompt and timely notice of claim made or suit instituted arising out of SUBRECIPIENT's operations hereunder. (b) SUBRECIPIENT shall: (1) prior to exercising any right under this Agreement, furnish properly executed certificates of insurance and additional insured endorsement to the CITY which shall clearly evidence all coverages required above; (2) provide that such insurance shall not be materially changed or terminated except on 30 days prior written notice to the CITY; (3) maintain such insurance for the period covered by thus Agreement; and (4) replace such certificates for policies expiring prior to the expiration of this Agreement 75C-23 2. Automobile LiabilittyCoverage, SUBRECIPIENT shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with a $1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non -owned automobiles used by SUBRECIPIENT employees or participants in performance of this Agreement, or, in the event that SUBRECIPILNT will not utilize such owned/leased automobiles but intends to require employees, participants or other agents to utilize their own automobiles in the performance of this Agreement, SUBRECIPIENT shall secure and maintain on file from all such employees, participants, or agents as self -certification of automobile insurance coverage. Governmental entities may provide proof of self- insurance. 3. Workers' Compensation. If SUBRECTIENT is an "employer", as set forth in California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in California Labor Code Section 3350 of seq., SUBRECIPIENT shall obtain and keep in force during the term of this Agreement fill Workers' Compensation insurance coverage for injuries suffered by participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. 4. FqWpment Cov__era m SUBRECIPIENT shrill purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by SUBRECIPIENT in accordance with this Agreement. Said insurance shall be in the amount of the Rill replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a certificate of self- insurance. 5. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. SUBRECIPIENT understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. XI. REVERSION OF ASSETS A. Upon the expiration of this Agreement, SUBRECIPIENT shall transfer to CITY any CDBG funds on hand at the time of the expiration of this Agreement as well as any accounts receivable attributable to the use of CDBG funds. [24 CFR 570.503(b)(7)j B. Any real property under SUBRECIPIEN'T's control that was acquired or improved in whole or in pall with CDBG funds in excess of $25,000.00 must eitber be: I. Used, where CITY has given written approval, to meet one of the national objectives stated in 24 CFR 570.208 until five (5) years after expiration of this Agreement, or for such longer period of time as determined to be appropriate by CITY; or 2. If not used in accordance with subparagraph I above, SUBRECIPIENT shall pay to CITY an amount equal to the current fair market value of the property less any portion of the value attributable to the expenditure of non-CDBG funds for acquisition of, or improvement to, the property. Such payment is program income to CITY. C. Subject to the obligations set forth herein, title to equipment acquired under the tens of this Agreement will vest upon acquisition in SUBRECIPIENT. When said equipment which has been acquired in accordance with this Agreement and all applicable regulations is no longer needed fo' said program, disposition of said equipment will be made as follows: 12 75C-24 1. Items of equipment with a current per unit fair market value of less than $5,000.00 may be retained, sold or otherwise disposed of with no further obligation to CITY. 1 Items of equipment with a current fair market per unit value of $5,000.00 or more may be retained or sold and CITY shall have the right to an amount calculated by multiplying the current market value or proceeds from the sale by CPfY's share of federal funds used to acquire the equipment, in accordance with 2 CFR 200.313(e)(2). D. SUBRECIPIENT hereby agrees, upon the demand of CITY, to execute, acknowledge and deliver, or cause any person or entity who may have any claim to rights hereunder or under any document, instrument or agreement executed in furtherance of the services and activities to be performed hereunder, to execute, acknowledge and deliver, to CITY assignme t(s), quit claim deed(s) or such other and further instruments, documents and agreements as may be necessary, in the sole and absolute discretion of CffY, to vest in CITY all of SU,BRECIPIENT's right, title and interest (if any it may have) in and to CITY, CDBG or other federal, state and/or local accounts or program funds or allocation of funds to which CITY is or may be entitled, either for its own account or as fiduciary or trustee for others, which were obtained for the purpose of the perfarrnance of this Agreement or any previous agreements relating to the same subject matter or activities as this Agreement, together with any instruments, loans, grants or advances by SUBRECIPIENT on behalf of CITY, in furtherance of the activities hereunder or thereof. SUBRECIPIENT's obligations and responsibilities set forth in this paragraph "XI. REVERSION QF ASSETS." and in paragraph "XII. jLRMINATTON" and other requirements pertaining to program income shall mot be affected by the termination of this Agreement and shall survive the date of termination of this Agreement for such period of time as CITY and/or HUD deems necessary for the responsibilities, duties and obligations to be performed and completed to the satisfaction of CITY and HUD. X11. TERMINATION A. This Agreement may be terminated on thirty (30) days' written notice by either party. In the event of such termination, S'UBRECIPIENT shall only be entitled to reimbursement for approved expenses incurred to the effective date of termination. B. This Agreement may be suspended or terminated by CITY upon five (5) days' written notice for violation by SUBRECiPIENT of Federal Laws governing the use of Community Development Block Grant Funds. In the event of such suspension or termination, SUBRECIPMNT shall only be entitled to reimbursement for approved expenses incurred up to the effective date of suspension or termination. C. Pursuant to 2 CFR 200,340, in the event SUBRECIPIENI' defbults by failing to fulfill all or any of its obligations hereunder, CITY may declares default and termination of this Agreement by written notice to SUBRECIPIGNT, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice, If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof;, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. D. The grant of funds under this Agreement may be terminated for convenience by either the CITY or SUBREC IPEENT, in whole or in part, by setting forth the reasons for such termination, the effective date, and, in the case of portion termination, then portion to b tornilnated, however, if in the case of a partial 13 75C-25 termination, the CITY determines that the remaining portion of the award will not accomplish the purpose for with the award was made, the CITY may terminate the award in its entirety. E. The grant of funds under this Agreement may be terminated due to the non-performance of SUBRECIPIENT and/or failure of SUBRECIPENT to perform the work described in Exhibits A and B or failure to meet the performance standards and program goals set forth therein. F. In the event this Agreement is terminated as set forth in subparagraphs XII.A. through XII.E., inclusive, SUBRECIPIENT agrees to immediately return to CITY upon CITY's demand and prior to any adjudication of SUBRECIPIENT's rights, any and all funds not used, and to comply with paragraph "XI, REVERSION OF ASSETS" of this Agreement, XIIL LIMITATION OF FUNDS The United States of America, through HUD, may in the future place programmatic or fiscal limitations on the use of CDBG funds which limitations are not presently anticipated. Accordingly, CITY reserves the right to revise this Agreement in order to take account of actions affecting HUD program finding. In the event of funding reduction, CITY may, in its sole and absolute discretion, reduce the budget of this Agreement as a whole or as to costs category, may limit the rate of SUBRECIPIENT's authority to commit and spend fiords, or may restrict SUBRECIPIENT's use of both its uncommitted and its unspent funds. Where HUD has directed or requested CITY to implement a reduction in funding, in whole or as to a cost category, with respect to funding for this Agreement, CITY's City Manager or delegate is authorized to act for CITY in implementing and effecting such a reduction and in revising, modifying, or amending the Agreement for such purposes. If such it reduction in lending occurs, SUBRECIPIENT shall be permitted to de -scope accordingly. Where CITY has reasonable grounds to question SUBRECIPIENT's fiscal accountability, financial soundness, or compliance with this Agreement, CITY may suspend the operation of this Agreement for up to sixty (60) days upon five (s) days written notice to SUBRECIPIENT of its intention to so act, pending an audit or other resolution of such questions. In no event, however, shall any revisions made by CITY affect expenditures and legally binding commitments made by SUBRECIPIENT before it received notice of such revision, provided that such amounts have been committed in good faith and are otherwise allowable and that such commitments are consistent with HUD cash withdrawal guidelines. XIV, EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the use of CITY's CDBG funds by SUBRECIPIENr and contains all the covenants and agreements between the parties with respect to such employment in any manner whatsoever. Each party to this Agreement acknowledges that. no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied heroin, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and SUBRECIPIBNI'. XV. LAWS GOVERNING THIS AGREEMENT This Agreement shall be governed by and construed in accordance with the laws of the State of California, and all applicable federal laws and regulations, XVI. CLOSE-OUT The SUBRECIPIENT agrees to comply with the closeout procedures detailed in 2 CFR §200.343, including the following: 14 75C-26 1. SUBRECIPIENT must submit, no later than ninety (90) calendar days after the end date of the period of performance, all financial, performance, and other reports as required by the terms and conditions of the Federal award; 2. Unless the CITY authorizes an extension, SUBRECIPIENT must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as specified in the terms and conditions of the Federal award; 3. SUBRECIPIENT must promptly refund any balances of unobligated cash that the CITY paid in advance or paid and that is not authorized to be retained by SUBRECIPIENT for use in other projects (See OMB Circular A-129 and 2 CFR §200.345); 4. SUBRECIPIENT must account for any real and personal property acquired with Federal funds or received from the Federal government in accordance with 2 CFR §§200.31.0- 200.316 and 200.329; and, 5. The CITY should complete all closeout actions for the Federal award no latter than one year after receipt and acceptance of all required final reports. XVII. VALIDITY AND SEVERABILITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. Whenever possible, each provision of this AGREEMENT shall be interpreted in such manner as to be effective and valid under applicable law, but if any provision of this AGREEMENT is held to be prohibited by or invalid under applicable law, such provision shall be ineffective only to the extent of such prohibition or invalidity, without invalidating the remainder of such provisions of this AGREEMENT. XVIII. WAIVER No delay or omission by either party hereto to exercise any right or power accruing upon any noncompliance or default by the other party with respect to any of the terms of this Agreement shall impair any such right or power or be construed to be a waiver thereof. A waiver by either of the parties hereto of any of the covenants, conditions, or agreements to be perforned by the other shall not be construed to be a waiver of any succeeding breach thereof or of any other covenant, condition or agree-ment herein contained. XIX. MISCI?LLANEOUS PROVISION 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 widuhawn. b. All Exhibits and Attaclunents referenced herein and attached bereto shall be incorporated as if fully set forth in the body of this Agrecment. (Signatures our jollowingpage) 15 75C-27 IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the last date and year written below. ATTEST: MARIA I). HUIZAR Clerk of the Council APPROVED AS TO FORM: RPCOMMENDED FOR APPROVAL: ROBERF C. CORTEZ Deputy City Manager Community Developraent Agency 16 CITE' OF SANI'A ANA GERARDO MOUET Acting City Manager Title°� Tax ID DINS #s 75C-28 City of Santa Ana CDBG Scope of Work Program Year 2017-18 (July 1, 2017 - June 30, 2018) City Department Organization Name Project Name Project Name Annual Accomplishment Goal Service Levels _ TOTAL I TYPE^v LOW INCOME_ 51% People, Housing Units. Busineses) (Minimurn 51%) Schedule of Performance Quarter 1: JUL 1 - SEP 30 Quarter 2: OCT 1 - DEC 31 Quarter 3: JAN 1 • MAR 31 Quarter 4: APR 1 - JUN 30 Estimated Service Levels Invoicing fl $ - Exhibit A Page 1 of 1 75C-29 FISCAL YEAR 2017-2018 PROPOSED PROGRAM BUDGET City Department Organization Name Project Name Project Name EXPENDITURES Enter budget categories and projected expenditures for the proposed program: Category Expenditures Funded By Santa Ana CDBG Expenditures Funded By Other Sources Program Budget Total Organization Budget Administrative Staff Salaries & Benefits $0 $0 Prograrn Staff Salaries & Benefits $0 $0 Contractual/Professlonal Services $0 $0 0 $0 $0 0 $0 $0 0 $0 $0 0 $0 $0 0 $0 $0 0 $0 $0 0 $0 $0 TOTAL Direct Costs $0 $0 $0 $0 Indirect Costs 7.73% $0 TOTAL BUDGET $0 $0 $0 * Indirect cost rate: 7.73% PROGRAM RESOURCES LIST ALL OTHER PROGRAM RESOURCES FOR 201.7-2.018 Funding Source Total must equal Program Budget Total listed above. FUNDING SOURCE —TAMOUNT =4ME4t EXHIBIT B 75C-30 2017-2018 CDBG BUDGET LINE ITEMS ADMINISTRATIVE STAFF Position Title Annual Salary K Benefits CDBG Funds Requested Description PROGRAM STAFF Position Title Annual Salary & Benefits CDBG Funds Requested Description CONTRACTUALJPROFESSIONALSERVICES Type of Service Contract Rmount CDBG FundsRequested Description OTHER LINE ITEMS Line Item Program IBmount CDBG Funds Requested Description Exhibit B-1 75C-31 Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' responsibilities. The regulations were published as Part VII of the May 26,1988 Federal Register (pages 19160-19211). (BEFORE, COMPLETING CERTIFICATION, READ INSTRUCTIONS FOR CERTIFICATION - Attached) (1) The prospective recipient of federal assistance funds certifies, by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department or agency. (2) Where the prospective recipient of federal assistance funds is unable to certify to any of the ,statements in this certification, such prospective participant shall attach an explanation to this proposal. and Title of Authorized Representative Signature Date EXHIBIT C Page 1 of 2 75C-32 INSTRUCTIONS FOR CERTIFICATION 1. By signing and submitting this proposal, the prospective recipient of federal assistance funds is providing the certification as set out below. 2. The certification in this clause is a material representation of thet upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective recipient of federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the Department of Labor (DOL) may pursue available remedies, including suspension and/or debarment. 3. The prospective recipient of federal assistance funds shall provide immediate written notice to the person to which thus proposal is submitted if at any time the prospective recipient of federal assistance funds learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. The prospective recipient of federal assistance funds agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not 'knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the DOL. 6. The prospective recipient of federal assistance funds further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and voluntary exclusion - Lower Tier Covered Transactions," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to check the List of Parties Excluded from Procurement or Non - Procurement Programs. Nothing contained in the foregoing sball be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded fi-orn participation in this transaction, in addition to other reredies available to the Federal Government, the DOL may pursue available reniedies,including suspension and/or debarment. EXHIBIT C Rage 2 of 2 75C-33 Certification Regarding Lobbying Certification for Contracts Grants, Loans and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any ;Federal contact, grant, loan or cooperative agreement. (2) 1f any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard. Fonn-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontract, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into, Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of riot less than $10,000 and not more than $100,000 for each such failure. Grantee/Contactor Organization Program Title Nance of Certifying Officer Signature Date EXHIBrr D Page 1 of 2 75C-34 SUBRECIPIENT warrants the following! 1, SUBRECIPIENT will comply with Public Law 88-352, Title VI of the Civil Rights Act of 1964 (42 U. S. C. section 2000 et seq) and implementing regulation in 24 CFR Part 1. 2. No person in the United States shall on the ground of race, color, religion, national origin, or sex, be excluded from participation in, or be denied the benefits of, or be subjected to discrimination under any program or activity funded in whole or in part with community development funds made available pursuant to the ACT. 3. All laborers and mechanics, employed by contractors or subcontractors in the performance of construction work financed in whole or in part with community development funds shall be paid wages at rates not less than those prevailing on similar construction in the locality as determined in accordance with the Davis -Bacon Act, as amended, 40 U. S. C. Sections 276 a 1-5, except for individuals who perform services for which they volunteered; do not receive compensation for such services; or are paid expenses, reasonable benefits, or a nominal fee for such wrviccs; and are not otherwise employed at any time in construction work. 4. SUBRECIPIENT will comply with all Federal statutes applicable to projects funded with community development funds, except that (a) SUBRECIPIENT does not assume CITY'S environmental responsibilities described at 24 CPR 570.604; and (b) SUBRECIPIENT does not assume CITY'S responsibility for initiating the review process under Executive Order 12372. EXHIBIT D Page 2 of 2 75C-35 Certification Retarding Drum -Free Workplace Requirements The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Housing and Urban Development in awarding the grant. If it is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug -Free Workplace Act. CERTIFICATIQN A. The contractor certifies that it will provide a drug -free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug -free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug -free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that, as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. (e) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction; EXHIBIT E Page 1 of 3 75C-36 (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted - ( 1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Making a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached "Place of Performance" form the site(s) for the performance of work to be carried out with the grant funds (including street address, city, county, state, and zip code) .the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of work under the contract, it shall notify the U.S. Department of Housing and Urban Development immediately upon the decision to use such additional sites by submitting a revised `Place of Performance" form. Organization Authorized Signature Date EXHIBIT E Page 2 of 3 75C-37 PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS Name: Date: The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): EXHIBIT E Page 3 of 3 75C-38 NOTE: Same agreement will be used for nonprofit organizations approved for the CDBG FY 2017-2018 program. AGREEMENT BETWEEN THEA CITY OF SANTA ANA AND NOS+II'ROI'IT O�IZATiON NAMI' FOR USE OI' COMMUNYPY DEVELOPMENT BLOCK GRANT FUNDS This Agreement is hereby made and entered into this 1 at day of July, 2017, by and between the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("CITY'), and Nonprofit Organization Name, a California nonprofit corporation ("SUBRECIPIENT"). RECITALS: A. The CITY, as an entitlement recipient and grantee of the United States Department of Housing and Urban Development ("HUD") Community Development Block Gant ("CDBG") Entitlement Program, Catalog of Federal Domestic Assistance (CFDA) Number 14.218, and Federal Award Idont fioation Nuinbq (hAl2 B-l7 h9C-06-OSq , desires to enter this Agreement with the SUBRICIl'IENT for the expenditure of CDBG funds in accordance with Title 24, Pail; 570 of Code of Federal Regulations 24 CFR 570.000, et seq. ("CDBG REDS"). B. CITY has applied for and received CDBG funds from HUD pursuant to Title I of the Housing and Community Development Act of 1974, Public Law 93-383, as amended ("ACT"). C. The SUBRECIPIEWl' is a private nonprofit corporation that has been selected by the CITY to receive CDBG funds and administer such financial assistance; and to provide the services described in Exhibit A, in accordance with the schedule of performance included therein, hercinai ter referred to as "said program". SUBRI;CIPIENT represents that it is qualified and willing to operate said program and certifies that the activities carried out with fwrds provided under this Agreement will meet one or more of the CDBG program's National Objectives (24 CFR Part 570 .208). D. SUBRECIPIENT agrees that it will adhere to the performance measurements and outcomes as indicated on Exhibit A (Schedule of Performance). Failure to follow the measurements and meet the stated outcomes may constitute breach of contract that could result in termination of this Agreement or serve as reason for the City to recapture the grant funds awarded to SUBRECLPIENT pursuant to this Agreement. WHEREFORE, it is agreed by and between the pities that the foregoing Recitals are a substantive pail of this Agreement and the following terms and conditions are approved and together with all exhibits and attachments hereto, shall constitute the entire Agreement between the CITY and SUBRECIPIL'NT: I, SUBREC1PIENT'S OBLIGATIONS A. Nonprofit Status - Re rresentatious and Warranties. (a) Authority, SUBRECIPIENT is a duly organized and existing nonprofit corporation in good standing and authorized to do business under the laws of the State of California. SUBRECIPIEN"I' has full right, power and lawful authority to accept the funding hereunder and to undertake all obligations as provided herein and the execution, performance and delivery of this Agreement by SUBRECIPIENT has been fully authorized by all requisite actions on the part of SUBRECIPIENT. (b) Experience. SUBRECIPIENT is a qualified provider of the services to be provided hereunder. EXHIBIT 4 75C-39 (c) Familiarity With Services Required. By executing this Agreement, SUBRECIPIENT warrants that (i) it has thoroughly investigated and considered the services to be performed and provided hereunder, (ii) it has carefully considered how the services should be performed, and (iii) it fully understands the facilities, difficulties and restrictions attending performance of the services under this Agreement. (d) No Conflict. To the best of SUBRECIPIENT'S knowledge, SUBRECIPIENT'S execution, delivery and performance of its obligations under this Agreement will not constitute a default or a breach under any contract, agreement or order to which SUBRECIPIENT is a party or by which it is bound. (e) No Bankruptcy. SUBRECIPIENT is not the subject of any current or threatened bankruptcy proceeding, (f) No Pending Legal Proceedings. SUBRECIPIENT is not the subject of a current or threatened litigation that would or may materially affect SUBRECIPIENT'S performance under this Agreement. (g) Application Veracity. All provisions of and information provided in SUBRECIPIENT'S application for funding subnutted to CITY including any exhibits are true and correct in all material respects. (h) No Pending Investigation. SUBRF,CIPIENT is not aware that it is the subject of any current or threatened criminal or civil action investigation by any public agency, including without limitation a police agency or prosecuting authority, that would relate to affect performance of the Agreement or provision of services hereunder. B. Amount of Grant/Term and _Quqi1prjy Disbursement. The amount granted to SWIRECIPIENT is (7a)BG FUNDS"), for the tern f July 1, 2017 through June 30, 2018. Such funds shall be expended by SUBRECIPIENT on or before June 30, 2018. The Term of this Agreement may be extended by a writing executed by the City Manager, or his or her designee, and the City Attorney. The CDBG FUNDS shall be disbursed by CITY to SUBRECIPIENT on a quarterly basis subject to and upon reccipt and approval of a complete quarterly activity report from SUBRECiPIENf, with the final payment subject to the satisfaction of the condition precedent of submittal of complete reporting information due on or before July 15 of the applicable finding year, as hereinafter more fully set forth. SUBRECIPIENT shall be obligated to perform such duties as would normally extend beyond the term, including, but not hrnited to, obligations with respect to indemnification, audits, reporting, data retention/reporting, and accounting. Failure to provide any of the required documentation and reporting will cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such docurrnentation and reporting has been received and approved by CITY. The CITY reserves the right to reduce the grant application if the Cars fiscal monitoring indicates drat SUBRECIPIENT's rate of expenditure will result in unspent funds at the end of the program year. Amendments in the grant allocation will be made after consultation with SUBRECIPIENT. C. Use of Funds. SUBRECIPIINT agrees to use all federal funds provided by CITY to SUBRECIPIENT pursuant to this Agreement to operate said program, as set forth in "Exhibit A," attached hereto and by this reference incorporated herein. SUBRECIPIENT'S failure to performer as required may, in addition to other remedies set forth in this Agreement, result in readjustment of the amount of funds CITY is otherwise obligated to pay to SUBRI3C:MIENT hereunder. 75C-40 D. Allowable Costs. SUBRECIPIENT agrees to complete said program on or before June 30, 2018, and to use said fiords to pay for necessary and reasonable costs allowable under the federal law and regulations to operate said program. Said amounts shall include, but not be limited to, wages, administrative costs, and employee benefits comparable to other similarly situated employees, and indirect costs. Other allowable program costs are detailed in the budget, as set forth in "Exhibit B," attached hereto and by this reference incorporated herein. SUBRBCIPIENT shall use all income received from said funds only for the same purposes for which said funds may be expended pursuant to the terms and conditions of this Agreement. SUBRECIPIENT has the ability to adjust line item amounts in the budget with the written approval of the CITY's Executive Director of the Cormnurnity Development Agency, or designee, so long as the total budget amount does not increase. Pursuant to 2 CFR §200.331(a)(4), the Indirect Cost .Rate for the SUBRECIPIENT's award shall be an approved federally recognized indirect cost rate negotiated between the SUBRECIPIENT and the Federal government, or, if no such rate exists, the de minimis indirect cost rate as defined in 2 CFR §200.414(b) Indirect (F&A) costs. For this agreement, the de minimis indirect cost rate of 10% will apply. E. Licensing. SUBRECIPIENT agrees to obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing its operations. SUBRECIPIENT shall ensure that its staff shall also obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing SUBRECIPIENT's operations hereunder. Such licensing requirements include obtaining a City business license, as applicable, F. &onin , SUBRECIPIENT agrees that any facility/property used in fiirtherance of said program shall be specifically zoned and permitted for such usc(s) and activity(ics). Should SUBRECIPIENT fail to have the required land entitlement and/or permits, thus violating any local, state or federal rules and regulations relating thereto, SUBRECIPIENT shall immmediately make goad -faith efforts to gain compliance with local, state or federal rules and regulations following written notification of said violation(s) from the CITY or other authorized citing agency. SUBRECIPIENT shall notify CITY immediately of any pending violations. Failure to notify CITY of pending violations, or to remedy such known violation(s) shall result in termination of grant funding hereunder. SUBRECIPIENT must make all corrections required to bring the facility/property into compliance with the law within sixty (60) days of notification of the violation(s); failure to gain compliance within such time shall result in tennkiation of grant funding hereunder. G. Separation of Accounts. All finds received by SUBRECIPIENT from CITY pursuant to this Agreement. shall be maintained in an account hi a federally insured banking or savings and loan institution with record keeping of such accounts maintained pursuant to applicable 2 CFR 200.302 requirements. SUBRECIPIENT is not required to maintain separate depository accounts for CDBG FUNDS; provided. however, the SUBRECIPIENT must be able to account for receipt, obligation and expenditure of CDBG FUNDS pursuant to applicable 2 CFR 200.302 requirements. H. Audit Report Requirements. SUBRECIPIENT agrees that if SUBRECIPIENT expends Seven Huundred Fifly Thousand Dollars ($750,000) or more in fedcral funds, SUBRECIPIENT shall have an annual audit conducted by a certified public accountant in accordance with the standards as set forth and published by the United States Office of Management and Budget. SUBRECIPIENT shall provide CITY with a copy of said audit by April I of the year following the program year in which this Agreement is executed. 75C-41 I. Record Keeping/Reporting. SUBRECIPIENT shall keep and maintain complete and adequate records and reports on program participants to determine their initial and continuing eligibility for the program services being provided to assist CITY in meeting and maintaining its record keeping responsibilities under the CDBG REDS, including the following: (1) Records a. Documentation evidencing program income requirements in conformity with 24 CFR 570.504(b((2)(i), (ii) and 24 CFR 570.503(b)(3) and 24 CFR 570.208(a)(2)(B) of the income level of persons and/or families participating in or benefiting by the SUBRECIPIENT program. b, Documentation of the number of persons and/or families participating in or benefiting by the SUBRECIPIENT program. c. Household information shall include number of persons, identification of head of household, race/ethnicity, and income verification of all household members ages 18 and over. d. Documentation of all CDBG FUNDS received from CITY. e. Documentation of expenses as identified in the Budget Proposal, including evidence of incurring the expense, invoices for goods or services, copies of any and all contracts or documentation pertaining to costs for subcontractors, plus all other invoices and proof of payment for which CDBG FUNDS were expended, and any payments therefor. f, Any such other related records as CITY shall reasonably require or as required to be maintained pursuant to the CDBG BEGS. (2) Redoes a. Payment Request. Concurrently with the submittal of each quarterly report, on or before the 15th day of October, January, April and July, SUBRECIPIENT shall submit both: an original invoice/request for reimbursement and true copies of invoices, receipts, canceled checks, bank statements, credit card statements, procurement documentation for goods or services, timesheets, payroll records, benefit statements, agreements, contracts or documentation pertaining to costs for subcontractors, and/or other documertatiou supporting and evidencing how the CDBG FUNDS have been expended during the applicable quarter. b. Quarterly Progress Report. SUBRECIPIENT agrees to keep records of all ethnic and racial statistics of persons and families benefited by SUBRECIPIENT in the performance of its obligations under this Agreement, including, but not limited to, the number of low and moderate income persons and households assisted in accordance with federal income limits, the number of female heads of households assisted, new program information and year-to-date program statistics on expenditures, caseload and activities. Failure to provide any of the required documentation and reporting will cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such documentation and reporting has been received and approved by CITY. J. Access to Records. CITY and the United States Government and their representatives or auditors shall have access for purposes of monitoring, auditing, and examining SUBRF..CIPIENT's activities and performance, to books, documents and papers, and the right to examine records of SUBRECIPIENT's subcontractors, bookkeepers and accountants, employees and participants in regard to 4 75C-42 said program, CITY and the United States Government and their representatives or auditors shall also schedule on -site monitoring at their discretion, Monitoring activities may also include, but are not limited to, questioning employees and participants in said program and entering any premises or any site in which any of the services or activities funded hereunder is conducted or in which any of the records of SUBRECIPIENT are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. K. Location of RecordslRequired Length of.Record Kecpina. All accounting records, reports, and evidence pertaining to all costs, expenses and the CDBG FUNDS of SUBRECIPIENT and all documents related to this Agreement shall be maintained and kept available at SUBRECIPIENT'S office or place of business for the duration of the Agreement and thereafter for five (5) years from the date of final ,payment under this Agreement. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY or any other governmental agency takes exception, shall be retained beyond the five (5) years until complete resolution or disposition of such appeals, litigation claims, or exceptions, In the event SUBRECIPIENT does not make the above -referenced documents available within the city of Santa Ana, California, SUBRECIPIENT agrees to pay all necessary and reasonable expenses inured by CITY in conducting any audit at the location where said records and books of account are maintained. L, Compliance with Law/Proerarn Income. SUBRECIPIENT acknowledges that the funds being provided by CITY for said program are received by CITY pursuant to the ACT as amended and that expenditures of these funds shall be in accordance with the ACT and all pertinent regulations issued by agencies of the federal government, including, but not limited to, all regulations found at Title 24 of the Code of Federal Regulations. Program income received by SUBRECIPIENT shall be returned to CITY unless otherwise provided for in this Agreement, SUBRECIPIENT agrees to comply fully with all federal, state and local laws and court orders applicable to its operation whether or not referred to in this Agreement. M. Debarment. To protect the public interest and ensure the integrity of Federal programs, CITY may only conduct business with responsible persons and may not make any award or permit any award to any party which is debarred or suspended or is otherwise excluded from or ineligible for participation in ,Federal assistance programs under Executive Order 12549, "Debanment and Suspension". See also 24 CFR 570.609. SUBRECIPIENT must review and sign Exhibit C "Debarment", which is attached hereto and incorporated herein by this reference. SUBRECIPIENT shall be in good standing, without suspension by the California Secretary of State, Franclrise Tax Board and Internal Revenue Service, Any change in the corporate status or suspension of SUBRECIPIWF shall be reported immediately to CITY. N. Can£rdentiality. Without prejudice to any other provisions of this Agreement, SUBRECIPIENT shall, where applicable, maintain the confidential nature of information provided) to it concerning participants in accordance with the requirements of federal and state law. H. owever, SUBRECIPIENT shall submit to CITY and or HUD or its representatives, all records requested, including audit, examinations, monitoring and verifications of reports submitted by SUBRECIPIENT, costs incurred and services rendered hereunder. O. Independent Contractor, SUBRECIPIENT agrees that the performance of obligations hereunder is rendered in its capacity as an independent contractor and that it is in no way an agency of CITY. P. Violation of Terms and Conditions. SUBRECIPIENT agn-ees that if SUBRECIPIENT violates any of the terms and conditions of this Agreement or any prior Agreement whereby CDBG funds were received by SUBRECiP113 T, or if SUBRECIPIENT reports inaccurately, or if on audit there is a 75C-43 disallowance of certain expenditures, SUBRECIPIF,NT agrees to remedy the acts or omissions causing the disallowance and repay CITY all amounts spent in violation thereof. If SUBRECIPIENT engaged in 11'audulent activity to obtain and/or justify expenditure of the CDBG funds granted hereunder, SUBRECIPIENT shall be required to reimburse the CITY of all such funds that were obtained and/or spent under fraudulent circumstances. Q. Equipment. SUBRECIPIENT agrees to maintain a record for each item of non -expendable personal property acquired tinder the terms of this Agreement. Said record shall be made available to CITY upon request. The term "non -expendable personal property" shall include leased and purchased equipment. R. Prohibited Use. SUBRECIPIENT hereby certifies and agrees that it will not use finds provided through this Agreement to pay for entertainment, mcals or gifts, or other prohibited uses. S. LobbvinQ. SUBRECIPIENT certifies that it will comply with federal law (31 U.S.C. 1.352) and regulations found at 24 CFR,Part 87, which provide that no appropriated funds may be expended by the reeipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence in officer or employee of any agency, Member of Congress, or an officer or employee of a Member of Congress in connection with awarding of any federal contract, the making of any federal giant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. SUBRECIPIENT shall sign a certification to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference incorporated herein. SUBRECIPIENT shall submit said signed certification to CII"Y prior to peri'oraring any of its obligations tinder this Agreement and prior to any obligation arising on the part of CITY to pay any sums to SUBRECIPIENT tinder the teens and conditions of tins Agreement. If any rinds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit a "Disclosure Form to Report Lobbying," in accordance with its instructions (Exhibit D). SUBRI3CIPIENT shall require that the language of this certification be included in the award documents far all sub -awards at all tiers (including subcontractors, sub -grants, and contracts under grants, loans, and cooperative agreements), and agi'em to take all actions necessary to ensure that all subrecipients shall similarly certify and disclose accordingly. T. Financial Interest. SUBRECIPIENT agrees that except for the use of CDBG funds to pay salaries and other related administrative or personnel costs, no persons who exercise or have exercised any function with respect to CDBG activities assisted under the terms of this Agreement, or who are in a position to participate in a decision -making process or gain inside information with regard to such activities, may obtain a financial interest or benefit from a CDBG-assisted activity of SUBRECIPIENT, either for themselves or those with whom they have family or business ties, during their tenure or for one year thereafter. This prohibition applies to any person who is an employee, agent, consultant, officer, or elected or appointed official of CITY, or of any designated public agency, or the SUBRECH31ENT, U. Labor Standards. The SUBRECIPIENT agrees to comply with the requirements of the Secretary of Labor in accordance with the Davis -Bacon Act as amended, the provisions of Contract Work Hours and Safety Standards Act (40 U.S.C. 327 et seq.) and all other applicable Federal, state and local laws and regulations pertaining to labor standards insofar as those acts apply to the performance of this Agreement. The SUBRECIPIENT agrees to comply with the Copeland Anti -Kick Back Act (18 U.S.C. 874 et seq.) and its implementing regulations of the U.S. Department of Labor at 29 CFR Part 5, The 75C-44 SUBRECIPIENT shall maintain documentation that demonstrates compliance with hour and wage requirements of this part. Such documentation shall be made available to the CITY for review upon request. SUBRECIPIENT agrees that, except with respect to the rehabilitation or construction of residential property containing less than eight (8) units, all contractors engaged under contracts in excess of $2,000.00 for construction, renovation or repair work financed in whole or in part with assistance provided trader this contract, shall comply with Federal requirements adopted by the CITY pertaining to such contracts and with the applicable requirements of the regulations of the Department of Labor, under 29 CFR Parts 1, 3, 5 and 7 governing the payment of wages and ratio of apprentices and trainees to journey workers; provided that, if wage rates higher than those required cinder the regulations are imposed by state or local law, nothing hereunder is intended to relieve the SUBRECIPIENT of its obligation, if any, to require payment of the higher wage. The SUBRECIPIENT shall cause or require to be inserted in full, in all such contracts subject to such regulations, provisions meeting the requirements of this paragraph. V. Section 3 0£ the Housing and Urban Development Act of 1968. SUBRECIPIENT will make every effort to provide training opportunities for low -and moderate -income poisons residing within the cone nuufty where the construction project is located and contracts awarded to local businesses therein to the greatest extent feasible as required under the provisions of Section 3 of the Rousing and Urban Development Act of 1968, the regulations set forth in 24 CPR 135, and all applicable rules and orders issued hereunder prior to the execution of this Agreement, Compliance with the foregoing requirements shall be a condition of the federal financial assistance provided under this Agreement and binding on the SCJBRLCIPIFNT. Failure to fulfill these requirements shall subject the SUBRECIPIENT, its successors and designees, to those sanctions specified by the Agreement through which federal assistance is provided. The SUBRECIPIENT certifies and agrees that no contractual or other disability exists which would prevent compliance with these requirements. SUBRECIPIENT shall make every effort to ensure that all projects funded wholly or in part by CDBG funds shall provide equal employment opportunities for minorities and women. W. DmQ Free Workplaec. SUBRECIPIENT agrees to provide a drug -free work place and to execute a certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. X. Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards. The following requirements and standards must be complied with: 2 CFR Part 200 et al. SUBRECIPIENT shall procure all materials, property, or- services in accordance with the requirements of 2 CPR 200,318-326. Y. Subpart IC of ?4,. CFR 570. SUBRECIPIENT will carry out its activities in compliance with the requirements of Subpart K of 24 CPR 570, however SUBRECiPMNT does not assume the CITY's enviromnental responsibilities or the responsibility for initiating the environmental review process under 24 CFR Part 52. Z. Women- and Minority -Owned Busiilesses W/MBE) SUBRECIPIENT will use its best efforts to afford small businesses, minority business enterprises, and women's business enterprises the maximum practicable opportunity to participate in the performance of this Agreement in accordance with the requirements of 2 CFR 200.321 "Contracting with small and minority businesses, women's business enterprises, and labor surplus area firms". As used in this Agreement, the term "small business" nncans a business that meets the criteria set forth in section 3(a) of the Small Business Act, as amended (15 U.S.C. 632), and "minority and women's business enterprise" means a business at least fifty-one percent (51 %) owned and controlled by minority group members or women. For the purpose of this definition, "minority group members" are African-Annericans, Spanish-speaking, Spanish surnamed or Spanish- 7 75C-45 heritage Americans, Asian -Americans, and American Indians. SUBRECIPIEN'r may rely on written representations by businesses regarding their status as minority and female business enterprises in lieu of an independent investigation. II. CITY'S OBLIGN.CIONS A. Payment of Funds. On July 1, 2017, the CITY was allocated $5,286,263 for fiscal year 2017- 2018 from the United States Department of Housing and Urban Development ("IIUD") Community Development Block Grant ("CDB(T") Entitlement Program. CITY agrees to pay to SUBRECIPIENT when, if and to the extent federal funds are received a sum not to exceed = • � Dollars ($� 600) for SUBRECIPIENT'S performance in accordance with the Budget attached hereto as "Exhibit B" during the period of this Agreement. Payments shall be made to SUBRECIPIENT through the submission of invoices/reimbursement requests. CITY shall pay such invoices/reimbursement requests within thirty (30) days after receipt thereof provided CITY is satisfied that such expenses have been incurred and documented within the scope and provisions of this Agreement and that SUBRECIPIENT is in compliance with the terms and conditions of this Agreement. Failure to provide any of the required documentation and reporting will cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such documentation and reporting has been received and approved by CITY. Documentation may include, but is not limited to true copies of invoices, receipts, canceled checks, bank statements, credit card statements, procurement documentation for goods or services, timesheets, payroll records, benefit statements, agreements, contracts or documentation pertaining to costs for subcontractors, and/or other documentation supporting and evidencing how the CDBG FUNDS have been expended during the applicable quarter. B. AudL.of Account, CITY shall include an audit of the account maintained by SUBRF.CIPIENT in CITY's annual audit of all CDBG FUNDS in accordance with Title 24 of the Code of Federal Regulations and otter applicable federal laws and regulations. C. Conlon Rule: Pursuant to 2 CFR 200328(a), the CITY manages the day-to-day operations of each grant and subgrant supported activities. CITY staff has detailed knowledge of the grant program requh^ements and monitors grant and subgrant supported activities to assure compliance with Federal requirements. Such monitoring covers each program, function and activity and perfbraiance goals are reviewed periodically. D. Environmental Review: In accordance with 24 CFR 58, the CITY is responsible for undertaking environmental review and maintaining environmental review records for each applicable project. E. Performance Monitorinc: CITY shall monitor the }performance of SUBRECIPIENT against goals and performance standards required herein. The SUBRECIPIM' shall be responsible to accomplish the levels of performance as set forth in Exhibit A and report such measures quarterly to the CITY. If the SUBRECIPIENT estimates such goals will not be met, the SUBRECIPIENT is to contact the CITY, at which time the CITY will determine if any adjustments to the grant award is appropriate. Substandard performance as determined by the CITY will constitute non-compliance with this Agreement. Should the CITY detern-ine that the SUBRECIPIENT has not performed its obligations as stated in this contract in a satisfactory manner, or if the CITYdetermines that insufficient supporting information has been submitted, the CITY shall notify the SUBRECIPIENT in writing of its determination specifying in fill. detail the objections which it has to the SUBRI CIMENT's performance. If action to correct such substandard performance is not taken by the SUBRECIPIENT alter being 75C-46 notified by the CITY, within a reasonable period of time as stipulated in the written notification, contract suspension or termination procedures will be initiated. M. NONDISCRIMIN&TION A. SUBRECfPIENT agrees to comply with Executive Order 11246 which requires that during the performance of this Agreement, SUBRF..CIPIENT agrees not to discriminate against any employee or applicant for employment because of race, religion, sex, color or national origin. Such action shall include, but not be limited to the following: employment, upgrading, demotion, or transfer, rates of pay or other forms or compensation, and selection for training, including apprenticeship. SUBRECIPIENT agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the SUBRECIPIENT setting forth the provisions of this nondiscrimination clause. B. SUBRECIPIENT agrees to comply with Title VI of the Civil Rights Act of 1964 which indicates that no person shall, on (tie ground of race, color or national origin, be excluded from participation in, be dewed the benefits of, or be subject to discrimination under any program of activity receiving federal financial assistance. C. No person shall, on the grounds of race, sex, creed, color, religion, marital status, national origin, age, sexual orientation, or physical or mental handicap be excluded from 'participation in, be refused the benefits of, or otherwise be subject to discrimination in any activities, programs or employment supported by this Agreement. SUBRECIPIENT is prohibited from discrimination on the basis of age or with respect to an otherwise qualified handicapped person as provided for under Section 109 of the housing and Community Development Act of 1974, as amended. D. SUBRECIPIENT agrees to comply with the Age Discrimination Act of 1975 which requires that during the performance of this Agreement, SUBRECIPIENT agrees not to discriminate against any employee or applicant for employment because of age. Such action shall include, but not be limited to the following: employment upgrading, demotion, or transfer, rates of pay or other forms of compensation, and selection for training, including apprenticeship. SUBRECIPIENT agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the SUBRECIPIENT setting forth the provisions of this age discrimination clause. E. SUBRECIPIENT agrees to comply with Section 504 of the Rehabilitation Act of 1973 which requires that no otherwise qualified individual with a disability in the United States, shall, solely by reason of his or her disability, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance or under any program or activity conducted by any executive agency or by the United States Postal Service. IV. CONFLICT OF INTEREST Pursuant to the conflict of interest requirements set forth in 24 CPR 570.611 and 2 CPR 200.112, SUBRECIPIF,NT certifies that tie member, officer, employee, agent or assignee of CITY having direct or indirect control of any CDBG monies granted to the CITY, inclusive of the subject CDBG FUNDS, shall serve as an officer of SUBRECIPIEI4T. Further, any conflict or potential conflict of interest of any officer or SUBRECIPIENT shall be fully disclosed in writing prior to the execution of this Agreement and said writing shall be attached and deemed fully incorporated as a part hereof. Notice shall be sent by SUBRECIPIENT to CITY regarding any changes or modifications to its board of directors and list of officers. 75C-47 V. SPECIAL CERTIFICATION FOR RELIGIOUS ENTITIES If SUBRECIPMNT is a religious entity, SUBRECIPIENT hereby agrees that in connection with the provision of the services SUBRECIPIENT shall provide with CDBG funds, in accordance with 24 CPR 570.2000): A. SUBRECIPIENT shall not discriminate against any employee or applicant for employment on the basis of religion and shall not limit employment or give preference in employment to persons on the basis of religion. B. SUBRECIPIENT shall not discriminate against any person applying for the services SUBRECIPIENT agrees to provide under the terms of this Agreement on the basis of religion and shall not limit such services or give preference to applicants for such services on the basis of religion. C, SUBRECIPIENT shall NOT provide religious instruction or counseling, conduct any religious worship or services, or engage in any religious proselytizing, or exert any religious influence in the provision of the services in said program. The parties agree that this covenant is intended to and shall be construed for the limited purpose of assuring compliance with respect to the use of CITY funds by SUBRECIPIENT with applicable constitutional limitations respecting the establishment of religion as set forth in the establishment clause under the First .Amendment of the United States Constitution and Article I, Section 4 of the California Constitution, and is not in any marmer intended to restrict other activities of SUBRECIPIENT. D. The portion of a facility used to provide public services assisted in whole or in part under this Agreement shall contain no sectarim or religious symbols. E. Where the services to be provided under said program are rendered on property owned by the primarily religious entity SUBRECIPIENT, CDBG funds may also be used for minor repairs to such property which are directly related to the cost of rendering the services under said program, where the cost constitutes in dollar terms only an incidental portion of the CDBG expenditure for rendering the services under said progr aIll SUBRECIPIENT agrees not to hire or permit the hiring of any person to fill a position funded through this Agreement if a member of that person's immediate family is employed in an administrative capacity by SUBRECIPIENT. For the purposes of this section, the term "immediate family" means spouse, child, mother, father, brother, sister, brother-in-law, sister-in-law, iirther-in-law, mother-in-law, son-in-law, daughter-in-law, aunt, uncle, niece, nephew, stepparent and stepchild. The tern "administrative capacity" means having selection, hiring, supervisor or management responsibilities. VII. NOTICES Notices to the parties shall, unless otherwise requested in writing, be sent by U.S. Mail, postage prepaid, and addressed as follows: TO CITY: City of Santa Ana Community Development Agency (M-25) 20 Civic Center Plaza P.O. Box 1988 Santa Ana, Califon-& 92702-1988 10 75C-48 TO SUBRECIPIENT: OrganizationContact Address Line I Address1i net Address Line VUL ASSIGNABILITY None of the duties of, or work to be performed by, SUBRECIPIENT under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. SUBRECIPIENI' must submit all subcontracts and other agreements that relate to this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of SUBRECIPIENT pursuant to this Agreement. Ix. MOLD HARMLESS SUBRECIPIENT shall indeminfy, defend and save harmless CITY, its officers, employees, agents, representatives and volunteers from and against any and till damages to or for loss of use of property and for injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indenwify, and save harmless CITY, its officers, employees, agents, representatives and volunteers from and against any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers compensation claims and including attorney fees and reasonable expenses for litigation or settlement, resulting front or arising out of the negligent or wrongful acts, errors or omissions of SUBRECIPIENT, its officers, directors, employees, agents, subcontractors and suppliers arising out of SUBRECIPIENT's performance of this Agreement. X. INSURANCE 1. Commercial General Liability,, SUBRECIPIENT agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial public liability insurance insuring the CITY, and SUBRECIPIENT against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000,00) for any injury to or death of any person or persons in any single accident or occurrence. Said policy of comprehensive liability insurance shall be endorsed to provide to CITY at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, additional insured; and state that such coverage is primary to any other coverage or self- insurance and CITY. Governmental entities may provide proof of self-insurance. (a) Such insurance shall: (1) name the City of Santa Ana, its officers, agents, representatives, employees and volunteers as additional insured's; (2) be primary with respect to insurance or self-insurance programs maintained by the CITY; (3) contain standard separation of insured's provisions; and (4) give to CITY prompt and timely notice of claim made or suit instituted arising out of SUBRECIPIP;NT's operations hereunder. (b) SUBRECIPIENT shall: (1) prior to exercising any right under this Agreement, furnish properly executed certificates of insurance and additional insured endorsement to the CITY which shall clearly evidence all coverages required above; (2) provide that such insurance shall not be materially changed or terminated except on 30 days prior written notice to the CITY; (3) maintain such insurance for the period covered by this Agreement; acid (4) replace such certificates for policies expiring prior to the expiration of this Agreement II 75C-49 2. Automobile Liability Coverage, SUBR.ECIPIENT shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with a $1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non -owned automobiles used by SUBRECIPIENT employees or participants in perfornknnce of this Agreement, or, in the event that S'UBRECIPIENT will not utilize such owned/leased automobiles but intends to require employees, participants or other agents to utilize their own automobiles in the performance of this Agreement, SUBRECIPIENT shall secure and maintain on file from all such employees, participants, or agents as self -certification of automobile insurance coverage. Governmental entities may provide proof of self- insurance. 3. Workers' Compensation. If SUBRECIPIENT is an "employer", as set forth in California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in California Labor Code Section 3350 et seq., SUBRECIPIENT shall obtain and keep in force during the term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by participants. Said insurance policy shall guarantee CITY at beast thirty (30) days written notice of cancellation or modification. 4. Equipment Coveraee. SUBRECIPIENT shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by SUBRECIPIENT in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a certificate of self- insurance. 5. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. SUBRECIPTENT understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. X1. REVERSION OF ASSETS A. Upon the expiration of this Agreement, SUBRECIPIENT shall transfer to CITY any CDBG funds on hand at the time of the expiration of this Agreement as well as any accounts receivable attributable to the use of CDBG funds. [24 CFR 570.503(b)(7)j B. Any real property under SUBR.ECIPMI T's control that was acquired or improved'in whole or in part with CDBG Rinds in excess of $25,000,00 must either be: 1, Used, where CITY has given written approval, to meet one of the national objectives stated in 24 CFR 570.208 until five (5) years after expiration of this Agreement, or for such longer period of time as determined to be appropriate by CITY; or 2. If not used in accordance with subparagraph i above, SUBRECIPIENT shall pay to CITY an amount equal to the current fair market value of the property less any portion of the value attributable to the expenditure of non-CDBG funds for acquisition of, or improvement to, the property. Such payment is program income to CITY. C. Subject to the obligations set fortis herein, title to equipment acquired under the terms of this Agreement will vest upon acquisition in SUBRECIPIENT. When said equipment which has been acquired in accordance with this Agreement and all applicable regulations is no longer needed for said program, disposition of said equipment will be made as follows: 12 75C-50 1. Items of equipment with a current per unit fair market value of less than $5,000.00 may be retained, sold or otherwise disposed of with no farther obligation to CITY. 2. Items of equipment with a current fair market per unit value of $5,000.00 or more may be retained or sold and CITY shall have the right to an amount calculated by multiplying the current market value or proceeds from the sale by CITY's share of federal funds used to acquire the equipment, in accordance with 2 CPR 200.313(e)(2). D, SUBRECIPIENT hereby agrees, upon the demand of CITY, to execute, acknowledge and deliver, or cause any person or entity who may have any claim to rights hereunder or under any document, instrument or agreement executed in furtherance of the services and activities to be performed hereunder, to execute, acknowledge and, deliver, to CITY assigntnent(s), quit claim deed(s) or such other and further instruments, documents and agreements as may be necessity, in the sole and absolute discretion of CITY, to vest in CITY all of SUBRF,CIPIENT's right, title and interest (if any it may have) in and to CITY, CDBG or other federal, state and/or local accounts or program funds or allocation of hinds to which CITY is or may be entitled, either for its own account or as fiduciary or tnistee for others, which were obtained for the purpose of the performance of this Agreement or any previous agreements relating to the same subject matter or activities as this Agreement, together with any instruments, loans, grants or advances by SUBRECIPIENT on behalf of CITY, in furtherance of the activities hereunder or thereof. SUBRECIPIENT's obligations and responsibilities set forth in this paragraph "XI. REVERSION OF ASSLrS " and in paragraph "XII. TERMINATION" and other requirements pertaining to program income shall not be affected by tare termination of this Agreement and shall survive the date of termination of this Agreement for such period of time as CITY and/or HUD deems necessary for the responsibilities; duties and obligations to be performed and completed to the satisfaction of CITY anti HUD. XIh TERMINATION A. This Agreement may be terminated on thirty (30) days' written notice by either party, In the event of such termination, SUBRECIPIFNT shall only be entitled to reimbursement for approved expenses incurred to the effective date of termination. B. This Agreement may be suspended or terminated by CITY upon five (5) days' written notice for violation by SUBRECIPIENT of Federal Laws governing the rise of Community Development Block Grant Funds. In the event of such suspension or termination, SUBRECIPIENT shall only be entitled to reimbursement for approved expenses incurred up to the effective date of suspension or termination. C. Pursuant to 2 CPR 200.340, in the event SUBRECIPIENI' defaults by failing to fulfill all or any of its obligations hereunder, CITY may declare a default and termination of this Agreement by written notice to S UBRECIPIENT, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of father liability or responsibility under this Agreement, or as a result of the ternnation thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1)any payments made for services not subsequently perforned in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. D. The grant of funds under this Agreement may be terminated for convenience by either the CITY or SUBRECIPIENF, in whole or in pant, by setting forth the reasons for such termination, the effective date, 13 75C-51 and, in the case of portion termination, their portion to b terminated, however, if in the case of a partial termination, the CITY detennines that the remaining portion of the award will not accomplish the purpose for with the award was made, the CITY may terminate the award in its entirety. E. The grant of funds under this Agreement may be terminated due to the non-performance of SUBRECIPIENT and/or failure of SUBRECIPENT to perform the work described in Exhibits A and B or failure to meet the performance standards and program goals set forth therein. F. In the event this Agreement is terminated as set forth in subparagraphs XH A. through XII.E., inclusive, SUBRECIPIENT agrees to immediately return, to CITY upon CITY's demand and prior to any adjudication of SUBRECIPIF.,Nf's rights, any and all finds not used, and to comply with paragraph "XI, REVERSION OF ASSETS" of this Agreement. XIU. LIMITATION OF FUNDS The United States of America, through I -IUD, may in the future place programmatic or fiscal limitations on the use of CDBG funds which limitations are not presently anticipated. Accordingly, CITY reserves the right to revise this Agreement in order to take account of actions affecting I-WD program funding. In tine event of funding reduction, CITY may, in its sole and absolute discretion, reduce the budget of this Agreement as a whole or as to costs category, may limit the rate of SUBRECIPiENT's authority to commit and spend funds, or may restrict SUBRECIPIENT's use of both its uncormnitted and its unspent funds. Where HUD has directed or requested CITY to implement a reduction in funding, in whole or as to a cost category, with respect to funding for this Agreement, CITY's City Manager or delegate is authorized to act for CITY in implementing and effecting such a reduction and in revising, modifying, or amending the Agreement for such purposes. If such a reduction in funding occurs, SUBRECIPIENT shall be permitted to de -scope accordingly. Where CITY has reasonable grounds to question SUBRECIPIEN'I"s fiscal accountability, financial soundness, or compliance with this Agreement, CITY may suspend the operation of this Agreement for up to sixty (60) clays upon five (5) days written notice to SUBRECIPIENT of its intention to so act, pending an audit or other resolution of such cluestions. In no event, however, shall any revisions made by CITY affect expenditures and legally binding commitments made by SUBRECIPIENT before it received notice of such revision,, provided that such amounts have been cornmitted in good faith and are otherwise allowable and that such commitments are consistent with IIUD cash withdrawal guidelines, XIV. 1 XCLUSI Ily AND AMI;NDMEMr OF AGREEMENT Tills Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the use of CITY's CDBG funds by SUBRECIPIENT and contains all the covenants and agreements between the parties with respect to such employment in any manner whatsoever. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any ,party, or anyone acting on behalf of any party, which are .not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and SUBRECIPIENr. XV. LAWS GOVERNING THIS AGREEMENT This Agreement shall be governed by and construed in accordance with the laws of the State of California, and all applicable federal laws and regulations. 14 75C-52 XV1. CLOSE-OUT The SUBRECIPIENT agrees to comply with the closeout procedures detailed in 2 CFR §200.343, including the following: 1. SUBRECIPIENT must submit, no later than ninety (90) calendar days after the end date of the period of performance, all financial, performance, and other reports as required by the terms and conditions of the Federal award; 2. Unless the CITY authorizes an extension, SUBRECIPIENT must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as specified in the terms and conditions of the Federal award; 3. SUBRECIPIENT must promptly refund any balances of unobligated cash that the CITY paid in advance or paid and that is not authorized to be retained by SUBRECIPIENT for use in other projects (See OMB Circular A-129 and 2 CFR §200.345); 4. SUBRECIPIENT must account for any real and personal property acquired with Federal funds or received from the Federal government in accordance with 2 CFR §§200.310- 200.310 and 200.329; and, 5. The CITY should complete all closeout actions for the Federal award no later than one year after receipt and acceptance of all required final reports. XV11. VALIDITY AND SEVERABILITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. Whenever possible, each provision of this AGREEMENT shall be interpreted in such manner as to be effective and valid under applicable law, but if any provision of this AGREEMENT is held to be prohibited by or invalid under applicable law, such provision shall be ineffective only to the extent of such prohibition or invalidity, without invalidating the remainder of such provisions of this AGREEMENT. XVIH, WAIVER No delay or omission by either party hereto to exercise any right or power accruing upon any noncompliance or default by the other party with respect to any of the turns of this Agreement shall impair any such right or power or be construed to be a waiver thereof A waiver by either of the parties hereto of any of the covenants, conditions, or agreements to be performed by the other shall not be construed to be a waiver of any succeeding Breach thereof or of any other covenant, condition or agreement herein contained. XIX. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify CITY fully, including reasonable costs and 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. 15 75C-53 b. All Exhibits and Attachments referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. (Signatures can followingpcage) 16 75C-54 IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the last date and year written below. ATTEST: MAMA D. HUIZAR Clerk ot'the Council APPROVLD AS TO FORM: SONIA R. CARVAL,HO . HODGE Attorney RECOMMENDED FOR APPROVAL: ROBERT C. CORTEZ Deputy City Manager Community Development Agency 17 75C-55 CITY OF SANCA ANA GERARDO MOUET Acting City Manager SUMCIPIENT: Name: -- Title: Tax IDs ,DUNS M. City of Santa Ana CDBG Scope of Work Program Year 2017-18 (July 1, 2017 - June 30, 2018) Name of Organization Organization Name Name of Funded Program Program Name Annual Accomplishment Goal Undu Schedule of Performance Quarter 1: JUL 1 - SEP 30 Quarter 2: OCT 1 - DEC 31 Quarter 3: JAN 1 - MAR 31 Quarter 4: APR 1 - JUN 30 Unduplicated Participants 0 the 12-month contract period. 0%I 11-ow Income Participants r 0% Estimated Page 1 of 1 75C-56 FISCAL YEAR 2017-2018 PROPOSED PROGRAM BUDGET Organization Name Organization Name Program Name Program Name EXPENDITURES Enter budget categories and projected expenditures for the proposed program: Category Expenditures Funded By Santa Ana CDBG Expenditures Funded By Other Sources Program Budget Total Organization Budget Administrative Staff Salaries & Benefits $0 $0 Program Staff Salaries & Benefits $0 $0 Contractual/Professional Services $0 $0 0 $0 $0 0 $0 $0 0 $0 $0 0 $0 $0 0 $0 $0 0 $0 $0 0 $0 $0 TOTAL Direct Costs $0 $0 $0 $0 Indirect Costs 10% $0 TOTALBUDGET $0 $0 $0 * Indirect cost rate: 10% Non -Federal entity without federaly recognized negotiated indirect cost rate, will charge a de minimis rate of 10% of modified total direct costs. PROGRAM RESOURCES LIST ALL OTHER PROGRAM RESOURCES FOR 2017-2018 Funding Source Total n Lust equal vrogram nuaget i otai ustea auove. FUNDING SOURCE I AMOUNT nta Ana CDBG TOTAL - 1 $ - 1=111IL:31I111W 75C-57 2017-2018 CDBG BUDGET LINE ITEMS ADMINISTRATIVE STAFF Position Title Annual Salary N Benefits CDBG Funds Requested Description PROGRAM STAFF Position Title Annual Salary & Benefits CDBG Funds Requested Description CONTRACTUAL/PROFESSIONAL SERVICES Type of Service Contract Amount CDBG FundsRequested Description OTHER LINE ITEMS Line Item Program Amount CDBG Funds Requested Description EXHIBIT B-1 75C-58 Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' responsibilities. The regulations were published as Part VII of the May 26,1988 Federal Register (pages 19160-19211). (BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS FOR CERTIFICATION - Attached) (1) The prospective recipient of federal assistance funds certifies, by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department or agency. (2) Where the prospective recipient of federal assistance funds is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Name and Title of Authorized Representative Signature Date EXHIBIT C Page 1 of 2 75C-59 1. By signing and submitting this proposal, the prospective recipient of federal assistance funds is providing the certification as set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective recipient of federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the Department of Labor (DOL) may pursue available remedies, including suspension and/or debarment. 3. The prospective recipient of federal assistance funds shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective recipient of federal assistance funds learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. The prospective recipient of federal assistance funds agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the DOL. 6. The prospective recipient of federal assistance funds further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and voluntary exclusion - Lower Tier Covered Transactions," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to check the List of Parties Excluded from Procurement or Non - Procurement Programs. 8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the DOL may pursue available remedies, including suspension and/or debarment. EXHIBIT C Page 2 of 2 75C-60 Certification Regarding Lobbying Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contact, grant, loan or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, 'Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontract, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Grantee/Contactor Organization Program Title Name of Certifying Officer Signature Date EXHIBIT D Page 1 of 2 75C-61 SUBRECIPIENT warrants the following: 1. SUBRECIPIENT will comply with Public Law 88-352, Title VI of the Civil Rights Act of 1964 (42 U. S. C. section 2000 et seq.) and implementing regulation in 24 CFR Part 1. 2. No person in the United States shall on the ground of race, color, religion, national origin, or sex, be excluded from participation in, or be denied the benefits of, or be subjected to discrimination under any program or activity funded in whole or in part with community development funds made available pursuant to the ACT. 3. All laborers and mechanics, employed by contractors or subcontractors in the performance of construction work financed in whole or in part with community development funds shall be paid wages at rates not less than those prevailing on similar construction in the locality as determined in accordance with the Davis -Bacon Act, as amended, 40 U. S. C. Sections 276 a 1-5, except for individuals who perform services for which they volunteered; do not receive compensation for such services; or are paid expenses, reasonable benefits, or a nominal fee for such services; and are not otherwise employed at any time in construction work. 4. SUBRECIPIENT will comply with all Federal statutes applicable to projects funded with community development funds, except that (a) SUBRECIPIENT does not assume CITY'S environmental responsibilities described at 24 CFR 570.604; and (b) SUBRECIPIENT does not assume CITY'S responsibility for initiating the review process under Executive Order 12372. EXHIBIT D Page 2 of 2 75C-62 Certification Regarding Drug -Free Workplace Requirements The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Housing and Urban Development in awarding the grant. If it is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug -Free Workplace Act. CERTIFICATION A. The contractor certifies that it will provide a drug -free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug -free awareness program to inform employees about— (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug -free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that, as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. (e) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction; EXHIBIT E Page 1 of 3 75C-63 (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted - ( 1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Making a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached "Place of Performance" form the site(s) for the performance of work to be carried out with the grant funds (including street address, city, county, state, and zip code) .the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of work under the contract, it shall notify the U.S. Department of Housing and Urban Development immediately upon the decision to use such additional sites by submitting a revised "Place of Performance" form. Organization Authorized Signature Date EXHIBIT E Page 2 of 3 75C-64 PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS Name: Date: The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): EXHIBIT E Page 3 of 3 75C-65 75C-66