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HomeMy WebLinkAboutAGENDA PACKET_2021-11-16City Council and Special Housing Authority Meeting Packet November 16, 2021 CLOSED SESSION MEETING – 5:00 PM REGULAR OPEN MEETING – 5:45 PM  (Immediately following the Closed Session Meeting) CITY COUNCIL CHAMBER 22 Civic Center Plaza Santa Ana, CA 92701 Vicente Sarmiento Mayor Thai Viet Phan Councilmember – Ward 1 David Penaloza Mayor Pro Tem ­ Ward 2 Jessie Lopez Councilmember ­ Ward 3 Phil Bacerra Councilmember ­ Ward 4 Johnathan Ryan Hernandez Councilmember ­ Ward 5 Nelida Mendoza Councilmember ­ Ward 6 Mayor and Council telephone: 714­647­6900 Agenda item inquiries: 714­647­6520 Sonia R. Carvalho City Attorney Kristine Ridge City Manager Daisy Gomez Clerk of the Council In compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting, contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enable the City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supporting documentation can be found on the City’s website – www.santa­ana.org/city­meetings. CITY VISION AND CODE OF ETHICS The City of Santa Ana is committed to achieving a shared vision for the organization and its community. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtful and inclusive process designed to set the City and organization on a course that meets the challenges of today and tomorrow, as follows: Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment in youth • Safe and healthy community • Neighborhood pride • Thriving economic climate • Enriched and diverse culture • Quality government services Mission ­ To deliver efficient public services in partnership with our community which ensures public safety, a prosperous economic environment, opportunities for our youth, and a high quality of life for residents. Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility • Innovation • Transparency Code of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008, voters approved an amendment to the City Charter which established the Code of Ethics and Conduct for elected officials and members of appointed boards, commissions, and committees to assure public confidence. The following are the core values expressed: • Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • Efficiency Resolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, is set to expire on December 2, 2021. Therefore, virtual participation for City Council meetings will no longer be available beginning December 3, 2021. Members of the public may attend the City Council meeting in­person or join via Zoom. The City Council meeting will occur live via teleconference Zoom webinar. You may view the meeting from your computer, tablet or smart phone via YouTube LiveStream at www.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 and AT&T U­verse channel 99. PUBLIC COMMENTS – Members of the public who wish to address the City Council on closed session items, items on the regular agenda or on matters which are not on the agenda, but are within the subject matter jurisdiction of the City Council may do so by one of the following ways: MAILING OPTION written communications – Public comments may be mailed to: Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA 92701. All written communications received via mail by 4:00 p.m. on the day of the meeting will be distributed to the City Council and imaged into the City’s document archive system which is available for public review. SENDING E­MAIL OPTION – Public comments may be sent via email to the City Clerk’s office at eComment@santa­ana.org. Please note the agenda item you are commenting on in the subject line of the email. All emails received before 4:00 p.m. on the day of the meeting will be distributed to the City Council and imaged into the City’s document archive system which is available for public review. LIVE VIRTUAL OPTION – Members of the public may provide live comments during the meeting by Zoom or Conference Call. To join by Zoom click on or type the following address into your web browser https://us02web.zoom.us/j/315965149. To join the Conference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You will be prompted by the City Clerk when it is time for a: i) closed session item, ii) general agenda item, iii) public hearing item, iv) special agenda item, or v) for Housing Authority item. You may request to speak by dialing *9 from your phone or you may virtually raise your hand from Zoom. After the Clerk confirms the last three digits of the caller’s phone number or Zoom ID and unmutes them, the caller must press *6 or microphone icon to speak. Callers are encouraged, but not required, to identify themselves by name. Each caller will be provided three (3) minutes to speak, unless due to the number of speakers wanting to speak a decision is made to provide a different amount of time to speak. IN­PERSON OPTION ­ Members of the public can provide in­person comments at the podium in the Council Chamber. The Council Chamber will have seating available for members of the public to attend the meeting in­person up to full capacity. Face coverings are optional for members of the public who enter City buildings who have been vaccinated against COVID­19. Public comments are limited to three (3) minutes per speaker, unless a different time is announced by the presiding chair. Speakers who wish to address the Council must do so by submitting a “Request to Speak” card by 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designated public comment periods as listed below. Cards will not be accepted after the Public Comment Session begins without the permission of the presiding chair. The following designated public comment periods are: 1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide live comments on closed session items by joining Zoom or the Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will open at 4:30 p.m. 2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDA ITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will open at 4:30 p.m.  3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTS OPTION above.  4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTS OPTION above.  About the Agenda To download or view the attachments (staff report and other supporting documentation) for each agenda item, you must select the agenda item to see the attachments to either open in a new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ). CLOSED SESSION CALL TO ORDER ATTENDANCE Council Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Mayor  Pro Tem David Penaloza Mayor Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address the City Council on Closed Session items. CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SA CV 20­0069­DOC (DFMx) B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court (Central District of California), Case No. SA CV 18­0155­DOC (KESx) C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court (Central District of California), Case No. SA CV 18­0155­DOC (KESx) CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken at the Regular Open Session which will begin immediately following the Closed Session. RECESS – City Council will recess to Closed Session for the purpose of conducting regular City business. RECONVENE – City Council will reconvene to continue regular City business. CITY COUNCIL REGULAR OPEN SESSION CALL TO ORDER ROLL CALL PLEDGE OF ALLEGIANCE Mayor Sarmiento INVOCATION Rupert Vega, Police Chaplain CEREMONIAL PRESENTATIONS 1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphony for Outstanding Contributions to Arts and Culture. 2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) and PJ Vegas representing the Yoeme Tribe declaring November 2021 as Native American Heritage Month. 3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan, posthumously, for his Outstanding Service to our Country. STAFF PRESENTATIONS 4.Homeless Update CLOSED SESSION REPORT – The City Attorney will report on any action(s) from Closed Session. PUBLIC COMMENT – Public comments will be held during the beginning of the meeting for ALL comments on agenda and non­agenda items, with the exception of public hearings. Comments for public hearings will take place after the hearing is opened. CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Items: 5 through 25. 5.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse the absent members. 6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKING METERS First reading at the November 2, 2021 City Council meeting and approved by a vote of 7­0. Published in the Orange County Reporter on November 5, 2021. Department(s): Public Works Agency Recommended Action: Place ordinance on second reading and adopt. 7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Works and up to $250,000 for Public Works Authorized by the City Manager as Permitted by Charter Section 421 Department(s): Finance and Management Services Recommended Action: Receive and file Quarterly Report of Contracts entered into between July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­public works contracts and agreements and up to $250,000 for public works contracts and agreements.  8.Receive and File Quarterly Report of Investments as of September 30, 2021 Department(s): Finance and Management Services Recommended Action: Receive and file. 9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/Safety Gloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed $300,000 Over the Two­Year Term, with Three One­Year Renewal Options (Specification No. 21­101) (General Fund) Department(s): Police Department Recommended Action: Award blanket order contracts to JC Dental Supply and Medzon Health to provide nitrile examination gloves for a two­year period beginning November 16, 2021 and expiring November 15, 2023 in the annual aggregate amount of $150,000 for a total aggregate amount not to exceed $300,000 over the two­year period, with provisions for three one­year renewals by mutual agreement. Subject to non­substantive changes approved by the City Manager and City Attorney. 10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional Ford Police Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­ 053) (Non­General Fund) Department(s): Public Works Agency, Police Department Recommended Action: Amend the contract with Fairway Ford Sales, Inc., to purchase 25 additional Ford Police Interceptor vehicles for the Santa Ana Police Department, for a total amount not to exceed $1,068,909.50 (including a $20,000 contingency), subject to non­substantive changes approved by the City Manager and City Attorney.  11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) to Increase Contract Renewal Amount by $200,000 for the Remaining Three Renewal Periods (Specification No. 20­007) (Non­General Fund)  Department(s): Public Works Agency Recommended Action: Amend the purchase order contract with Stommel, Inc., (dba Lehr Auto Electric) for police vehicle conversion equipment and installation services by increasing the contract renewal amount $250,000, for an annual amount not to exceed $450,000 and a total contract amount not to exceed $1,350,000 for the remaining three, one­year renewal periods, subject to non­substantive changes approved by the City Manager and City Attorney. 12.Amend Purchase Order Contract with All American Asphalt to Increase the Annual Amount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­ General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an amendment to the Purchase Order Contract with All American Asphalt for asphalt pothole repair, to increase the annual amount by $147,800, for a total annual amount not to exceed $697,800, for the remaining term of the agreement ending on November 30, 2021, with two optional one­year renewal options exercisable by the City Manager and City Attorney, subject to non­substantive changes approved by the City Manager and City Attorney.  13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of $360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an Estimated Project Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to CJ Concrete Construction, Inc, the lowest responsible bidder, in accordance with the base bid in the amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­ 22, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $594,210.50, which includes $360,183 for the construction contract; $54,027.50 for contract administration, inspection and testing; and a $180,000 project contingency for unanticipated or unforeseen work. 14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in the Amount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­ 22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­ 6466) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to Stephen Doreck Equipment Rentals, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $1,265,465, for construction of the Grovemont Street Water Main Improvements FY 2021­22 Project, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,645,105, which includes $1,265,465 for the construction contract; $189,820 for contract administration, inspection and testing; and $189,820 in project contingency for unanticipated or unforeseen work. 15.Approve an Agreement with Service First Contractors Network dba Service First for Fountain Maintenance Services located at the Downtown Civic Center, including Plaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1 Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional Transportation Center (1 Fountain) (Non­General Fund) Department(s): Parks, Recreation, and Community Services Recommended Action: Authorize the City Manager to execute an agreement with Service First Contractors Network dba Service First to provide fountain maintenance services in an annual amount not to exceed $106,170, which includes a 20% contingency, for a term from January 1, 2022 through December 31, 2023, with two, one­year renewal options for a total amount not to exceed $424,680, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  16.Agreement with Patrol Solutions, LLC for unarmed security guard services for Downtown Santa Ana and Civic Center area (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute an agreement with Patrol Solutions, LLC for unarmed security services for Downtown Santa Ana and Civic Center area, for a one­year term, in the amount of $185,990, beginning November 16, 2021 through November 15, 2022, with an option of two one­year extensions, for a total aggregate amount not to exceed $545,000, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in an Amount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Santolucito Doré Group, Inc., to provide completion of final close­out work per Caltrans requirements and property appraisal services, on an as needed basis, in an amount not to exceed $149,500, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­ way property appraisal services, in a shared aggregate amount not to exceed $300,000, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­Call Right­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an Amount Not to Exceed $649,500 for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Monument ROW to provide completion of final close­out work per Caltrans requirements, acquisition maintenance, and a relocation assistance program, in an amount not to exceed $149,500 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Monument ROW and Overland, Pacific & Cutler LLC to provide completion of final close­out work, acquisition maintenance, and a relocation assistance program, in a shared aggregate amount not to exceed $500,000 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 19.Approve an Agreement with Arch Insurance Company to Take Over the San Lorenzo Sewage Lift Station Project (Project No. 06­3510) (Non­General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with Arch Insurance Company to take over the San Lorenzo Sewage Lift Station Project and be responsible for the completion of all work in accordance with the contract subject to non­substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for Debit and Credit Card Merchant Payment Processing Services, including Europay, MasterCard, Visa and e­Commerce Gateway Transaction Integration and Support in the Amount not to Exceed $172,500, which Includes a General Contingency of $22,500 Department(s): Finance and Management Services Recommended Action: Authorize the City Manager to execute a renewal agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit and credit card payment processing services, including Europay, MasterCard, and Visa and e­Commerce gateway transaction integration and support in an amount not to exceed $172,500, which includes a general contingency of $22,500.  The renewal agreement shall commence November 16, 2021, and expire June 30, 2022, and will cover all services provided by Consultant since July 1, 2021, subject to non­ substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 21.Approve an Amendment to Agreement with Salvation Army to Operate a Temporary Shelter at the Hospitality House for One Additional Month (Non­General Fund) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute: 1. An amendment to the agreement with Salvation Army to continue to operate a temporary shelter at the Hospitality House through January 31, 2022 for an additional amount of $130,000, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. A first amendment, and any future amendments, to the agreement with Salvation Army to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­ CV) funds to operate the shelter at the Hospitality House through January 31, 2022, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­ XXX).  22.Approve a Second Amendment to Illumination Foundation Agreement to Operate a Temporary Shelter at the Fullerton Recuperative Care Center for up to Two Additional Months Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute a second amendment to the agreement with Illumination Foundation to extend the term to operate a temporary shelter at the Fullerton Recuperative Care Center for up to an additional two months through January 31, 2022, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 23.Adopt a Resolution Approving the Events Permit Policy, including Park Facility Permits, Film Permits, Land Use Certificates, and Special Event Permits Department(s): Parks, Recreation, and Community Services Recommended Action: Resolution No. 2021­XXX – Adopt a Resolution approving the Events Permit Policy, including park facility permits, film permits, land use certificates, and special event permits. 24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023 Measure M2 Comprehensive Transportation Funding Program (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  Adopt Resolutions Authorizing the City of Santa Ana to submit applications for funding consideration under the Measure M2 Comprehensive Transportation Funding Program 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX). 2. Direct staff to incorporate approved Comprehensive Transportation Funding Program projects into the Seven­Year Capital Improvement Program for Fiscal Year 2022­23. 25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive Performance Evaluation Conducted on October 19, 2021 and Approving an Amended Annual Salary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 to Effect Certain Changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS) Department(s): Human Resources Recommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirming positive evaluation results and approving an adjusted annual salary for the City Manager, and 2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­ 111 to effect certain changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS). **END OF CONSENT CALENDAR** BUSINESS CALENDAR 26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order to PrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana Resident Stimulus Program (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: 1. Approve an appropriation adjustment to reallocate $2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­ 69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for the Revive Santa Ana Resident Stimulus Program. (Requires five affirmative votes) 2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for the purchase of 20,000 $300 pre­paid visa cards. 27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing of Community Meetings for Certain Development Projects, Lobbyist Disclosure Policy, and Publishing Timeline for City Council Meeting Agendas Department(s): City Manager Office Recommended Action: 1. Approve the first reading of an ordinance amending the Sunshine Ordinance to expand the number of community meetings for certain development projects from one to two, increase the radius of distributing noticing of said community meetings from 500 feet of the subject property to 1,000 feet, implement a Lobbyist Registration Policy, and revise the timeline to publish City Council meeting agendas from four days to seven days. 2. Approve an appropriation adjustment recognizing $40,000 from prior­year fund balance in the General Fund and appropriate the same amount to the General Fund, Clerk of the Council Service Enhancement salaries ($10,000) and contractual services ($30,000) expenditure accounts. (Requires five affirmative votes) **END OF BUSINESS CALENDAR** PUBLIC HEARINGS PUBLIC COMMENTS – Members of the public may address the City Council on each Public Hearing item. 28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19 Incurred by the City for Weed, Rubbish, and Garbage Abatement Within Private Property Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado de Orange Legal Notice published in the Orange County Reporter on November 5, 2021 and notices mailed on said date. Department(s): Planning and Building Agency Recommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming the acceptance of the Weed, Rubbish, and Garbage Abatement report and confirm the Code Enforcement Division description for the recovery of the costs in an amount of $39,604.19, associated with the execution of the Inspection and Abatement Warrant on May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en el Condado de Orange. 29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of the City Council of the City of Santa Ana Repealing and Reenacting in its Entirety Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the Housing Opportunity Ordinance Legal Notice published in the Orange County Reporter on November 5, 2021. Department(s): Planning and Building Agency Recommended Action: Consider the recommendations made by the Planning Commission and take one of the following options: 1. Approve first reading of the Ordinance as presented; or 2. Approve first reading of the Ordinance incorporating the changes recommended by the Planning Commission; or 3. Approve first reading of the Ordinance with the incorporation of changes desired by the City Council. COUNCILMEMBER REQUESTED ITEMS 30.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza 31.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance Establishing Regulations Prohibiting the Unlawful Possession of Catalytic Converters in the City – Councilmember Lopez CITY MANAGER COMMENTS COUNCIL COMMENTS AB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authority meeting. Adjourn in memory of Dr. Gaston Cilliani Future Items 1. Mental Health Mobile Outreach Services 2. General Plan Update 3. Housing Element Update SPECIAL HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vice Chair David Penaloza Chair Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Special Housing Authority agenda.  CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Item: 1. 1.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR JOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY 2.Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 1 11/16/2021 City Council and Special Housing AuthorityMeeting PacketNovember 16, 2021CLOSED SESSION MEETING – 5:00 PMREGULAR OPEN MEETING – 5:45 PM (Immediately following the Closed Session Meeting)CITY COUNCIL CHAMBER22 Civic Center Plaza Santa Ana, CA 92701Vicente SarmientoMayorThai Viet PhanCouncilmember – Ward 1 David PenalozaMayor Pro Tem ­ Ward 2Jessie LopezCouncilmember ­ Ward 3 Phil BacerraCouncilmember ­ Ward 4Johnathan Ryan HernandezCouncilmember ­ Ward 5 Nelida MendozaCouncilmember ­ Ward 6Mayor and Council telephone: 714­647­6900Agenda item inquiries: 714­647­6520Sonia R. CarvalhoCity Attorney Kristine RidgeCity Manager Daisy GomezClerk of the Council In compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting, contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enable the City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supporting documentation can be found on the City’s website – www.santa­ana.org/city­meetings. CITY VISION AND CODE OF ETHICS The City of Santa Ana is committed to achieving a shared vision for the organization and its community. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtful and inclusive process designed to set the City and organization on a course that meets the challenges of today and tomorrow, as follows: Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment in youth • Safe and healthy community • Neighborhood pride • Thriving economic climate • Enriched and diverse culture • Quality government services Mission ­ To deliver efficient public services in partnership with our community which ensures public safety, a prosperous economic environment, opportunities for our youth, and a high quality of life for residents. Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility • Innovation • Transparency Code of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008, voters approved an amendment to the City Charter which established the Code of Ethics and Conduct for elected officials and members of appointed boards, commissions, and committees to assure public confidence. The following are the core values expressed: • Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • Efficiency Resolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, is set to expire on December 2, 2021. Therefore, virtual participation for City Council meetings will no longer be available beginning December 3, 2021. Members of the public may attend the City Council meeting in­person or join via Zoom. The City Council meeting will occur live via teleconference Zoom webinar. You may view the meeting from your computer, tablet or smart phone via YouTube LiveStream at www.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 and AT&T U­verse channel 99. PUBLIC COMMENTS – Members of the public who wish to address the City Council on closed session items, items on the regular agenda or on matters which are not on the agenda, but are within the subject matter jurisdiction of the City Council may do so by one of the following ways: MAILING OPTION written communications – Public comments may be mailed to: Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA 92701. All written communications received via mail by 4:00 p.m. on the day of the meeting will be distributed to the City Council and imaged into the City’s document archive system which is available for public review. SENDING E­MAIL OPTION – Public comments may be sent via email to the City Clerk’s office at eComment@santa­ana.org. Please note the agenda item you are commenting on in the subject line of the email. All emails received before 4:00 p.m. on the day of the meeting will be distributed to the City Council and imaged into the City’s document archive system which is available for public review. LIVE VIRTUAL OPTION – Members of the public may provide live comments during the meeting by Zoom or Conference Call. To join by Zoom click on or type the following address into your web browser https://us02web.zoom.us/j/315965149. To join the Conference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You will be prompted by the City Clerk when it is time for a: i) closed session item, ii) general agenda item, iii) public hearing item, iv) special agenda item, or v) for Housing Authority item. You may request to speak by dialing *9 from your phone or you may virtually raise your hand from Zoom. After the Clerk confirms the last three digits of the caller’s phone number or Zoom ID and unmutes them, the caller must press *6 or microphone icon to speak. Callers are encouraged, but not required, to identify themselves by name. Each caller will be provided three (3) minutes to speak, unless due to the number of speakers wanting to speak a decision is made to provide a different amount of time to speak. IN­PERSON OPTION ­ Members of the public can provide in­person comments at the podium in the Council Chamber. The Council Chamber will have seating available for members of the public to attend the meeting in­person up to full capacity. Face coverings are optional for members of the public who enter City buildings who have been vaccinated against COVID­19. Public comments are limited to three (3) minutes per speaker, unless a different time is announced by the presiding chair. Speakers who wish to address the Council must do so by submitting a “Request to Speak” card by 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designated public comment periods as listed below. Cards will not be accepted after the Public Comment Session begins without the permission of the presiding chair. The following designated public comment periods are: 1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide live comments on closed session items by joining Zoom or the Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will open at 4:30 p.m. 2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDA ITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will open at 4:30 p.m.  3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTS OPTION above.  4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTS OPTION above.  About the Agenda To download or view the attachments (staff report and other supporting documentation) for each agenda item, you must select the agenda item to see the attachments to either open in a new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ). CLOSED SESSION CALL TO ORDER ATTENDANCE Council Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Mayor  Pro Tem David Penaloza Mayor Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address the City Council on Closed Session items. CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SA CV 20­0069­DOC (DFMx) B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court (Central District of California), Case No. SA CV 18­0155­DOC (KESx) C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court (Central District of California), Case No. SA CV 18­0155­DOC (KESx) CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken at the Regular Open Session which will begin immediately following the Closed Session. RECESS – City Council will recess to Closed Session for the purpose of conducting regular City business. RECONVENE – City Council will reconvene to continue regular City business. CITY COUNCIL REGULAR OPEN SESSION CALL TO ORDER ROLL CALL PLEDGE OF ALLEGIANCE Mayor Sarmiento INVOCATION Rupert Vega, Police Chaplain CEREMONIAL PRESENTATIONS 1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphony for Outstanding Contributions to Arts and Culture. 2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) and PJ Vegas representing the Yoeme Tribe declaring November 2021 as Native American Heritage Month. 3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan, posthumously, for his Outstanding Service to our Country. STAFF PRESENTATIONS 4.Homeless Update CLOSED SESSION REPORT – The City Attorney will report on any action(s) from Closed Session. PUBLIC COMMENT – Public comments will be held during the beginning of the meeting for ALL comments on agenda and non­agenda items, with the exception of public hearings. Comments for public hearings will take place after the hearing is opened. CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Items: 5 through 25. 5.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse the absent members. 6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKING METERS First reading at the November 2, 2021 City Council meeting and approved by a vote of 7­0. Published in the Orange County Reporter on November 5, 2021. Department(s): Public Works Agency Recommended Action: Place ordinance on second reading and adopt. 7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Works and up to $250,000 for Public Works Authorized by the City Manager as Permitted by Charter Section 421 Department(s): Finance and Management Services Recommended Action: Receive and file Quarterly Report of Contracts entered into between July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­public works contracts and agreements and up to $250,000 for public works contracts and agreements.  8.Receive and File Quarterly Report of Investments as of September 30, 2021 Department(s): Finance and Management Services Recommended Action: Receive and file. 9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/Safety Gloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed $300,000 Over the Two­Year Term, with Three One­Year Renewal Options (Specification No. 21­101) (General Fund) Department(s): Police Department Recommended Action: Award blanket order contracts to JC Dental Supply and Medzon Health to provide nitrile examination gloves for a two­year period beginning November 16, 2021 and expiring November 15, 2023 in the annual aggregate amount of $150,000 for a total aggregate amount not to exceed $300,000 over the two­year period, with provisions for three one­year renewals by mutual agreement. Subject to non­substantive changes approved by the City Manager and City Attorney. 10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional Ford Police Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­ 053) (Non­General Fund) Department(s): Public Works Agency, Police Department Recommended Action: Amend the contract with Fairway Ford Sales, Inc., to purchase 25 additional Ford Police Interceptor vehicles for the Santa Ana Police Department, for a total amount not to exceed $1,068,909.50 (including a $20,000 contingency), subject to non­substantive changes approved by the City Manager and City Attorney.  11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) to Increase Contract Renewal Amount by $200,000 for the Remaining Three Renewal Periods (Specification No. 20­007) (Non­General Fund)  Department(s): Public Works Agency Recommended Action: Amend the purchase order contract with Stommel, Inc., (dba Lehr Auto Electric) for police vehicle conversion equipment and installation services by increasing the contract renewal amount $250,000, for an annual amount not to exceed $450,000 and a total contract amount not to exceed $1,350,000 for the remaining three, one­year renewal periods, subject to non­substantive changes approved by the City Manager and City Attorney. 12.Amend Purchase Order Contract with All American Asphalt to Increase the Annual Amount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­ General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an amendment to the Purchase Order Contract with All American Asphalt for asphalt pothole repair, to increase the annual amount by $147,800, for a total annual amount not to exceed $697,800, for the remaining term of the agreement ending on November 30, 2021, with two optional one­year renewal options exercisable by the City Manager and City Attorney, subject to non­substantive changes approved by the City Manager and City Attorney.  13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of $360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an Estimated Project Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to CJ Concrete Construction, Inc, the lowest responsible bidder, in accordance with the base bid in the amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­ 22, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $594,210.50, which includes $360,183 for the construction contract; $54,027.50 for contract administration, inspection and testing; and a $180,000 project contingency for unanticipated or unforeseen work. 14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in the Amount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­ 22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­ 6466) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to Stephen Doreck Equipment Rentals, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $1,265,465, for construction of the Grovemont Street Water Main Improvements FY 2021­22 Project, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,645,105, which includes $1,265,465 for the construction contract; $189,820 for contract administration, inspection and testing; and $189,820 in project contingency for unanticipated or unforeseen work. 15.Approve an Agreement with Service First Contractors Network dba Service First for Fountain Maintenance Services located at the Downtown Civic Center, including Plaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1 Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional Transportation Center (1 Fountain) (Non­General Fund) Department(s): Parks, Recreation, and Community Services Recommended Action: Authorize the City Manager to execute an agreement with Service First Contractors Network dba Service First to provide fountain maintenance services in an annual amount not to exceed $106,170, which includes a 20% contingency, for a term from January 1, 2022 through December 31, 2023, with two, one­year renewal options for a total amount not to exceed $424,680, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  16.Agreement with Patrol Solutions, LLC for unarmed security guard services for Downtown Santa Ana and Civic Center area (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute an agreement with Patrol Solutions, LLC for unarmed security services for Downtown Santa Ana and Civic Center area, for a one­year term, in the amount of $185,990, beginning November 16, 2021 through November 15, 2022, with an option of two one­year extensions, for a total aggregate amount not to exceed $545,000, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in an Amount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Santolucito Doré Group, Inc., to provide completion of final close­out work per Caltrans requirements and property appraisal services, on an as needed basis, in an amount not to exceed $149,500, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­ way property appraisal services, in a shared aggregate amount not to exceed $300,000, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­Call Right­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an Amount Not to Exceed $649,500 for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Monument ROW to provide completion of final close­out work per Caltrans requirements, acquisition maintenance, and a relocation assistance program, in an amount not to exceed $149,500 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Monument ROW and Overland, Pacific & Cutler LLC to provide completion of final close­out work, acquisition maintenance, and a relocation assistance program, in a shared aggregate amount not to exceed $500,000 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 19.Approve an Agreement with Arch Insurance Company to Take Over the San Lorenzo Sewage Lift Station Project (Project No. 06­3510) (Non­General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with Arch Insurance Company to take over the San Lorenzo Sewage Lift Station Project and be responsible for the completion of all work in accordance with the contract subject to non­substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for Debit and Credit Card Merchant Payment Processing Services, including Europay, MasterCard, Visa and e­Commerce Gateway Transaction Integration and Support in the Amount not to Exceed $172,500, which Includes a General Contingency of $22,500 Department(s): Finance and Management Services Recommended Action: Authorize the City Manager to execute a renewal agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit and credit card payment processing services, including Europay, MasterCard, and Visa and e­Commerce gateway transaction integration and support in an amount not to exceed $172,500, which includes a general contingency of $22,500.  The renewal agreement shall commence November 16, 2021, and expire June 30, 2022, and will cover all services provided by Consultant since July 1, 2021, subject to non­ substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 21.Approve an Amendment to Agreement with Salvation Army to Operate a Temporary Shelter at the Hospitality House for One Additional Month (Non­General Fund) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute: 1. An amendment to the agreement with Salvation Army to continue to operate a temporary shelter at the Hospitality House through January 31, 2022 for an additional amount of $130,000, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. A first amendment, and any future amendments, to the agreement with Salvation Army to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­ CV) funds to operate the shelter at the Hospitality House through January 31, 2022, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­ XXX).  22.Approve a Second Amendment to Illumination Foundation Agreement to Operate a Temporary Shelter at the Fullerton Recuperative Care Center for up to Two Additional Months Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute a second amendment to the agreement with Illumination Foundation to extend the term to operate a temporary shelter at the Fullerton Recuperative Care Center for up to an additional two months through January 31, 2022, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 23.Adopt a Resolution Approving the Events Permit Policy, including Park Facility Permits, Film Permits, Land Use Certificates, and Special Event Permits Department(s): Parks, Recreation, and Community Services Recommended Action: Resolution No. 2021­XXX – Adopt a Resolution approving the Events Permit Policy, including park facility permits, film permits, land use certificates, and special event permits. 24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023 Measure M2 Comprehensive Transportation Funding Program (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  Adopt Resolutions Authorizing the City of Santa Ana to submit applications for funding consideration under the Measure M2 Comprehensive Transportation Funding Program 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX). 2. Direct staff to incorporate approved Comprehensive Transportation Funding Program projects into the Seven­Year Capital Improvement Program for Fiscal Year 2022­23. 25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive Performance Evaluation Conducted on October 19, 2021 and Approving an Amended Annual Salary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 to Effect Certain Changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS) Department(s): Human Resources Recommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirming positive evaluation results and approving an adjusted annual salary for the City Manager, and 2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­ 111 to effect certain changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS). **END OF CONSENT CALENDAR** BUSINESS CALENDAR 26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order to PrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana Resident Stimulus Program (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: 1. Approve an appropriation adjustment to reallocate $2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­ 69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for the Revive Santa Ana Resident Stimulus Program. (Requires five affirmative votes) 2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for the purchase of 20,000 $300 pre­paid visa cards. 27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing of Community Meetings for Certain Development Projects, Lobbyist Disclosure Policy, and Publishing Timeline for City Council Meeting Agendas Department(s): City Manager Office Recommended Action: 1. Approve the first reading of an ordinance amending the Sunshine Ordinance to expand the number of community meetings for certain development projects from one to two, increase the radius of distributing noticing of said community meetings from 500 feet of the subject property to 1,000 feet, implement a Lobbyist Registration Policy, and revise the timeline to publish City Council meeting agendas from four days to seven days. 2. Approve an appropriation adjustment recognizing $40,000 from prior­year fund balance in the General Fund and appropriate the same amount to the General Fund, Clerk of the Council Service Enhancement salaries ($10,000) and contractual services ($30,000) expenditure accounts. (Requires five affirmative votes) **END OF BUSINESS CALENDAR** PUBLIC HEARINGS PUBLIC COMMENTS – Members of the public may address the City Council on each Public Hearing item. 28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19 Incurred by the City for Weed, Rubbish, and Garbage Abatement Within Private Property Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado de Orange Legal Notice published in the Orange County Reporter on November 5, 2021 and notices mailed on said date. Department(s): Planning and Building Agency Recommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming the acceptance of the Weed, Rubbish, and Garbage Abatement report and confirm the Code Enforcement Division description for the recovery of the costs in an amount of $39,604.19, associated with the execution of the Inspection and Abatement Warrant on May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en el Condado de Orange. 29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of the City Council of the City of Santa Ana Repealing and Reenacting in its Entirety Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the Housing Opportunity Ordinance Legal Notice published in the Orange County Reporter on November 5, 2021. Department(s): Planning and Building Agency Recommended Action: Consider the recommendations made by the Planning Commission and take one of the following options: 1. Approve first reading of the Ordinance as presented; or 2. Approve first reading of the Ordinance incorporating the changes recommended by the Planning Commission; or 3. Approve first reading of the Ordinance with the incorporation of changes desired by the City Council. COUNCILMEMBER REQUESTED ITEMS 30.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza 31.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance Establishing Regulations Prohibiting the Unlawful Possession of Catalytic Converters in the City – Councilmember Lopez CITY MANAGER COMMENTS COUNCIL COMMENTS AB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authority meeting. Adjourn in memory of Dr. Gaston Cilliani Future Items 1. Mental Health Mobile Outreach Services 2. General Plan Update 3. Housing Element Update SPECIAL HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vice Chair David Penaloza Chair Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Special Housing Authority agenda.  CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Item: 1. 1.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR JOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY 2.Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 2 11/16/2021 City Council and Special Housing AuthorityMeeting PacketNovember 16, 2021CLOSED SESSION MEETING – 5:00 PMREGULAR OPEN MEETING – 5:45 PM (Immediately following the Closed Session Meeting)CITY COUNCIL CHAMBER22 Civic Center Plaza Santa Ana, CA 92701Vicente SarmientoMayorThai Viet PhanCouncilmember – Ward 1 David PenalozaMayor Pro Tem ­ Ward 2Jessie LopezCouncilmember ­ Ward 3 Phil BacerraCouncilmember ­ Ward 4Johnathan Ryan HernandezCouncilmember ­ Ward 5 Nelida MendozaCouncilmember ­ Ward 6Mayor and Council telephone: 714­647­6900Agenda item inquiries: 714­647­6520Sonia R. CarvalhoCity Attorney Kristine RidgeCity Manager Daisy GomezClerk of the CouncilIn compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting,contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enablethe City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supportingdocumentation can be found on the City’s website – www.santa­ana.org/city­meetings.CITY VISION AND CODE OF ETHICSThe City of Santa Ana is committed to achieving a shared vision for the organization and itscommunity. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtfuland inclusive process designed to set the City and organization on a course that meets thechallenges of today and tomorrow, as follows:Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment inyouth • Safe and healthy community • Neighborhood pride • Thriving economic climate •Enriched and diverse culture • Quality government servicesMission ­ To deliver efficient public services in partnership with our community which ensurespublic safety, a prosperous economic environment, opportunities for our youth, and a highquality of life for residents.Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility •Innovation • TransparencyCode of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008,voters approved an amendment to the City Charter which established the Code of Ethics andConduct for elected officials and members of appointed boards, commissions, andcommittees to assure public confidence. The following are the core values expressed: • Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • Efficiency Resolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, is set to expire on December 2, 2021. Therefore, virtual participation for City Council meetings will no longer be available beginning December 3, 2021. Members of the public may attend the City Council meeting in­person or join via Zoom. The City Council meeting will occur live via teleconference Zoom webinar. You may view the meeting from your computer, tablet or smart phone via YouTube LiveStream at www.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 and AT&T U­verse channel 99. PUBLIC COMMENTS – Members of the public who wish to address the City Council on closed session items, items on the regular agenda or on matters which are not on the agenda, but are within the subject matter jurisdiction of the City Council may do so by one of the following ways: MAILING OPTION written communications – Public comments may be mailed to: Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA 92701. All written communications received via mail by 4:00 p.m. on the day of the meeting will be distributed to the City Council and imaged into the City’s document archive system which is available for public review. SENDING E­MAIL OPTION – Public comments may be sent via email to the City Clerk’s office at eComment@santa­ana.org. Please note the agenda item you are commenting on in the subject line of the email. All emails received before 4:00 p.m. on the day of the meeting will be distributed to the City Council and imaged into the City’s document archive system which is available for public review. LIVE VIRTUAL OPTION – Members of the public may provide live comments during the meeting by Zoom or Conference Call. To join by Zoom click on or type the following address into your web browser https://us02web.zoom.us/j/315965149. To join the Conference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You will be prompted by the City Clerk when it is time for a: i) closed session item, ii) general agenda item, iii) public hearing item, iv) special agenda item, or v) for Housing Authority item. You may request to speak by dialing *9 from your phone or you may virtually raise your hand from Zoom. After the Clerk confirms the last three digits of the caller’s phone number or Zoom ID and unmutes them, the caller must press *6 or microphone icon to speak. Callers are encouraged, but not required, to identify themselves by name. Each caller will be provided three (3) minutes to speak, unless due to the number of speakers wanting to speak a decision is made to provide a different amount of time to speak. IN­PERSON OPTION ­ Members of the public can provide in­person comments at the podium in the Council Chamber. The Council Chamber will have seating available for members of the public to attend the meeting in­person up to full capacity. Face coverings are optional for members of the public who enter City buildings who have been vaccinated against COVID­19. Public comments are limited to three (3) minutes per speaker, unless a different time is announced by the presiding chair. Speakers who wish to address the Council must do so by submitting a “Request to Speak” card by 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designated public comment periods as listed below. Cards will not be accepted after the Public Comment Session begins without the permission of the presiding chair. The following designated public comment periods are: 1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide live comments on closed session items by joining Zoom or the Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will open at 4:30 p.m. 2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDA ITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will open at 4:30 p.m.  3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTS OPTION above.  4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTS OPTION above.  About the Agenda To download or view the attachments (staff report and other supporting documentation) for each agenda item, you must select the agenda item to see the attachments to either open in a new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ). CLOSED SESSION CALL TO ORDER ATTENDANCE Council Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Mayor  Pro Tem David Penaloza Mayor Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address the City Council on Closed Session items. CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SA CV 20­0069­DOC (DFMx) B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court (Central District of California), Case No. SA CV 18­0155­DOC (KESx) C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court (Central District of California), Case No. SA CV 18­0155­DOC (KESx) CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken at the Regular Open Session which will begin immediately following the Closed Session. RECESS – City Council will recess to Closed Session for the purpose of conducting regular City business. RECONVENE – City Council will reconvene to continue regular City business. CITY COUNCIL REGULAR OPEN SESSION CALL TO ORDER ROLL CALL PLEDGE OF ALLEGIANCE Mayor Sarmiento INVOCATION Rupert Vega, Police Chaplain CEREMONIAL PRESENTATIONS 1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphony for Outstanding Contributions to Arts and Culture. 2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) and PJ Vegas representing the Yoeme Tribe declaring November 2021 as Native American Heritage Month. 3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan, posthumously, for his Outstanding Service to our Country. STAFF PRESENTATIONS 4.Homeless Update CLOSED SESSION REPORT – The City Attorney will report on any action(s) from Closed Session. PUBLIC COMMENT – Public comments will be held during the beginning of the meeting for ALL comments on agenda and non­agenda items, with the exception of public hearings. Comments for public hearings will take place after the hearing is opened. CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Items: 5 through 25. 5.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse the absent members. 6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKING METERS First reading at the November 2, 2021 City Council meeting and approved by a vote of 7­0. Published in the Orange County Reporter on November 5, 2021. Department(s): Public Works Agency Recommended Action: Place ordinance on second reading and adopt. 7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Works and up to $250,000 for Public Works Authorized by the City Manager as Permitted by Charter Section 421 Department(s): Finance and Management Services Recommended Action: Receive and file Quarterly Report of Contracts entered into between July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­public works contracts and agreements and up to $250,000 for public works contracts and agreements.  8.Receive and File Quarterly Report of Investments as of September 30, 2021 Department(s): Finance and Management Services Recommended Action: Receive and file. 9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/Safety Gloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed $300,000 Over the Two­Year Term, with Three One­Year Renewal Options (Specification No. 21­101) (General Fund) Department(s): Police Department Recommended Action: Award blanket order contracts to JC Dental Supply and Medzon Health to provide nitrile examination gloves for a two­year period beginning November 16, 2021 and expiring November 15, 2023 in the annual aggregate amount of $150,000 for a total aggregate amount not to exceed $300,000 over the two­year period, with provisions for three one­year renewals by mutual agreement. Subject to non­substantive changes approved by the City Manager and City Attorney. 10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional Ford Police Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­ 053) (Non­General Fund) Department(s): Public Works Agency, Police Department Recommended Action: Amend the contract with Fairway Ford Sales, Inc., to purchase 25 additional Ford Police Interceptor vehicles for the Santa Ana Police Department, for a total amount not to exceed $1,068,909.50 (including a $20,000 contingency), subject to non­substantive changes approved by the City Manager and City Attorney.  11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) to Increase Contract Renewal Amount by $200,000 for the Remaining Three Renewal Periods (Specification No. 20­007) (Non­General Fund)  Department(s): Public Works Agency Recommended Action: Amend the purchase order contract with Stommel, Inc., (dba Lehr Auto Electric) for police vehicle conversion equipment and installation services by increasing the contract renewal amount $250,000, for an annual amount not to exceed $450,000 and a total contract amount not to exceed $1,350,000 for the remaining three, one­year renewal periods, subject to non­substantive changes approved by the City Manager and City Attorney. 12.Amend Purchase Order Contract with All American Asphalt to Increase the Annual Amount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­ General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an amendment to the Purchase Order Contract with All American Asphalt for asphalt pothole repair, to increase the annual amount by $147,800, for a total annual amount not to exceed $697,800, for the remaining term of the agreement ending on November 30, 2021, with two optional one­year renewal options exercisable by the City Manager and City Attorney, subject to non­substantive changes approved by the City Manager and City Attorney.  13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of $360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an Estimated Project Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to CJ Concrete Construction, Inc, the lowest responsible bidder, in accordance with the base bid in the amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­ 22, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $594,210.50, which includes $360,183 for the construction contract; $54,027.50 for contract administration, inspection and testing; and a $180,000 project contingency for unanticipated or unforeseen work. 14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in the Amount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­ 22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­ 6466) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to Stephen Doreck Equipment Rentals, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $1,265,465, for construction of the Grovemont Street Water Main Improvements FY 2021­22 Project, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,645,105, which includes $1,265,465 for the construction contract; $189,820 for contract administration, inspection and testing; and $189,820 in project contingency for unanticipated or unforeseen work. 15.Approve an Agreement with Service First Contractors Network dba Service First for Fountain Maintenance Services located at the Downtown Civic Center, including Plaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1 Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional Transportation Center (1 Fountain) (Non­General Fund) Department(s): Parks, Recreation, and Community Services Recommended Action: Authorize the City Manager to execute an agreement with Service First Contractors Network dba Service First to provide fountain maintenance services in an annual amount not to exceed $106,170, which includes a 20% contingency, for a term from January 1, 2022 through December 31, 2023, with two, one­year renewal options for a total amount not to exceed $424,680, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  16.Agreement with Patrol Solutions, LLC for unarmed security guard services for Downtown Santa Ana and Civic Center area (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute an agreement with Patrol Solutions, LLC for unarmed security services for Downtown Santa Ana and Civic Center area, for a one­year term, in the amount of $185,990, beginning November 16, 2021 through November 15, 2022, with an option of two one­year extensions, for a total aggregate amount not to exceed $545,000, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in an Amount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Santolucito Doré Group, Inc., to provide completion of final close­out work per Caltrans requirements and property appraisal services, on an as needed basis, in an amount not to exceed $149,500, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­ way property appraisal services, in a shared aggregate amount not to exceed $300,000, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­Call Right­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an Amount Not to Exceed $649,500 for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Monument ROW to provide completion of final close­out work per Caltrans requirements, acquisition maintenance, and a relocation assistance program, in an amount not to exceed $149,500 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Monument ROW and Overland, Pacific & Cutler LLC to provide completion of final close­out work, acquisition maintenance, and a relocation assistance program, in a shared aggregate amount not to exceed $500,000 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 19.Approve an Agreement with Arch Insurance Company to Take Over the San Lorenzo Sewage Lift Station Project (Project No. 06­3510) (Non­General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with Arch Insurance Company to take over the San Lorenzo Sewage Lift Station Project and be responsible for the completion of all work in accordance with the contract subject to non­substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for Debit and Credit Card Merchant Payment Processing Services, including Europay, MasterCard, Visa and e­Commerce Gateway Transaction Integration and Support in the Amount not to Exceed $172,500, which Includes a General Contingency of $22,500 Department(s): Finance and Management Services Recommended Action: Authorize the City Manager to execute a renewal agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit and credit card payment processing services, including Europay, MasterCard, and Visa and e­Commerce gateway transaction integration and support in an amount not to exceed $172,500, which includes a general contingency of $22,500.  The renewal agreement shall commence November 16, 2021, and expire June 30, 2022, and will cover all services provided by Consultant since July 1, 2021, subject to non­ substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 21.Approve an Amendment to Agreement with Salvation Army to Operate a Temporary Shelter at the Hospitality House for One Additional Month (Non­General Fund) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute: 1. An amendment to the agreement with Salvation Army to continue to operate a temporary shelter at the Hospitality House through January 31, 2022 for an additional amount of $130,000, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. A first amendment, and any future amendments, to the agreement with Salvation Army to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­ CV) funds to operate the shelter at the Hospitality House through January 31, 2022, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­ XXX).  22.Approve a Second Amendment to Illumination Foundation Agreement to Operate a Temporary Shelter at the Fullerton Recuperative Care Center for up to Two Additional Months Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute a second amendment to the agreement with Illumination Foundation to extend the term to operate a temporary shelter at the Fullerton Recuperative Care Center for up to an additional two months through January 31, 2022, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 23.Adopt a Resolution Approving the Events Permit Policy, including Park Facility Permits, Film Permits, Land Use Certificates, and Special Event Permits Department(s): Parks, Recreation, and Community Services Recommended Action: Resolution No. 2021­XXX – Adopt a Resolution approving the Events Permit Policy, including park facility permits, film permits, land use certificates, and special event permits. 24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023 Measure M2 Comprehensive Transportation Funding Program (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  Adopt Resolutions Authorizing the City of Santa Ana to submit applications for funding consideration under the Measure M2 Comprehensive Transportation Funding Program 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX). 2. Direct staff to incorporate approved Comprehensive Transportation Funding Program projects into the Seven­Year Capital Improvement Program for Fiscal Year 2022­23. 25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive Performance Evaluation Conducted on October 19, 2021 and Approving an Amended Annual Salary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 to Effect Certain Changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS) Department(s): Human Resources Recommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirming positive evaluation results and approving an adjusted annual salary for the City Manager, and 2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­ 111 to effect certain changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS). **END OF CONSENT CALENDAR** BUSINESS CALENDAR 26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order to PrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana Resident Stimulus Program (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: 1. Approve an appropriation adjustment to reallocate $2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­ 69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for the Revive Santa Ana Resident Stimulus Program. (Requires five affirmative votes) 2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for the purchase of 20,000 $300 pre­paid visa cards. 27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing of Community Meetings for Certain Development Projects, Lobbyist Disclosure Policy, and Publishing Timeline for City Council Meeting Agendas Department(s): City Manager Office Recommended Action: 1. Approve the first reading of an ordinance amending the Sunshine Ordinance to expand the number of community meetings for certain development projects from one to two, increase the radius of distributing noticing of said community meetings from 500 feet of the subject property to 1,000 feet, implement a Lobbyist Registration Policy, and revise the timeline to publish City Council meeting agendas from four days to seven days. 2. Approve an appropriation adjustment recognizing $40,000 from prior­year fund balance in the General Fund and appropriate the same amount to the General Fund, Clerk of the Council Service Enhancement salaries ($10,000) and contractual services ($30,000) expenditure accounts. (Requires five affirmative votes) **END OF BUSINESS CALENDAR** PUBLIC HEARINGS PUBLIC COMMENTS – Members of the public may address the City Council on each Public Hearing item. 28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19 Incurred by the City for Weed, Rubbish, and Garbage Abatement Within Private Property Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado de Orange Legal Notice published in the Orange County Reporter on November 5, 2021 and notices mailed on said date. Department(s): Planning and Building Agency Recommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming the acceptance of the Weed, Rubbish, and Garbage Abatement report and confirm the Code Enforcement Division description for the recovery of the costs in an amount of $39,604.19, associated with the execution of the Inspection and Abatement Warrant on May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en el Condado de Orange. 29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of the City Council of the City of Santa Ana Repealing and Reenacting in its Entirety Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the Housing Opportunity Ordinance Legal Notice published in the Orange County Reporter on November 5, 2021. Department(s): Planning and Building Agency Recommended Action: Consider the recommendations made by the Planning Commission and take one of the following options: 1. Approve first reading of the Ordinance as presented; or 2. Approve first reading of the Ordinance incorporating the changes recommended by the Planning Commission; or 3. Approve first reading of the Ordinance with the incorporation of changes desired by the City Council. COUNCILMEMBER REQUESTED ITEMS 30.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza 31.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance Establishing Regulations Prohibiting the Unlawful Possession of Catalytic Converters in the City – Councilmember Lopez CITY MANAGER COMMENTS COUNCIL COMMENTS AB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authority meeting. Adjourn in memory of Dr. Gaston Cilliani Future Items 1. Mental Health Mobile Outreach Services 2. General Plan Update 3. Housing Element Update SPECIAL HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vice Chair David Penaloza Chair Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Special Housing Authority agenda.  CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Item: 1. 1.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR JOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY 2.Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 3 11/16/2021 City Council and Special Housing AuthorityMeeting PacketNovember 16, 2021CLOSED SESSION MEETING – 5:00 PMREGULAR OPEN MEETING – 5:45 PM (Immediately following the Closed Session Meeting)CITY COUNCIL CHAMBER22 Civic Center Plaza Santa Ana, CA 92701Vicente SarmientoMayorThai Viet PhanCouncilmember – Ward 1 David PenalozaMayor Pro Tem ­ Ward 2Jessie LopezCouncilmember ­ Ward 3 Phil BacerraCouncilmember ­ Ward 4Johnathan Ryan HernandezCouncilmember ­ Ward 5 Nelida MendozaCouncilmember ­ Ward 6Mayor and Council telephone: 714­647­6900Agenda item inquiries: 714­647­6520Sonia R. CarvalhoCity Attorney Kristine RidgeCity Manager Daisy GomezClerk of the CouncilIn compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting,contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enablethe City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supportingdocumentation can be found on the City’s website – www.santa­ana.org/city­meetings.CITY VISION AND CODE OF ETHICSThe City of Santa Ana is committed to achieving a shared vision for the organization and itscommunity. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtfuland inclusive process designed to set the City and organization on a course that meets thechallenges of today and tomorrow, as follows:Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment inyouth • Safe and healthy community • Neighborhood pride • Thriving economic climate •Enriched and diverse culture • Quality government servicesMission ­ To deliver efficient public services in partnership with our community which ensurespublic safety, a prosperous economic environment, opportunities for our youth, and a highquality of life for residents.Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility •Innovation • TransparencyCode of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008,voters approved an amendment to the City Charter which established the Code of Ethics andConduct for elected officials and members of appointed boards, commissions, andcommittees to assure public confidence. The following are the core values expressed: •Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • EfficiencyResolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, isset to expire on December 2, 2021. Therefore, virtual participation for City Councilmeetings will no longer be available beginning December 3, 2021.Members of the public may attend the City Council meeting in­person or join via Zoom. TheCity Council meeting will occur live via teleconference Zoom webinar. You may view themeeting from your computer, tablet or smart phone via YouTube LiveStream atwww.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 andAT&T U­verse channel 99.PUBLIC COMMENTS – Members of the public who wish to address the City Council onclosed session items, items on the regular agenda or on matters which are not on theagenda, but are within the subject matter jurisdiction of the City Council may do so by one ofthe following ways:MAILING OPTION written communications – Public comments may be mailed to:Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA92701. All written communications received via mail by 4:00 p.m. on the day of themeeting will be distributed to the City Council and imaged into the City’s documentarchive system which is available for public review.SENDING E­MAIL OPTION – Public comments may be sent via email to the CityClerk’s office at eComment@santa­ana.org. Please note the agenda item you arecommenting on in the subject line of the email. All emails received before 4:00 p.m. onthe day of the meeting will be distributed to the City Council and imaged into the City’sdocument archive system which is available for public review.LIVE VIRTUAL OPTION – Members of the public may provide live comments duringthe meeting by Zoom or Conference Call. To join by Zoom click on or type the followingaddress into your web browser https://us02web.zoom.us/j/315965149. To join theConference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You willbe prompted by the City Clerk when it is time for a: i) closed session item, ii)general agenda item, iii) public hearing item, iv) special agenda item, or v) for HousingAuthority item. You may request to speak by dialing *9 from your phone or you mayvirtually raise your hand from Zoom. After the Clerk confirms the last three digits of thecaller’s phone number or Zoom ID and unmutes them, the caller must press *6 ormicrophone icon to speak. Callers are encouraged, but not required, to identifythemselves by name. Each caller will be provided three (3) minutes to speak, unlessdue to the number of speakers wanting to speak a decision is made to provide adifferent amount of time to speak.IN­PERSON OPTION ­ Members of the public can provide in­person comments at thepodium in the Council Chamber. The Council Chamber will have seating available formembers of the public to attend the meeting in­person up to full capacity. Facecoverings are optional for members of the public who enter City buildings who havebeen vaccinated against COVID­19. Public comments are limited to three (3) minutesper speaker, unless a different time is announced by the presiding chair. Speakers who wish to address the Council must do so by submitting a “Request to Speak” card by 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designated public comment periods as listed below. Cards will not be accepted after the Public Comment Session begins without the permission of the presiding chair. The following designated public comment periods are: 1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide live comments on closed session items by joining Zoom or the Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will open at 4:30 p.m. 2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDA ITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will open at 4:30 p.m.  3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTS OPTION above.  4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTS OPTION above.  About the Agenda To download or view the attachments (staff report and other supporting documentation) for each agenda item, you must select the agenda item to see the attachments to either open in a new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ). CLOSED SESSION CALL TO ORDER ATTENDANCE Council Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Mayor  Pro Tem David Penaloza Mayor Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address the City Council on Closed Session items. CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SA CV 20­0069­DOC (DFMx) B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court (Central District of California), Case No. SA CV 18­0155­DOC (KESx) C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court (Central District of California), Case No. SA CV 18­0155­DOC (KESx) CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken at the Regular Open Session which will begin immediately following the Closed Session. RECESS – City Council will recess to Closed Session for the purpose of conducting regular City business. RECONVENE – City Council will reconvene to continue regular City business. CITY COUNCIL REGULAR OPEN SESSION CALL TO ORDER ROLL CALL PLEDGE OF ALLEGIANCE Mayor Sarmiento INVOCATION Rupert Vega, Police Chaplain CEREMONIAL PRESENTATIONS 1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphony for Outstanding Contributions to Arts and Culture. 2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) and PJ Vegas representing the Yoeme Tribe declaring November 2021 as Native American Heritage Month. 3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan, posthumously, for his Outstanding Service to our Country. STAFF PRESENTATIONS 4.Homeless Update CLOSED SESSION REPORT – The City Attorney will report on any action(s) from Closed Session. PUBLIC COMMENT – Public comments will be held during the beginning of the meeting for ALL comments on agenda and non­agenda items, with the exception of public hearings. Comments for public hearings will take place after the hearing is opened. CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Items: 5 through 25. 5.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse the absent members. 6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKING METERS First reading at the November 2, 2021 City Council meeting and approved by a vote of 7­0. Published in the Orange County Reporter on November 5, 2021. Department(s): Public Works Agency Recommended Action: Place ordinance on second reading and adopt. 7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Works and up to $250,000 for Public Works Authorized by the City Manager as Permitted by Charter Section 421 Department(s): Finance and Management Services Recommended Action: Receive and file Quarterly Report of Contracts entered into between July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­public works contracts and agreements and up to $250,000 for public works contracts and agreements.  8.Receive and File Quarterly Report of Investments as of September 30, 2021 Department(s): Finance and Management Services Recommended Action: Receive and file. 9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/Safety Gloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed $300,000 Over the Two­Year Term, with Three One­Year Renewal Options (Specification No. 21­101) (General Fund) Department(s): Police Department Recommended Action: Award blanket order contracts to JC Dental Supply and Medzon Health to provide nitrile examination gloves for a two­year period beginning November 16, 2021 and expiring November 15, 2023 in the annual aggregate amount of $150,000 for a total aggregate amount not to exceed $300,000 over the two­year period, with provisions for three one­year renewals by mutual agreement. Subject to non­substantive changes approved by the City Manager and City Attorney. 10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional Ford Police Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­ 053) (Non­General Fund) Department(s): Public Works Agency, Police Department Recommended Action: Amend the contract with Fairway Ford Sales, Inc., to purchase 25 additional Ford Police Interceptor vehicles for the Santa Ana Police Department, for a total amount not to exceed $1,068,909.50 (including a $20,000 contingency), subject to non­substantive changes approved by the City Manager and City Attorney.  11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) to Increase Contract Renewal Amount by $200,000 for the Remaining Three Renewal Periods (Specification No. 20­007) (Non­General Fund)  Department(s): Public Works Agency Recommended Action: Amend the purchase order contract with Stommel, Inc., (dba Lehr Auto Electric) for police vehicle conversion equipment and installation services by increasing the contract renewal amount $250,000, for an annual amount not to exceed $450,000 and a total contract amount not to exceed $1,350,000 for the remaining three, one­year renewal periods, subject to non­substantive changes approved by the City Manager and City Attorney. 12.Amend Purchase Order Contract with All American Asphalt to Increase the Annual Amount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­ General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an amendment to the Purchase Order Contract with All American Asphalt for asphalt pothole repair, to increase the annual amount by $147,800, for a total annual amount not to exceed $697,800, for the remaining term of the agreement ending on November 30, 2021, with two optional one­year renewal options exercisable by the City Manager and City Attorney, subject to non­substantive changes approved by the City Manager and City Attorney.  13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of $360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an Estimated Project Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to CJ Concrete Construction, Inc, the lowest responsible bidder, in accordance with the base bid in the amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­ 22, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $594,210.50, which includes $360,183 for the construction contract; $54,027.50 for contract administration, inspection and testing; and a $180,000 project contingency for unanticipated or unforeseen work. 14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in the Amount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­ 22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­ 6466) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to Stephen Doreck Equipment Rentals, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $1,265,465, for construction of the Grovemont Street Water Main Improvements FY 2021­22 Project, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,645,105, which includes $1,265,465 for the construction contract; $189,820 for contract administration, inspection and testing; and $189,820 in project contingency for unanticipated or unforeseen work. 15.Approve an Agreement with Service First Contractors Network dba Service First for Fountain Maintenance Services located at the Downtown Civic Center, including Plaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1 Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional Transportation Center (1 Fountain) (Non­General Fund) Department(s): Parks, Recreation, and Community Services Recommended Action: Authorize the City Manager to execute an agreement with Service First Contractors Network dba Service First to provide fountain maintenance services in an annual amount not to exceed $106,170, which includes a 20% contingency, for a term from January 1, 2022 through December 31, 2023, with two, one­year renewal options for a total amount not to exceed $424,680, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  16.Agreement with Patrol Solutions, LLC for unarmed security guard services for Downtown Santa Ana and Civic Center area (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute an agreement with Patrol Solutions, LLC for unarmed security services for Downtown Santa Ana and Civic Center area, for a one­year term, in the amount of $185,990, beginning November 16, 2021 through November 15, 2022, with an option of two one­year extensions, for a total aggregate amount not to exceed $545,000, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in an Amount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Santolucito Doré Group, Inc., to provide completion of final close­out work per Caltrans requirements and property appraisal services, on an as needed basis, in an amount not to exceed $149,500, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­ way property appraisal services, in a shared aggregate amount not to exceed $300,000, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­Call Right­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an Amount Not to Exceed $649,500 for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Monument ROW to provide completion of final close­out work per Caltrans requirements, acquisition maintenance, and a relocation assistance program, in an amount not to exceed $149,500 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Monument ROW and Overland, Pacific & Cutler LLC to provide completion of final close­out work, acquisition maintenance, and a relocation assistance program, in a shared aggregate amount not to exceed $500,000 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 19.Approve an Agreement with Arch Insurance Company to Take Over the San Lorenzo Sewage Lift Station Project (Project No. 06­3510) (Non­General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with Arch Insurance Company to take over the San Lorenzo Sewage Lift Station Project and be responsible for the completion of all work in accordance with the contract subject to non­substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for Debit and Credit Card Merchant Payment Processing Services, including Europay, MasterCard, Visa and e­Commerce Gateway Transaction Integration and Support in the Amount not to Exceed $172,500, which Includes a General Contingency of $22,500 Department(s): Finance and Management Services Recommended Action: Authorize the City Manager to execute a renewal agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit and credit card payment processing services, including Europay, MasterCard, and Visa and e­Commerce gateway transaction integration and support in an amount not to exceed $172,500, which includes a general contingency of $22,500.  The renewal agreement shall commence November 16, 2021, and expire June 30, 2022, and will cover all services provided by Consultant since July 1, 2021, subject to non­ substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 21.Approve an Amendment to Agreement with Salvation Army to Operate a Temporary Shelter at the Hospitality House for One Additional Month (Non­General Fund) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute: 1. An amendment to the agreement with Salvation Army to continue to operate a temporary shelter at the Hospitality House through January 31, 2022 for an additional amount of $130,000, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. A first amendment, and any future amendments, to the agreement with Salvation Army to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­ CV) funds to operate the shelter at the Hospitality House through January 31, 2022, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­ XXX).  22.Approve a Second Amendment to Illumination Foundation Agreement to Operate a Temporary Shelter at the Fullerton Recuperative Care Center for up to Two Additional Months Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute a second amendment to the agreement with Illumination Foundation to extend the term to operate a temporary shelter at the Fullerton Recuperative Care Center for up to an additional two months through January 31, 2022, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 23.Adopt a Resolution Approving the Events Permit Policy, including Park Facility Permits, Film Permits, Land Use Certificates, and Special Event Permits Department(s): Parks, Recreation, and Community Services Recommended Action: Resolution No. 2021­XXX – Adopt a Resolution approving the Events Permit Policy, including park facility permits, film permits, land use certificates, and special event permits. 24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023 Measure M2 Comprehensive Transportation Funding Program (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  Adopt Resolutions Authorizing the City of Santa Ana to submit applications for funding consideration under the Measure M2 Comprehensive Transportation Funding Program 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX). 2. Direct staff to incorporate approved Comprehensive Transportation Funding Program projects into the Seven­Year Capital Improvement Program for Fiscal Year 2022­23. 25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive Performance Evaluation Conducted on October 19, 2021 and Approving an Amended Annual Salary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 to Effect Certain Changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS) Department(s): Human Resources Recommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirming positive evaluation results and approving an adjusted annual salary for the City Manager, and 2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­ 111 to effect certain changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS). **END OF CONSENT CALENDAR** BUSINESS CALENDAR 26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order to PrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana Resident Stimulus Program (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: 1. Approve an appropriation adjustment to reallocate $2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­ 69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for the Revive Santa Ana Resident Stimulus Program. (Requires five affirmative votes) 2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for the purchase of 20,000 $300 pre­paid visa cards. 27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing of Community Meetings for Certain Development Projects, Lobbyist Disclosure Policy, and Publishing Timeline for City Council Meeting Agendas Department(s): City Manager Office Recommended Action: 1. Approve the first reading of an ordinance amending the Sunshine Ordinance to expand the number of community meetings for certain development projects from one to two, increase the radius of distributing noticing of said community meetings from 500 feet of the subject property to 1,000 feet, implement a Lobbyist Registration Policy, and revise the timeline to publish City Council meeting agendas from four days to seven days. 2. Approve an appropriation adjustment recognizing $40,000 from prior­year fund balance in the General Fund and appropriate the same amount to the General Fund, Clerk of the Council Service Enhancement salaries ($10,000) and contractual services ($30,000) expenditure accounts. (Requires five affirmative votes) **END OF BUSINESS CALENDAR** PUBLIC HEARINGS PUBLIC COMMENTS – Members of the public may address the City Council on each Public Hearing item. 28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19 Incurred by the City for Weed, Rubbish, and Garbage Abatement Within Private Property Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado de Orange Legal Notice published in the Orange County Reporter on November 5, 2021 and notices mailed on said date. Department(s): Planning and Building Agency Recommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming the acceptance of the Weed, Rubbish, and Garbage Abatement report and confirm the Code Enforcement Division description for the recovery of the costs in an amount of $39,604.19, associated with the execution of the Inspection and Abatement Warrant on May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en el Condado de Orange. 29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of the City Council of the City of Santa Ana Repealing and Reenacting in its Entirety Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the Housing Opportunity Ordinance Legal Notice published in the Orange County Reporter on November 5, 2021. Department(s): Planning and Building Agency Recommended Action: Consider the recommendations made by the Planning Commission and take one of the following options: 1. Approve first reading of the Ordinance as presented; or 2. Approve first reading of the Ordinance incorporating the changes recommended by the Planning Commission; or 3. Approve first reading of the Ordinance with the incorporation of changes desired by the City Council. COUNCILMEMBER REQUESTED ITEMS 30.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza 31.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance Establishing Regulations Prohibiting the Unlawful Possession of Catalytic Converters in the City – Councilmember Lopez CITY MANAGER COMMENTS COUNCIL COMMENTS AB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authority meeting. Adjourn in memory of Dr. Gaston Cilliani Future Items 1. Mental Health Mobile Outreach Services 2. General Plan Update 3. Housing Element Update SPECIAL HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vice Chair David Penaloza Chair Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Special Housing Authority agenda.  CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Item: 1. 1.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR JOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY 2.Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 4 11/16/2021 City Council and Special Housing AuthorityMeeting PacketNovember 16, 2021CLOSED SESSION MEETING – 5:00 PMREGULAR OPEN MEETING – 5:45 PM (Immediately following the Closed Session Meeting)CITY COUNCIL CHAMBER22 Civic Center Plaza Santa Ana, CA 92701Vicente SarmientoMayorThai Viet PhanCouncilmember – Ward 1 David PenalozaMayor Pro Tem ­ Ward 2Jessie LopezCouncilmember ­ Ward 3 Phil BacerraCouncilmember ­ Ward 4Johnathan Ryan HernandezCouncilmember ­ Ward 5 Nelida MendozaCouncilmember ­ Ward 6Mayor and Council telephone: 714­647­6900Agenda item inquiries: 714­647­6520Sonia R. CarvalhoCity Attorney Kristine RidgeCity Manager Daisy GomezClerk of the CouncilIn compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting,contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enablethe City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supportingdocumentation can be found on the City’s website – www.santa­ana.org/city­meetings.CITY VISION AND CODE OF ETHICSThe City of Santa Ana is committed to achieving a shared vision for the organization and itscommunity. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtfuland inclusive process designed to set the City and organization on a course that meets thechallenges of today and tomorrow, as follows:Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment inyouth • Safe and healthy community • Neighborhood pride • Thriving economic climate •Enriched and diverse culture • Quality government servicesMission ­ To deliver efficient public services in partnership with our community which ensurespublic safety, a prosperous economic environment, opportunities for our youth, and a highquality of life for residents.Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility •Innovation • TransparencyCode of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008,voters approved an amendment to the City Charter which established the Code of Ethics andConduct for elected officials and members of appointed boards, commissions, andcommittees to assure public confidence. The following are the core values expressed: •Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • EfficiencyResolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, isset to expire on December 2, 2021. Therefore, virtual participation for City Councilmeetings will no longer be available beginning December 3, 2021.Members of the public may attend the City Council meeting in­person or join via Zoom. TheCity Council meeting will occur live via teleconference Zoom webinar. You may view themeeting from your computer, tablet or smart phone via YouTube LiveStream atwww.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 andAT&T U­verse channel 99.PUBLIC COMMENTS – Members of the public who wish to address the City Council onclosed session items, items on the regular agenda or on matters which are not on theagenda, but are within the subject matter jurisdiction of the City Council may do so by one ofthe following ways:MAILING OPTION written communications – Public comments may be mailed to:Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA92701. All written communications received via mail by 4:00 p.m. on the day of themeeting will be distributed to the City Council and imaged into the City’s documentarchive system which is available for public review.SENDING E­MAIL OPTION – Public comments may be sent via email to the CityClerk’s office at eComment@santa­ana.org. Please note the agenda item you arecommenting on in the subject line of the email. All emails received before 4:00 p.m. onthe day of the meeting will be distributed to the City Council and imaged into the City’sdocument archive system which is available for public review.LIVE VIRTUAL OPTION – Members of the public may provide live comments duringthe meeting by Zoom or Conference Call. To join by Zoom click on or type the followingaddress into your web browser https://us02web.zoom.us/j/315965149. To join theConference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You willbe prompted by the City Clerk when it is time for a: i) closed session item, ii)general agenda item, iii) public hearing item, iv) special agenda item, or v) for HousingAuthority item. You may request to speak by dialing *9 from your phone or you mayvirtually raise your hand from Zoom. After the Clerk confirms the last three digits of thecaller’s phone number or Zoom ID and unmutes them, the caller must press *6 ormicrophone icon to speak. Callers are encouraged, but not required, to identifythemselves by name. Each caller will be provided three (3) minutes to speak, unlessdue to the number of speakers wanting to speak a decision is made to provide adifferent amount of time to speak.IN­PERSON OPTION ­ Members of the public can provide in­person comments at thepodium in the Council Chamber. The Council Chamber will have seating available formembers of the public to attend the meeting in­person up to full capacity. Facecoverings are optional for members of the public who enter City buildings who havebeen vaccinated against COVID­19. Public comments are limited to three (3) minutesper speaker, unless a different time is announced by the presiding chair. Speakers whowish to address the Council must do so by submitting a “Request to Speak” cardby 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designatedpublic comment periods as listed below. Cards will not be accepted after the PublicComment Session begins without the permission of the presiding chair.The following designated public comment periods are:1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide livecomments on closed session items by joining Zoom or the Conference Call as described inthe LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will openat 4:30 p.m.2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDAITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom orthe Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTSOPTION above. Speaker queue will open at 4:30 p.m. 3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. 4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. About the AgendaTo download or view the attachments (staff report and other supporting documentation) foreach agenda item, you must select the agenda item to see the attachments to either open ina new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ).CLOSED SESSIONCALL TO ORDERATTENDANCE Council Members Phil BacerraJohnathan Ryan HernandezJessie LopezNelida MendozaThai Viet PhanMayor  Pro Tem David PenalozaMayorVicente SarmientoCity Manager Kristine RidgeCity Attorney Sonia R. CarvalhoClerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address the City Council on Closed Session items. CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SA CV 20­0069­DOC (DFMx) B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court (Central District of California), Case No. SA CV 18­0155­DOC (KESx) C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court (Central District of California), Case No. SA CV 18­0155­DOC (KESx) CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken at the Regular Open Session which will begin immediately following the Closed Session. RECESS – City Council will recess to Closed Session for the purpose of conducting regular City business. RECONVENE – City Council will reconvene to continue regular City business. CITY COUNCIL REGULAR OPEN SESSION CALL TO ORDER ROLL CALL PLEDGE OF ALLEGIANCE Mayor Sarmiento INVOCATION Rupert Vega, Police Chaplain CEREMONIAL PRESENTATIONS 1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphony for Outstanding Contributions to Arts and Culture. 2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) and PJ Vegas representing the Yoeme Tribe declaring November 2021 as Native American Heritage Month. 3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan, posthumously, for his Outstanding Service to our Country. STAFF PRESENTATIONS 4.Homeless Update CLOSED SESSION REPORT – The City Attorney will report on any action(s) from Closed Session. PUBLIC COMMENT – Public comments will be held during the beginning of the meeting for ALL comments on agenda and non­agenda items, with the exception of public hearings. Comments for public hearings will take place after the hearing is opened. CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Items: 5 through 25. 5.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse the absent members. 6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKING METERS First reading at the November 2, 2021 City Council meeting and approved by a vote of 7­0. Published in the Orange County Reporter on November 5, 2021. Department(s): Public Works Agency Recommended Action: Place ordinance on second reading and adopt. 7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Works and up to $250,000 for Public Works Authorized by the City Manager as Permitted by Charter Section 421 Department(s): Finance and Management Services Recommended Action: Receive and file Quarterly Report of Contracts entered into between July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­public works contracts and agreements and up to $250,000 for public works contracts and agreements.  8.Receive and File Quarterly Report of Investments as of September 30, 2021 Department(s): Finance and Management Services Recommended Action: Receive and file. 9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/Safety Gloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed $300,000 Over the Two­Year Term, with Three One­Year Renewal Options (Specification No. 21­101) (General Fund) Department(s): Police Department Recommended Action: Award blanket order contracts to JC Dental Supply and Medzon Health to provide nitrile examination gloves for a two­year period beginning November 16, 2021 and expiring November 15, 2023 in the annual aggregate amount of $150,000 for a total aggregate amount not to exceed $300,000 over the two­year period, with provisions for three one­year renewals by mutual agreement. Subject to non­substantive changes approved by the City Manager and City Attorney. 10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional Ford Police Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­ 053) (Non­General Fund) Department(s): Public Works Agency, Police Department Recommended Action: Amend the contract with Fairway Ford Sales, Inc., to purchase 25 additional Ford Police Interceptor vehicles for the Santa Ana Police Department, for a total amount not to exceed $1,068,909.50 (including a $20,000 contingency), subject to non­substantive changes approved by the City Manager and City Attorney.  11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) to Increase Contract Renewal Amount by $200,000 for the Remaining Three Renewal Periods (Specification No. 20­007) (Non­General Fund)  Department(s): Public Works Agency Recommended Action: Amend the purchase order contract with Stommel, Inc., (dba Lehr Auto Electric) for police vehicle conversion equipment and installation services by increasing the contract renewal amount $250,000, for an annual amount not to exceed $450,000 and a total contract amount not to exceed $1,350,000 for the remaining three, one­year renewal periods, subject to non­substantive changes approved by the City Manager and City Attorney. 12.Amend Purchase Order Contract with All American Asphalt to Increase the Annual Amount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­ General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an amendment to the Purchase Order Contract with All American Asphalt for asphalt pothole repair, to increase the annual amount by $147,800, for a total annual amount not to exceed $697,800, for the remaining term of the agreement ending on November 30, 2021, with two optional one­year renewal options exercisable by the City Manager and City Attorney, subject to non­substantive changes approved by the City Manager and City Attorney.  13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of $360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an Estimated Project Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to CJ Concrete Construction, Inc, the lowest responsible bidder, in accordance with the base bid in the amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­ 22, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $594,210.50, which includes $360,183 for the construction contract; $54,027.50 for contract administration, inspection and testing; and a $180,000 project contingency for unanticipated or unforeseen work. 14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in the Amount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­ 22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­ 6466) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to Stephen Doreck Equipment Rentals, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $1,265,465, for construction of the Grovemont Street Water Main Improvements FY 2021­22 Project, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,645,105, which includes $1,265,465 for the construction contract; $189,820 for contract administration, inspection and testing; and $189,820 in project contingency for unanticipated or unforeseen work. 15.Approve an Agreement with Service First Contractors Network dba Service First for Fountain Maintenance Services located at the Downtown Civic Center, including Plaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1 Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional Transportation Center (1 Fountain) (Non­General Fund) Department(s): Parks, Recreation, and Community Services Recommended Action: Authorize the City Manager to execute an agreement with Service First Contractors Network dba Service First to provide fountain maintenance services in an annual amount not to exceed $106,170, which includes a 20% contingency, for a term from January 1, 2022 through December 31, 2023, with two, one­year renewal options for a total amount not to exceed $424,680, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  16.Agreement with Patrol Solutions, LLC for unarmed security guard services for Downtown Santa Ana and Civic Center area (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute an agreement with Patrol Solutions, LLC for unarmed security services for Downtown Santa Ana and Civic Center area, for a one­year term, in the amount of $185,990, beginning November 16, 2021 through November 15, 2022, with an option of two one­year extensions, for a total aggregate amount not to exceed $545,000, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in an Amount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Santolucito Doré Group, Inc., to provide completion of final close­out work per Caltrans requirements and property appraisal services, on an as needed basis, in an amount not to exceed $149,500, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­ way property appraisal services, in a shared aggregate amount not to exceed $300,000, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­Call Right­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an Amount Not to Exceed $649,500 for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Monument ROW to provide completion of final close­out work per Caltrans requirements, acquisition maintenance, and a relocation assistance program, in an amount not to exceed $149,500 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Monument ROW and Overland, Pacific & Cutler LLC to provide completion of final close­out work, acquisition maintenance, and a relocation assistance program, in a shared aggregate amount not to exceed $500,000 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 19.Approve an Agreement with Arch Insurance Company to Take Over the San Lorenzo Sewage Lift Station Project (Project No. 06­3510) (Non­General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with Arch Insurance Company to take over the San Lorenzo Sewage Lift Station Project and be responsible for the completion of all work in accordance with the contract subject to non­substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for Debit and Credit Card Merchant Payment Processing Services, including Europay, MasterCard, Visa and e­Commerce Gateway Transaction Integration and Support in the Amount not to Exceed $172,500, which Includes a General Contingency of $22,500 Department(s): Finance and Management Services Recommended Action: Authorize the City Manager to execute a renewal agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit and credit card payment processing services, including Europay, MasterCard, and Visa and e­Commerce gateway transaction integration and support in an amount not to exceed $172,500, which includes a general contingency of $22,500.  The renewal agreement shall commence November 16, 2021, and expire June 30, 2022, and will cover all services provided by Consultant since July 1, 2021, subject to non­ substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 21.Approve an Amendment to Agreement with Salvation Army to Operate a Temporary Shelter at the Hospitality House for One Additional Month (Non­General Fund) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute: 1. An amendment to the agreement with Salvation Army to continue to operate a temporary shelter at the Hospitality House through January 31, 2022 for an additional amount of $130,000, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. A first amendment, and any future amendments, to the agreement with Salvation Army to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­ CV) funds to operate the shelter at the Hospitality House through January 31, 2022, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­ XXX).  22.Approve a Second Amendment to Illumination Foundation Agreement to Operate a Temporary Shelter at the Fullerton Recuperative Care Center for up to Two Additional Months Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute a second amendment to the agreement with Illumination Foundation to extend the term to operate a temporary shelter at the Fullerton Recuperative Care Center for up to an additional two months through January 31, 2022, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 23.Adopt a Resolution Approving the Events Permit Policy, including Park Facility Permits, Film Permits, Land Use Certificates, and Special Event Permits Department(s): Parks, Recreation, and Community Services Recommended Action: Resolution No. 2021­XXX – Adopt a Resolution approving the Events Permit Policy, including park facility permits, film permits, land use certificates, and special event permits. 24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023 Measure M2 Comprehensive Transportation Funding Program (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  Adopt Resolutions Authorizing the City of Santa Ana to submit applications for funding consideration under the Measure M2 Comprehensive Transportation Funding Program 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX). 2. Direct staff to incorporate approved Comprehensive Transportation Funding Program projects into the Seven­Year Capital Improvement Program for Fiscal Year 2022­23. 25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive Performance Evaluation Conducted on October 19, 2021 and Approving an Amended Annual Salary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 to Effect Certain Changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS) Department(s): Human Resources Recommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirming positive evaluation results and approving an adjusted annual salary for the City Manager, and 2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­ 111 to effect certain changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS). **END OF CONSENT CALENDAR** BUSINESS CALENDAR 26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order to PrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana Resident Stimulus Program (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: 1. Approve an appropriation adjustment to reallocate $2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­ 69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for the Revive Santa Ana Resident Stimulus Program. (Requires five affirmative votes) 2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for the purchase of 20,000 $300 pre­paid visa cards. 27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing of Community Meetings for Certain Development Projects, Lobbyist Disclosure Policy, and Publishing Timeline for City Council Meeting Agendas Department(s): City Manager Office Recommended Action: 1. Approve the first reading of an ordinance amending the Sunshine Ordinance to expand the number of community meetings for certain development projects from one to two, increase the radius of distributing noticing of said community meetings from 500 feet of the subject property to 1,000 feet, implement a Lobbyist Registration Policy, and revise the timeline to publish City Council meeting agendas from four days to seven days. 2. Approve an appropriation adjustment recognizing $40,000 from prior­year fund balance in the General Fund and appropriate the same amount to the General Fund, Clerk of the Council Service Enhancement salaries ($10,000) and contractual services ($30,000) expenditure accounts. (Requires five affirmative votes) **END OF BUSINESS CALENDAR** PUBLIC HEARINGS PUBLIC COMMENTS – Members of the public may address the City Council on each Public Hearing item. 28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19 Incurred by the City for Weed, Rubbish, and Garbage Abatement Within Private Property Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado de Orange Legal Notice published in the Orange County Reporter on November 5, 2021 and notices mailed on said date. Department(s): Planning and Building Agency Recommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming the acceptance of the Weed, Rubbish, and Garbage Abatement report and confirm the Code Enforcement Division description for the recovery of the costs in an amount of $39,604.19, associated with the execution of the Inspection and Abatement Warrant on May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en el Condado de Orange. 29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of the City Council of the City of Santa Ana Repealing and Reenacting in its Entirety Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the Housing Opportunity Ordinance Legal Notice published in the Orange County Reporter on November 5, 2021. Department(s): Planning and Building Agency Recommended Action: Consider the recommendations made by the Planning Commission and take one of the following options: 1. Approve first reading of the Ordinance as presented; or 2. Approve first reading of the Ordinance incorporating the changes recommended by the Planning Commission; or 3. Approve first reading of the Ordinance with the incorporation of changes desired by the City Council. COUNCILMEMBER REQUESTED ITEMS 30.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza 31.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance Establishing Regulations Prohibiting the Unlawful Possession of Catalytic Converters in the City – Councilmember Lopez CITY MANAGER COMMENTS COUNCIL COMMENTS AB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authority meeting. Adjourn in memory of Dr. Gaston Cilliani Future Items 1. Mental Health Mobile Outreach Services 2. General Plan Update 3. Housing Element Update SPECIAL HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vice Chair David Penaloza Chair Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Special Housing Authority agenda.  CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Item: 1. 1.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR JOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY 2.Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 5 11/16/2021 City Council and Special Housing AuthorityMeeting PacketNovember 16, 2021CLOSED SESSION MEETING – 5:00 PMREGULAR OPEN MEETING – 5:45 PM (Immediately following the Closed Session Meeting)CITY COUNCIL CHAMBER22 Civic Center Plaza Santa Ana, CA 92701Vicente SarmientoMayorThai Viet PhanCouncilmember – Ward 1 David PenalozaMayor Pro Tem ­ Ward 2Jessie LopezCouncilmember ­ Ward 3 Phil BacerraCouncilmember ­ Ward 4Johnathan Ryan HernandezCouncilmember ­ Ward 5 Nelida MendozaCouncilmember ­ Ward 6Mayor and Council telephone: 714­647­6900Agenda item inquiries: 714­647­6520Sonia R. CarvalhoCity Attorney Kristine RidgeCity Manager Daisy GomezClerk of the CouncilIn compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting,contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enablethe City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supportingdocumentation can be found on the City’s website – www.santa­ana.org/city­meetings.CITY VISION AND CODE OF ETHICSThe City of Santa Ana is committed to achieving a shared vision for the organization and itscommunity. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtfuland inclusive process designed to set the City and organization on a course that meets thechallenges of today and tomorrow, as follows:Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment inyouth • Safe and healthy community • Neighborhood pride • Thriving economic climate •Enriched and diverse culture • Quality government servicesMission ­ To deliver efficient public services in partnership with our community which ensurespublic safety, a prosperous economic environment, opportunities for our youth, and a highquality of life for residents.Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility •Innovation • TransparencyCode of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008,voters approved an amendment to the City Charter which established the Code of Ethics andConduct for elected officials and members of appointed boards, commissions, andcommittees to assure public confidence. The following are the core values expressed: •Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • EfficiencyResolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, isset to expire on December 2, 2021. Therefore, virtual participation for City Councilmeetings will no longer be available beginning December 3, 2021.Members of the public may attend the City Council meeting in­person or join via Zoom. TheCity Council meeting will occur live via teleconference Zoom webinar. You may view themeeting from your computer, tablet or smart phone via YouTube LiveStream atwww.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 andAT&T U­verse channel 99.PUBLIC COMMENTS – Members of the public who wish to address the City Council onclosed session items, items on the regular agenda or on matters which are not on theagenda, but are within the subject matter jurisdiction of the City Council may do so by one ofthe following ways:MAILING OPTION written communications – Public comments may be mailed to:Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA92701. All written communications received via mail by 4:00 p.m. on the day of themeeting will be distributed to the City Council and imaged into the City’s documentarchive system which is available for public review.SENDING E­MAIL OPTION – Public comments may be sent via email to the CityClerk’s office at eComment@santa­ana.org. Please note the agenda item you arecommenting on in the subject line of the email. All emails received before 4:00 p.m. onthe day of the meeting will be distributed to the City Council and imaged into the City’sdocument archive system which is available for public review.LIVE VIRTUAL OPTION – Members of the public may provide live comments duringthe meeting by Zoom or Conference Call. To join by Zoom click on or type the followingaddress into your web browser https://us02web.zoom.us/j/315965149. To join theConference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You willbe prompted by the City Clerk when it is time for a: i) closed session item, ii)general agenda item, iii) public hearing item, iv) special agenda item, or v) for HousingAuthority item. You may request to speak by dialing *9 from your phone or you mayvirtually raise your hand from Zoom. After the Clerk confirms the last three digits of thecaller’s phone number or Zoom ID and unmutes them, the caller must press *6 ormicrophone icon to speak. Callers are encouraged, but not required, to identifythemselves by name. Each caller will be provided three (3) minutes to speak, unlessdue to the number of speakers wanting to speak a decision is made to provide adifferent amount of time to speak.IN­PERSON OPTION ­ Members of the public can provide in­person comments at thepodium in the Council Chamber. The Council Chamber will have seating available formembers of the public to attend the meeting in­person up to full capacity. Facecoverings are optional for members of the public who enter City buildings who havebeen vaccinated against COVID­19. Public comments are limited to three (3) minutesper speaker, unless a different time is announced by the presiding chair. Speakers whowish to address the Council must do so by submitting a “Request to Speak” cardby 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designatedpublic comment periods as listed below. Cards will not be accepted after the PublicComment Session begins without the permission of the presiding chair.The following designated public comment periods are:1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide livecomments on closed session items by joining Zoom or the Conference Call as described inthe LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will openat 4:30 p.m.2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDAITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom orthe Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTSOPTION above. Speaker queue will open at 4:30 p.m. 3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. 4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. About the AgendaTo download or view the attachments (staff report and other supporting documentation) foreach agenda item, you must select the agenda item to see the attachments to either open ina new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ).CLOSED SESSIONCALL TO ORDERATTENDANCE Council Members Phil BacerraJohnathan Ryan HernandezJessie LopezNelida MendozaThai Viet PhanMayor  Pro Tem David PenalozaMayorVicente SarmientoCity Manager Kristine RidgeCity Attorney Sonia R. CarvalhoClerk of the Council Daisy GomezPUBLIC COMMENTS – Members of the public may address the City Council on ClosedSession items.CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certainmatters without members of the public present. The City Council finds, based on advice fromthe City Attorney, that discussion in open session of the following matters will prejudice theposition of the City in existing and anticipated litigation:CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph(1) of subdivision (d) of Section 54956.9 of the Government Code:A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SACV 20­0069­DOC (DFMx)B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken atthe Regular Open Session which will begin immediately following the Closed Session.RECESS – City Council will recess to Closed Session for the purpose of conducting regularCity business. RECONVENE – City Council will reconvene to continue regular City business. CITY COUNCIL REGULAR OPEN SESSION CALL TO ORDER ROLL CALL PLEDGE OF ALLEGIANCE Mayor Sarmiento INVOCATION Rupert Vega, Police Chaplain CEREMONIAL PRESENTATIONS 1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphony for Outstanding Contributions to Arts and Culture. 2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) and PJ Vegas representing the Yoeme Tribe declaring November 2021 as Native American Heritage Month. 3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan, posthumously, for his Outstanding Service to our Country. STAFF PRESENTATIONS 4.Homeless Update CLOSED SESSION REPORT – The City Attorney will report on any action(s) from Closed Session. PUBLIC COMMENT – Public comments will be held during the beginning of the meeting for ALL comments on agenda and non­agenda items, with the exception of public hearings. Comments for public hearings will take place after the hearing is opened. CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Items: 5 through 25. 5.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse the absent members. 6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKING METERS First reading at the November 2, 2021 City Council meeting and approved by a vote of 7­0. Published in the Orange County Reporter on November 5, 2021. Department(s): Public Works Agency Recommended Action: Place ordinance on second reading and adopt. 7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Works and up to $250,000 for Public Works Authorized by the City Manager as Permitted by Charter Section 421 Department(s): Finance and Management Services Recommended Action: Receive and file Quarterly Report of Contracts entered into between July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­public works contracts and agreements and up to $250,000 for public works contracts and agreements.  8.Receive and File Quarterly Report of Investments as of September 30, 2021 Department(s): Finance and Management Services Recommended Action: Receive and file. 9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/Safety Gloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed $300,000 Over the Two­Year Term, with Three One­Year Renewal Options (Specification No. 21­101) (General Fund) Department(s): Police Department Recommended Action: Award blanket order contracts to JC Dental Supply and Medzon Health to provide nitrile examination gloves for a two­year period beginning November 16, 2021 and expiring November 15, 2023 in the annual aggregate amount of $150,000 for a total aggregate amount not to exceed $300,000 over the two­year period, with provisions for three one­year renewals by mutual agreement. Subject to non­substantive changes approved by the City Manager and City Attorney. 10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional Ford Police Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­ 053) (Non­General Fund) Department(s): Public Works Agency, Police Department Recommended Action: Amend the contract with Fairway Ford Sales, Inc., to purchase 25 additional Ford Police Interceptor vehicles for the Santa Ana Police Department, for a total amount not to exceed $1,068,909.50 (including a $20,000 contingency), subject to non­substantive changes approved by the City Manager and City Attorney.  11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) to Increase Contract Renewal Amount by $200,000 for the Remaining Three Renewal Periods (Specification No. 20­007) (Non­General Fund)  Department(s): Public Works Agency Recommended Action: Amend the purchase order contract with Stommel, Inc., (dba Lehr Auto Electric) for police vehicle conversion equipment and installation services by increasing the contract renewal amount $250,000, for an annual amount not to exceed $450,000 and a total contract amount not to exceed $1,350,000 for the remaining three, one­year renewal periods, subject to non­substantive changes approved by the City Manager and City Attorney. 12.Amend Purchase Order Contract with All American Asphalt to Increase the Annual Amount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­ General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an amendment to the Purchase Order Contract with All American Asphalt for asphalt pothole repair, to increase the annual amount by $147,800, for a total annual amount not to exceed $697,800, for the remaining term of the agreement ending on November 30, 2021, with two optional one­year renewal options exercisable by the City Manager and City Attorney, subject to non­substantive changes approved by the City Manager and City Attorney.  13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of $360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an Estimated Project Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to CJ Concrete Construction, Inc, the lowest responsible bidder, in accordance with the base bid in the amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­ 22, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $594,210.50, which includes $360,183 for the construction contract; $54,027.50 for contract administration, inspection and testing; and a $180,000 project contingency for unanticipated or unforeseen work. 14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in the Amount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­ 22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­ 6466) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to Stephen Doreck Equipment Rentals, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $1,265,465, for construction of the Grovemont Street Water Main Improvements FY 2021­22 Project, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,645,105, which includes $1,265,465 for the construction contract; $189,820 for contract administration, inspection and testing; and $189,820 in project contingency for unanticipated or unforeseen work. 15.Approve an Agreement with Service First Contractors Network dba Service First for Fountain Maintenance Services located at the Downtown Civic Center, including Plaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1 Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional Transportation Center (1 Fountain) (Non­General Fund) Department(s): Parks, Recreation, and Community Services Recommended Action: Authorize the City Manager to execute an agreement with Service First Contractors Network dba Service First to provide fountain maintenance services in an annual amount not to exceed $106,170, which includes a 20% contingency, for a term from January 1, 2022 through December 31, 2023, with two, one­year renewal options for a total amount not to exceed $424,680, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  16.Agreement with Patrol Solutions, LLC for unarmed security guard services for Downtown Santa Ana and Civic Center area (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute an agreement with Patrol Solutions, LLC for unarmed security services for Downtown Santa Ana and Civic Center area, for a one­year term, in the amount of $185,990, beginning November 16, 2021 through November 15, 2022, with an option of two one­year extensions, for a total aggregate amount not to exceed $545,000, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in an Amount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Santolucito Doré Group, Inc., to provide completion of final close­out work per Caltrans requirements and property appraisal services, on an as needed basis, in an amount not to exceed $149,500, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­ way property appraisal services, in a shared aggregate amount not to exceed $300,000, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­Call Right­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an Amount Not to Exceed $649,500 for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Monument ROW to provide completion of final close­out work per Caltrans requirements, acquisition maintenance, and a relocation assistance program, in an amount not to exceed $149,500 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Monument ROW and Overland, Pacific & Cutler LLC to provide completion of final close­out work, acquisition maintenance, and a relocation assistance program, in a shared aggregate amount not to exceed $500,000 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 19.Approve an Agreement with Arch Insurance Company to Take Over the San Lorenzo Sewage Lift Station Project (Project No. 06­3510) (Non­General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with Arch Insurance Company to take over the San Lorenzo Sewage Lift Station Project and be responsible for the completion of all work in accordance with the contract subject to non­substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for Debit and Credit Card Merchant Payment Processing Services, including Europay, MasterCard, Visa and e­Commerce Gateway Transaction Integration and Support in the Amount not to Exceed $172,500, which Includes a General Contingency of $22,500 Department(s): Finance and Management Services Recommended Action: Authorize the City Manager to execute a renewal agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit and credit card payment processing services, including Europay, MasterCard, and Visa and e­Commerce gateway transaction integration and support in an amount not to exceed $172,500, which includes a general contingency of $22,500.  The renewal agreement shall commence November 16, 2021, and expire June 30, 2022, and will cover all services provided by Consultant since July 1, 2021, subject to non­ substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 21.Approve an Amendment to Agreement with Salvation Army to Operate a Temporary Shelter at the Hospitality House for One Additional Month (Non­General Fund) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute: 1. An amendment to the agreement with Salvation Army to continue to operate a temporary shelter at the Hospitality House through January 31, 2022 for an additional amount of $130,000, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. A first amendment, and any future amendments, to the agreement with Salvation Army to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­ CV) funds to operate the shelter at the Hospitality House through January 31, 2022, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­ XXX).  22.Approve a Second Amendment to Illumination Foundation Agreement to Operate a Temporary Shelter at the Fullerton Recuperative Care Center for up to Two Additional Months Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute a second amendment to the agreement with Illumination Foundation to extend the term to operate a temporary shelter at the Fullerton Recuperative Care Center for up to an additional two months through January 31, 2022, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 23.Adopt a Resolution Approving the Events Permit Policy, including Park Facility Permits, Film Permits, Land Use Certificates, and Special Event Permits Department(s): Parks, Recreation, and Community Services Recommended Action: Resolution No. 2021­XXX – Adopt a Resolution approving the Events Permit Policy, including park facility permits, film permits, land use certificates, and special event permits. 24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023 Measure M2 Comprehensive Transportation Funding Program (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  Adopt Resolutions Authorizing the City of Santa Ana to submit applications for funding consideration under the Measure M2 Comprehensive Transportation Funding Program 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX). 2. Direct staff to incorporate approved Comprehensive Transportation Funding Program projects into the Seven­Year Capital Improvement Program for Fiscal Year 2022­23. 25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive Performance Evaluation Conducted on October 19, 2021 and Approving an Amended Annual Salary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 to Effect Certain Changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS) Department(s): Human Resources Recommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirming positive evaluation results and approving an adjusted annual salary for the City Manager, and 2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­ 111 to effect certain changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS). **END OF CONSENT CALENDAR** BUSINESS CALENDAR 26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order to PrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana Resident Stimulus Program (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: 1. Approve an appropriation adjustment to reallocate $2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­ 69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for the Revive Santa Ana Resident Stimulus Program. (Requires five affirmative votes) 2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for the purchase of 20,000 $300 pre­paid visa cards. 27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing of Community Meetings for Certain Development Projects, Lobbyist Disclosure Policy, and Publishing Timeline for City Council Meeting Agendas Department(s): City Manager Office Recommended Action: 1. Approve the first reading of an ordinance amending the Sunshine Ordinance to expand the number of community meetings for certain development projects from one to two, increase the radius of distributing noticing of said community meetings from 500 feet of the subject property to 1,000 feet, implement a Lobbyist Registration Policy, and revise the timeline to publish City Council meeting agendas from four days to seven days. 2. Approve an appropriation adjustment recognizing $40,000 from prior­year fund balance in the General Fund and appropriate the same amount to the General Fund, Clerk of the Council Service Enhancement salaries ($10,000) and contractual services ($30,000) expenditure accounts. (Requires five affirmative votes) **END OF BUSINESS CALENDAR** PUBLIC HEARINGS PUBLIC COMMENTS – Members of the public may address the City Council on each Public Hearing item. 28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19 Incurred by the City for Weed, Rubbish, and Garbage Abatement Within Private Property Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado de Orange Legal Notice published in the Orange County Reporter on November 5, 2021 and notices mailed on said date. Department(s): Planning and Building Agency Recommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming the acceptance of the Weed, Rubbish, and Garbage Abatement report and confirm the Code Enforcement Division description for the recovery of the costs in an amount of $39,604.19, associated with the execution of the Inspection and Abatement Warrant on May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en el Condado de Orange. 29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of the City Council of the City of Santa Ana Repealing and Reenacting in its Entirety Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the Housing Opportunity Ordinance Legal Notice published in the Orange County Reporter on November 5, 2021. Department(s): Planning and Building Agency Recommended Action: Consider the recommendations made by the Planning Commission and take one of the following options: 1. Approve first reading of the Ordinance as presented; or 2. Approve first reading of the Ordinance incorporating the changes recommended by the Planning Commission; or 3. Approve first reading of the Ordinance with the incorporation of changes desired by the City Council. COUNCILMEMBER REQUESTED ITEMS 30.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza 31.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance Establishing Regulations Prohibiting the Unlawful Possession of Catalytic Converters in the City – Councilmember Lopez CITY MANAGER COMMENTS COUNCIL COMMENTS AB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authority meeting. Adjourn in memory of Dr. Gaston Cilliani Future Items 1. Mental Health Mobile Outreach Services 2. General Plan Update 3. Housing Element Update SPECIAL HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vice Chair David Penaloza Chair Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Special Housing Authority agenda.  CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Item: 1. 1.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR JOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY 2.Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 6 11/16/2021 City Council and Special Housing AuthorityMeeting PacketNovember 16, 2021CLOSED SESSION MEETING – 5:00 PMREGULAR OPEN MEETING – 5:45 PM (Immediately following the Closed Session Meeting)CITY COUNCIL CHAMBER22 Civic Center Plaza Santa Ana, CA 92701Vicente SarmientoMayorThai Viet PhanCouncilmember – Ward 1 David PenalozaMayor Pro Tem ­ Ward 2Jessie LopezCouncilmember ­ Ward 3 Phil BacerraCouncilmember ­ Ward 4Johnathan Ryan HernandezCouncilmember ­ Ward 5 Nelida MendozaCouncilmember ­ Ward 6Mayor and Council telephone: 714­647­6900Agenda item inquiries: 714­647­6520Sonia R. CarvalhoCity Attorney Kristine RidgeCity Manager Daisy GomezClerk of the CouncilIn compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting,contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enablethe City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supportingdocumentation can be found on the City’s website – www.santa­ana.org/city­meetings.CITY VISION AND CODE OF ETHICSThe City of Santa Ana is committed to achieving a shared vision for the organization and itscommunity. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtfuland inclusive process designed to set the City and organization on a course that meets thechallenges of today and tomorrow, as follows:Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment inyouth • Safe and healthy community • Neighborhood pride • Thriving economic climate •Enriched and diverse culture • Quality government servicesMission ­ To deliver efficient public services in partnership with our community which ensurespublic safety, a prosperous economic environment, opportunities for our youth, and a highquality of life for residents.Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility •Innovation • TransparencyCode of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008,voters approved an amendment to the City Charter which established the Code of Ethics andConduct for elected officials and members of appointed boards, commissions, andcommittees to assure public confidence. The following are the core values expressed: •Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • EfficiencyResolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, isset to expire on December 2, 2021. Therefore, virtual participation for City Councilmeetings will no longer be available beginning December 3, 2021.Members of the public may attend the City Council meeting in­person or join via Zoom. TheCity Council meeting will occur live via teleconference Zoom webinar. You may view themeeting from your computer, tablet or smart phone via YouTube LiveStream atwww.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 andAT&T U­verse channel 99.PUBLIC COMMENTS – Members of the public who wish to address the City Council onclosed session items, items on the regular agenda or on matters which are not on theagenda, but are within the subject matter jurisdiction of the City Council may do so by one ofthe following ways:MAILING OPTION written communications – Public comments may be mailed to:Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA92701. All written communications received via mail by 4:00 p.m. on the day of themeeting will be distributed to the City Council and imaged into the City’s documentarchive system which is available for public review.SENDING E­MAIL OPTION – Public comments may be sent via email to the CityClerk’s office at eComment@santa­ana.org. Please note the agenda item you arecommenting on in the subject line of the email. All emails received before 4:00 p.m. onthe day of the meeting will be distributed to the City Council and imaged into the City’sdocument archive system which is available for public review.LIVE VIRTUAL OPTION – Members of the public may provide live comments duringthe meeting by Zoom or Conference Call. To join by Zoom click on or type the followingaddress into your web browser https://us02web.zoom.us/j/315965149. To join theConference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You willbe prompted by the City Clerk when it is time for a: i) closed session item, ii)general agenda item, iii) public hearing item, iv) special agenda item, or v) for HousingAuthority item. You may request to speak by dialing *9 from your phone or you mayvirtually raise your hand from Zoom. After the Clerk confirms the last three digits of thecaller’s phone number or Zoom ID and unmutes them, the caller must press *6 ormicrophone icon to speak. Callers are encouraged, but not required, to identifythemselves by name. Each caller will be provided three (3) minutes to speak, unlessdue to the number of speakers wanting to speak a decision is made to provide adifferent amount of time to speak.IN­PERSON OPTION ­ Members of the public can provide in­person comments at thepodium in the Council Chamber. The Council Chamber will have seating available formembers of the public to attend the meeting in­person up to full capacity. Facecoverings are optional for members of the public who enter City buildings who havebeen vaccinated against COVID­19. Public comments are limited to three (3) minutesper speaker, unless a different time is announced by the presiding chair. Speakers whowish to address the Council must do so by submitting a “Request to Speak” cardby 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designatedpublic comment periods as listed below. Cards will not be accepted after the PublicComment Session begins without the permission of the presiding chair.The following designated public comment periods are:1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide livecomments on closed session items by joining Zoom or the Conference Call as described inthe LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will openat 4:30 p.m.2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDAITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom orthe Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTSOPTION above. Speaker queue will open at 4:30 p.m. 3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. 4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. About the AgendaTo download or view the attachments (staff report and other supporting documentation) foreach agenda item, you must select the agenda item to see the attachments to either open ina new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ).CLOSED SESSIONCALL TO ORDERATTENDANCE Council Members Phil BacerraJohnathan Ryan HernandezJessie LopezNelida MendozaThai Viet PhanMayor  Pro Tem David PenalozaMayorVicente SarmientoCity Manager Kristine RidgeCity Attorney Sonia R. CarvalhoClerk of the Council Daisy GomezPUBLIC COMMENTS – Members of the public may address the City Council on ClosedSession items.CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certainmatters without members of the public present. The City Council finds, based on advice fromthe City Attorney, that discussion in open session of the following matters will prejudice theposition of the City in existing and anticipated litigation:CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph(1) of subdivision (d) of Section 54956.9 of the Government Code:A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SACV 20­0069­DOC (DFMx)B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken atthe Regular Open Session which will begin immediately following the Closed Session.RECESS – City Council will recess to Closed Session for the purpose of conducting regularCity business.RECONVENE – City Council will reconvene to continue regular City business.CITY COUNCIL REGULAR OPEN SESSIONCALL TO ORDERROLL CALLPLEDGE OF ALLEGIANCE Mayor SarmientoINVOCATIONRupert Vega, Police ChaplainCEREMONIAL PRESENTATIONS1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphonyfor Outstanding Contributions to Arts and Culture.2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) andPJ Vegas representing the Yoeme Tribe declaring November 2021 as Native AmericanHeritage Month.3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan,posthumously, for his Outstanding Service to our Country.STAFF PRESENTATIONS4.Homeless UpdateCLOSED SESSION REPORT – The City Attorney will report on any action(s) from ClosedSession.PUBLIC COMMENT – Public comments will be held during the beginning of the meeting forALL comments on agenda and non­agenda items, with the exception of public hearings.Comments for public hearings will take place after the hearing is opened.CONSENT CALENDARRECOMMENDED ACTION:  Approve staff recommendations on the followingConsent Calendar Items: 5 through 25.5.Excused AbsencesDepartment(s): Clerk of the Council OfficeRecommended Action: Excuse the absent members. 6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKING METERS First reading at the November 2, 2021 City Council meeting and approved by a vote of 7­0. Published in the Orange County Reporter on November 5, 2021. Department(s): Public Works Agency Recommended Action: Place ordinance on second reading and adopt. 7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Works and up to $250,000 for Public Works Authorized by the City Manager as Permitted by Charter Section 421 Department(s): Finance and Management Services Recommended Action: Receive and file Quarterly Report of Contracts entered into between July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­public works contracts and agreements and up to $250,000 for public works contracts and agreements.  8.Receive and File Quarterly Report of Investments as of September 30, 2021 Department(s): Finance and Management Services Recommended Action: Receive and file. 9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/Safety Gloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed $300,000 Over the Two­Year Term, with Three One­Year Renewal Options (Specification No. 21­101) (General Fund) Department(s): Police Department Recommended Action: Award blanket order contracts to JC Dental Supply and Medzon Health to provide nitrile examination gloves for a two­year period beginning November 16, 2021 and expiring November 15, 2023 in the annual aggregate amount of $150,000 for a total aggregate amount not to exceed $300,000 over the two­year period, with provisions for three one­year renewals by mutual agreement. Subject to non­substantive changes approved by the City Manager and City Attorney. 10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional Ford Police Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­ 053) (Non­General Fund) Department(s): Public Works Agency, Police Department Recommended Action: Amend the contract with Fairway Ford Sales, Inc., to purchase 25 additional Ford Police Interceptor vehicles for the Santa Ana Police Department, for a total amount not to exceed $1,068,909.50 (including a $20,000 contingency), subject to non­substantive changes approved by the City Manager and City Attorney.  11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) to Increase Contract Renewal Amount by $200,000 for the Remaining Three Renewal Periods (Specification No. 20­007) (Non­General Fund)  Department(s): Public Works Agency Recommended Action: Amend the purchase order contract with Stommel, Inc., (dba Lehr Auto Electric) for police vehicle conversion equipment and installation services by increasing the contract renewal amount $250,000, for an annual amount not to exceed $450,000 and a total contract amount not to exceed $1,350,000 for the remaining three, one­year renewal periods, subject to non­substantive changes approved by the City Manager and City Attorney. 12.Amend Purchase Order Contract with All American Asphalt to Increase the Annual Amount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­ General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an amendment to the Purchase Order Contract with All American Asphalt for asphalt pothole repair, to increase the annual amount by $147,800, for a total annual amount not to exceed $697,800, for the remaining term of the agreement ending on November 30, 2021, with two optional one­year renewal options exercisable by the City Manager and City Attorney, subject to non­substantive changes approved by the City Manager and City Attorney.  13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of $360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an Estimated Project Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to CJ Concrete Construction, Inc, the lowest responsible bidder, in accordance with the base bid in the amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­ 22, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $594,210.50, which includes $360,183 for the construction contract; $54,027.50 for contract administration, inspection and testing; and a $180,000 project contingency for unanticipated or unforeseen work. 14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in the Amount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­ 22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­ 6466) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to Stephen Doreck Equipment Rentals, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $1,265,465, for construction of the Grovemont Street Water Main Improvements FY 2021­22 Project, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,645,105, which includes $1,265,465 for the construction contract; $189,820 for contract administration, inspection and testing; and $189,820 in project contingency for unanticipated or unforeseen work. 15.Approve an Agreement with Service First Contractors Network dba Service First for Fountain Maintenance Services located at the Downtown Civic Center, including Plaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1 Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional Transportation Center (1 Fountain) (Non­General Fund) Department(s): Parks, Recreation, and Community Services Recommended Action: Authorize the City Manager to execute an agreement with Service First Contractors Network dba Service First to provide fountain maintenance services in an annual amount not to exceed $106,170, which includes a 20% contingency, for a term from January 1, 2022 through December 31, 2023, with two, one­year renewal options for a total amount not to exceed $424,680, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  16.Agreement with Patrol Solutions, LLC for unarmed security guard services for Downtown Santa Ana and Civic Center area (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute an agreement with Patrol Solutions, LLC for unarmed security services for Downtown Santa Ana and Civic Center area, for a one­year term, in the amount of $185,990, beginning November 16, 2021 through November 15, 2022, with an option of two one­year extensions, for a total aggregate amount not to exceed $545,000, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in an Amount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Santolucito Doré Group, Inc., to provide completion of final close­out work per Caltrans requirements and property appraisal services, on an as needed basis, in an amount not to exceed $149,500, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­ way property appraisal services, in a shared aggregate amount not to exceed $300,000, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­Call Right­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an Amount Not to Exceed $649,500 for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Monument ROW to provide completion of final close­out work per Caltrans requirements, acquisition maintenance, and a relocation assistance program, in an amount not to exceed $149,500 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Monument ROW and Overland, Pacific & Cutler LLC to provide completion of final close­out work, acquisition maintenance, and a relocation assistance program, in a shared aggregate amount not to exceed $500,000 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 19.Approve an Agreement with Arch Insurance Company to Take Over the San Lorenzo Sewage Lift Station Project (Project No. 06­3510) (Non­General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with Arch Insurance Company to take over the San Lorenzo Sewage Lift Station Project and be responsible for the completion of all work in accordance with the contract subject to non­substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for Debit and Credit Card Merchant Payment Processing Services, including Europay, MasterCard, Visa and e­Commerce Gateway Transaction Integration and Support in the Amount not to Exceed $172,500, which Includes a General Contingency of $22,500 Department(s): Finance and Management Services Recommended Action: Authorize the City Manager to execute a renewal agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit and credit card payment processing services, including Europay, MasterCard, and Visa and e­Commerce gateway transaction integration and support in an amount not to exceed $172,500, which includes a general contingency of $22,500.  The renewal agreement shall commence November 16, 2021, and expire June 30, 2022, and will cover all services provided by Consultant since July 1, 2021, subject to non­ substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 21.Approve an Amendment to Agreement with Salvation Army to Operate a Temporary Shelter at the Hospitality House for One Additional Month (Non­General Fund) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute: 1. An amendment to the agreement with Salvation Army to continue to operate a temporary shelter at the Hospitality House through January 31, 2022 for an additional amount of $130,000, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. A first amendment, and any future amendments, to the agreement with Salvation Army to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­ CV) funds to operate the shelter at the Hospitality House through January 31, 2022, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­ XXX).  22.Approve a Second Amendment to Illumination Foundation Agreement to Operate a Temporary Shelter at the Fullerton Recuperative Care Center for up to Two Additional Months Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute a second amendment to the agreement with Illumination Foundation to extend the term to operate a temporary shelter at the Fullerton Recuperative Care Center for up to an additional two months through January 31, 2022, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 23.Adopt a Resolution Approving the Events Permit Policy, including Park Facility Permits, Film Permits, Land Use Certificates, and Special Event Permits Department(s): Parks, Recreation, and Community Services Recommended Action: Resolution No. 2021­XXX – Adopt a Resolution approving the Events Permit Policy, including park facility permits, film permits, land use certificates, and special event permits. 24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023 Measure M2 Comprehensive Transportation Funding Program (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  Adopt Resolutions Authorizing the City of Santa Ana to submit applications for funding consideration under the Measure M2 Comprehensive Transportation Funding Program 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX). 2. Direct staff to incorporate approved Comprehensive Transportation Funding Program projects into the Seven­Year Capital Improvement Program for Fiscal Year 2022­23. 25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive Performance Evaluation Conducted on October 19, 2021 and Approving an Amended Annual Salary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 to Effect Certain Changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS) Department(s): Human Resources Recommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirming positive evaluation results and approving an adjusted annual salary for the City Manager, and 2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­ 111 to effect certain changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS). **END OF CONSENT CALENDAR** BUSINESS CALENDAR 26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order to PrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana Resident Stimulus Program (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: 1. Approve an appropriation adjustment to reallocate $2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­ 69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for the Revive Santa Ana Resident Stimulus Program. (Requires five affirmative votes) 2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for the purchase of 20,000 $300 pre­paid visa cards. 27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing of Community Meetings for Certain Development Projects, Lobbyist Disclosure Policy, and Publishing Timeline for City Council Meeting Agendas Department(s): City Manager Office Recommended Action: 1. Approve the first reading of an ordinance amending the Sunshine Ordinance to expand the number of community meetings for certain development projects from one to two, increase the radius of distributing noticing of said community meetings from 500 feet of the subject property to 1,000 feet, implement a Lobbyist Registration Policy, and revise the timeline to publish City Council meeting agendas from four days to seven days. 2. Approve an appropriation adjustment recognizing $40,000 from prior­year fund balance in the General Fund and appropriate the same amount to the General Fund, Clerk of the Council Service Enhancement salaries ($10,000) and contractual services ($30,000) expenditure accounts. (Requires five affirmative votes) **END OF BUSINESS CALENDAR** PUBLIC HEARINGS PUBLIC COMMENTS – Members of the public may address the City Council on each Public Hearing item. 28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19 Incurred by the City for Weed, Rubbish, and Garbage Abatement Within Private Property Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado de Orange Legal Notice published in the Orange County Reporter on November 5, 2021 and notices mailed on said date. Department(s): Planning and Building Agency Recommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming the acceptance of the Weed, Rubbish, and Garbage Abatement report and confirm the Code Enforcement Division description for the recovery of the costs in an amount of $39,604.19, associated with the execution of the Inspection and Abatement Warrant on May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en el Condado de Orange. 29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of the City Council of the City of Santa Ana Repealing and Reenacting in its Entirety Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the Housing Opportunity Ordinance Legal Notice published in the Orange County Reporter on November 5, 2021. Department(s): Planning and Building Agency Recommended Action: Consider the recommendations made by the Planning Commission and take one of the following options: 1. Approve first reading of the Ordinance as presented; or 2. Approve first reading of the Ordinance incorporating the changes recommended by the Planning Commission; or 3. Approve first reading of the Ordinance with the incorporation of changes desired by the City Council. COUNCILMEMBER REQUESTED ITEMS 30.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza 31.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance Establishing Regulations Prohibiting the Unlawful Possession of Catalytic Converters in the City – Councilmember Lopez CITY MANAGER COMMENTS COUNCIL COMMENTS AB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authority meeting. Adjourn in memory of Dr. Gaston Cilliani Future Items 1. Mental Health Mobile Outreach Services 2. General Plan Update 3. Housing Element Update SPECIAL HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vice Chair David Penaloza Chair Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Special Housing Authority agenda.  CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Item: 1. 1.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR JOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY 2.Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 7 11/16/2021 City Council and Special Housing AuthorityMeeting PacketNovember 16, 2021CLOSED SESSION MEETING – 5:00 PMREGULAR OPEN MEETING – 5:45 PM (Immediately following the Closed Session Meeting)CITY COUNCIL CHAMBER22 Civic Center Plaza Santa Ana, CA 92701Vicente SarmientoMayorThai Viet PhanCouncilmember – Ward 1 David PenalozaMayor Pro Tem ­ Ward 2Jessie LopezCouncilmember ­ Ward 3 Phil BacerraCouncilmember ­ Ward 4Johnathan Ryan HernandezCouncilmember ­ Ward 5 Nelida MendozaCouncilmember ­ Ward 6Mayor and Council telephone: 714­647­6900Agenda item inquiries: 714­647­6520Sonia R. CarvalhoCity Attorney Kristine RidgeCity Manager Daisy GomezClerk of the CouncilIn compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting,contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enablethe City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supportingdocumentation can be found on the City’s website – www.santa­ana.org/city­meetings.CITY VISION AND CODE OF ETHICSThe City of Santa Ana is committed to achieving a shared vision for the organization and itscommunity. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtfuland inclusive process designed to set the City and organization on a course that meets thechallenges of today and tomorrow, as follows:Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment inyouth • Safe and healthy community • Neighborhood pride • Thriving economic climate •Enriched and diverse culture • Quality government servicesMission ­ To deliver efficient public services in partnership with our community which ensurespublic safety, a prosperous economic environment, opportunities for our youth, and a highquality of life for residents.Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility •Innovation • TransparencyCode of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008,voters approved an amendment to the City Charter which established the Code of Ethics andConduct for elected officials and members of appointed boards, commissions, andcommittees to assure public confidence. The following are the core values expressed: •Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • EfficiencyResolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, isset to expire on December 2, 2021. Therefore, virtual participation for City Councilmeetings will no longer be available beginning December 3, 2021.Members of the public may attend the City Council meeting in­person or join via Zoom. TheCity Council meeting will occur live via teleconference Zoom webinar. You may view themeeting from your computer, tablet or smart phone via YouTube LiveStream atwww.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 andAT&T U­verse channel 99.PUBLIC COMMENTS – Members of the public who wish to address the City Council onclosed session items, items on the regular agenda or on matters which are not on theagenda, but are within the subject matter jurisdiction of the City Council may do so by one ofthe following ways:MAILING OPTION written communications – Public comments may be mailed to:Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA92701. All written communications received via mail by 4:00 p.m. on the day of themeeting will be distributed to the City Council and imaged into the City’s documentarchive system which is available for public review.SENDING E­MAIL OPTION – Public comments may be sent via email to the CityClerk’s office at eComment@santa­ana.org. Please note the agenda item you arecommenting on in the subject line of the email. All emails received before 4:00 p.m. onthe day of the meeting will be distributed to the City Council and imaged into the City’sdocument archive system which is available for public review.LIVE VIRTUAL OPTION – Members of the public may provide live comments duringthe meeting by Zoom or Conference Call. To join by Zoom click on or type the followingaddress into your web browser https://us02web.zoom.us/j/315965149. To join theConference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You willbe prompted by the City Clerk when it is time for a: i) closed session item, ii)general agenda item, iii) public hearing item, iv) special agenda item, or v) for HousingAuthority item. You may request to speak by dialing *9 from your phone or you mayvirtually raise your hand from Zoom. After the Clerk confirms the last three digits of thecaller’s phone number or Zoom ID and unmutes them, the caller must press *6 ormicrophone icon to speak. Callers are encouraged, but not required, to identifythemselves by name. Each caller will be provided three (3) minutes to speak, unlessdue to the number of speakers wanting to speak a decision is made to provide adifferent amount of time to speak.IN­PERSON OPTION ­ Members of the public can provide in­person comments at thepodium in the Council Chamber. The Council Chamber will have seating available formembers of the public to attend the meeting in­person up to full capacity. Facecoverings are optional for members of the public who enter City buildings who havebeen vaccinated against COVID­19. Public comments are limited to three (3) minutesper speaker, unless a different time is announced by the presiding chair. Speakers whowish to address the Council must do so by submitting a “Request to Speak” cardby 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designatedpublic comment periods as listed below. Cards will not be accepted after the PublicComment Session begins without the permission of the presiding chair.The following designated public comment periods are:1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide livecomments on closed session items by joining Zoom or the Conference Call as described inthe LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will openat 4:30 p.m.2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDAITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom orthe Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTSOPTION above. Speaker queue will open at 4:30 p.m. 3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. 4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. About the AgendaTo download or view the attachments (staff report and other supporting documentation) foreach agenda item, you must select the agenda item to see the attachments to either open ina new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ).CLOSED SESSIONCALL TO ORDERATTENDANCE Council Members Phil BacerraJohnathan Ryan HernandezJessie LopezNelida MendozaThai Viet PhanMayor  Pro Tem David PenalozaMayorVicente SarmientoCity Manager Kristine RidgeCity Attorney Sonia R. CarvalhoClerk of the Council Daisy GomezPUBLIC COMMENTS – Members of the public may address the City Council on ClosedSession items.CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certainmatters without members of the public present. The City Council finds, based on advice fromthe City Attorney, that discussion in open session of the following matters will prejudice theposition of the City in existing and anticipated litigation:CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph(1) of subdivision (d) of Section 54956.9 of the Government Code:A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SACV 20­0069­DOC (DFMx)B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken atthe Regular Open Session which will begin immediately following the Closed Session.RECESS – City Council will recess to Closed Session for the purpose of conducting regularCity business.RECONVENE – City Council will reconvene to continue regular City business.CITY COUNCIL REGULAR OPEN SESSIONCALL TO ORDERROLL CALLPLEDGE OF ALLEGIANCE Mayor SarmientoINVOCATIONRupert Vega, Police ChaplainCEREMONIAL PRESENTATIONS1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphonyfor Outstanding Contributions to Arts and Culture.2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) andPJ Vegas representing the Yoeme Tribe declaring November 2021 as Native AmericanHeritage Month.3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan,posthumously, for his Outstanding Service to our Country.STAFF PRESENTATIONS4.Homeless UpdateCLOSED SESSION REPORT – The City Attorney will report on any action(s) from ClosedSession.PUBLIC COMMENT – Public comments will be held during the beginning of the meeting forALL comments on agenda and non­agenda items, with the exception of public hearings.Comments for public hearings will take place after the hearing is opened.CONSENT CALENDARRECOMMENDED ACTION:  Approve staff recommendations on the followingConsent Calendar Items: 5 through 25.5.Excused AbsencesDepartment(s): Clerk of the Council OfficeRecommended Action: Excuse the absent members.6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THECITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKINGMETERSFirst reading at the November 2, 2021 City Council meeting and approved by a vote of7­0.Published in the Orange County Reporter on November 5, 2021.Department(s): Public Works AgencyRecommended Action: Place ordinance on second reading and adopt.7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Worksand up to $250,000 for Public Works Authorized by the City Manager as Permitted byCharter Section 421Department(s): Finance and Management ServicesRecommended Action: Receive and file Quarterly Report of Contracts entered intobetween July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­publicworks contracts and agreements and up to $250,000 for public works contracts andagreements. 8.Receive and File Quarterly Report of Investments as of September 30, 2021Department(s): Finance and Management ServicesRecommended Action: Receive and file.9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/SafetyGloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed$300,000 Over the Two­Year Term, with Three One­Year Renewal Options(Specification No. 21­101) (General Fund)Department(s): Police DepartmentRecommended Action: Award blanket order contracts to JC Dental Supply andMedzon Health to provide nitrile examination gloves for a two­year period beginningNovember 16, 2021 and expiring November 15, 2023 in the annual aggregate amountof $150,000 for a total aggregate amount not to exceed $300,000 over the two­yearperiod, with provisions for three one­year renewals by mutual agreement. Subject tonon­substantive changes approved by the City Manager and City Attorney.10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional FordPolice Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­053) (Non­General Fund) Department(s): Public Works Agency, Police Department Recommended Action: Amend the contract with Fairway Ford Sales, Inc., to purchase 25 additional Ford Police Interceptor vehicles for the Santa Ana Police Department, for a total amount not to exceed $1,068,909.50 (including a $20,000 contingency), subject to non­substantive changes approved by the City Manager and City Attorney.  11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) to Increase Contract Renewal Amount by $200,000 for the Remaining Three Renewal Periods (Specification No. 20­007) (Non­General Fund)  Department(s): Public Works Agency Recommended Action: Amend the purchase order contract with Stommel, Inc., (dba Lehr Auto Electric) for police vehicle conversion equipment and installation services by increasing the contract renewal amount $250,000, for an annual amount not to exceed $450,000 and a total contract amount not to exceed $1,350,000 for the remaining three, one­year renewal periods, subject to non­substantive changes approved by the City Manager and City Attorney. 12.Amend Purchase Order Contract with All American Asphalt to Increase the Annual Amount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­ General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an amendment to the Purchase Order Contract with All American Asphalt for asphalt pothole repair, to increase the annual amount by $147,800, for a total annual amount not to exceed $697,800, for the remaining term of the agreement ending on November 30, 2021, with two optional one­year renewal options exercisable by the City Manager and City Attorney, subject to non­substantive changes approved by the City Manager and City Attorney.  13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of $360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an Estimated Project Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to CJ Concrete Construction, Inc, the lowest responsible bidder, in accordance with the base bid in the amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­ 22, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $594,210.50, which includes $360,183 for the construction contract; $54,027.50 for contract administration, inspection and testing; and a $180,000 project contingency for unanticipated or unforeseen work. 14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in the Amount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­ 22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­ 6466) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to Stephen Doreck Equipment Rentals, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $1,265,465, for construction of the Grovemont Street Water Main Improvements FY 2021­22 Project, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,645,105, which includes $1,265,465 for the construction contract; $189,820 for contract administration, inspection and testing; and $189,820 in project contingency for unanticipated or unforeseen work. 15.Approve an Agreement with Service First Contractors Network dba Service First for Fountain Maintenance Services located at the Downtown Civic Center, including Plaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1 Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional Transportation Center (1 Fountain) (Non­General Fund) Department(s): Parks, Recreation, and Community Services Recommended Action: Authorize the City Manager to execute an agreement with Service First Contractors Network dba Service First to provide fountain maintenance services in an annual amount not to exceed $106,170, which includes a 20% contingency, for a term from January 1, 2022 through December 31, 2023, with two, one­year renewal options for a total amount not to exceed $424,680, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  16.Agreement with Patrol Solutions, LLC for unarmed security guard services for Downtown Santa Ana and Civic Center area (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute an agreement with Patrol Solutions, LLC for unarmed security services for Downtown Santa Ana and Civic Center area, for a one­year term, in the amount of $185,990, beginning November 16, 2021 through November 15, 2022, with an option of two one­year extensions, for a total aggregate amount not to exceed $545,000, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in an Amount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Santolucito Doré Group, Inc., to provide completion of final close­out work per Caltrans requirements and property appraisal services, on an as needed basis, in an amount not to exceed $149,500, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­ way property appraisal services, in a shared aggregate amount not to exceed $300,000, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­Call Right­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an Amount Not to Exceed $649,500 for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Monument ROW to provide completion of final close­out work per Caltrans requirements, acquisition maintenance, and a relocation assistance program, in an amount not to exceed $149,500 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Monument ROW and Overland, Pacific & Cutler LLC to provide completion of final close­out work, acquisition maintenance, and a relocation assistance program, in a shared aggregate amount not to exceed $500,000 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 19.Approve an Agreement with Arch Insurance Company to Take Over the San Lorenzo Sewage Lift Station Project (Project No. 06­3510) (Non­General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with Arch Insurance Company to take over the San Lorenzo Sewage Lift Station Project and be responsible for the completion of all work in accordance with the contract subject to non­substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for Debit and Credit Card Merchant Payment Processing Services, including Europay, MasterCard, Visa and e­Commerce Gateway Transaction Integration and Support in the Amount not to Exceed $172,500, which Includes a General Contingency of $22,500 Department(s): Finance and Management Services Recommended Action: Authorize the City Manager to execute a renewal agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit and credit card payment processing services, including Europay, MasterCard, and Visa and e­Commerce gateway transaction integration and support in an amount not to exceed $172,500, which includes a general contingency of $22,500.  The renewal agreement shall commence November 16, 2021, and expire June 30, 2022, and will cover all services provided by Consultant since July 1, 2021, subject to non­ substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 21.Approve an Amendment to Agreement with Salvation Army to Operate a Temporary Shelter at the Hospitality House for One Additional Month (Non­General Fund) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute: 1. An amendment to the agreement with Salvation Army to continue to operate a temporary shelter at the Hospitality House through January 31, 2022 for an additional amount of $130,000, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. A first amendment, and any future amendments, to the agreement with Salvation Army to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­ CV) funds to operate the shelter at the Hospitality House through January 31, 2022, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­ XXX).  22.Approve a Second Amendment to Illumination Foundation Agreement to Operate a Temporary Shelter at the Fullerton Recuperative Care Center for up to Two Additional Months Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute a second amendment to the agreement with Illumination Foundation to extend the term to operate a temporary shelter at the Fullerton Recuperative Care Center for up to an additional two months through January 31, 2022, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 23.Adopt a Resolution Approving the Events Permit Policy, including Park Facility Permits, Film Permits, Land Use Certificates, and Special Event Permits Department(s): Parks, Recreation, and Community Services Recommended Action: Resolution No. 2021­XXX – Adopt a Resolution approving the Events Permit Policy, including park facility permits, film permits, land use certificates, and special event permits. 24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023 Measure M2 Comprehensive Transportation Funding Program (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  Adopt Resolutions Authorizing the City of Santa Ana to submit applications for funding consideration under the Measure M2 Comprehensive Transportation Funding Program 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX). 2. Direct staff to incorporate approved Comprehensive Transportation Funding Program projects into the Seven­Year Capital Improvement Program for Fiscal Year 2022­23. 25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive Performance Evaluation Conducted on October 19, 2021 and Approving an Amended Annual Salary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 to Effect Certain Changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS) Department(s): Human Resources Recommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirming positive evaluation results and approving an adjusted annual salary for the City Manager, and 2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­ 111 to effect certain changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS). **END OF CONSENT CALENDAR** BUSINESS CALENDAR 26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order to PrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana Resident Stimulus Program (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: 1. Approve an appropriation adjustment to reallocate $2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­ 69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for the Revive Santa Ana Resident Stimulus Program. (Requires five affirmative votes) 2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for the purchase of 20,000 $300 pre­paid visa cards. 27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing of Community Meetings for Certain Development Projects, Lobbyist Disclosure Policy, and Publishing Timeline for City Council Meeting Agendas Department(s): City Manager Office Recommended Action: 1. Approve the first reading of an ordinance amending the Sunshine Ordinance to expand the number of community meetings for certain development projects from one to two, increase the radius of distributing noticing of said community meetings from 500 feet of the subject property to 1,000 feet, implement a Lobbyist Registration Policy, and revise the timeline to publish City Council meeting agendas from four days to seven days. 2. Approve an appropriation adjustment recognizing $40,000 from prior­year fund balance in the General Fund and appropriate the same amount to the General Fund, Clerk of the Council Service Enhancement salaries ($10,000) and contractual services ($30,000) expenditure accounts. (Requires five affirmative votes) **END OF BUSINESS CALENDAR** PUBLIC HEARINGS PUBLIC COMMENTS – Members of the public may address the City Council on each Public Hearing item. 28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19 Incurred by the City for Weed, Rubbish, and Garbage Abatement Within Private Property Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado de Orange Legal Notice published in the Orange County Reporter on November 5, 2021 and notices mailed on said date. Department(s): Planning and Building Agency Recommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming the acceptance of the Weed, Rubbish, and Garbage Abatement report and confirm the Code Enforcement Division description for the recovery of the costs in an amount of $39,604.19, associated with the execution of the Inspection and Abatement Warrant on May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en el Condado de Orange. 29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of the City Council of the City of Santa Ana Repealing and Reenacting in its Entirety Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the Housing Opportunity Ordinance Legal Notice published in the Orange County Reporter on November 5, 2021. Department(s): Planning and Building Agency Recommended Action: Consider the recommendations made by the Planning Commission and take one of the following options: 1. Approve first reading of the Ordinance as presented; or 2. Approve first reading of the Ordinance incorporating the changes recommended by the Planning Commission; or 3. Approve first reading of the Ordinance with the incorporation of changes desired by the City Council. COUNCILMEMBER REQUESTED ITEMS 30.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza 31.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance Establishing Regulations Prohibiting the Unlawful Possession of Catalytic Converters in the City – Councilmember Lopez CITY MANAGER COMMENTS COUNCIL COMMENTS AB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authority meeting. Adjourn in memory of Dr. Gaston Cilliani Future Items 1. Mental Health Mobile Outreach Services 2. General Plan Update 3. Housing Element Update SPECIAL HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vice Chair David Penaloza Chair Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Special Housing Authority agenda.  CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Item: 1. 1.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR JOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY 2.Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 8 11/16/2021 City Council and Special Housing AuthorityMeeting PacketNovember 16, 2021CLOSED SESSION MEETING – 5:00 PMREGULAR OPEN MEETING – 5:45 PM (Immediately following the Closed Session Meeting)CITY COUNCIL CHAMBER22 Civic Center Plaza Santa Ana, CA 92701Vicente SarmientoMayorThai Viet PhanCouncilmember – Ward 1 David PenalozaMayor Pro Tem ­ Ward 2Jessie LopezCouncilmember ­ Ward 3 Phil BacerraCouncilmember ­ Ward 4Johnathan Ryan HernandezCouncilmember ­ Ward 5 Nelida MendozaCouncilmember ­ Ward 6Mayor and Council telephone: 714­647­6900Agenda item inquiries: 714­647­6520Sonia R. CarvalhoCity Attorney Kristine RidgeCity Manager Daisy GomezClerk of the CouncilIn compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting,contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enablethe City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supportingdocumentation can be found on the City’s website – www.santa­ana.org/city­meetings.CITY VISION AND CODE OF ETHICSThe City of Santa Ana is committed to achieving a shared vision for the organization and itscommunity. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtfuland inclusive process designed to set the City and organization on a course that meets thechallenges of today and tomorrow, as follows:Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment inyouth • Safe and healthy community • Neighborhood pride • Thriving economic climate •Enriched and diverse culture • Quality government servicesMission ­ To deliver efficient public services in partnership with our community which ensurespublic safety, a prosperous economic environment, opportunities for our youth, and a highquality of life for residents.Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility •Innovation • TransparencyCode of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008,voters approved an amendment to the City Charter which established the Code of Ethics andConduct for elected officials and members of appointed boards, commissions, andcommittees to assure public confidence. The following are the core values expressed: •Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • EfficiencyResolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, isset to expire on December 2, 2021. Therefore, virtual participation for City Councilmeetings will no longer be available beginning December 3, 2021.Members of the public may attend the City Council meeting in­person or join via Zoom. TheCity Council meeting will occur live via teleconference Zoom webinar. You may view themeeting from your computer, tablet or smart phone via YouTube LiveStream atwww.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 andAT&T U­verse channel 99.PUBLIC COMMENTS – Members of the public who wish to address the City Council onclosed session items, items on the regular agenda or on matters which are not on theagenda, but are within the subject matter jurisdiction of the City Council may do so by one ofthe following ways:MAILING OPTION written communications – Public comments may be mailed to:Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA92701. All written communications received via mail by 4:00 p.m. on the day of themeeting will be distributed to the City Council and imaged into the City’s documentarchive system which is available for public review.SENDING E­MAIL OPTION – Public comments may be sent via email to the CityClerk’s office at eComment@santa­ana.org. Please note the agenda item you arecommenting on in the subject line of the email. All emails received before 4:00 p.m. onthe day of the meeting will be distributed to the City Council and imaged into the City’sdocument archive system which is available for public review.LIVE VIRTUAL OPTION – Members of the public may provide live comments duringthe meeting by Zoom or Conference Call. To join by Zoom click on or type the followingaddress into your web browser https://us02web.zoom.us/j/315965149. To join theConference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You willbe prompted by the City Clerk when it is time for a: i) closed session item, ii)general agenda item, iii) public hearing item, iv) special agenda item, or v) for HousingAuthority item. You may request to speak by dialing *9 from your phone or you mayvirtually raise your hand from Zoom. After the Clerk confirms the last three digits of thecaller’s phone number or Zoom ID and unmutes them, the caller must press *6 ormicrophone icon to speak. Callers are encouraged, but not required, to identifythemselves by name. Each caller will be provided three (3) minutes to speak, unlessdue to the number of speakers wanting to speak a decision is made to provide adifferent amount of time to speak.IN­PERSON OPTION ­ Members of the public can provide in­person comments at thepodium in the Council Chamber. The Council Chamber will have seating available formembers of the public to attend the meeting in­person up to full capacity. Facecoverings are optional for members of the public who enter City buildings who havebeen vaccinated against COVID­19. Public comments are limited to three (3) minutesper speaker, unless a different time is announced by the presiding chair. Speakers whowish to address the Council must do so by submitting a “Request to Speak” cardby 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designatedpublic comment periods as listed below. Cards will not be accepted after the PublicComment Session begins without the permission of the presiding chair.The following designated public comment periods are:1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide livecomments on closed session items by joining Zoom or the Conference Call as described inthe LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will openat 4:30 p.m.2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDAITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom orthe Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTSOPTION above. Speaker queue will open at 4:30 p.m. 3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. 4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. About the AgendaTo download or view the attachments (staff report and other supporting documentation) foreach agenda item, you must select the agenda item to see the attachments to either open ina new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ).CLOSED SESSIONCALL TO ORDERATTENDANCE Council Members Phil BacerraJohnathan Ryan HernandezJessie LopezNelida MendozaThai Viet PhanMayor  Pro Tem David PenalozaMayorVicente SarmientoCity Manager Kristine RidgeCity Attorney Sonia R. CarvalhoClerk of the Council Daisy GomezPUBLIC COMMENTS – Members of the public may address the City Council on ClosedSession items.CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certainmatters without members of the public present. The City Council finds, based on advice fromthe City Attorney, that discussion in open session of the following matters will prejudice theposition of the City in existing and anticipated litigation:CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph(1) of subdivision (d) of Section 54956.9 of the Government Code:A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SACV 20­0069­DOC (DFMx)B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken atthe Regular Open Session which will begin immediately following the Closed Session.RECESS – City Council will recess to Closed Session for the purpose of conducting regularCity business.RECONVENE – City Council will reconvene to continue regular City business.CITY COUNCIL REGULAR OPEN SESSIONCALL TO ORDERROLL CALLPLEDGE OF ALLEGIANCE Mayor SarmientoINVOCATIONRupert Vega, Police ChaplainCEREMONIAL PRESENTATIONS1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphonyfor Outstanding Contributions to Arts and Culture.2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) andPJ Vegas representing the Yoeme Tribe declaring November 2021 as Native AmericanHeritage Month.3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan,posthumously, for his Outstanding Service to our Country.STAFF PRESENTATIONS4.Homeless UpdateCLOSED SESSION REPORT – The City Attorney will report on any action(s) from ClosedSession.PUBLIC COMMENT – Public comments will be held during the beginning of the meeting forALL comments on agenda and non­agenda items, with the exception of public hearings.Comments for public hearings will take place after the hearing is opened.CONSENT CALENDARRECOMMENDED ACTION:  Approve staff recommendations on the followingConsent Calendar Items: 5 through 25.5.Excused AbsencesDepartment(s): Clerk of the Council OfficeRecommended Action: Excuse the absent members.6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THECITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKINGMETERSFirst reading at the November 2, 2021 City Council meeting and approved by a vote of7­0.Published in the Orange County Reporter on November 5, 2021.Department(s): Public Works AgencyRecommended Action: Place ordinance on second reading and adopt.7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Worksand up to $250,000 for Public Works Authorized by the City Manager as Permitted byCharter Section 421Department(s): Finance and Management ServicesRecommended Action: Receive and file Quarterly Report of Contracts entered intobetween July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­publicworks contracts and agreements and up to $250,000 for public works contracts andagreements. 8.Receive and File Quarterly Report of Investments as of September 30, 2021Department(s): Finance and Management ServicesRecommended Action: Receive and file.9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/SafetyGloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed$300,000 Over the Two­Year Term, with Three One­Year Renewal Options(Specification No. 21­101) (General Fund)Department(s): Police DepartmentRecommended Action: Award blanket order contracts to JC Dental Supply andMedzon Health to provide nitrile examination gloves for a two­year period beginningNovember 16, 2021 and expiring November 15, 2023 in the annual aggregate amountof $150,000 for a total aggregate amount not to exceed $300,000 over the two­yearperiod, with provisions for three one­year renewals by mutual agreement. Subject tonon­substantive changes approved by the City Manager and City Attorney.10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional FordPolice Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­053) (Non­General Fund)Department(s): Public Works Agency, Police DepartmentRecommended Action: Amend the contract with Fairway Ford Sales, Inc., topurchase 25 additional Ford Police Interceptor vehicles for the Santa Ana PoliceDepartment, for a total amount not to exceed $1,068,909.50 (including a $20,000contingency), subject to non­substantive changes approved by the City Manager andCity Attorney. 11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) toIncrease Contract Renewal Amount by $200,000 for the Remaining Three RenewalPeriods (Specification No. 20­007) (Non­General Fund) Department(s): Public Works AgencyRecommended Action: Amend the purchase order contract with Stommel, Inc., (dbaLehr Auto Electric) for police vehicle conversion equipment and installation servicesby increasing the contract renewal amount $250,000, for an annual amount not toexceed $450,000 and a total contract amount not to exceed $1,350,000 for theremaining three, one­year renewal periods, subject to non­substantive changesapproved by the City Manager and City Attorney.12.Amend Purchase Order Contract with All American Asphalt to Increase the AnnualAmount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: Authorize the City Manager to execute an amendment to thePurchase Order Contract with All American Asphalt for asphalt pothole repair, toincrease the annual amount by $147,800, for a total annual amount not to exceed$697,800, for the remaining term of the agreement ending on November 30, 2021,with two optional one­year renewal options exercisable by the City Manager and CityAttorney, subject to non­substantive changes approved by the City Manager and CityAttorney. 13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of$360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an EstimatedProject Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to CJ ConcreteConstruction, Inc, the lowest responsible bidder, in accordance with the base bid inthe amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­22, for the term beginning January 3, 2022, and ending upon project completion, andauthorize the City Manager to execute the contract subject to non­substantive changesapproved by the City Manager and the City Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$594,210.50, which includes $360,183 for the construction contract; $54,027.50 for contract administration, inspection and testing; and a $180,000 project contingency for unanticipated or unforeseen work. 14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in the Amount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­ 22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­ 6466) (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to Stephen Doreck Equipment Rentals, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $1,265,465, for construction of the Grovemont Street Water Main Improvements FY 2021­22 Project, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non­substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,645,105, which includes $1,265,465 for the construction contract; $189,820 for contract administration, inspection and testing; and $189,820 in project contingency for unanticipated or unforeseen work. 15.Approve an Agreement with Service First Contractors Network dba Service First for Fountain Maintenance Services located at the Downtown Civic Center, including Plaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1 Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional Transportation Center (1 Fountain) (Non­General Fund) Department(s): Parks, Recreation, and Community Services Recommended Action: Authorize the City Manager to execute an agreement with Service First Contractors Network dba Service First to provide fountain maintenance services in an annual amount not to exceed $106,170, which includes a 20% contingency, for a term from January 1, 2022 through December 31, 2023, with two, one­year renewal options for a total amount not to exceed $424,680, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  16.Agreement with Patrol Solutions, LLC for unarmed security guard services for Downtown Santa Ana and Civic Center area (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute an agreement with Patrol Solutions, LLC for unarmed security services for Downtown Santa Ana and Civic Center area, for a one­year term, in the amount of $185,990, beginning November 16, 2021 through November 15, 2022, with an option of two one­year extensions, for a total aggregate amount not to exceed $545,000, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in an Amount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Santolucito Doré Group, Inc., to provide completion of final close­out work per Caltrans requirements and property appraisal services, on an as needed basis, in an amount not to exceed $149,500, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­ way property appraisal services, in a shared aggregate amount not to exceed $300,000, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­Call Right­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an Amount Not to Exceed $649,500 for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Monument ROW to provide completion of final close­out work per Caltrans requirements, acquisition maintenance, and a relocation assistance program, in an amount not to exceed $149,500 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Monument ROW and Overland, Pacific & Cutler LLC to provide completion of final close­out work, acquisition maintenance, and a relocation assistance program, in a shared aggregate amount not to exceed $500,000 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 19.Approve an Agreement with Arch Insurance Company to Take Over the San Lorenzo Sewage Lift Station Project (Project No. 06­3510) (Non­General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with Arch Insurance Company to take over the San Lorenzo Sewage Lift Station Project and be responsible for the completion of all work in accordance with the contract subject to non­substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for Debit and Credit Card Merchant Payment Processing Services, including Europay, MasterCard, Visa and e­Commerce Gateway Transaction Integration and Support in the Amount not to Exceed $172,500, which Includes a General Contingency of $22,500 Department(s): Finance and Management Services Recommended Action: Authorize the City Manager to execute a renewal agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit and credit card payment processing services, including Europay, MasterCard, and Visa and e­Commerce gateway transaction integration and support in an amount not to exceed $172,500, which includes a general contingency of $22,500.  The renewal agreement shall commence November 16, 2021, and expire June 30, 2022, and will cover all services provided by Consultant since July 1, 2021, subject to non­ substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 21.Approve an Amendment to Agreement with Salvation Army to Operate a Temporary Shelter at the Hospitality House for One Additional Month (Non­General Fund) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute: 1. An amendment to the agreement with Salvation Army to continue to operate a temporary shelter at the Hospitality House through January 31, 2022 for an additional amount of $130,000, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. A first amendment, and any future amendments, to the agreement with Salvation Army to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­ CV) funds to operate the shelter at the Hospitality House through January 31, 2022, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­ XXX).  22.Approve a Second Amendment to Illumination Foundation Agreement to Operate a Temporary Shelter at the Fullerton Recuperative Care Center for up to Two Additional Months Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute a second amendment to the agreement with Illumination Foundation to extend the term to operate a temporary shelter at the Fullerton Recuperative Care Center for up to an additional two months through January 31, 2022, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 23.Adopt a Resolution Approving the Events Permit Policy, including Park Facility Permits, Film Permits, Land Use Certificates, and Special Event Permits Department(s): Parks, Recreation, and Community Services Recommended Action: Resolution No. 2021­XXX – Adopt a Resolution approving the Events Permit Policy, including park facility permits, film permits, land use certificates, and special event permits. 24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023 Measure M2 Comprehensive Transportation Funding Program (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  Adopt Resolutions Authorizing the City of Santa Ana to submit applications for funding consideration under the Measure M2 Comprehensive Transportation Funding Program 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX). 2. Direct staff to incorporate approved Comprehensive Transportation Funding Program projects into the Seven­Year Capital Improvement Program for Fiscal Year 2022­23. 25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive Performance Evaluation Conducted on October 19, 2021 and Approving an Amended Annual Salary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 to Effect Certain Changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS) Department(s): Human Resources Recommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirming positive evaluation results and approving an adjusted annual salary for the City Manager, and 2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­ 111 to effect certain changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS). **END OF CONSENT CALENDAR** BUSINESS CALENDAR 26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order to PrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana Resident Stimulus Program (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: 1. Approve an appropriation adjustment to reallocate $2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­ 69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for the Revive Santa Ana Resident Stimulus Program. (Requires five affirmative votes) 2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for the purchase of 20,000 $300 pre­paid visa cards. 27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing of Community Meetings for Certain Development Projects, Lobbyist Disclosure Policy, and Publishing Timeline for City Council Meeting Agendas Department(s): City Manager Office Recommended Action: 1. Approve the first reading of an ordinance amending the Sunshine Ordinance to expand the number of community meetings for certain development projects from one to two, increase the radius of distributing noticing of said community meetings from 500 feet of the subject property to 1,000 feet, implement a Lobbyist Registration Policy, and revise the timeline to publish City Council meeting agendas from four days to seven days. 2. Approve an appropriation adjustment recognizing $40,000 from prior­year fund balance in the General Fund and appropriate the same amount to the General Fund, Clerk of the Council Service Enhancement salaries ($10,000) and contractual services ($30,000) expenditure accounts. (Requires five affirmative votes) **END OF BUSINESS CALENDAR** PUBLIC HEARINGS PUBLIC COMMENTS – Members of the public may address the City Council on each Public Hearing item. 28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19 Incurred by the City for Weed, Rubbish, and Garbage Abatement Within Private Property Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado de Orange Legal Notice published in the Orange County Reporter on November 5, 2021 and notices mailed on said date. Department(s): Planning and Building Agency Recommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming the acceptance of the Weed, Rubbish, and Garbage Abatement report and confirm the Code Enforcement Division description for the recovery of the costs in an amount of $39,604.19, associated with the execution of the Inspection and Abatement Warrant on May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en el Condado de Orange. 29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of the City Council of the City of Santa Ana Repealing and Reenacting in its Entirety Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the Housing Opportunity Ordinance Legal Notice published in the Orange County Reporter on November 5, 2021. Department(s): Planning and Building Agency Recommended Action: Consider the recommendations made by the Planning Commission and take one of the following options: 1. Approve first reading of the Ordinance as presented; or 2. Approve first reading of the Ordinance incorporating the changes recommended by the Planning Commission; or 3. Approve first reading of the Ordinance with the incorporation of changes desired by the City Council. COUNCILMEMBER REQUESTED ITEMS 30.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza 31.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance Establishing Regulations Prohibiting the Unlawful Possession of Catalytic Converters in the City – Councilmember Lopez CITY MANAGER COMMENTS COUNCIL COMMENTS AB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authority meeting. Adjourn in memory of Dr. Gaston Cilliani Future Items 1. Mental Health Mobile Outreach Services 2. General Plan Update 3. Housing Element Update SPECIAL HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vice Chair David Penaloza Chair Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Special Housing Authority agenda.  CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Item: 1. 1.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR JOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY 2.Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 9 11/16/2021 City Council and Special Housing AuthorityMeeting PacketNovember 16, 2021CLOSED SESSION MEETING – 5:00 PMREGULAR OPEN MEETING – 5:45 PM (Immediately following the Closed Session Meeting)CITY COUNCIL CHAMBER22 Civic Center Plaza Santa Ana, CA 92701Vicente SarmientoMayorThai Viet PhanCouncilmember – Ward 1 David PenalozaMayor Pro Tem ­ Ward 2Jessie LopezCouncilmember ­ Ward 3 Phil BacerraCouncilmember ­ Ward 4Johnathan Ryan HernandezCouncilmember ­ Ward 5 Nelida MendozaCouncilmember ­ Ward 6Mayor and Council telephone: 714­647­6900Agenda item inquiries: 714­647­6520Sonia R. CarvalhoCity Attorney Kristine RidgeCity Manager Daisy GomezClerk of the CouncilIn compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting,contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enablethe City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supportingdocumentation can be found on the City’s website – www.santa­ana.org/city­meetings.CITY VISION AND CODE OF ETHICSThe City of Santa Ana is committed to achieving a shared vision for the organization and itscommunity. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtfuland inclusive process designed to set the City and organization on a course that meets thechallenges of today and tomorrow, as follows:Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment inyouth • Safe and healthy community • Neighborhood pride • Thriving economic climate •Enriched and diverse culture • Quality government servicesMission ­ To deliver efficient public services in partnership with our community which ensurespublic safety, a prosperous economic environment, opportunities for our youth, and a highquality of life for residents.Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility •Innovation • TransparencyCode of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008,voters approved an amendment to the City Charter which established the Code of Ethics andConduct for elected officials and members of appointed boards, commissions, andcommittees to assure public confidence. The following are the core values expressed: •Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • EfficiencyResolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, isset to expire on December 2, 2021. Therefore, virtual participation for City Councilmeetings will no longer be available beginning December 3, 2021.Members of the public may attend the City Council meeting in­person or join via Zoom. TheCity Council meeting will occur live via teleconference Zoom webinar. You may view themeeting from your computer, tablet or smart phone via YouTube LiveStream atwww.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 andAT&T U­verse channel 99.PUBLIC COMMENTS – Members of the public who wish to address the City Council onclosed session items, items on the regular agenda or on matters which are not on theagenda, but are within the subject matter jurisdiction of the City Council may do so by one ofthe following ways:MAILING OPTION written communications – Public comments may be mailed to:Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA92701. All written communications received via mail by 4:00 p.m. on the day of themeeting will be distributed to the City Council and imaged into the City’s documentarchive system which is available for public review.SENDING E­MAIL OPTION – Public comments may be sent via email to the CityClerk’s office at eComment@santa­ana.org. Please note the agenda item you arecommenting on in the subject line of the email. All emails received before 4:00 p.m. onthe day of the meeting will be distributed to the City Council and imaged into the City’sdocument archive system which is available for public review.LIVE VIRTUAL OPTION – Members of the public may provide live comments duringthe meeting by Zoom or Conference Call. To join by Zoom click on or type the followingaddress into your web browser https://us02web.zoom.us/j/315965149. To join theConference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You willbe prompted by the City Clerk when it is time for a: i) closed session item, ii)general agenda item, iii) public hearing item, iv) special agenda item, or v) for HousingAuthority item. You may request to speak by dialing *9 from your phone or you mayvirtually raise your hand from Zoom. After the Clerk confirms the last three digits of thecaller’s phone number or Zoom ID and unmutes them, the caller must press *6 ormicrophone icon to speak. Callers are encouraged, but not required, to identifythemselves by name. Each caller will be provided three (3) minutes to speak, unlessdue to the number of speakers wanting to speak a decision is made to provide adifferent amount of time to speak.IN­PERSON OPTION ­ Members of the public can provide in­person comments at thepodium in the Council Chamber. The Council Chamber will have seating available formembers of the public to attend the meeting in­person up to full capacity. Facecoverings are optional for members of the public who enter City buildings who havebeen vaccinated against COVID­19. Public comments are limited to three (3) minutesper speaker, unless a different time is announced by the presiding chair. Speakers whowish to address the Council must do so by submitting a “Request to Speak” cardby 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designatedpublic comment periods as listed below. Cards will not be accepted after the PublicComment Session begins without the permission of the presiding chair.The following designated public comment periods are:1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide livecomments on closed session items by joining Zoom or the Conference Call as described inthe LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will openat 4:30 p.m.2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDAITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom orthe Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTSOPTION above. Speaker queue will open at 4:30 p.m. 3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. 4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. About the AgendaTo download or view the attachments (staff report and other supporting documentation) foreach agenda item, you must select the agenda item to see the attachments to either open ina new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ).CLOSED SESSIONCALL TO ORDERATTENDANCE Council Members Phil BacerraJohnathan Ryan HernandezJessie LopezNelida MendozaThai Viet PhanMayor  Pro Tem David PenalozaMayorVicente SarmientoCity Manager Kristine RidgeCity Attorney Sonia R. CarvalhoClerk of the Council Daisy GomezPUBLIC COMMENTS – Members of the public may address the City Council on ClosedSession items.CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certainmatters without members of the public present. The City Council finds, based on advice fromthe City Attorney, that discussion in open session of the following matters will prejudice theposition of the City in existing and anticipated litigation:CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph(1) of subdivision (d) of Section 54956.9 of the Government Code:A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SACV 20­0069­DOC (DFMx)B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken atthe Regular Open Session which will begin immediately following the Closed Session.RECESS – City Council will recess to Closed Session for the purpose of conducting regularCity business.RECONVENE – City Council will reconvene to continue regular City business.CITY COUNCIL REGULAR OPEN SESSIONCALL TO ORDERROLL CALLPLEDGE OF ALLEGIANCE Mayor SarmientoINVOCATIONRupert Vega, Police ChaplainCEREMONIAL PRESENTATIONS1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphonyfor Outstanding Contributions to Arts and Culture.2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) andPJ Vegas representing the Yoeme Tribe declaring November 2021 as Native AmericanHeritage Month.3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan,posthumously, for his Outstanding Service to our Country.STAFF PRESENTATIONS4.Homeless UpdateCLOSED SESSION REPORT – The City Attorney will report on any action(s) from ClosedSession.PUBLIC COMMENT – Public comments will be held during the beginning of the meeting forALL comments on agenda and non­agenda items, with the exception of public hearings.Comments for public hearings will take place after the hearing is opened.CONSENT CALENDARRECOMMENDED ACTION:  Approve staff recommendations on the followingConsent Calendar Items: 5 through 25.5.Excused AbsencesDepartment(s): Clerk of the Council OfficeRecommended Action: Excuse the absent members.6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THECITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKINGMETERSFirst reading at the November 2, 2021 City Council meeting and approved by a vote of7­0.Published in the Orange County Reporter on November 5, 2021.Department(s): Public Works AgencyRecommended Action: Place ordinance on second reading and adopt.7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Worksand up to $250,000 for Public Works Authorized by the City Manager as Permitted byCharter Section 421Department(s): Finance and Management ServicesRecommended Action: Receive and file Quarterly Report of Contracts entered intobetween July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­publicworks contracts and agreements and up to $250,000 for public works contracts andagreements. 8.Receive and File Quarterly Report of Investments as of September 30, 2021Department(s): Finance and Management ServicesRecommended Action: Receive and file.9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/SafetyGloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed$300,000 Over the Two­Year Term, with Three One­Year Renewal Options(Specification No. 21­101) (General Fund)Department(s): Police DepartmentRecommended Action: Award blanket order contracts to JC Dental Supply andMedzon Health to provide nitrile examination gloves for a two­year period beginningNovember 16, 2021 and expiring November 15, 2023 in the annual aggregate amountof $150,000 for a total aggregate amount not to exceed $300,000 over the two­yearperiod, with provisions for three one­year renewals by mutual agreement. Subject tonon­substantive changes approved by the City Manager and City Attorney.10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional FordPolice Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­053) (Non­General Fund)Department(s): Public Works Agency, Police DepartmentRecommended Action: Amend the contract with Fairway Ford Sales, Inc., topurchase 25 additional Ford Police Interceptor vehicles for the Santa Ana PoliceDepartment, for a total amount not to exceed $1,068,909.50 (including a $20,000contingency), subject to non­substantive changes approved by the City Manager andCity Attorney. 11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) toIncrease Contract Renewal Amount by $200,000 for the Remaining Three RenewalPeriods (Specification No. 20­007) (Non­General Fund) Department(s): Public Works AgencyRecommended Action: Amend the purchase order contract with Stommel, Inc., (dbaLehr Auto Electric) for police vehicle conversion equipment and installation servicesby increasing the contract renewal amount $250,000, for an annual amount not toexceed $450,000 and a total contract amount not to exceed $1,350,000 for theremaining three, one­year renewal periods, subject to non­substantive changesapproved by the City Manager and City Attorney.12.Amend Purchase Order Contract with All American Asphalt to Increase the AnnualAmount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: Authorize the City Manager to execute an amendment to thePurchase Order Contract with All American Asphalt for asphalt pothole repair, toincrease the annual amount by $147,800, for a total annual amount not to exceed$697,800, for the remaining term of the agreement ending on November 30, 2021,with two optional one­year renewal options exercisable by the City Manager and CityAttorney, subject to non­substantive changes approved by the City Manager and CityAttorney. 13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of$360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an EstimatedProject Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to CJ ConcreteConstruction, Inc, the lowest responsible bidder, in accordance with the base bid inthe amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­22, for the term beginning January 3, 2022, and ending upon project completion, andauthorize the City Manager to execute the contract subject to non­substantive changesapproved by the City Manager and the City Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$594,210.50, which includes $360,183 for the construction contract; $54,027.50 forcontract administration, inspection and testing; and a $180,000 project contingencyfor unanticipated or unforeseen work.14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in theAmount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­6466) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to Stephen DoreckEquipment Rentals, Inc., the lowest responsible bidder, in accordance with the basebid in the amount of $1,265,465, for construction of the Grovemont Street Water MainImprovements FY 2021­22 Project, for the term beginning January 3, 2022, andending upon project completion, and authorize the City Manager to execute thecontract subject to non­substantive changes approved by the City Manager and theCity Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$1,645,105, which includes $1,265,465 for the construction contract; $189,820 forcontract administration, inspection and testing; and $189,820 in project contingencyfor unanticipated or unforeseen work.15.Approve an Agreement with Service First Contractors Network dba Service First forFountain Maintenance Services located at the Downtown Civic Center, includingPlaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional TransportationCenter (1 Fountain) (Non­General Fund)Department(s): Parks, Recreation, and Community ServicesRecommended Action: Authorize the City Manager to execute an agreement withService First Contractors Network dba Service First to provide fountain maintenanceservices in an annual amount not to exceed $106,170, which includes a 20%contingency, for a term from January 1, 2022 through December 31, 2023, with two,one­year renewal options for a total amount not to exceed $424,680, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 16.Agreement with Patrol Solutions, LLC for unarmed security guard services forDowntown Santa Ana and Civic Center area (Revive Santa Ana Program)Department(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute an agreement withPatrol Solutions, LLC for unarmed security services for Downtown Santa Ana andCivic Center area, for a one­year term, in the amount of $185,990, beginningNovember 16, 2021 through November 15, 2022, with an option of two one­yearextensions, for a total aggregate amount not to exceed $545,000, subject to non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX).  17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in an Amount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Santolucito Doré Group, Inc., to provide completion of final close­out work per Caltrans requirements and property appraisal services, on an as needed basis, in an amount not to exceed $149,500, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­ way property appraisal services, in a shared aggregate amount not to exceed $300,000, for a three­year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one­year extensions, subject non­ substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­Call Right­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an Amount Not to Exceed $649,500 for a Three­Year Term (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Monument ROW to provide completion of final close­out work per Caltrans requirements, acquisition maintenance, and a relocation assistance program, in an amount not to exceed $149,500 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. Authorize the City Manager to execute agreements with Monument ROW and Overland, Pacific & Cutler LLC to provide completion of final close­out work, acquisition maintenance, and a relocation assistance program, in a shared aggregate amount not to exceed $500,000 for a three­year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 19.Approve an Agreement with Arch Insurance Company to Take Over the San Lorenzo Sewage Lift Station Project (Project No. 06­3510) (Non­General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with Arch Insurance Company to take over the San Lorenzo Sewage Lift Station Project and be responsible for the completion of all work in accordance with the contract subject to non­substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for Debit and Credit Card Merchant Payment Processing Services, including Europay, MasterCard, Visa and e­Commerce Gateway Transaction Integration and Support in the Amount not to Exceed $172,500, which Includes a General Contingency of $22,500 Department(s): Finance and Management Services Recommended Action: Authorize the City Manager to execute a renewal agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit and credit card payment processing services, including Europay, MasterCard, and Visa and e­Commerce gateway transaction integration and support in an amount not to exceed $172,500, which includes a general contingency of $22,500.  The renewal agreement shall commence November 16, 2021, and expire June 30, 2022, and will cover all services provided by Consultant since July 1, 2021, subject to non­ substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 21.Approve an Amendment to Agreement with Salvation Army to Operate a Temporary Shelter at the Hospitality House for One Additional Month (Non­General Fund) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute: 1. An amendment to the agreement with Salvation Army to continue to operate a temporary shelter at the Hospitality House through January 31, 2022 for an additional amount of $130,000, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. A first amendment, and any future amendments, to the agreement with Salvation Army to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­ CV) funds to operate the shelter at the Hospitality House through January 31, 2022, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­ XXX).  22.Approve a Second Amendment to Illumination Foundation Agreement to Operate a Temporary Shelter at the Fullerton Recuperative Care Center for up to Two Additional Months Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute a second amendment to the agreement with Illumination Foundation to extend the term to operate a temporary shelter at the Fullerton Recuperative Care Center for up to an additional two months through January 31, 2022, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 23.Adopt a Resolution Approving the Events Permit Policy, including Park Facility Permits, Film Permits, Land Use Certificates, and Special Event Permits Department(s): Parks, Recreation, and Community Services Recommended Action: Resolution No. 2021­XXX – Adopt a Resolution approving the Events Permit Policy, including park facility permits, film permits, land use certificates, and special event permits. 24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023 Measure M2 Comprehensive Transportation Funding Program (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  Adopt Resolutions Authorizing the City of Santa Ana to submit applications for funding consideration under the Measure M2 Comprehensive Transportation Funding Program 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX). 2. Direct staff to incorporate approved Comprehensive Transportation Funding Program projects into the Seven­Year Capital Improvement Program for Fiscal Year 2022­23. 25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive Performance Evaluation Conducted on October 19, 2021 and Approving an Amended Annual Salary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 to Effect Certain Changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS) Department(s): Human Resources Recommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirming positive evaluation results and approving an adjusted annual salary for the City Manager, and 2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­ 111 to effect certain changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS). **END OF CONSENT CALENDAR** BUSINESS CALENDAR 26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order to PrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana Resident Stimulus Program (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: 1. Approve an appropriation adjustment to reallocate $2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­ 69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for the Revive Santa Ana Resident Stimulus Program. (Requires five affirmative votes) 2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for the purchase of 20,000 $300 pre­paid visa cards. 27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing of Community Meetings for Certain Development Projects, Lobbyist Disclosure Policy, and Publishing Timeline for City Council Meeting Agendas Department(s): City Manager Office Recommended Action: 1. Approve the first reading of an ordinance amending the Sunshine Ordinance to expand the number of community meetings for certain development projects from one to two, increase the radius of distributing noticing of said community meetings from 500 feet of the subject property to 1,000 feet, implement a Lobbyist Registration Policy, and revise the timeline to publish City Council meeting agendas from four days to seven days. 2. Approve an appropriation adjustment recognizing $40,000 from prior­year fund balance in the General Fund and appropriate the same amount to the General Fund, Clerk of the Council Service Enhancement salaries ($10,000) and contractual services ($30,000) expenditure accounts. (Requires five affirmative votes) **END OF BUSINESS CALENDAR** PUBLIC HEARINGS PUBLIC COMMENTS – Members of the public may address the City Council on each Public Hearing item. 28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19 Incurred by the City for Weed, Rubbish, and Garbage Abatement Within Private Property Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado de Orange Legal Notice published in the Orange County Reporter on November 5, 2021 and notices mailed on said date. Department(s): Planning and Building Agency Recommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming the acceptance of the Weed, Rubbish, and Garbage Abatement report and confirm the Code Enforcement Division description for the recovery of the costs in an amount of $39,604.19, associated with the execution of the Inspection and Abatement Warrant on May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en el Condado de Orange. 29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of the City Council of the City of Santa Ana Repealing and Reenacting in its Entirety Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the Housing Opportunity Ordinance Legal Notice published in the Orange County Reporter on November 5, 2021. Department(s): Planning and Building Agency Recommended Action: Consider the recommendations made by the Planning Commission and take one of the following options: 1. Approve first reading of the Ordinance as presented; or 2. Approve first reading of the Ordinance incorporating the changes recommended by the Planning Commission; or 3. Approve first reading of the Ordinance with the incorporation of changes desired by the City Council. COUNCILMEMBER REQUESTED ITEMS 30.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza 31.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance Establishing Regulations Prohibiting the Unlawful Possession of Catalytic Converters in the City – Councilmember Lopez CITY MANAGER COMMENTS COUNCIL COMMENTS AB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authority meeting. Adjourn in memory of Dr. Gaston Cilliani Future Items 1. Mental Health Mobile Outreach Services 2. General Plan Update 3. Housing Element Update SPECIAL HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vice Chair David Penaloza Chair Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Special Housing Authority agenda.  CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Item: 1. 1.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR JOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY 2.Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 10 11/16/2021 City Council and Special Housing AuthorityMeeting PacketNovember 16, 2021CLOSED SESSION MEETING – 5:00 PMREGULAR OPEN MEETING – 5:45 PM (Immediately following the Closed Session Meeting)CITY COUNCIL CHAMBER22 Civic Center Plaza Santa Ana, CA 92701Vicente SarmientoMayorThai Viet PhanCouncilmember – Ward 1 David PenalozaMayor Pro Tem ­ Ward 2Jessie LopezCouncilmember ­ Ward 3 Phil BacerraCouncilmember ­ Ward 4Johnathan Ryan HernandezCouncilmember ­ Ward 5 Nelida MendozaCouncilmember ­ Ward 6Mayor and Council telephone: 714­647­6900Agenda item inquiries: 714­647­6520Sonia R. CarvalhoCity Attorney Kristine RidgeCity Manager Daisy GomezClerk of the CouncilIn compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting,contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enablethe City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supportingdocumentation can be found on the City’s website – www.santa­ana.org/city­meetings.CITY VISION AND CODE OF ETHICSThe City of Santa Ana is committed to achieving a shared vision for the organization and itscommunity. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtfuland inclusive process designed to set the City and organization on a course that meets thechallenges of today and tomorrow, as follows:Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment inyouth • Safe and healthy community • Neighborhood pride • Thriving economic climate •Enriched and diverse culture • Quality government servicesMission ­ To deliver efficient public services in partnership with our community which ensurespublic safety, a prosperous economic environment, opportunities for our youth, and a highquality of life for residents.Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility •Innovation • TransparencyCode of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008,voters approved an amendment to the City Charter which established the Code of Ethics andConduct for elected officials and members of appointed boards, commissions, andcommittees to assure public confidence. The following are the core values expressed: •Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • EfficiencyResolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, isset to expire on December 2, 2021. Therefore, virtual participation for City Councilmeetings will no longer be available beginning December 3, 2021.Members of the public may attend the City Council meeting in­person or join via Zoom. TheCity Council meeting will occur live via teleconference Zoom webinar. You may view themeeting from your computer, tablet or smart phone via YouTube LiveStream atwww.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 andAT&T U­verse channel 99.PUBLIC COMMENTS – Members of the public who wish to address the City Council onclosed session items, items on the regular agenda or on matters which are not on theagenda, but are within the subject matter jurisdiction of the City Council may do so by one ofthe following ways:MAILING OPTION written communications – Public comments may be mailed to:Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA92701. All written communications received via mail by 4:00 p.m. on the day of themeeting will be distributed to the City Council and imaged into the City’s documentarchive system which is available for public review.SENDING E­MAIL OPTION – Public comments may be sent via email to the CityClerk’s office at eComment@santa­ana.org. Please note the agenda item you arecommenting on in the subject line of the email. All emails received before 4:00 p.m. onthe day of the meeting will be distributed to the City Council and imaged into the City’sdocument archive system which is available for public review.LIVE VIRTUAL OPTION – Members of the public may provide live comments duringthe meeting by Zoom or Conference Call. To join by Zoom click on or type the followingaddress into your web browser https://us02web.zoom.us/j/315965149. To join theConference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You willbe prompted by the City Clerk when it is time for a: i) closed session item, ii)general agenda item, iii) public hearing item, iv) special agenda item, or v) for HousingAuthority item. You may request to speak by dialing *9 from your phone or you mayvirtually raise your hand from Zoom. After the Clerk confirms the last three digits of thecaller’s phone number or Zoom ID and unmutes them, the caller must press *6 ormicrophone icon to speak. Callers are encouraged, but not required, to identifythemselves by name. Each caller will be provided three (3) minutes to speak, unlessdue to the number of speakers wanting to speak a decision is made to provide adifferent amount of time to speak.IN­PERSON OPTION ­ Members of the public can provide in­person comments at thepodium in the Council Chamber. The Council Chamber will have seating available formembers of the public to attend the meeting in­person up to full capacity. Facecoverings are optional for members of the public who enter City buildings who havebeen vaccinated against COVID­19. Public comments are limited to three (3) minutesper speaker, unless a different time is announced by the presiding chair. Speakers whowish to address the Council must do so by submitting a “Request to Speak” cardby 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designatedpublic comment periods as listed below. Cards will not be accepted after the PublicComment Session begins without the permission of the presiding chair.The following designated public comment periods are:1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide livecomments on closed session items by joining Zoom or the Conference Call as described inthe LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will openat 4:30 p.m.2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDAITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom orthe Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTSOPTION above. Speaker queue will open at 4:30 p.m. 3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. 4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. About the AgendaTo download or view the attachments (staff report and other supporting documentation) foreach agenda item, you must select the agenda item to see the attachments to either open ina new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ).CLOSED SESSIONCALL TO ORDERATTENDANCE Council Members Phil BacerraJohnathan Ryan HernandezJessie LopezNelida MendozaThai Viet PhanMayor  Pro Tem David PenalozaMayorVicente SarmientoCity Manager Kristine RidgeCity Attorney Sonia R. CarvalhoClerk of the Council Daisy GomezPUBLIC COMMENTS – Members of the public may address the City Council on ClosedSession items.CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certainmatters without members of the public present. The City Council finds, based on advice fromthe City Attorney, that discussion in open session of the following matters will prejudice theposition of the City in existing and anticipated litigation:CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph(1) of subdivision (d) of Section 54956.9 of the Government Code:A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SACV 20­0069­DOC (DFMx)B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken atthe Regular Open Session which will begin immediately following the Closed Session.RECESS – City Council will recess to Closed Session for the purpose of conducting regularCity business.RECONVENE – City Council will reconvene to continue regular City business.CITY COUNCIL REGULAR OPEN SESSIONCALL TO ORDERROLL CALLPLEDGE OF ALLEGIANCE Mayor SarmientoINVOCATIONRupert Vega, Police ChaplainCEREMONIAL PRESENTATIONS1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphonyfor Outstanding Contributions to Arts and Culture.2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) andPJ Vegas representing the Yoeme Tribe declaring November 2021 as Native AmericanHeritage Month.3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan,posthumously, for his Outstanding Service to our Country.STAFF PRESENTATIONS4.Homeless UpdateCLOSED SESSION REPORT – The City Attorney will report on any action(s) from ClosedSession.PUBLIC COMMENT – Public comments will be held during the beginning of the meeting forALL comments on agenda and non­agenda items, with the exception of public hearings.Comments for public hearings will take place after the hearing is opened.CONSENT CALENDARRECOMMENDED ACTION:  Approve staff recommendations on the followingConsent Calendar Items: 5 through 25.5.Excused AbsencesDepartment(s): Clerk of the Council OfficeRecommended Action: Excuse the absent members.6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THECITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKINGMETERSFirst reading at the November 2, 2021 City Council meeting and approved by a vote of7­0.Published in the Orange County Reporter on November 5, 2021.Department(s): Public Works AgencyRecommended Action: Place ordinance on second reading and adopt.7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Worksand up to $250,000 for Public Works Authorized by the City Manager as Permitted byCharter Section 421Department(s): Finance and Management ServicesRecommended Action: Receive and file Quarterly Report of Contracts entered intobetween July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­publicworks contracts and agreements and up to $250,000 for public works contracts andagreements. 8.Receive and File Quarterly Report of Investments as of September 30, 2021Department(s): Finance and Management ServicesRecommended Action: Receive and file.9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/SafetyGloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed$300,000 Over the Two­Year Term, with Three One­Year Renewal Options(Specification No. 21­101) (General Fund)Department(s): Police DepartmentRecommended Action: Award blanket order contracts to JC Dental Supply andMedzon Health to provide nitrile examination gloves for a two­year period beginningNovember 16, 2021 and expiring November 15, 2023 in the annual aggregate amountof $150,000 for a total aggregate amount not to exceed $300,000 over the two­yearperiod, with provisions for three one­year renewals by mutual agreement. Subject tonon­substantive changes approved by the City Manager and City Attorney.10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional FordPolice Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­053) (Non­General Fund)Department(s): Public Works Agency, Police DepartmentRecommended Action: Amend the contract with Fairway Ford Sales, Inc., topurchase 25 additional Ford Police Interceptor vehicles for the Santa Ana PoliceDepartment, for a total amount not to exceed $1,068,909.50 (including a $20,000contingency), subject to non­substantive changes approved by the City Manager andCity Attorney. 11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) toIncrease Contract Renewal Amount by $200,000 for the Remaining Three RenewalPeriods (Specification No. 20­007) (Non­General Fund) Department(s): Public Works AgencyRecommended Action: Amend the purchase order contract with Stommel, Inc., (dbaLehr Auto Electric) for police vehicle conversion equipment and installation servicesby increasing the contract renewal amount $250,000, for an annual amount not toexceed $450,000 and a total contract amount not to exceed $1,350,000 for theremaining three, one­year renewal periods, subject to non­substantive changesapproved by the City Manager and City Attorney.12.Amend Purchase Order Contract with All American Asphalt to Increase the AnnualAmount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: Authorize the City Manager to execute an amendment to thePurchase Order Contract with All American Asphalt for asphalt pothole repair, toincrease the annual amount by $147,800, for a total annual amount not to exceed$697,800, for the remaining term of the agreement ending on November 30, 2021,with two optional one­year renewal options exercisable by the City Manager and CityAttorney, subject to non­substantive changes approved by the City Manager and CityAttorney. 13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of$360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an EstimatedProject Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to CJ ConcreteConstruction, Inc, the lowest responsible bidder, in accordance with the base bid inthe amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­22, for the term beginning January 3, 2022, and ending upon project completion, andauthorize the City Manager to execute the contract subject to non­substantive changesapproved by the City Manager and the City Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$594,210.50, which includes $360,183 for the construction contract; $54,027.50 forcontract administration, inspection and testing; and a $180,000 project contingencyfor unanticipated or unforeseen work.14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in theAmount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­6466) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to Stephen DoreckEquipment Rentals, Inc., the lowest responsible bidder, in accordance with the basebid in the amount of $1,265,465, for construction of the Grovemont Street Water MainImprovements FY 2021­22 Project, for the term beginning January 3, 2022, andending upon project completion, and authorize the City Manager to execute thecontract subject to non­substantive changes approved by the City Manager and theCity Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$1,645,105, which includes $1,265,465 for the construction contract; $189,820 forcontract administration, inspection and testing; and $189,820 in project contingencyfor unanticipated or unforeseen work.15.Approve an Agreement with Service First Contractors Network dba Service First forFountain Maintenance Services located at the Downtown Civic Center, includingPlaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional TransportationCenter (1 Fountain) (Non­General Fund)Department(s): Parks, Recreation, and Community ServicesRecommended Action: Authorize the City Manager to execute an agreement withService First Contractors Network dba Service First to provide fountain maintenanceservices in an annual amount not to exceed $106,170, which includes a 20%contingency, for a term from January 1, 2022 through December 31, 2023, with two,one­year renewal options for a total amount not to exceed $424,680, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 16.Agreement with Patrol Solutions, LLC for unarmed security guard services forDowntown Santa Ana and Civic Center area (Revive Santa Ana Program)Department(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute an agreement withPatrol Solutions, LLC for unarmed security services for Downtown Santa Ana andCivic Center area, for a one­year term, in the amount of $185,990, beginningNovember 16, 2021 through November 15, 2022, with an option of two one­yearextensions, for a total aggregate amount not to exceed $545,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources,and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in anAmount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Authorize the City Manager to execute an agreement withSantolucito Doré Group, Inc., to provide completion of final close­out work perCaltrans requirements and property appraisal services, on an as needed basis, in anamount not to exceed $149,500, for a three­year term beginning November 16, 2021and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. Authorize the City Manager to execute agreements with Santolucito Doré Group,Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­way property appraisal services, in a shared aggregate amount not to exceed$300,000, for a three­year term beginning November 16, 2021 and expiringNovember 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX).18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­CallRight­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an AmountNot to Exceed $649,500 for a Three­Year Term (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Authorize the City Manager to execute an agreement withMonument ROW to provide completion of final close­out work per Caltransrequirements, acquisition maintenance, and a relocation assistance program, in anamount not to exceed $149,500 for a three­year term beginning November 16, 2021,and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. Authorize the City Manager to execute agreements with Monument ROW andOverland, Pacific & Cutler LLC to provide completion of final close­out work,acquisition maintenance, and a relocation assistance program, in a shared aggregateamount not to exceed $500,000 for a three­year term beginning November 16, 2021,and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).19.Approve an Agreement with Arch Insurance Company to Take Over the San LorenzoSewage Lift Station Project (Project No. 06­3510) (Non­General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with Arch Insurance Company to take over the San Lorenzo Sewage Lift Station Project and be responsible for the completion of all work in accordance with the contract subject to non­substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for Debit and Credit Card Merchant Payment Processing Services, including Europay, MasterCard, Visa and e­Commerce Gateway Transaction Integration and Support in the Amount not to Exceed $172,500, which Includes a General Contingency of $22,500 Department(s): Finance and Management Services Recommended Action: Authorize the City Manager to execute a renewal agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit and credit card payment processing services, including Europay, MasterCard, and Visa and e­Commerce gateway transaction integration and support in an amount not to exceed $172,500, which includes a general contingency of $22,500.  The renewal agreement shall commence November 16, 2021, and expire June 30, 2022, and will cover all services provided by Consultant since July 1, 2021, subject to non­ substantive changes approved by City Manager and City Attorney (Agreement No. 2021­XXX). 21.Approve an Amendment to Agreement with Salvation Army to Operate a Temporary Shelter at the Hospitality House for One Additional Month (Non­General Fund) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute: 1. An amendment to the agreement with Salvation Army to continue to operate a temporary shelter at the Hospitality House through January 31, 2022 for an additional amount of $130,000, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 2. A first amendment, and any future amendments, to the agreement with Salvation Army to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­ CV) funds to operate the shelter at the Hospitality House through January 31, 2022, for a total aggregate amount not to exceed $910,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No. 2021­ XXX).  22.Approve a Second Amendment to Illumination Foundation Agreement to Operate a Temporary Shelter at the Fullerton Recuperative Care Center for up to Two Additional Months Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute a second amendment to the agreement with Illumination Foundation to extend the term to operate a temporary shelter at the Fullerton Recuperative Care Center for up to an additional two months through January 31, 2022, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 23.Adopt a Resolution Approving the Events Permit Policy, including Park Facility Permits, Film Permits, Land Use Certificates, and Special Event Permits Department(s): Parks, Recreation, and Community Services Recommended Action: Resolution No. 2021­XXX – Adopt a Resolution approving the Events Permit Policy, including park facility permits, film permits, land use certificates, and special event permits. 24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023 Measure M2 Comprehensive Transportation Funding Program (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  Adopt Resolutions Authorizing the City of Santa Ana to submit applications for funding consideration under the Measure M2 Comprehensive Transportation Funding Program 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX). 2. Direct staff to incorporate approved Comprehensive Transportation Funding Program projects into the Seven­Year Capital Improvement Program for Fiscal Year 2022­23. 25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive Performance Evaluation Conducted on October 19, 2021 and Approving an Amended Annual Salary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 to Effect Certain Changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS) Department(s): Human Resources Recommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirming positive evaluation results and approving an adjusted annual salary for the City Manager, and 2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­ 111 to effect certain changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS). **END OF CONSENT CALENDAR** BUSINESS CALENDAR 26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order to PrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana Resident Stimulus Program (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: 1. Approve an appropriation adjustment to reallocate $2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­ 69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for the Revive Santa Ana Resident Stimulus Program. (Requires five affirmative votes) 2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for the purchase of 20,000 $300 pre­paid visa cards. 27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing of Community Meetings for Certain Development Projects, Lobbyist Disclosure Policy, and Publishing Timeline for City Council Meeting Agendas Department(s): City Manager Office Recommended Action: 1. Approve the first reading of an ordinance amending the Sunshine Ordinance to expand the number of community meetings for certain development projects from one to two, increase the radius of distributing noticing of said community meetings from 500 feet of the subject property to 1,000 feet, implement a Lobbyist Registration Policy, and revise the timeline to publish City Council meeting agendas from four days to seven days. 2. Approve an appropriation adjustment recognizing $40,000 from prior­year fund balance in the General Fund and appropriate the same amount to the General Fund, Clerk of the Council Service Enhancement salaries ($10,000) and contractual services ($30,000) expenditure accounts. (Requires five affirmative votes) **END OF BUSINESS CALENDAR** PUBLIC HEARINGS PUBLIC COMMENTS – Members of the public may address the City Council on each Public Hearing item. 28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19 Incurred by the City for Weed, Rubbish, and Garbage Abatement Within Private Property Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado de Orange Legal Notice published in the Orange County Reporter on November 5, 2021 and notices mailed on said date. Department(s): Planning and Building Agency Recommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming the acceptance of the Weed, Rubbish, and Garbage Abatement report and confirm the Code Enforcement Division description for the recovery of the costs in an amount of $39,604.19, associated with the execution of the Inspection and Abatement Warrant on May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en el Condado de Orange. 29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of the City Council of the City of Santa Ana Repealing and Reenacting in its Entirety Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the Housing Opportunity Ordinance Legal Notice published in the Orange County Reporter on November 5, 2021. Department(s): Planning and Building Agency Recommended Action: Consider the recommendations made by the Planning Commission and take one of the following options: 1. Approve first reading of the Ordinance as presented; or 2. Approve first reading of the Ordinance incorporating the changes recommended by the Planning Commission; or 3. Approve first reading of the Ordinance with the incorporation of changes desired by the City Council. COUNCILMEMBER REQUESTED ITEMS 30.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza 31.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance Establishing Regulations Prohibiting the Unlawful Possession of Catalytic Converters in the City – Councilmember Lopez CITY MANAGER COMMENTS COUNCIL COMMENTS AB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authority meeting. Adjourn in memory of Dr. Gaston Cilliani Future Items 1. Mental Health Mobile Outreach Services 2. General Plan Update 3. Housing Element Update SPECIAL HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vice Chair David Penaloza Chair Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Special Housing Authority agenda.  CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Item: 1. 1.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR JOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY 2.Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 11 11/16/2021 City Council and Special Housing AuthorityMeeting PacketNovember 16, 2021CLOSED SESSION MEETING – 5:00 PMREGULAR OPEN MEETING – 5:45 PM (Immediately following the Closed Session Meeting)CITY COUNCIL CHAMBER22 Civic Center Plaza Santa Ana, CA 92701Vicente SarmientoMayorThai Viet PhanCouncilmember – Ward 1 David PenalozaMayor Pro Tem ­ Ward 2Jessie LopezCouncilmember ­ Ward 3 Phil BacerraCouncilmember ­ Ward 4Johnathan Ryan HernandezCouncilmember ­ Ward 5 Nelida MendozaCouncilmember ­ Ward 6Mayor and Council telephone: 714­647­6900Agenda item inquiries: 714­647­6520Sonia R. CarvalhoCity Attorney Kristine RidgeCity Manager Daisy GomezClerk of the CouncilIn compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting,contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enablethe City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supportingdocumentation can be found on the City’s website – www.santa­ana.org/city­meetings.CITY VISION AND CODE OF ETHICSThe City of Santa Ana is committed to achieving a shared vision for the organization and itscommunity. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtfuland inclusive process designed to set the City and organization on a course that meets thechallenges of today and tomorrow, as follows:Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment inyouth • Safe and healthy community • Neighborhood pride • Thriving economic climate •Enriched and diverse culture • Quality government servicesMission ­ To deliver efficient public services in partnership with our community which ensurespublic safety, a prosperous economic environment, opportunities for our youth, and a highquality of life for residents.Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility •Innovation • TransparencyCode of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008,voters approved an amendment to the City Charter which established the Code of Ethics andConduct for elected officials and members of appointed boards, commissions, andcommittees to assure public confidence. The following are the core values expressed: •Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • EfficiencyResolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, isset to expire on December 2, 2021. Therefore, virtual participation for City Councilmeetings will no longer be available beginning December 3, 2021.Members of the public may attend the City Council meeting in­person or join via Zoom. TheCity Council meeting will occur live via teleconference Zoom webinar. You may view themeeting from your computer, tablet or smart phone via YouTube LiveStream atwww.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 andAT&T U­verse channel 99.PUBLIC COMMENTS – Members of the public who wish to address the City Council onclosed session items, items on the regular agenda or on matters which are not on theagenda, but are within the subject matter jurisdiction of the City Council may do so by one ofthe following ways:MAILING OPTION written communications – Public comments may be mailed to:Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA92701. All written communications received via mail by 4:00 p.m. on the day of themeeting will be distributed to the City Council and imaged into the City’s documentarchive system which is available for public review.SENDING E­MAIL OPTION – Public comments may be sent via email to the CityClerk’s office at eComment@santa­ana.org. Please note the agenda item you arecommenting on in the subject line of the email. All emails received before 4:00 p.m. onthe day of the meeting will be distributed to the City Council and imaged into the City’sdocument archive system which is available for public review.LIVE VIRTUAL OPTION – Members of the public may provide live comments duringthe meeting by Zoom or Conference Call. To join by Zoom click on or type the followingaddress into your web browser https://us02web.zoom.us/j/315965149. To join theConference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You willbe prompted by the City Clerk when it is time for a: i) closed session item, ii)general agenda item, iii) public hearing item, iv) special agenda item, or v) for HousingAuthority item. You may request to speak by dialing *9 from your phone or you mayvirtually raise your hand from Zoom. After the Clerk confirms the last three digits of thecaller’s phone number or Zoom ID and unmutes them, the caller must press *6 ormicrophone icon to speak. Callers are encouraged, but not required, to identifythemselves by name. Each caller will be provided three (3) minutes to speak, unlessdue to the number of speakers wanting to speak a decision is made to provide adifferent amount of time to speak.IN­PERSON OPTION ­ Members of the public can provide in­person comments at thepodium in the Council Chamber. The Council Chamber will have seating available formembers of the public to attend the meeting in­person up to full capacity. Facecoverings are optional for members of the public who enter City buildings who havebeen vaccinated against COVID­19. Public comments are limited to three (3) minutesper speaker, unless a different time is announced by the presiding chair. Speakers whowish to address the Council must do so by submitting a “Request to Speak” cardby 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designatedpublic comment periods as listed below. Cards will not be accepted after the PublicComment Session begins without the permission of the presiding chair.The following designated public comment periods are:1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide livecomments on closed session items by joining Zoom or the Conference Call as described inthe LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will openat 4:30 p.m.2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDAITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom orthe Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTSOPTION above. Speaker queue will open at 4:30 p.m. 3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. 4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. About the AgendaTo download or view the attachments (staff report and other supporting documentation) foreach agenda item, you must select the agenda item to see the attachments to either open ina new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ).CLOSED SESSIONCALL TO ORDERATTENDANCE Council Members Phil BacerraJohnathan Ryan HernandezJessie LopezNelida MendozaThai Viet PhanMayor  Pro Tem David PenalozaMayorVicente SarmientoCity Manager Kristine RidgeCity Attorney Sonia R. CarvalhoClerk of the Council Daisy GomezPUBLIC COMMENTS – Members of the public may address the City Council on ClosedSession items.CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certainmatters without members of the public present. The City Council finds, based on advice fromthe City Attorney, that discussion in open session of the following matters will prejudice theposition of the City in existing and anticipated litigation:CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph(1) of subdivision (d) of Section 54956.9 of the Government Code:A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SACV 20­0069­DOC (DFMx)B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken atthe Regular Open Session which will begin immediately following the Closed Session.RECESS – City Council will recess to Closed Session for the purpose of conducting regularCity business.RECONVENE – City Council will reconvene to continue regular City business.CITY COUNCIL REGULAR OPEN SESSIONCALL TO ORDERROLL CALLPLEDGE OF ALLEGIANCE Mayor SarmientoINVOCATIONRupert Vega, Police ChaplainCEREMONIAL PRESENTATIONS1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphonyfor Outstanding Contributions to Arts and Culture.2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) andPJ Vegas representing the Yoeme Tribe declaring November 2021 as Native AmericanHeritage Month.3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan,posthumously, for his Outstanding Service to our Country.STAFF PRESENTATIONS4.Homeless UpdateCLOSED SESSION REPORT – The City Attorney will report on any action(s) from ClosedSession.PUBLIC COMMENT – Public comments will be held during the beginning of the meeting forALL comments on agenda and non­agenda items, with the exception of public hearings.Comments for public hearings will take place after the hearing is opened.CONSENT CALENDARRECOMMENDED ACTION:  Approve staff recommendations on the followingConsent Calendar Items: 5 through 25.5.Excused AbsencesDepartment(s): Clerk of the Council OfficeRecommended Action: Excuse the absent members.6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THECITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKINGMETERSFirst reading at the November 2, 2021 City Council meeting and approved by a vote of7­0.Published in the Orange County Reporter on November 5, 2021.Department(s): Public Works AgencyRecommended Action: Place ordinance on second reading and adopt.7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Worksand up to $250,000 for Public Works Authorized by the City Manager as Permitted byCharter Section 421Department(s): Finance and Management ServicesRecommended Action: Receive and file Quarterly Report of Contracts entered intobetween July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­publicworks contracts and agreements and up to $250,000 for public works contracts andagreements. 8.Receive and File Quarterly Report of Investments as of September 30, 2021Department(s): Finance and Management ServicesRecommended Action: Receive and file.9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/SafetyGloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed$300,000 Over the Two­Year Term, with Three One­Year Renewal Options(Specification No. 21­101) (General Fund)Department(s): Police DepartmentRecommended Action: Award blanket order contracts to JC Dental Supply andMedzon Health to provide nitrile examination gloves for a two­year period beginningNovember 16, 2021 and expiring November 15, 2023 in the annual aggregate amountof $150,000 for a total aggregate amount not to exceed $300,000 over the two­yearperiod, with provisions for three one­year renewals by mutual agreement. Subject tonon­substantive changes approved by the City Manager and City Attorney.10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional FordPolice Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­053) (Non­General Fund)Department(s): Public Works Agency, Police DepartmentRecommended Action: Amend the contract with Fairway Ford Sales, Inc., topurchase 25 additional Ford Police Interceptor vehicles for the Santa Ana PoliceDepartment, for a total amount not to exceed $1,068,909.50 (including a $20,000contingency), subject to non­substantive changes approved by the City Manager andCity Attorney. 11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) toIncrease Contract Renewal Amount by $200,000 for the Remaining Three RenewalPeriods (Specification No. 20­007) (Non­General Fund) Department(s): Public Works AgencyRecommended Action: Amend the purchase order contract with Stommel, Inc., (dbaLehr Auto Electric) for police vehicle conversion equipment and installation servicesby increasing the contract renewal amount $250,000, for an annual amount not toexceed $450,000 and a total contract amount not to exceed $1,350,000 for theremaining three, one­year renewal periods, subject to non­substantive changesapproved by the City Manager and City Attorney.12.Amend Purchase Order Contract with All American Asphalt to Increase the AnnualAmount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: Authorize the City Manager to execute an amendment to thePurchase Order Contract with All American Asphalt for asphalt pothole repair, toincrease the annual amount by $147,800, for a total annual amount not to exceed$697,800, for the remaining term of the agreement ending on November 30, 2021,with two optional one­year renewal options exercisable by the City Manager and CityAttorney, subject to non­substantive changes approved by the City Manager and CityAttorney. 13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of$360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an EstimatedProject Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to CJ ConcreteConstruction, Inc, the lowest responsible bidder, in accordance with the base bid inthe amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­22, for the term beginning January 3, 2022, and ending upon project completion, andauthorize the City Manager to execute the contract subject to non­substantive changesapproved by the City Manager and the City Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$594,210.50, which includes $360,183 for the construction contract; $54,027.50 forcontract administration, inspection and testing; and a $180,000 project contingencyfor unanticipated or unforeseen work.14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in theAmount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­6466) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to Stephen DoreckEquipment Rentals, Inc., the lowest responsible bidder, in accordance with the basebid in the amount of $1,265,465, for construction of the Grovemont Street Water MainImprovements FY 2021­22 Project, for the term beginning January 3, 2022, andending upon project completion, and authorize the City Manager to execute thecontract subject to non­substantive changes approved by the City Manager and theCity Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$1,645,105, which includes $1,265,465 for the construction contract; $189,820 forcontract administration, inspection and testing; and $189,820 in project contingencyfor unanticipated or unforeseen work.15.Approve an Agreement with Service First Contractors Network dba Service First forFountain Maintenance Services located at the Downtown Civic Center, includingPlaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional TransportationCenter (1 Fountain) (Non­General Fund)Department(s): Parks, Recreation, and Community ServicesRecommended Action: Authorize the City Manager to execute an agreement withService First Contractors Network dba Service First to provide fountain maintenanceservices in an annual amount not to exceed $106,170, which includes a 20%contingency, for a term from January 1, 2022 through December 31, 2023, with two,one­year renewal options for a total amount not to exceed $424,680, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 16.Agreement with Patrol Solutions, LLC for unarmed security guard services forDowntown Santa Ana and Civic Center area (Revive Santa Ana Program)Department(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute an agreement withPatrol Solutions, LLC for unarmed security services for Downtown Santa Ana andCivic Center area, for a one­year term, in the amount of $185,990, beginningNovember 16, 2021 through November 15, 2022, with an option of two one­yearextensions, for a total aggregate amount not to exceed $545,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources,and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in anAmount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Authorize the City Manager to execute an agreement withSantolucito Doré Group, Inc., to provide completion of final close­out work perCaltrans requirements and property appraisal services, on an as needed basis, in anamount not to exceed $149,500, for a three­year term beginning November 16, 2021and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. Authorize the City Manager to execute agreements with Santolucito Doré Group,Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­way property appraisal services, in a shared aggregate amount not to exceed$300,000, for a three­year term beginning November 16, 2021 and expiringNovember 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX).18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­CallRight­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an AmountNot to Exceed $649,500 for a Three­Year Term (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Authorize the City Manager to execute an agreement withMonument ROW to provide completion of final close­out work per Caltransrequirements, acquisition maintenance, and a relocation assistance program, in anamount not to exceed $149,500 for a three­year term beginning November 16, 2021,and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. Authorize the City Manager to execute agreements with Monument ROW andOverland, Pacific & Cutler LLC to provide completion of final close­out work,acquisition maintenance, and a relocation assistance program, in a shared aggregateamount not to exceed $500,000 for a three­year term beginning November 16, 2021,and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).19.Approve an Agreement with Arch Insurance Company to Take Over the San LorenzoSewage Lift Station Project (Project No. 06­3510) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: Authorize the City Manager to execute an agreement withArch Insurance Company to take over the San Lorenzo Sewage Lift Station Projectand be responsible for the completion of all work in accordance with the contractsubject to non­substantive changes approved by City Manager and City Attorney(Agreement No. 2021­XXX).20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA GlobalPayments, for Debit and Credit Card Merchant Payment Processing Services,including Europay, MasterCard, Visa and e­Commerce Gateway TransactionIntegration and Support in the Amount not to Exceed $172,500, which Includes aGeneral Contingency of $22,500Department(s): Finance and Management ServicesRecommended Action: Authorize the City Manager to execute a renewalagreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit andcredit card payment processing services, including Europay, MasterCard, and Visaand e­Commerce gateway transaction integration and support in an amount not toexceed $172,500, which includes a general contingency of $22,500.  The renewalagreement shall commence November 16, 2021, and expire June 30, 2022, and willcover all services provided by Consultant since July 1, 2021, subject to non­substantive changes approved by City Manager and City Attorney (Agreement No.2021­XXX).21.Approve an Amendment to Agreement with Salvation Army to Operate a TemporaryShelter at the Hospitality House for One Additional Month (Non­General Fund)Department(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute:1. An amendment to the agreement with Salvation Army to continue to operate atemporary shelter at the Hospitality House through January 31, 2022 for an additionalamount of $130,000, for a total aggregate amount not to exceed $910,000, subject tonon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. A first amendment, and any future amendments, to the agreement with SalvationArmy to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­CV) funds to operate the shelter at the Hospitality House through January 31, 2022,for a total aggregate amount not to exceed $910,000, subject to non­substantivechanges approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 22.Approve a Second Amendment to Illumination Foundation Agreement to Operate aTemporary Shelter at the Fullerton Recuperative Care Center for up to Two AdditionalMonths Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute a second amendment to the agreement with Illumination Foundation to extend the term to operate a temporary shelter at the Fullerton Recuperative Care Center for up to an additional two months through January 31, 2022, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 23.Adopt a Resolution Approving the Events Permit Policy, including Park Facility Permits, Film Permits, Land Use Certificates, and Special Event Permits Department(s): Parks, Recreation, and Community Services Recommended Action: Resolution No. 2021­XXX – Adopt a Resolution approving the Events Permit Policy, including park facility permits, film permits, land use certificates, and special event permits. 24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023 Measure M2 Comprehensive Transportation Funding Program (Non­General Fund) Department(s): Public Works Agency Recommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  Adopt Resolutions Authorizing the City of Santa Ana to submit applications for funding consideration under the Measure M2 Comprehensive Transportation Funding Program 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX). 2. Direct staff to incorporate approved Comprehensive Transportation Funding Program projects into the Seven­Year Capital Improvement Program for Fiscal Year 2022­23. 25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive Performance Evaluation Conducted on October 19, 2021 and Approving an Amended Annual Salary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 to Effect Certain Changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS) Department(s): Human Resources Recommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirming positive evaluation results and approving an adjusted annual salary for the City Manager, and 2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­ 111 to effect certain changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS). **END OF CONSENT CALENDAR** BUSINESS CALENDAR 26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order to PrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana Resident Stimulus Program (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: 1. Approve an appropriation adjustment to reallocate $2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­ 69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for the Revive Santa Ana Resident Stimulus Program. (Requires five affirmative votes) 2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for the purchase of 20,000 $300 pre­paid visa cards. 27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing of Community Meetings for Certain Development Projects, Lobbyist Disclosure Policy, and Publishing Timeline for City Council Meeting Agendas Department(s): City Manager Office Recommended Action: 1. Approve the first reading of an ordinance amending the Sunshine Ordinance to expand the number of community meetings for certain development projects from one to two, increase the radius of distributing noticing of said community meetings from 500 feet of the subject property to 1,000 feet, implement a Lobbyist Registration Policy, and revise the timeline to publish City Council meeting agendas from four days to seven days. 2. Approve an appropriation adjustment recognizing $40,000 from prior­year fund balance in the General Fund and appropriate the same amount to the General Fund, Clerk of the Council Service Enhancement salaries ($10,000) and contractual services ($30,000) expenditure accounts. (Requires five affirmative votes) **END OF BUSINESS CALENDAR** PUBLIC HEARINGS PUBLIC COMMENTS – Members of the public may address the City Council on each Public Hearing item. 28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19 Incurred by the City for Weed, Rubbish, and Garbage Abatement Within Private Property Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado de Orange Legal Notice published in the Orange County Reporter on November 5, 2021 and notices mailed on said date. Department(s): Planning and Building Agency Recommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming the acceptance of the Weed, Rubbish, and Garbage Abatement report and confirm the Code Enforcement Division description for the recovery of the costs in an amount of $39,604.19, associated with the execution of the Inspection and Abatement Warrant on May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en el Condado de Orange. 29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of the City Council of the City of Santa Ana Repealing and Reenacting in its Entirety Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the Housing Opportunity Ordinance Legal Notice published in the Orange County Reporter on November 5, 2021. Department(s): Planning and Building Agency Recommended Action: Consider the recommendations made by the Planning Commission and take one of the following options: 1. Approve first reading of the Ordinance as presented; or 2. Approve first reading of the Ordinance incorporating the changes recommended by the Planning Commission; or 3. Approve first reading of the Ordinance with the incorporation of changes desired by the City Council. COUNCILMEMBER REQUESTED ITEMS 30.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza 31.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance Establishing Regulations Prohibiting the Unlawful Possession of Catalytic Converters in the City – Councilmember Lopez CITY MANAGER COMMENTS COUNCIL COMMENTS AB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authority meeting. Adjourn in memory of Dr. Gaston Cilliani Future Items 1. Mental Health Mobile Outreach Services 2. General Plan Update 3. Housing Element Update SPECIAL HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vice Chair David Penaloza Chair Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Special Housing Authority agenda.  CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Item: 1. 1.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR JOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY 2.Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 12 11/16/2021 City Council and Special Housing AuthorityMeeting PacketNovember 16, 2021CLOSED SESSION MEETING – 5:00 PMREGULAR OPEN MEETING – 5:45 PM (Immediately following the Closed Session Meeting)CITY COUNCIL CHAMBER22 Civic Center Plaza Santa Ana, CA 92701Vicente SarmientoMayorThai Viet PhanCouncilmember – Ward 1 David PenalozaMayor Pro Tem ­ Ward 2Jessie LopezCouncilmember ­ Ward 3 Phil BacerraCouncilmember ­ Ward 4Johnathan Ryan HernandezCouncilmember ­ Ward 5 Nelida MendozaCouncilmember ­ Ward 6Mayor and Council telephone: 714­647­6900Agenda item inquiries: 714­647­6520Sonia R. CarvalhoCity Attorney Kristine RidgeCity Manager Daisy GomezClerk of the CouncilIn compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting,contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enablethe City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supportingdocumentation can be found on the City’s website – www.santa­ana.org/city­meetings.CITY VISION AND CODE OF ETHICSThe City of Santa Ana is committed to achieving a shared vision for the organization and itscommunity. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtfuland inclusive process designed to set the City and organization on a course that meets thechallenges of today and tomorrow, as follows:Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment inyouth • Safe and healthy community • Neighborhood pride • Thriving economic climate •Enriched and diverse culture • Quality government servicesMission ­ To deliver efficient public services in partnership with our community which ensurespublic safety, a prosperous economic environment, opportunities for our youth, and a highquality of life for residents.Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility •Innovation • TransparencyCode of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008,voters approved an amendment to the City Charter which established the Code of Ethics andConduct for elected officials and members of appointed boards, commissions, andcommittees to assure public confidence. The following are the core values expressed: •Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • EfficiencyResolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, isset to expire on December 2, 2021. Therefore, virtual participation for City Councilmeetings will no longer be available beginning December 3, 2021.Members of the public may attend the City Council meeting in­person or join via Zoom. TheCity Council meeting will occur live via teleconference Zoom webinar. You may view themeeting from your computer, tablet or smart phone via YouTube LiveStream atwww.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 andAT&T U­verse channel 99.PUBLIC COMMENTS – Members of the public who wish to address the City Council onclosed session items, items on the regular agenda or on matters which are not on theagenda, but are within the subject matter jurisdiction of the City Council may do so by one ofthe following ways:MAILING OPTION written communications – Public comments may be mailed to:Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA92701. All written communications received via mail by 4:00 p.m. on the day of themeeting will be distributed to the City Council and imaged into the City’s documentarchive system which is available for public review.SENDING E­MAIL OPTION – Public comments may be sent via email to the CityClerk’s office at eComment@santa­ana.org. Please note the agenda item you arecommenting on in the subject line of the email. All emails received before 4:00 p.m. onthe day of the meeting will be distributed to the City Council and imaged into the City’sdocument archive system which is available for public review.LIVE VIRTUAL OPTION – Members of the public may provide live comments duringthe meeting by Zoom or Conference Call. To join by Zoom click on or type the followingaddress into your web browser https://us02web.zoom.us/j/315965149. To join theConference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You willbe prompted by the City Clerk when it is time for a: i) closed session item, ii)general agenda item, iii) public hearing item, iv) special agenda item, or v) for HousingAuthority item. You may request to speak by dialing *9 from your phone or you mayvirtually raise your hand from Zoom. After the Clerk confirms the last three digits of thecaller’s phone number or Zoom ID and unmutes them, the caller must press *6 ormicrophone icon to speak. Callers are encouraged, but not required, to identifythemselves by name. Each caller will be provided three (3) minutes to speak, unlessdue to the number of speakers wanting to speak a decision is made to provide adifferent amount of time to speak.IN­PERSON OPTION ­ Members of the public can provide in­person comments at thepodium in the Council Chamber. The Council Chamber will have seating available formembers of the public to attend the meeting in­person up to full capacity. Facecoverings are optional for members of the public who enter City buildings who havebeen vaccinated against COVID­19. Public comments are limited to three (3) minutesper speaker, unless a different time is announced by the presiding chair. Speakers whowish to address the Council must do so by submitting a “Request to Speak” cardby 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designatedpublic comment periods as listed below. Cards will not be accepted after the PublicComment Session begins without the permission of the presiding chair.The following designated public comment periods are:1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide livecomments on closed session items by joining Zoom or the Conference Call as described inthe LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will openat 4:30 p.m.2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDAITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom orthe Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTSOPTION above. Speaker queue will open at 4:30 p.m. 3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. 4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. About the AgendaTo download or view the attachments (staff report and other supporting documentation) foreach agenda item, you must select the agenda item to see the attachments to either open ina new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ).CLOSED SESSIONCALL TO ORDERATTENDANCE Council Members Phil BacerraJohnathan Ryan HernandezJessie LopezNelida MendozaThai Viet PhanMayor  Pro Tem David PenalozaMayorVicente SarmientoCity Manager Kristine RidgeCity Attorney Sonia R. CarvalhoClerk of the Council Daisy GomezPUBLIC COMMENTS – Members of the public may address the City Council on ClosedSession items.CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certainmatters without members of the public present. The City Council finds, based on advice fromthe City Attorney, that discussion in open session of the following matters will prejudice theposition of the City in existing and anticipated litigation:CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph(1) of subdivision (d) of Section 54956.9 of the Government Code:A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SACV 20­0069­DOC (DFMx)B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken atthe Regular Open Session which will begin immediately following the Closed Session.RECESS – City Council will recess to Closed Session for the purpose of conducting regularCity business.RECONVENE – City Council will reconvene to continue regular City business.CITY COUNCIL REGULAR OPEN SESSIONCALL TO ORDERROLL CALLPLEDGE OF ALLEGIANCE Mayor SarmientoINVOCATIONRupert Vega, Police ChaplainCEREMONIAL PRESENTATIONS1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphonyfor Outstanding Contributions to Arts and Culture.2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) andPJ Vegas representing the Yoeme Tribe declaring November 2021 as Native AmericanHeritage Month.3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan,posthumously, for his Outstanding Service to our Country.STAFF PRESENTATIONS4.Homeless UpdateCLOSED SESSION REPORT – The City Attorney will report on any action(s) from ClosedSession.PUBLIC COMMENT – Public comments will be held during the beginning of the meeting forALL comments on agenda and non­agenda items, with the exception of public hearings.Comments for public hearings will take place after the hearing is opened.CONSENT CALENDARRECOMMENDED ACTION:  Approve staff recommendations on the followingConsent Calendar Items: 5 through 25.5.Excused AbsencesDepartment(s): Clerk of the Council OfficeRecommended Action: Excuse the absent members.6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THECITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKINGMETERSFirst reading at the November 2, 2021 City Council meeting and approved by a vote of7­0.Published in the Orange County Reporter on November 5, 2021.Department(s): Public Works AgencyRecommended Action: Place ordinance on second reading and adopt.7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Worksand up to $250,000 for Public Works Authorized by the City Manager as Permitted byCharter Section 421Department(s): Finance and Management ServicesRecommended Action: Receive and file Quarterly Report of Contracts entered intobetween July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­publicworks contracts and agreements and up to $250,000 for public works contracts andagreements. 8.Receive and File Quarterly Report of Investments as of September 30, 2021Department(s): Finance and Management ServicesRecommended Action: Receive and file.9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/SafetyGloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed$300,000 Over the Two­Year Term, with Three One­Year Renewal Options(Specification No. 21­101) (General Fund)Department(s): Police DepartmentRecommended Action: Award blanket order contracts to JC Dental Supply andMedzon Health to provide nitrile examination gloves for a two­year period beginningNovember 16, 2021 and expiring November 15, 2023 in the annual aggregate amountof $150,000 for a total aggregate amount not to exceed $300,000 over the two­yearperiod, with provisions for three one­year renewals by mutual agreement. Subject tonon­substantive changes approved by the City Manager and City Attorney.10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional FordPolice Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­053) (Non­General Fund)Department(s): Public Works Agency, Police DepartmentRecommended Action: Amend the contract with Fairway Ford Sales, Inc., topurchase 25 additional Ford Police Interceptor vehicles for the Santa Ana PoliceDepartment, for a total amount not to exceed $1,068,909.50 (including a $20,000contingency), subject to non­substantive changes approved by the City Manager andCity Attorney. 11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) toIncrease Contract Renewal Amount by $200,000 for the Remaining Three RenewalPeriods (Specification No. 20­007) (Non­General Fund) Department(s): Public Works AgencyRecommended Action: Amend the purchase order contract with Stommel, Inc., (dbaLehr Auto Electric) for police vehicle conversion equipment and installation servicesby increasing the contract renewal amount $250,000, for an annual amount not toexceed $450,000 and a total contract amount not to exceed $1,350,000 for theremaining three, one­year renewal periods, subject to non­substantive changesapproved by the City Manager and City Attorney.12.Amend Purchase Order Contract with All American Asphalt to Increase the AnnualAmount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: Authorize the City Manager to execute an amendment to thePurchase Order Contract with All American Asphalt for asphalt pothole repair, toincrease the annual amount by $147,800, for a total annual amount not to exceed$697,800, for the remaining term of the agreement ending on November 30, 2021,with two optional one­year renewal options exercisable by the City Manager and CityAttorney, subject to non­substantive changes approved by the City Manager and CityAttorney. 13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of$360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an EstimatedProject Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to CJ ConcreteConstruction, Inc, the lowest responsible bidder, in accordance with the base bid inthe amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­22, for the term beginning January 3, 2022, and ending upon project completion, andauthorize the City Manager to execute the contract subject to non­substantive changesapproved by the City Manager and the City Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$594,210.50, which includes $360,183 for the construction contract; $54,027.50 forcontract administration, inspection and testing; and a $180,000 project contingencyfor unanticipated or unforeseen work.14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in theAmount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­6466) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to Stephen DoreckEquipment Rentals, Inc., the lowest responsible bidder, in accordance with the basebid in the amount of $1,265,465, for construction of the Grovemont Street Water MainImprovements FY 2021­22 Project, for the term beginning January 3, 2022, andending upon project completion, and authorize the City Manager to execute thecontract subject to non­substantive changes approved by the City Manager and theCity Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$1,645,105, which includes $1,265,465 for the construction contract; $189,820 forcontract administration, inspection and testing; and $189,820 in project contingencyfor unanticipated or unforeseen work.15.Approve an Agreement with Service First Contractors Network dba Service First forFountain Maintenance Services located at the Downtown Civic Center, includingPlaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional TransportationCenter (1 Fountain) (Non­General Fund)Department(s): Parks, Recreation, and Community ServicesRecommended Action: Authorize the City Manager to execute an agreement withService First Contractors Network dba Service First to provide fountain maintenanceservices in an annual amount not to exceed $106,170, which includes a 20%contingency, for a term from January 1, 2022 through December 31, 2023, with two,one­year renewal options for a total amount not to exceed $424,680, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 16.Agreement with Patrol Solutions, LLC for unarmed security guard services forDowntown Santa Ana and Civic Center area (Revive Santa Ana Program)Department(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute an agreement withPatrol Solutions, LLC for unarmed security services for Downtown Santa Ana andCivic Center area, for a one­year term, in the amount of $185,990, beginningNovember 16, 2021 through November 15, 2022, with an option of two one­yearextensions, for a total aggregate amount not to exceed $545,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources,and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in anAmount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Authorize the City Manager to execute an agreement withSantolucito Doré Group, Inc., to provide completion of final close­out work perCaltrans requirements and property appraisal services, on an as needed basis, in anamount not to exceed $149,500, for a three­year term beginning November 16, 2021and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. Authorize the City Manager to execute agreements with Santolucito Doré Group,Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­way property appraisal services, in a shared aggregate amount not to exceed$300,000, for a three­year term beginning November 16, 2021 and expiringNovember 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX).18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­CallRight­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an AmountNot to Exceed $649,500 for a Three­Year Term (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Authorize the City Manager to execute an agreement withMonument ROW to provide completion of final close­out work per Caltransrequirements, acquisition maintenance, and a relocation assistance program, in anamount not to exceed $149,500 for a three­year term beginning November 16, 2021,and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. Authorize the City Manager to execute agreements with Monument ROW andOverland, Pacific & Cutler LLC to provide completion of final close­out work,acquisition maintenance, and a relocation assistance program, in a shared aggregateamount not to exceed $500,000 for a three­year term beginning November 16, 2021,and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).19.Approve an Agreement with Arch Insurance Company to Take Over the San LorenzoSewage Lift Station Project (Project No. 06­3510) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: Authorize the City Manager to execute an agreement withArch Insurance Company to take over the San Lorenzo Sewage Lift Station Projectand be responsible for the completion of all work in accordance with the contractsubject to non­substantive changes approved by City Manager and City Attorney(Agreement No. 2021­XXX).20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA GlobalPayments, for Debit and Credit Card Merchant Payment Processing Services,including Europay, MasterCard, Visa and e­Commerce Gateway TransactionIntegration and Support in the Amount not to Exceed $172,500, which Includes aGeneral Contingency of $22,500Department(s): Finance and Management ServicesRecommended Action: Authorize the City Manager to execute a renewalagreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit andcredit card payment processing services, including Europay, MasterCard, and Visaand e­Commerce gateway transaction integration and support in an amount not toexceed $172,500, which includes a general contingency of $22,500.  The renewalagreement shall commence November 16, 2021, and expire June 30, 2022, and willcover all services provided by Consultant since July 1, 2021, subject to non­substantive changes approved by City Manager and City Attorney (Agreement No.2021­XXX).21.Approve an Amendment to Agreement with Salvation Army to Operate a TemporaryShelter at the Hospitality House for One Additional Month (Non­General Fund)Department(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute:1. An amendment to the agreement with Salvation Army to continue to operate atemporary shelter at the Hospitality House through January 31, 2022 for an additionalamount of $130,000, for a total aggregate amount not to exceed $910,000, subject tonon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. A first amendment, and any future amendments, to the agreement with SalvationArmy to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­CV) funds to operate the shelter at the Hospitality House through January 31, 2022,for a total aggregate amount not to exceed $910,000, subject to non­substantivechanges approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 22.Approve a Second Amendment to Illumination Foundation Agreement to Operate aTemporary Shelter at the Fullerton Recuperative Care Center for up to Two AdditionalMonthsDepartment(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute a secondamendment to the agreement with Illumination Foundation to extend the term tooperate a temporary shelter at the Fullerton Recuperative Care Center for up to anadditional two months through January 31, 2022, subject to non­substantive changesapproved by the City Manager and City Attorney (Agreement No.2021­XXX).23.Adopt a Resolution Approving the Events Permit Policy, including Park FacilityPermits, Film Permits, Land Use Certificates, and Special Event PermitsDepartment(s): Parks, Recreation, and Community ServicesRecommended Action: Resolution No. 2021­XXX – Adopt a Resolution approvingthe Events Permit Policy, including park facility permits, film permits, land usecertificates, and special event permits.24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023Measure M2 Comprehensive Transportation Funding Program (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  AdoptResolutions Authorizing the City of Santa Ana to submit applications for fundingconsideration under the Measure M2 Comprehensive Transportation FundingProgram 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX).2. Direct staff to incorporate approved Comprehensive Transportation FundingProgram projects into the Seven­Year Capital Improvement Program for Fiscal Year2022­23.25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive PerformanceEvaluation Conducted on October 19, 2021 and Approving an Amended AnnualSalary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 toEffect Certain Changes to the City’s Master Salary Schedule in Conformance withTitle 2 of the California Code of Regulations Section 570.5 and the California PublicEmployees' Retirement System (CalPERS)Department(s): Human ResourcesRecommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirmingpositive evaluation results and approving an adjusted annual salary for the CityManager, and2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­111 to effect certain changes to the City’s Master Salary Schedule in Conformancewith Title 2 of the California Code of Regulations Section 570.5 and the CaliforniaPublic Employees' Retirement System (CalPERS). **END OF CONSENT CALENDAR** BUSINESS CALENDAR 26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order to PrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana Resident Stimulus Program (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: 1. Approve an appropriation adjustment to reallocate $2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­ 69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for the Revive Santa Ana Resident Stimulus Program. (Requires five affirmative votes) 2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for the purchase of 20,000 $300 pre­paid visa cards. 27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing of Community Meetings for Certain Development Projects, Lobbyist Disclosure Policy, and Publishing Timeline for City Council Meeting Agendas Department(s): City Manager Office Recommended Action: 1. Approve the first reading of an ordinance amending the Sunshine Ordinance to expand the number of community meetings for certain development projects from one to two, increase the radius of distributing noticing of said community meetings from 500 feet of the subject property to 1,000 feet, implement a Lobbyist Registration Policy, and revise the timeline to publish City Council meeting agendas from four days to seven days. 2. Approve an appropriation adjustment recognizing $40,000 from prior­year fund balance in the General Fund and appropriate the same amount to the General Fund, Clerk of the Council Service Enhancement salaries ($10,000) and contractual services ($30,000) expenditure accounts. (Requires five affirmative votes) **END OF BUSINESS CALENDAR** PUBLIC HEARINGS PUBLIC COMMENTS – Members of the public may address the City Council on each Public Hearing item. 28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19 Incurred by the City for Weed, Rubbish, and Garbage Abatement Within Private Property Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado de Orange Legal Notice published in the Orange County Reporter on November 5, 2021 and notices mailed on said date. Department(s): Planning and Building Agency Recommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming the acceptance of the Weed, Rubbish, and Garbage Abatement report and confirm the Code Enforcement Division description for the recovery of the costs in an amount of $39,604.19, associated with the execution of the Inspection and Abatement Warrant on May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en el Condado de Orange. 29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of the City Council of the City of Santa Ana Repealing and Reenacting in its Entirety Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the Housing Opportunity Ordinance Legal Notice published in the Orange County Reporter on November 5, 2021. Department(s): Planning and Building Agency Recommended Action: Consider the recommendations made by the Planning Commission and take one of the following options: 1. Approve first reading of the Ordinance as presented; or 2. Approve first reading of the Ordinance incorporating the changes recommended by the Planning Commission; or 3. Approve first reading of the Ordinance with the incorporation of changes desired by the City Council. COUNCILMEMBER REQUESTED ITEMS 30.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza 31.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance Establishing Regulations Prohibiting the Unlawful Possession of Catalytic Converters in the City – Councilmember Lopez CITY MANAGER COMMENTS COUNCIL COMMENTS AB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authority meeting. Adjourn in memory of Dr. Gaston Cilliani Future Items 1. Mental Health Mobile Outreach Services 2. General Plan Update 3. Housing Element Update SPECIAL HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vice Chair David Penaloza Chair Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Special Housing Authority agenda.  CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Item: 1. 1.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR JOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY 2.Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 13 11/16/2021 City Council and Special Housing AuthorityMeeting PacketNovember 16, 2021CLOSED SESSION MEETING – 5:00 PMREGULAR OPEN MEETING – 5:45 PM (Immediately following the Closed Session Meeting)CITY COUNCIL CHAMBER22 Civic Center Plaza Santa Ana, CA 92701Vicente SarmientoMayorThai Viet PhanCouncilmember – Ward 1 David PenalozaMayor Pro Tem ­ Ward 2Jessie LopezCouncilmember ­ Ward 3 Phil BacerraCouncilmember ­ Ward 4Johnathan Ryan HernandezCouncilmember ­ Ward 5 Nelida MendozaCouncilmember ­ Ward 6Mayor and Council telephone: 714­647­6900Agenda item inquiries: 714­647­6520Sonia R. CarvalhoCity Attorney Kristine RidgeCity Manager Daisy GomezClerk of the CouncilIn compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting,contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enablethe City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supportingdocumentation can be found on the City’s website – www.santa­ana.org/city­meetings.CITY VISION AND CODE OF ETHICSThe City of Santa Ana is committed to achieving a shared vision for the organization and itscommunity. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtfuland inclusive process designed to set the City and organization on a course that meets thechallenges of today and tomorrow, as follows:Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment inyouth • Safe and healthy community • Neighborhood pride • Thriving economic climate •Enriched and diverse culture • Quality government servicesMission ­ To deliver efficient public services in partnership with our community which ensurespublic safety, a prosperous economic environment, opportunities for our youth, and a highquality of life for residents.Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility •Innovation • TransparencyCode of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008,voters approved an amendment to the City Charter which established the Code of Ethics andConduct for elected officials and members of appointed boards, commissions, andcommittees to assure public confidence. The following are the core values expressed: •Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • EfficiencyResolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, isset to expire on December 2, 2021. Therefore, virtual participation for City Councilmeetings will no longer be available beginning December 3, 2021.Members of the public may attend the City Council meeting in­person or join via Zoom. TheCity Council meeting will occur live via teleconference Zoom webinar. You may view themeeting from your computer, tablet or smart phone via YouTube LiveStream atwww.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 andAT&T U­verse channel 99.PUBLIC COMMENTS – Members of the public who wish to address the City Council onclosed session items, items on the regular agenda or on matters which are not on theagenda, but are within the subject matter jurisdiction of the City Council may do so by one ofthe following ways:MAILING OPTION written communications – Public comments may be mailed to:Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA92701. All written communications received via mail by 4:00 p.m. on the day of themeeting will be distributed to the City Council and imaged into the City’s documentarchive system which is available for public review.SENDING E­MAIL OPTION – Public comments may be sent via email to the CityClerk’s office at eComment@santa­ana.org. Please note the agenda item you arecommenting on in the subject line of the email. All emails received before 4:00 p.m. onthe day of the meeting will be distributed to the City Council and imaged into the City’sdocument archive system which is available for public review.LIVE VIRTUAL OPTION – Members of the public may provide live comments duringthe meeting by Zoom or Conference Call. To join by Zoom click on or type the followingaddress into your web browser https://us02web.zoom.us/j/315965149. To join theConference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You willbe prompted by the City Clerk when it is time for a: i) closed session item, ii)general agenda item, iii) public hearing item, iv) special agenda item, or v) for HousingAuthority item. You may request to speak by dialing *9 from your phone or you mayvirtually raise your hand from Zoom. After the Clerk confirms the last three digits of thecaller’s phone number or Zoom ID and unmutes them, the caller must press *6 ormicrophone icon to speak. Callers are encouraged, but not required, to identifythemselves by name. Each caller will be provided three (3) minutes to speak, unlessdue to the number of speakers wanting to speak a decision is made to provide adifferent amount of time to speak.IN­PERSON OPTION ­ Members of the public can provide in­person comments at thepodium in the Council Chamber. The Council Chamber will have seating available formembers of the public to attend the meeting in­person up to full capacity. Facecoverings are optional for members of the public who enter City buildings who havebeen vaccinated against COVID­19. Public comments are limited to three (3) minutesper speaker, unless a different time is announced by the presiding chair. Speakers whowish to address the Council must do so by submitting a “Request to Speak” cardby 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designatedpublic comment periods as listed below. Cards will not be accepted after the PublicComment Session begins without the permission of the presiding chair.The following designated public comment periods are:1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide livecomments on closed session items by joining Zoom or the Conference Call as described inthe LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will openat 4:30 p.m.2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDAITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom orthe Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTSOPTION above. Speaker queue will open at 4:30 p.m. 3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. 4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. About the AgendaTo download or view the attachments (staff report and other supporting documentation) foreach agenda item, you must select the agenda item to see the attachments to either open ina new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ).CLOSED SESSIONCALL TO ORDERATTENDANCE Council Members Phil BacerraJohnathan Ryan HernandezJessie LopezNelida MendozaThai Viet PhanMayor  Pro Tem David PenalozaMayorVicente SarmientoCity Manager Kristine RidgeCity Attorney Sonia R. CarvalhoClerk of the Council Daisy GomezPUBLIC COMMENTS – Members of the public may address the City Council on ClosedSession items.CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certainmatters without members of the public present. The City Council finds, based on advice fromthe City Attorney, that discussion in open session of the following matters will prejudice theposition of the City in existing and anticipated litigation:CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph(1) of subdivision (d) of Section 54956.9 of the Government Code:A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SACV 20­0069­DOC (DFMx)B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken atthe Regular Open Session which will begin immediately following the Closed Session.RECESS – City Council will recess to Closed Session for the purpose of conducting regularCity business.RECONVENE – City Council will reconvene to continue regular City business.CITY COUNCIL REGULAR OPEN SESSIONCALL TO ORDERROLL CALLPLEDGE OF ALLEGIANCE Mayor SarmientoINVOCATIONRupert Vega, Police ChaplainCEREMONIAL PRESENTATIONS1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphonyfor Outstanding Contributions to Arts and Culture.2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) andPJ Vegas representing the Yoeme Tribe declaring November 2021 as Native AmericanHeritage Month.3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan,posthumously, for his Outstanding Service to our Country.STAFF PRESENTATIONS4.Homeless UpdateCLOSED SESSION REPORT – The City Attorney will report on any action(s) from ClosedSession.PUBLIC COMMENT – Public comments will be held during the beginning of the meeting forALL comments on agenda and non­agenda items, with the exception of public hearings.Comments for public hearings will take place after the hearing is opened.CONSENT CALENDARRECOMMENDED ACTION:  Approve staff recommendations on the followingConsent Calendar Items: 5 through 25.5.Excused AbsencesDepartment(s): Clerk of the Council OfficeRecommended Action: Excuse the absent members.6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THECITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKINGMETERSFirst reading at the November 2, 2021 City Council meeting and approved by a vote of7­0.Published in the Orange County Reporter on November 5, 2021.Department(s): Public Works AgencyRecommended Action: Place ordinance on second reading and adopt.7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Worksand up to $250,000 for Public Works Authorized by the City Manager as Permitted byCharter Section 421Department(s): Finance and Management ServicesRecommended Action: Receive and file Quarterly Report of Contracts entered intobetween July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­publicworks contracts and agreements and up to $250,000 for public works contracts andagreements. 8.Receive and File Quarterly Report of Investments as of September 30, 2021Department(s): Finance and Management ServicesRecommended Action: Receive and file.9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/SafetyGloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed$300,000 Over the Two­Year Term, with Three One­Year Renewal Options(Specification No. 21­101) (General Fund)Department(s): Police DepartmentRecommended Action: Award blanket order contracts to JC Dental Supply andMedzon Health to provide nitrile examination gloves for a two­year period beginningNovember 16, 2021 and expiring November 15, 2023 in the annual aggregate amountof $150,000 for a total aggregate amount not to exceed $300,000 over the two­yearperiod, with provisions for three one­year renewals by mutual agreement. Subject tonon­substantive changes approved by the City Manager and City Attorney.10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional FordPolice Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­053) (Non­General Fund)Department(s): Public Works Agency, Police DepartmentRecommended Action: Amend the contract with Fairway Ford Sales, Inc., topurchase 25 additional Ford Police Interceptor vehicles for the Santa Ana PoliceDepartment, for a total amount not to exceed $1,068,909.50 (including a $20,000contingency), subject to non­substantive changes approved by the City Manager andCity Attorney. 11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) toIncrease Contract Renewal Amount by $200,000 for the Remaining Three RenewalPeriods (Specification No. 20­007) (Non­General Fund) Department(s): Public Works AgencyRecommended Action: Amend the purchase order contract with Stommel, Inc., (dbaLehr Auto Electric) for police vehicle conversion equipment and installation servicesby increasing the contract renewal amount $250,000, for an annual amount not toexceed $450,000 and a total contract amount not to exceed $1,350,000 for theremaining three, one­year renewal periods, subject to non­substantive changesapproved by the City Manager and City Attorney.12.Amend Purchase Order Contract with All American Asphalt to Increase the AnnualAmount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: Authorize the City Manager to execute an amendment to thePurchase Order Contract with All American Asphalt for asphalt pothole repair, toincrease the annual amount by $147,800, for a total annual amount not to exceed$697,800, for the remaining term of the agreement ending on November 30, 2021,with two optional one­year renewal options exercisable by the City Manager and CityAttorney, subject to non­substantive changes approved by the City Manager and CityAttorney. 13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of$360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an EstimatedProject Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to CJ ConcreteConstruction, Inc, the lowest responsible bidder, in accordance with the base bid inthe amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­22, for the term beginning January 3, 2022, and ending upon project completion, andauthorize the City Manager to execute the contract subject to non­substantive changesapproved by the City Manager and the City Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$594,210.50, which includes $360,183 for the construction contract; $54,027.50 forcontract administration, inspection and testing; and a $180,000 project contingencyfor unanticipated or unforeseen work.14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in theAmount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­6466) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to Stephen DoreckEquipment Rentals, Inc., the lowest responsible bidder, in accordance with the basebid in the amount of $1,265,465, for construction of the Grovemont Street Water MainImprovements FY 2021­22 Project, for the term beginning January 3, 2022, andending upon project completion, and authorize the City Manager to execute thecontract subject to non­substantive changes approved by the City Manager and theCity Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$1,645,105, which includes $1,265,465 for the construction contract; $189,820 forcontract administration, inspection and testing; and $189,820 in project contingencyfor unanticipated or unforeseen work.15.Approve an Agreement with Service First Contractors Network dba Service First forFountain Maintenance Services located at the Downtown Civic Center, includingPlaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional TransportationCenter (1 Fountain) (Non­General Fund)Department(s): Parks, Recreation, and Community ServicesRecommended Action: Authorize the City Manager to execute an agreement withService First Contractors Network dba Service First to provide fountain maintenanceservices in an annual amount not to exceed $106,170, which includes a 20%contingency, for a term from January 1, 2022 through December 31, 2023, with two,one­year renewal options for a total amount not to exceed $424,680, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 16.Agreement with Patrol Solutions, LLC for unarmed security guard services forDowntown Santa Ana and Civic Center area (Revive Santa Ana Program)Department(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute an agreement withPatrol Solutions, LLC for unarmed security services for Downtown Santa Ana andCivic Center area, for a one­year term, in the amount of $185,990, beginningNovember 16, 2021 through November 15, 2022, with an option of two one­yearextensions, for a total aggregate amount not to exceed $545,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources,and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in anAmount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Authorize the City Manager to execute an agreement withSantolucito Doré Group, Inc., to provide completion of final close­out work perCaltrans requirements and property appraisal services, on an as needed basis, in anamount not to exceed $149,500, for a three­year term beginning November 16, 2021and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. Authorize the City Manager to execute agreements with Santolucito Doré Group,Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­way property appraisal services, in a shared aggregate amount not to exceed$300,000, for a three­year term beginning November 16, 2021 and expiringNovember 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX).18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­CallRight­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an AmountNot to Exceed $649,500 for a Three­Year Term (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Authorize the City Manager to execute an agreement withMonument ROW to provide completion of final close­out work per Caltransrequirements, acquisition maintenance, and a relocation assistance program, in anamount not to exceed $149,500 for a three­year term beginning November 16, 2021,and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. Authorize the City Manager to execute agreements with Monument ROW andOverland, Pacific & Cutler LLC to provide completion of final close­out work,acquisition maintenance, and a relocation assistance program, in a shared aggregateamount not to exceed $500,000 for a three­year term beginning November 16, 2021,and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).19.Approve an Agreement with Arch Insurance Company to Take Over the San LorenzoSewage Lift Station Project (Project No. 06­3510) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: Authorize the City Manager to execute an agreement withArch Insurance Company to take over the San Lorenzo Sewage Lift Station Projectand be responsible for the completion of all work in accordance with the contractsubject to non­substantive changes approved by City Manager and City Attorney(Agreement No. 2021­XXX).20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA GlobalPayments, for Debit and Credit Card Merchant Payment Processing Services,including Europay, MasterCard, Visa and e­Commerce Gateway TransactionIntegration and Support in the Amount not to Exceed $172,500, which Includes aGeneral Contingency of $22,500Department(s): Finance and Management ServicesRecommended Action: Authorize the City Manager to execute a renewalagreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit andcredit card payment processing services, including Europay, MasterCard, and Visaand e­Commerce gateway transaction integration and support in an amount not toexceed $172,500, which includes a general contingency of $22,500.  The renewalagreement shall commence November 16, 2021, and expire June 30, 2022, and willcover all services provided by Consultant since July 1, 2021, subject to non­substantive changes approved by City Manager and City Attorney (Agreement No.2021­XXX).21.Approve an Amendment to Agreement with Salvation Army to Operate a TemporaryShelter at the Hospitality House for One Additional Month (Non­General Fund)Department(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute:1. An amendment to the agreement with Salvation Army to continue to operate atemporary shelter at the Hospitality House through January 31, 2022 for an additionalamount of $130,000, for a total aggregate amount not to exceed $910,000, subject tonon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. A first amendment, and any future amendments, to the agreement with SalvationArmy to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­CV) funds to operate the shelter at the Hospitality House through January 31, 2022,for a total aggregate amount not to exceed $910,000, subject to non­substantivechanges approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 22.Approve a Second Amendment to Illumination Foundation Agreement to Operate aTemporary Shelter at the Fullerton Recuperative Care Center for up to Two AdditionalMonthsDepartment(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute a secondamendment to the agreement with Illumination Foundation to extend the term tooperate a temporary shelter at the Fullerton Recuperative Care Center for up to anadditional two months through January 31, 2022, subject to non­substantive changesapproved by the City Manager and City Attorney (Agreement No.2021­XXX).23.Adopt a Resolution Approving the Events Permit Policy, including Park FacilityPermits, Film Permits, Land Use Certificates, and Special Event PermitsDepartment(s): Parks, Recreation, and Community ServicesRecommended Action: Resolution No. 2021­XXX – Adopt a Resolution approvingthe Events Permit Policy, including park facility permits, film permits, land usecertificates, and special event permits.24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023Measure M2 Comprehensive Transportation Funding Program (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  AdoptResolutions Authorizing the City of Santa Ana to submit applications for fundingconsideration under the Measure M2 Comprehensive Transportation FundingProgram 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX).2. Direct staff to incorporate approved Comprehensive Transportation FundingProgram projects into the Seven­Year Capital Improvement Program for Fiscal Year2022­23.25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive PerformanceEvaluation Conducted on October 19, 2021 and Approving an Amended AnnualSalary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 toEffect Certain Changes to the City’s Master Salary Schedule in Conformance withTitle 2 of the California Code of Regulations Section 570.5 and the California PublicEmployees' Retirement System (CalPERS)Department(s): Human ResourcesRecommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirmingpositive evaluation results and approving an adjusted annual salary for the CityManager, and2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­111 to effect certain changes to the City’s Master Salary Schedule in Conformancewith Title 2 of the California Code of Regulations Section 570.5 and the CaliforniaPublic Employees' Retirement System (CalPERS).**END OF CONSENT CALENDAR**BUSINESS CALENDAR26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order toPrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana ResidentStimulus Program (Revive Santa Ana Program)Department(s): Community Development AgencyRecommended Action: 1. Approve an appropriation adjustment to reallocate$2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for theRevive Santa Ana Resident Stimulus Program. (Requires five affirmative votes)2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for thepurchase of 20,000 $300 pre­paid visa cards.27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing ofCommunity Meetings for Certain Development Projects, Lobbyist Disclosure Policy,and Publishing Timeline for City Council Meeting AgendasDepartment(s): City Manager OfficeRecommended Action: 1. Approve the first reading of an ordinance amending theSunshine Ordinance to expand the number of community meetings for certaindevelopment projects from one to two, increase the radius of distributing noticing ofsaid community meetings from 500 feet of the subject property to 1,000 feet,implement a Lobbyist Registration Policy, and revise the timeline to publish CityCouncil meeting agendas from four days to seven days.2. Approve an appropriation adjustment recognizing $40,000 from prior­year fundbalance in the General Fund and appropriate the same amount to the General Fund,Clerk of the Council Service Enhancement salaries ($10,000) and contractualservices ($30,000) expenditure accounts. (Requires five affirmative votes)**END OF BUSINESS CALENDAR**PUBLIC HEARINGSPUBLIC COMMENTS – Members of the public may address the City Council on eachPublic Hearing item.28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19 Incurred by the City for Weed, Rubbish, and Garbage Abatement Within Private Property Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado de Orange Legal Notice published in the Orange County Reporter on November 5, 2021 and notices mailed on said date. Department(s): Planning and Building Agency Recommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming the acceptance of the Weed, Rubbish, and Garbage Abatement report and confirm the Code Enforcement Division description for the recovery of the costs in an amount of $39,604.19, associated with the execution of the Inspection and Abatement Warrant on May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en el Condado de Orange. 29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of the City Council of the City of Santa Ana Repealing and Reenacting in its Entirety Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the Housing Opportunity Ordinance Legal Notice published in the Orange County Reporter on November 5, 2021. Department(s): Planning and Building Agency Recommended Action: Consider the recommendations made by the Planning Commission and take one of the following options: 1. Approve first reading of the Ordinance as presented; or 2. Approve first reading of the Ordinance incorporating the changes recommended by the Planning Commission; or 3. Approve first reading of the Ordinance with the incorporation of changes desired by the City Council. COUNCILMEMBER REQUESTED ITEMS 30.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza 31.Discuss and Consider Directing City Manager to Direct Staff to Introduce an Ordinance Establishing Regulations Prohibiting the Unlawful Possession of Catalytic Converters in the City – Councilmember Lopez CITY MANAGER COMMENTS COUNCIL COMMENTS AB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authority meeting. Adjourn in memory of Dr. Gaston Cilliani Future Items 1. Mental Health Mobile Outreach Services 2. General Plan Update 3. Housing Element Update SPECIAL HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vice Chair David Penaloza Chair Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Special Housing Authority agenda.  CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Item: 1. 1.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR JOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY 2.Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 14 11/16/2021 City Council and Special Housing AuthorityMeeting PacketNovember 16, 2021CLOSED SESSION MEETING – 5:00 PMREGULAR OPEN MEETING – 5:45 PM (Immediately following the Closed Session Meeting)CITY COUNCIL CHAMBER22 Civic Center Plaza Santa Ana, CA 92701Vicente SarmientoMayorThai Viet PhanCouncilmember – Ward 1 David PenalozaMayor Pro Tem ­ Ward 2Jessie LopezCouncilmember ­ Ward 3 Phil BacerraCouncilmember ­ Ward 4Johnathan Ryan HernandezCouncilmember ­ Ward 5 Nelida MendozaCouncilmember ­ Ward 6Mayor and Council telephone: 714­647­6900Agenda item inquiries: 714­647­6520Sonia R. CarvalhoCity Attorney Kristine RidgeCity Manager Daisy GomezClerk of the CouncilIn compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting,contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enablethe City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supportingdocumentation can be found on the City’s website – www.santa­ana.org/city­meetings.CITY VISION AND CODE OF ETHICSThe City of Santa Ana is committed to achieving a shared vision for the organization and itscommunity. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtfuland inclusive process designed to set the City and organization on a course that meets thechallenges of today and tomorrow, as follows:Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment inyouth • Safe and healthy community • Neighborhood pride • Thriving economic climate •Enriched and diverse culture • Quality government servicesMission ­ To deliver efficient public services in partnership with our community which ensurespublic safety, a prosperous economic environment, opportunities for our youth, and a highquality of life for residents.Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility •Innovation • TransparencyCode of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008,voters approved an amendment to the City Charter which established the Code of Ethics andConduct for elected officials and members of appointed boards, commissions, andcommittees to assure public confidence. The following are the core values expressed: •Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • EfficiencyResolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, isset to expire on December 2, 2021. Therefore, virtual participation for City Councilmeetings will no longer be available beginning December 3, 2021.Members of the public may attend the City Council meeting in­person or join via Zoom. TheCity Council meeting will occur live via teleconference Zoom webinar. You may view themeeting from your computer, tablet or smart phone via YouTube LiveStream atwww.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 andAT&T U­verse channel 99.PUBLIC COMMENTS – Members of the public who wish to address the City Council onclosed session items, items on the regular agenda or on matters which are not on theagenda, but are within the subject matter jurisdiction of the City Council may do so by one ofthe following ways:MAILING OPTION written communications – Public comments may be mailed to:Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA92701. All written communications received via mail by 4:00 p.m. on the day of themeeting will be distributed to the City Council and imaged into the City’s documentarchive system which is available for public review.SENDING E­MAIL OPTION – Public comments may be sent via email to the CityClerk’s office at eComment@santa­ana.org. Please note the agenda item you arecommenting on in the subject line of the email. All emails received before 4:00 p.m. onthe day of the meeting will be distributed to the City Council and imaged into the City’sdocument archive system which is available for public review.LIVE VIRTUAL OPTION – Members of the public may provide live comments duringthe meeting by Zoom or Conference Call. To join by Zoom click on or type the followingaddress into your web browser https://us02web.zoom.us/j/315965149. To join theConference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You willbe prompted by the City Clerk when it is time for a: i) closed session item, ii)general agenda item, iii) public hearing item, iv) special agenda item, or v) for HousingAuthority item. You may request to speak by dialing *9 from your phone or you mayvirtually raise your hand from Zoom. After the Clerk confirms the last three digits of thecaller’s phone number or Zoom ID and unmutes them, the caller must press *6 ormicrophone icon to speak. Callers are encouraged, but not required, to identifythemselves by name. Each caller will be provided three (3) minutes to speak, unlessdue to the number of speakers wanting to speak a decision is made to provide adifferent amount of time to speak.IN­PERSON OPTION ­ Members of the public can provide in­person comments at thepodium in the Council Chamber. The Council Chamber will have seating available formembers of the public to attend the meeting in­person up to full capacity. Facecoverings are optional for members of the public who enter City buildings who havebeen vaccinated against COVID­19. Public comments are limited to three (3) minutesper speaker, unless a different time is announced by the presiding chair. Speakers whowish to address the Council must do so by submitting a “Request to Speak” cardby 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designatedpublic comment periods as listed below. Cards will not be accepted after the PublicComment Session begins without the permission of the presiding chair.The following designated public comment periods are:1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide livecomments on closed session items by joining Zoom or the Conference Call as described inthe LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will openat 4:30 p.m.2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDAITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom orthe Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTSOPTION above. Speaker queue will open at 4:30 p.m. 3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. 4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. About the AgendaTo download or view the attachments (staff report and other supporting documentation) foreach agenda item, you must select the agenda item to see the attachments to either open ina new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ).CLOSED SESSIONCALL TO ORDERATTENDANCE Council Members Phil BacerraJohnathan Ryan HernandezJessie LopezNelida MendozaThai Viet PhanMayor  Pro Tem David PenalozaMayorVicente SarmientoCity Manager Kristine RidgeCity Attorney Sonia R. CarvalhoClerk of the Council Daisy GomezPUBLIC COMMENTS – Members of the public may address the City Council on ClosedSession items.CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certainmatters without members of the public present. The City Council finds, based on advice fromthe City Attorney, that discussion in open session of the following matters will prejudice theposition of the City in existing and anticipated litigation:CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph(1) of subdivision (d) of Section 54956.9 of the Government Code:A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SACV 20­0069­DOC (DFMx)B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken atthe Regular Open Session which will begin immediately following the Closed Session.RECESS – City Council will recess to Closed Session for the purpose of conducting regularCity business.RECONVENE – City Council will reconvene to continue regular City business.CITY COUNCIL REGULAR OPEN SESSIONCALL TO ORDERROLL CALLPLEDGE OF ALLEGIANCE Mayor SarmientoINVOCATIONRupert Vega, Police ChaplainCEREMONIAL PRESENTATIONS1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphonyfor Outstanding Contributions to Arts and Culture.2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) andPJ Vegas representing the Yoeme Tribe declaring November 2021 as Native AmericanHeritage Month.3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan,posthumously, for his Outstanding Service to our Country.STAFF PRESENTATIONS4.Homeless UpdateCLOSED SESSION REPORT – The City Attorney will report on any action(s) from ClosedSession.PUBLIC COMMENT – Public comments will be held during the beginning of the meeting forALL comments on agenda and non­agenda items, with the exception of public hearings.Comments for public hearings will take place after the hearing is opened.CONSENT CALENDARRECOMMENDED ACTION:  Approve staff recommendations on the followingConsent Calendar Items: 5 through 25.5.Excused AbsencesDepartment(s): Clerk of the Council OfficeRecommended Action: Excuse the absent members.6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THECITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKINGMETERSFirst reading at the November 2, 2021 City Council meeting and approved by a vote of7­0.Published in the Orange County Reporter on November 5, 2021.Department(s): Public Works AgencyRecommended Action: Place ordinance on second reading and adopt.7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Worksand up to $250,000 for Public Works Authorized by the City Manager as Permitted byCharter Section 421Department(s): Finance and Management ServicesRecommended Action: Receive and file Quarterly Report of Contracts entered intobetween July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­publicworks contracts and agreements and up to $250,000 for public works contracts andagreements. 8.Receive and File Quarterly Report of Investments as of September 30, 2021Department(s): Finance and Management ServicesRecommended Action: Receive and file.9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/SafetyGloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed$300,000 Over the Two­Year Term, with Three One­Year Renewal Options(Specification No. 21­101) (General Fund)Department(s): Police DepartmentRecommended Action: Award blanket order contracts to JC Dental Supply andMedzon Health to provide nitrile examination gloves for a two­year period beginningNovember 16, 2021 and expiring November 15, 2023 in the annual aggregate amountof $150,000 for a total aggregate amount not to exceed $300,000 over the two­yearperiod, with provisions for three one­year renewals by mutual agreement. Subject tonon­substantive changes approved by the City Manager and City Attorney.10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional FordPolice Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­053) (Non­General Fund)Department(s): Public Works Agency, Police DepartmentRecommended Action: Amend the contract with Fairway Ford Sales, Inc., topurchase 25 additional Ford Police Interceptor vehicles for the Santa Ana PoliceDepartment, for a total amount not to exceed $1,068,909.50 (including a $20,000contingency), subject to non­substantive changes approved by the City Manager andCity Attorney. 11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) toIncrease Contract Renewal Amount by $200,000 for the Remaining Three RenewalPeriods (Specification No. 20­007) (Non­General Fund) Department(s): Public Works AgencyRecommended Action: Amend the purchase order contract with Stommel, Inc., (dbaLehr Auto Electric) for police vehicle conversion equipment and installation servicesby increasing the contract renewal amount $250,000, for an annual amount not toexceed $450,000 and a total contract amount not to exceed $1,350,000 for theremaining three, one­year renewal periods, subject to non­substantive changesapproved by the City Manager and City Attorney.12.Amend Purchase Order Contract with All American Asphalt to Increase the AnnualAmount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: Authorize the City Manager to execute an amendment to thePurchase Order Contract with All American Asphalt for asphalt pothole repair, toincrease the annual amount by $147,800, for a total annual amount not to exceed$697,800, for the remaining term of the agreement ending on November 30, 2021,with two optional one­year renewal options exercisable by the City Manager and CityAttorney, subject to non­substantive changes approved by the City Manager and CityAttorney. 13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of$360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an EstimatedProject Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to CJ ConcreteConstruction, Inc, the lowest responsible bidder, in accordance with the base bid inthe amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­22, for the term beginning January 3, 2022, and ending upon project completion, andauthorize the City Manager to execute the contract subject to non­substantive changesapproved by the City Manager and the City Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$594,210.50, which includes $360,183 for the construction contract; $54,027.50 forcontract administration, inspection and testing; and a $180,000 project contingencyfor unanticipated or unforeseen work.14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in theAmount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­6466) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to Stephen DoreckEquipment Rentals, Inc., the lowest responsible bidder, in accordance with the basebid in the amount of $1,265,465, for construction of the Grovemont Street Water MainImprovements FY 2021­22 Project, for the term beginning January 3, 2022, andending upon project completion, and authorize the City Manager to execute thecontract subject to non­substantive changes approved by the City Manager and theCity Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$1,645,105, which includes $1,265,465 for the construction contract; $189,820 forcontract administration, inspection and testing; and $189,820 in project contingencyfor unanticipated or unforeseen work.15.Approve an Agreement with Service First Contractors Network dba Service First forFountain Maintenance Services located at the Downtown Civic Center, includingPlaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional TransportationCenter (1 Fountain) (Non­General Fund)Department(s): Parks, Recreation, and Community ServicesRecommended Action: Authorize the City Manager to execute an agreement withService First Contractors Network dba Service First to provide fountain maintenanceservices in an annual amount not to exceed $106,170, which includes a 20%contingency, for a term from January 1, 2022 through December 31, 2023, with two,one­year renewal options for a total amount not to exceed $424,680, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 16.Agreement with Patrol Solutions, LLC for unarmed security guard services forDowntown Santa Ana and Civic Center area (Revive Santa Ana Program)Department(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute an agreement withPatrol Solutions, LLC for unarmed security services for Downtown Santa Ana andCivic Center area, for a one­year term, in the amount of $185,990, beginningNovember 16, 2021 through November 15, 2022, with an option of two one­yearextensions, for a total aggregate amount not to exceed $545,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources,and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in anAmount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Authorize the City Manager to execute an agreement withSantolucito Doré Group, Inc., to provide completion of final close­out work perCaltrans requirements and property appraisal services, on an as needed basis, in anamount not to exceed $149,500, for a three­year term beginning November 16, 2021and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. Authorize the City Manager to execute agreements with Santolucito Doré Group,Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­way property appraisal services, in a shared aggregate amount not to exceed$300,000, for a three­year term beginning November 16, 2021 and expiringNovember 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX).18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­CallRight­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an AmountNot to Exceed $649,500 for a Three­Year Term (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Authorize the City Manager to execute an agreement withMonument ROW to provide completion of final close­out work per Caltransrequirements, acquisition maintenance, and a relocation assistance program, in anamount not to exceed $149,500 for a three­year term beginning November 16, 2021,and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. Authorize the City Manager to execute agreements with Monument ROW andOverland, Pacific & Cutler LLC to provide completion of final close­out work,acquisition maintenance, and a relocation assistance program, in a shared aggregateamount not to exceed $500,000 for a three­year term beginning November 16, 2021,and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).19.Approve an Agreement with Arch Insurance Company to Take Over the San LorenzoSewage Lift Station Project (Project No. 06­3510) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: Authorize the City Manager to execute an agreement withArch Insurance Company to take over the San Lorenzo Sewage Lift Station Projectand be responsible for the completion of all work in accordance with the contractsubject to non­substantive changes approved by City Manager and City Attorney(Agreement No. 2021­XXX).20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA GlobalPayments, for Debit and Credit Card Merchant Payment Processing Services,including Europay, MasterCard, Visa and e­Commerce Gateway TransactionIntegration and Support in the Amount not to Exceed $172,500, which Includes aGeneral Contingency of $22,500Department(s): Finance and Management ServicesRecommended Action: Authorize the City Manager to execute a renewalagreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit andcredit card payment processing services, including Europay, MasterCard, and Visaand e­Commerce gateway transaction integration and support in an amount not toexceed $172,500, which includes a general contingency of $22,500.  The renewalagreement shall commence November 16, 2021, and expire June 30, 2022, and willcover all services provided by Consultant since July 1, 2021, subject to non­substantive changes approved by City Manager and City Attorney (Agreement No.2021­XXX).21.Approve an Amendment to Agreement with Salvation Army to Operate a TemporaryShelter at the Hospitality House for One Additional Month (Non­General Fund)Department(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute:1. An amendment to the agreement with Salvation Army to continue to operate atemporary shelter at the Hospitality House through January 31, 2022 for an additionalamount of $130,000, for a total aggregate amount not to exceed $910,000, subject tonon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. A first amendment, and any future amendments, to the agreement with SalvationArmy to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­CV) funds to operate the shelter at the Hospitality House through January 31, 2022,for a total aggregate amount not to exceed $910,000, subject to non­substantivechanges approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 22.Approve a Second Amendment to Illumination Foundation Agreement to Operate aTemporary Shelter at the Fullerton Recuperative Care Center for up to Two AdditionalMonthsDepartment(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute a secondamendment to the agreement with Illumination Foundation to extend the term tooperate a temporary shelter at the Fullerton Recuperative Care Center for up to anadditional two months through January 31, 2022, subject to non­substantive changesapproved by the City Manager and City Attorney (Agreement No.2021­XXX).23.Adopt a Resolution Approving the Events Permit Policy, including Park FacilityPermits, Film Permits, Land Use Certificates, and Special Event PermitsDepartment(s): Parks, Recreation, and Community ServicesRecommended Action: Resolution No. 2021­XXX – Adopt a Resolution approvingthe Events Permit Policy, including park facility permits, film permits, land usecertificates, and special event permits.24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023Measure M2 Comprehensive Transportation Funding Program (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  AdoptResolutions Authorizing the City of Santa Ana to submit applications for fundingconsideration under the Measure M2 Comprehensive Transportation FundingProgram 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX).2. Direct staff to incorporate approved Comprehensive Transportation FundingProgram projects into the Seven­Year Capital Improvement Program for Fiscal Year2022­23.25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive PerformanceEvaluation Conducted on October 19, 2021 and Approving an Amended AnnualSalary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 toEffect Certain Changes to the City’s Master Salary Schedule in Conformance withTitle 2 of the California Code of Regulations Section 570.5 and the California PublicEmployees' Retirement System (CalPERS)Department(s): Human ResourcesRecommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirmingpositive evaluation results and approving an adjusted annual salary for the CityManager, and2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­111 to effect certain changes to the City’s Master Salary Schedule in Conformancewith Title 2 of the California Code of Regulations Section 570.5 and the CaliforniaPublic Employees' Retirement System (CalPERS).**END OF CONSENT CALENDAR**BUSINESS CALENDAR26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order toPrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana ResidentStimulus Program (Revive Santa Ana Program)Department(s): Community Development AgencyRecommended Action: 1. Approve an appropriation adjustment to reallocate$2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for theRevive Santa Ana Resident Stimulus Program. (Requires five affirmative votes)2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for thepurchase of 20,000 $300 pre­paid visa cards.27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing ofCommunity Meetings for Certain Development Projects, Lobbyist Disclosure Policy,and Publishing Timeline for City Council Meeting AgendasDepartment(s): City Manager OfficeRecommended Action: 1. Approve the first reading of an ordinance amending theSunshine Ordinance to expand the number of community meetings for certaindevelopment projects from one to two, increase the radius of distributing noticing ofsaid community meetings from 500 feet of the subject property to 1,000 feet,implement a Lobbyist Registration Policy, and revise the timeline to publish CityCouncil meeting agendas from four days to seven days.2. Approve an appropriation adjustment recognizing $40,000 from prior­year fundbalance in the General Fund and appropriate the same amount to the General Fund,Clerk of the Council Service Enhancement salaries ($10,000) and contractualservices ($30,000) expenditure accounts. (Requires five affirmative votes)**END OF BUSINESS CALENDAR**PUBLIC HEARINGSPUBLIC COMMENTS – Members of the public may address the City Council on eachPublic Hearing item.28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19Incurred by the City for Weed, Rubbish, and Garbage Abatement Within PrivateProperty Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado deOrangeLegal Notice published in the Orange County Reporter on November 5, 2021 andnotices mailed on said date.Department(s): Planning and Building AgencyRecommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming theacceptance of the Weed, Rubbish, and Garbage Abatement report and confirm theCode Enforcement Division description for the recovery of the costs in an amount of$39,604.19, associated with the execution of the Inspection and Abatement Warranton May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en elCondado de Orange.29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of theCity Council of the City of Santa Ana Repealing and Reenacting in its Entirety ArticleXVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the HousingOpportunity OrdinanceLegal Notice published in the Orange County Reporter on November 5, 2021.Department(s): Planning and Building AgencyRecommended Action: Consider the recommendations made by the PlanningCommission and take one of the following options:1. Approve first reading of the Ordinance as presented; or2. Approve first reading of the Ordinance incorporating the changes recommended bythe Planning Commission; or3. Approve first reading of the Ordinance with the incorporation of changes desired bythe City Council.COUNCILMEMBER REQUESTED ITEMS30.Discuss and Consider Directing City Manager to Direct Staff to Introduce anOrdinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza31.Discuss and Consider Directing City Manager to Direct Staff to Introduce anOrdinance Establishing Regulations Prohibiting the Unlawful Possession of CatalyticConverters in the City – Councilmember LopezCITY MANAGER COMMENTSCOUNCIL COMMENTSAB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time formembers of the Council to provide a brief oral report on attendance of any regional board orcommission meeting or any conference, meeting or event attended. ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authority meeting. Adjourn in memory of Dr. Gaston Cilliani Future Items 1. Mental Health Mobile Outreach Services 2. General Plan Update 3. Housing Element Update SPECIAL HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vice Chair David Penaloza Chair Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Special Housing Authority agenda.  CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Item: 1. 1.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR JOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY 2.Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 15 11/16/2021 City Council and Special Housing AuthorityMeeting PacketNovember 16, 2021CLOSED SESSION MEETING – 5:00 PMREGULAR OPEN MEETING – 5:45 PM (Immediately following the Closed Session Meeting)CITY COUNCIL CHAMBER22 Civic Center Plaza Santa Ana, CA 92701Vicente SarmientoMayorThai Viet PhanCouncilmember – Ward 1 David PenalozaMayor Pro Tem ­ Ward 2Jessie LopezCouncilmember ­ Ward 3 Phil BacerraCouncilmember ­ Ward 4Johnathan Ryan HernandezCouncilmember ­ Ward 5 Nelida MendozaCouncilmember ­ Ward 6Mayor and Council telephone: 714­647­6900Agenda item inquiries: 714­647­6520Sonia R. CarvalhoCity Attorney Kristine RidgeCity Manager Daisy GomezClerk of the CouncilIn compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting,contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enablethe City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supportingdocumentation can be found on the City’s website – www.santa­ana.org/city­meetings.CITY VISION AND CODE OF ETHICSThe City of Santa Ana is committed to achieving a shared vision for the organization and itscommunity. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtfuland inclusive process designed to set the City and organization on a course that meets thechallenges of today and tomorrow, as follows:Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment inyouth • Safe and healthy community • Neighborhood pride • Thriving economic climate •Enriched and diverse culture • Quality government servicesMission ­ To deliver efficient public services in partnership with our community which ensurespublic safety, a prosperous economic environment, opportunities for our youth, and a highquality of life for residents.Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility •Innovation • TransparencyCode of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008,voters approved an amendment to the City Charter which established the Code of Ethics andConduct for elected officials and members of appointed boards, commissions, andcommittees to assure public confidence. The following are the core values expressed: •Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • EfficiencyResolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, isset to expire on December 2, 2021. Therefore, virtual participation for City Councilmeetings will no longer be available beginning December 3, 2021.Members of the public may attend the City Council meeting in­person or join via Zoom. TheCity Council meeting will occur live via teleconference Zoom webinar. You may view themeeting from your computer, tablet or smart phone via YouTube LiveStream atwww.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 andAT&T U­verse channel 99.PUBLIC COMMENTS – Members of the public who wish to address the City Council onclosed session items, items on the regular agenda or on matters which are not on theagenda, but are within the subject matter jurisdiction of the City Council may do so by one ofthe following ways:MAILING OPTION written communications – Public comments may be mailed to:Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA92701. All written communications received via mail by 4:00 p.m. on the day of themeeting will be distributed to the City Council and imaged into the City’s documentarchive system which is available for public review.SENDING E­MAIL OPTION – Public comments may be sent via email to the CityClerk’s office at eComment@santa­ana.org. Please note the agenda item you arecommenting on in the subject line of the email. All emails received before 4:00 p.m. onthe day of the meeting will be distributed to the City Council and imaged into the City’sdocument archive system which is available for public review.LIVE VIRTUAL OPTION – Members of the public may provide live comments duringthe meeting by Zoom or Conference Call. To join by Zoom click on or type the followingaddress into your web browser https://us02web.zoom.us/j/315965149. To join theConference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You willbe prompted by the City Clerk when it is time for a: i) closed session item, ii)general agenda item, iii) public hearing item, iv) special agenda item, or v) for HousingAuthority item. You may request to speak by dialing *9 from your phone or you mayvirtually raise your hand from Zoom. After the Clerk confirms the last three digits of thecaller’s phone number or Zoom ID and unmutes them, the caller must press *6 ormicrophone icon to speak. Callers are encouraged, but not required, to identifythemselves by name. Each caller will be provided three (3) minutes to speak, unlessdue to the number of speakers wanting to speak a decision is made to provide adifferent amount of time to speak.IN­PERSON OPTION ­ Members of the public can provide in­person comments at thepodium in the Council Chamber. The Council Chamber will have seating available formembers of the public to attend the meeting in­person up to full capacity. Facecoverings are optional for members of the public who enter City buildings who havebeen vaccinated against COVID­19. Public comments are limited to three (3) minutesper speaker, unless a different time is announced by the presiding chair. Speakers whowish to address the Council must do so by submitting a “Request to Speak” cardby 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designatedpublic comment periods as listed below. Cards will not be accepted after the PublicComment Session begins without the permission of the presiding chair.The following designated public comment periods are:1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide livecomments on closed session items by joining Zoom or the Conference Call as described inthe LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will openat 4:30 p.m.2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDAITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom orthe Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTSOPTION above. Speaker queue will open at 4:30 p.m. 3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. 4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. About the AgendaTo download or view the attachments (staff report and other supporting documentation) foreach agenda item, you must select the agenda item to see the attachments to either open ina new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ).CLOSED SESSIONCALL TO ORDERATTENDANCE Council Members Phil BacerraJohnathan Ryan HernandezJessie LopezNelida MendozaThai Viet PhanMayor  Pro Tem David PenalozaMayorVicente SarmientoCity Manager Kristine RidgeCity Attorney Sonia R. CarvalhoClerk of the Council Daisy GomezPUBLIC COMMENTS – Members of the public may address the City Council on ClosedSession items.CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certainmatters without members of the public present. The City Council finds, based on advice fromthe City Attorney, that discussion in open session of the following matters will prejudice theposition of the City in existing and anticipated litigation:CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph(1) of subdivision (d) of Section 54956.9 of the Government Code:A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SACV 20­0069­DOC (DFMx)B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken atthe Regular Open Session which will begin immediately following the Closed Session.RECESS – City Council will recess to Closed Session for the purpose of conducting regularCity business.RECONVENE – City Council will reconvene to continue regular City business.CITY COUNCIL REGULAR OPEN SESSIONCALL TO ORDERROLL CALLPLEDGE OF ALLEGIANCE Mayor SarmientoINVOCATIONRupert Vega, Police ChaplainCEREMONIAL PRESENTATIONS1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphonyfor Outstanding Contributions to Arts and Culture.2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) andPJ Vegas representing the Yoeme Tribe declaring November 2021 as Native AmericanHeritage Month.3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan,posthumously, for his Outstanding Service to our Country.STAFF PRESENTATIONS4.Homeless UpdateCLOSED SESSION REPORT – The City Attorney will report on any action(s) from ClosedSession.PUBLIC COMMENT – Public comments will be held during the beginning of the meeting forALL comments on agenda and non­agenda items, with the exception of public hearings.Comments for public hearings will take place after the hearing is opened.CONSENT CALENDARRECOMMENDED ACTION:  Approve staff recommendations on the followingConsent Calendar Items: 5 through 25.5.Excused AbsencesDepartment(s): Clerk of the Council OfficeRecommended Action: Excuse the absent members.6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THECITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKINGMETERSFirst reading at the November 2, 2021 City Council meeting and approved by a vote of7­0.Published in the Orange County Reporter on November 5, 2021.Department(s): Public Works AgencyRecommended Action: Place ordinance on second reading and adopt.7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Worksand up to $250,000 for Public Works Authorized by the City Manager as Permitted byCharter Section 421Department(s): Finance and Management ServicesRecommended Action: Receive and file Quarterly Report of Contracts entered intobetween July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­publicworks contracts and agreements and up to $250,000 for public works contracts andagreements. 8.Receive and File Quarterly Report of Investments as of September 30, 2021Department(s): Finance and Management ServicesRecommended Action: Receive and file.9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/SafetyGloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed$300,000 Over the Two­Year Term, with Three One­Year Renewal Options(Specification No. 21­101) (General Fund)Department(s): Police DepartmentRecommended Action: Award blanket order contracts to JC Dental Supply andMedzon Health to provide nitrile examination gloves for a two­year period beginningNovember 16, 2021 and expiring November 15, 2023 in the annual aggregate amountof $150,000 for a total aggregate amount not to exceed $300,000 over the two­yearperiod, with provisions for three one­year renewals by mutual agreement. Subject tonon­substantive changes approved by the City Manager and City Attorney.10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional FordPolice Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­053) (Non­General Fund)Department(s): Public Works Agency, Police DepartmentRecommended Action: Amend the contract with Fairway Ford Sales, Inc., topurchase 25 additional Ford Police Interceptor vehicles for the Santa Ana PoliceDepartment, for a total amount not to exceed $1,068,909.50 (including a $20,000contingency), subject to non­substantive changes approved by the City Manager andCity Attorney. 11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) toIncrease Contract Renewal Amount by $200,000 for the Remaining Three RenewalPeriods (Specification No. 20­007) (Non­General Fund) Department(s): Public Works AgencyRecommended Action: Amend the purchase order contract with Stommel, Inc., (dbaLehr Auto Electric) for police vehicle conversion equipment and installation servicesby increasing the contract renewal amount $250,000, for an annual amount not toexceed $450,000 and a total contract amount not to exceed $1,350,000 for theremaining three, one­year renewal periods, subject to non­substantive changesapproved by the City Manager and City Attorney.12.Amend Purchase Order Contract with All American Asphalt to Increase the AnnualAmount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: Authorize the City Manager to execute an amendment to thePurchase Order Contract with All American Asphalt for asphalt pothole repair, toincrease the annual amount by $147,800, for a total annual amount not to exceed$697,800, for the remaining term of the agreement ending on November 30, 2021,with two optional one­year renewal options exercisable by the City Manager and CityAttorney, subject to non­substantive changes approved by the City Manager and CityAttorney. 13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of$360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an EstimatedProject Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to CJ ConcreteConstruction, Inc, the lowest responsible bidder, in accordance with the base bid inthe amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­22, for the term beginning January 3, 2022, and ending upon project completion, andauthorize the City Manager to execute the contract subject to non­substantive changesapproved by the City Manager and the City Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$594,210.50, which includes $360,183 for the construction contract; $54,027.50 forcontract administration, inspection and testing; and a $180,000 project contingencyfor unanticipated or unforeseen work.14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in theAmount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­6466) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to Stephen DoreckEquipment Rentals, Inc., the lowest responsible bidder, in accordance with the basebid in the amount of $1,265,465, for construction of the Grovemont Street Water MainImprovements FY 2021­22 Project, for the term beginning January 3, 2022, andending upon project completion, and authorize the City Manager to execute thecontract subject to non­substantive changes approved by the City Manager and theCity Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$1,645,105, which includes $1,265,465 for the construction contract; $189,820 forcontract administration, inspection and testing; and $189,820 in project contingencyfor unanticipated or unforeseen work.15.Approve an Agreement with Service First Contractors Network dba Service First forFountain Maintenance Services located at the Downtown Civic Center, includingPlaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional TransportationCenter (1 Fountain) (Non­General Fund)Department(s): Parks, Recreation, and Community ServicesRecommended Action: Authorize the City Manager to execute an agreement withService First Contractors Network dba Service First to provide fountain maintenanceservices in an annual amount not to exceed $106,170, which includes a 20%contingency, for a term from January 1, 2022 through December 31, 2023, with two,one­year renewal options for a total amount not to exceed $424,680, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 16.Agreement with Patrol Solutions, LLC for unarmed security guard services forDowntown Santa Ana and Civic Center area (Revive Santa Ana Program)Department(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute an agreement withPatrol Solutions, LLC for unarmed security services for Downtown Santa Ana andCivic Center area, for a one­year term, in the amount of $185,990, beginningNovember 16, 2021 through November 15, 2022, with an option of two one­yearextensions, for a total aggregate amount not to exceed $545,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources,and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in anAmount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Authorize the City Manager to execute an agreement withSantolucito Doré Group, Inc., to provide completion of final close­out work perCaltrans requirements and property appraisal services, on an as needed basis, in anamount not to exceed $149,500, for a three­year term beginning November 16, 2021and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. Authorize the City Manager to execute agreements with Santolucito Doré Group,Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­way property appraisal services, in a shared aggregate amount not to exceed$300,000, for a three­year term beginning November 16, 2021 and expiringNovember 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX).18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­CallRight­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an AmountNot to Exceed $649,500 for a Three­Year Term (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Authorize the City Manager to execute an agreement withMonument ROW to provide completion of final close­out work per Caltransrequirements, acquisition maintenance, and a relocation assistance program, in anamount not to exceed $149,500 for a three­year term beginning November 16, 2021,and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. Authorize the City Manager to execute agreements with Monument ROW andOverland, Pacific & Cutler LLC to provide completion of final close­out work,acquisition maintenance, and a relocation assistance program, in a shared aggregateamount not to exceed $500,000 for a three­year term beginning November 16, 2021,and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).19.Approve an Agreement with Arch Insurance Company to Take Over the San LorenzoSewage Lift Station Project (Project No. 06­3510) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: Authorize the City Manager to execute an agreement withArch Insurance Company to take over the San Lorenzo Sewage Lift Station Projectand be responsible for the completion of all work in accordance with the contractsubject to non­substantive changes approved by City Manager and City Attorney(Agreement No. 2021­XXX).20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA GlobalPayments, for Debit and Credit Card Merchant Payment Processing Services,including Europay, MasterCard, Visa and e­Commerce Gateway TransactionIntegration and Support in the Amount not to Exceed $172,500, which Includes aGeneral Contingency of $22,500Department(s): Finance and Management ServicesRecommended Action: Authorize the City Manager to execute a renewalagreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit andcredit card payment processing services, including Europay, MasterCard, and Visaand e­Commerce gateway transaction integration and support in an amount not toexceed $172,500, which includes a general contingency of $22,500.  The renewalagreement shall commence November 16, 2021, and expire June 30, 2022, and willcover all services provided by Consultant since July 1, 2021, subject to non­substantive changes approved by City Manager and City Attorney (Agreement No.2021­XXX).21.Approve an Amendment to Agreement with Salvation Army to Operate a TemporaryShelter at the Hospitality House for One Additional Month (Non­General Fund)Department(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute:1. An amendment to the agreement with Salvation Army to continue to operate atemporary shelter at the Hospitality House through January 31, 2022 for an additionalamount of $130,000, for a total aggregate amount not to exceed $910,000, subject tonon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. A first amendment, and any future amendments, to the agreement with SalvationArmy to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­CV) funds to operate the shelter at the Hospitality House through January 31, 2022,for a total aggregate amount not to exceed $910,000, subject to non­substantivechanges approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 22.Approve a Second Amendment to Illumination Foundation Agreement to Operate aTemporary Shelter at the Fullerton Recuperative Care Center for up to Two AdditionalMonthsDepartment(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute a secondamendment to the agreement with Illumination Foundation to extend the term tooperate a temporary shelter at the Fullerton Recuperative Care Center for up to anadditional two months through January 31, 2022, subject to non­substantive changesapproved by the City Manager and City Attorney (Agreement No.2021­XXX).23.Adopt a Resolution Approving the Events Permit Policy, including Park FacilityPermits, Film Permits, Land Use Certificates, and Special Event PermitsDepartment(s): Parks, Recreation, and Community ServicesRecommended Action: Resolution No. 2021­XXX – Adopt a Resolution approvingthe Events Permit Policy, including park facility permits, film permits, land usecertificates, and special event permits.24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023Measure M2 Comprehensive Transportation Funding Program (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  AdoptResolutions Authorizing the City of Santa Ana to submit applications for fundingconsideration under the Measure M2 Comprehensive Transportation FundingProgram 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX).2. Direct staff to incorporate approved Comprehensive Transportation FundingProgram projects into the Seven­Year Capital Improvement Program for Fiscal Year2022­23.25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive PerformanceEvaluation Conducted on October 19, 2021 and Approving an Amended AnnualSalary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 toEffect Certain Changes to the City’s Master Salary Schedule in Conformance withTitle 2 of the California Code of Regulations Section 570.5 and the California PublicEmployees' Retirement System (CalPERS)Department(s): Human ResourcesRecommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirmingpositive evaluation results and approving an adjusted annual salary for the CityManager, and2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­111 to effect certain changes to the City’s Master Salary Schedule in Conformancewith Title 2 of the California Code of Regulations Section 570.5 and the CaliforniaPublic Employees' Retirement System (CalPERS).**END OF CONSENT CALENDAR**BUSINESS CALENDAR26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order toPrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana ResidentStimulus Program (Revive Santa Ana Program)Department(s): Community Development AgencyRecommended Action: 1. Approve an appropriation adjustment to reallocate$2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for theRevive Santa Ana Resident Stimulus Program. (Requires five affirmative votes)2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for thepurchase of 20,000 $300 pre­paid visa cards.27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing ofCommunity Meetings for Certain Development Projects, Lobbyist Disclosure Policy,and Publishing Timeline for City Council Meeting AgendasDepartment(s): City Manager OfficeRecommended Action: 1. Approve the first reading of an ordinance amending theSunshine Ordinance to expand the number of community meetings for certaindevelopment projects from one to two, increase the radius of distributing noticing ofsaid community meetings from 500 feet of the subject property to 1,000 feet,implement a Lobbyist Registration Policy, and revise the timeline to publish CityCouncil meeting agendas from four days to seven days.2. Approve an appropriation adjustment recognizing $40,000 from prior­year fundbalance in the General Fund and appropriate the same amount to the General Fund,Clerk of the Council Service Enhancement salaries ($10,000) and contractualservices ($30,000) expenditure accounts. (Requires five affirmative votes)**END OF BUSINESS CALENDAR**PUBLIC HEARINGSPUBLIC COMMENTS – Members of the public may address the City Council on eachPublic Hearing item.28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19Incurred by the City for Weed, Rubbish, and Garbage Abatement Within PrivateProperty Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado deOrangeLegal Notice published in the Orange County Reporter on November 5, 2021 andnotices mailed on said date.Department(s): Planning and Building AgencyRecommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming theacceptance of the Weed, Rubbish, and Garbage Abatement report and confirm theCode Enforcement Division description for the recovery of the costs in an amount of$39,604.19, associated with the execution of the Inspection and Abatement Warranton May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en elCondado de Orange.29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of theCity Council of the City of Santa Ana Repealing and Reenacting in its Entirety ArticleXVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the HousingOpportunity OrdinanceLegal Notice published in the Orange County Reporter on November 5, 2021.Department(s): Planning and Building AgencyRecommended Action: Consider the recommendations made by the PlanningCommission and take one of the following options:1. Approve first reading of the Ordinance as presented; or2. Approve first reading of the Ordinance incorporating the changes recommended bythe Planning Commission; or3. Approve first reading of the Ordinance with the incorporation of changes desired bythe City Council.COUNCILMEMBER REQUESTED ITEMS30.Discuss and Consider Directing City Manager to Direct Staff to Introduce anOrdinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza31.Discuss and Consider Directing City Manager to Direct Staff to Introduce anOrdinance Establishing Regulations Prohibiting the Unlawful Possession of CatalyticConverters in the City – Councilmember LopezCITY MANAGER COMMENTSCOUNCIL COMMENTSAB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time formembers of the Council to provide a brief oral report on attendance of any regional board orcommission meeting or any conference, meeting or event attended.ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authoritymeeting.Adjourn in memory of Dr. Gaston CillianiFuture Items 1. Mental Health Mobile Outreach Services 2. General Plan Update 3. Housing Element Update SPECIAL HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vice Chair David Penaloza Chair Vicente Sarmiento City Manager Kristine Ridge City Attorney Sonia R. Carvalho Clerk of the Council Daisy Gomez PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Special Housing Authority agenda.  CONSENT CALENDAR RECOMMENDED ACTION:  Approve staff recommendations on the following Consent Calendar Item: 1. 1.Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR JOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY 2.Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 16 11/16/2021 City Council and Special Housing AuthorityMeeting PacketNovember 16, 2021CLOSED SESSION MEETING – 5:00 PMREGULAR OPEN MEETING – 5:45 PM (Immediately following the Closed Session Meeting)CITY COUNCIL CHAMBER22 Civic Center Plaza Santa Ana, CA 92701Vicente SarmientoMayorThai Viet PhanCouncilmember – Ward 1 David PenalozaMayor Pro Tem ­ Ward 2Jessie LopezCouncilmember ­ Ward 3 Phil BacerraCouncilmember ­ Ward 4Johnathan Ryan HernandezCouncilmember ­ Ward 5 Nelida MendozaCouncilmember ­ Ward 6Mayor and Council telephone: 714­647­6900Agenda item inquiries: 714­647­6520Sonia R. CarvalhoCity Attorney Kristine RidgeCity Manager Daisy GomezClerk of the CouncilIn compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting,contact Michael Ortiz, City ADA Program Coordinator, at (714) 647­5624. Notification 48 hours prior to the Meeting will enablethe City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supportingdocumentation can be found on the City’s website – www.santa­ana.org/city­meetings.CITY VISION AND CODE OF ETHICSThe City of Santa Ana is committed to achieving a shared vision for the organization and itscommunity. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtfuland inclusive process designed to set the City and organization on a course that meets thechallenges of today and tomorrow, as follows:Vision ­ The dynamic center of Orange County which is acclaimed for our: Investment inyouth • Safe and healthy community • Neighborhood pride • Thriving economic climate •Enriched and diverse culture • Quality government servicesMission ­ To deliver efficient public services in partnership with our community which ensurespublic safety, a prosperous economic environment, opportunities for our youth, and a highquality of life for residents.Guiding Principles ­ Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility •Innovation • TransparencyCode of Ethics and Conduct ­ At the Special Municipal Election held on February 5, 2008,voters approved an amendment to the City Charter which established the Code of Ethics andConduct for elected officials and members of appointed boards, commissions, andcommittees to assure public confidence. The following are the core values expressed: •Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • EfficiencyResolution No. 2021­066, which allows for teleconferencing pursuant to AB 361, isset to expire on December 2, 2021. Therefore, virtual participation for City Councilmeetings will no longer be available beginning December 3, 2021.Members of the public may attend the City Council meeting in­person or join via Zoom. TheCity Council meeting will occur live via teleconference Zoom webinar. You may view themeeting from your computer, tablet or smart phone via YouTube LiveStream atwww.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3 andAT&T U­verse channel 99.PUBLIC COMMENTS – Members of the public who wish to address the City Council onclosed session items, items on the regular agenda or on matters which are not on theagenda, but are within the subject matter jurisdiction of the City Council may do so by one ofthe following ways:MAILING OPTION written communications – Public comments may be mailed to:Office of the Clerk of the Council, 20 Civic Center Plaza M­30, Santa Ana, CA92701. All written communications received via mail by 4:00 p.m. on the day of themeeting will be distributed to the City Council and imaged into the City’s documentarchive system which is available for public review.SENDING E­MAIL OPTION – Public comments may be sent via email to the CityClerk’s office at eComment@santa­ana.org. Please note the agenda item you arecommenting on in the subject line of the email. All emails received before 4:00 p.m. onthe day of the meeting will be distributed to the City Council and imaged into the City’sdocument archive system which is available for public review.LIVE VIRTUAL OPTION – Members of the public may provide live comments duringthe meeting by Zoom or Conference Call. To join by Zoom click on or type the followingaddress into your web browser https://us02web.zoom.us/j/315965149. To join theConference Call: Dial (669) 900­9128 and enter MEETING ID: 315 965 149#. You willbe prompted by the City Clerk when it is time for a: i) closed session item, ii)general agenda item, iii) public hearing item, iv) special agenda item, or v) for HousingAuthority item. You may request to speak by dialing *9 from your phone or you mayvirtually raise your hand from Zoom. After the Clerk confirms the last three digits of thecaller’s phone number or Zoom ID and unmutes them, the caller must press *6 ormicrophone icon to speak. Callers are encouraged, but not required, to identifythemselves by name. Each caller will be provided three (3) minutes to speak, unlessdue to the number of speakers wanting to speak a decision is made to provide adifferent amount of time to speak.IN­PERSON OPTION ­ Members of the public can provide in­person comments at thepodium in the Council Chamber. The Council Chamber will have seating available formembers of the public to attend the meeting in­person up to full capacity. Facecoverings are optional for members of the public who enter City buildings who havebeen vaccinated against COVID­19. Public comments are limited to three (3) minutesper speaker, unless a different time is announced by the presiding chair. Speakers whowish to address the Council must do so by submitting a “Request to Speak” cardby 5:00 p.m. for Closed Session items and by 6:00 p.m. for all other designatedpublic comment periods as listed below. Cards will not be accepted after the PublicComment Session begins without the permission of the presiding chair.The following designated public comment periods are:1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS – You can provide livecomments on closed session items by joining Zoom or the Conference Call as described inthe LIVE or IN­PERSON PUBLIC COMMENTS OPTION above. Speaker queue will openat 4:30 p.m.2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON­AGENDAITEMS (GENERAL PUBLIC COMMENT) – You can provide comments by joining Zoom orthe Conference Call as described in the LIVE or IN­PERSON PUBLIC COMMENTSOPTION above. Speaker queue will open at 4:30 p.m. 3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. 4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS – You can providecomments by joining Zoom or the Conference Call as described in the LIVE or IN­PERSONPUBLIC COMMENTS OPTION above. About the AgendaTo download or view the attachments (staff report and other supporting documentation) foreach agenda item, you must select the agenda item to see the attachments to either open ina new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ).CLOSED SESSIONCALL TO ORDERATTENDANCE Council Members Phil BacerraJohnathan Ryan HernandezJessie LopezNelida MendozaThai Viet PhanMayor  Pro Tem David PenalozaMayorVicente SarmientoCity Manager Kristine RidgeCity Attorney Sonia R. CarvalhoClerk of the Council Daisy GomezPUBLIC COMMENTS – Members of the public may address the City Council on ClosedSession items.CLOSED SESSION ITEMS – The Brown Act permits legislative bodies to discuss certainmatters without members of the public present. The City Council finds, based on advice fromthe City Attorney, that discussion in open session of the following matters will prejudice theposition of the City in existing and anticipated litigation:CONFERENCE WITH LEGAL COUNSEL ­ EXISTING LITIGATION pursuant to Paragraph(1) of subdivision (d) of Section 54956.9 of the Government Code:A.  City of Santa Ana v. County of Orange, et al, United States District Court Case No. SACV 20­0069­DOC (DFMx)B.  Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)C.  City of Santa Ana v. County of Orange, et al., (Cross­Complaint), U.S. District Court(Central District of California), Case No. SA CV 18­0155­DOC (KESx)CLOSED SESSION REPORT – The City Attorney will report on any action(s) to be taken atthe Regular Open Session which will begin immediately following the Closed Session.RECESS – City Council will recess to Closed Session for the purpose of conducting regularCity business.RECONVENE – City Council will reconvene to continue regular City business.CITY COUNCIL REGULAR OPEN SESSIONCALL TO ORDERROLL CALLPLEDGE OF ALLEGIANCE Mayor SarmientoINVOCATIONRupert Vega, Police ChaplainCEREMONIAL PRESENTATIONS1.Certificate of Recognition presented by Councilmember Bacerra to Pacific Symphonyfor Outstanding Contributions to Arts and Culture.2.Proclamation presented by Councilmember Hernandez to Pat Vegas (Redbone) andPJ Vegas representing the Yoeme Tribe declaring November 2021 as Native AmericanHeritage Month.3.Proclamation presented by Councilmember Mendoza to Sgt. Salvador Lujan,posthumously, for his Outstanding Service to our Country.STAFF PRESENTATIONS4.Homeless UpdateCLOSED SESSION REPORT – The City Attorney will report on any action(s) from ClosedSession.PUBLIC COMMENT – Public comments will be held during the beginning of the meeting forALL comments on agenda and non­agenda items, with the exception of public hearings.Comments for public hearings will take place after the hearing is opened.CONSENT CALENDARRECOMMENDED ACTION:  Approve staff recommendations on the followingConsent Calendar Items: 5 through 25.5.Excused AbsencesDepartment(s): Clerk of the Council OfficeRecommended Action: Excuse the absent members.6.Adopt Ordinance No. NS­XXXX – AN ORDINANCE OF THE CITY COUNCIL OF THECITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36­400 OF CHAPTER 36OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKINGMETERSFirst reading at the November 2, 2021 City Council meeting and approved by a vote of7­0.Published in the Orange County Reporter on November 5, 2021.Department(s): Public Works AgencyRecommended Action: Place ordinance on second reading and adopt.7.Receive and File Quarterly Report of Contracts up to $50,000 for Non­Public Worksand up to $250,000 for Public Works Authorized by the City Manager as Permitted byCharter Section 421Department(s): Finance and Management ServicesRecommended Action: Receive and file Quarterly Report of Contracts entered intobetween July 1, 2021 to September 30, 2021, valued at up to $50,000 for non­publicworks contracts and agreements and up to $250,000 for public works contracts andagreements. 8.Receive and File Quarterly Report of Investments as of September 30, 2021Department(s): Finance and Management ServicesRecommended Action: Receive and file.9.Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/SafetyGloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed$300,000 Over the Two­Year Term, with Three One­Year Renewal Options(Specification No. 21­101) (General Fund)Department(s): Police DepartmentRecommended Action: Award blanket order contracts to JC Dental Supply andMedzon Health to provide nitrile examination gloves for a two­year period beginningNovember 16, 2021 and expiring November 15, 2023 in the annual aggregate amountof $150,000 for a total aggregate amount not to exceed $300,000 over the two­yearperiod, with provisions for three one­year renewals by mutual agreement. Subject tonon­substantive changes approved by the City Manager and City Attorney.10.Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional FordPolice Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21­053) (Non­General Fund)Department(s): Public Works Agency, Police DepartmentRecommended Action: Amend the contract with Fairway Ford Sales, Inc., topurchase 25 additional Ford Police Interceptor vehicles for the Santa Ana PoliceDepartment, for a total amount not to exceed $1,068,909.50 (including a $20,000contingency), subject to non­substantive changes approved by the City Manager andCity Attorney. 11.Amend the Purchase Order Contract With Stommel, Inc.  (dba Lehr Auto Electric) toIncrease Contract Renewal Amount by $200,000 for the Remaining Three RenewalPeriods (Specification No. 20­007) (Non­General Fund) Department(s): Public Works AgencyRecommended Action: Amend the purchase order contract with Stommel, Inc., (dbaLehr Auto Electric) for police vehicle conversion equipment and installation servicesby increasing the contract renewal amount $250,000, for an annual amount not toexceed $450,000 and a total contract amount not to exceed $1,350,000 for theremaining three, one­year renewal periods, subject to non­substantive changesapproved by the City Manager and City Attorney.12.Amend Purchase Order Contract with All American Asphalt to Increase the AnnualAmount by $147,800 for Asphalt Pothole Repair (Specification No. 18­092) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: Authorize the City Manager to execute an amendment to thePurchase Order Contract with All American Asphalt for asphalt pothole repair, toincrease the annual amount by $147,800, for a total annual amount not to exceed$697,800, for the remaining term of the agreement ending on November 30, 2021,with two optional one­year renewal options exercisable by the City Manager and CityAttorney, subject to non­substantive changes approved by the City Manager and CityAttorney. 13.Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of$360,183, for the Omnibus Concrete Repairs FY 2021­22 Project, with an EstimatedProject Delivery Cost of $594,210.50 (Project No. 22­6970) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to CJ ConcreteConstruction, Inc, the lowest responsible bidder, in accordance with the base bid inthe amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021­22, for the term beginning January 3, 2022, and ending upon project completion, andauthorize the City Manager to execute the contract subject to non­substantive changesapproved by the City Manager and the City Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$594,210.50, which includes $360,183 for the construction contract; $54,027.50 forcontract administration, inspection and testing; and a $180,000 project contingencyfor unanticipated or unforeseen work.14.Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in theAmount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021­22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21­6466) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Award a construction contract to Stephen DoreckEquipment Rentals, Inc., the lowest responsible bidder, in accordance with the basebid in the amount of $1,265,465, for construction of the Grovemont Street Water MainImprovements FY 2021­22 Project, for the term beginning January 3, 2022, andending upon project completion, and authorize the City Manager to execute thecontract subject to non­substantive changes approved by the City Manager and theCity Attorney.2. Approve the Project Cost Analysis for a total estimated construction delivery cost of$1,645,105, which includes $1,265,465 for the construction contract; $189,820 forcontract administration, inspection and testing; and $189,820 in project contingencyfor unanticipated or unforeseen work.15.Approve an Agreement with Service First Contractors Network dba Service First forFountain Maintenance Services located at the Downtown Civic Center, includingPlaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional TransportationCenter (1 Fountain) (Non­General Fund)Department(s): Parks, Recreation, and Community ServicesRecommended Action: Authorize the City Manager to execute an agreement withService First Contractors Network dba Service First to provide fountain maintenanceservices in an annual amount not to exceed $106,170, which includes a 20%contingency, for a term from January 1, 2022 through December 31, 2023, with two,one­year renewal options for a total amount not to exceed $424,680, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 16.Agreement with Patrol Solutions, LLC for unarmed security guard services forDowntown Santa Ana and Civic Center area (Revive Santa Ana Program)Department(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute an agreement withPatrol Solutions, LLC for unarmed security services for Downtown Santa Ana andCivic Center area, for a one­year term, in the amount of $185,990, beginningNovember 16, 2021 through November 15, 2022, with an option of two one­yearextensions, for a total aggregate amount not to exceed $545,000, subject to non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX). 17.Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources,and Hennessey & Hennessey LLC for On­Call Property Appraisal Services in anAmount Not to Exceed $449,500, for a Three­Year Term (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Authorize the City Manager to execute an agreement withSantolucito Doré Group, Inc., to provide completion of final close­out work perCaltrans requirements and property appraisal services, on an as needed basis, in anamount not to exceed $149,500, for a three­year term beginning November 16, 2021and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. Authorize the City Manager to execute agreements with Santolucito Doré Group,Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right­of­way property appraisal services, in a shared aggregate amount not to exceed$300,000, for a three­year term beginning November 16, 2021 and expiringNovember 15, 2024, with an option for two, one­year extensions, subject non­substantive changes approved by the City Manager and City Attorney (Agreement No.2021­XXX).18.Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On­CallRight­of­Way Specialty Services ­ Acquisition and Relocation Services ­ in an AmountNot to Exceed $649,500 for a Three­Year Term (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Authorize the City Manager to execute an agreement withMonument ROW to provide completion of final close­out work per Caltransrequirements, acquisition maintenance, and a relocation assistance program, in anamount not to exceed $149,500 for a three­year term beginning November 16, 2021,and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. Authorize the City Manager to execute agreements with Monument ROW andOverland, Pacific & Cutler LLC to provide completion of final close­out work,acquisition maintenance, and a relocation assistance program, in a shared aggregateamount not to exceed $500,000 for a three­year term beginning November 16, 2021,and expiring November 15, 2024, with an option for two, one­year extensions, subjectnon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).19.Approve an Agreement with Arch Insurance Company to Take Over the San LorenzoSewage Lift Station Project (Project No. 06­3510) (Non­General Fund)Department(s): Public Works AgencyRecommended Action: Authorize the City Manager to execute an agreement withArch Insurance Company to take over the San Lorenzo Sewage Lift Station Projectand be responsible for the completion of all work in accordance with the contractsubject to non­substantive changes approved by City Manager and City Attorney(Agreement No. 2021­XXX).20.Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA GlobalPayments, for Debit and Credit Card Merchant Payment Processing Services,including Europay, MasterCard, Visa and e­Commerce Gateway TransactionIntegration and Support in the Amount not to Exceed $172,500, which Includes aGeneral Contingency of $22,500Department(s): Finance and Management ServicesRecommended Action: Authorize the City Manager to execute a renewalagreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit andcredit card payment processing services, including Europay, MasterCard, and Visaand e­Commerce gateway transaction integration and support in an amount not toexceed $172,500, which includes a general contingency of $22,500.  The renewalagreement shall commence November 16, 2021, and expire June 30, 2022, and willcover all services provided by Consultant since July 1, 2021, subject to non­substantive changes approved by City Manager and City Attorney (Agreement No.2021­XXX).21.Approve an Amendment to Agreement with Salvation Army to Operate a TemporaryShelter at the Hospitality House for One Additional Month (Non­General Fund)Department(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute:1. An amendment to the agreement with Salvation Army to continue to operate atemporary shelter at the Hospitality House through January 31, 2022 for an additionalamount of $130,000, for a total aggregate amount not to exceed $910,000, subject tonon­substantive changes approved by the City Manager and City Attorney(Agreement No. 2021­XXX).2. A first amendment, and any future amendments, to the agreement with SalvationArmy to use $130,000 of additional Emergency Solutions Grant Coronavirus (ESG­CV) funds to operate the shelter at the Hospitality House through January 31, 2022,for a total aggregate amount not to exceed $910,000, subject to non­substantivechanges approved by the City Manager and City Attorney (Agreement No. 2021­XXX). 22.Approve a Second Amendment to Illumination Foundation Agreement to Operate aTemporary Shelter at the Fullerton Recuperative Care Center for up to Two AdditionalMonthsDepartment(s): Community Development AgencyRecommended Action: Authorize the City Manager to execute a secondamendment to the agreement with Illumination Foundation to extend the term tooperate a temporary shelter at the Fullerton Recuperative Care Center for up to anadditional two months through January 31, 2022, subject to non­substantive changesapproved by the City Manager and City Attorney (Agreement No.2021­XXX).23.Adopt a Resolution Approving the Events Permit Policy, including Park FacilityPermits, Film Permits, Land Use Certificates, and Special Event PermitsDepartment(s): Parks, Recreation, and Community ServicesRecommended Action: Resolution No. 2021­XXX – Adopt a Resolution approvingthe Events Permit Policy, including park facility permits, film permits, land usecertificates, and special event permits.24.Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022­2023Measure M2 Comprehensive Transportation Funding Program (Non­General Fund)Department(s): Public Works AgencyRecommended Action: 1. Resolution Nos. 2021­XXX and 2021­XXX –  AdoptResolutions Authorizing the City of Santa Ana to submit applications for fundingconsideration under the Measure M2 Comprehensive Transportation FundingProgram 2022 Call for Projects (Agreement Nos. 2021­XXX and 2021­XXX).2. Direct staff to incorporate approved Comprehensive Transportation FundingProgram projects into the Seven­Year Capital Improvement Program for Fiscal Year2022­23.25.City Manager Evaluation and Adopt a i) Resolution to Reflect Positive PerformanceEvaluation Conducted on October 19, 2021 and Approving an Amended AnnualSalary for the City Manager, and ii) Resolution Amending Resolution No. 2019­111 toEffect Certain Changes to the City’s Master Salary Schedule in Conformance withTitle 2 of the California Code of Regulations Section 570.5 and the California PublicEmployees' Retirement System (CalPERS)Department(s): Human ResourcesRecommended Action: 1. Resolution No. 2021­XXX – Adopt a Resolution affirmingpositive evaluation results and approving an adjusted annual salary for the CityManager, and2.  Resolution No. 2021­XXX – Adopt a Resolution amending Resolution No. 2019­111 to effect certain changes to the City’s Master Salary Schedule in Conformancewith Title 2 of the California Code of Regulations Section 570.5 and the CaliforniaPublic Employees' Retirement System (CalPERS).**END OF CONSENT CALENDAR**BUSINESS CALENDAR26.Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order toPrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana ResidentStimulus Program (Revive Santa Ana Program)Department(s): Community Development AgencyRecommended Action: 1. Approve an appropriation adjustment to reallocate$2,600,000 from the ARPA­FMSA Reserve Appropriations account (no. 18110013­69001) to the ARPA­CDA expenditure account (nos. 18118013­various) for theRevive Santa Ana Resident Stimulus Program. (Requires five affirmative votes)2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for thepurchase of 20,000 $300 pre­paid visa cards.27.Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing ofCommunity Meetings for Certain Development Projects, Lobbyist Disclosure Policy,and Publishing Timeline for City Council Meeting AgendasDepartment(s): City Manager OfficeRecommended Action: 1. Approve the first reading of an ordinance amending theSunshine Ordinance to expand the number of community meetings for certaindevelopment projects from one to two, increase the radius of distributing noticing ofsaid community meetings from 500 feet of the subject property to 1,000 feet,implement a Lobbyist Registration Policy, and revise the timeline to publish CityCouncil meeting agendas from four days to seven days.2. Approve an appropriation adjustment recognizing $40,000 from prior­year fundbalance in the General Fund and appropriate the same amount to the General Fund,Clerk of the Council Service Enhancement salaries ($10,000) and contractualservices ($30,000) expenditure accounts. (Requires five affirmative votes)**END OF BUSINESS CALENDAR**PUBLIC HEARINGSPUBLIC COMMENTS – Members of the public may address the City Council on eachPublic Hearing item.28.Public Hearing ­ Recovery cost and Expenditures in an Amount of $39,604.19Incurred by the City for Weed, Rubbish, and Garbage Abatement Within PrivateProperty Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado deOrangeLegal Notice published in the Orange County Reporter on November 5, 2021 andnotices mailed on said date.Department(s): Planning and Building AgencyRecommended Action: Resolution No. 2021­XXX – Adopt a resolution affirming theacceptance of the Weed, Rubbish, and Garbage Abatement report and confirm theCode Enforcement Division description for the recovery of the costs in an amount of$39,604.19, associated with the execution of the Inspection and Abatement Warranton May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en elCondado de Orange.29.Public Hearing ­ Zoning Ordinance Amendment No. 2021­03 ­ An Ordinance of theCity Council of the City of Santa Ana Repealing and Reenacting in its Entirety ArticleXVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the HousingOpportunity OrdinanceLegal Notice published in the Orange County Reporter on November 5, 2021.Department(s): Planning and Building AgencyRecommended Action: Consider the recommendations made by the PlanningCommission and take one of the following options:1. Approve first reading of the Ordinance as presented; or2. Approve first reading of the Ordinance incorporating the changes recommended bythe Planning Commission; or3. Approve first reading of the Ordinance with the incorporation of changes desired bythe City Council.COUNCILMEMBER REQUESTED ITEMS30.Discuss and Consider Directing City Manager to Direct Staff to Introduce anOrdinance to Ban the Sale of Flavored Tobacco Products – Councilmember Mendoza31.Discuss and Consider Directing City Manager to Direct Staff to Introduce anOrdinance Establishing Regulations Prohibiting the Unlawful Possession of CatalyticConverters in the City – Councilmember LopezCITY MANAGER COMMENTSCOUNCIL COMMENTSAB1234 DISCLOSURE – If the City paid for travel or other expenses this is the time formembers of the Council to provide a brief oral report on attendance of any regional board orcommission meeting or any conference, meeting or event attended.ADJOURNMENT – Adjourn the City Council meeting and convene to the Housing Authoritymeeting.Adjourn in memory of Dr. Gaston CillianiFuture Items1. Mental Health Mobile Outreach Services2. General Plan Update3. Housing Element UpdateSPECIAL HOUSING AUTHORITYCALL TO ORDERATTENDANCE Authority Members Phil BacerraJohnathan Ryan HernandezJessie LopezNelida MendozaThai Viet PhanVice Chair David PenalozaChairVicente SarmientoCity Manager Kristine RidgeCity Attorney Sonia R. CarvalhoClerk of the Council Daisy GomezPUBLIC COMMENTS – Members of the public may address Housing Authority on items onthe Special Housing Authority agenda. CONSENT CALENDARRECOMMENDED ACTION:  Approve staff recommendations on the followingConsent Calendar Item: 1.1.Excused AbsencesDepartment(s): Clerk of the Council OfficeRecommended Action: Excuse absent members.**END OF CONSENT CALENDAR**BUSINESS CALENDARJOINT SESSION OF THE CITY COUNCIL AND HOUSING AUTHORITY2.Approve Agreements with Keyser Marston Associates, David Paul Rosen &Associates, and RSG, Inc. for On­Call Affordable Housing Financial, Analytical andAdvisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 Department(s): Community Development Agency Recommended Action: CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on­call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three­year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non­ substantive changes approved by the City Manager, Executive Director, and City Attorney (Agreement No. 2021­XXX). **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT – Adjourn the Housing Authority meeting. City Council 17 11/16/2021 Ordinance No. NS-XXX Page 1 of 2 ORDINANCE NO. NS-XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36- 400 OF CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE REGARDING THE LOCATION OF PARKING METERS 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. Currently, Santa Ana Municipal Code Section 36-400 requires all parking meters to be placed upon the curb alongside of and next to parking spaces; B. Class IV (protected) bikeways have a raised median separating the parking space and the bikeway from the sidewalk; and C. The use of protected bikeways requires modification of Santa Ana Municipal Code Section 36-400 to allow parking meters to be placed on the sidewalk adjacent to parking spaces. Section 2. Section 36-400 of Article VIII entitled “Parking Meters” of Chapter 36 of the Santa Ana Municipal Code is hereby amended to read as follows (new language is underlined and deleted language is stricken): Sec. 36-400. - Location on sidewalk; space markings. All parking meters shall be placed upon the sidewalk alongside of adjacent parking spaces or next to parking spaces. Such parking spaces shall be of sufficient size to accommodate an automobile and shall indicate parallel or diagonal parking by painted lines on the pavement. Section 3. 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. City Council 6 –1 11/16/2021 Ordinance No. NS-XXX Page 2 of 2 Section 4. This ordinance shall become effective thirty (30) days after its adoption. Section 5. The Clerk of Council shall certify the adoption of this ordinance and shall cause the same to be published as required by law. ADOPTED this ____ day of November, 2021. _________________________ Vicente Sarmiento Mayor APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: Laura A. Rossini Chief Assistant City Attorney AYES: Councilmembers: _________________________________ NOES: Councilmembers: _________________________________ ABSTAIN: Councilmembers: _________________________________ NOT PRESENT: Councilmembers: _________________________________ CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS-XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on ______________, 2021, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: ______________________ ________________________________ Daisy Gomez Clerk of the Council City of Santa Ana City Council 6 –2 11/16/2021 Finance and Management Services www.santa-ana.org/finance Item # 7 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Quarterly Report of City Manager Contracts Valued At $50,000 or Less for Non PWA and At $250,000 or Less for PWA AGENDA TITLE: Receive and File Quarterly Report of Contracts up to $50,000 for Non-Public Works and up to $250,000 for Public Works Authorized by the City Manager as Permitted by Charter Section 421 RECOMMENDED ACTION Receive and file Quarterly Report of Contracts entered into between July 1, 2021 to September 30, 2021, valued at up to $50,000 for non-public works contracts and agreements and up to $250,000 for public works contracts and agreements. DISCUSSION Section 421 of the Charter requires the City Manager to submit a Quarterly Report (Report) to the City Council disclosing all contracts approved and executed under her authority for informational purposes. The Report is required to include the names of the contractors and the amounts of each contract along with a brief description. Section 2-748 provides the City Manager contracting authority to enter into non-public works contracts and agreements up to $50,000 and public works contracts and agreements up to $250,000. Exhibit 1 is a listing of all purchase orders and agreements entered into during the period July 1, 2021 to September 30, 2021, valued at amounts between $500 and $50,000 for Non-Public Works and up to $250,000 for Public Works contracts and agreements. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. EXHIBIT(S) 1. Quarterly Report of Contracts – July 1, 2021 – September 30, 2021 City Council 7 –1 11/16/2021 Quarterly Report of Contracts November 16, 2021 Page 2 2 2 3 1 Submitted By: Kathryn Downs, FMSA Executive Director Approved By: Kristine Ridge, City Manager City Council 7 –2 11/16/2021 EXHIBIT 1 No. Date Vendor NameType Number  Agency AmountDescription1 07/01/21 MCMURRAY STERNBOC 6638POL3,000.00$                 SPACESAVER SYSTEM MAINT & REPAIRS2 07/01/21 PVP COMMUNICATIONSBOC 6640POL10,000.00$               MOTOR HELMET & HELMET KIT3 07/01/21 3 STAR SITE SERVICESBOC 6686PWA10,000.00$               RESTROOM & HAND WASH RENTALS4 07/01/21 VORTEX INDUSTRIES INCBOC 6689PWA10,000.00$               DOOR REPAIRS AT WATER RES5 07/01/21 FIRE SAFETY FIRSTBOC 6766PWA10,000.00$               FIRE SYSTEM MAINT/REPAIRS6 07/01/21 FIREMASTERBOC 6767PWA20,000.00$               FIRE EXTINGUISHER SERVICE7 07/01/21 PL HAWNBOC 6768PWA15,000.00$               HVAC FILTERS8 07/01/21 GOLDEN OFFICE TRAILERSBOC 6780PRCS5,000.00$                 TRAILER LEASE FOR THE ZOO9 07/01/21 AAA ELECTRIC MOTOR SALEBOC 6786PWA20,000.00$               ELECTRIC MOTOR REPAIRS10 07/01/21 ALANS LAWNMOWER & GARDEN BOC 6788CITYWIDE 20,000.00$               LANDSCAPE EQUIPMENT & REPAIRS11 07/01/21 ALLIED REFRIGERATIONBOC 6789PWA10,000.00$               REFRIGERATION PARTS & SUPPLIES12 07/01/21 BAT JAC GLASSBOC 6791CITYWIDE 20,000.00$               GLASS REPAIRS & EMERGENCY BOARDUPS13 07/01/21 BEE REMOVERSBOC 6792CITYWIDE5,000.00$                 BEE HARVESTING SERVICES14 07/01/21 BSN SPORTSBOC 6798CITYWIDE 15,000.00$               SPORTS EQUIPT AND SUPPLIES15 07/01/21 CHANDLERS AIR CONDITIONING BOC 6799CITYWIDE 25,000.00$               APPLIANCES REPAIR & MAINT16 07/01/21 CIVIC CENTER LOCK & SAFEBOC 6800CITYWIDE 20,000.00$               LOCKS, KEYS & LOCKSMITH17 07/01/21 CURLEY WHOLESALE ELECTRICBOC 6801CITYWIDE 23,000.00$               MISC ELECTRICAL SUPPLIES18 07/01/21 DISCOUNT SCHOOL SUPPLYBOC 6802PRCS5,000.00$                 EDUCATIONAL MATERIALS FOR19 07/01/21 DIXIE DIESEL & ELECTRICBOC 6803PWA20,000.00$               GENERATOR MAINT & REPAIRS20 07/01/21 DUNCAN PARKINGBOC 6806CDA10,000.00$               PARKING METER PARTS21 07/01/21 EWING IRRIGATIONBOC 6807CITYWIDE 20,000.00$               IRRIGATION SUPPLIES22 07/01/21 GHAIS TREE SERVICEBOC 6808PRCS25,000.00$               TREE & STUMP REMOVAL SERVS23 07/01/21 H L MILLER INCBOC 6809PWA20,000.00$               GEN CONSTRUCTION REPAIRS24 07/01/21 HILLS BROS LOCK & SAFEBOC 6812CITYWIDE 20,000.00$               LOCKSMITH & REPAIR SERVS25 07/01/21 HORIZON DISTRIBUTORSBOC 6813PRCS20,000.00$               LANDSCAPE & IRRIGATION26 07/01/21 HYDROBLASTBOC 6814PRCS20,000.00$               PRESSURE WASHING SERVICES27 07/01/21 IRVINE PIPE & SUPPLY INCBOC 6815CITYWIDE 23,000.00$               NON‐INVENTORY PLUMBING SUPPLIES28 07/01/21 JP GLASS & MIRRORBOC 6816PWA20,000.00$               GLASS REPAIRS & TINTING29 07/01/21 KLUG AUTOMATIONBOC 6817POL25,000.00$               ELECTRONIC SYSTEMS SERVS & PARTS30 07/01/21 LAYNE LABORATORIESBOC 6818PRCS10,000.00$               FROZEN MICE & RATS FOR31 07/01/21 MCFADDEN‐DALE HARDWAREBOC 6821CITYWIDE 20,000.00$               MISC HARDWARE SUPPLIES32 07/01/21 LAKESHORE LEARNINGBOC 6822PRCS5,000.00$                 EDUCATIONAL MATERIALS33 07/01/21 MCMASTER CARR SUPPLYBOC 6823CITYWIDE 20,000.00$               INDUSTRIAL & MATERIAL SUPPLIES3407/01/21 PACIFIC MOBILE STRUCTUREBOC 6828PRCS5,000.00$                 TRAILER LEASE FOR THE ZOOQuarterly Report of Contracts:  July 1 2021 to September 30, 2021Page 1 of 8&nbsp;City Council&nbsp;7 &ndash;&nbsp;311/16/2021&nbsp; No. Date Vendor Name Type Number  Agency Amount Description35 07/01/21 PLAYERS CHOICE BOC 6829 CITYWIDE 20,000.00$               AWARDS, TROPHIES & PLAQUES36 07/01/21 PYRO‐COMM BOC 6831 CITYWIDE 13,000.00$               FIRE ALARM MONITORING37 07/01/21 TREE PROS INC BOC 6833 PRCS 25,000.00$               TREE SERVICES38 07/01/21 WALTERS WHOLESALE BOC 6834 CITYWIDE 20,000.00$               LAMPS, BALLASTS, MISC SUPPLIES39 07/01/21 WHITE CAP CONSTRUCTION BOC 6836 CITYWIDE 25,000.00$               CONST MATERIALS, TOOLS, HARDWARE40 07/01/21 HCI SYSTEMS INC BOC 6844 POL 24,600.00$               FIRE ALARM TESTING, INSPECTIONS41 07/01/21 MUTUAL PROPANE BOC 6877 PWA 5,000.00$                 PROPANE FUEL42 07/01/21 K C PROPANE BOC 6878 PWA 5,000.00$                 PROPANE FUEL43 07/01/21 MEGA OUTDOOR ENTERTAINMENT BOC 6882 PRCS 50,000.00$               MOVIES IN THE PARK44 07/01/21 BIOMETRICS4ALL INC BOC 6896 HR 2,000.00$                 BACKGROUND CHECKS45 07/01/21 NIKKI'S FLAG SHOP BOC 6898 CITYWIDE 20,000.00$               FLAGS46 07/01/21 FUEL PROS INC BOC 6900 PWA 5,000.00$                 UST ANNUAL COMPLIANCE TESTS47 07/01/21 SC SIGNS AND SUPPLIES BOC 6902 CITYWIDE 20,000.00$               SPECIAL ORDER SIGNS48 07/01/21 LONG BEACH BMW MOTORCYCLES BOC 6904 PWA 5,000.00$                 MOTORCYCLE REPAIRS & PARTS49 07/01/21 SMARDAN SUPPLY BOC 6905 CITYWIDE 20,000.00$               NON‐INVENTORY PLUMBING SUPPLIES50 07/01/21 WESSEL MECHANICAL BOC 6907 PWA 15,000.00$               PUMP SERVICES51 07/01/21 PROFESSIONAL ACCESS CCTV BOC 6912 PWA 20,000.00$               SECURA KEY SYSTEM MAINTENANCE52 07/01/21 ARC DOCUMENT SOLUTIONS BOC 6913 CITYWIDE 20,000.00$               REPROGRAPHIC SERVS & TONER53 07/01/21 TOWNSEND SELF STORAGE BOC 6941 PBA 7,500.00$                 STORAGE UNIT RENTAL54 07/01/21 MUNICIPAL MAINTENANCE BOC 6944 PWA 20,000.00$               AUTO PARTS & MAINTENANCE55 07/01/21 BRISTOL SPEEDWASH BOC 6946 CITYWIDE 15,000.00$               VEHICLE WASHES & DETAILS56 07/01/21 MCVICKER & ASSOCIATES BOC 6947 CITYWIDE 16,000.00$               MISC SCREENPRINTED ITEMS57 07/01/21 WAXIE SANITARY SUPPLY BOC 6961 CITYWIDE 15,000.00$               MISC JANITORIAL SUPPLIES58 07/01/21 METROPRO ROAD SERVICES BOC 6982 PWA 20,000.00$               TOWING SERVICES59 07/01/21 MAKO OVERHEAD DOOR BOC 6987 PWA 25,000.00$               OVERHEAD DOOR MAINTENANCE60 07/01/21 VCLOUD TECH INC BOC 7000 CITYWIDE 10,000.00$               ADOBE SOFTWARE LICENSES61 07/01/21 SITEONE LANDSCAPE SUPPLIES BOC 7049 CITYWIDE 25,000.00$               NURSERY SUPPLIES & PLANTS62 07/01/21 WILLSCOT BOC 7050 PWA 25,000.00$               MOBILE OFFICE & RESTROOM63 07/01/21 MCVICKER & ASSOCIATES BOC INV PWA 12,000.00$               BASEBALL STYLE CAPS AND64 07/02/21 WHITE CAP CONSTRUCTION SUPPLY PO 124205 PWA 3,319.19$                 PAINT, SPRAY, MARKING, 17 OZ.65 07/02/21 POPS KETTLE KORN PO 124206 PRCS 9,000.00$                 KETTLE CORN GENERIC BAG66 07/06/21 MAGELLAN ADVISORS, LLC AG N‐2021‐140 IT $               15,000.00 COMMUNITY BROADBAND MARKET SURVEY67 07/06/21 AMBK, INC. DBA BIOSOCAL AG N‐2021‐141 POL $               15,000.00 SCENE CLEANUP/JAIL CELL DECONTAMINATION68 07/06/21 MULTI W SYSTEMS, INC. AG N‐2021‐143 PWA $               50,000.00 SUBMERSIBLE PUMP REPAIR SERVICES69 07/07/21 SHI INTERNATIONAL CORP PO 124208 IT 20,286.00$               SOFTWARE MAINTENANCE RENEWAL70 07/07/21 AEF SYSTEMS CONSULTING AG N‐2021‐144 PRCS 25,000.00$               CONSULTNG SERVS‐MGMT, IT  & SOLUTIONS NEEDS71 07/07/21 KEENAN & ASSOCIATES AG N‐2021‐145 HR $                 3,725.00 VIRTUAL EMPLOYEE BENEFITS FAIR72 07/08/21 EPLUS TECHNOLOGY INC PO 124210 IT 8,980.44$                 3YR KEMP ENTERPRISE PLUS SUBPage 2 of 8&nbsp;City Council&nbsp;7 &ndash;&nbsp;411/16/2021&nbsp; No. Date Vendor Name Type Number  Agency Amount Description73 07/12/21 RON TURLEY ASSOCIATES INC PO 124211 PWA 5,900.00$                 RTA FLEET SOFTWARE TRAINING74 07/12/21 COAST RECREATION INC PO 124212 PRCS 1,013.72$                 PLAYGROUND EQUIPMENT REPLACEMENT PARTS75 07/12/21 PLAYPOWER LT FARMINGTON INC PO 124213 PRCS 682.39$                     PLAYGROUND PARTS76 07/12/21 GAMETIME PO 124214 PRCS 3,350.80$                 PLAYGROUND PARTS77 07/12/21 HOME AID AG N‐2021‐146 CDA $               41,937.50 MOVE FAMILIES INTO PERMANENT HOUSING78 07/13/21 HILLSBOROUGH FENCE COM PO 124215 PRCS 1,760.00$                 FURNISH & INSTALL GATE79 07/13/21 P W GILLIBRAND CO INC PO 124216 PRCS 4,739.94$                 SILICA # 20 SAND80 07/13/21 TVL INC PO 124217 POL 2,590.14$                 WISETRACK CORE 5 USER SUPPORT81 07/13/21 CARAHSOFT TECHNOLOGY CORP PO 124218 CDA 4,381.60$                 DOCUSIGN GVT SOFTWARE RENEWAL82 07/13/21 ORANGE, COUNTY OF AG N‐2021‐147 POL $               16,661.00 COMPREHENSIVE EMERGENCY MANAGEMENT 83 07/13/21 ORANGE, COUNTY OF AG N‐2021‐148 POL $               45,724.00 COMPREHENSIVE EMERGENCY MANAGEMENT 84 07/13/21 BARBOZA & ASSOCIATES AG N‐2021‐149 HR $               50,000.00 PERSONNEL INVESTIGATION & LEGAL ADVICE85 07/16/21 GOVCONNECTION INC PO 124220 IT 6,321.13$                 SOFTWARE MAINT RENEWAL86 07/19/21 SAFETY DYNAMICS GROUP, INC PO 124223 HR 2,500.00$                 ONSITE TRAINING, CPR/AED/1ST AID, ETC87 07/19/21 B&H PHOTO VIDEO PO 124224 FMS 719.17$                     AFTERSHOKZ AIR HEADPHONES88 07/19/21 EPLUS TECHNOLOGY INC PO 124226 POL 3,835.76$                 CISCO CATALYST 2960‐X 24 GIGE89 07/19/21 COAST RECREATION INC PO 124227 PRCS 3,605.36$                 PLAYGROUND REPLACEMENT PARTS90 07/20/21 NAKA ENGINEERING & CONSTRUCTIO PO 124228 PRCS 24,800.00$               CONSTRUCT CONCRETE PAD91 07/22/21 BROWNELLS INC PO 124232 POL 889.77$                     COTTON APPLICATORS92 07/22/21 PROSPECTRA CONTRACT FLOORING PO 124233 PWA 100,799.00$             2ND FLOOR FLOORING REPLACEMENT93 07/22/21 JADTEC SECURITYAG N‐2021‐151 POL $                 1,299.82 MONITORING SERVICES FOR SIGNALING SYSTEM 94 07/22/21 DOWNTOWN, INC AG N‐2021‐152 CDA $               50,000.00 DOWNTOWN CLEAN AND SAFE PROGRAM95 07/26/21 MARIA TORRES DE MARQUEZ AG N‐2021‐153 CAO $               25,000.00 SETTLEMENT AGREEMENT 96 07/27/21 ORANGE COUNTY DEMOLITION INC PO 124237 PRCS 3,056.00$                 DEMO SMALL STRUCTURE97 07/27/21 CENTRAL NEBRASKA PACKING INC PO 124238 PRCS 2,270.48$                 NEBRASKA BRAND FOOD‐ZOO ANIMALS98 07/27/21 DAVE BANG ASSOCIATES INC PO 124239 PRCS 10,706.50$               RUBBER SURFACING99 07/27/21 GREENFIELDS OUTDOOR FITNESS PO 124240 PRCS 1,105.62$                 SPORTS EQUIPT PARTS100 07/28/21 MCVICKER & ASSOCIATES PO 124241 LIB 2,364.73$                 JOB FAIR SUPPLIES: TOTE, PADFOLIO, ETC101 07/28/21 BACKYARD X‐SCAPES PO 124242 PRCS 10,108.10$               EUCALYPTUS DROPPER POLE102 07/29/21 LOWRY SOLUTIONS INC PO 124245 LIB 2,986.79$                 BARCODE CODABAR/TWO‐PART/DIGITEK103 07/29/21 GIROUX GLASS INC PO 124246 POL 27,473.00$               ATRIUM GLASS REPLACEMENT104 07/29/21 HILLSBOROUGH FENCE COM PO 124247 PRCS 13,579.00$               NEW FENCE AND GATE105 07/29/21 BEEZ KNEEZ CREATIVE AG N‐2021‐154 PRCS $               25,000.00 ZOO EDUCATION PROGRAMS106 07/30/21 ADORAMA INC PO 124250 LIB 2,834.93$                 ASUS CHROMEBOOK 15.6", 10 EA107 08/01/21 PACIFIC COAST ENTERTAINMENT BOC 6658 PWA 5,000.00$                 GEL SHEETS FOR WATER108 08/01/21 LESLIES SWIMMING POOL SUPPLIES BOC 6837 PRCS 6,500.00$                 MISC POOL MAINT CHEMICALS109 08/01/21 SECURITY ACCESS & FIRE BOC 6840 PRCS 21,500.00$               FIRE & SECURITY ALARM SERVICES110 08/01/21 TUSTIN LOCK AND SAFE BOC 6910 CITYWIDE 10,000.00$               LOCKSMITH & CYBER LOCK REPAIRSPage 3 of 8&nbsp;City Council&nbsp;7 &ndash;&nbsp;511/16/2021&nbsp; No. Date Vendor Name Type Number  Agency Amount Description111 08/01/21 WEST COAST LIGHTS AND SIRENS BOC 6917 PWA 20,000.00$               PARTS & LABOR PD VEHICLES112 08/01/21 KIMBALL MIDWEST BOC 6918 PWA 17,500.00$               FLEET FASTENERS/HARDWARE113 08/01/21 GAMBER JOHNSON BOC 6937 POL 3,000.00$                 INCIDENTAL COMPUTER REPAIR114 08/01/21 AUTONATION FORD TUSTIN BOC 6960 PWA 20,000.00$               VEHICLE MAINT & REPAIR115 08/01/21 MAKAI SOLUTIONS BOC 7010 PWA 20,000.00$               HYDRAULIC LIFT REPAIR116 08/01/21 BARNES UPHOLSTERY BOC 7065 PWA 8,000.00$                 VEHICLE UPHOLSTERY REPAIRS117 08/02/21 PDF ELECTRIC & SUPPLY COMPANY PO 124254 POL 4,768.99$                 CPU PROCESSOR118 08/02/21 SOUTHERN COUNTIES LUBRICANTS PO 124255 PWA 3,939.26$                 CHEV SUPREME MOTOR OIL SB 5W20119 08/02/21 SOCIAL AND ENVIRONMENTAL PO 124257 PRCS 12,017.50$               ADULT BICYCLES & ACCESSORIES120 08/02/21 HERK EDWARDS INC PO 124258 PWA 128,168.00$             SEATING REPLACEMENT, COUNCIL CHAMBERS121 08/02/21 CHILD CREATIVITY LAB PO 124259 PRCS 13,503.30$               SCIENCE/TECH/ENGIN/ARTS/MATH KITS122 08/03/21 PACIFIC FLAGPOLE SERVICE PO 124260 PRCS 4,785.00$                 FLAGPOLE INSTALLATION123 08/03/21 COAST RECREATION INC PO 124262 PRCS 1,350.40$                 PLAYGROUND EQUIPT REPLACEMENT PARTS124 08/03/21 ORANGE COUNTY FIRE AUTHORITY (OCFA) AG N‐2021‐155 PWA $               25,000.00 INTERLOCAL AGREEMENT, FUEL PURCHASE125 08/04/21 LC ACTION POLICE SUPPLY PO 124264 POL 1,169.78$                 PEPPERBALL LIVE PAVA PROJECTILE126 08/04/21 DLT SOLUTIONS PO 124266 IT 8,540.00$                 ALIEN VAULT SOFTWARE RENEWAL127 08/05/21 LAPLINK SOFTWARE INC PO 124267 IT 6,300.00$                 PC MOVER SOFTWARE128 08/05/21 FINAL ARTS PO 124269 POL 1,333.66$                 BOOKS CUSTOM 5.5 X 8.5129 08/05/21 MEMAR INC PO 124270 PRCS 24,980.00$               REPAIR EXHIBIT ROOMS130 08/09/21 GOVCONNECTION INC PO 124273 IT 691.25$                     HEWLETT PACKARD ARUBA/SERVICES131 08/10/21 CPACINC.COM PO 124274 IT 4,967.00$                 HARDWARE MAINT RENEWAL132 08/10/21 VETERINARY ANESTHESIA SYSTEMS PO 124275 PRCS 9,100.72$                 VETERINARY PATIENT MONITOR‐ZOO133 08/10/21 SOURCE GRAPHICS PO 124276 IT 1,266.47$                 PLOTTER SUPPLIES134 08/11/21 CONTRACTSAFE LLC PO 124283 PWA 3,588.00$                 CLOUD BASED CONTRACT MGMT, LICENCE RENEWAL135 08/12/21 ADAMSON POLICE PRODUCTS PO 124285 PWA 10,029.15$               FLARES, FUSEES, HIGHWAY136 08/12/21 ENDRESS + HAUSER INC PO 124286 PWA 23,875.66$               FLOW METER ELECTRO‐MAGNETIC137 08/12/21 GEOSPATIAL TECHNOLOGIES, INC. AG N‐2019‐148‐02 POL $               10,500.00 SOFTWARE MAINTENANCE & LICENSE AGMT138 08/12/21 WALKER CONSULTANTS AG N‐2021‐157 CDA $               30,000.00 CONSULTANT, DOWNTOWN PARKING FACILITIES139 08/12/21 UNION PACIFIC RAILROAD COMPANY AG N‐2021‐158 PWA $               25,000.00 REIMBURSEMENT AGMT, PRELIM ENG SERVS140 08/13/21 ELROD FENCE CO INC PO 124287 POL 1,311.00$                 K9 KENNEL 6'X6'X10'141 08/13/21 EXTREME CANOPY PO 124288 POL 1,087.03$                 CANOPY CUSTOM ROOF 10'X10' POLY142 08/13/21 BNI BUILDING NEWS PO 124289 PWA 537.47$                     STANDARD PLANS PW CONSTR. BOOK143 08/16/21 NATIONAL BUSINESS FURNITURE PO 124290 CMO 1,171.94$                 GUEST CHAIRS144 08/16/21 IMAGE APPAREL FOR BUSINESS INC PO 124292 PWA 1,362.25$                 UNIFORM PANTS ‐ FOG PROGRAM145 08/16/21 COSMOS EVENT RENTALS AG N‐2021‐162 LIB 15,000.00$               EVENT EQUIPT RENTALS, CITY LIBRARIES146 08/17/21 ENVIRONMENTAL SYSTEMS RESEARCH PO 124295 IT 10,000.00$               SERVER LICENSE ‐ ARCGIS147 08/17/21 AXCES INDUSTRIAL SUPPLY INC PO 124297 PWA 627.53$                     POWER KLEEN, DEGREASER AND CLE148 08/17/21 KATHCO PRODUCTS PO 124299 PWA 1,463.95$                 ABSORBENT, GREASE, OIL & WATERPage 4 of 8&nbsp;City Council&nbsp;7 &ndash;&nbsp;611/16/2021&nbsp; No. Date Vendor Name Type Number  Agency Amount Description149 08/17/21 COAST RECREATION INC PO 124300 PWA 10,286.65$               PLAYGROUND EQUIPT REPLACEMENT PARTS150 08/17/21 EMPIRE WEST INC PO 124301 PWA 4,402.68$                 COUPLING, STEM CONNECTOR, 5"151 08/18/21 SOUTHERN COUNTIES LUBRICANTS PO 124304 PWA 2,419.20$                 CHEVRON DELO 400 SNG 15W40152 08/18/21 SASSOON MAUREEN PO 124305 HR 1,400.00$                 BIOHAZARD ONSITE TRAINING ‐ ZOO153 08/18/21 BROWNELLS INC PO 124306 POL 869.89$                     AR15 CHARGING HANDLE154 08/18/21 U S VETERINARY EQUIPMENT INC PO 124307 PRCS 5,309.06$                 FIELD ANESTHESIA MACHINE155 08/18/21 ALHAMBRA FOUNDRY PO 124308 PWA 657.30$                     COVER, MANHOLE, MARKED "SD"156 08/19/21 QUADIENT INC. PO 124311 FMS 3,378.68$                 EQUIPMENT MAINTENANCE AGREEMENT157 08/20/21 AJ CONSTRUCTION SPECIALTIES PO 124316 PRCS 3,305.00$                 RESTROOM PARTITIONS ‐ STADIUM158 08/20/21 MEYERS CONSTRUCTION CO PO 124317 PWA 1,880.00$                 PAINT 3 ROOMS ON 1ST FLOOR ROSS159 08/20/21 MEYERS CONSTRUCTION CO PO 124318 PWA 19,350.00$               PAINT ROSS ANNEX 2ND FLOOR160 08/24/21 MUSCO SPORTS LIGHTING LLC PO 124320 PRCS 5,990.00$                 REPLACE S6 POLE BAR HARNESSES161 08/24/21 FRONTIER PRECISION INC PO 124322 PWA 3,800.00$                 FPI‐TRAINING‐REMOTE OPERATED VEHICLE162 08/24/21 SONSRAY MACHINERY LLC PO 124323 PWA 1,237.48$                 REMOVAL/INSTALLATION/POWERWASH163 08/24/21 SCORE SPORTS PO 124324 PRCS 1,820.11$                 YOUTH SPORTS FOOTBALL T‐SHIRTS164 08/24/21 BORDERS ARCHITECTS AG N‐2021‐165 CDA $                 3,000.00 DONATED FURNITURE COORDINATION SERVS165 08/24/21 ERIC BAUER dba ALLIANCE RACE TIMING AG N‐2021‐166 PRCS $                 6,300.00 5K TIMING SERVICES 166 08/25/21 PACIFIC SOUND CONTROL PO 124325 PWA 1,984.00$                 SOUND BLANKETS167 08/25/21 QUADIENT INC. PO 124326 FMS 4,193.75$                 EQUIPMENT MAINTENANCE AGREEMENT168 08/25/21 ASSOCIATED BAG COMPANY PO 124328 POL 886.89$                     16"X12"X35" UNPRINTED PAPER BAGS169 08/26/21 BRIAN PETERSON AG N‐2021‐167 CDA $               13,000.00 MURAL , "FACES OF MANKIND"170 08/26/21 LANGUAGE LINE AG N‐2021‐168 CDA $               20,000.00 LANGUAGE TRANSLATION SERVICES171 08/27/21 NATIONAL BUSINESS FURNITURE PO 124333 CMO 4,908.93$                 COMPUTER CREDENZA172 08/27/21 LUIS RAUL MARTINEZ AG N‐2021‐169 POL $               40,000.00 PROVIDE COUNSELING SERVICES FOR INMATES173 08/30/21 BIOBAG AMERICAS INC PO 124334 PRCS 4,447.02$                 32 GALLON COMPOSTABLE LINERS174 08/30/21 ELITE CANOPY INC PO 124335 LIB 793.32$                     10'X10' POP UP CANOPY TOP175 08/31/21 ACCO ENGINEERED SYSTEMS PO 124337 PRCS 4,972.00$                 AIR CONDITIONER COMPRESSOR176 08/31/21 NATIONAL BAND & TAG CO PO 124340 FMS 1,010.56$                 DOG TAGS177 09/01/21 EPOWER NETWORK BOC 6935 POL 12,500.00$               GENERATOR & UPS BATTERY MAINT178 09/01/21 PRAXAIR DISTRIBUTION BOC 6986 CITYWIDE 20,000.00$               INDUSTRIAL GASES & TANK179 09/01/21 CONNELLY MACHINE WORKS BOC 6991 PWA 5,000.00$                 MISC MACHINE WORK180 09/01/21 GRIFFIN ACE HARDWARE BOC 6995 CITYWIDE 20,000.00$               LUMBER, TOOLS, HARDWARE181 09/01/21 IRV SEAVER MOTORCYCLES BOC 6997 PWA 20,000.00$               MOTORCYCLE REPAIRS & PARTS182 09/01/21 MR D'S AUTOMOTIVE BOC 6998 PWA 20,000.00$               HEAVY DUTY VEHICLE PARTS &183 09/01/21 TUTTLE‐CLICK TUSTIN BOC 7015 PWA 20,000.00$               FORD REPAIRS & PARTS184 09/01/21 MICHAELS STORES INC BOC 7023 CITYWIDE 20,000.00$               CRAFT AND ART SUPPLIES185 09/01/21 NEWEGG BUSINESS INC BOC 7025 CITYWIDE 20,000.00$               INFO TECHNOLOGY SUPPLIES186 09/01/21 LC ACTION POLICE SUPPLIES BOC 7031 POL 5,000.00$                 LITHIUM BATTERIES FOR PDPage 5 of 8&nbsp;City Council&nbsp;7 &ndash;&nbsp;711/16/2021&nbsp; No. Date Vendor Name Type Number  Agency Amount Description187 09/01/21 SCOTTS SCREENPRINTING BOC 7076 CITYWIDE 20,000.00$               SCREENPRINTED CLOTHING188 09/01/21 NETXPERTS INC PO 124341 IT 12,401.92$               CISCO SMARTNET RENEWAL189 09/02/21 CB PACIFIC INC PO 124342 POL 6,177.96$                 CIMPLICITY V10.0 SERVER STD DEV190 09/02/21 VMI INC PO 124343 CMO 4,950.13$                 THEATRIXX VIDEO DELAY BOX191 09/02/21 ESKILL CORPORATION PO 124344 HR 12,500.00$               VIRTUAL TESTING PLATFORM RENEWAL192 09/02/21 STEVE A. FILARSKY AG N‐2021‐170 CAO $               50,000.00 LEGAL SERVS, ASSIST IN‐HOUSE ATTORNEYS193 09/08/21 SAFETY RESTRAINT CHAIR INC PO 124346 POL 4,526.57$                 FULL SET OF STRAPS194 09/08/21 MEYERS CONSTRUCTION CO PO 124347 PWA 7,600.00$                 CH 3RD & 4TH FL. DOOR RESURFACE195 09/08/21 RESCUE ESSENTIALS PO 124349 POL 22,724.00$               SAPD RESCUE CUSTOM KITS196 09/09/21 A THRU Z CONSULTING & PO 124352 PRCS 8,147.50$                 ANIMAL HABITAT BARRIER PANELS197 09/09/21 SUNNY SLOPE TREES PO 124353 PWA 22,102.55$               VARIETY OF TREES198 09/09/21 STONEFACE INC PO 124354 PRCS 6,410.00$                 STREAM SYSTEM REPAIR RAINFOREST199 09/09/21 SOUTHWESTERN PETROLEUM CORP PO 124355 PWA 4,429.98$                 103 MOLY HI PLUS GREASE HEAVY200 09/09/21 CALIBER SIGNS & IMAGING INC PO 124356 LIB 2,473.48$                 BOOK VENDING MACHINE WRAPS201 09/09/21 ORANGE COUNTY MAINTENANCE SERVS AG N‐2021‐172 CDA $               50,000.00 SECURITY GUARD OVERSIGHT CONSULTANT202 09/10/21 SULLIVAN & MANN LUMBER CO INC PO 124358 PWA 573.56$                     TIES, TREE, 32", BLACK E‐Z203 09/10/21 WONDRIES FLEET GROUP PO 124359 PWA 42,205.26$               FORD INTERCEPTOR UTILITY204 09/13/21 G&S CARPET MILLS INC PO 124360 PRCS 720.00$                     CARPET TILE INSTALLATION205 09/13/21 FLEXISPOT PO 124361 HR 1,245.38$                 MOTORIZED ALCOVERISER DESK206 09/13/21 BEST WAY LAUNDRY SOLUTIONS PO 124362 CDA 18,378.78$               COMMERICAL WASHER207 09/13/21 GAMETIME PO 124363 PRCS 1,404.65$                 PLAYGROUND EQUIPMENT208 09/13/21 JAY O DAY INC PO 124364 POL 2,320.18$                 STANDARD STRETCHING MAT209 09/13/21 BOOMERS IRVINE PO 124365 PRCS 1,729.60$                 GROUP PACK‐$24.99 EA/QTY 50210 09/13/21 NORIX GROUP INC PO 124366 CDA 11,922.86$               SINGLE BUNK BEDS211 09/13/21 ORANGE, COUNTY OF AG N‐2021‐173 CDA $               15,000.00 REGIONAL WORKFORCE SERVICES 212 09/13/21 RIO WEST LLC AG N‐2021‐177 POL $               34,380.00 LEASE AGREEMENT, WESTEND SUBSTATION 213 09/13/21 REDISTRICTING PARTNERS LLC AG N‐2021‐178 COC $               50,000.00 DEMOGRAPHIC ANALYSIS/CENSUS MAPPING SERVS214 09/14/21 SMART SOURCE OF CALIFORNIA LLC PO 124367 PWA 924.69$                     FORM, MATERIAL RELEASE, 50/PKG215 09/14/21 IDENTITY AUTOMATION LP PO 124368 POL 3,500.00$                 ANNUAL SUBSCRIPTION ADV SUPPORT216 09/14/21 SUNRISE MULTISPECIALISTS MEDICAL CTR AG N‐2021‐179 HR $               50,000.00 NON‐INDUSTRIAL MEDICAL SERVICES 217 09/15/21 PRECISION SURVEY SUPPLY LLC PO 124369 POL 4,978.34$                 INFINITY POINT CLOUD FROM IMAGES218 09/15/21 NAKA ENGINEERING & CONSTRUCTIO PO 124370 PRCS 24,320.00$               CONSTRUCT CONCRETE PAD219 09/15/21 ADAMSON POLICE PRODUCTS PO 124372 POL 1,544.63$                 OVERSIZED HAND CUFFS ORANGE220 09/15/21 DON WALLINGSFORD INC PO 124373 PWA 13,040.00$               REPLACE HEAT PUMP / FAN COIL221 09/15/21 ADAMSON POLICE PRODUCTS PO 124374 POL 1,544.63$                 OVERSIZE  LEG IRON ‐ ORANGE222 09/16/21 AJ CONSTRUCTION SPECIALTIES PO 124375 PRCS 4,940.00$                 RESTROOM PARTITIONS‐WINDSOR PARK223 09/16/21 RR DONNELLEY PO 124377 POL 2,151.79$                 STOLEN VEHICLE REPORT CS811 SAPD225 09/20/21 HILLSBOROUGH FENCE COM PO 124380 POL 5,560.00$                 INSTALL CHAIN LINK FENCEPage 6 of 8&nbsp;City Council&nbsp;7 &ndash;&nbsp;811/16/2021&nbsp; No. Date Vendor Name Type Number  Agency Amount Description226 09/20/21 PRINTING ISLAND PO 124381 FMS 2,582.67$                 BUSINESS CARD MASTER, BLUE‐GOLD FOILED227 09/20/21 S&S WORLDWIDE INC PO 124383 PRCS 1,176.44$                 CRAFT SUPPLIES228 09/20/21 BRIGHTLIFE DESIGNS, LLC. AG N‐2021‐186 CDA $               31,125.00 HOLIDAY DÉCOR, DOWNTOWN SANTA ANA229 09/21/21 GRAINGER INC PO 124384 CDA 28,334.81$               VINYL MATTRESS POLY CORE ‐ BLUE230 09/21/21 CRASH DATA GROUP INC PO 124385 POL 1,365.63$                 BOSCH CDR SOFTWARE RENEWAL231 09/21/21 PROPAC INC PO 124386 POL 14,766.93$               25 PERSON SHELTER CARE KIT232 09/21/21 ROGUE FITNESS PO 124387 POL 987.83$                     OHIO WEIGHT PLATE BAR ‐ BLK ZINC233 09/22/21 DON WALLINGSFORD INC PO 124388 PWA 10,880.00$               REPLACE NEW 4 TON CONDENSOR234 09/22/21 SAFEGUARD BY FONTIS PO 124389 PWA 703.35$                     ADMIN CITATION BOOKLETS ‐ PWA235 09/23/21 COAST RECREATION INC PO 124390 PRCS 1,035.54$                 PLAYGROUND EQUIPMENT REPLACEMENT PARTS236 09/23/21 MERTON, NICOLE AG N‐2021‐187 LIB $                    500.00 SPEAKER/PERFORMER ENGAGEMENT237 09/24/21 PROFORCE LAW ENFORCEMENT PO 124392 POL 2,351.06$                 44MM  RELOADBLE INSERT FOR 6530238 09/27/21 SAFETYCULTURE PTY LTD PO 124395 PWA 1,339.28$                 INSPECTION SOFTWARE/APP239 09/27/21 ECONOLITE CONTROL PRODUCTS INC PO 124397 PWA 600.88$                     CLEAN SLATE CABINET WRAP  ‐ REV240 09/27/21 QUINN COMPANY PO 124398 PWA 8,700.00$                 EXTENDED WARRANTY ON GENERATOR241 09/27/21 TITLE BOXING, LLC PO 124399 POL 4,062.06$                 FACE PROTECTOR HEADGEAR242 09/27/21 NAKA ENGINEERING & CONSTRUCTIO PO 124400 PRCS 67,620.00$               CONCRETE PAD FOR DELHI PARK243 09/28/21 ZORO PO 124401 POL 2,247.18$                 BALDOR ELECTRIC MOTOR244 09/28/21 THOMPSON BUILDING MATERIALS PO 124402 PRCS 4,094.69$                 STEPSTONE SMTH NAT VP‐SS18X36245 09/28/21 ADVANCED INFRASTRUCTURE PO 124403 PWA 17,534.39$               LOCATOR KIT ‐ PRO KIT246 09/28/21 AQUA SOURCE INC PO 124404 PRCS 10,586.80$               POOL: AQUATIC VARIABLE FREQUENCY247 09/28/21 STRESSCRETE INC PO 124405 PRCS 1,741.45$                 CONCRETE POLE. 16' ROUND TAPERED248 09/28/21 PROFORCE LAW ENFORCEMENT PO 124407 POL 11,011.61$               RIFLE OPTIC SCOPES249 09/28/21 PACIFIC SOUND CONTROL PO 124410 PWA 1,798.26$                 CUSTOM SIZE NOISE SOAKER BARRIER250 09/28/21 KNOTTS BERRY FARM PO 124411 PRCS 2,568.50$                 GENERAL ADMISSION TICKETS ‐ YOUTH 251 09/28/21 DAVEY'S LOCKER PO 124413 PRCS 2,006.00$                 TEEN EXCURSION WHALE WATCHING252 09/28/21 UNO PRODUCTIONS, INC. AG N‐2021‐190 LIB $                    700.00 SPEAKER AT CITY LIBRARY EVENT253 09/29/21 FASTSIGNS SANTA ANA PO 124415 PRCS 2,108.52$                 ALUMINUM SIGNS: 12"X18"‐2‐HOUR254 09/29/21 RCS INVESTIGATION & CONSULTING LLC AG N‐2021‐189 POL $               25,000.00 BACKGROUND INVESTIGATIONS255 09/29/21 KFB MANAGEMENT INC AG N‐2021‐193 PWA $               24,900.00 CONSULTING SERVICES, BILLBOARDS256 09/29/21 MARTIN TORRES AG N‐2021‐194 PRCS $               25,000.00 KARATE DO KIAI CLASSES IN THE PARK257 09/29/21 MARISCA N. SECUNDO AG N‐2021‐195 PRCS $               25,000.00 DANZA FOLKLORICO, RECREATION CLASS258 09/29/21 PATRICK A. HURLEY AG N‐2021‐196 PRCS $               25,000.00 MUSIC INSTRUCTION, RECREATION CLASS 259 09/30/21 CDW GOVERNMENT INC PO 124416 HR 869.76$                     ERGONOMIC SPLIT KEYBOARD260 09/30/21 B&H PHOTO VIDEO PO 124417 LIB 1,665.41$                 TABLETS: SAMSUNG 8.7" GALAXY TAB261 09/30/21 VIRCO INC PO 124420 CDA 824.95$                     60" ACTIVITY TABLE ‐ 4000 SERIES262 09/30/21 MANHATTAN STITCHING COMPANY PO 124421 PRCS 9,739.64$                 5K RUN TSHIRTS263 09/30/21 ARCLIGHT DYNAMICS, LLC PO 124422 PWA 40,282.86$               ARC PRO 9600X CNC PLASMA SYSTEMPage 7 of 8&nbsp;City Council&nbsp;7 &ndash;&nbsp;911/16/2021&nbsp; 3,477,084.65$          319,508,048.94$     1.09%Agency/DepartmentCity Attorney’s Office (CAO)Clerk of the Council (COC)City Manager’s Office (CMO)Community Development (CDA)CitywideFinance & Management Services (FMS)Human Resources (HR)Information Technology (IT)Library (LIB) Parks, Rec. & Comm. Services (PRCS)Planning and Building (PBA)POL (POL)Public Works (PWA)Total409,701.13$ 409,701.13$ 1,094,741.83$                1,094,741.83$ 3,477,084.65$                3,477,084.65$ 29,318.66$ 29,318.66$ 661,007.35$ 661,007.35$ 7,500.00$ 7,500.00$ 11,884.83$ 11,884.83$ 124,240.14$ 124,240.14$ 94,754.21$ 94,754.21$ 11,031.00$ 11,031.00$ 327,905.50$ 327,905.50$ 580,000.00$ 580,000.00$ Total This Quarter Fiscal Year‐to‐Date 75,000.00$ 75,000.00$ 50,000.00$ 50,000.00$ SummaryTotal this periodCitywide budget excluding compensationPercentage of budget amount Page 8 of 8&nbsp;City Council&nbsp;7 &ndash;&nbsp;1011/16/2021&nbsp; Finance and Management Services www.santa-ana.org/finance Item # 8 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Periodic Quarterly Report of Investments as of September 30, 2021 AGENDA TITLE: Receive and File Quarterly Report of Investments as of September 30, 2021 RECOMMENDED ACTION Receive and file. DISCUSSION California Code Section 53646 (b) states that if a quarterly report is rendered to the legislative body, the quarterly investment report shall be submitted within 30 days following the end of the quarter covered by the report. In an effort to meet the statutory requirement, Finance & Management Services Agency (“FMSA”) submits the Report via email for review and distribution to the City Council in advance. The report was emailed for distribution on October 25, 2021. The legislation specifies that this quarterly report contain the seven major elements listed below: 1. Type of investments, 2. Date of maturity, 3. Par and dollar amounts invested in each security, 4. Weighted average maturity of the investments, 5. Market value as of the date of the report, 6. Source of the market value information, and 7. Any funds, investments or programs, including loans, under the management of contracted parties. These specifications include a statement outlining the ability of the City to meet the budgeted expenditures for the subsequent six months be submitted to the City Council on a quarterly basis. Staff performs an end-of-month expenditure analysis to comply with the expenditure requirement and a statement confirming the ability to meet this requirement in the monthly and quarter-ending Treasurer’s Report. The information is in compliance with State law and the City’s Investment Policy. The attached Treasurer’s Report (Exhibit 1) accurately reflects all pooled investments held on behalf of the City as of September 30, 2021. City Council 8 –1 11/16/2021 Quarterly Report of Investments November 16, 2021 Page 2 2 2 3 2 The attached Cash held by Bank and Cash held by Fund(s) Listing (Exhibit 2) is a schedule of cash by funds added to the monthly and quarterly Report of Investments to enhance FMSA’s reporting and transparency. The following two tables represent: (1) percentage limits set by the City’s Investment Policy and State Law and shows respective City investment portfolio investment types, amounts, and percentages; and (2) the restricted cash balance as of September 30, 2021. Type of Investment Amounts Invested $ Portfolio % COSA Policy Limits % State Law Limits % Federal Farm Credit Bank (FFCB)$51,909,210 13.30%None None Federal Home Loan Bank (FHLB)$133,648,358 34.23%None None Federal Home Loan Mortgage Corp. (FHLMC)$49,991,250 12.80%None None Federal National Mortgage Association (FNMA)$61,899,880 15.85%None None Local Agency Investment Fund (LAIF)$29,027,540 7.44%None None Local Agency Investment Fund (LAIF – ARPA)$63,936,641 16.38%None None Sub- Total:$390,412,880 100%None None Cash :$32,248,630 Total:$422,661,509 Restricted Cash In $ Restricted Cash †,$43,662,267 Total $43,662,267 † Restricted cash is held by various Trustees such as Bank of New York Mellon; US Bank; Signature Bank; and State of California Condemnation Fund. Restricted Cash is segregated from cash used for daily operations. The following City investment portfolio graph represents percentages within the respective investment types as of September 30, 2021. City Council 8 –2 11/16/2021 Quarterly Report of Investments November 16, 2021 Page 3 2 2 3 2 The following two tables represent, as of September 30, 2021: (1) the aggregate Average Market Yield To Date (AMTD); and (2) the breakdown of by investment type. Aggregate Average Market Yield To Date Average Month To Date (AMTD)0.730% Investments Par Value of Investments YTM % of Portfolio LAIF $29,027,539.85 0.206%7.44%0.015% LAIF (ARPA)$63,936,641.14 0.206%16.38%0.034% Federal Agency Securities $297,448,698.58 0.894%76.19%0.681% $390,412,880 0.730%100.00%0.730% Cash held by Bank and Cash by Fund(s) Listing (Exhibit 2) The above-referenced exhibit (Exhibit 2) includes a comparison of bank balances between each City Cash account including Investments; Cash held at a City designated financial institution; Cash on Hand; and Restricted Cash versus the Cash held by various Fund(s). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. EXHIBIT(S) 1. Treasurer’s Report 2. Cash Held by Bank and Cash Fund(s) Listing Submitted By: Kathryn Downs, FMSA Executive Director Approved By: Kristine Ridge, City Manager City Council 8 –3 11/16/2021 City of Santa Ana Portfolio Management September 30, 2021 Portfolio Summary % of Portfolio Book ValueInvestmentsMarket Value Par Value Days to MaturityTerm YTM/C Local Agency Investment Funds 29,027,539.85 17.44 0.206129,027,539.8529,027,539.85 Cash in Banks 63,936,641.14 116.38 0.206163,936,641.1463,936,641.14 Federal Agency Coupon Securities 297,448,698.58 1,71376.19 0.894400297,570,931.75297,600,000.00 390,412,879.57 100.00%Investments 390,535,112.74390,564,180.99 1,305 305 0.730 Cash (not included in yield calculations)Passbook/Checking 32,248,629.54 1 0.000132,248,629.5432,248,629.54 422,661,509.11Total Cash and Investments 422,783,742.28422,812,810.53 1,305 305 0.730 Current Year September 30 228,314.25 Fiscal Year To Date 750,620.87 Average Daily Balance Effective Rate of Return 453,785,589.60 464,648,534.52 0.64%0.61% Total Earnings Month Ending This report contains all the required information in SB 866 and SB 564 and accurately reflects all pooled investments held during this reporting period on behalf of the City and the City of Santa Ana acting on behalf of the Community Redevelopment Agency. The information reported herein is in compliance with State law and the City's Investment Policy. Based on liquidity of investments, the City of Santa Ana is able to meet budgeted expenditure requirements for the next six months, barring any catastrophic natural disasters. Market pricings are obtained through the City's third party trust services at BNY Mellon Trust. __________________________________________________ ____________________ Finance & Mgmt Services Agency, Portfolio COSA CP Reporting period 09/01/2021-09/30/2021 Run Date: 10/11/2021 - 17:38 PM (PRF_PM1) 7.3.0 Report Ver. 7.3.5 EXHIBIT 1 City Council 8 –4 11/16/2021 YTM/C 365 Page 1 Par Value Book Value Maturity Date Stated RateMarket Value September 30, 2021 Portfolio Details - Investments Average BalanceIssuer Portfolio Management City of Santa Ana Days to Maturity YTM/C 360CUSIPInvestment # Purchase Date Local Agency Investment Funds 0.206Local Agency Investment FundLAIFCITY 29,027,539.85 29,027,539.85 0.20629,027,539.85 0.203LAIFCITY 1 29,027,539.85 0.20329,027,539.8529,027,539.8572,527,539.85Subtotal and Average 0.206 1 Cash in Banks 0.206Local Agency Investment FundLAIF ARPA 63,936,641.14 63,936,641.14 0.20663,936,641.14 0.203LAIF ARPA 1 63,936,641.14 0.20363,936,641.1463,936,641.14102,974,851.17Subtotal and Average 0.206 1 Federal Agency Coupon Securities 2.670Federal Farm Credit Bank13868 925,000.00 924,195.25 10/23/20232.65001/29/2019 968,817.25 2.6343133EJ5W5 752 2.619Federal Farm Credit Bank13876 3,000,000.00 2,998,740.00 02/27/20242.61003/04/2019 3,156,030.00 2.5833133EKBW5 879 2.430Federal Farm Credit Bank13884 2,000,000.00 1,975,960.00 05/15/20232.12503/15/2019 2,061,020.00 2.3963133ECPM0 591 1.920Federal Farm Credit Bank13897 1,500,000.00 1,512,465.00 09/05/20232.12506/10/2019 1,552,245.00 1.8943133EKPG5 704 1.420Federal Farm Credit Bank13932 2,500,000.00 2,496,700.00 10/11/20221.37510/11/2019 2,532,750.00 1.4013133EKY91 375 1.606Federal Farm Credit Bank13934 5,000,000.00 5,003,650.00 10/23/20231.62510/23/2019 5,131,650.00 1.5843133EK3M6 752 0.690Federal Farm Credit Bank13974 6,000,000.00 6,000,000.00 07/22/20250.69007/22/2020 5,972,640.00 0.6813133ELX33 1,390 0.530Federal Farm Credit Bank13988 5,000,000.00 5,000,000.00 09/29/20250.53009/29/2020 4,924,300.00 0.5233133EMBH4 1,459 0.550Federal Farm Credit Bank13991 5,000,000.00 4,997,500.00 11/03/20250.54011/03/2020 4,958,550.00 0.5433133EMFR8 398 0.800Federal Farm Credit Bank14005 4,000,000.00 4,000,000.00 03/09/20260.80003/09/2021 3,979,560.00 0.7893133EMSU7 524 0.710Federal Farm Credit Bank14006 6,000,000.00 6,000,000.00 04/01/20250.71004/01/2021 5,997,360.00 0.7003133EMUP5 182 0.710Federal Farm Credit Bank14016 5,000,000.00 5,000,000.00 04/21/20250.71004/21/2021 5,001,100.00 0.7003133EMWH1 202 0.710Federal Farm Credit Bank14032 6,000,000.00 6,000,000.00 08/10/20260.71008/10/2021 5,928,900.00 0.7003133EM2C5 678 1.980Federal Home Loan Bank13825 3,175,000.00 3,170,488.33 01/10/20221.95001/11/2017 3,191,319.50 1.9533130AAKW7 101 1.815Federal Home Loan Bank13845 5,000,000.00 5,000,000.00 06/27/20221.81506/27/2017 5,062,950.00 1.7903130ABBNS1 269 2.699Federal Home Loan Bank13854 1,500,000.00 1,486,650.00 03/10/20232.50005/31/2018 1,550,340.00 2.6623130ADMX7 525 2.541Federal Home Loan Bank13873 2,000,000.00 1,996,220.00 02/13/20242.50002/27/2019 2,101,080.00 2.5063130AFW94 865 2.380Federal Home Loan Bank13889 3,000,000.00 2,999,250.00 03/08/20242.37504/29/2019 3,148,980.00 2.3483130AB3H7 889 0.580Federal Home Loan Bank13996 4,000,000.00 4,000,000.00 01/28/20260.58001/28/2021 3,960,320.00 0.5723130AKPQ3 119 0.520Federal Home Loan Bank13997 5,000,000.00 5,000,000.00 01/28/20260.52001/28/2021 4,941,500.00 0.5133130AKU53 27 0.500Federal Home Loan Bank13998 6,000,000.00 6,000,000.00 01/28/20260.50001/28/2021 5,929,980.00 0.4933130AKN69 119 0.600Federal Home Loan Bank13999 5,000,000.00 5,000,000.00 02/25/20260.60002/25/2021 4,949,300.00 0.5923130ALA53 147 0.625Federal Home Loan Bank14001 5,000,000.00 5,000,000.00 02/24/20260.62502/24/2021 4,953,100.00 0.6163130ALBM5 54 0.375Federal Home Loan Bank14002 5,000,000.00 5,000,000.00 02/25/20250.37502/25/2021 4,969,300.00 0.3703130ALB52 147 0.500Federal Home Loan Bank14003 4,000,000.00 4,000,000.00 03/10/20250.50003/10/2021 3,984,040.00 0.4933130ALDZ4 70 0.500Federal Home Loan Bank14004 4,000,000.00 4,000,000.00 09/24/20240.50003/24/2021 3,994,880.00 0.4933130ALKN3 84 0.702Federal Home Loan Bank14007 6,000,000.00 5,997,000.00 03/17/20250.65003/29/2021 5,990,700.00 0.6923130ALLP7 77 1.100Federal Home Loan Bank14008 5,000,000.00 5,000,000.00 04/22/20261.10004/22/2021 4,998,850.00 1.0853130ALW67 21 Portfolio COSA CP Run Date: 10/11/2021 - 17:38 PM (PRF_PM2) 7.3.0 Report Ver. 7.3.5 City Council 8 –5 11/16/2021 YTM/C 365 Page 2 Par Value Book Value Maturity Date Stated RateMarket Value September 30, 2021 Portfolio Details - Investments Average BalanceIssuer Portfolio Management City of Santa Ana Days to Maturity YTM/C 360CUSIPInvestment # Purchase Date Federal Agency Coupon Securities 1.050Federal Home Loan Bank14024 6,000,000.00 6,000,000.00 06/30/20261.05006/30/2021 5,988,600.00 1.0363130AMYU0 90 1.000Federal Home Loan Bank14025 6,000,000.00 6,000,000.00 03/30/20261.00006/30/2021 5,991,300.00 0.9863130AMYC0 90 0.400Federal Home Loan Bank14026 6,000,000.00 6,000,000.00 06/28/20240.40006/28/2021 5,990,880.00 0.3953130AMSF0 88 0.850Federal Home Loan Bank14027 5,000,000.00 5,000,000.00 07/29/20260.85007/29/2021 4,968,000.00 0.8383130ANFU9 301 0.875Federal Home Loan Bank14028 5,000,000.00 5,000,000.00 05/18/20260.87508/18/2021 4,985,900.00 0.8633130ANFG0 140 0.908Federal Home Loan Bank14029 5,000,000.00 5,000,000.00 07/29/20260.50007/29/2021 4,983,400.00 0.8963130ANE30 28 0.550Federal Home Loan Bank14033 5,000,000.00 5,000,000.00 12/19/20240.55008/19/2021 4,991,700.00 0.5423130ANHV5 49 0.700Federal Home Loan Bank14034 6,000,000.00 6,000,000.00 08/26/20250.70008/26/2021 5,981,280.00 0.6903130ANPE4 329 0.900Federal Home Loan Bank14035 6,000,000.00 6,000,000.00 08/27/20260.90008/27/2021 5,970,720.00 0.8883130ANQ78 514 0.820Federal Home Loan Bank14036 5,000,000.00 5,000,000.00 09/30/20260.82009/30/2021 4,948,150.00 0.8093130AP3E3 364 0.650Federal Home Loan Bank14037 5,000,000.00 5,000,000.00 06/30/20250.65009/30/2021 4,991,000.00 0.6413130ANX62 180 1.000Federal Home Loan Bank14038 5,000,000.00 5,000,000.00 09/30/20261.00009/30/2021 4,993,800.00 0.9863130APB79 364 0.855Federal Home Loan Bank14039 5,000,000.00 4,998,750.00 06/29/20260.85009/29/2021 4,975,050.00 0.8443130AP3A1 179 1.936Federal Home Loan Mortgage Co.13839 5,000,000.00 4,997,500.00 06/29/20221.92506/29/2017 5,068,350.00 1.9093134GBVA7 271 0.720Federal Home Loan Mortgage Co.13962 5,000,000.00 4,995,000.00 05/05/20250.70005/05/2020 5,002,150.00 0.7113134GVQX9 1,312 0.767Federal Home Loan Mortgage Co.13964 5,000,000.00 4,998,750.00 05/28/20250.75005/28/2020 4,994,250.00 0.7563134GVVX3 58 0.700Federal Home Loan Mortgage Co.13967 6,000,000.00 6,000,000.00 06/25/20250.70006/25/2020 5,973,180.00 0.6903134GVR26 267 0.650Federal Home Loan Mortgage Co.13968 6,000,000.00 6,000,000.00 06/30/20250.65006/30/2020 5,969,400.00 0.6413134GVT99 272 0.570Federal Home Loan Mortgage Co.13979 6,000,000.00 6,000,000.00 07/15/20240.57007/15/2020 6,001,260.00 0.5623134GV5R5 14 0.500Federal Home Loan Mortgage Co.13987 5,000,000.00 5,000,000.00 09/30/20250.50009/30/2020 4,931,350.00 0.4933134GWUE4 364 0.540Federal Home Loan Mortgage Co.13989 6,000,000.00 6,000,000.00 10/27/20250.54010/27/2020 5,922,060.00 0.5333134GW4Z6 391 0.500Federal Home Loan Mortgage Co.13995 6,000,000.00 6,000,000.00 12/30/20250.50012/30/2020 5,935,560.00 0.4933134GXJL9 90 2.689Federal Nat'l Mtg. Assoc.13850 2,000,000.00 1,971,780.00 01/19/20232.37503/28/2018 2,056,540.00 2.6533135G0T94 475 2.647Federal Nat'l Mtg. Assoc.13856 1,000,000.00 971,950.00 04/05/20221.87505/31/2018 1,009,210.00 2.6113135G0T45 186 2.702Federal Nat'l Mtg. Assoc.13857 1,000,000.00 971,400.00 10/05/20222.00005/31/2018 1,019,330.00 2.6653135G0T78 369 1.664Federal Nat'l Mtg. Assoc.13940 5,000,000.00 4,990,750.00 01/07/20251.62501/15/2020 5,169,450.00 1.6413135G0X24 1,194 1.651Federal Nat'l Mtg. Assoc.13941 5,000,000.00 4,994,000.00 10/15/20241.62501/15/2020 5,166,050.00 1.6293135G0W66 1,110 0.750Federal Nat'l Mtg. Assoc.13965 5,000,000.00 5,000,000.00 06/16/20250.75006/16/2020 4,999,250.00 0.7403136G4WV1 1,354 0.510Federal Nat'l Mtg. Assoc.13976 8,000,000.00 8,000,000.00 07/28/20250.51007/28/2020 7,960,640.00 0.5033136G4D42 665 0.650Federal Nat'l Mtg. Assoc.13977 6,000,000.00 6,000,000.00 08/14/20250.65008/14/2020 5,954,280.00 0.6413136G4C43 1,413 0.560Federal Nat'l Mtg. Assoc.13978 6,000,000.00 6,000,000.00 08/12/20250.56008/12/2020 5,966,760.00 0.5523136G4G98 315 0.530Federal Nat'l Mtg. Assoc.13990 6,000,000.00 6,000,000.00 10/28/20250.53010/28/2020 5,950,320.00 0.5233136G45Q2 392 0.625Federal Nat'l Mtg. Assoc.13992 5,000,000.00 5,000,000.00 11/25/20250.62511/25/2020 4,969,500.00 0.6163135GA4V0 420 0.600Federal Nat'l Mtg. Assoc.13993 6,000,000.00 6,000,000.00 12/17/20250.60012/17/2020 5,950,620.00 0.5923135GAAN1 77 0.650Federal Nat'l Mtg. Assoc.13994 6,000,000.00 6,000,000.00 12/10/20250.65012/10/2020 5,950,080.00 0.6413135G06J7 70 297,448,698.58 0.881297,570,931.75297,600,000.00278,283,198.58Subtotal and Average 0.894 400 Portfolio COSA CP Run Date: 10/11/2021 - 17:38 PM (PRF_PM2) 7.3.0CityCouncil8–6 11/16/2021 YTM/C 365 Page 3 Par Value Book Value Stated RateMarket Value September 30, 2021 Portfolio Details - Investments Average BalanceIssuer Portfolio Management City of Santa Ana Days to Maturity YTM/C 360CUSIPInvestment # Purchase Date 0.720453,785,589.60 390,564,180.99 0.730 305390,535,112.74 390,412,879.57Total and Average Portfolio COSA CP Run Date: 10/11/2021 - 17:38 PM (PRF_PM2) 7.3.0CityCouncil8–7 11/16/2021 YTM/C 365 Page 4 Par Value Book Value Stated RateMarket Value September 30, 2021 Portfolio Details - Cash Average BalanceIssuer Portfolio Management City of Santa Ana Days to Maturity YTM/C 360CUSIPInvestment # Purchase Date Cash in Banks 0.000CITY OF SANTA ANAPETTY CASH 90,052.99 90,052.9907/01/2021 90,052.99 0.000PETTY CASH 1 0.000JP MORGAN CHASE13943 3,961,924.00 3,961,924.0007/01/2021 3,961,924.00 0.000HOUSING 1 0.000JP MORGAN CHASE37983 2,599,346.91 2,599,346.912,599,346.91 0.000WORKERS COMPENS 1 0.000JP MORGAN CHASE38130 2,267,806.64 2,267,806.642,267,806.64 0.000GENERAL LIABILI 1 0.000JP MORGAN CHASE8695 36,584.30 36,584.3007/01/2021 36,584.30 0.000PROPERTY MANAGE 1 0.000JP MORGAN CHASEPROP MGMT 2 1,492.50 1,492.5007/01/2021 1,492.50 0.000PROPERTY MGMT 2 1 0.000JPMorgan Chase0112 349,206.59 349,206.59349,206.59 0.000HEALTHCARE SPEN 1 0.000JPMorgan Chase7962 434,485.60 434,485.60434,485.60 0.000COMMISSARY 1 0.000JPMorgan Chase9500 21,763,824.66 21,763,824.6621,763,824.66 0.000GENERAL ACCOUNT 1 0.000Santa Ana Federal Credit UnionFSS 743,905.35 743,905.35743,905.35 0.000FSS 1 0.00 0.720453,785,589.60 422,812,810.53 0.730 305 1Average Balance 422,783,742.28 422,661,509.11Total Cash and Investments Portfolio COSA CP Run Date: 10/11/2021 - 17:38 PM (PRF_PM2) 7.3.0CityCouncil8–8 11/16/2021 CUSJP Investment# Issuer Money Market Accounts X9USDDTPC 80364 Dreyfus Treasury X9USDDTPC 80365 Dreyfus Treasury X9USDDEFU-80107 INSTL RES TRE AND AGNY CASH 9AMMF05B2-80406 US BANK MONEY MARKET 9AMMF05B2-80407 US BANK MONEY MARKET SYS80418 80418 US BANK MONEY MARKET SYS80419 80419 US BANK MONEY MARKET SYS80421 80421 US BANK MONEY MARKET X9USDMOR3-80243 MORGAN ST AN LEY GOVT INSTL X9USDMOR3 80248 MORGAN ST AN LEY GOVT !NSTL Subtotal and Average Other S86209710 80225 MBIA INSURANCE POLICY 981NP5PV2 80396 ASSURED GUARANTY MUNI CORP Subtotal and Average Cash in Bank SYS80414 80414 SIGNATURE BANK SYS80415 80415 CONDEMNATION DEPOSIT FUND Subtotal and Average Total and Average Run Date: 10/12/2021-09:55 CASH/SECURITIES HELD IN TRUST Portfolio Management Portfolio Details -Investments September 30, 2021 Par Value Market Value 10,571.46 10,571.46 1,204.24 1,204.24 19.19 19.19 0.71 0.71 1.05 1.05 41,125,871.78 41,125,871.78 105,343.76 105,343.76 5.29 5.29 108,850.82 108,850.82 1.56 1.56 -- 41,351,869.86 41,351,869.86 1.00 1.00 1.00 1.00 -- 2.00 2.00 1,268,869.87 1,268,869.87 1,041,525.00 1,041,525.00 2,310,394.87 2,310,394.87 43,662.266.73 43,662,266.73 Book Value 10,571.46 1,204.24 19.19 0.71 1.05 41,125,871.78 105,343.76 5.29 108,850.82 1.56 41,351,869.86 1.00 1.00 2.00 1,268,869.87 1,041,525.00 2,310,~94.87 43,662,266.73 Page 1 d Digitally signed by Alexan e Alexandecninidad T . "d d Date,2021.10.12 r n rn a m20,11 -07'00' Maturity Date Portfolio TRST AC PM (PRF_PM2) 7.3.0 Report Ver. 7.3.5 City Council 8 –9 11/16/2021 Quarterly Report of Investments as of September 30, 2021 Exhibit 2 - Cash held by Bank and Cash by Fund(s) Listing Page 1 of 3 Investments Amount Bank of New York Mellon - Investment Custodian 297,448,699 Local Agency Investment Fund (L.A.I.F)29,027,540 Local Agency Investment Fund (L.A.I.F) - ARPA 63,936,641 Total - Investments 390,412,880 Cash Held at City Financial Institution(s) and Cash on Hand Amount General Account 21,763,825 General Liability Account 2,267,807 Housing Account 3,961,924 Workers Compensation Account 2,599,347 Santa Ana Federal Credit Union - Family Self Sufficiency (FSS-Housing) 743,905 Commissary Account 434,486 Flexible Benefit Spending Account 349,207 Property Management Account 36,584 Property Management - Phase 2 Account 1,493 Petty Cash 90,053 Total - Cash Held at City Financial Institution(s) and Cash on Hand 32,248,630 Restricted Cash Amount Signature Bank - Streetlight Project 1,268,870 US Bank - Pension Stability Funds (Section 115 Trust with PARS)41,125,872 Bank of New York Mellon - Various 120,627 US Bank - Warner Industrial Community 105,344 State of California Condemnation Fund - Right of Way Deposits 1,041,525 US Bank - Gas Tax Bonds 30 Total - Restricted Cash 43,662,267 Total Cash Held City at Financial Institution(s), Cash on Hand and Restricted Cash 466,323,776 Cash by Fund(s) - Total (see below for listing)466,323,776 Fund Fund description Amount 011 GENERAL FUND 66,190,988 012 CANNABIS PUBLIC BENEFIT 17,264,158 016 CASP CERTIFICATION & TRAINING 265,251 020 OTS-TRAFFIC OFFENDER PROGRAM 37,708 021 PRCSA CATV FUND 1,289,728 022 PRCSA FEE & DONATION 346,505 023 INMATE WELFARE FUND 1,627,345 024 PD ATHLETIC ACTIVITIES LEAGUE (75,825) 025 IDB & EZ VOUCHER MONITORING 197,126 026 ASSET FORFEITURE FUND 135,355 027 PARKING FUND 312,133 029 SPECIAL GAS TAX 27,116,074 030 PROP 1B BOND ACT OF 2006 152,913 031 AIR QUALITY IMPR. (AB 2766)1,656,812 032 MEASURE M-STREET CONSTRUCTION (2,806,400) 033 NEW TRANSPO SYS IMPR AREA B 542,658 034 NEW TRANSPO SYS IMPR AREA E 1,540,215 035 NEW TRANSPO SYS IMPR AREA F 1,664,729 041 TRANSP SYS IMPR AREA A-2 329,920 042 TRANSPO SYS IMPR AREA B 9,529 048 TRANSPO SYS IMPR AREA C-2 212,847 049 TRANSPO SYS IMPR AREA G 98,104 051 CAPITAL OUTLAY FUND 5,153,516 053 CITY SERVICES 6,781,982 054 SANITARY SEWER CAPITAL 21,115,367 055 SEWER CONNECTION FEE 11,024,737 056 SANITARY SEWER SERVICE 7,068,207 057 FED CLEAN WATER PROTECTION ENT 4,926,781 058 RESIDENTIAL STREET IMPROVEMENT 4,565,491 059 SELECT STREET CONSTRUCTION 18,436,278 060 WATER REVENUE 46,541,062 066 ACQUISITION & CONSTRUCTION 2,069,236 067 REGIONAL TRANSP CENTER (1,653,868) 068 SANITATION FUND 7,078,054 069 REFUSE COLLECTION SERVICE 5,869,040 EXHIBIT 2 City Council 8 –10 11/16/2021 Quarterly Report of Investments as of September 30, 2021 Exhibit 2 - Cash held by Bank and Cash by Fund(s) Listing Page 2 of 3 070 EQUIPMENT REPLACEMENT FUND 6,510,595 071 CENTRAL SERVICES (146,383) 073 BUILDING MAINT FUND 987,524 074 CIVIC CENTER MAINTENANCE (905,641) 075 FLEET MAINTENANCE/STORES 321,773 076 STORES & PROPERTY CONTROL (304,521) 078 RETIREMENT SYSTEM 982,690 080 LIABILITY AND PROPERTY INS FND 12,668,119 081 EMPLOYEE GROUP INSURANCE (1,598,917) 082 WORKERS COMPENSATION FUND 15,616,577 083 PAYROLL REVOLVING 6,611,602 085 CITY YARD OPERATION 124,826 086 PUB WKS ENG/PROJ MGMT (703,682) 087 PT RETIREMENT FUND 8,671 088 QUALITY SERVICE TRAINING 375,463 089 CA SEISMIC HAZARD PROGRAM 6,041 090 ORANGE CO SANITATION DIST 2&3 1,260,468 093 BUSINESS IMPROVEMENT DISTRICT 147,889 094 INTEREST AGENCY - 095 POLICE COMMISSARY ACCOUNT 310,657 096 SA TOURISM MARKETING DISTRICT 99,433 100 SECTION 457 FIDUCIARY ADMIN 67,141 101 PUB WKS-ADMIN & PLANNING 1,037,634 103 PMA RETIREE HEALTH INSURANCE (84,449) 104 SEIU RETIREE HEALTH INSURANCE 23,250 106 MGMT RETIREE HEALTH INSURANCE 8,201 107 UC RETIREE HEALTH INSURANCE 2,012 109 INFO SYS STRATEGIC PLAN 13,157,967 110 STRONG MOTION INSTRUMENTATION 98,108 120 FIRE FACILITIES FUND 1,608,825 121 SPECIAL REPAIR/DEMOLITION 562,433 122 EMERGENCY & HEALTH GRANTS 9,244,161 123 WORKFORCE INVESTMENT ACT (297,143) 124 ORANGE COUNTY SSA GRANTS (155,286) 125 OES UASI (443,700) 127 D.O.J. GRANT FUND (61,796) 128 POLICE BLOCK GRANTS 586,361 130 HOME PROGRAM FEDERAL GRANT 1,199,903 133 HOUSING AUTHORITY-ISSUER FEE 2,718,788 135 COMMUNITY DEV BLOCK GRANT (785,314) 136 HOUSING AUTHORITY-VOUCHER HAP 835,946 137 HOUSING AUTHORITY- MAINSTREAM - 138 HOUSING AUTHORITY-MS 5 1,144,430 139 HOUSING AUTHORITY-NEW CONSTR 141,224 140 HOUSING AUTHORITY-VOUCHER ADM 2,191,899 142 NSP FEDERAL GRANT 1,402,314 143 CALHOME MFGD HSG LOAN 627,958 144 PRISON TO EMPLOYMENT PROGRAM (338,959) 145 RENTAL REHABILITATION GRANT 394,378 147 FEDERAL AID SAFETY PROGRAM (879,756) 148 TRAFFIC SYSTEM MGMT GRANT (6,818,450) 149 WIC ASSESSMENT DIST ST IMPRV 32,654 152 PUBLIC LIBRARY GRANT FUND (324) 153 LIBRARY GRANTS 42,388 154 LIBRARY SVCS & TECHNOLOGY ACT 5,978 155 OCJP GRANT 36,355 157 HSG ADMIN CARES ACT COVID-19 5,512 158 PLANNING GRANTS PROGRAM 2,639,109 160 HSG HAP CARES ACT COVID-19 - 161 PRCSA CAPITAL GRANTS (652,515) 162 ENERGY CONSERVATION PROGRAM 86,445 164 PUB WKS-WTR QUALITY & CONTROL (1,793,071) 165 OFFICE OF SAFETY GRANT 165,472 166 US DOJ ASSET FORFEITURE FUND 1,135,559 167 US TREASURY ASSET FORFEITURE 138,969 169 RECREATION GRANTS FUND 429,364 170 MS5 HAP CARES ACT COVID-19 (1,062,375) 172 NATL RECREATION TRAILS FND ACT 17,102 175 CARES ACT - CESF - 176 CARES ACT - State - 177 EMERGENCY RENTAL ASSISTANCE PG 4,387,803 178 COVID RELIEF FUND - 179 GENERAL FIXED ASSETS 329,223 180 ARPA EHV ADMIN FEES 222,024 181 AMERICAN RESCUE PLAN ACT 63,836,280 City Council 8 –11 11/16/2021 Quarterly Report of Investments as of September 30, 2021 Exhibit 2 - Cash held by Bank and Cash by Fund(s) Listing Page 3 of 3 201 LOCAL DRAINAGE AREA NO 1 132 202 LOCAL DRAINAGE AREA NO 2 1,426 203 LOCAL DRAINAGE AREA NO 3 753,186 204 LOCAL DRAINAGE AREA NO 4 1,053 205 LOCAL DRAINAGE AREA NO 5 598 206 LOCAL DRAINAGE AREA NO 6 878 207 LOCAL DRAINAGE AREA NO 7 193,697 209 LOCAL DRAINAGE AREA NO 9 731 210 LOCAL DRAINAGE AREA NO 10 17,128 211 LOCAL DRAINAGE AREA NO 11 222 212 LOCAL DRAINAGE AREA NO 12 13 213 LOCAL DRAINAGE AREA NO 13 2,691 221 LOCAL DRAINAGE AREA I 979,990 222 LOCAL DRAINAGE AREA II 235,108 223 LOCAL DRAINAGE AREA III 418,723 224 LOCAL DRAINAGE AREA IV 481,402 225 LOCAL DRAINAGE AREA V 256,133 226 LOCAL DRAINAGE AREA VI 216,964 301 REC/COMM SVS 5,375 311 RESIDENTIAL DEVELOP DISTRICT 1 3,232,047 312 RESIDENTIAL DEVELOP DISTRICT 2 4,182,860 313 RESIDENTIAL DEVELOP DISTRICT 3 11,228,478 314 RESIDENTIAL DEVELOP DISTRICT 4 568,229 400 POLICE UUT LEASE REVENUE BONDS 1,161,260 403 SCAG GRANTS - 404 COSA 2014 LEASE FINANCING 1,363,245 417 INCLUSIONARY HOUSING FEE 15,504,515 418 CDA - PEEBLER CAPITAL FUND 4,450,979 607 HOUSING AUTHORITY LMIHF 3,647,769 652 2003A SERIES TAX ALLOC BOND - 654 2011A SERIES TAX ALLOC BOND - 655 2018A SERIES TAX ALLOC BOND 11,768 658 2003B SERIES ALLOC BOND - 670 COSA RDA 397,821 671 COSA RDA OBLIGATION RETIREMENT 461,675 980 SAN JUANQUIN TRANS CORRIDOR - 981 EASTERN FOOTHILL TRANS CORRIDO - 991 TRAN SYS IMP AUT C-2 TUSTIN 2,168,567 992 TRAN SYS IMP AUT AREA D-TUSTIN 10,743,405 993 WIC ASSESSMENT DISTRICT 272,907 998 TREASURERS AGENCY COLLECTIONS 27,962 999 Lawson Clearing 1,693 Reconciling Item(s) - Outstanding Checks *2,014,145 Reconciling Item(s) - Bank Direct Deposits*1,008,575 Reconciling Item(s) - Deposits in Transit*470,895 Reconciling Item(s) - Withdrawals in Transit*3,486,117 Reconciling Item(s) - Various*(293,556) Reconciling Item(s) - Various: A difference between C ash held by Financial Institution, Fiscal Agent and Cash on Hand exists when comparing to Cash by Fund due, to reconciling items such as timing of payments; outstanding checks; and deposits in transit City Council 8 –12 11/16/2021 Police Department www.santa-ana.org/pd Item # 9 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Contracts for Nitrile Safety Gloves AGENDA TITLE: Award Contracts to JC Dental Supply and Medzon Health for Nitrile Examination/Safety Gloves in the Annual Aggregate Amount not to Exceed $150,000, Not to Exceed $300,000 Over the Two-Year Term, with Three One-Year Renewal Options (Specification No. 21-101) (General Fund) RECOMMENDED ACTION Award blanket order contracts to JC Dental Supply and Medzon Health to provide nitrile examination gloves for a two-year period beginning November 16, 2021 and expiring November 15, 2023 in the annual aggregate amount of $150,000 for a total aggregate amount not to exceed $300,000 over the two-year period, with provisions for three one- year renewals by mutual agreement. Subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION Law enforcement personnel come into contact with bloodborne pathogens, narcotics, and harmful chemicals daily. Therefore, it is essential to wear safety gloves when working with unknown hazards to protect staff's hands from infection and contamination. Nitrile safety gloves are durable and resistant to various chemicals, narcotics, and other physical hazards that can cause cuts, bruises, and piercings on the hands. To protect evidence, staff must wear gloves to avoid cross-contamination. Additionally, OSHA Title 29 of the Code of Federal Regulations (CFR), Bloodborne Pathogens, requires the use of safety gloves. An Invitation for Bid for nitrile examination/safety gloves was advertised on August 25, 2021 on the City’s online bid and management publication system. A summary of the Invitation for Bid and bids received is as follows: 399 Vendors notified 7 Santa Ana vendors notified 128 Vendors downloaded the bid packet City Council 9 –1 11/16/2021 Contracts for Nitrile Safety Gloves November 16, 2021 Page 2 2 2 1 3 26 Bids received 2 Bids received from Santa Ana vendors The bids were received and opened on September 22, 2021, and evaluated (Exhibit 1). The bids submitted by JC Dental Supply located in Torrance, California and Medzon Health located in Anaheim, California were determined to be responsive and met the City’s requirements. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are available and will be budgeted in future budget years as follows: Fiscal Year Accounting Unit- Account #Accounting Unit, Account Description Amount FY 2021-22 01114475 63001 Jail Operations - Misc. Operating Supplies $43,333 FY 2021-22 01114455 63001 Forensic Services - Misc. Operating Supplies $6,667 FY 2021-22 01114420 63001 Field Operations - Misc. Operating Supplies $50,000 FY 2022-23 01114475 63001 Jail Operations - Misc. Operating Supplies $65,000 FY 2022-23 01114455 63001 Forensic Services - Misc. Operating Supplies $10,000 FY 2022-23 01114420 63001 Field Operations - Misc. Operating Supplies $75,000 FY 2023-24 01114475 63001 Jail Operations - Misc. Operating Supplies $21,667 FY 2023-24 01114455 63001 Forensic Services - Misc. Operating Supplies $3,333 FY 2023-24 01114420 63001 Field Operations - Misc. Operating Supplies $25,000 Total $300,000 EXHIBIT(S) 1. Abstract of Bids Submitted By: David Valentin, Police Chief Approved By: Kristine Ridge, City Manager City Council 9 –2 11/16/2021 City of Santa Ana Bid Results for Nitrile Examination Gloves (21-101) Issued on 10/13/21 Vendor UOM Total Quantity Annually Microflex Midknight Black Powder-Free Nitrile Examination Glove Sizes: S-XXL 1000/CS Skintx Medical Grade Black Powder Free - Latex Free Exam Gloves Glove Sizes: S-XXL 1000/CS Grand Total Responsive Bidder Vendor - Non Responsive Bidder List SUBTOTAL SUBTOTAL GRAND TOTAL UWEPORT LLC CHARLOTTE, NC JC DENTAL SUPPLY, TORRANCE, CA CS 521 64,741.80$ $64,741.80 YES MAX POWER INTERNATIONAL CARLSBAD, CA MEZDON HEALTH, ANAHEIM, CA CS 521 56,062.70$ 68,336.01$ $124,398.71 YES PK BOX PRINTING, SANTA ANA, CA (ALTERNATIVE PRODUCT ) ACTONE GOVERNMENT SOLUTIONS, INC LAS VEGAS, NV (ALTERNATIVE PRODUCT)CS 521 57,225.38$ $57,225.38 YES UNITED SUPPLY ALLIANCE LLC SAN MARCOS, CA LUCKY SOLUTIONS, NEWPORT BEACH, CA (ALTERNATIVE PRODUCT)CS 521 59,568.00$ $59,568.00 YES THOMAS SCIENTIFIC LLC SWEDESBORO, NJ WAXIE SANITARY SUPPLY, SANTA ANA, CA (ALTERNATIVE PRODUCT)CS 521 80,499.62$ $80,499.62 YES MEDICAL SYSTEM USA ORLANDO, FL AGATHOS LABORATORIES INC, SAN JOSE, CA (ALTERNATIVE PRODUCT)CS 521 84,662.50$ $84,662.50 YES RS HUGHES CO INC SUNNYVALE, CA BOUNDTREE MEDICAL, DUBLIN, OH CS 521 85,391.00$ $85,391.00 YES GLOVES.COM AUSTIN, CA PERFORMANCE SAFETY GROUP, ST. LOUIS, MO CS 521 86,044.79$ $86,044.79 YES MEDICA PPE INC MIAMI, FL LIFE ASSIST INC., RANCHO CORDOVA, CA CS 521 86,746.50$ $86,746.50 YES GAREX INDUSTRIES MIAMI BEACH, FL INTERBORO PACKAGING CORP, MONTGOMERY, NY CS 521 91,175.00$ $91,175.00 YES QYK BRANDS LLC GARDEN GROVE, CA MIN WING USA, PALOS VERDES ESTATES, CA CS 521 92,738.00$ $92,738.00 YES ZOOM TECHNOLOGIES LLC RIDGEWOOD, NY HEALTHY SCHOOL SUPPLY LLC, CLAYMONT, DE CS 521 129,416.40$ $129,416.40 YES ICS JAIL SUPPLIES INC WACO, TX AMERICAN SAFETY SALES LLC, NEWHALL, CA CS 521 112,015.00$ 112,015.00$ $224,030.00 YES Exhibit 1 City Council 9 –3 11/16/2021 2 2 2 8 Police Department www.santa-ana.org/pd Item # 10 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Ford Police Interceptor Vehicle Purchase AGENDA TITLE: Amend the Contract with Fairway Ford Sales, Inc., to Purchase 25 Additional Ford Police Interceptor Vehicles in the Amount of $1,068,909.50 (Specification No. 21-053) (Non- General Fund) RECOMMENDED ACTION Amend the contract with Fairway Ford Sales, Inc., to purchase 25 additional Ford Police Interceptor vehicles for the Santa Ana Police Department, for a total amount not to exceed $1,068,909.50 (including a $20,000 contingency), subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The Police Department uses Ford Police Interceptor vehicles as the standard vehicle for many of its operations, including Patrol, the Gang Unit, and the Selective Enforcement Unit. This contract award will provide 25 Ford Police Interceptor vehicles for the Police Department. These vehicles are equipped with grille LED lighting, siren and speaker pre- wiring, rear auxiliary lighting, and other features designed to keep officers safe. Once the vehicles are received, they are equipped with the required radios, mobile digital computers, light bars, and additional equipment. With these timelines, it is expected that the new vehicles will go into service in summer/fall 2022. This purchase will allow the Police Department to surplus 15 vehicles that have reached the end of their useful life and add 10 vehicles to accommodate new officers that have completed the Field Training Officer Program. Ford has an approximate four-month lead time for the delivery of these vehicles from receipt of order. On June 15, 2021, the City Council awarded a purchase order to Fairway Ford Sales, Inc. for the purchase of three Ford Police Interceptor vehicles. The Notice Inviting Bids for Bid Specification No. 21-053 was advertised on April 13, 2021, on the City’s online bid management and publication system. City Council 10 –1 11/16/2021 Amend Contract for Ford Police Interceptor Vehicle Purchase November 16, 2021 Page 2 A summary of the bid invitation and bids received is as follows: 379 Vendors were notified 17 Santa Ana vendors were notified 15 Vendors downloaded the bid packet 2 Bids received 0 Bids received from Santa Ana vendors Two bids were received and opened on May 4, 2021, and evaluated as follows (Exhibit 1): Vendor Location Amount Fairway Ford Sales Inc. Placentia, CA $41,956.38 Wondries Fleet Group Alhambra, CA $42,180.13 The total cost for 25 units, including a $20,000 contingency, is $1,068,909.50. The bid submitted by Fairway Ford Sales, Inc., is responsive to the specifications and meets the City’s requirements. Fairway Ford has agreed to honor pricing submitted in response to Bid Specification No. 21-053, thereby allowing the City to amend the contract for additional units. There is no Ford dealership in Santa Ana. FISCAL IMPACT The City’s Equipment Replacement Program was established in 2012 as a means for setting aside funding to replace vehicles in the City’s fleet. A monthly Equipment Replacement Cost (ERC) is determined based on the make, model, year, and useful life of the current vehicle that is participating in the replacement program. The Police Department has deposited sufficient ERC funds to cover the cost of these 25 additional vehicles. Funds for this contract amendment are budgeted and available in FY 2021-22 in the following account. Any unused funding not spent in the current fiscal year will be carried forward, as needed. Fiscal Year Accounting Unit- Account # Accounting Unit, Account Description Amount FY 2021-22 07017100 66400 Fleet Services Equipment Replacement – Machinery and Equipment $1,068,909.50 City Council 10 –2 11/16/2021 2 2 2 8 EXHIBIT(S) 1. Abstract of Bids Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency and David Valentin, Chief of Police – Santa Ana Police Department Approved By: Kristine Ridge, City Manager City Council 10 –3 11/16/2021 Item Description Fairway Ford Sales, Inc. Placentia, CA Wondries Fleet Group Alhambra, CA $38,396.00 $38,523.00 $0.00 $0.00 $3,551.63 $3,563.38 $41,947.63 $42,086.38 $0.00 $85.00 $8.75 $8.75 $0.00 $0.00 $41,956.38 $42,180.13 Agate Black with Oxford White Roof & Doors Ford Police 1Interceptor Utility Model Year 2021 or Newer 2Documentation Fee 39.25% Sales Tax 4Subtotal 5Destination and Delivery (Non Taxable) 6California Tire Fee (Non Taxable) 7Misc. Charges (Non Taxable) 8Total Price per vehicle 91% Local Vendor Preference N/A N/A 10Final Bid Amount as Determined by Basis of Award $41,956.38 $42,180.13 CITY OF SANTA ANA (;+,%,7 City Council 10 –4 11/16/2021 Public Works Agency https://www.santa-ana.org/pw Item # 11 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Police Vehicle Conversion Equipment and Installation Services AGENDA TITLE Amend the Purchase Order Contract With Stommel, Inc. (dba Lehr Auto Electric) to Increase Contract Renewal Amount by $200,000 for the Remaining Three Renewal Periods (Specification No. 20-007) (Non-General Fund) RECOMMENDED ACTION Amend the purchase order contract with Stommel, Inc., (dba Lehr Auto Electric) for police vehicle conversion equipment and installation services by increasing the contract renewal amount by $200,000, for an annual amount not to exceed $400,000 and a total contract amount not to exceed $1,200,000 for the remaining three, one-year renewal periods, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency‘s Fleet Maintenance Division is responsible for the acquisition, maintenance, repair, and replacement of vehicles, trucks, and maintenance equipment. The Police Department is transitioning to the Ford Interceptor Utility as the standard patrol vehicle. A total of 25 vehicles are scheduled to be purchased in FY 2021-22 as part of the Equipment Replacement Program. The Fleet Maintenance Division staff must outfit each of these vehicles with police-related equipment, such as light bars, sirens, weapon racks, security seating, push bumpers, etc., before releasing them to the Police Department. In March 2020, the City entered into a contract with Strommel, Inc., (dba Lehr Auto Electric) for police vehicle conversion equipment and installation services. The approved contract was for a one-year period with provisions for four, one-year renewals. Annual amounts were $200,000, for a total contract amount of $1,000,000. As proposed, the new annual amount of $400,000 is expected to cover the cost to purchase and install the equipment necessary to outfit the additional 25 vehicles. The new total contract amount will be $1,600,000, with $1,200,000 for the remaining three, one-year renewal periods. Santa Ana Ordinance No. NS-2312 authorizes the City to purchase against contracts from any public agency utilizing a competitive bid process. The Placer County contract with City Council 11 –1 11/16/2021 Police Vehicle Conversion Equipment and Installation Services November 16, 2021 Page 2 2 2 3 0 Stommel, Inc., for police vehicle conversion equipment and installation services, was awarded as a result of open, competitive bidding and meets the City's requirements. ENVIRONMENTAL IMPACT There is no environmental impact associated with the action. FISCAL IMPACT Funds are budgeted and available in Fiscal Year 2021-22 for expenditures in account 07017100-66400. Funds for FY22-23 through FY23-24 will be made available for expenditures contingent upon annual budget approval: Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Kristine Ridge, City Manager Renewal Options Fiscal Year Accounting Unit- Account No. Fund Description Account Unit, Account Description Amount FY 2021-22 July - June 07017100-66400 Fleet Equipment Replacement Fund Fleet Services Equipment Replacement- Machinery and Equipment $400,000 FY 2022-23 July - June 07017100-66400 Fleet Equipment Replacement Fund Fleet Services Equipment Replacement- Machinery and Equipment $400,000 FY 2023-24 July - June 07017100-66400 Fleet Equipment Replacement Fund Fleet Services Equipment Replacement- Machinery and Equipment $400,000 TOTAL $1,200,000 City Council 11 –2 11/16/2021 Public Works Agency www.santa-ana.org/pw Item # 12 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Contract Amendment for Asphalt Pothole Repair AGENDA TITLE Amend Purchase Order Contract with All American Asphalt to Increase the Annual Amount by $147,800 for Asphalt Pothole Repair (Specification No. 18-092) (Non-General Fund) RECOMMENDED ACTION Authorize the City Manager to execute an amendment to the Purchase Order Contract with All American Asphalt for asphalt pothole repair, to increase the annual amount by $147,800, for a total annual amount not to exceed $697,800, for the remaining term of the agreement ending on November 30, 2021, with two optional one-year renewal options exercisable by the City Manager and City Attorney, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency’s Maintenance Services Division is responsible for maintaining approximately 400 miles of roadway within the City of Santa Ana. Services provided under the asphalt pothole repair contract include the repair of potholes and the repair of small damaged pavement areas with asphalt overlay. The contract also provides for sidewalk asphalt ramping to reduce risks to pedestrians. On November 20, 2018, the City Council awarded a contract to All American Asphalt for an annual amount not to exceed $550,000 to perform the services mentioned above. In keeping with Council’s directives to provide responsive services to the public, staff recommends increasing the contract amount by $147,800 annually to ensure sufficient funds are available to perform necessary street repairs resulting from increased number of service requests. The additional budget will also help to avoid deferring pothole repairs due to the inability to perform subsequent street repairs. All American Asphalt has provided services to the Public Works Engineering Division for several years and most recently completed the following Capital Improvement Projects (CIP): City Council 12 –1 11/16/2021 Contract Amendment for Asphalt Pothole Repair November 16, 2021 Page 2 2 2 1 9 Project ID Project Title 20-2707 Adams Park Parking Lot Improvements 20-6907 Local Street Preventative Maintenance FY 2019-2020 20-7533 Residential Street Repair Program FY 2019-2020 21-6976 Flower Street Rehabilitation - McFadden Ave to First St. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT On September 21, 2021, the City Council approved the carry-over of unspent funds from Fiscal Year 2020-21 to Fiscal Year 2021-22. Included in that action was the approval of $147,800 in unspent Special Gas Tax funding for sidewalk repairs. These funds are now available for expenditure in the current fiscal year and additional funds will be budgeted in subsequent fiscal years as shown below: Fiscal Year Accounting Unit- Account # Fund Description Accounting Unit, Account Description Amount CURRENT ANNUAL AMOUNT (1-Year Term) 2020-21 02917660- 62300 Special Gas Tax Roadway Maintenance, Contract Services-Professional $550,000 REQUESTED AMENDMENT AMOUNT 2020-21 02917660- 62300 Special Gas Tax Roadway Maintenance, Contract Services-Professional $147,800 ADJUSTED SUBTOTAL $697,800 OPTIONAL EXTENSIONS (1-Year Terms) 2021-22 02917660- 62300 Special Gas Tax Roadway Maintenance, Contract Services-Professional $697,800 2022-23 02917660- 62300 Special Gas Tax Roadway Maintenance, Contract Services-Professional $697,800 Total $2,093,400 Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Kristine Ridge, City Manager City Council 12 –2 11/16/2021 Public Works Agency www.santa-ana.org/pw Item # 13 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Omnibus Concrete Repairs AGENDA TITLE Award a Construction Contract to CJ Concrete Construction, Inc., in the Amount of $360,183, for the Omnibus Concrete Repairs FY 2021-22 Project, with an Estimated Project Delivery Cost of $594,210.50 (Project No. 22-6970) (Non-General Fund) RECOMMENDED ACTION 1. Award a construction contract to CJ Concrete Construction, Inc, the lowest responsible bidder, in accordance with the base bid in the amount of $360,183, for construction of the Omnibus Concrete Repairs FY 2021-22, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non-substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $594,210.50, which includes $360,183 for the construction contract; $54,027.50 for contract administration, inspection and testing; and a $180,000 project contingency for unanticipated or unforeseen work. DISCUSSION The scope of work for the Omnibus Concrete Repairs project includes removal and replacement of Portland Cement Concrete. This project will provide for replacement of damaged and deteriorated concrete sidewalk, curbs, gutters, cross gutters, wheelchair ramps, driveway approaches and concrete pavement in the areas identified (Exhibit 1). Public Outreach and Contractor Participation To provide an opportunity for local vendors to submit bids, the City notified a total of 250 regional vendors via PlanetBids, many of which are Santa Ana based. Thirty-eight vendors requested bidding documents, and a total of seven bids were received. Bids were not received from any Santa Ana contractors. As legally required, a Notice Inviting Bids was advertised in the Orange County Register newspaper on August 28 and September 3, 2021. The project was also advertised in City Council 13 –1 11/16/2021 Award Construction Contract to CJ Concrete Construction, Inc. November 16, 2021 Page 2 2 2 2 1 PlanetBids from August 24, 2021, through September 21, 2021. Bids were received electronically via PlanetBids on September 21, 2021. Bid Results Summary RANK BIDDER’S NAME LOCATION BASE BID 1 CJ Concrete Construction, Inc.Santa Fe Springs $360,183.00 2 CT&T Concrete Paving Inc.Diamond Bar $374,545.00 3 TOWO Enterprise Inc.Fullerton $395,253.00 4 EBS General Engineering Inc.Corona $423,026.00 5 Vido Samarzich, Inc.Rancho Cucamonga $443,883.00 6 C.S. Legacy Construction Inc.Chino $448,759.63 7 MBC Enterprises Inc.Westminster $943,916.00 A total of seven bids were received, and all were deemed responsive. CJ Concrete Construction, Inc., submitted the lowest responsive base bid in the amount of $360,183 (Exhibit 2). As specified in the bid documents, the lowest bid shall be determined on the basis of the Base Bid. CJ Concrete Construction has not performed pervious work for the City of Santa Ana. Based on the bid analysis and a contractor’s reference check, staff recommends awarding the construction contract to CJ Concrete Construction, Inc., in the amount of the base bid totaling $360,183 (Exhibit 3). Project Delivery To deliver a complete project, in addition to the construction contract, the estimated total project delivery cost includes construction administration, inspection, and testing, along with an allowance for contingencies to account for unexpected or unforeseen conditions. Construction administration and inspection includes construction management; implementation of the City’s Community Workforce Agreement requirements; inspection of the Contractor’s work to ensure contract compliance, workmanship, and quality; and materials testing. As indicated in the Cost Analysis (Exhibit 4) and as summarized in the table below, the estimated total construction delivery cost of the project is $594,210.50. Project Item Total Construction Contract $360,183.00 Construction Administration, Inspection, Testing $54,027.50 Contingencies $180,000.00 TOTAL CONSTRUCTION DELIVERY COST $594,210.50 City Council 13 –2 11/16/2021 Award Construction Contract to CJ Concrete Construction, Inc. November 16, 2021 Page 3 2 2 2 1 ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER- 2021-99 was filed for the project. FISCAL IMPACT As indicated in the Cost Analysis, the estimated total construction delivery cost of the project is $594,210.50, which includes construction, contract administration, inspection, testing, and an authorized contingency. Funds for this project were appropriated in Fiscal Year 2021-22 and are available for expenditure. Any remaining balances not expended at the end of the fiscal year will be carried forward into FY 2022-23 for expenditure. The following table summarizes the funds budgeted and available for expenditure to deliver construction of this project. Fiscal Year Accounting Unit - Account No. (Project No.) Fund Description Accounting Unit - Account No. Description Amount 2021-22 02917660- 62300 (22-6970) Special Gas Tax Roadway Maintenance, Contract Services - Professional $594,210.50 Total $594,210.50 EXHIBIT(S) 1. Location Map 2. Bid Proposal 3. Construction Contract 4. Cost Analysis Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Kristine Ridge, City Manager City Council 13 –3 11/16/2021 PWA SANTA ANA PUBLIC WORKS AGENCY Project No. 22-6970: Omnibus Concrete Repairs Exhibit 1 EXHIBIT 1 City Council 13 –4 11/16/2021 City of Santa Ana Omnibus Concrete Repairs (22-6970), bidding on 09/21/2021 2:00 PM (PDT) Page 1 of 3 Printed 09/21/2021 PlanetBids, Inc. EXHIBIT 2 City Council 13 –5 11/16/2021 City of Santa Ana Omnibus Concrete Repairs (22-6970), bidding on 09/21/2021 2:00 PM (PDT) Page 2 of 3 Printed 09/21/2021 PlanetBids, Inc. EXHIBIT 2 City Council 13 –6 11/16/2021 City of Santa Ana Omnibus Concrete Repairs (22-6970), bidding on 09/21/2021 2:00 PM (PDT) Page 3 of 3 Printed 09/21/2021 PlanetBids, Inc. EXHIBIT 2 City Council 13 –7 11/16/2021 EXHIBIT 3 City Council 13 –8 11/16/2021 EXHIBIT 3 City Council 13 –9 11/16/2021 EXHIBIT 3 City Council 13 –10 11/16/2021 EXHIBIT 3 City Council 13 –11 11/16/2021 EXHIBIT 3 City Council 13 –12 11/16/2021 EXHIBIT 4 Construction Contract 360,183.00$ Contract Administration, Inspection and Testing 54,027.50$ Contingencies 180,000.00$ TOTAL ESTIMATED CONSTRUCTION COSTS 594,210.50$ Prog Pay Const Eng Des Eng Conting TOTAL EXISTING MISSING BUDGET Phase Prog Pay Const Eng Des Eng Conting TOTAL TRANSFER PROG PAY & CONTING FROM MEMORIAL TO CAMPESINO Phase CONSTRUCTION OF PROJECT NO. 22-6970: Omnibus Concrete Repairs COST ANALYSIS City Council 13 –13 11/16/2021 Public Works Agency www.santa-ana.org/pw Item # 14 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Grovemont Street Water Main Improvements AGENDA TITLE Award a Construction Contract to Stephen Doreck Equipment Rentals, Inc., in the Amount of $1,265,465 for the Grovemont Street Water Main Improvements FY 2021-22 Project, with an Estimated Project Delivery Cost of $1,645,105 (Project No. 21-6466) (Non- General Fund) RECOMMENDED ACTION 1. Award a construction contract to Stephen Doreck Equipment Rentals, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $1,265,465, for construction of the Grovemont Street Water Main Improvements FY 2021-22 Project, for the term beginning January 3, 2022, and ending upon project completion, and authorize the City Manager to execute the contract subject to non-substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,645,105, which includes $1,265,465 for the construction contract; $189,820 for contract administration, inspection and testing; and $189,820 in project contingency for unanticipated or unforeseen work. DISCUSSION The Public Works Agency Water Resources Division monitors the condition of water main pipelines by assessing critical factors such as history of breaks, pipe size, alignment, location, and system redundancy, to determine replacement priorities. The existing 6- inch-diameter asbestos cement water main, which was installed in the 1960s, has been experiencing a number of significant breaks and leaks, and has been identified as a priority for replacement. The Grovemont Street Water Main Improvements Project will include replacement of approximately 3,580 linear feet of 8” polyvinyl chloride (PVC) water main and approximately 40 linear feet of 12" PVC water main, plus all necessary appurtenances related to the new water facilities in the area identified in Exhibit 1. City Council 14 –1 11/16/2021 Grovemont Street Water Main Improvements November 16, 2021 Page 2 2 2 2 4 Public Outreach and Contractor ParticipationAs legally required, a Notice Inviting Bids was advertised in the Orange County Register newspaper on September 7 and 8, 2021. The project was also advertised in PlanetBids from August 31, 2021, through September 28, 2021. To provide an opportunity for local vendors to submit bids, the City electronically notified a total of 535 regional vendors, many of which are based in Santa Ana. Fifty-five vendors requested bidding documents, and a total of nine bids were received. No bids were received from Santa Ana contractors. Bid Results Summary RANK BIDDER’S NAME LOCATION BASE BID 1 Stephen Doreck Equipment Rentals, Inc. Pico Rivera $ 1,265,465.00 2 J. De Sigio Construction Baldwin Park $ 1,573,772.00 3 Vido Samarzich, Inc.Rancho Cucamonga $ 1,577,010.00 4 SRK Engineering Escondido $ 1,803,800.00 5 Ramona Inc. Baldwin Park $ 1,843,465.00 6 Excel paving Co Long Beach $ 1,919,845.00 7 Colich & Sons L.P.Gardena $ 2,582,075.00 8 Murray Company Rancho Dominguez $ 2,669,114.00 9 CEM Construction Corp. Montebello $ 3,240,510.00 All nine bids received were deemed responsive. Stephen Doreck Equipment Rentals, Inc., submitted the lowest responsive base bid in the amount of $1,265,465 (Exhibit 2). As specified in the bid documents, the lowest bid shall be determined on the basis of the Base Bid. Based on the bid analysis and a contractor’s reference check, staff recommends awarding the construction contract to Stephen Doreck Equipment Rentals, Inc., in the amount of the base bid totaling $1,265,465 (Exhibit 3). Stephen Doreck performed three previous projects for the City of Santa Ana: Project 10-6403 Catalina Street Pump Owner’s Association Water Service Connection Project 15-6448 Thornton Park Neighborhood Water Main Improvements Project 21-6457 Valley Adams Neighborhood Water Main Improvements Phase 2. Project Delivery To deliver a complete project, in addition to the construction contract, the estimated total project delivery cost includes construction administration, inspection, and testing, along City Council 14 –2 11/16/2021 Grovemont Street Water Main Improvements November 16, 2021 Page 3 2 2 2 4 with an allowance for contingencies to account for unexpected or unforeseen conditions. Construction administration and inspection includes construction management; implementation of the City’s Community Workforce Agreement requirements; inspection of the Contractor’s work to ensure contract compliance, workmanship, and quality; and materials testing. As indicated in the Cost Analysis (Exhibit 4) and as summarized in the table below, the estimated total construction delivery cost of the project is $1,645,105. Project Item Total Construction Contract $ 1,265,465 Construction Administration, Inspection, Testing $ 189,820 Contingencies $ 189,820 TOTAL CONSTRUCTION DELIVERY COST $1,645,105 ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER- 2021-64 was filed for the project. FISCAL IMPACT As indicated in the Cost Analysis, the estimated total construction delivery cost of the project is $1,645,105, which includes construction, contract administration, inspection, testing, and an authorized contingency. Funds for this project are budgeted and available in Fiscal Year 2021-22. The following table summarizes the funds budgeted and available for expenditure to deliver construction of this project. Fiscal Year Accounting Unit - Account No. (Project No.) Fund Description Accounting Unit - Account No. Description Amount 2021-22 06617647-66301 (21-6466) Acquisition & Construction Water Utility Capital Projects, Water Capital Project $1,645,105 Total $1,645,105 EXHIBIT(S) 1. Location Map 2. Bid Proposal 3. Construction Contract 4. Cost Analysis Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Kristine Ridge, City Manager City Council 14 –3 11/16/2021 Exhibit 1 PWA SANTA ANA PUBLIC WORKS AGENCY Project No. 21-6466: Grovemont Street Water Main Improvement EXHIBIT 1 - PROJECT LOCATION EXHIBIT 1 City Council 14 –4 11/16/2021 City of Santa Ana Grovemont Street Water Main Improvements (21-6466), bidding on 09/28/2021 2:00 PM (PDT) Page 1 of 3 Printed 09/30/2021 PlanetBids, Inc. City Council 14 –5 11/16/2021 City of Santa Ana Grovemont Street Water Main Improvements (21-6466), bidding on 09/28/2021 2:00 PM (PDT) Page 2 of 3 Printed 09/30/2021 PlanetBids, Inc. City Council 14 –6 11/16/2021 City of Santa Ana Grovemont Street Water Main Improvements (21-6466), bidding on 09/28/2021 2:00 PM (PDT) Page 3 of 3 Printed 09/30/2021 PlanetBids, Inc. City Council 14 –7 11/16/2021 City Council 14 –8 11/16/2021 City Council 14 –9 11/16/2021 City Council 14 –10 11/16/2021 City Council 14 –11 11/16/2021 City Council 14 –12 11/16/2021 City Council 14 –13 11/16/2021 EXHIBIT 4 Construction Contract 1,265,465.00$ Contract Administration, Inspection and Testing $189,819.75 Contingencies $189,819.75 TOTAL ESTIMATED CONSTRUCTION COSTS 1,645,104.50$ Prog Pay Const Eng Des Eng Conting TOTAL EXISTING MISSING BUDGET Phase Prog Pay Const Eng Des Eng Conting TOTAL TRANSFER PROG PAY & CONTING FROM MEMORIAL TO CAMPESINO Phase CONSTRUCTION OF PROJECT NO. 21-6466: Grovemont Street Water Main Improvement COST ANALYSIS City Council 14 –14 11/16/2021 Parks, Recreation, and Community Services www.santa-ana.org/parks Item # 15 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Fountain Maintenance Services Agreement AGENDA TITLE: Approve an Agreement with Service First Contractors Network dba Service First for Fountain Maintenance Services located at the Downtown Civic Center, including Plaza of the Fountains (3 Fountains), Plaza of the Sun (1 Fountain), Sasscer Park (1 Fountain), 2nd Street Mall (1 Fountain) and the Santa Ana Regional Transportation Center (1 Fountain) (Non-General Fund) RECOMMENDED ACTION Authorize the City Manager to execute an agreement with Service First Contractors Network dba Service First to provide fountain maintenance services in an annual amount not to exceed $106,170, which includes a 20% contingency, for a term from January 1, 2022 through December 31, 2023, with two, one-year renewal options for a total amount not to exceed $424,680, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION Through the Civic Center Authority joint powers agreement with the County of Orange, the City of Santa Ana, Parks, Recreation and Community Services Agency (PRCSA) is responsible for providing grounds maintenance services in the Santa Ana Civic Center. As part of the services, there is routine maintenance of the fountains located in the Downtown Civic Center, including Plaza of the Fountains (3), Plaza of the Sun (1), Sasscer Park (1), 2nd Street Mall fountain (1) and the Santa Ana Regional Transportation Center (1). On September 13, 2021, a Request for Proposals (RFPs) was issued to companies to solicit proposals from fountain maintenance vendors to service our Downtown and Civic Center fountains. A summary of the proposal invitations and proposals received is as follows: 472 Vendors were notified 31 Santa Ana vendor was notified City Council 15 –1 11/16/2021 Fountain Maintenance Services Agreement November 16, 2021 Page 2 2 2 1 0 18 Vendors downloaded the request for proposal packet 2 Proposals received 1 Proposal received from a Santa Ana vendor Of the two proposals received, one was considered unresponsive, due to missing documents. An evaluation committee reviewed and rated the proposal according to the criteria listed in the RFP, which includes Statement of Qualifications & References, Manner of Performing Services & Schedule and fee. Service First Contractors Network dba Service First and their bid is responsive to the specifications and all other City requirements. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are budgeted and made available in the following accounts for the current fiscal year and will be budgeted in the following accounts for future fiscal years, including renewal periods, if exercised. Fiscal Year Accounting Unit-Account # Fund Description Accounting Unit, Account Description Amount FY 21-22 07413250-62320 Civic Center Maintenance Civic Center-Regular Maintenance, Maint. & Repair Bldg. & Ground $47,657 02718133-62300 Parking Fund Downtown Enhancements, Contract Services-Professional $1,380 06717650-62300 Regional Transportation Center PWA-SARTC Operations, Contract Services-Professional $3,598 FY 22-23 07413250-62320 Civic Center Maintenance Civic Center-Regular Maintenance, Maint. & Repair Bldg. & Ground $95,313 02718133-62300 Parking Fund Downtown Enhancements, Contract Services-Professional $3,662 06717650-62300 Regional Transportation Center PWA-SARTC Operations, Contract Services-Professional $7,195 FY 23-24 07413250-62320 Civic Center Maintenance Civic Center-Regular Maintenance, Maint. & Repair Bldg. & Ground $95,313 City Council 15 –2 11/16/2021 Fountain Maintenance Services Agreement November 16, 2021 Page 3 2 2 1 0 02718133-62300 Parking Fund Downtown Enhancements, Contract Services-Professional $3,662 06717650-62300 Regional Transportation Center PWA-SARTC Operations, Contract Services-Professional $7,195 FY 24-25 07413250-62320 Civic Center Maintenance Civic Center-Regular Maintenance, Maint. & Repair Bldg. & Ground $95,313 02718133-62300 Parking Fund Downtown Enhancements, Contract Services-Professional $3,662 06717650-62300 Regional Transportation Center PWA-SARTC Operations, Contract Services-Professional $7,195 FY 25-26 07413250-62320 Civic Center Maintenance Civic Center-Regular Maintenance, Maint. & Repair Bldg. & Ground $47,656 02718133-62300 Parking Fund Downtown Enhancements, Contract Services-Professional $2,282 06717650-62300 Regional Transportation Center PWA-SARTC Operations, Contract Services-Professional $3,597 EXHIBIT(S) 1. Agreement Submitted By: Lisa Rudloff, Executive Dir. of Parks, Recreation and Community Services Approved By: Kristine Ridge, City Manager City Council 15 –3 11/16/2021 Page 1 of 10 AGREEMENT TO PROVIDE FOUNTAIN MAINTENANCE AND REPAIR SERVICES THIS AGREEMENT is made and entered into this 16th day of November, 2021 by and between Service First Contractors Network dba Service 1st (“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”). City and Contractor are also referred to as “the Parties.” RECITALS A. On September 13, 2021, the City issued Request for Proposal (“RFP”) No. 21-102, by which it sought a qualified contractor to provide fountain maintenance and repair services. B. Contractor submitted a responsive proposal that was selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in RFP 21-102. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional contracting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Contractor shall perform 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 fountain repair and maintenance services described and set forth in the scope of work that was included in RFP No. 21-102, which is attached as Exhibit A and incorporated in full, and as further described in Contractor’s Proposal, which is attached as Exhibit B and incorporated in full. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit C. The annual amount, including any extension period exercised under Section 3, shall not exceed one- hundred six thousand one-hundred seventy dollars and zero cents ($106,170.00), which includes (1) a base sum of $88,475 and (2) a twenty percent (20%) contingency in the amount of $17,695 for additional services at the City’s sole discretion. The total sum to be expended under the term of this Agreement, including any extension periods, shall not exceed four-hundred twenty-four thousand six-hundred eighty dollars and zero cents ($424,680.00). City Council 15 –4 11/16/2021 Page 2 of 10 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. 3. TERM This Agreement shall commence on January 1, 2022 and terminate on December 31, 2023, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for up to two (2), one (1) year periods upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, 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 th e 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 City Council 15 –5 11/16/2021 Page 3 of 10 perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Documents & Data which were provided to Contractor by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that a ny 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. Minimum Scope and Limit of Insurance 1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. 2. Automobile Liability: ISO Form Number CA 00 01 covering any auto (Code 1), or if Contractor has no owned autos, hired, (Code 8) and non-owned autos (Code 9), with a limit no less than $1,000,000 per accident for bodily injury and property damage. 3. Workers’ Compensation: as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. 4. 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 $2,000,000 per claim with $2,000,000 in the aggregate. If the Contractor maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. b. Other Insurance Provisions 1. Additional Insured Status: The City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Contractor including City Council 15 –6 11/16/2021 Page 4 of 10 materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Contractor’s insurance (at least as broad as ISO Form CG 20 10 11 85 or if not available, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 if a later edition is used). 2. Primary Coverage: For any claims related to this contract, the Contractor’s insurance coverage shall be primary coverage at least as broad as ISO CG 20 01 04 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self- insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Contractor’s insurance and shall not contribute with it. 3. Notice of Cancellation: Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the City. 4. Waiver of Subrogation: Contractor hereby grants to City a waiver of any right to subrogation that any insurer of said Contractor may acquire against the City by virtue of the payment of any loss under such insurance. Contractor agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. 5. Self-Insured Retentions: Self-insured retentions must be declared to and approved by the City. The City may require the Contractor to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City. 6. Acceptability of Insurers: Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the City. 7. Claims Made Policies (applicable only to professional liability): i. The Retroactive Date must be shown, and must be before the date of the contract or the beginning of contract work. City Council 15 –7 11/16/2021 Page 5 of 10 ii. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. iii. If coverage is canceled or non-renewed, and not replaced with another claims-made policy form with a Retroactive Date prior to the contract effective date, the Contractor must purchase “extended reporting” coverage for a minimum of five (5) years after completion of work. 8. Verification of Coverage: Contractor shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Contractor’s obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. 9. Subcontractors: Contractor shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Contractor shall ensure that City is an additional insured on insurance required from subcontractors. 10. Special Risks or Circumstances: City reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances. 8. INDEMNIFICATION Contractor agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Contractor or its subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that City Council 15 –8 11/16/2021 Page 6 of 10 personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Contractor’s services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor shall defend, indemnify and hold harmless the City, its officers, agents, representatives, and employees against any and all liability, including costs, and attorney’s fees, for infringement of any United States’ letters patent, trademark, or copyright contained in the work product or documents provided by Contractor to the City pursuant to this Agreement. 10. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Contractor shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Contractor shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Contractor under this Agreement. 11. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. “Confidential Information” shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. City Council 15 –9 11/16/2021 Page 7 of 10 12. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax 714- 647-6956 With copy to: Executive Director of Parks, Recreation and Community Services City of Santa Ana 20 Civic Center Plaza (M-23) P.O. Box 1988 Santa Ana, California 92702 Fax (714) 571-4211 To Contractor: Service First Attn: Robert Wormus, Account Manager 2510 N. Grand Ave., Ste. 110 Santa Ana, CA 92705 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these timeframes, weekends, federal, state, County or City holidays shall be excluded. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and City Council 15 –10 11/16/2021 Page 8 of 10 Contractor regarding the subject matter herein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City’s prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services which are the subject to this Agreement performed by City personnel or by other contractors retained by City. 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 18. NON-DISCRIMINATION Contractor shall not discriminate because of race, color, creed, religion, sex, marital City Council 15 –11 11/16/2021 Page 9 of 10 status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 19. JURISDICTION-VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 20. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 21. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney’s fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA ________________________ _________________________ Daisy Gomez Kristine Ridge Clerk of the Council City Manager City Council 15 –12 11/16/2021 City Council 15 –13 11/16/2021 EXHIBIT A City Council 15 –14 11/16/2021 City of Santa Ana RFP 21-102 Page 12 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR FOUNTAIN MAINTENANCE RFP NO.: 21-102 Description of Work The Contractor shall furnish all labor, vehicles, chemicals, tools, materials, equipment, transportation, and supervision, except as specified herein as City furnished, to manage and perform maintenance and minor repairs of the fountains identified below: Fountain Location Service Per Week Plaza of the Fountain #1 North of State Building 3 Times Plaza of the Fountain #2 East of Law Library 3 Times Plaza of the Fountain #3 South of Law Library 3 Times Plaza of the Sun Fountain Between City Hall and Main Library 3 Times Sasscer Park Fountain Corner of Santa Ana Blvd. and Broadway 3 Times 2nd Street Mall Fountain Between Sycamore St. and Broadway 3 Times Responsibilities Included. Fountain maintenance and repair services covered by this specification include the tasks shown in the table below: Fountain Maintenance & Repair (where applicable work shall be performed routinely per manufacturers specifications) 1 Maintain pumps 2 Maintain pump motors 3 Maintain all plumbing i.e. piping, couplings, and fittings 4 Maintain and utilize chlorine and metering/monitoring equipment* 5 Maintain filters 6 Maintain fountain nozzles free of debris. Replace when spray pattern deviates from intended design 7 Maintain valves Routine Maintenance and Operation To Meet All O.C. Health Department Requirements 8 Test and adjust the chlorine and other chemicals levels in the water. 9 Test the pH level in the water 10 Add acid or soda ash as necessary to adjust pH level 11 Provide all supplies (e.g., chemicals, testers) 12 Replace carbon dioxide gas cylinders when empty and without interruption to system operation 13 Empty strainer(s) (interceptor basket), skimmers and screens 14 Shock treat when required to maintain water free of algae 15 Vacuum and clean fountain 16 Adjust water level 17 Test and replace underwater lights as outages occur. City Council 15 –15 11/16/2021 City of Santa Ana RFP 21-102 Page 13 Periodic Maintenance Per Manufacturers Specifications 18 Backwash and operate filter(s) as recommended by the manufacturer. 19 Replace filter medium, if necessary as recommended by the manufacturer. *Note: It is very important and required that the contractor be experienced with the automated chemical controllers and operate the equipment to control the chemicals on a continuous basis. Fountain Structure Routine Maintenance and Repair 20 Repair interior fountain cracks and leaks caused by normal age and wear. Cracks and leaks caused by extraordinary cause, i.e., vandalism, earthquake, do not apply 21 Replace broken or missing skimmer lids and drain covers as necessary. Responsibilities Excluded. Fountain maintenance and repair services covered by this specification exclude the tasks shown in the table below. Tasks Excluded from Fountain Maintenance and Repair Facility Maintenance and Repair 1 Paint interior and exterior of pump/filter room 2 Maintain pump/filter room (e.g., lights, ventilation) 3 Repair building electrical components 4 Replace lamps for area and general lighting 5 Repair power panels, switches, outlets, etc. Grounds and Fencing 6 Landscape work 7 Repair fences and gates (including locks) 8 Repair or repaint signs 1. DEFINITIONS Clean. Free from dirt, dust, spots, streaks, stains, smudges, litter, debris, contamination, or residue or impurities, unsoiled, unstained, or recently washed. Director. The Director of Parks, Recreation and Community Services or their designated representative with the authority to enter into, administer, or terminate contracts and to make findings and determinations on behalf of the City. This is the only individual authorized to change a contract or any of the requirements therein. Contractor. The individual, partnership, company, or corporation responsible for the duties and responsibilities under the Agreement. The term also covers requirements for any subcontractor. The Contractor is ultimately responsible for ensuring that all subcontractors comply with the provision of the Agreement. Day. A normal weekday, unless otherwise specified. Deficiency. A shortcoming in the quality or state of service performed. Disinfect. Cleaning in order to destroy any harmful microorganisms by application of an approved chemical agent. Emergency Work. Any unforeseen circumstance or combination of circumstances that requires immediate action. City Council 15 –16 11/16/2021 City of Santa Ana RFP 21-102 Page 14 Environmental Pollution. The condition resulting from the presence of chemical, physical, radiological and/or biological forces that alter the life bio systems, structures, and equipment, recreational opportunity, aesthetics or natural beauty or the environment. Frequency of Service. The following are frequencies and their definitions. Frequently Abbreviation Definition Annual A Services performed once during each 12 month period of the contract Semi-Annual S/A Services performed twice during each 12 month period of the contract at intervals of 160 to 200 calendar days Quarterly Q Services performed four times during each 12-month period of the contract at intervals of 80 to 100 calendar days. Monthly M Services performed 12 times during each 12-month period of the contract at intervals of 28 to 31 calendar days. Weekly W Services performed 52 times during each 12-month contract period at intervals of 6 to 8 calendar days. Twice Weekly 2W Services performed twice a week, such as Monday and Thursday or Tuesday and Friday Daily D Services performed each calendar day, Sunday through Saturday, including holidays unless otherwise noted. Three times Weekly 3W Services performed three times a week, such as Monday, Wednesday, Friday but not consecutive days. Hazardous Waste. Any waste materials that are toxic or poisonous, corrosive, irritating, desensitizing, radioactive, biologically infectious, explosive, or flammable and hat present a significant hazard to human health and the environment. Special handling procedures and disposal facilities are required for their disposal. Minor Repairs. Repairs that are necessary for maintenance of equipment, such as refacing valve seats, and replacing washers. Minor Parts. Repair parts having a per item cost of $25.00 or less. Owner. The person or persons who own a facility or part of a facility. For purposes of the contract, the City is the owner. Periodic Services. Services which are required less frequently than once per billing period. These normally include services which are performed at a frequency or less than once per month, e.g., quarterly or semi- annually. Preventive Maintenance. Work performed by the Contractor to inspect, repair, and keep in proper operating condition all City equipment the Contractor is responsible for maintaining. Recyclable Materials. Materials that normally have been or would be discarded and that may be reused after undergoing some type of physical or chemical processing. Recyclable materials do not include precious metal bearing scrap and those items that may be used again for their original purpose or function without any special processing. City Council 15 –17 11/16/2021 City of Santa Ana RFP 21-102 Page 15 Routine Services. Services which are required on a regular basis within each billing period. These normally include services performed at a frequency or at least once per month, e.g., daily or weekly. Work Day. A normal duty day, Sunday through Saturday. 2. FREQUENCY Frequency of “daily” tasks shall be performed at the frequencies identified on Attachment 3-6: Fee Schedule. Contractor shall maintain a set schedule for providing the daily tasks. 3. PERSONNEL 3.1. Project Foreman. Unless the Contractor is available as required herein, the Contractor shall provide a Project Foreman to be available during the normal hours of operation as specified in paragraph C.1.6 to act with full authority for the Contractor. This individual shall be responsible for the supervision, overall administration, and coordination of all required services. The Contractor shall provide the name(s) and telephone number(s) of the Project Foreman(s) within two weeks after contract award date. The Contractor shall provide written notice to the Director in advance of any change of the Project Foreman. The Project Foreman shall be able to understand, speak, read, and write the English language as is necessary for the fulfillment of the terms of the Agreement. The Project Foreman shall return all calls from the Director within two hours. 3.2. Alternate Project Foreman. The Contractor shall designate at least one Alternate Project Foreman to act for the Project Foreman with the same authority during absences of the Project Foreman (e.g., vacation and sick leave). The Contractor shall provide the name(s) and telephone number(s) of the Alternate Project Foreman(s) within two weeks after contract award date. The Contractor shall provide written notice to the Director in advance of any change of Alternate Project Foreman. The Alternate Project Foreman shall be able to understand, speak, read, and write the English language as is necessary for the fulfillment of the terms of the Agreement. 3.3. Contractor Employee Skills Required. The Contractor’s employees performing the services required by this Agreement shall have specialized training, prior work experience, or the demonstrated technical skills to fulfill the specific requirements of these Specifications and the Agreement. 3.4. Employee Physical Capabilities. There shall be no discrimination against employees on the basis of handicap or other physically disabling conditions. Contractor shall obey all State and Federal laws concerning the disabled. 3.5. Standards of Conduct for Contractor Personnel. The Contractor shall be responsible for maintaining satisfactory standards of employee competency and conduct and for taking disciplinary action against his employees as necessary. No Contractor employee under the influence of alcohol, drugs, or any other incapacitating agent shall be allowed on the jobsite. The removal from the job site of a Contractor employee shall not relieve the Contractor of the requirement to provide sufficient personnel to perform the work specified in the contract. 3.6. Uniforms. All Contractor personnel shall wear uniforms that are clean and neat and free of wrinkles, tears, holes, frayed edges, spots, stains, body odor, and logos or graphics other than company City Council 15 –18 11/16/2021 City of Santa Ana RFP 21-102 Page 16 identification patches. All uniforms should identify the name of the Contractor. Uniforms shall be clearly distinguishable from City employee uniforms. 3.7. Director’s Authority. The Director is the only person authorized to direct changes in any of the requirements under the Agreement and, not withstanding any provisions contained elsewhere in the Agreement, and said authority remains solely in the Director. In the event that the Contractor effects any such changes at the direction of any person other than the Director, the changes will be considered to have been made without authority and solely at the risk of the Contractor. In addition, the Director shall have the authority to accept/reject materials, workmanship and to make minor changes in work or schedule, not involving extra cost. When the performance of the work or completion per schedule is determined to be sub-standard, he may (1) recommend that all or a portion of payment be withheld, and/or forfeiture for delay in assessed; and/or (2) direct the work be accomplished by either City forces or separate contractor, in order to complete the necessary work as close to schedule as possible, and withhold the resulting costs. Payment to be withheld shall be deducted from the next monthly payment due the Contractor, or if the amount is insufficient to cover payment, the Contractor shall be liable for said deficiency and will be billed accordingly. The Director or his authorized representative shall decide all questions, which may arise as to the manner of performance and completion per schedule, acceptable fulfillment of the Agreement by the Contractor, interpretation of the specifications, and compensation, including completion of work by alternate sources. 3.8. Subcontractors 3.8.1. Designation of Subcontractors. In accordance with the provisions of Section 4100 and subsequent section of the Government Code concerning the Subletting and Subcontracting Fair Practices Act, bids on public contracts and for all work except the construction, improvement, or repair of streets or highways and bridges shall include a listing of all subcontractors who will perform work or labor or render service to the prime contractor’s total bid. This requirement for the listing of subcontractors also extends to that portion of street or highway work involving street lighting and traffic signals as noted in Section 4100.5. The portion of work, which will be done by each such subcontractor, must be listed and only one such subcontractor shall be listed for each portion. 3.8.2. Failure to Specify Subcontractors. If the bidder fails to specify a subcontractor for any portion of the work to be performed under the contract in excess of one-half of one percent of the bidder’s total bid, he agrees to perform that portion himself. The successful bidder shall not, without the written consent of the city: 3.8.2.1. Substitute any person or firm as subcontractor in place of the subcontractor designated in the original bid. 3.8.2.2. Permit any subcontract to be assigned or transferred or allow it to be performed by anyone other than the original subcontractor listed in the bid. 3.8.2.3. Subcontract any portions of the work after bid is submitted if the cost thereof exceeds one-half of one percent of the total bid and a subcontractor was not designated for the work in the original bid. City Council 15 –19 11/16/2021 City of Santa Ana RFP 21-102 Page 17 4. HOURS OF OPERATION 4.1. Normal Hours of Operation. Normal operating hours shall be from 6:30a.m. to 6:00 p.m. Sunday through Saturday. 5. CONSERVATION OF UTILITIES The Contractor shall familiarize himself and require his employees to become familiar and comply with standard operating procedures that comply with conservation regulations. Compliance with Energy Conservation best practice includes: 5.1. Instructing personnel to conserve energy by turning off unneeded equipment and utilities (including electricity and water). 5.2. Using lights only in areas where work is actually being performed. 5.3. Allowing adjustment of mechanical equipment controls for heating, ventilation, and air conditioning systems only by authorized workers. 5.4. Turning off water faucets or valves after required usage has been accomplished. 5.5. Complying with water bans imposed by local, state, or Federal agencies. 6. SAFETY. All work performed under this contract shall be performed in a manner as to provide maximum safety to the public and where applicable, comply with all safety standards required by CAL-OSHA. The Director reserves the right to issue restraint or cease and desist orders to the Contractor when unsafe or harmful acts are observed or reported relative to the performance of the work under this Agreement. 6.1. Safety Orientation for Contractor Personnel. The Contractor shall give each new employee performing under this Agreement a safety orientation concerning the hazards and precautions of the job assigned upon starting work. The Contractor shall institute a continual training program to make employees aware of existing hazards and all new hazards relative to work performed under this Agreement. 6.2. Creation of Safety or Health Hazard. If the Contractor performs work in a manner that creates a safety or health hazard to City or Contractor personnel or the general public, the Director may issue an order stopping all or part of the work until the Contractor has taken satisfactory corrective action. No part of the lost time due to such a stop in the work shall be the subject of a claim for extension or for excess costs or damages to the Contractor. 6.3. Protective Equipment. The Contractor shall provide its employees with protection against safety and health hazards by furnishing them with all the protective equipment needed. Such equipment shall be approved for the use intended by the National Institute for Occupational Safety and Health or the American National Standards Institute (ANSI). The Contractor shall post areas that require the wearing of protective clothing or where protective equipment is necessary. 6.4. Material Safety Data Sheets. The Contractor shall submit to the Director or his designated representative Material Safety Data Sheets for all hazardous materials proposed for use in the City Council 15 –20 11/16/2021 City of Santa Ana RFP 21-102 Page 18 performance of the contract at least one week prior to actual use. In addition, he shall maintain copies on-site and available for review by his employees and/or the City. 7. ENVIRONMENTAL PROTECTION The Contractor shall comply with all federal, state, and local laws, regulations, and standards regarding the Environmental Protection and Enhancement Program. 8. CONTRACTOR FURNISHED PROPERTY AND SERVICES 8.1. General. Contractor furnished property and services shall be compatible with existing City systems and equipment as necessary to perform the requirements of the Agreement. The Contractor shall furnish all property and services not specifically identified in Section C.C.4.2 8.2. Security of Contractor Owned Property. The Contractor shall be responsible for the security of Contractor Owned Property. 8.3. Contractor Furnished Equipment. The Contractor shall provide all items necessary for the performance of the contract including the following. 8.3.1. Tools. The Contractor shall provide all tools and repair equipment necessary for maintenance and repair as specified in the Agreement. 8.4. Contractor Furnished Supplies. The Contractor shall furnish all supplies required for his performance under the Agreement, including the following. 8.4.1. Chemicals. The Contractor shall furnish all chemicals and supplies to maintain the water at the prescribed standards of purity and clarity including, but not limited to chlorine (liquid, tablets, granular, or gaseous, depending on the type of dispensing system in use), soda ash, diatomaceous earth, etc. 8.4.2. Test Kits. The Contractor shall furnish test kits for the purpose of monitoring and reporting chemical levels and conditions including but not limited to chlorine levels, pH levels, and alkalinity of the water, etc. 8.4.3. Preventive Maintenance (PM) and Minor Repair Items. The Contractor shall provide all PM and minor repair items including, but not limited to, lubricants, minor parts, fittings, gaskets, bench stock, paint, degreasers, etc. for performance under the contract. 8.4.4. Cleaning Supplies. The Contractor shall furnish cleaning supplies required for performance under the contract. 9. FAILURE TO PERFORM SATISFACTORY 9.1. City Inspection. The Director or his designated representative shall regularly inspect fountains all other City property subject to this Agreement. If said inspection results in discovery of work that is not performed in the manner, and to the professional degree set forth in the Specifications, Contractor agrees that the City shall deduct from Contractor’s next monthly payment, the City’s actual or estimated cost of performing the work to bring the property into conformance with the specifications. City Council 15 –21 11/16/2021 City of Santa Ana RFP 21-102 Page 19 Additionally, City shall impose liquidated damages of up to $300.00 per inspection, per fountain, per day not meeting the specifications during any such inspection. 9.2. Billing Adjustments. The Director may make a billing adjustment in monthly payment for the cost to the City to remedy insufficiencies in service rendered by the Contractor. Billing adjustments for this unsatisfactory service may be permanent retention of 100% of the estimated monthly cost for work that is incomplete or deficient as stated herein. 10. HAZARDS The Contractor shall maintain all work sites free of hazards to persons and/or property resulting from his operations. Any hazardous condition noted by the Contractor, which is not a result of his operations, shall be immediately reasonably mitigated then reported to the Parks, Recreation & Community Services Agency. 11. ACCESS TO PRIVATE PROPERTY Prior to any work that will restrict access to private property, the Contractor shall notify each affected property owner or responsible person, informing him of the nature of and the approximate duration of the restriction. 12. EMERGENCY SERVICE Twenty-four hours per day, seven days per week, the Contractor shall be able to receive and respond to the City’s call for emergency service. Response time shall be less than two hours to remove or eliminate a public safety hazard. Contractor shall provide the City with a local telephone number where Contractor can be contacted twenty-four hours per day, seven days per week. 13. VEHICLE PASSES The Contractor and Contractor personnel shall obtain vehicle passes from The County of Orange Parking Administrator, Public Facilities & Resources Department. 14. 24-HOUR CONTACT INFORMATION The Contractor shall provide the Director with a telephone number at which a contact person for the Contractor may be reached 24 hours a day. The contact person shall be required to respond back to the Director or his representative within 1 hour. The contact person shall have the appropriate knowledge and/or authority to take appropriate action in response to any emergency situation that may arise involving the contractor’s responsibilities hereunder. 15. DAMAGES 15.1. Responsibility for Work. The Contractor shall be responsible for all damages to people and/or property that occur as a result of the fault or negligence of said Contractor or his employees in connection with the performance of this work. 15.2. Property Damage. Any damage to City property that occurs shall be immediately reported to the Director. The cost of repair, if required, will be at the Contractor’s expense. If damage occurs to any adjacent turf, groundcover, shrubs or trees as result of the Contractor’s negligence for the cost for necessary repair or replacements of the same shall be at the Contractor’s expense. City Council 15 –22 11/16/2021 EXHIBIT B City Council 15 –23 11/16/2021 &nbsp;City Council&nbsp;15 &ndash;&nbsp;2411/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;2511/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;2611/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;2711/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;2811/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;2911/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;3011/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;3111/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;3211/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;3311/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;3411/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;3511/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;3611/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;3711/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;3811/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;3911/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;4011/16/2021&nbsp; &nbsp;City Council&nbsp;15 &ndash;&nbsp;4111/16/2021&nbsp; EXHIBIT C City Council 15 –42 11/16/2021 City Council 15 –43 11/16/2021 Community Development Agency www.santa-ana.org/cd Item # 16 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Agreement with Patrol Solutions, LLC for Security Guard Services for Downtown Santa Ana and Civic Center area AGENDA TITLE: Agreement with Patrol Solutions, LLC for unarmed security guard services for Downtown Santa Ana and Civic Center area (Revive Santa Ana Program) RECOMMENDED ACTION Authorize the City Manager to execute an agreement with Patrol Solutions, LLC for unarmed security services for Downtown Santa Ana and Civic Center area, for a one- year term, in the amount of $185,990, beginning November 16, 2021 through November 15, 2022, with an option of two one-year extensions, for a total aggregate amount not to exceed $545,000, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The City of Santa Ana’s Downtown (DTSA) and Civic Center area are composed of a variety of businesses, residential apartments/lofts, historical properties, schools, non- profits, government offices, parking structures/lots, parks and plazas where thousands of people visit. Safety and security is a priority and Downtown has four full-time dedicated Santa Ana police officers, parking structure security, and, prior to the pandemic, a security presence throughout Downtown Santa Ana. The parking revenue that previously funded security guard services was depleted because of economic decline associated with the COVID-19 pandemic. Due to the limitation of parking revenue funds, DTSA has gone without security guards since May 2021. With available funding through the American Rescue Plan Act (ARPA), security guard services for the Downtown is being proposed again this year. This service agreement is in line with ARPA regulations, which will help recover the economy within a business district that has been financially impacted by the pandemic. In August 2021, the City of Santa Ana’s Community Development Agency released a Request for Proposal (RFP) #21-099 for unarmed security guard services. The City received 20 proposals and 13 met the required qualifications. City Council 16 –1 11/16/2021 Agreement with Patrol Solutions, LLC for Security Guard Services for Downtown Santa Ana and Civic Center area November 16, 2021 Page 2 2 2 2 2 The proposals were evaluated by a rating committee composed of representatives from the following departments: Community Development Agency, Public Works Agency, Parks & Recreation Agency, and the Santa Ana Police Department. The evaluations were based on several criteria including: overall understanding of the required services in DTSA, experience of firm and personnel, reasonableness of cost, and references. The maximum score was 100 points. Table 1 below provides the ranking of the top proposals. Rank Proposer Non-Responsive 1 Patrol Solutions, LLC Access Control Security, Inc. 2 Lyons Security Service, Inc. American Shield Private Security, Inc. 3 Absolute International Security Global Security 4 Alltech Industries, Inc. Alpha Omega Security Services 5 American Guard Services, Inc. United Security Specialist 6 Universal Protection Service, LP dba Allied Universal Upland Group USG 7 Arya dba United Security Services 8 Triton Global 9 Knowledge Stack dba Execushield 10 Allied Consulting & Security Services 11 A.G. Coast dba CA Panther 12 Command International Security Services 13 ABA Protection The evaluation committee determined that Patrol Solutions, LLC was the top proposer and received the highest overall ranking as a result of their proposal and oral interview/presentation. Patrol Solutions, LLC presented a quality proposal and diligently addressed their proposed operations plan, had the most reasonable cost for the services, and are familiar with the area’s needs. Although this will be Patrol Solutions, LLC’s first agreement with the City, they are proposing to help the City promote safety, security, provide real-time incident reporting, have on-call staff as needed, and provide a positive approach to visitors, residents, and businesses. Furthermore, Patrol Solutions, LLC has committed to working in tandem with the Santa Ana Police Department as well as City Hall staff to adapt to the needs of DTSA and Civic Center area. Patrol Solutions, LLC has been in business since 2010 and has provided similar services to the following municipalities: Arts District in Los Angeles Business Improvement District (BID), Chinatown BID in Los Angeles, City of Inglewood, and City of Glendale. Their expertise and familiarity with areas similar to DTSA serve as a good fit for the City’ downtown business district. Moreover, they offer excellent customer service, quick City Council 16 –2 11/16/2021 Agreement with Patrol Solutions, LLC for Security Guard Services for Downtown Santa Ana and Civic Center area November 16, 2021 Page 3 2 2 2 2 response time, accommodate the needs of the client, and provide emergency response training at no additional cost to the stakeholders. Below is the proposed schedule for security guard services throughout the entire DTSA footprint, including patrol checks in the parking structures in tandem with existing security guards: DTSA Security Guard Weekly Schedule Day(s) of the Week Time Daily Hours Monday 9:00am - 10:00pm 13 Tuesday 9:00am - 10:00pm 13 Wednesday 9:00am - 10:00pm 13 Thursday 9:00am - 12:00am 15 Friday 9:00am - 12:00am 15 Saturday 10:00am - 12:00am 14 Sunday 10:00am - 10:00pm 12 Total Weekly Hours 95 Note: posts and hours are subject to change by City of Santa Ana. Patrol Solutions, LLC will provide one security guard during non-peak times in accordance with the schedule provided above and will augment to two security guards during peak- times or as needed/requested by the City. Security guards will be equipped with a smart- phone with video/photo capability, real-time reporting, and transportation such as a bicycle, cart, or automobile and direct communication with Santa Ana Police Department. Security guard contact information will be shared with DTSA stakeholders, businesses, and residents and may be called upon as needed. Security guards will be required to wear a professional uniform and maintain a professional demeanor. In addition to the schedule above, Patrol Solutions, LLC will be providing guard services for the Santa Ana Winter Village in the Civic Center area, per the request of Public Works Agency. The services will only span from December 2021 through January 2022 with hours ranging between 10 a.m. to 12 a.m. (midnight). The Public Works Agency has allocated dedicated funds to cover the cost of the security services for the Civic Center area as noted in the Fiscal Impact below. Based on the overall quality and thoroughness of the proposal, staff recommends the selection of Patrol Solutions, LLC to provide unarmed security guard services in DTSA. City Council 16 –3 11/16/2021 Agreement with Patrol Solutions, LLC for Security Guard Services for Downtown Santa Ana and Civic Center area November 16, 2021 Page 4 2 2 2 2 ARPA Eligibility Analysis Funding for the security guard services will aid in the recovery to the DTSA (project area). Specifically, the Project Area’s small businesses have incurred a negative economic impact via the loss of millions of dollars, the closure of several businesses, and reduction in services and programs. Furthermore, during the normal course of their duties, guards will provide a safe environment, which will enhance economic opportunities for residents, businesses, visitors, and local entrepreneurs. FISCAL IMPACT Funds are available in following accounts for estimated expenditure as follows: Fiscal Year Accounting Unit- Account # Fund Description Accounting Unit, Account Description Amount FY 21-22 (Dec.-Jan.)18113013-62300 American Rescue Plan Act (ARPA) ARPA-Parks, Contract Services- Professional $ 95,000 FY 21-22 (Nov.-June)18118013-62300 American Rescue Plan Act (ARPA) ARPA-CDA, Contract Services- Professional $ 90,990 FY 22-23 (July-June)18118013-62300 American Rescue Plan Act (ARPA) ARPA-CDA, Contract Services- Professional $148,320 FY 23-24 (July-June)18118013-62300 American Rescue Plan Act (ARPA) ARPA-CDA, Contract Services- Professional $152,770 FY 24-25 (July-Nov.)18118013-62300 American Rescue Plan Act (ARPA) ARPA-CDA, Contract Services- Professional $ 57,920 Total $545,000 All remaining balances at the end of each fiscal year will be carried forward to the subsequent fiscal year. Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director – Finance and Management Services Agency EXHIBIT(S) 1. Agreement with Patrol Solutions, LLC Submitted By: Steven Mendoza, Assistant City Manager Approved By: Kristine Ridge, City Manager City Council 16 –4 11/16/2021 1 AGREEMENT BETWEEN THE CITY OF SANTA ANA AND PATROL SOLUTIONS, LLC FOR USE OF AMERICAN RESCUE PLAN ACT (ARPA) FUNDS This Agreement is hereby made and entered into this 16th day of November, 2021, 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 Patrol Solutions, LLC, a California limited liability company (“SUBRECIPIENT” or “CONTRACTOR”). RECITALS: A.The American Rescue Plan Act (“ARPA”) was signed into law in March 2021. ARPA provides funding for a number of different programs, including the Coronavirus State and Local Fiscal Recovery Fund (“SLFRF”), to provide monetary support to local governments to respond to, mitigate, and recover from the COVID-19 public health emergency. B.On July 20, 2021, the Santa Ana City Council authorized the City Manager to utilize ARPA SLFRF funding from the United States Department of Treasury for the Revive Santa Ana Spending Plan, which includes five spending categories: recovery from the pandemic, direct assistance programs, public health and safety, critical infrastructure, and city fiscal health. C.On August 19, 2021, the CITY released Request for Proposals No. 21-099 (“RFP”) for downtown Santa Ana unarmed security guard services. A copy of the RFP is attached herewith as Exhibit A. D.SUBRECIPIENT has been selected by the CITY to receive ARPA SLFRF Funds in order to provide unarmed security guard services, in accordance with the Scope of Work attached hereto as Exhibit B and incorporated herein by reference (“said program”). SUBRECIPIENT represents that it is qualified and willing to operate said program and certifies that the administration of said program carried out with funds provided under this Agreement will meet ARPA’s objectives to respond to, mitigate, and recover from this historic COVID-19 public health crisis. E.SUBRECIPIENT agrees that it will adhere to the tasks and services as indicated in Exhibit B for said program. Failure to follow the requirements and meet the stated expectations may constitute breach of contract that could result in termination of this Agreement or serve as reason for the CITY to recapture the grant funds awarded to SUBRECIPIENT pursuant to this Agreement. WHEREFORE, it is agreed by and between the parties that the foregoing Recitals are a substantive part of this Agreement and the following terms and conditions are approved and together with all exhibits and attachments hereto, shall constitute the entire Agreement between the CITY and SUBRECIPIENT: EXHIBIT 1 City Council 16 –5 11/16/2021 2 I. ARPA PROGRAM PROVISIONS A. Scope of Work. SUBRECIPIENT shall be responsible for the specific tasks and services of said program, and agrees to administer said program in compliance with the tasks and services as described in the Scope of Work attached hereto as Exhibit B. 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 for said program or termination of this Agreement. B. Term of Agreement. The term of said Agreement shall commence on the date first written above and continue through November 15, 2022 (“Base Period”), with two (2) options to extend the term for one (1) additional year (each an “Option Period”), at the election of the CITY, unless terminated earlier pursuant to the terms of this Agreement. The Base Period and any Option Period(s) will constitute the “Term” hereof. This Agreement shall also cover any and all services provided by the SUBRECIPIENT to the CITY since the date the ARPA SLFRF Funds were awarded to the CITY. Additionally, the Term of this Agreement may be extended by a writing executed by the City Manager, or designee, and the City Attorney. C. Amount of Grant Funding. The potential total amount of funds provided for said program shall not exceed five-hundred and forty-five thousand dollars ($545,000.00) (“ARPA SLFRF Funds”) during the Term of the Agreement. SUBRECIPIENT agrees to use said ARPA SLFRF Funds to administer said program as outlined in the Budget attached hereto as Exhibit C. D. Disbursement of Funds. Said ARPA SLFRF Funds shall be disbursed by CITY to SUBRECIPIENT pursuant to the terms found in the Budget attached hereto as Exhibit C, with payments subject to the submittal of invoices and other reporting requirements, 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 ARPA SLFRF Funds, or return the entire request to SUBRECIPIENT, until such documentation and reporting has been received and approved by CITY. (1) Reduction in ARPA SLFRF Funding. The CITY reserves the right to reduce the amount of ARPA SLFRF Funds to SUBRECIPIENT, or to completely terminate this Agreement, in the CITY’s sole discretion, if there is a reduction in ARPA SLFRF Funds provided to the CITY. (2) Reduced Distribution of Funds. The CITY reserves the right to reduce the grant application if the CITY’s fiscal monitoring indicates that SUBRECIPIENT’s rate of expenditure will result in unspent funds at the end of the program term. Amendments in the grant allocation will be made after consultation with SUBRECIPIENT. (3) Reversion of Assets. SUBRECIPIENT agrees that any and all funds received under this Agreement shall be utilized during the Term of this Agreement, and that any and all funds remaining as of the end of the Term, which have not been utilized, shall be returned by SUBRECIPIENT to the CITY within thirty (30) days of the expiration or earlier termination of the EXHIBIT 1 City Council 16 –6 11/16/2021 3 Agreement. No expense of SUBRECIPIENT will be reimbursed by CITY if incurred after the end of the Term of the Agreement. E. Grant Program Requirements. (1) SUBRECIPIENT acknowledges that the source of funding for said program is the federal ARPA, and that payments from the ARPA SLFRF Funds are only to be used to make necessary expenditures incurred due to the public health emergency with respect to COVID-19. (2) SUBRECIPIENT acknowledges that ARPA provisions allow the use of ARPA SLFRF Funds to respond to, mitigate, and recover from the COVID-19 public health emergency, and will not use these funds for any other uses. F. Performance Monitoring. (1) SUBRECIPIENT shall submit program performance information as often as requested by CITY, but no less than the submission of monthly reports and a final report to CITY with the information requested by and in the format acceptable to CITY. Each monthly report is due within thirty (30) days of completion of work for each month. The final report is due within thirty (30) days after the termination or expiration of this Agreement. (2) CITY will evaluate SUBRECIPIENT’s management and operation of said program with respect to the project expectations as described in Exhibit B. (3) CITY will review the audit of the SUBRECIPIENT to ensure that grant funds are used for authorized purposes in compliance with laws, regulations, and the provisions of contracts or grant agreements under this Agreement, including attachments and exhibits. (4) If action to correct any substandard performance is not taken by the SUBRECIPIENT within a reasonable period after being notified by CITY, suspension or termination procedures may be initiated by CITY. (5) All performance shall be subject to review by the CITY or other regulatory agencies at all times. SUBRECIPIENT shall provide adequate cooperation to any inspector or other CITY representative to permit the same to determine SUBRECIPIENT’s conformity with the terms of this Agreement. If any services performed by SUBRECIPIENT are not in conformance with the terms of this Agreement, the CITY shall have the right to require SUBRECIPIENT to perform the services in conformance with the terms of the Agreement at no additional cost. The CITY may also terminate this Agreement for default and charge SUBRECIPIENT for any costs incurred by the CITY because of SUBRECIPIENT’s failure to perform. (6) SUBRECIPIENT shall establish adequate procedures for self-monitoring and quality control and assurance to ensure proper performance under this Agreement; and shall permit a CITY representative or other regulatory official to monitor, assess, or evaluate SUBRECIPIENT’s performance under this Agreement at any time, upon reasonable notice to SUBRECIPIENT. EXHIBIT 1 City Council 16 –7 11/16/2021 4 G. Audit. (1) SUBRECIPIENT shall maintain complete and accurate records and supporting documentation to facilitate financial and/or program audits by CITY. This requirement shall apply to any records and documentation CITY shall reasonably require or as required to be maintained pursuant to the ARPA regulations. (2) The books and accounts, files, and other records of SUBRECIPIENT, which are applicable to this Agreement, shall be available for inspection, review, and audit during normal business hours by CITY to determine the proper application and use of all ARPA SLFRF Funds provided to or for the account or benefit of SUBRECIPIENT. (3) SUBRECIPIENT assumes responsibility for reimbursement to CITY a sum of money equivalent to the amount of any expenditures disallowed should the CITY, or an authorized agency, rule through audit, exception, or some other appropriate means, that expenditures from funds allocated to SUBRECIPIENT for direct and/or administrative costs were not made in compliance with the applicable cost principles, regulations, or the provisions of this Agreement. (4) SUBRECIPIENT agrees to comply with the requirements of OMB Uniform Guidance 2 CFR Part 200. SUBRECIPIENT further agrees to provide CITY with a copy of completed independent auditors’ report within thirty (30) days of CITY’s request for such report. If the report contains instances of non-compliance with federal laws and regulations that bear directly on the performance or administration of this Agreement, SUBRECIPIENT shall provide CITY copies of responses to auditors’ reports, a plan for corrective action, and auditors’ response that the noncompliance has been resolved. All reports prepared in accord with the requirements of OMB Uniform Guidance 2 CFR Part 200 shall be available for inspection by representatives of CITY or the federal government during normal business hours. (5) All accounting records, reports, and evidence pertaining to all costs, expenses and the ARPA SLFRF Funds of SUBRECIPIENT and all documents related to this Agreement shall be maintained and kept available at SUBRECIPIENT’S office or place of business for the duration of the Agreement and thereafter for five (5) years from the date of final payment under this Agreement. Records which relate to: (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement; or, (b) costs and expenses of this Agreement to which CITY or any other governmental agency takes exception, shall be retained beyond the five (5) years until complete resolution or disposition of such appeals, litigation claims, or exceptions. In the event SUBRECIPIENT does not make the above-referenced documents available within the City of Santa Ana, California, SUBRECIPIENT agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. H. Ownership/Use of Materials. SUBRECIPIENT agrees that all materials, reports or products in any form, including electronic, created by SUBRECIPIENT for which SUBRECIPIENT has been compensated pursuant to this Agreement shall be the sole property of the CITY. The material, reports, or products may be used by the CITY for any purpose that the CITY deems to be appropriate, including, but not limit to, duplication and/or distribution within EXHIBIT 1 City Council 16 –8 11/16/2021 5 the CITY or to third parties. SUBRECIPIENT agrees not to release or circulate in whole or part such materials, reports, or products without prior written authorization of the CITY. I. Close-Out. 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 this Agreement; (2) 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); and, (3) CITY should complete all closeout actions for the Federal award no later than one year after receipt and acceptance of all required final reports. II. SUBRECIPIENT’S OBLIGATIONS A. Representations and Warranties. (1) Authority. SUBRECIPIENT is a duly organized and existing limited liability company in good standing and authorized to do business under the laws of the State of California. SUBRECIPIENT has full right, power and lawful authority to accept the funding hereunder and to undertake all obligations as provided herein and the execution, performance and delivery of this Agreement by SUBRECIPIENT has been fully authorized by all requisite actions on the part of SUBRECIPIENT. (2) Experience. SUBRECIPIENT is qualified to provide the services for said program detailed herein. (3) 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 for said program as detailed in Exhibit B; (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. (4) 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. (5) No Bankruptcy. SUBRECIPIENT is not the subject of any current or threatened bankruptcy proceeding. EXHIBIT 1 City Council 16 –9 11/16/2021 6 (6) 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. (7) Proposal Veracity. All provisions of and information provided in SUBRECIPIENT’s proposal submitted to CITY, including any exhibits, are true and correct in all material respects. (8) No Pending Investigation. SUBRECIPIENT has no knowledge that it is the subject of any current or threatened criminal or civil action investigation by any public agency, including without limitation a police agency or prosecuting authority, which would relate to or affect performance of the Agreement or provision of services hereunder. B. 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. C. Zoning. SUBRECIPIENT agrees that any facility/property used in furtherance of said program shall be specifically zoned and permitted for such use(s) and activities. Should SUBRECIPIENT fail to have the required land entitlement and/or permits, thus violating any local, state or federal rules and regulations relating thereto, SUBRECIPIENT shall immediately make good- faith efforts to gain compliance with local, state or federal rules and regulations following written notification of said violation(s) from the CITY or other authorized citing agency. SUBRECIPIENT shall notify CITY immediately of any pending violations. Failure to notify CITY of pending violations, or to remedy such known violation(s) shall result in termination of grant funding hereunder. SUBRECIPIENT must make all corrections required to bring the facility/property into compliance with the law within sixty (60) days of notification of the violation(s); failure to gain compliance within such time shall result in termination of grant funding hereunder. D. Separation of Accounts. All funds received by SUBRECIPIENT from CITY pursuant to this Agreement shall be maintained in an account in a federally insured banking or savings and loan institution with record keeping of such accounts maintained pursuant to applicable 2 CFR 200.302 requirements. SUBRECIPIENT is not required to maintain separate depository accounts for ARPA SLFRF Funds; provided however, the SUBRECIPIENT must be able to account for receipt, obligation, distribution and expenditure of ARPA SLFRF Funds pursuant to applicable 2 CFR 200.302 requirements. E. Audit Report Requirements. SUBRECIPIENT agrees that if SUBRECIPIENT expends Seven Hundred Fifty Thousand Dollars ($750,000) or more in federal funds, SUBRECIPIENT shall have an annual audit conducted by a certified public accountant in accordance with the standards as set forth and published by the United States Office of Management and Budget. SUBRECIPIENT shall provide CITY with a copy of said audit by April 1 of the year following the program year in which this Agreement is executed. EXHIBIT 1 City Council 16 –10 11/16/2021 7 F. Compliance with Law/Program Income. SUBRECIPIENT acknowledges that the funds being provided by CITY for said program are received by CITY pursuant to ARPA, and that distribution and expenditure of these ARPA SLFRF Funds shall be in accordance with ARPA 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. Any 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 and administration of said program, whether or not referred to in this Agreement. G. Debarment. To protect the public interest and ensure the integrity of Federal programs, CITY may only conduct business with responsible persons and may not make any award or permit any award to any party which is debarred or suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs under Executive Order 12549, “Debarment and Suspension”. See also 24 CFR 570.609. SUBRECIPIENT must review and sign Exhibit E “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 or Internal Revenue Service. Any change in the corporate status or suspension of SUBRECIPIENT shall be reported immediately to CITY. H. Confidentiality. Without prejudice to any other provisions of this Agreement, SUBRECIPIENT shall, where applicable, maintain the confidential nature of information provided to it in accordance with the requirements of federal and state law. However, SUBRECIPIENT shall submit to CITY or its representatives, all records requested, including audit, examinations, monitoring and verifications of reports submitted by SUBRECIPIENT, costs incurred and services rendered hereunder. I. 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 agent of CITY. J. Violation of Terms and Conditions. SUBRECIPIENT agrees that if SUBRECIPIENT violates any of the terms and conditions of this Agreement or any prior Agreement whereby ARPA SLFRF Funds were received by SUBRECIPIENT, or if SUBRECIPIENT reports inaccurately, or if on audit there is a disallowance of certain expenditures, SUBRECIPIENT agrees to remedy the acts or omissions causing the disallowance and repay CITY all amounts spent in violation thereof. If SUBRECIPIENT engaged in fraudulent activity to obtain and/or justify distribution or expenditure of the ARPA SLFRF Funds granted hereunder, SUBRECIPIENT shall be required to reimburse the CITY of all such funds that were obtained, distributed and/or spent under fraudulent circumstances. K. Fraud. SUBRECIPIENT shall immediately report all suspected or known instances and facts concerning possible fraud, abuse or criminal activity related to said program for the ARPA SLFRF Funds under this Agreement. EXHIBIT 1 City Council 16 –11 11/16/2021 8 L. Prohibited Use. SUBRECIPIENT hereby certifies and agrees that it will not use ARPA SLFRF Funds provided through this Agreement to pay for entertainment, meals or gifts, or other prohibited uses. M. Lobbying. SUBRECIPIENT certifies that it will comply with federal law (31 U.S.C. 1352) and regulations found at 24 CFR Part 87, which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, Member of Congress, or an officer or employee of a Member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. SUBRECIPIENT shall sign a certification to that effect in a form as set forth in Exhibit F, attached hereto and by this reference incorporated herein. SUBRECIPIENT shall submit said signed certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to SUBRECIPIENT under the terms and conditions of this Agreement. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit a “Disclosure Form to Report Lobbying,” in accordance with its instructions (Exhibit E). N. Financial Interest. SUBRECIPIENT agrees that except for the use of administrative fees to pay salaries and other related administrative or personnel costs, no persons who exercise or have exercised any function with respect to administering said program 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 the administration of said program, may obtain a financial interest or benefit from said program, 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. O. 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 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. EXHIBIT 1 City Council 16 –12 11/16/2021 9 P. Equal Employment Opportunities. SUBRECIPIENT shall make every effort to ensure that all projects funded wholly or in part by ARPA SLFRF Funds shall provide equal employment opportunities for minorities and women. Q. Women and Minority-Owned Businesses (W/MBE). SUBRECIPIENT will use its best efforts to afford small businesses, minority business enterprises, and women’s business enterprises the maximum practicable opportunity to participate in the performance of this Agreement in accordance with the requirements of 2 CFR 200.321 “Contracting with small and minority businesses, women’s business enterprises, and labor surplus area firms”. As used in this Agreement, the term “small business” means a business that meets the criteria set forth in section 3(a) of the Small Business Act, as amended (15 U.S.C. 632), and “minority and women’s business enterprise” means a business at least fifty-one percent (51%) owned and controlled by minority group members or women. For the purpose of this definition, “minority group m embers” are African-Americans, Spanish-speaking, Spanish surnamed or Spanish-heritage Americans, Asian- Americans, and American Indians. SUBRECIPIENT may rely on written representations by businesses regarding their status as minority and female business enterprises in lieu of an independent investigation. R. Drug Free Workplace. SUBRECIPIENT agrees to provide a drug-free workplace and to execute a certification as set forth in Exhibit G attached hereto and incorporated herein by this reference. S. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. The following requirements and standards must be complied with: 2 CFR Part 200 et al. SUBRECIPIENT shall procure all materials, property, or services in accordance with the requirements of 2 CFR 200.318-326. III. CITY'S OBLIGATIONS A. Audit of Account. CITY shall include an audit of the account maintained by SUBRECIPIENT in CITY's audit of all ARPA SLFRF Funds in accordance with Title 24 of the Code of Federal Regulations and other applicable federal laws and regulations. B. Common Rule: Pursuant to 2 CFR 200.328(a), the CITY manages the day-to-day operations of each grant and subgrant supported activities. CITY staff has detailed knowledge of the grant program requirements and monitors grant and subgrant supported activities to assure compliance with federal requirements. Such monitoring covers each program, function and activity and performance goals are reviewed periodically. C. Project Expectations: CITY shall monitor the performance of SUBRECIPIENT against goals and performance standards required herein. The SUBRECIPIENT shall be responsible to accomplish the project expectations as set forth in Exhibit B, and report such results 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 EXHIBIT 1 City Council 16 –13 11/16/2021 10 performed its obligations as stated in this contract in a satisfactory manner, or if the CITY determines that insufficient supporting information has been submitted, the CITY shall notify the SUBRECIPIENT in writing of its determination specifying in full detail the objections that it has to the SUBRECIPIENT’s performance. If action to correct such substandard performance is not taken by the SUBRECIPIENT after being notified by the CITY, within a reasonable period of time as stipulated in the written notification, contract suspension or termination procedures will be initiated. IV. GENERAL PROVISIONS A. Non-Discrimination. 1. 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. 2. 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. 3. 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. 4. 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. 5. 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 EXHIBIT 1 City Council 16 –14 11/16/2021 11 assistance or under any program or activity conducted by any executive agency or by the United States Postal Service. B. Conflict of Interest. Pursuant to the conflict of interest requirements set forth in 24 CFR 570.611 and 2 CFR 200.112, SUBRECIPIENT certifies that no member, officer, employee, agent or assignee of CITY having direct or indirect control of any ARPA SLFRF Funds granted to the CITY, inclusive of the subject ARPA SLFRF Funds, shall serve as an officer of SUBRECIPIENT. Further, any conflict or potential conflict of interest of any officer of SUBRECIPIENT shall be fully disclosed in writing prior to the execution of this Agreement and said writing shall be attached and deemed fully incorporated as a part hereof. Notice shall be sent by SUBRECIPIENT to CITY regarding any changes or modifications to its board of directors and list of officers. C. 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 ARPA SLFRF Funds, in accordance with 24 CFR 570.200(j): 1. 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. 2. 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. 3. SUBRECIPIENT shall NOT provide religious instruction or counseling, conduct any religious worship or services, or engage in any religious proselytizing, or exert any religious influence in the provision of the services in said program. The parties agree that this covenant is intended to and shall be construed for the limited purpose of assuring compliance with respect to the use of CITY funds by SUBRECIPIENT with applicable constitutional limitations respecting the establishment of religion as set forth in the establishment clause under the First Amendment of the United States Constitution and Article I, Section 4 of the California Constitution, and is not in any manner intended to restrict other activities of SUBRECIPIENT. 4. 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. 5. Where the services to be provided under said program are rendered on property owned by the primarily religious entity SUBRECIPIENT, ARPA SLFRF 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 ARPA expenditure for rendering the services under said program. D. Prohibition of Nepotism. SUBRECIPIENT agrees not to hire or permit the hiring of any person to fill a position funded through this Agreement if a member of that person’s immediate family is employed in an administrative capacity by SUBRECIPIENT. For the purposes of this EXHIBIT 1 City Council 16 –15 11/16/2021 12 section, the term “immediate family” means spouse, child, mother, father, brother, sister, brother-in- law, sister-in-law, father-in-law, mother-in-law, son-in-law, daughter-in-law, aunt, uncle, niece, nephew, stepparent and stepchild. The term “administrative capacity” means having selection, hiring, supervisor or management responsibilities. E. 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 Steven Mendoza Executive Director Community Development Agency 20 Civic Center Plaza P.O. Box 1988 Santa Ana, California 92702-1988 TO SUBRECIPIENT: Patrol Solutions Carl Cunningham General Manager 10016 Pioneer Blvd., Suite 109 Santa Fe Springs, CA 90670 415-760-8116 F. 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. G. Indemnification/Hold Harmless. SUBRECIPIENT shall indemnify, defend and save harmless CITY, its officers, employees, agents, representatives and volunteers from and against any and all damages to or for loss of use of property and for injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, employees, agents, representatives and volunteers from and against any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers compensation claims and including attorney fees and reasonable expenses for litigation or settlement, resulting from or arising out of the negligent or wrongful acts, errors or omissions of SUBRECIPIENT, its officers, directors, employees, agents, subcontractors and suppliers arising out of SUBRECIPIENT's performance of this Agreement. H. Insurance. Contractor shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder and the results of that work by the Contractor, its agents, representatives, employees, or subcontractors. EXHIBIT 1 City Council 16 –16 11/16/2021 13 a. MINIMUM SCOPE AND LIMIT OF INSURANCE Coverage shall be at least as broad as: 1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $2,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. 2. Automobile Liability: Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Contractor has no owned autos, Code 8 (hired) and 9 (non-owned), with limit no less than $1,000,000 per accident for bodily injury and property damage. 3. Workers’ Compensation: insurance as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. 4. If the Contractor maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. b. Other Insurance Provisions – The insurance policies are to contain, or be endorsed to contain, the following provisions: 1. Additional Insured Status: The City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CG L policy with respect to liability arising out of work or operations performed by or on behalf of the Contractor including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Contractor’s insurance (at least as broad as ISO Form CG 20 10 11 85 or if not available, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if a later edition is used). 2. Primary Coverage: For any claims related to this contract, the Contractor’s insurance coverage shall be primary coverage at least as broad as ISO CG 20 01 04 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Contractor’s insurance and shall not contribute with it. 3. Notice of Cancellation: Each insurance policy required above shall state that coverage shall not be canceled, except with notice to the City. 4. Waiver of Subrogation: Contractor hereby grants to City a waiver of any right to subrogation which any insurer of said Contractor may acquire against the EXHIBIT 1 City Council 16 –17 11/16/2021 14 City by virtue of the payment of any loss under such insurance. Contractor agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. 5. Self-Insured Retentions: Self-insured retentions must be declared to and approved by the City. The City may require the Contractor to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self- insured retention may be satisfied by either the named insured or City. 6. Acceptability of Insurers: Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the City. 7. Claims Made Policies (note – should be applicable only to professional liability, see below): If any of the required policies provide claims-made coverage: 1. The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work. 2. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. 3. If coverage is canceled or non-renewed, and not replaced with another claims-made policy form with a Retroactive Date prior to the contract effective date, the Contractor must purchase “extended reporting” coverage for a minimum of five (5) years after completion of contract work. 8. Verification of Coverage: Contractor shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Contractor’s obligation to provide them. City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. 9. Special Risks or Circumstances: City reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances. I. Termination. 1. This Agreement may be terminated on thirty (30) days’ written notice by either party. In the event of such termination, SUBRECIPIENT shall only be entitled to reimbursement for EXHIBIT 1 City Council 16 –18 11/16/2021 15 approved expenses incurred to the effective date of termination. 2. 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 ARPA SLFRF 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. 3. Pursuant to 2 CFR 200.340, in the event SUBRECIPIENT defaults by failing to fulfill all or any of its obligations hereunder, CITY may declare a default and termination of this Agreement by written notice to SUBRECIPIENT, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of: (1) any payments made for services not subsequently performed in a timely and satisfactory manner; and, (2) costs incurred by CITY in obtaining substitute performance. 4. The grant of funds under this Agreement may be terminated for convenience by either the CITY or SUBRECIPIENT, in whole or in part, by setting forth the reasons for such termination, the effective date, and, in the case of portion termination, their portion to be terminated. However, if in the case of a partial termination, the CITY determines that the remaining portion of the award will not accomplish the purpose for which the award was made, the CITY may terminate the award in its entirety. 5. 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 Exhibit B. 6. The grant of funds under this Agreement may be terminated due to the failure of the CITY to receive sufficient or anticipated funding for the ARPA program for any term subject to this Agreement. 7. In the event this Agreement is terminated as set forth in subparagraphs I(1) through I(6), 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 the Reversion of Assets requirements in this Agreement. J. Limitation of Funds. The United States of America may in the future place programmatic or fiscal limitations on the use of ARPA SLFRF Funds, which limitations are not presently anticipated. Accordingly, CITY reserves the right to revise this Agreement in order to take account of actions affecting ARPA program funding. In the event of funding reduction, CITY may, in its sole and absolute discretion, reduce the budget of this Agreement, may limit the rate of SUBRECIPIENT’s authority to utilize funds, or may restrict SUBRECIPIENT’s use of uncommitted funds. Where CITY has been directed to implement a reduction in funding, with respect to funding EXHIBIT 1 City Council 16 –19 11/16/2021 16 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 SUBRECIPIENT’s fiscal accountability or compliance with this Agreement, CITY may suspend the operation of this Agreement for up to sixty (60) days upon five (5) days written notice to SUBRECIPIENT of its intention to so act, pending an audit or other resolution of such questions. In no event, however, shall any revisions made by CITY affect expenditures and legally binding commitments made by SUBRECIPIENT before it received notice of such revision, provided that such amounts have been committed in good faith and are otherwise allowable and that such commitments are consistent with ARPA SLFRF Funds withdrawal guidelines. K. 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 ARPA SLFRF Funds by SUBRECIPIENT and contains all the covenants and agreements between the parties with respect to SUBRECIPIIENT’s administration of said program. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and SUBRECIPIENT. L. 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. M. 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. N. Waiver. No delay or omission by either party hereto to exercise any right or power accruing upon any noncompliance or default by the other party with respect to any of the terms of this Agreement shall impair any such right or power or be construed to be a waiver thereof. A waiver by either of the parties hereto of any of the covenants, conditions, or agreements to be performed by the other shall not be construed to be a waiver of any succeeding breach thereof or of any other covenant, condition or agreement herein contained. O. Federal Award Identification Information. SUBRECIPIENT’s pertinent Federal Award Identification Information, including DUNS Number and Federal Award Identification Number (FAIN), as well as the applicable information for ARPA, are included in Exhibit D attached hereto and incorporated herein by this reference. EXHIBIT 1 City Council 16 –20 11/16/2021 17 P. Miscellaneous Provisions. 1. 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. 2. All Exhibits and Attachments referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 3. This Agreement must be signed below and may be signed in counterpart and delivered by fax, email as a PDF (Portable Document Format) file attachment, or by other means that displays the original or a copy of the signatures. Any subsequent amendments may be signed and delivered in the same manner. {Signatures on following page} EXHIBIT 1 City Council 16 –21 11/16/2021 18 IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the date and year first written above. ATTEST: CITY OF SANTA ANA ________________________ ________________________ DAISY GOMEZ KRISTINE RIDGE Clerk of the Council City Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney ____________________________ By: RYAN O. HODGE Assistant City Attorney RECOMMENDED FOR APPROVAL: SUBRECIPIENT: ______________________________ ______________________________ STEVEN MENDOZA Name: Executive Director Title: Community Development Agency DUNS #: Carl S. Cunningham General Manager 81-4243449 EXHIBIT 1 City Council 16 –22 11/16/2021 19 EXHIBIT A REQUEST FOR PROPOSALS EXHIBIT 1 City Council 16 –23 11/16/2021 Exhibit A REQUEST FOR PROPOSALS (RFP) NO. 21-099 FOR DOWNTOWN SANTA ANA UNARMED SECURITY GUARD SERVICES CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY Project Manager: Julie Castro-Cardenas Economic Development Specialist II KEY RFP DATES: The schedule below is tentative and subject to change at the discretion of City, with appropriate notice to prospective Proposers. Issue Date: Wednesday, August 19, 2021 Deadline for Requests for Information: Wednesday, September 1, 2021, by 2:00 PM Proposal Due Date: Wednesday, September 8, 2021, by 2:00 PM Review of Proposals: September 8 – September 30 Interview Proposers: Wednesday, September 15, 2021 (by invitation only) Selection of Bidder: On or about September 30, 2021 EXHIBIT 1 City Council 16 –24 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 2 of 39 TABLE OF CONTENTS I. BACKGROUND ................................................................................................................................................ 3 II. OVERVIEW OF PROJECT .................................................................................................................................. 3 III. SCOPE OF SERVICES ........................................................................................................................................ 4 IV. TERM OF AGREEMENT ................................................................................................................................... 9 V. RFP SCHEDULE OF EVENTS ............................................................................................................................. 9 VI. RESPONSE TO RFP .......................................................................................................................................... 9 VII. PROPOSAL CONTENTS – STATEMENT OF QUALIFICATIONS (SOQ) .............................................................. 11 VIII. CERTIFICATIONS ........................................................................................................................................... 13 IX. REFERENCES ................................................................................................................................................. 13 X. INSURANCE ................................................................................................................................................... 13 XI. EXCEPTIONS .................................................................................................................................................. 14 XII. SELECTION PROCEDURES & CRITERIA .......................................................................................................... 14 XIII. WITHDRAWALS............................................................................................................................................. 15 XIV. PROTESTS ..................................................................................................................................................... 15 XV. GENERAL TERMS AND CONDITIONS ............................................................................................................. 15 XVI. AWARD OF AGREEMENT .............................................................................................................................. 20 XVII. IMPLEMENTATION ....................................................................................................................................... 20 EXHIBIT 1 .............................................................................................................................................................. 21 ATTACHMENT A .................................................................................................................................................... 21 ATTACHMENT B .................................................................................................................................................... 21 ATTACHMENT C .................................................................................................................................................... 21 ATTACHMENT D .................................................................................................................................................... 21 ATTACHMENT E .................................................................................................................................................... 21 ATTACHMENT F .................................................................................................................................................... 21 ATTACHMENT G .................................................................................................................................................... 21 EXHIBIT 1 City Council 16 –25 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 3 of 39 I. BACKGROUND Incorporated in 1886, Santa Ana, a Charter City, established a Council-Manager form of government in 1952. The City Council is composed of seven members; the Mayor elected at large and six Council members elected by ward, who appoint the City Manager, City Attorney and Clerk of the Council. The City of Santa Ana (City) is a full-service City with a diverse population of approximately 335,000. The City’s eleven agencies provide all the traditional municipal services, as well as water utility, library system, 20-acre zoo, City Jail, Police Department, and contracts with the Orange County Fire Authority for provision of fire services. The City employs 1,178 authorized full-time positions and has an annual citywide budget is $646 million, including the General Fund budget of $316 million. The City of Santa Ana is located 10 miles inland from the Pacific Ocean, 33 miles southeast of Los Angeles and 90 miles north of San Diego. The City, which is the county seat of Orange County, encompasses an area of approximately 27 square miles and is the 11th largest by population in California. II. OVERVIEW OF PROJECT The purpose of this Request for Proposals (RFP) is to identify a contractor to support the City of Santa Ana, specifically the Downtown area with unarmed security guard services. The City of Santa Ana (City) is seeking proposals from qualified firms and organizations (Proposers) to provide unarmed security guard services for Downtown Santa Ana (DTSA) and the parking structures/surface parking lots within that area. Additional guards may be requested on an as-needed basis from time to time for other locations, at the discretion of the City of Santa Ana. The number of hours specified in the scope of services section below is a best estimate and will be used to evaluate bid results. The City intends to award the entire bid to a single company. Funding for this project is derived from “The American Rescue Plan Act of 2021 (ARPA)”. As such, the RFP is subject to the provisions related to Procurement Standards identified in the Uniform Guidance CFR Section 200.317 thru 200.327. The term “Vendor”, “Proposer”, and “Contractor” shall refer to any legal entity or entities submitting a proposal in response to this Request for Proposals (RFP). EXHIBIT 1 City Council 16 –26 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 4 of 39 III. SCOPE OF SERVICES Usage is not guaranteed. Execution of an agreement between the City and successful firm(s) and/or individual(s) does not guarantee work throughout the duration of the contract period. Numerous factors will be evaluated by the City in its delivery of project and assignments, including technical expertise required. A. Main Objective: 1) Contract an unarmed security guard service company for the entire area of Downtown Santa Ana (DTSA) with the potential of providing security guard services to the four parking structures and one surface parking lot within DTSA. Refer to the diagram above for the boundaries of Downtown Santa Ana including the city-owned parking structures and surface parking lot. 2) Contracted security services will include guard services 365 days per year with a range of 40-100 hours per week, contigent upon available funds and need. In general one guard per shift with the potential of increasing to two guards during peak times, upon the discretion of the City. 3) The schedule below is a best estimate of service level needs, but selected contractor should be prepared to provide on-call security guards as needed by the City or reduce service levels as determined at the City’s sole discretion. EXHIBIT 1 City Council 16 –27 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 5 of 39 Security Guard Weekly Schedule Day(s) of the Week Time Daily Hours Mon-Wed 9:00am-10:00pm 13 x 3 days = 39 Thursday 9:00am-12:00am 15 Friday 9:00am-12:00am 15 Saturday 10:00am-12:00am 14 Sunday 10:00am-10:00pm 12 Total Weekly Hours 95 Note that posts and hours are subject to change by City of Santa Ana. B. Security Guard Main Responsibilities & Requirements: 1) Maintain direct communication with stakeholders such as City staff and his/her designee, business owners, business employees, residents, visitors and have the ability to share contact information such as a work-cell phone. 2) Provide a positive and enforcement presence to deter negative activity and to promote safety in DTSA. 3) Monitor, observe, and report illegal activities, suspicious activities, and provide assistance to merchants, businesses, residents, and City staff. 4) Visually inspect and observe outdoor designated checkpoints at regular intervals to maintain adequate security coverage throughout DTSA. 5) Contact Santa Ana Police Department when necessary upon observance of suspicious behavior or criminal activity such as vandalism. 6) Submit daily activity reports within six hours of prior security shift, noting any security incidents, suspicious activities, or calls to Santa Ana Police Department. 7) The security guard services include, but are not limited to: patrolling areas by foot, bicycle or street-legal cart; monitoring and responding to security issues, and performing the post orders and pass down duties. C. Supervisor Requirements 1) Has at least 12 months prior work experience as a security guard supervisor. Include this information as part of the requirement for Exh. A., Section 1.02.4. 2) Has training and supervisory experience commensurate with the requirements as specified herein. 3) Ensure that all posts have an approved security guard at all times and for the duration required. 4) Ensure that the Contractor provides an approved security guard for any late, absent or dismissed security guards. 5) Act as the liaison between City and Contractor regarding all issues pertaining to security guard and performance. 6) Supervisor must be available whenever guard shifts are being performed, including holidays, by telephone to respond to any issues that may arise as EXHIBIT 1 City Council 16 –28 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 6 of 39 specified herein and respond to any such inquiries in a timely manner while implementing appropriate resolution actions. D. Security Guard Requirements 1) English & Spanish language skills required. 2) Abide by all requirements as specified herein. Abide by all legal requirements. 3) Abide by all applicable California Bureau of Security and Investigative Services requirements. 4) Hold a valid security guard registration.Have at least 12 months prior work experience with a valid security guard registration. 5) Wear the appropriate uniform at all times while performing duties. 6) Show up on time, as scheduled and work duration of assigned shift. 7) Perform all of the Post Orders and Pass Downs as applicable. 8) Perform duties in a professional manner at all times, including appropriate behavior and attitude, well-maintained appearance including, but not limited to: covering up inappropriate tattoos, and no jewelry except wedding ring and/or watch. 9) Exhibit competent command of the English language and efficient in communicating with the public. E. Uniforms 1) Furnish and provide well-maintained matching soft uniforms for each event security guard including but not limited to: jacket, shirt, pants, shoes, raingear (as-needed basis for inclement weather). Must adhere to City’s COVID-19 safety protocols such as wearing a facial covering (mask) when appropriate (i.e. within six feet of any individual). 2) Ensure that appropriate identification badges, patches, or screen prints are easily seen by City Staff and all visiting patrons. 3) Furnish and provide sufficient quantity of each item above to allow each security guard to have an appropriate number of change outs: shirts and pants on a per shift basis; shoes on an as-needed basis. 4) Ensure that all uniforms are clean and well pressed and always look professional. 5) Security guards are not to substitute any of the above uniform articles. 6) Any security guard who reports to their assigned post and does not have the appropriate uniform must be immediately (within 1 hour) replaced with a guard that has the appropriate uniform. F. Equipment 1) Furnish and provide cell phone to facilitate on-site communication between guards, supervisor, business owners, residents, City staff and his/her designee. 2) Transportation car/golf cart/electric vehicle (optional element of this RFP): ability to research a transportation car/golf cart/electric vehicle that is street-legal that can be purchased by the contractor on behalf of the City, which will ultimately become City property at the termination of the agreement with proper reimbursement for the cost of the vehicle. Transportation vehicle will be used EXHIBIT 1 City Council 16 –29 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 7 of 39 predominantly for security guards to patrol the area more efficiently and may be used to transport goods and/or people for urgent or sensitive matters in DTSA. G. Reports 1) Submit activity reports from the prior security shift within six hours, in the method required, and on the forms required. 2) Include any pertinent information or backup documentation with your reports. 3) General: Report immediately, verbally and or in writing as soon as practically possible taking safety into consideration; especially concerning issues that may require immediate action to avoid potential escalation. If possible, take photos of the observation or interaction and attach to email, text, pictures, and written reports. 4) Safety, Injury, or Damage: any impending, occurring, or potential hazards, incidents, or accidents that have harmed, are harming, or could likely harm persons, animals, plants, property, environment, or the like. 5) Public Nuisances: any observations of any public nuisances. 6) Business Interactions: any interactions with business owners and or persons. 7) Work Performance Delays: anything that is or could potentially delay or prevent work from being performed within the designated times and locations. 8) Follow up Activities: all action items from the above section, which may have been verbally reported, but a written report was not possible at the time; and all action items as required by City Representative. H. License and Permits 1) Contractor and assigned personnel shall possess all licenses and permits required by the following entities: federal, state, county, city, and other necessary entities. I. Provide Security Guards for as-needed assignments within 24 hours of notification from City Representative. J. Legal & Best Practice Requirements 1) Be self-informed, abide by, and comply with all, current and applicable, local, county, state, federal or other legal requirements and best practices at all times. 2) Do not cause, allow to be caused, or permit the continuance of any violation of any legal requirements or best management practices. 3) Be responsible and bear all associated costs should any work be performed in contrary to any laws, ordinances, codes, rules, or regulations. 4) Must have a valid State of California, Bureau of Security and Investigative Services, Private Patrol Operator's license for the required work. 5) Contractor must provide everything necessary at company expense including, but not limited to all labor, supplies, tools, equipment, and the like required to perform and complete the required services. 6) Contractor must perform and comply with all work per these specifications, according to all applicable and acceptable industry standards, of the highest quality commensurate with the required service. EXHIBIT 1 City Council 16 –30 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 8 of 39 7) Contractor must comply with and be fully responsible at all times for being up-to- date regarding all applicable legal requirements in accordance with the attached specifications. K. Security guard/supervisor/liaison that does not meet all legal requirements and all requirements as specified herein, as deemed in City Representative’s sole discretion, must be immediately removed from post assignment, is not permitted to be reassigned to any City post, and must be replaced immediately with a security guard who meets all legal requirements and all requirements as specified herein; NO EXCEPTIONS. L. At City’s sole discretion, City may allow a security guard, who is removed from post assignment, to be reassigned only after said security guard has been fully retrained or received additional training at Contractor’s sole expense and to City’s satisfaction. M. General Requirements – Company 1) Orientation time is billable for no more than thirty (30) minutes unless City has specifically requested an earlier arrival. Late arrivals will be assessed liquidated damages. 2) When multiple guards are required, only the security guard supervisor will be paid for the orientation time. 3) Keep an updated and approved security guard list, which must include, but not limited to: 4) Full Name: First, Middle, Last 5) Photo: Current, face 6) Address: Residence 7) Phone Numbers: Contact 8) Security Guard Registration: current 9) CA driver’s licenses: current 10) Experience: at least 12 months prior work experience as a registered security guard 11) Do not place any guards at any posts unless that guard is on the approved security guard list. N. Holidays: only the listed City holidays are subject to any premium rates (overtime, etc.) LN DATE EVENT 1 January 1 New Year’s Day 2 Third Monday in January Martin Luther King’s Birthday 3 Third Monday in February President’s Day 4 Last Monday in May Memorial Day 5 July 4 Independence Day 6 First Monday in September Labor Day 7 November 11 Veteran’s Day 8 Fourth Thursday in November Thanksgiving Day 9 Friday after Thanksgiving 10 December 25 Christmas Day EXHIBIT 1 City Council 16 –31 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 9 of 39 IV. TERM OF AGREEMENT The anticipated term of the agreement is for an initial period of one (1) year. The City may, at its discretion, extend the agreement with the same or more limited scope of required services for two (2) additional one (1) year periods, upon mutual agreement contingent upon City Council approval, or City Manager or City Attorney authorization, as appropriate. The total term of the awarded agreement shall not exceed three (3) years. V. RFP SCHEDULE OF EVENTS A. Schedule below is tentative and subject to change at discretion of City, with appropriate notice to prospective Proposers. Times indicated are Pacific Time. Issue Date: Wednesday, August 19, 2021 Deadline for Requests for Information: Wednesday, September 1, 2021, by 2:00 PM Proposal Due Date: Wednesday, September 8, 2021, by 2:00 PM Review of Proposals: September 8 – September 30 Interview Proposers: Wednesday, September 15, 2021 (invitation only) Selection of Bidder: On or about September 30, 2021 VI. RESPONSE TO RFP A. SUBMITTAL INSTRUCTIONS It is the responsibility of the Proposer to ensure that any proposals submitted have been uploaded to PlanetBids prior to the RFP due date and time. Proposals, including all required sections and forms, shall be submitted electronically via the City’s Bid Management System, PlanetBids. No other form of submittal will be accepted. PlanetBids will not accept late proposals and no exceptions shall be made. Proposers will receive an e-bid confirmation number with a time stamp from PlanetBids indicating that their proposal was submitted successfully. The City will only receive and consider those proposals that were transmitted successfully. Submit proposal online at: http://www.planetbids.com/portal/portal.cfm?CompanyID=20137. Proposer shall be solely responsible for informing itself with respect to the proper utilization of the bid management system, for ensuring the capability of their computer system to upload the required documents, and for the stability of their internet service. Failure of the Proposer to successfully submit an electronic proposal shall be at the Proposer’s sole risk and no relief will be given for late and/or improperly submitted proposals. Proposers experiencing any technical difficulties with the bid submission process may contact PlanetBids at (818) 992- 1771. Questions of an operational nature may be directed to the City’s assigned Project Manager(s). Neither the City, nor PlanetBids, makes any guarantee as to the timely availability of assistance, or assurance that any given problem will be resolved by the bid submission deadline. Proposals shall NOT be mailed or sent via telegraphic, electronic, or facsimile means. All notifications, updates and addenda will be posted online on PlanetBids at https://www.planetbids.com/portal/portal.cfm?CompanyID=20137. Proposers shall be EXHIBIT 1 City Council 16 –32 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 10 of 39 responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive proposal. B. COMMUNICATION / CONTACT WITH CITY STAFF Unless otherwise authorized herein, Proposers who are considering submitting a proposal in response to this RFP, or who submit a proposal in response to this RFP, are only to communicate with the assigned Project Coordinator(s), and no other City staff about this RFP from the date this RFP is issued until a contract is awarded. The City will provide all official communication concerning this RFP in writing via the City’s Bid Management System, PlanetBids. General questions regarding this RFP may be directed to the City's assigned Buyer utilizing the City's PlanetBids system. The City will not be responsible for or bound by any oral communication or any other information or contact that occurs outside the official communication process specified herein, unless confirmed in writing by the designated Project Manager(s). C. REQUEST FOR INFORMATION OR CLARIFICATION / QUESTIONS Questions regarding this RFP shall be submitted via PlanetBids. Responses to all questions will be posted on PlanetBids no later than the date and time shown at the schedule of key RFP dates above (if applicable). All prospective Proposers are advised to visit PlanetBids on a regular basis as responses may be posted earlier than the date above (if applicable). No verbal requests or responses will be accepted. Significant interpretations or clarifications will be addressed via addenda to this RFP. D. ADDENDA Any changes in RFP from the date of release to date of submittal will result in an addendum or amendment. Notification of such addendum or amendment shall be posted on City’s PlanetBids system, https://www.planetbids.com/portal/portal.cfm?CompanyID=20137. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. E. UNDERSTANDING PROPOSAL It is the responsibility of each Proposer to inquire about any criteria, condition, term, provision, or requirement of the RFP that the Proposer does not understand. Responses to inquiries, if they significantly change or clarify the RFP requirements or any aspect of the procurement process, will be forwarded by addenda to all Proposers. The City will not be bound by any oral responses to inquiries. By submitting proposals, Proposers assert that they have fully read the RFP and any addenda issued by the City, the proposed Contract and any other Contract Documents, and affirm that the terms and conditions stated therein are fully understood and are acceptable to the Proposer. Each Proposer accepts the terms and conditions of the Contract Documents and indicates their ability and willingness to perform the requested services under such terms and conditions. Any exceptions to the terms and conditions set forth in the Contract Document should be clearly noted in each Proposer’s proposal. Please direct all questions regarding the procurement process to: Eva Pierce, Buyer City of Santa Ana Finance & Management Services – Purchasing Division Email: epierce@santa-ana.org EXHIBIT 1 City Council 16 –33 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 11 of 39 Phone: (714) 647-6584 VII. PROPOSAL CONTENTS – STATEMENT OF QUALIFICATIONS (SOQ) A. Proposals (Statement of Qualifications) are to be prepared in such a way as to provide a straightforward, concise delineation of capabilities to satisfy the requirements of this RFP. Colored displays, promotional materials, photographs etc., are not necessary, but may be included. Emphasis should be concentrated on conformance to RFP instructions, responsiveness to the RFP requirements, and on completeness and clarity of content. Digital dividers and clear organization of content and material are encouraged and will be excluded from the page count. B. Format: 1) Standard 8 x11 ½ page size, max 1.5 spaced, Times New Roman, minimum 11 point font, one inch margins maximum, include table of contents, 10 pages maximum for the entire proposal (digital dividers and clear organization of content and material are encouraged and will be excluded from the page count). C. Cover Letter 1) Proposals shall include a letter signed by a principal or authorized representative who can make legally binding commitments for the entity. Include type of business entity. Cover Letter shall not exceed one page. Cover letter must be addressed to the following City Project Manager: Julie Castro-Cardenas, Economic Development Specialist II City of Santa Ana – Community Development Agency 20 Civic Center Plaza M-25 Santa Ana, CA 92701 D. Services Provided 1) A description of proposed services to be provided and how they meet the needs of the City as described in Section III – Scope of Services (above). E. Firm and Team Experience 1) A general description of the firm, including size and number of employees working directly with the City on this agreement. 2) Describe in detail Proposer’s prior experience in providing security guard services. 3) Firm’s nearest address serving the City of Santa Ana and headquarters address. 4) Name and contact information of the supervising Project Manager, to be assigned to the agreement. The Project Manager shall act as a liaison between the City and Contractor during the term of this agreement. This Project Manager shall be subject to approval by the City and shall not be changed without the written consent of the City’s designated Project Manager(s), which consent shall not be unreasonably withheld. 5) The City’s Project Manager(s) shall have the right to require the removal and replacement of the Consultant’s Project Manager from providing services to the City EXHIBIT 1 City Council 16 –34 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 12 of 39 under this agreement. The City’s Project Manager(s) shall notify the Contractor in writing of such action. The Consultant shall accomplish removal within five (5) business days after written notice by the City’s Project Manager(s). The City’s Project Manager(s) shall review and approve the appointment of the replacement for the Consultant’s Project Manager or Subconsultant(s). The City is not required to provide any additional information, reason or rationale in the event it requires the removal of Consultant’s Project Manager or Subconsultant(s). 6) Brief biographies for key staff assigned to this agreement and proposed subconsultants, including specific experiences in performing the work that is being solicited in this RFP, assigned role(s), and commitment that personnel will be available throughout the agreement. Resumes should be organized clearly and include education and experience at minimum. 7) A description of the Proposer’s experience in providing similar services to those requested in this RFP to other similar agencies. Include years of experience regarding the development, coordination, and implementation of security guard services. 8) Describe one or more projects executed by the Proposer that makes your firm stand out compared to other firms. F. Proposed Work Plan 1) Proposal shall include a statement demonstrating the firm’s understanding of the Scope of Services and how the work plan will align with the dynamic needs of Downtown Santa Ana. 2) Anticipated approach to performing services as specified herein; 3) Suggestions or special concerns the evaluation committee should take into consideration (if any); 4) Description of deliverables and implementation plan. Proposer shall submit a general description of the deliverables, implementation plan, and timeline G. Cost/Budget Proposal 1) Please use the excel spreadsheet to formulate the Budget Proposal for this RFP, see Attachment G and download the electronic version from PlanetBids. 2) All Proposers are required to submit a fixed rate fee with their Budget Proposal. Pricing instructions should be clearly defined to ensure fees proposed can be compared and evaluated. Budget Proposal must include a payment schedule if applicable. City reserves the right to negotiate compensation and/or payment schedule prior to award of any resulting agreement. 3) Proposals shall be valid for a minimum of one hundred eighty (180) days following Proposal deadline. The cost for developing the Proposal is the sole responsibility of the Proposer. All Proposals submitted become property of the City. 4) Cost must include all expenses, including but not limited to travel, mileage, parking, lodging, meals, incidental fees, freight/shipping and handling/delivery, and any other EXHIBIT 1 City Council 16 –35 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 13 of 39 supplies and materials related to providing services as specified herein. Additional costs will not be considered and will not be reimbursed by the City. VIII. CERTIFICATIONS In addition to the SOQ, Narrative/Technical Proposal, and Cost Proposal, the following forms, included in this RFP, shall be signed and included as part of the proposal submittal package:  Attachment A: Proposer’s Certification and Proposal Item Pricing  Attachment B: References  Attachment C: Proposer’s Statement  Attachment D: Non-Collusion Affidavit  Attachment E: Non-Lobbying Certification  Attachment F: Non-Discrimination Certification PLEASE NOTE: City will not be waiving notarization requirement when applicable on any of the required attachents. IX. REFERENCES Contractor shall provide three (3) references from other similar customers for which services similar to those specified in this RFP have been performed, including contact names and telephone numbers. Use Attachment B – References. The respondent grants permission for the City to contact any individuals listed as references. City may disqualify a Proposer if: • References fail to substantiate Proposer’s description of services and deliverables provided; or • References fail to support that Proposer has a continuing pattern of providing capable, productive, and skilled personnel, or • City is unable to reach the point of contact with reasonable effort. It is the Proposer’s responsibility to inform the point of contact(s) of normal City working hours. X. INSURANCE The selected Proposer shall provide the required evidence of insurance coverage as set forth in the standard agreement within ten (10) business days after receipt of Notice of Intent to Award. Contractor must maintain, for the duration of its contract, insurance coverages as required by the City. Additionally, Contractor shall provide the following insurance coverage: A warrant that the firm maintains a prudent amount of errors and omissions insurance that covers negligent acts and is applicable to the work requested in this RFP. Work on the contract shall not begin until after the awarded Contractor has submitted acceptable evidence of the required insurance coverages. EXHIBIT 1 City Council 16 –36 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 14 of 39 XI. EXCEPTIONS The proposal must be completely responsive to this RFP. Any exceptions to the requirements of this RFP must be clearly stated in the proposal. Such exceptions must be included as a separate element of the proposal entitled, “Exceptions and Deviations”. The City’s Project Manager, in his sole and absolute discretion, may authorize or deny any exceptions. XII. SELECTION PROCEDURES & CRITERIA The City will establish a proposal review committee. The review committee will evaluate proposals based on the response to the RFP, which includes adherence to outlined directions and format, and the City evaluation criteria set forth below. Proposers will be ranked by the review committee based on the following criteria: A. A final score will be calculated for each submitted proposal and used to rank Proposers. Based upon the foregoing criteria, all proposals shall be ranked by score. B. The City is under no obligation to accept any proposal and reserves the right to negotiate with respondents as to fees and terms. The City may reject proposals at its sole discretion. If proposal fails to satisfy any requirements outlined in this RFP, it may be considered non- responsive and may be rejected. The City shall not be obligated to accept the lowest priced proposals, but will make awards in the best interests of the City after all factors have been evaluated. The review committee will recommend the qualified Proposers to the City Council or City Manager for award of contract, as appropriate. CATEGORY POINTS Overall understanding of the Required Services - Compliance with the requirements of this RFP - Suitable contractor services inline with Scope of Services in RFP - Thorough understanding of the required services 25 Experience of Firm and Personnel - Familiarity with Santa Ana’s businesses, residents, and community - Ability to provide real-time incident reports - Proactive and innovative approach/strategy/work plan - Oral Interview 25 Reasonableness of Cost - Cost of delivering specified services is consistent with industry standards. 25 References - Previous experience with similar municipalities/areas 25 TOTAL POSSIBLE SCORE 100 EXHIBIT 1 City Council 16 –37 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 15 of 39 C. The committee may invite the proposers to interview.The City reserves the right to seek additional information from any or all Proposers invited to present proposals. A final score will be calculated for each submitted proposal and used to rank Proposers. City reserves the right to begin negotiations and enter into a contract without holding interviews, or further discussions. XIII. WITHDRAWALS Proposers are responsible for verifying all prices and information before submitting a proposal. Prior to the proposal due date, the Proposer or Proposer’s representative may withdraw the proposal by providing written notice of the proposal withdrawal to the City Contact/Project Manager. Verbal or telephonic withdrawals are not permissible. XIV. PROTESTS Proposers may file a “protest” to an RFP with the Project Manager. In order for a Bidder’s protest to be considered valid, the protest must: 1. Be filed in writing within five (5) business days of either the RFP issued date or before 5:00 p.m. of the 5th business day following the posting of Bid Results/Notice of Intent to Award Contract on the City’s website; 2. Clearly identify the specific irregularity or accusation; 3. Clearly identify the specific City staff determination or recommendation being protested; 4. Specify, in detail, the grounds of the protest and the facts supporting the protest; and 5. Include all relevant, supporting documentation with the protest at time of filing. If the protest does not comply with each of these requirements, it will be rejected as invalid. If the protest is valid, the Project Manager, or designated City Representative, shall review the basis of the protest and all relevant information. The Project Manager will provide a written decision to the protestor within ten (10) business days from receipt of protest. The decision from the Project Manager, or her/her designee, is final and no further appeals will be considered. XV. GENERAL TERMS AND CONDITIONS By submitting a Proposal, the Proposer acknowledges that it has thoroughly examined and accepts the Terms and Conditions of this RFP as described below: A. AMERICANS WITH DISABILITIES ACT The awarded Contractor hereby certifies that it will comply, as applicable, with the Americans with Disabilities Act of 1990 (“ADA”), 42 USC §§ 12101 et seq., and its implementing regulations, including Subtitle A, Title II of the ADA. Contractor will not discriminate against persons with disabilities nor against persons due to their relationship to or association with a person with a disability. Any contract entered into by the awarded Contractor (or any subcontract thereof), relating to this RFP, shall be subject to the provisions of this paragraph. B. CITY BUSINESS LICENSE The selected proposer shall be required to obtain a City of Santa Ana Business license within thirty (30) days of selection and must provide a copy to the City projects manager or designee prior to commencing any work in Santa Ana. EXHIBIT 1 City Council 16 –38 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 16 of 39 C. CITY RIGHT TO REJECT The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any agreement will be awarded pursuant to this RFP or otherwise. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any minor inconsistency, informality or technical defect in the proposal. D. CONFLICT OF INTEREST Contractor shall exercise reasonable care and diligence to prevent any actions or conditions that could result in a conflict with the best interests of the City. This obligation shall apply to the Contractor; the Contractor’s employees, agents, and Subcontractors associated with accomplishing work and services hereunder. The Contractor’s efforts shall include, but not be limited to, establishing precautions to prevent its employees, agents, and Subcontractors from providing or offering gifts, entertainment, payments, loans or other considerations which could be deemed to influence or appear to influence City staff or elected officers from acting in the best interests of the City. Each Proposer must disclose any existing or potential conflict of interest relative to the performance of the contractual services resulting from this RFP. Any such relationship that might be perceived or represented as a conflict should be disclosed. The City reserves the right to disqualify any Proposer on the grounds of actual or apparent conflict of interest. No person, firm, or subsidiary thereof who has been awarded this Contract may be awarded a Contract for the provision of services, the delivery of supplies, or the provision of any other related action which is required, suggested, or otherwise deemed appropriate as an end product of this Contract. Therefore, Contractor is precluded from contracting for any work recommended as a result of this Contract. E. CONTRACTOR’S EXPENSE Pre-Contractual Expenses: The City is not liable for any costs incurred by Proposers prior to entering into a formal contract. Costs of developing a response to this RFP, are entirely the responsibility of the Proposer, and shall not be reimbursed in any manner by the City. Pre- contractual expenses are not to be included in the cost proposal. Pre-contractual expenses include, but are not limited to, preparation of the proposal, submission of the proposal and additional information, attendance at pre-proposal conference, negotiating any matter related to this RFP with City, and/or any other expenses incurred by the Proposer prior to the date of award and execution, if any, of the contract. Other Expenses: The Contractor will be responsible for all costs related to photo copying, telephone communications, fax communications, and parking while on City sites during the performance of work and services under this Contract. Standards of Conduct: Contractor’s personnel shall be courteous and maintain good working relationships with all stakeholders, state or outside agencies, other team members and staff within the City. Criminal Background Certification: Contractor certifies that all employees working on this contract have had a criminal background check at Contractor’s cost and that said employees are clear of any sexual and drug-related convictions. Contractor further certifies that all employees hired by Contractor or Subcontractor shall be free from any felony convictions. City reserves the right to require Contractor to pay fingerprinting fees for personnel assigned to work in sensitive areas. EXHIBIT 1 City Council 16 –39 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 17 of 39 F. COST PROPOSAL The awarded Contractor agrees to provide the purchased services at the costs, rates, and fees as set forth in their Fee Schedule in response to this RFP. No other costs, rates or fees shall be payable to the awarded Subcontractor for implementation of their proposal. G. DATA RETENTION Contractor shall be responsible for retaining data, records, and documentation for the preparation of required items. These materials shall be made available to and as requested by City. All materials, documents, data or information obtained from the City Data files or any City medium furnished to Contractor in the performance of an awarded contract will at all times remain the property of the City. Such data or information may not be used or copied for direct or indirect use by Contractor after completion or termination of this Contract without the express written consent of the City. All materials, documents, data or information, including copies, must be returned to the City at the end of the contract. All data, documents and other products used, developed, or produced during response preparation of the RFP will become property of the City. All responses to the RFP shall become property of the City. Proposer information identified as proprietary shall be maintained confidential, to the extent allowed under the California Public Records Act. H. DRUG-FREE WORKPLACE The awarded Contractor certifies compliance with Government Code Section 8355 in matters relating to providing a drug-free workplace. Failure to comply with these requirements may result in suspension of payments under the Contract or termination of the contract or both, and the Contractor may be ineligible for award of any future City contracts. I. EXAMINATION Proposer represents that it has thoroughly examined and become familiar with the services and responsibilities required this RFP and that it is capable of effectively and efficiently performing quality work to achieve the City’s objectives. Any attachments referenced herein or any interpretations, clarifications or amendments subsequently posted in relation to this RFP are fully incorporated. Any irregularities or lack of clarity in the RFP should be brought to the designated City Contact/Project Manager’s attention as soon as possible so that corrective addenda may be furnished to prospective Proposers. Proposals which appear unrealistic in the terms of technical commitments, lack of technical competence, or are indicative of failure to comprehend the complexity and risk of this contract, may be rejected. J. EXECUTION OF AGREEMENT Upon successful negotiations, the City and the selected Proposer will enter into an Agreement similar to that as shown in Exhibit 2 – Sample Agreement of this RFP. If a Proposer is unwilling or unable to execute an Agreement within thirty (30) days after being notified of selection under this RFP, the City reserves the right to disqualify them without any further obligation EXHIBIT 1 City Council 16 –40 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 18 of 39 K. FISCAL NONFUNDING CLAUSE In the event sufficient budgeted funds are not available for a new fiscal period, the City shall retain the right to notify the provider of such occurance in writing at least thirty (30) days before the end of the current fiscal lperiod and terminate the contract on the last day of the current fiscal period without penalty or expense to the City. L. JOINT OFFERS/SUBCONSULTANTS Where two or more Proposers desire to submit a single proposal in response to this RFP, they should do so on a prime sub-consultant basis. The City intends to contract with a single firm, also known as the prime, and not with multiple firms doing business as a joint venture. Should the use of sub-consultants be offered, the Proposer shall provide the same assurances of competence for the sub-consultant plus the demonstrated ability to manage and supervise the subcontracted work. Sub-consultants shall not be allowed to further subcontract with others for work under the Agreement. The provisions of the Agreement shall apply to all sub-consultants in the same manner as the Proposer. The proposer is responsible for all the actions taken by their sub-contractor. The City reserves the right to reject, replace and approve any and all Subcontractors. All Subcontractor(s) shall be identified in the response to the RFP and the City reserves the right to reject any proposed Subcontractor(s). Subcontractors shall be the responsibility of the prime Contractor and the City shall assume no liability of such Subcontractors. M. INDEPENDENT CONTRACTOR Contractor is considered an independent Contractor and neither Contractor, its employees, nor anyone working under Contractor will be considered an agent or an employee of City. Neither Contractor, its employees, nor anyone working under Contractor, will qualify for workers’ compensation or other fringe benefits of any kind through City. N. LITIGATION STATUS Each Proposer must include in its proposal a complete disclosure of any alleged significant prior or ongoing contract failures, any civil or criminal litigation or investigation pending which involves the Proposer or in which the Proposer has been judged guilty or liable. Failure to comply with the terms of this provision will disqualify any proposal. The City reserves the right to reject any proposal based upon the Proposer’s prior history with the City or with any other party, which documents, without limitation, unsatisfactory performance, adversarial or contentious demeanor, significant failure(s) to meet contract milestones or other contractual failures. O. NEGOTIATIONS The City reserves the right to negotiate final contract terms with any Proposer selected. The contract between the parties will consist of the RFP together with any modifications thereto, and the awarded Contractor’s proposal, together with any modifications and clarifications thereto that are submitted at the request of the City during the evaluation and negotiation process. In the event of any conflict or contradiction between or among these documents, the documents shall control in the following order of precedence: the final executed contract, the RFP, any modifications and clarifications to the awarded Contractor’s proposal, and the awarded Contractor’s proposal. Specific exceptions to this general rule may be noted in the final executed contract. Negotiations shall be confidential and not subject to disclosure to competing Contractors unless and until an agreement is reached. If contract negotiations cannot be concluded successfully, the City reserves the right to negotiate a contract with another Contractor or withdraw the RFP. EXHIBIT 1 City Council 16 –41 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 19 of 39 P. OWNERSHIP OF DOCUMENTS The City has permanent ownership of all directly connected and derivative materials produced under this contract by the Contractor. All documents, reports and other incidental or derivative work or materials furnished hereunder shall become and remains the sole property of the City and may be used by the City as it may require without additional cost to the City. None of the documents, reports and other incidental or derivative work or furnished materials shall be used by the Contractor without the express written consent of the City. Q. PARKING The City will not provide free parking and/or reimbursement for the cost of parking while providing services and conducting business with the City. R. PROJECT MANAGER The selected Proposer will assume responsibility for all services in its proposal. The selected Proposer shall identify a sole point of contact, Project Manager, with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement. S. PROPOSAL VALIDITY Services, pricing, and warranties indicated in a Proposer’s Proposal must be valid for a period of 180 days at minimum after the submission of the Proposal. T. PUBLIC AGENCIES Other public agencies, as defined by California Government Code Section 6500, may choose to use the terms of this Contract, subject to Contractor’s acceptance. The City is not liable or responsible for any obligations related to a subsequent contract between Contractor and another public agency. U. PUBLIC RECORDS Proposals will become public record after the award of a contract unless the proposal or specific parts of the proposal can be shown to be exempt by law. Each Proposer may clearly label all or part of a proposal as "CONFIDENTIAL" provided that the Proposer thereby agrees to indemnify and defend the City for honoring such a designation. The failure to so label any information that is released by the City shall constitute a complete waiver of any and all claims for damages caused by any release of the information. Proposer information identified as proprietary shall be maintained confidential, to the extent allowed under the California Public Records Act. V. SUBCONTRACTORS Proposals in response to this RFP must identify any Subcontractors, and outline the contractual relationship between the Awarded Subcontractor and each Subcontractor. An official of each proposed Subcontractor must sign, and include as part of the proposal submitted by the Prime Contractor, a statement to the effect that the Subcontractor has read and will agree to abide by the awarded Contractor’s obligations. Any Subcontractor proposed after award of contract must be approved by the City before commencement of work. The City will look solely to the awarded Contractor for the performance of all contractual obligations which may result from an award based on this RFP, and the awarded Contractor shall not be relieved for the non-performance of any or all Subcontractors. EXHIBIT 1 City Council 16 –42 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 20 of 39 XVI. AWARD OF AGREEMENT Selected Contractor(s) will be notified in writing. Any award is contingent upon the successful negotiation of final contract terms. A. EXECUTION OF AGREEMENT A standard agreement is included as Exhibit 1 Standard Agreement of this RFP. “Proposer” will hereinafter be referred to as “Consultant” or “Contractor” in standard agreement. The term of the agreement will begin after the agreement is fully executed, and all required bonds, insurance documents and contents of the payment information packet have been received and approved. XVII. IMPLEMENTATION A. KICK-OFF MEETING A kick-off meeting may be held after award of contract. Contractor and its team will meet with City of Santa Ana staff to conduct introductions, discuss scope of services, and implementation process. B. NOTICE TO PROCEED Following the kick-off meeting, a formal Notice to Proceed (NTP) may be issued after the agreement is fully executed, and all insurance documents and contents of the Payment Information Packet have been received and approved. EXHIBIT 1 City Council 16 –43 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 21 of 39 THIS AGREEMENT is made and entered into on this day of , 2021 by and between ___________________________________________________________, (“Consultant”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”). RECITALS A. The City desires to retain a Consultant having special skill and knowledge in the field of: B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Scope of Services - Exhibit A, attached hereto and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Compensation - Exhibit B. The total amount to be expended during the term of this Agreement shall not exceed $xxxxxx. b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice 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 for a one (1) year term with the option for the City to grant up to a two (1)-year renewals, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below. 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent Consultant and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer- employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social EXHIBIT 1 SAMPLE AGREEMENT EXHIBIT 1 City Council 16 –44 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 22 of 39 security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement (“Documents & Data”). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City’s sole risk. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of 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 $2,000,000 per occurrence. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non- owned automobiles. c. Worker’s Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Contractor, 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. Where the amounts or coverage provided by the certificates of insurance provides coverage greater than those listed by this Agreement, the amounts provided by the certificates of insurance shall be incorporated by reference into the Agreement. EXHIBIT 1 City Council 16 –45 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 23 of 39 v. Consultant shall supply City with a fully executed additional insured endorsement. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City’s election, to forthwith terminate this Agreement. Such termination shall not affect Contractor’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 defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Contractor, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Contractor’s services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. 8. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States’ letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 9. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 10. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. “Confidential Information” shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available EXHIBIT 1 City Council 16 –46 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 24 of 39 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. NON-DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Contractors retained by City. 15. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, EXHIBIT 1 City Council 16 –47 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 25 of 39 failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 19. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: 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, ------- Agency City of Santa Ana 20 Civic Center Plaza (M-xx) P.O. Box 1988 Santa Ana, California 92702 Fax: To Contractor: 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 First & Last Name Title Consultant Firm Name Address City, State, Zip Fax: EXHIBIT 1 City Council 16 –48 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 26 of 39 transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 20. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney’s fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. The Agreement is the final and complete agreement and any prior or contemporaneous agreements for similar services between the parties is superseded by this Agreement. This shall not apply where the Parties are currently engaged and Consultant is providing services not contemplated by this Agreement. c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA Daisy Gomez Kristine Ridge Clerk of the Council City Manager APPROVED AS TO FORM: SONIA R. CARVALHO CONSULTANT: City Attorney By: Assistant City Attorney Tax ID# RECOMMENDED FOR APPROVAL: Steven Mendoza Executive Director Community Development Agency (name) (title) Carl S. Cunningham General Manager EXHIBIT 1 City Council 16 –49 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 27 of 39 Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit 1) and am qualified to provide services being requested as specified herein. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. PROPOSER’S STATEMENT: I have read, understood and agree to the terms and conditions on all pages of the Request for Qualifications. Upon request, I will transfer and deliver goods or services to the City in accordance with said terms and conditions. __________________________________________________________________________________ LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS __________________________________________________________________________________ BUSINESS ADDRESS __________________________________________________________________________________ PRINTED NAME OF AUTHORIZED AGENT TITLE __________________________________________________________________________________ SIGNATURE OF AUTHORIZED AGENT DATE E-MAIL ADDRESS __________________________________________________________________________________ FEDERAL ID NUMBER (IF APPLICABLE) CONTRACTOR LICENSE NUMBER (IFAPPLICABLE) ATTACHMENT A PROPOSER’S CERTIFICATION, PROPOSAL ITEM PRICING EXHIBIT 1 City Council 16 –50 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 28 of 39 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. REFERENCE Customer Name:_________________________Contact Individual: ____________________________ Address: ________________________________Phone Number: _______________________________ EMAIL: ____________________________________ Contract Amount: ________________________Year: ______________________________________ Description of supplies, equipment, or services provided: __________________________________________________________________________________ REFERENCE Customer Name:_________________________Contact Individual: ____________________________ Address: ________________________________Phone Number: _______________________________ EMAIL: ____________________________________ Contract Amount: ________________________Year: ______________________________________ Description of supplies, equipment, or services provided: __________________________________________________________________________________ REFERENCE Customer Name:_________________________Contact Individual: ____________________________ Address: ________________________________Phone Number: _______________________________ EMAIL: ____________________________________ Contract Amount: ________________________Year: ______________________________________ Description of supplies, equipment, or services provided: __________________________________________________________________________________ ATTACHMENT B REFERENCES EXHIBIT 1 City Council 16 –51 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 29 of 39 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City’s legal holidays), or the funds, check, draft, or proposer’s bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or proposer’s bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. Firm________________________________________________________________________________ Signed and Printed Name: ______________________________________________________________ Title ________________________________________________________________________________ Date ATTACHMENT C PROPOSER’S STATEMENT EXHIBIT 1 City Council 16 –52 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 30 of 39 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham proposal. Note: The above noncollusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this noncollusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. Signed____________________________________________________________________________ State of California, County of __________________________________________________________ Subscribed and sworn to (or affirmed) before me on this________ day of_____________, 20____, by ________________________, proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. ________________________ Notary Public Signature Notary Public Seal ATTACHMENT D NON-COLLUSION AFFIDAVIT EXHIBIT 1 City Council 16 –53 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 31 of 39 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Signed: Title: Firm: Date: ATTACHMENT E NON-LOBBYING CERTIFICATION EXHIBIT 1 City Council 16 –54 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 32 of 39 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: 1. The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers’ representatives of the Consultant’s commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Consultant’s non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Consultant may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. ATTACHMENT F NON-DISCRIMINATION CERTIFICATION EXHIBIT 1 City Council 16 –55 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 33 of 39 7. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: Title: Firm: Date: EXHIBIT 1 City Council 16 –56 11/16/2021 CITY OF SANTA ANA RFP No. 21-099 Downtown Unarmed Security Guard Services Page 34 of 39 Expense Category Rate/Amount Monthly Total Notes Security Guard Hourly Rate $ - $ - Holiday Overtime Rate (only for approved holidays) $ - $ - Communication (cell phone) $ - $ - Transportation: cart, golf cart, bicycle $ - $ - Reporting Cost $ - $ - Other expense $ - $ - Other expense $ - $ - Discounts (duration of discount) $ - $ - Total $ - $ - Day(s) of the Week Time Daily Hours Mon-Wed 9:00am-10:00pm 39 Thursday 9:00am-12:00pm 15 Friday 9:00am-12:00am 15 Saturday 10:00am-12:00am 14 Sunday 10:00am-10:00pm 12 Total Weekly Hours 95 Note: Security Guard Schedule subject to change with 24 hour notice to selected company. ATTACHMENT G Cost Proposal/Budget Proposal Template EXHIBIT 1 City Council 16 –57 11/16/2021 20 EXHIBIT B SCOPE OF WORK EXHIBIT 1 City Council 16 –58 11/16/2021 1 EXHIBIT B SCOPE OF WORK Scope of Work for Downtown Santa Ana A. Main Objective: 1) Contract an unarmed security guard service company for the entire area of Downtown Santa Ana (DTSA) with the potential of providing security guard services to the four parking structures and one surface parking lot within DTSA. Refer to the diagram above for the boundaries of Downtown Santa Ana including the city-owned parking structures and surface parking lot. 2) Contracted security services will include guard services 365 days per year with a range of 40-100 hours per week, contingent upon available funds and need. In general one guard per shift with the potential of increasing to two guards during peak times, upon the discretion of the City. 3) The schedule below is a best estimate of service level needs, but selected contractor should be prepared to provide on-call security guards as needed by the City or reduce service levels as determined at the City’s sole discretion. Security Guard Weekly Schedule Day(s) of the Week Time Daily Hours Mon-Wed 9:00am-10:00pm 13 x 3 days = 39 Thursday 9:00am-12:00am 15 Friday 9:00am-12:00am 15 Saturday 10:00am-12:00am 14 Sunday 10:00am-10:00pm 12 Total Weekly Hours 95 Note that posts and hours are subject to change by City of Santa Ana. EXHIBIT 1 City Council 16 –59 11/16/2021 2 B. Security Guard Main Responsibilities & Requirements: 1) Maintain direct communication with stakeholders such as City staff and his/her designee, business owners, business employees, residents, visitors and have the ability to share contact information such as a work-cell phone. 2) Provide a positive and enforcement presence to deter negative activity and to promote safety in DTSA. 3) Monitor, observe, and report illegal activities, suspicious activities, and provide assistance to merchants, businesses, residents, and City staff. 4) Visually inspect and observe outdoor designated checkpoints at regular intervals to maintain adequate security coverage throughout DTSA. 5) Contact Santa Ana Police Department when necessary upon observance of suspicious behavior or criminal activity such as vandalism. 6) Submit daily activity reports within six hours of prior security shift, noting any security incidents, suspicious activities, or calls to Santa Ana Police Department. 7) The security guard services include, but are not limited to: patrolling areas by foot, bicycle or street-legal cart; monitoring and responding to security issues, and performing the post orders and pass down duties. C. Supervisor Requirements 1) Has at least 12 months prior work experience as a security guard supervisor. Include this information as part of the requirement for Exh. A., Section 1.02.4. 2) Has training and supervisory experience commensurate with the requirements as specified herein. 3) Ensure that all posts have an approved security guard at all times and for the duration required. 4) Ensure that the Contractor provides an approved security guard for any late, absent or dismissed security guards. 5) Act as the liaison between City and Contractor regarding all issues pertaining to security guard and performance. 6) Supervisor must be available whenever guard shifts are being performed, including holidays, by telephone to respond to any issues that may arise as specified herein and respond to any such inquiries in a timely manner while implementing appropriate resolution actions. EXHIBIT 1 City Council 16 –60 11/16/2021 3 D. Security Guard Requirements 1) English & Spanish language skills required. 2) Abide by all requirements as specified herein. Abide by all legal requirements. 3) Abide by all applicable California Bureau of Security and Investigative Services requirements. 4) Hold a valid security guard registration.Have at least 12 months prior work experience with a valid security guard registration. 5) Wear the appropriate uniform at all times while performing duties. 6) Show up on time, as scheduled and work duration of assigned shift. 7) Perform all of the Post Orders and Pass Downs as applicable. 8) Perform duties in a professional manner at all times, including appropriate behavior and attitude, well-maintained appearance including, but not limited to: covering up inappropriate tattoos, and no jewelry except wedding ring and/or watch. 9) Exhibit competent command of the English language and efficient in communicating with the public. E. Uniforms 1) Furnish and provide well-maintained matching soft uniforms for each event security guard including but not limited to: jacket, shirt, pants, shoes, raingear (as-needed basis for inclement weather). Must adhere to City’s COVID-19 safety protocols such as wearing a facial covering (mask) when appropriate (i.e. within six feet of any individual). 2) Ensure that appropriate identification badges, patches, or screen prints are easily seen by City Staff and all visiting patrons. 3) Furnish and provide sufficient quantity of each item above to allow each security guard to have an appropriate number of change outs: shirts and pants on a per shift basis; shoes on an as-needed basis. 4) Ensure that all uniforms are clean and well pressed and always look professional. 5) Security guards are not to substitute any of the above uniform articles. 6) Any security guard who reports to their assigned post and does not have the appropriate uniform must be immediately (within 1 hour) replaced with a guard that has the appropriate uniform. EXHIBIT 1 City Council 16 –61 11/16/2021 4 F. Equipment 1) Furnish and provide cell phone to facilitate on-site communication between guards, supervisor, business owners, residents, City staff and his/her designee. 2) Transportation car/golf cart/electric vehicle (optional element of this RFP): ability to research a transportation car/golf cart/electric vehicle that is street-legal that can be purchased by the contractor on behalf of the City, which will ultimately become City property at the termination of the agreement with proper reimbursement for the cost of the vehicle. Transportation vehicle will be used predominantly for security guards to patrol the area more efficiently and may be used to transport goods and/or people for urgent or sensitive matters in DTSA. G. Reports 1) Submit activity reports from the prior security shift within six hours, in the method required, and on the forms required. 2) Include any pertinent information or backup documentation with your reports. 3) General: Report immediately, verbally and or in writing as soon as practically possible taking safety into consideration; especially concerning issues that may require immediate action to avoid potential escalation. If possible, take photos of the observation or interaction and attach to email, text, pictures, and written reports. 4) Safety, Injury, or Damage: any impending, occurring, or potential hazards, incidents, or accidents that have harmed, are harming, or could likely harm persons, animals, plants, property, environment, or the like. 5) Public Nuisances: any observations of any public nuisances. 6) Business Interactions: any interactions with business owners and or persons. 7) Work Performance Delays: anything that is or could potentially delay or prevent work from being performed within the designated times and locations. 8) Follow up Activities: all action items from the above section, which may have been verbally reported, but a written report was not possible at the time; and all action items as required by City Representative. EXHIBIT 1 City Council 16 –62 11/16/2021 5 H. License and Permits 1) Contractor and assigned personnel shall possess all licenses and permits required by the following entities: federal, state, county, city, and other necessary entities. I. Provide Security Guards for as-needed assignments within 24 hours of notification from City Representative. J. Legal & Best Practice Requirements 1) Be self-informed, abide by, and comply with all, current and applicable, local, county, state, federal or other legal requirements and best practices at all times. 2) Do not cause, allow to be caused, or permit the continuance of any violation of any legal requirements or best management practices. 3) Be responsible and bear all associated costs should any work be performed in contrary to any laws, ordinances, codes, rules, or regulations. 4) Must have a valid State of California, Bureau of Security and Investigative Services, Private Patrol Operator's license for the required work. 5) Contractor must provide everything necessary at company expense including, but not limited to all labor, supplies, tools, equipment, and the like required to perform and complete the required services. 6) Contractor must perform and comply with all work per these specifications, according to all applicable and acceptable industry standards, of the highest quality commensurate with the required service. 7) Contractor must comply with and be fully responsible at all times for being up-to-date regarding all applicable legal requirements in accordance with the attached specifications. K. Security guard/supervisor/liaison that does not meet all legal requirements and all requirements as specified herein, as deemed in City Representative’s sole discretion, must be immediately removed from post assignment, is not permitted to be reassigned to any City post, and must be replaced immediately with a security guard who meets all legal requirements and all requirements as specified herein; NO EXCEPTIONS. EXHIBIT 1 City Council 16 –63 11/16/2021 6 L. At City’s sole discretion, City may allow a security guard, who is removed from post assignment, to be reassigned only after said security guard has been fully retrained or received additional training at Contractor’s sole expense and to City’s satisfaction. M. General Requirements – Company 1) Orientation time is billable for no more than thirty (30) minutes unless City has specifically requested an earlier arrival. Late arrivals will be assessed liquidated damages. 2) When multiple guards are required, only the security guard supervisor will be paid for the orientation time. 3) Keep an updated and approved security guard list, which must include, but not limited to: 4) Full Name: First, Middle, Last 5) Photo: Current, face 6) Address: Residence 7) Phone Numbers: Contact 8) Security Guard Registration: current 9) CA driver’s licenses: current 10) Experience: at least 12 months prior work experience as a registered security guard 11) Do not place any guards at any posts unless that guard is on the approved security guard list. N. Holidays: only the listed City holidays are subject to any premium rates (overtime, etc.) LN DATE EVENT 1 January 1 New Year’s Day 2 Third Monday in January Martin Luther King’s Birthday 3 Third Monday in February President’s Day 4 Last Monday in May Memorial Day 5 July 4 Independence Day 6 First Monday in September Labor Day EXHIBIT 1 City Council 16 –64 11/16/2021 7 7 November 11 Veteran’s Day 8 Fourth Thursday in November Thanksgiving Day 9 Friday after Thanksgiving 10 December 25 Christmas Day Service Area for Downtown Santa Ana EXHIBIT 1 City Council 16 –65 11/16/2021 Wednesday, September 8, 2021 A SECURITY PARTNERSHIP PROGRAM FOR THE CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY Downtown Santa Ana Unarmed Security Guard Services Response to RFP No. 21-099 Local Address 10016 Pioneer Blvd. Suite 109 Santa Fe Springs, CA 90670 Primary Contact Carl Cunningham, General Manager 415-760-8116 carlcunningham@patrolsolutions.com EXHIBIT 1 City Council 16 –66 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 2 TABLE OF CONTENTS TABLE OF CONTENTS ................................................................................................................... 2 C. COVER LETTER .......................................................................................................................... 3 D. SERVICES PROVIDED ............................................................................................................... 4 E. FIRM AND TEAM EXPERIENCE ............................................................................................. 7 1. General Firm Description ....................................................................................................... 7 2. Prior Experience ..................................................................................................................... 7 3. Nearest Address and Headquarters Address .......................................................................... 8 4. Project Manager ..................................................................................................................... 8 5. Project Manager Agreement .................................................................................................. 8 6. Key Staff Resumes ................................................................................................................. 9 7. Similar Experience ............................................................................................................... 13 8. Projects that Make Patrol Solutions Stand Out .................................................................... 13 F. PROPOSED WORK PLAN ........................................................................................................ 14 1. Statement of Understanding ................................................................................................. 14 2. Anticipated Approach .......................................................................................................... 14 3. Suggestions or Special Concerns ......................................................................................... 14 4. Deliverables and Implementation Plan ................................................................................ 14 G. COST/BUDGET PROPOSAL .................................................................................................... 17 H. REQUIRED FORMS AND CERTIFICATIONS ..................................................................... 18 EXHIBIT 1 City Council 16 –67 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 3 C. COVER LETTER Julie Castro-Cardenas, Economic Development Specialist II City of Santa Ana – Community Development Agency 20 Civic Center Plaza M-25 Santa Ana, CA 92701 Dear Julie Castro-Cardenas, Patrol Solutions sincerely appreciates the opportunity to present this proposal for serving the unique security requirements of the City of Santa Ana. It is the goal of my company, Patrol Solutions, to protect your employees, patrons, and property in a responsive and responsible manner. I have partnered with industry-leading security professionals who share my vision of emphasizing customer service in our security. We comprise the leadership of this company, and we all understand how important it is to give each client our full attention and respond whenever things may come up. We take great pride in adapting our security service in order to meet the specific needs of each and every client. Our entire management team, especially Director of Operations Felix Guerrero and the local team, will work to develop strong working relationships with City staff and local law enforcement in order to deliver processes and training requirements specific to this contract. We currently perform very similar services for the Arts District of Los Angeles Business Improvement District, and many of the best practices and protocols we’ve gleaned will be applied to the City of Santa Ana as well. Patrol Solutions constantly analyzes ways in which we can further enhance our services with software, technology, and management in order to support the dynamic needs of our clients. Our officers are trained to maximize safety and security procedures as well as customer service, which is important for positions in which they interact with the public. Our management team places an emphasis on communication and accountability to ensure that the security plan is implemented and executed as best as possible. Felix has great experience managing similar projects. He is also fluent in Spanish and we have officers who are fluent in Spanish, too. Patrol Solutions, LLC (doing business as: Patrol Solutions), is headquartered in Citrus Heights, California, and has been providing armed and unarmed contract security services since 2010. Klinton Kehoe has owned the company since 2016. We are a limited liability company. Our clients include government agencies and municipalities as well as properties and entities in the private sector. PS operates out of six offices throughout California and employs about 140 security officers. PS is licensed as a qualified security patrol operator by the state of California/Bureau of Security and Investigative Services (license number PPO 119966). We have read and reviewed the RFP and understand the nature of the work to be accomplished. Please let us know if we can provide you with any additional information. Respectfully, Carl Cunningham Carl Cunningham, General Manager 415-760-8116 | carlcunningham@patrolsolutions.com EXHIBIT 1 City Council 16 –68 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 4 D. SERVICES PROVIDED Our upper management has direct experience serving clients with multiple sites, including projects involving foot and bike/cart patrols for properties spread out over several city blocks. Patrol Solutions has been providing security services for public and private entities since 2010. Some of our current clients are the Arts District of Los Angeles, the City of San Francisco Human Services Agency, and the Contra Costa Water District. Our upper management team, including our director of operations, our general manager, and our Bay Area regional manager, has direct experience with the management of major government contracts. Now that these managers are part of Patrol Solutions, they can apply all of their knowledge and expertise for the City of Santa Ana security plan. Felix Guerrero, who would serve as the project manager for this contract, has direct experience managing the security contract for the City of Glendale, which included unarmed security for libraries, public buildings, and 27 parks. We will manage the security program and provide the City of Santa Ana with trained and qualified unarmed security officers for all of the requested service hours. These officers will conduct all duties as described in the scope of work of the RFP. Officers assigned to this contract will meet the requirements specified in the RFP as well, including having English and Spanish language skills. Patrol Solutions will provide officers with uniforms and all of their equipment, including cellphones, guard tour system, and any bicycles and/or electric carts. General Approach to the Scope of Work It is the goal of Patrol Solutions that all of our security services will ensure the safety of patrons, vendors, and your employees. By providing a visible presence, our officers serve as a visual deterrence to crime and other unwanted activities. By performing their duties in an engaged, alert, and responsive manner, officers will create a safe environment for everyone. Whenever possible, officers will assist patrons, vendors, and City employees as long as doing so does not compromise their security duties. Patrol Solutions will use our training and managerial resources in order to implement a site assessment and training program throughout the transition and delivery of the work plan. Led by Felix Guerrero, our local team will be able to focus on what matters most: officer development with the goal of customer service and asset protection. Felix will serve as the designated project manager. For the benefit of the City, our officers, managers, and client will be supported by our manned 24/7 watch commander station. Every shift, we have mobile field team managers who conduct on-site supervision and support. Delivery of service will not just be in the field. Jennifer Pinelo and the team at the local office are available to help officers with HR matters, uniforms, inquiries, and schedule changes if needed. We know the tasks required and are prepared to evaluate and improve wherever possible. Our experienced and knowledgeable security management team begins by reviewing your stated needs. After assessing current security, our team then designs a security program customized to your requirements and tailored specifically for the designated downtown area. In particular, PS pays special attention in addressing the following factors: 24/7 Field Team Manager Program – Field team managers are available 24/7 via phone, text, and email. They conduct proactive site checks and ensure that field officers are performing up to standards. They evaluate officers’ uniforms and equipment, review daily activity reports, and assist with any patrol or protocol modifications. Their time of visit varies from day to day. FTMs are mobile (in marked security vehicles) and also respond to any emergencies or incidents. They not only supervise and manage the officers in the field, but also reward and discipline them. If necessary, FTMs can assist in cross- training officers. At PS, our FTMs personally take initiative to visit sites, thereby providing a visible EXHIBIT 1 City Council 16 –69 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 5 leadership presence to field officers and staying in touch with the client’s management team. Unarmed Security – Officers will be trained to master the ins and outs of their specific post. They will learn your general rules and regulations, gain familiarity with the downtown area, and learn general information so that they will be capable of interacting with the public. Security officers will observe and report daily activities, and prepare accurate and legible daily activity reports and incident reports (as needed). They will conduct regular patrols and assist yuor personnel, police, and other law enforcement officials as necessary. They will provide a visible deterrence to unwanted activities and help maintain public safety. Roving Patrols – Officers perform full patrols on a regular basis. These patrols include all areas of the site as designated by the post orders. A visible presence will serve as a deterrent to trespassers and crime, and increase general public safety. Officers will seek to prevent and minimize fire, theft, damage, graffiti, and other unwanted activities. As they make their rounds, they will also ensure that the facilities are secured (doors, windows, gates, locks, etc.) if appropriate. Any unusual incidents or hazardous conditions will be reported to the proper representative and logged. Officers will perform patrols on foot and/or bicycles. Customer Service – All PS officers must undergo and complete customer service training. Officers will support City employees in any capacity as long as the officers can safely complete their post duties. Likewise, officers who work at posts where they will interact regularly with the public will be comfortable doing so. They will be able to provide public information to visitors and have basic knowledge of the general area and services. Officers will, at all times, be polite, courteous, respectful, and responsive to any person authorized to be at the site. Reporting and Documentation – All PS officers are trained to write accurate and detailed reports. Officers will complete the appropriate reports for each shift. The reports are completed online and emailed directly to the client and are searchable. Reports include daily activity reports, conditions reports, incident reports, and others as assigned. Any officer who knowingly falsifies a report will be disciplined up to and including termination from employment. Officers are fluent in English and able to communicate verbally as well as via the report writing system. Officers will maintain a log of security violations and report occurrences to supervisors as quickly as possible. In the event of any maintenance requests, officers will forward such requests to the proper representative. Emergency Response – PS will design and implement an emergency plan that will address all response to threats and potential emergencies at the various sites. The PS corporate emergency response plan is based on the nationally-recognized Incident Command System (ICS) for emergency response. PS understands that changing security needs in the case of an emergency or incident requires PS to respond with additional staff. PS is fully prepared to increase our security services in the event of an escalation in the security level (emergencies, civil unrest, fire, or special events). PS will work closely with your management to escalate and de-escalate the need for additional staffing at the site. In the event of an emergency, PS uses the following procedures to ensure that trained staff are on-hand to fill all shifts at the site, including scheduled absences as well as increases in staffing: • Cross-training – PS cross-trains security officers, supervisors, and managers. PS will share an employee list of trained officers available to work at the site and will train more officers per request of client, if needed. • Back-up Staffing – PS will, at all times, have a pool of qualified officers who have received full training and orientation, including post assignments, standards, and procedures. These officers will be able to fill any shift on a short notice. • Emergency Planning – PS operates a corporate emergency response plan based on the nationally-recognized Incident Command System. This plan covers all aspects of emergency response. Our corporate guidelines are designed to help us maintain security services before, EXHIBIT 1 City Council 16 –70 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 6 during, and after an emergency. This includes situations such as earthquakes, major fires, major civil unrest, or major escalation of the security level. Because each client and each situation is unique, PS works with management to implement preventive measures such as training and emergency planning. • Emergency Response Vehicle – PS operates an emergency response vehicle especially equipped for emergency situations and special events. Our emergency equipment is always at the ready, and includes power generators, indoor/outdoor lighting systems, light rescue equipment. All of the emergency equipment is checked monthly. This specially-equipped vehicle enables PS to respond during an emergency incident or scheduled special events. Management Plan Every shift, we have at least one mobile field team manager on duty who is equipped to provide proactive site supervision and support. The field team manager provides oversight to officers in the field and has the authority to discipline and train officers as needed. In the event of any incidents, the FTM will arrive on the scene. An FTM can be reached 24-7 via phone. The FTMs will report to Felix Guerrero. He has full authority to address any problems and issues raised by the City, including (but not limited to) increases and decreases in staffing and disciplinary problems. He will manage the FTMs to ensure that every level of performance has accountability. Our management team will be available for regularly scheduled meetings with City security liaisons to ensure that all aspects of the security program are meeting expectations. Supervision We maintain a 1 to 4 supervisor/lead officer to security officer ratio. In addition, we provide a 1 to 20 manager to officer ratio in order for our team to receive updated training and other important company news. Maintaining a positive connection between officers, the client, and our management is critical to reducing turnover. Officers designated as supervisors help ensure that the other officers are carrying out their duties properly during their assigned shift. Supervisors are more seasoned, experienced, and capable than lower-level officers. Field Team Managers (FTMs) check in at every site daily in order to ensure that all of the officers are meeting client expectations and performing well. Random Site Inspections: Patrol Solutions conducts unannounced site checks at least once per day. These site inspections are conducted by one of our managers, a group which includes the field team managers and higher (operations manager and regional manager). Proactive Field Support: The Patrol Solutions field team manager (FTM) program is a critical aspect of our proactive quality control process, which distinguishes us from other security providers. At other security companies, managers tend to go on-site as a response to complaints, after a problem has arisen. At PS, our managers personally take initiative to visit sites, thereby providing a visible leadership presence to field officers and staying in touch with the client’s management team. Leadership’s Role: Every day, each site receives an on-site inspection from a field team manager (FTM) who has the authority to review performance and perform corrective actions if necessary. These unannounced checks help motivate officers to remain alert. The FTM: Our FTM program sets us apart from all other security providers. This position is staffed by an experienced leader who maintains daily contact with multiple sites and is duly qualified to evaluate field officer performance. EXHIBIT 1 City Council 16 –71 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 7 E. FIRM AND TEAM EXPERIENCE 1. General Firm Description Patrol Solutions has about 140 total employees, and about 35 employees in the LA region where this contract will be serviced. 2. Prior Experience Patrol Solutions’ unique ability to combine financial strength, personnel development, disciplined execution, responsive management, and adaptive customer service has empowered us to meet the evolving needs of each and every client. Entities comparable to the City of Santa Ana Community Development Agency find us to be the ideal security services partner. Our company’s management team is accustomed to serving government clients who are dynamic in scope, magnitude, and complexity. Vast resources activated through well-defined management processes enable PS to meet the requirements of modern facilities and the demands of highly responsible and highly sophisticated clients. Our leadership team and management team are comprised of former Cypress Private Security managers, who have direct experience with serving the following accounts. In particular, Felix Guerrero, our director of operations who will oversee the City of Santa Ana security project, has managed the LA-region contracts listed below, while some of our other company managers oversaw the other regional contracts. Felix’s professional experience includes managing the Arts District of Los Angeles Business Improvement District, which has a very similar scope of work to this City of Santa Ana project. Listed below are some of the contracts Felix has managed. • Arts District Los Angeles o $680K per year o 11/2017 to 06/2019, 09/2020 to present o Unarmed officers provide bicycle, foot, and vehicle patrol. Officers provide visible deterrent to trespassing, vandalism, illegal camping, community engagement, with customer service through active patrolling, and incident reporting. • City of Glendale o $600,000 per year o 04/2012 to 06/2019 o Unarmed services for the City’s libraries, public auditoriums, parking structures, office buildings, transit depot, Water & Power department facilities, and 27 parks. Duties include mobile and foot patrols, access control, lockup procedures, call response, and more. • City of Inglewood o $450,000 per year o 01/2019 to 06/2019 EXHIBIT 1 City Council 16 –72 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 8 o Unarmed security for the City’s public libraries, City Hall, the senior center, and public parks. Duties include mobile and foot patrols, access control, lockup procedures, call response, and more. • Los Angeles Police Department o $2 million per year o 2/2017 to 06/2019 o Unarmed and armed officers to provide security guard services through the entire LA Basin, including El Pueblo, libraries, public hygiene facilities, water treatment plants, city buildings, jails, and the police communication tower. • Housing Authority of the City of Los Angeles o $5.5. million per year o 09/2013 to 11/2018 o Armed and unarmed services for a major housing authority. Mobile patrols, foot patrols, access control, emergency response, concierge functions, customer services, CCTV monitoring, alarm systems, operation of X-Ray machines. • Redondo Beach Transit Center o $50,000 per year o 01/2012 to 06/2019 o Unarmed services for the transit center. Access control, foot patrol, emergency response. 3. Nearest Address and Headquarters Address The local address which will serve the City of Santa Ana is located at 10016 Pioneer Blvd. Suite 109 | Santa Fe Springs, CA 90670. The company headquarters is located at 6060 Sunrise Vista Dr. Suite 1500 | Citrus Heights, CA 95610. 4. Project Manager Felix Guerrero will serve as the supervising project manager. He is based out of the Santa Fe Springs office and can be reached at 310-490-9804 and felixguerrero@patrolsolutions.com. 5. Project Manager Agreement We agree that the City’s Project Manager shall have the right to require the removal and replacement of our project manager under this agreement. EXHIBIT 1 City Council 16 –73 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 9 6. Key Staff Resumes Patrol Solutions wants to provide the City with a direct channel of communication so we can provide the very best security services possible. To reflect this philosophy, our organizational structure is designed to minimize cumbersome layers of bureaucracy. Our goal is 100% customer satisfaction. Authority and responsibility is delegated appropriately so managers can resolve issues without having to sift through endless red tape. Instead, open lines of communication mean that management can be in contact with on-site and off-site staff quickly. Klinton Kehoe is the CEO and owner of Patrol Solutions. He entered the private security industry as a security officer for a regional security company. Less than half a year into his career, he found that he was clearly well-suited for the job and was promoted to be a training manager. He quickly earned numerous training certifications and became qualified to train security officers. In addition to his capabilities as a trainer, he was also promoted to be a shift manager. In this role, Klinton managed a security program with 100 officers assigned to the project. He managed deployments, breaks, schedules, and performance reviews. As he continued progressing in his career, Klinton began taking on more operational, “big picture” roles and he eventually managed over seventy clients and properties. Going to his sites also instilled in him the importance of great customer service. Seeing firsthand how much clients valued clear lines of communication, honesty, and personal accountability, Klinton knew that his responsiveness and responsibility as a manager would always have meaning and add value to the security program. It is precisely that attitude that helped him build Tactical K-9 & Patrol Solutions, the company that would eventually be known as simply Patrol Solutions. Klinton Kehoe CEO & Founder Expertise Security Operations, Operations Management, Customer Service, Business Planning and Development, Workplace Injury Prevention, Security Program Development Professional Affiliations American Society of Industrial Security (ASIS) BSIS EXHIBIT 1 City Council 16 –74 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 10 Carl Cunningham is partnering with Patrol Solutions, founded in 2011, after a ten-year stint as the primary business development manager at Cypress Private Security. After Cypress was bought out by one of the international security firms, the Patrol Solutions partnership was created specifically to provide a customer-oriented experience for clients who have been disillusioned with the inattention and lack of care from the so-called industry leaders. Patrol Solutions is new to the local market, but comprised of a management and leadership base of the best former Cypress managers. Patrol Solutions works to provide responsive decision making to every individual client, and also strives to recognize each employee’s efforts and contributions while providing a road to successful career development. Carl enjoys the camaraderie, not only between employees, but between the company and clients. The personal consideration a client receives is something Carl truly values in his work and strives to provide. One of his many talents is the ability to provide a great deal of attention to each individual client, as he builds each client’s relationship with the Patrol Solutions management team. When meeting with clients, he accurately and helpfully applies his knowledge of the security industry to diagnose the specific services they need for their site. His clients have long appreciated the sincerity and thoughtfulness he provides as he addresses all of their security concerns. With over 20 years of experience in operations, sales, and marketing, Carl has vast knowledge in the security and business management fields. He is responsible for all areas of business development and takes a long-term approach to cultivating business partnerships with clients, ensuring a customized security program that meets their needs. Carl Cunningham General Manager Expertise Business Management, Business Development, Security Operations, Workplace Injury Prevention, Healthcare Security Program Development, High Rise and Commercial Building Certifications Professional Affiliations American Society of Industrial Security (ASIS), Building Operators and Managers Association (BOMA), Institute of Real Estate Management (IREM), California Association of Community Managers (CACM), International Association for Healthcare Security & Safety (IAHSS), San Francisco Electronic Crimes Task Force (Secret Service), Northern California Regional Intelligence Center (Department of Homeland Security), InfraGard (FBI) EXHIBIT 1 City Council 16 –75 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 11 Felix Guerrero joined Patrol Solutions in 2020 after working in the security industry for over twenty-two years, spending most of his career as a project start-up manager, operations manager, and training administrator. Prior to partnering with Patrol Solutions, Felix worked at Cypress Private Security for ten years, until Cypress was bought out by Allied Universal. Thus, he joined Patrol Solutions, a company where every client would receive great personal attention and care. With an astute understanding of client needs, Felix prides himself on providing superb customer service and works tirelessly to address and remedy operational issues swiftly. As a certified firearms instructor, Felix understands the gravity of responsibility. His years of experience have enabled him to oversee high risk security operations staffed by armed officers, and his expertise in defusing conflicts has allowed him to minimize the threat of incidents. During his time at Cypress, Mr. Guerrero managed over 40 armed guards in the Los Angeles area. In addition, Felix gained deep insight into the inner workings of managing, training, and developing staff. He has overseen relevant security projects in the retail and logistics industry at Technicolor Distribution Center, APL Logistics, and HP Logistics. Under his guidance, his teams consistently aided clients’ loss prevention programs, reducing theft and recovering merchandise. Felix is a firm believer in teamwork. He is a member of the Downtown Security Manager’s Association, an organization of security and law enforcement professionals recognizing homeland security efforts in L.A. Together, members exchange information and share best practices for mutual benefit. Whether providing security services for government municipalities or private companies, his history clearly demonstrates a pattern of success. Felix’s skills and experience make him a dependable and trusted frontline contact for all domestic security operations. Felix Guerrero Director of Operations Expertise Security Operations, Security Training Plans, Leadership and Management, Firearms, High Risk Security Programs, Security Patrol Procedures, Loss Prevention Strategies, Security Operational Support and Oversight, Weapons of Mass Destruction, Public Relations, Public Safety, Premises Liability, Officer Safety Education Metropolitan High School, Rio Hondo College, Firearms Training Academy Certificates/Affiliations BSIS, FEMA, DSMA, CPI FEMA: Basic Workplace Security Awareness; FEMA: Workplace Violence Awareness; FEMA: Active Shooter; FEMA: Introduction to the Incident Command Center; Downtown Security Manager’s Association; Certified Firearms Instructor EXHIBIT 1 City Council 16 –76 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 12 Jennifer Pinelo is the HR specialist and recruiter for Patrol Solutions’ Los Angeles region. In this role, she conducts the recruitment processes for all security accounts under her branch office’s purview to ensure that high quality candidates are hired, trained, and assigned to our clients. She also assists with security officer orientation training, officer scheduling, and human resources matters. Jennifer also provides additional administrative support to the local management team. Before joining Patrol Solutions, Jennifer performed the same functions for Cypress Private Security for several years. She has also worked at Allied Universal and Securitas as a security officer. Primarily, she specialized in access control, customer service as a lobby ambassador, report writing, badging, and camera surveillance. Her firsthand experience with field work makes her an excellent recruiter because she understands the qualities a candidate needs in order to be effective. In addition to her work in the private security industry, Jennifer also has experience as a customer service specialist at Target. She also worked as a tax preparer for Benjamin Taxes Services. All of her previous experience has prepared her well for her current role. In her previous work, she developed familiarity with administrative processes including data entry, handling confidential information, scheduling, inventory, assisting with office accounting, and detailed documentation. Jennifer’s willingness to engage clients, colleagues, and candidates, and her vested interest in seeking their best makes her an ideal recruiter and HR specialist for Patrol Solutions. Jennifer Pinelo HR Specialist Expertise Talent Acquisition, Security Recruitment, Staffing and Hiring Processes, Customer Service, Administration Education Santa Monica College El Camino College EXHIBIT 1 City Council 16 –77 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 13 7. Similar Experience Locally, one of the clients we serve that is similar in scope to this project is the Arts District of LA. We provide unarmed officers who conduct bicycle, foot, and vehicle patrols for the business improvement district. Officers provide visible deterrent to trespassing, vandalism, and illegal camping. They are also capable of community engagement, with customer service through active patrolling, and they respond to any calls for service. Felix Guerrero, our director of operations and local manager, began managing that project in 2017 while he was at his previous security company. In 2020, Patrol Solutions took over the contract and Felix was able to resume serving the contract. 8. Projects that Make Patrol Solutions Stand Out Patrol Solutions is a California-based regional security company which has proven to be resourceful with large scale capacity. Recent successes include ramping up multiple emergency response security programs. These programs include an 85-officer deployment in 1 week (City of San Francisco Human Services Agency), 10 armed officers in the same day (LA), and a 10 officer, 10 site deployment in 24 hours (Inland Empire and LA). Our management team is also experienced serving major government agencies throughout California, and we strive to be responsive to the shifting needs of clients. The City of SF HSA project which had a one-week startup period took place early on during the pandemic. It is a project that we are proud of being able to service because it was an emergency services project brought about by the shelter-in- place order. The project involved providing unarmed services for five city-managed hotels in downtown San Francisco which were serving as COVID-relief sites. Due to the nature of the project, that client needed services to begin within a week of signing the contract, and we were able to hire and train qualified officers. Although it would be a stretch to claim that everything at the start was executed flawlessly within such a short timeframe, we can say that we have been able to take every corrective action in response to the client’s needs, and that we still continue to serve that contract to this day, and that the client has been pleased with our services overall. EXHIBIT 1 City Council 16 –78 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 14 F. PROPOSED WORK PLAN 1. Statement of Understanding Patrol Solutions has read and reviewed the Scope of Services in the RFP, and we understand the City’s needs and requirements. We are capable and willing to perform all of the work requested, and local team has the infrastructure in place to adapt to your evolving needs. 2. Anticipated Approach We do not anticipate any issues that would hinder us from beginning services. Typically, we prefer a four-week startup period that begins when the contract is signed. However, in the past, we have been able to implement services in shorter time frames when circumstances absolutely demand it. 3. Suggestions or Special Concerns At this time, we do not have any particular special concerns to bring to the evaluation committee. 4. Deliverables and Implementation Plan Start-up Plan Our transition plan begins once we receive the awarded contract. The client immediately will begin to experience a more disciplined, thorough, and systematic approach to security service. PS will: • Seek to understand and operate in harmony with current work-flow. • Anticipate and assess the potential impact on various departments and constituencies. • Learn all rules, policies, and procedures at the site and within the operation. • Implement the most effective tools, materials, and technology. • Execute a systematic and smooth transition of responsibility that instills confidence. Key Personnel Duties and Responsibilities: Before the transition starts, PS will identify the key personnel who will be responsible for delivering services and define their duties during the transition. Documentation and Communication: PS, together with the client, will establish ongoing communication methods and requirements needed to operate the security program. Transition Timeline Task Assigned Date Due Responsibility Award letter issued to PS > 3 weeks prior to startup Gen. Mgr. PS transition team assigned and in place > 3 weeks prior to startup Proj. Mgr. Meet with client to obtain site specific information > 3 weeks prior to startup Proj. Mgr. Outline and adjust transition plan if needed > 3 weeks prior to startup Proj. Mgr. Security and technology assessment > 3 weeks prior to startup Proj. Mgr. Management/labor meeting > 3 weeks prior to startup Proj. Mgr. Conduct site security survey > 3 weeks prior to startup Proj. Mgr. Introduction letter, application, and drug screen > 3 weeks prior to startup Human Resources EXHIBIT 1 City Council 16 –79 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 15 forms Interview and select employees > 3 weeks prior to startup Human Resources Prepare wage and benefits package > 2 weeks prior to startup Human Resources On-site training for operations team > 2 weeks prior to startup Proj. Mgr. Gather information about current staff at site > 2 weeks prior to startup Human Resources Provide assessment, training of current staff at site > 2 weeks prior to startup Proj. Mgr. Order all supplies and equipment > 2 weeks prior to startup Proj. Mgr. Deadline for applications to be received > 2 weeks prior to startup Human Resources Order uniforms and duty gear > 2 weeks prior to startup Proj. Mgr. Prepare post orders > 2 weeks prior to startup Proj. Mgr. Select security officers > 2 weeks prior to startup HR & Proj. Mgr. Prepare site-specific training materials > 1 week prior to startup Proj. Mgr. Meet with client to brief on transition progress Continuous Proj. Mgr. Present post orders to client > 1 week prior to startup Proj. Mgr. Deadline to complete drug screen for candidates > 1 week prior to startup Human Resources Meet with client for feedback on first draft of post orders > 1 week prior to startup Proj. Mgr. Ensure each post is fully equipped as specified > 1 week prior to startup Proj. Mgr. Prepare master schedule > 1 week prior to startup Scheduling Manager Fit uniforms and re-order as needed > 1 week prior to startup Proj. Mgr. Retraining of incumbent personnel hired by PS > 1 week prior to startup Proj. Mgr. Service start TBD Proj. Mgr. Evaluation Calendar The evaluation calendar outlines key on-site elements related to performance after the project has begun. The tasks are divided according to department and corresponding manager. Task Assigned Date Due Responsibility One month evaluation of each officer’s performance 30 days after startup Proj. Mgr.. Training or re-assignment as needed (individual officers) 30 – 45 days after startup Proj. Mgr.. Three-month evaluation of each officer’s performance < 90 days after startup Proj. Mgr.. Training or re-assignment as needed (individual officers) 90 – 100 days after startup Proj. Mgr.. EXHIBIT 1 City Council 16 –80 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 16 Lighthouse: Complete Workforce Visibility – The Patrol Solutions Guard Tour System Lighthouse is a guard touring solution with real- time tracking of officers along with daily activity reports and incident reporting. Intelligent location and communication tools empower your distributed teams and give you peace of mind. Continuous tracking through GPS, QR codes, near-field communication (NFC), and Bluetooth beacons ensure guards are where they’re supposed to be. Lighthouse provides you with proof of work to increase satisfaction. We have a 24-hour dispatch center to handle communications and any special needs. Managers have smartphones and can be reached 24-7 via phone, text, and email. We can also provide officers with 2-way radios if needed. Uniforms Full-time officers receive, at a minimum, two pairs of pants, three shirts, and a jacket. Part-time officers receive, at a minimum, one pair of pants, two shirts, and one jacket. If officers are working in an environment that will regularly place them in the elements, we can provide additional gear for inclement weather and other conditions. We also provide personal protective equipment for officers who work at sites that require it. Officers are responsible for cleaning their own uniforms. The shirts and jackets are clearly marked with our insignia. However, we have a uniform provider we can work with if alternate uniform styles are desired. Uniforms must be neatly pressed. Authorized uniforms must always be worn, with shirts tucked in. Hair must be neatly groomed. Facial hair must be neatly trimmed. Only post earrings are allowed for security professionals. Visible tattoos should always be covered. Fingernails must be clean and neatly trimmed. Smoking and gum chewing are not permitted while on site and on duty. Appearance also includes the way officers walk, stand, and talk to people. Officers are always to behave in a manner that is worthy of respect. EXHIBIT 1 City Council 16 –81 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 17 G. COST/BUDGET PROPOSAL EXHIBIT 1 City Council 16 –82 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 18 H. REQUIRED FORMS AND CERTIFICATIONS EXHIBIT 1 City Council 16 –83 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 19 EXHIBIT 1 City Council 16 –84 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 20 EXHIBIT 1 City Council 16 –85 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 21 EXHIBIT 1 City Council 16 –86 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 22 EXHIBIT 1 City Council 16 –87 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 23 EXHIBIT 1 City Council 16 –88 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 24 EXHIBIT 1 City Council 16 –89 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 25 EXHIBIT 1 City Council 16 –90 11/16/2021 Wednesday, September 8, 2021 Patrol Solutions PROPOSAL Page 26 EXHIBIT 1 City Council 16 –91 11/16/2021 8 Scope of Work for Civic Center Area/Winter Village Security guard services include, but are not limited to: patrolling areas by foot, bicycle or street-legal cart; monitoring and responding to security issues, and performing the post orders and pass down duties. Monitor, observe, and report illegal activities, suspicious activities, and assistance to merchants, residents, guests, and City staff. Visually inspect and observe outdoor designated checkpoints at regular intervals to maintain adequate security coverage. Contact Santa Ana Police Department when necessary upon observance of suspicious behavior or criminal activity such as vandalism. Provide a positive enforcement presence to deter negative activity and to promote safety. Maintain direct communication with stakeholders such as City staff and his/her designee, business owners, business employees, residents, visitors and have the ability to share contact information such as a work-cell phone. Submit daily activity reports noting any security incidents, suspicious activities, or calls to Santa Ana Police Department. Schedule for Santa Ana Winter Village in Civic Center area November 29 – January 14 Two 24-hour guards plus additional guard services as listed below. December 8 – December 17 Monday – Thursday from 2:00 – 10:00 pm Friday – Sunday from 10:00 am – Midnight December 18 – January 2 10:00 am – Midnight Christmas Eve 10:00 am – 6:00 pm EXHIBIT 1 City Council 16 –92 11/16/2021 9 Service Area for Civic Center Area/Winter Village EXHIBIT 1 City Council 16 –93 11/16/2021 21 EXHIBIT C BUDGET EXHIBIT 1 City Council 16 –94 11/16/2021 Exhibit C Budgets for Patrol Solutions, LLC Page 1 of 2 The following two pages of Exhibit C outline the Patrol Solutions, LLC budget for Downtown Santa Ana and Civic Center Area/Winter Village. Both budgets combined are set to a not exceed $545,000. Expense Category Rate/Amount Monthly Total Notes Security Guard Hourly Rate 24.97$ 10,279.40$ Holiday Overtime Rate (only for approved holidays)0.55$ 226.42$ Communication (up to 2 cell phones)0.20$ 82.33$ Transportation: Small pickup truck 2.89$ 1,189.73$ Street Legal Cart 0.74$ 304.64$ Patrol Bicyle 0.10$ 41.17$ Reporting Cost 0.02$ 8.23$ 29.47$ 12,131.91$ Hourly Bill Rate Hours per month Total Monthly Total 29.47$ 411.67 12,131.63$ 1st Year Annual Total YEAR 1 Sub-Total $145,579.59 Year 2 1 Security Officer Per Shift - All inclusive budget rates** with 95 weekly hours Hourly Rate $30.35 Monthly Rate $12,495.58 Sub-Total Year Two $149,946.98 Year 3 1 Security Officer Per Shift - All inclusive budget rates** with 95 weekly hours Hourly Rate 31.26$ Monthly Rate 12,870.45$ Sub-Total Year Three $154,473.43 Three Year Total $450,000 Day(s) of the Week Time Daily Hours Mon-Wed 9:00am-10:00pm 39 Thursday 9:00am-12:00pm 15 Friday 9:00am-12:00am 15 Saturday 10:00am-12:00am 14 Sunday 10:00am-10:00pm 12 Total Weekly Hours 95 Note: Security Guard Schedule subject to change with 24 hour notice to selected company. ** Equipment 1 small pick up truck 1 street legal golf cart 1 bicycle Officer Uniforms Up to 2 site phones Guard Tour System The following budget information is for reference only. Year 2 and Year 3 will only be allowed with extension/renewal of the agreement by the City Manager and City Attorney as noted in the agreement and will include a maximum increase of 3% each year. EXHIBIT 1 City Council 16 –95 11/16/2021 EXHIBIT C Budgets for Patrol Solutions, LLC Page 2 of 2 Expense Category Rate/Amount Total Hours Cost Security Guard Hourly Rate 26.47$ See below.-$ Holiday Overtime Rate (only for approved holid 0.58$ -$ Communication (up to 2 cell phones)0.11$ -$ Transportation: Small pickup truck -$ -$ Street Legal Cart -$ -$ Patrol Bicyle -$ -$ Reporting Cost 0.02$ -$ 27.18$ -$ -$ Hourly Bill Rate Total 27.18$ 3,208.00 87,193.44$ Holiday Overtime Rate (only for approved h 40.77$ 196.00 2,663.64$ Contingency 5,142.92 95,000.00$ DATE Service days Hours per shift Officers per shift Holiday Premium Christmas Day and New Years Day ($13.59 above regular rate) Total hours Event Total Estimate Holiday Hours Two 24-hour guards.47 24 2 1,304.64$ 2256 96 Monday – Thursday from 2:00 – 10:00 pm 2 guards and 2 24-hour guards 6 8 2 96 Friday – Sunday from 10:00 am – Midnight 3 guards and 2 24-hour guards 4 14 3 168 10:00 am – Midnight – 3 guards and 2 24-hour guards 16 14 3 1,141.56$ 672 10:00 am – 6:00 pm – 2 guards and 2 24-hour guards 1 8 2 217.44$ 16 196 196 3208 Contingency $5,142.92 2,663.64$ 92,336.36$ 95,000.00$ HOURS OF SERVICE City of Santa Ana Holiday Winter Village November 29 – January 14  December 8 – December 17 December 18 – January 2 Christmas Eve EXHIBIT 1 City Council 16 –96 11/16/2021 22 EXHIBIT D FEDERAL AWARD IDENTIFICATION INFORMATION The General Program Requirements were designed to provide the framework where the CONTRACTOR will provide ARPA programs identified in this attachment. I. GOVERNANCE The CONTRACTOR agrees to comply, remain informed, and deliver services consistent with the provisions of ARPA. Where local policy has not been set, the CONTRACTOR agrees to adhere to state and/or federal policy, as appropriate. II. GOVERNANCE REFERENCES A. Additional state and federal agencies that provide funding to the CITY may be incorporated herein. B. Information Bulletins, Directives, and any other federal and state guidance documents pertaining to the ARPA SLFRF Funds. C. Actions, directives, and policy and procedures issued by the CITY. D. CITY policies, as applicable. III. CONTRACTOR/SUBRECIPIENT DETERMINATION: In accordance with the requirements of 2 CFR 200.330 (Subrecipient and Contractor determination) and for the purpose of this CONTRACT, SUBRECIPIENT is determined to be a CONTRACTOR. EXHIBIT 1 City Council 16 –97 11/16/2021 23 IV. FEDERAL AWARD IDENTIFICATION FAIN INFORMATION A. CONTRACTOR Name: B. CONTRACTOR’S Unique Identifier (D-U-N-S): C. Federal Award Identification Number (FAIN): D. Federal Award Date: E. Subaward Period of Performance: F. Total Amount of Federal Funds Obligated by the Action: $ G. Total Amount of Federal Funds Obligated to the CONTRACTOR: $ H. Total Amount of the Federal Award: $ I. Federal Award Project Description: ARPA J. Federal Awarding Agency: U.S. Department of the Treasury K. Name of PTE: L. Contact Information for the Awarding Official: Kristine Ridge, City Manager Phone Number: (714) 647-5200 E-mail Address: kridge@santa-ana.org M. CFDA Number: CFDA Name: ARPA N. Whether Award is R&D: O. Indirect Cost Rate for the Federal Award: Patrol Solutions, LLC 04-896-6056 545,000 545,000 EXHIBIT 1 City Council 16 –98 11/16/2021 24 EXHIBIT E DEBARMENT _____________________________________________________________________________ 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 98.5l0, Participants' responsibilities. The regulations were published as Part VII of the May 26, l988 Federal Register (pages l9l60-l92ll). (BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS FOR CERTIFICATION - Attached) (l) 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 1 City Council 16 –99 11/16/2021 25 INSTRUCTIONS FOR CERTIFICATION 1. By signing and submitting this proposal, the prospective recipient of federal assistance funds is providing the certification as set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective recipient of federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the Department of Labor (DOL) may pursue available remedies, including suspension and/or debarment. 3. The prospective recipient of federal assistance funds shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective recipient of federal assistance funds learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. 5. The prospective recipient of federal assistance funds agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the DOL. 6. The prospective recipient of federal assistance funds further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and voluntary exclusion - Lower Tier Covered Transactions," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to check the List of Parties Excluded from Procurement or Non-Procurement Programs. 8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. EXHIBIT 1 City Council 16 –100 11/16/2021 26 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 1 City Council 16 –101 11/16/2021 27 EXHIBIT F LOBBYING 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 1 City Council 16 –102 11/16/2021 28 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 1 City Council 16 –103 11/16/2021 29 EXHIBIT G DRUG-FREE WORKPLACE 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 1 City Council 16 –104 11/16/2021 30 (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 1 City Council 16 –105 11/16/2021 31 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 1 City Council 16 –106 11/16/2021 Public Works Agency www.santa-ana.org/pw Item # 17 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Agreements for On-Call Property Appraisal Services AGENDA TITLE Approve Agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC for On-Call Property Appraisal Services in an Amount Not to Exceed $449,500, for a Three-Year Term (Non-General Fund) RECOMMENDED ACTION 1. Authorize the City Manager to execute an agreement with Santolucito Doré Group, Inc., to provide completion of final close-out work per Caltrans requirements and property appraisal services, on an as needed basis, in an amount not to exceed $149,500, for a three-year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one-year extensions, subject non-substantive changes approved by the City Manager and City Attorney. 2. Authorize the City Manager to execute agreements with Santolucito Doré Group, Inc., Integra Realty Resources, and Hennessey & Hennessey LLC to provide right-of-way property appraisal services, in a shared aggregate amount not to exceed $300,000, for a three-year term beginning November 16, 2021 and expiring November 15, 2024, with an option for two, one-year extensions, subject non-substantive changes approved by the City Manager and City Attorney. DISCUSSION On August 27, 2021, the Public Works Agency released Request for Proposal (RFP) No. 21-103 by which it sought the services of a professional engineering firm to provide On- Call Property Appraisal services on an as-needed or “on-call” basis for the City of Santa Ana Public Works Agency. The capital improvement projects needing the right-of-way services include, but are not limited to, Warner Avenue, Bristol Street, Fairview Street, and Grand Avenue street improvements. The RFP was advertised on the City’s online procurement management and publication system, with proposals due on September 15, 2021. Five proposals were received and evaluated by a selection committee. Based on criteria outlined in the RFP, the following summarizes the responding firms and their ranking: City Council 17 –1 11/16/2021 Agreement with Santolucito Doré Group Inc., Integra Realty Resources, and Hennessey & Hennessey LLC November 16, 2021 Page 2 2 2 2 3 Firm City Rank Santolucito Doré Group, Inc. Canyon Lake 1 Integra Realty Resources Encino 2 Hennessey & Hennessey LLC Tustin 3 Approval of the recommended action will authorize two sets of consultant agreements to be utilized for future task orders, depending on the project funding source. For grant- funded projects that require adherence to Caltrans Architecture and Engineering requirements, task orders will be issued on the Caltrans version of the on-call agreement (Exhibit 1). All other task orders for projects funded with local or discretionary funds shall utilize the standard version of the consultant agreement (Exhibits 2, 3, and 4), which does not contain the same Caltrans provisions and requirements for federally grant-funded project tasks. Based upon the scope of work and selection criteria outlined in RFP 21-103, staff recommends awarding two sets of agreements: One to Santolucito Doré Group, Inc., to provide completion of appraisal work per Caltrans requirements, on an on-call basis, and the other to Integra Realty Resources, Hennessey & Hennessey LLC, and Santolucito Doré Group, Inc., to provide right-of-way property appraisal services not subject to Caltrans requirements, on an on-call basis. Their proposals demonstrated the firms have the necessary capacity and expertise to complete the required services. The firms’ rates are reasonable and within industry standard, the teams’ qualifications are appropriate, and the proposals were determined to provide the best value for the City. ENVIRONMENTAL IMPACT There is no environmental impact associated with the action. FISCAL IMPACT The following table summarizes the projects with funds budgeted and available for expenditure on the right-of-way acquisition and relocation services to be provided by the agreements in Fiscal Year 2021-2022. Federal Funded Project(s) Fiscal Year Accounting Unit - Account No. (Project No.) Fund Description Accounting Unit - Account No. Description Amount 2021-22 05917663-66220 (15-6827) Select Street Construction Gas Tax HUTA 2103, Improvements Other Than Building $20,000 City Council 17 –2 11/16/2021 Agreement with Santolucito Doré Group Inc., Integra Realty Resources, and Hennessey & Hennessey LLC November 16, 2021 Page 3 2 2 2 3 2021-22 03217663-66220 (15-6827) Measure M Street Construction Measure M2 Competitive Street, Improvements Other Than Building $60,000 Total $80,000 Non-Federal Funded Project(s) Fiscal Year Accounting Unit - Account No. (Project No.) Fund Description Accounting Unit - Account No. Description Amount 2021-22 03217663-66220 (18-6901) Measure M Street Construction Measure M2 Competitive Street, Improvements Other Than Building $37,500 2021-22 05917668-66220 (18-6901) Select Street Construction Warner Ave-Tustin Community Facilities District, Improvements Other Than Building $12,500 2021-22 03517660-66220 (17-6883) New Transportation System Improvement- Area F New Transportation System Improvement- Area F, Improvements Other Than Building $20,000 2021-22 05917661-66220 (11-6741) Measure M Street Construction Measure M2 Competitive Street, Improvements Other Than Building $60,000 Total $130,000 Any unused agreement amounts may be utilized by projects not listed above by following the established on-call services process during the FY 2021-22 and for the remaining agreement term. Prior to utilizing the on-call services for any future task orders without accounts identified above, City staff must receive Finance and Management Services Agency approval of funding and accounts to be used to ensure funds are available within the authorization limit of $149,500 for any federally funded projects and under the shared $300,000 aggregate for any projects using local or discretionary funds. Upon successful completion of the fiscal review, a corresponding Notice to Proceed containing the specific scope and maximum expenditure for the task order will be issued. City Council 17 –3 11/16/2021 Agreement with Santolucito Doré Group Inc., Integra Realty Resources, and Hennessey & Hennessey LLC November 16, 2021 Page 4 2 2 2 3 EXHIBIT(S) 1. Agreement with Santolucito Doré Group, Inc., for On-Call Property Appraisal Services – Caltrans Version 2. Agreement with Integra Realty Resources for On-Call Property Appraisal Services 3. Agreement with Hennessey & Hennessey LLC for On-Call Property Appraisal Services 4. Agreement with Santolucito Doré Group, Inc., for On-Call Property Appraisal Services Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Kristine Ridge, City Manager City Council 17 –4 11/16/2021 Page 1 AGREEMENT TO PROVIDE ON CALL PROPERTY APPRAISAL SERVICES THIS AGREEMENT is made and entered into this 16th day of November, 2021 by and between, Santolucito Dore Group, Inc., a California corporation (“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 August 27, 2021, the City issued Request for Proposal (“RFP”) No. 21-103, by which it sought a consultant to provide Property Appraisal Services on an on-call basis for the City’s Public Works Agency. B.Consultant submitted a responsive proposal that was among those selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 21-103. C.In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional contracting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1.SCOPE OF SERVICES On an on-call basis, and at the City’s sole discretion, Consultant shall perform the property appraisal services described in the scope of work that was included in RFP No. 21-103 and is attached hereto and marked as Exhibit A and as more specifically delineated in Consultant’s proposal (excluding addenda and fee proposal), which is attached as Exhibit B and incorporated in full. 2.ALLOWABLE COSTS AND PAYMENTS a.City neither warrants nor guarantees any minimum or maximum 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 Consultant’s Cost Proposal attached as Exhibit C. Consultant is the top-ranking consultant to provide property appraisal services on an as-needed basis under RFP No. 21-103. The total compensation for these services provided under RFP No. 21-103 to perform them shall not exceed an aggregate amount of $149,500.00 during the term of the Agreement, including any extension periods. b.Consultant’s Cost Proposal attached as Exhibit C. The specified hourly rates shall include direct salary costs, employee benefits, overhead, and fee. These rates are not adjustable for the performance period set forth in this Agreement. In addition, City Council 17 –5 11/16/2021 Page 2 Consultant will be reimbursed for incurred (actual) direct costs other than salary costs that are in the cost proposal and identified in the cost proposal and in the executed Task Order. c. Specific projects will be assigned to Consultant through issuance of Task Orders. After a project to be performed under this Agreement is identified by City, City will prepare a draft Task Order less the cost estimate. A draft Task Order will identify the scope of services, expected results, project deliverables, period of performance, project schedule and will designate a City Project Coordinator. The draft Task Order will be delivered to Consultant for review. Consultant shall return the draft Task Order within ten (10) calendar days along with a Cost Estimate, including a written estimate of the number of hours and hourly rates per staff person, any anticipated reimbursable expenses, overhead, fee if any, and total dollar amount. After agreement has been reached on the negotiable items and total cost, the finalized Task Order shall be signed by both City and Consultant. d. Task Orders may be negotiated for a lump sum (Firm Fixed Price) or for specific rates of compensation, both of which must be based on the labor and other rates set forth in Consultant Cost Proposal. e. Reimbursement for transportation and subsistence costs shall not exceed the rates as specified in the approved Cost Proposal. f. When milestone cost estimates are included in the approved Cost Proposal, Consultant shall obtain prior written approval for a revised milestone cost estimate from City before exceeding such estimate. g. Progress payments for each Task Order will be made monthly in arrears based on services provided and actual costs incurred. h. Consultant shall not commence performance of work or services until this Agreement has been approved by City, and notification to proceed has been issued by City. No payment will be made prior to approval or for any work performed prior to approval of this Agreement. i. A Task Order is of no force or effect until returned to City and signed by an authorized representative of City. No expenditures are authorized on a project, and work shall not commence until a Task Order for that project has been executed by City. j. Consultant will be reimbursed, as promptly as fiscal procedures will permit upon receipt by City of itemized invoices in triplicate. Separate invoices itemizing all costs are required for all work performed under each Task Order. Invoices shall be City Council 17 –6 11/16/2021 Page 3 submitted no later than 45 calendar days after the performance of work for which Consultant is billing, or upon completion of the Task Order. Invoices shall detail the work performed on each milestone, on each project as applicable. Invoices shall follow the format stipulated for the approved Cost Proposal and shall reference this Agreement number, project title, and Task Order number. Credits due to City that include any equipment purchased under the Equipment Purchase provision of this Agreement must be reimbursed by Consultant prior to the expiration or termination of this Agreement. Invoices shall be mailed to City at the following address: City of Santa Ana, Public Works Agency M-36, 20 Civic Center Plaza, P.O. Box 1988, Santa Ana, CA 92702. k. The period of performance for Task Orders shall be in accordance with dates specified in the Task Order. No Task Order will be written which extends beyond the expiration date of this Agreement. l. The total amount payable by City for an individual Task Order shall not exceed the amount agreed to in the Task Order, unless authorized by contract amendment. m. If the Consultant fails to satisfactorily complete a deliverable according to the schedule set forth in a Task Order, no payment will be made until the deliverable has been satisfactorily completed. n. Task Orders may not be used to amend this Agreement and may not exceed the scope of work under this Agreement. o. The total amount payable by City for all Task Orders resulting from this Agreement shall not exceed an aggregate amount of $149,500. It is understood and agreed that there is no guarantee, either expressed or implied, that this dollar amount will be authorized under this Agreement through Task Orders. p. Consultant shall submit progress reports on each specific project in accordance with the Task Order. These reports shall be submitted at least once a month. The report should be sufficiently detailed for the City’s Project Manager to determine, if Consultant is performing to expectations, or is on schedule; to provide communication of interim findings, and to sufficiently address any difficulties or special problems encountered, so remedies can be developed. q. Consultant’s Project Manager shall meet with City’s Project Manager, as needed, to discuss progress on the project(s). r. This Agreement is valid and enforceable only if sufficient funds are made available to the City for the purpose of this Agreement. In addition, this Agreement is subject to any additional restrictions, limitations, conditions, or any statute enacted by Congress, the State Legislature, or the City that may affect the provisions, terms or funding of this Agreement in any manner. City Council 17 –7 11/16/2021 Page 4 3. COST PRINCIPLES AND ADMINISTRATIVE REQUIREMENTS a. Consultant agrees that the Contract Cost Principles and Procedures, 48 CFR Part 31, Contract Cost Principals and Procedures, shall be used to determine the allowability of individual terms of cost. et seq., shall be used to determine the cost allowability of individual items. b. Consultant agrees to comply with federal procedures in accordance with 2 CFR, Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. c. Any costs for which payment has been made to Consultant that are determined by subsequent audit to be unallowable under 2 CFR, Part 200 and 48 CFR, Federal Acquisition Regulations System, Chapter 1, Part 31.000 et seq., are subject to repayment by Consultant to City. 4. PERFORMANCE PERIOD a. This Agreement shall go into effect on the date first written above, contingent upon approval by City, and Consultant shall commence work after notification to proceed by City. This Agreement shall end on November 15, 2024, unless terminated earlier in accordance with Section 21. The term of this Agreement may be extended for up to two 1-year periods upon a writing executed by the City Manager and City Attorney. b. Consultant is advised that any recommendation for contract award is not binding on City until the Agreement is fully executed and approved by City. c. The period of performance for each specific project shall be in accordance with the Task Order for that project. If work on a Task Order is in progress on the expiration date of this Agreement, the terms of the Agreement shall be extended by amendment. 5. STATE PREVAILING WAGE RATES a. If applicable, Consultant shall comply with the State of California’s General Prevailing Wage Rate requirements in accordance with California Labor Code, Section 1770, and all Federal, State, and local laws and ordinances applicable to the work. b. Any subcontract entered into as a result of this Agreement, if for more than $25,000 for public works construction or more than $15,000 for the alteration, demolition, repair, or maintenance of public works, shall contain all of the provisions of this Section, unless the awarding agency has an approved labor compliance program by the Director of Industrial Relations. City Council 17 –8 11/16/2021 Page 5 c. When prevailing wages apply to the services described in the scope of work, transportation and subsistence costs shall be reimbursed at the minimum rates set by the Department of Industrial Relations (DIR) as outlined in the applicable Prevailing Wage Determination. See http://www.dir.ca.gov. Consultant shall be responsible for any future adjustments to prevailing wage rates including, but not limited to, base hourly rates and employer payments as determined by the Department of Industrial Relations, Consultant is responsible for paying the appropriate rate, including escalations that take place during the term of the Agreement. d. When prevailing rates apply, the Consultant is responsible for verifying compliance with certified payroll requirements. Invoice payment will not be made until the invoice is approved by City. 6. 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. 7. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement (“Documents & Data”). Consultant shall require all subconsultants to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subconsultant prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data, which were provided, to Consultant by the City. Ci ty 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. 8. MINIMUM INSURANCE REQUIREMENTS A. Consultant shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property, which may arise from or in City Council 17 –9 11/16/2021 Page 6 connection with the performance of the work hereunder by the Consultant, its agents, representatives, or employees. B. Insurance coverage shall be at least as broad as: 1) Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location or the general aggregate limit shall be twice the required occurrence limit. 2) Automobile Liability Insurance: Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non-owned), with limit no less than $1,000,000 per accident for bodily injury and property damage. 3) Workers’ Compensation Insurance- as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. 4) Professional Liability (Errors and Omissions) Insurance- appropriate to the Consultant’s profession, with limit no less than $1,000,000 per occurrence or claim, $2,000,000 aggregate. C. If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. D. Other Insurance Provisions- the insurance policies are to contain, or be endorsed to contain, the following provisions: 1) Additional Insured Status- the City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant’s insurance (at least as broad as ISO Form CG 20 10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions used). 2) Primary Coverage- for any claims related to this contract, the Consultant’s insurance coverage shall be primary insurance primary coverage at least as broad as ISO CG 20 01 04 13 as respects the City, its officers, officials, employees, and City Council 17 –10 11/16/2021 Page 7 volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Consultant’s insurance and shall not contribute with it. 3) Notice of Cancellation- each insurance policy required above shall state that coverage shall not be canceled, except with notice to the City. 4) Waiver of Subrogation- Consultant hereby grants to City a waiver of any right to subrogation, which any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. E. Self-Insured Retentions- Self-insured retentions must be declared to and approved by the City. The City may require the Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City. F. Acceptability of Insurers- Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the City. G. Claims Made Policies- If any of the required policies provide coverage on a claims- made basis: 1) The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work. 2) Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. 3) If coverage is canceled or non-renewed, and not replaced with another claims-made policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase “extended reporting” coverage for a minimum of five (5) years after completion of contract work. H. Verification of Coverage- Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant’s obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. City Council 17 –11 11/16/2021 Page 8 I. Subcontractors- Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Contractor shall ensure that City is an additional insured on insurance required from subcontractors. J. Special Risks or Circumstances- City reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances. 9. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its subconsultants, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant’s services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 10. 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. 11. RETENTION OF RECORDS/AUDIT For the purpose of determining compliance with Public Contract Code 10115, et seq. and Title 21, California Code of Regulations, Chapter 21, Section 2500 et seq., when applicable, and other matters connected with the performance of this Agreement, pursuant to Government Code 8546.7, Consultant, subconsultants, and City shall maintain and make available for inspection all books, documents, papers, accounting records, and other evidence pertaining to the performance City Council 17 –12 11/16/2021 Page 9 of the Agreement, including but not limited to, the costs of administering the Agreement. All parties shall make such materials available at their respective offices at all reasonable times during the Agreement period and for three years from the date of final payment under the Agreement. The state, State Auditor, City, FHWA, or any duly authorized representative of the Federal Government shall have access to any books, records, and documents of Consultant and its certified public accountants work papers that are pertinent to the contract and indirect cost rates (ICR) for audit, examinations, workpaper review, excerpts, and transactions, and copies thereof shall be furnished if requested. 12. AUDIT REVIEW PROCEDURES a. Any dispute concerning a question of fact arising under an interim or post audit of this Agreement that is not disposed of by mutual agreement shall be reviewed by the City. b. Not later than 30 days after issuance of the final audit report, Consultant may request a review by the City of unresolved audit issues. The request for review will be submitted in writing, submitted to the project manager of RFP. c. Neither the pendency of a dispute nor its consideration by City will excuse Consultant from full and timely performance in accordance with the terms of this Agreement. 13. 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. 14. CONFLICT OF INTEREST a. Consultant shall disclose any financial, business, or other relationship with City that may have an impact upon the outcome of this Agreement, or any ensuing City construction project. Consultant shall also list current clients who may have a financial interest in the outcome of this Agreement, or any ensuing City construction project that will follow. City Council 17 –13 11/16/2021 Page 10 b. Consultant hereby certifies that it does not now have, nor shall it acquire any financial or business interest that would conflict with the performance of services under this Agreement. c. Consultant agrees to complete any statements of economic interest if required by either City ordinance or State law. 15. REBATES, KICKBACKS, OR OTHER UNLAWFUL CONSIDERATION Consultant warrants that this Agreement was not obtained or secured through rebates kickbacks or other unlawful consideration, either promised or paid to any City employee. For breach or violation of this warranty, City shall have the right in its discretion; to terminate the contract without liability; to pay only for the value of the work actually performed; or to deduct from the contract price; or otherwise recover the full amount of such rebate, kickback or other unlawful consideration. 16. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax 714- 647-6956 Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M- 21) P.O. Box 1988 Santa Ana, CA 92702 Fax 714-647-5635 To Consultant: Christine S. Santolucito, President Santolucito Dore Group, Inc. 31600 Railroad Canyon Road, Suite 100-L Canyon Lake, CA 92587 City Council 17 –14 11/16/2021 Page 11 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these timeframes, weekends, federal, state, County or City holidays shall be excluded. 17. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant regarding the subject matter herein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 18. SUBCONTRACTING a, Nothing contained in this Agreement or otherwise, shall create any contractual relation between City and any subconsultant(s), and no subcontract shall relieve Consultant of its responsibilities and obligations hereunder. Consultant agrees to be as fully responsible to City for the acts and omissions of its subconsultant(s) and of persons either directly or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by Consultant. Consultant’s obligation to pay its subconsultant(s) is an independent obligation from City’s obligation to make payments to the Consultant. b. Consultant shall perform the work contemplated with resources available within its own organization and no portion of the work pertinent to this Agreement shall be subcontracted without written authorization by City, except that which is expressly identified in the approved Cost Proposal. c. Consultant shall pay its subconsultants within fifteen (15) calendar days from receipt of each payment made to Consultant by City. d. All subcontracts entered into as a result of this Agreement shall contain all the provisions stipulated in this Agreement to be applicable to subconsultants. e. Any substitution of subconsultant(s) must be approved in writing by City prior to the start of work by the subconsultant(s). City Council 17 –15 11/16/2021 Page 12 19. EQUIPMENT PURCHASE a. Prior authorization in writing by City shall be required before Consultant enters into any unbudgeted purchase order, or subcontract exceeding $5,000 for supplies, equipment, or consultant services. Consultant shall provide an evaluation of the necessity or desirability of incurring such costs. b. For purchase of any item, service or consulting work not covered in Consultant’s Cost Proposal and exceeding $5,000 prior authorization by City, three competitive quotations must be submitted with the request, or the absence of bidding must be adequately justified. c. Any equipment purchased as a result of this Agreement is subject to the following condition: “Consultant shall maintain an inventory of all nonexpendable property. Nonexpendable property is defined as having a useful life of at least two years and an acquisition cost of $5,000 or more. If the purchased equipment needs replacement and is sold or traded in, City shall receive a proper refund or credit at the conclusion of the Agreement, or if the Agreement is terminated, Consultant may either keep the equipment and credit City in an amount equal to its fair market value, or sell such equipment at the best price obtainable at a public or private sale, in accordance with established City procedures and credit City in an amount equal to the sales price. If Consultant elects to keep the equipment, fair market value shall be determined at Consultant’s expense, based on a competent independent appraisal of such equipment. Appraisals shall be obtained from an appraiser mutually agreeable to by City and Consultant. If it is determined to sell the equipment, the terms and conditions of such sale must be approved in advance by City.” 2 CFR, Part 200 requires a credit to Federal funds when participating equipment with a fair market value greater than $5,000 is credited to the project. 20. 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. 21. TERMINATION a. City reserves the right to terminate this Agreement upon thirty (30) calendar days written notice to Consultant with the reasons for termination stated in the notice. Upon termination, City shall be entitled to all work including but not limited to, reports, investigations, appraisals, inventories, studies, analyses, drawings and data estimates performed to that date, whether completed or not. City Council 17 –16 11/16/2021 Page 13 b. Notwithstanding any provisions of this Agreement, Consultant shall not be relieved of liability to City for damages sustained by the City by virtue of any breach of this Agreement by Consultant, and City may withhold any payments due to Consultant until such time as the exact amount of damages, if any, due City from Consultant is determined. 22. 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. 23. 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. 24. STATEMENT OF COMPLIANCE a. Consultant’s signature affixed herein, and dated, shall constitute a certification under penalty of perjury under the laws of the State of California that Consultant has, unless exempt, complied with, the nondiscrimination program requirements of Government Code Section 12990 and Title 2, California Administrative Code, Section 11102. b. During the performance of this Agreement, Consultant and its subconsultants shall not unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of sex, race, color, ancestry, religious creed, national origin, physical disability (including HIV and AIDS), mental disability, medical condition (e.g., cancer), age (over 40), marital status, gender, gender identity, gender expression, sexual orientation, military or veteran status, and denial of family care leave. Consultant and subconsultants shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. c. Consultant and subconsultants shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code §12990 (a-f) et seq.) and the applicable regulations promulgated thereunder (California Code of Regulations, Title 2, Section 7285 et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code Section 12990 (a-f), set forth in Chapter 5 of Division 4 of Title 2 of the California Code of Regulations, City Council 17 –17 11/16/2021 Page 14 are incorporated into this Agreement by reference and made a part hereof as if set forth in full. Consultant and its subconsultants shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other Agreement. d. The Consultant shall comply with regulations relative to Title VI (nondiscrimination in federally assisted programs of the Department of Transportation – Title 49 Code of Federal Regulations, Part 21 – Effectuation of Title VI of the 1964 Civil Rights Act). Title VI provides that the recipients of federal assistance will implement and maintain a policy of nondiscrimination in which no person in the state of California shall, on the basis of race, color, national origin, religion, sex, age, disability, be excluded from participation in, denied the benefits of or subject to discrimination under any program or activity by the recipients of federal assistance or their assignees and successors in interest. e. The Consultant, with regard to the work performed by it during the Agreement shall act in accordance with Title VI. Specifically, the Consultant shall not discriminate on the basis of race, color, national origin, religion, sex, age, or disability in the selection and retention of subconsultants, including procurement of materials and leases of equipment. The Consultant shall not participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the U.S. DOT’s Regulations, including employment practices when the Agreement covers a program whose goal is employment. f. Consultant, subrecipient or subconsultant will never exclude any person from participation in, deny any person the benefits of, or otherwise discriminate against anyone in connection with the award and performance of any contract covered by 40 Code of Federal Regulations Part 26 on the basis of race, color, sex or national origin. In administering the City components of the Disadvantaged Business Enterprises (DBE) Program Plan, Consultant, subreceipient or subconsultant will not, directly, or through contractual or other arrangements, use criteria or methods of administration that have the effect of defeating or substantially impairing accomplishment of the objectives of the DBE Program Plan with respect to individuals of a particular race, color, sex, or national origin. g. Under 49 CFR 26.13(b): Consultant shall not discriminate on the basis of race, color, national origin, or sex in the performance of this Agreement, Consultant shall carryout applicable requirements of 49 CFR 26 in the award and administration of federal-aid contracts. Failure by Consultant to carry out these requirements is a material breach of this Agreement, which may result in the termination of this Agreement or such other remedy, which the City deems appropriate, which may include, but is not limited to: 1) Withholding monthly progress payment if applicable; City Council 17 –18 11/16/2021 Page 15 2) Assessing sanctions; 3) Liquidating damages; and/or 4) Disqualifying consultant from future proposing as non-responsible. h. Termination and Substitution of DBE Subconsultants. Consultant shall utilize the specific DBEs listed to perform the work and supply the materials for which each is listed unless Consultant or DBE subconsultant obtains the City’s written consent. Consultant shall not terminate or substitute a listed DBE for convenience and perform work with their own forces or obtain materials from other sources without authorization from City. Unless the City’s consent is provided, the Consultant shall not be entitled to any payment for work or material unless it is performed or supplied by the listed DBE on the Exhibit 10-02 Consultant Contract DBE Commitment form, included in the Bid. i. Consultant shall notify City’s designated representative of any changes to its anticipated DBE participation before starting the affected work. Consultant shall notify City of any notices of decertification or certification regarding a subconsultant’s DBE status. j. Consultant shall provide all required DBE forms to the City as required pursuant to applicable law. k. All certifications required for the Bid are attached hereto as part of Exhibit B to the Agreement. 25. DEBARMENT AND SUSPENSION CERTIFICATION a. Consultant’s signature affixed herein, shall constitute a certification under penalty of perjury under the laws of the State of California, that Consultant has complied with Title 2 CFR, Part 180, “OMB Guidelines to Agencies on Government wide Debarment and Suspension (nonprocurement)”, which certifies that he/she or any person associated therewith in the capacity of owner, partner, director, officer, or manager, is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal agency; has not been suspended, debarred, voluntarily excluded, or determined ineligible by any federal agency within the past three (3) years; does not have a proposed debarment pending; and has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past three (3) years. Any exceptions to this certification must be disclosed to City. b. Exceptions to the Federal Government Excluded Parties List System maintained by the General Services Administration are to be determined by the Federal Highway Administration. City Council 17 –19 11/16/2021 Page 16 26. 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: CITY OF SANTA ANA DAISY GOMEZ KRISTINE RIDGE Clerk of the Council City Manager APPROVED AS TO FORM CONSULTANT SONIA R. CARVALHO City Attorney By: _ Laura A. Rossini Christine S. Santolucito Chief Assistant City Attorney President RECOMMENDED FOR APPROVAL NABIL SABA Executive Director Public Works Agency City Council 17 –20 11/16/2021 Page 17 EXHIBIT A SCOPE OF SERVICES City Council 17 –21 11/16/2021 City of Santa Ana RFP 21-103 Page A1-1 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON-CALL PROPERTY APPRAISAL SERVICES RFP NO. 21-103 INTRODUCTION/PROJECT BACKGROUND The City of Santa Ana is issuing this Request for Proposals (RFP) to seek qualified firms to provide On-Call Property Appraisal services on an as-needed or “on-call” basis. It is the City’s goal to select one or more firms to enter into an agreements with to provide as needed property appraiser services for capital improvement projects (CIP). The CIP projects needing these right-of-way services include, but are not limited, to Warner Avenue, Bristol Street, Fairview Street, and Grand Avenue Street Improvements. Property Appraisal Services Maximum Contract Aggregate Amount $148,000 From the proposals received, it is the City’s goal to select up to three firms for property appraisal services for the on-call pool. The City will enter into separate agreements (the “Agreement”) with each of these firms, with a not-to-exceed aggregate amount shared amongst all. Work will be assigned by Contract Task Orders. As tasks are identified, they will be distributed among these firms based upon their ability to perform the required work within the project schedule and budget constraints. A detailed scope of work and corresponding fee will be outlined when a specific task is assigned to a consultant. The City reserves the right to distribute the work in any manner which will best serve the City’s interests. MINIMUM QUALIFICATIONS Consultants must demonstrate the minimum qualifications as established in the California Department of Transportation (Caltrans) Right of Way Manual which can be accessed at: http://www.dot.ca.gov/hq/row/rowman/manual/index.htm. Consultants must demonstrate ability to have successfully negotiated and closed escrow on acquisition of parcels and minimized the eminent domain process on similar projects. DESCRIPTION OF WORK City Council 17 –22 11/16/2021 City of Santa Ana RFP 21-103 Page A1-2 Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or their designee on an as-needed basis. The Consultants 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 must have experience with State and federally funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards.  All acquisition/relocation agents, performing work for the City, must hold a valid California Real Estate License. Salespersons must be registered with the California Department of Real Estate (DRE), as working solely under the Consultant’s supervising broker of record.  Work may include, but is not be limited to, the following: o onsite review of the project area o review of existing records o conducting research and performing analysis o information gathering o negotiations o developing strategies o prepare memos and letters o attend community meetings as needed  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. Sub-consultant markup is not allowed in this contract.  The Consultant shall have a Quality Control Plan in effect during the entire time work is being performed under the Agreement. The Quality Control Plan shall establish a process whereby work products are independently checked, corrected and back checked. All project related correspondences and documents shall be maintained and bound in appropriate project files. Additionally, all electronic files shall conform to the City’s file naming system.  The Consultant shall diligently work on each 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  Consultant’s Project Manager and critical staff must attend the monthly meetings with City Council 17 –23 11/16/2021 City of Santa Ana RFP 21-103 Page A1-3 City Staff and other consultants requested by the City to review project progress, the schedule and any critical issues/items and the follow up action items necessary. All status reports must be submitted ahead of the meetings.  Consultant must prepare a Weekly Status report and submit to the City. Format and specific items of each status report must be reviewed and approved by the City.  Consultant must maintain electronic files of all the project parcels and correspondence including all reports generated by other related consultants required to perform acquisition/relocation and property management services.  All electronic submittals of files must be through a shared folder. Consultant must upload and keep current the project parcel information and files in the shared folder established for the project.  Consultant must prepare electronic files of the parcels according to the Caltrans Review Process for right-of-way Certification.  Project files including copies of all correspondences, reports, documents, and electronic files shall be submitted to the City when requested and electronically updated as requested by the City.  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 such notification, the Consultant will proceed with the services required by the Agreement. PROPERTY APPRAISAL SERVICES Consultant shall prepare appraisal services that include full and partial acquisition for residential property; commercial property; industrial property; easements; special use or zoned property; and review appraisals. Appraisal Services shall be in accordance with federal, state, and local regulations, policies, procedures and standards. Consultant must make every effort to meet with the property owner prior to preparation of the report. Appraiser shall perform the following tasks:  Prepare appraisal report in accordance with the State of California Laws and the Uniform Standards of Professional Appraisal Practice (USPAP)  Research records, inspect the site and communicate with the property owner in preparation of the appraisal report. This might require multiple attempts for site visit and inspection  Prepare Real Estate Appraisal reports for full and partial acquisition  Prepare Appraisal Summary Statements to accompany City’s Offer Package  Prepare Valuation of City’s Landscape Setback Easement requirements  Prepare detailed appraisal report necessary for condemnation  Coordinate with Fixtures and Equipment Appraisers  Coordinate with Business Goodwill Appraisers  Communicate with property owners in writing and as required to obtain adequate City Council 17 –24 11/16/2021 City of Santa Ana RFP 21-103 Page A1-4 information to prepare the report  Prepare all necessary correspondence, letters and reports  Provide effective communication with engineers, planners, attorneys, and City staff  Comply with federal, state and local regulations  Create files and maintain all records  Provide condemnation consultations as necessary  Attend meetings/public hearings and conduct presentations  Provide expert witness testimony as required for condemnation proceedings  Coordinate and review of Phase I and Phase II Environmental Studies  Review appraisal reports prepared by other consultants as required by the City and prepare review summary  Prepare Review Appraisal Reports (Required For Federally Funded Projects)  Coordinate, direct and obtain Review Appraisals in accordance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act (Uniform Act) and Caltrans guidelines  Examine all appraisals and corresponding reports  Seek any corrections or revisions deemed appropriate  Prepare Dual Appraisal Report as required for federally funded projects under Caltrans Guidelines Real estate appraisers must be certified and a Member of the Appraisal Institute Sample Fee Proposal Consultant shall describe the process (methods of appraisal, research, and any other necessary tasks) and provide the proposal fee breakdown to appraise the below sample addresses. The proposal will be used for fee comparison and evaluation process. The partial acquisition for Cherry Aerospace shall be 10 feet from the back of sidewalk and all existing improvements within the acquired area shall be appraised accordingly. Sample locations for appraisal proposal are the following:  1224 E. Warner Avenue (Cherry Aerospace Park Take)  2246 S. Evergreen Street (Residential Full Take) PAYMENT AND INVOICING: Selected Consultant shall invoice the City based on time and material according to the City’s standard invoice template. Tasks and hours shall be clearly identified and all rates must match those included in the approved agreement. City shall retain ten percent (10%) of the invoice amount from each payment until the completed Project has been accepted by the City. Each invoice must include a Consultant Progress Report that contains tasks and activities completed and summary of work in the next month period. Certificate of insurance must be current in order for invoices to be processed. City Council 17 –25 11/16/2021 City of Santa Ana RFP 21-103 Page A1-5 CITY RESPONSIBILITIES: 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.  Facilitate meeting spaces and coordination with City staff  Access to City facilities CONSULTANT RESPONSIBILITIES:  Provide all required insurance as outlined in Attachment 2 of this RFP.  Submit renewal of Certificate of Insurance 30 days before expiring.  Ensure Certificate of Insurance is current when submitting invoices. SPECIAL REQUIREMENTS (ATTACHMENT 4) This project may utilize California Department of Transportation (Caltrans) funds and shall therefore comply with all state and federal requirements. The below referenced forms included in Attachment 4 (Additional Provisions) of the Appendix must be completed in their entirety and submitted with your proposal:  LAPM Exhibit 10-H: Sample Cost Proposal  LAPM Exhibit 10-O1: Consultant Proposal DBE Commitment  LAPM Exhibit 10-O2: Consultant Contract DBE Commitment (include within Fee Proposal hard copy package) Please reference Caltrans Local Assistance Procedure Manual, Consultant Selection, Chapter 10, for further instructions and guidelines pertaining to the completion of these forms:https://dot.ca.gov/-/media/dot-media/programs/local-assistance/documents/lapm/ch10.pdf COMPLIANCE WITH REQUIREMENTS OF FUNDING AGENCY: This agreement may be funded with state and/or federal grant funds administered by Caltrans. Proposer shall comply with all requirements as they pertain to the use of these funds. Refer to Attachment 4 for Caltrans required forms, including Exhibit 10-H – Sample Cost Proposal (H2 for On-Call Contracts) in the Appendix of this RFP. DISADVANTAGED BUSINESS ENTERPRISES (DBE) GOAL: The Agency has established a DBE goal for this Contract. Proposers are encouraged to obtain DBE participation for this contract. Refer to Exhibit 10-I – Notice to Proposers DBE Information included in the Appendix of this RFP. Proposers must submit Exhibits 10-O1 & 10-O2 – Consultant Proposal & Contract DBE Commitment to demonstrate compliance with Agency’s DBE goal. CONSULTANT AUDIT AND REVIEW PROCESS: City Council 17 –26 11/16/2021 City of Santa Ana RFP 21-103 Page A1-6 The selected Consultant(s) shall complete Exhibit 10-K – Consultant Annual Certification of Indirect Costs and Financial Management System for all prime and sub-consultants in the Appendix of this RFP. To independently download any of the Caltrans Exhibits required per this RFP, visit: https://dot.ca.gov/programs/local-assistance/forms/local-assistance-procedures-manual-forms City Council 17 –27 11/16/2021 Page 18 EXHIBIT B CONSULTANT’S PROPOSAL City Council 17 –28 11/16/2021 PREPARED FOR: City of Santa Ana Public Works Agency; M-36 20 Civic Center Plaza Ross Annex Santa Ana, CA 92701 PREPARED BY: Santolucito Doré Group, Inc. 31600 Railroad Canyon Road Suite 100-L Canyon Lake, CA 92587 PROPOSAL FOR ON-CALL PROPERTY APPRAISAL SERVICES September 15, 2021 •4:00 pm City Council 17 –29 11/16/2021 1. STATEMENT OF QUALIFICATIONS City Council 17 –30 11/16/2021 City Council 17 –31 11/16/2021 City Council 17 –32 11/16/2021 City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services City Council 17 –33 11/16/2021 City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services City Council 17 –34 11/16/2021 City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services City Council 17 –35 11/16/2021 City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services *Key Personnel (Certified DBE, SBE, WBE) (Certified DBE, SBE, WBE) (Certified DBE, SBE, WBE) (Certified DBE, SBE, WBE) (Certified DBE, SBE, WBE) (Certified DBE, SBE, WBE) (Certified DBE, SBE, WBE) (Certified DBE, SBE, WBE) City Council 17 –36 11/16/2021 City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services City Council 17 –37 11/16/2021 City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services City Council 17 –38 11/16/2021 City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services Detailed Inspection of the Property Complete Highest and Best Use Analysis Research Market Data of the Neighborhood, Subject Property, and Comparable Sales City Council 17 –39 11/16/2021 City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services Write a Narrative Appraisal Report City Council 17 –40 11/16/2021 City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services City Council 17 –41 11/16/2021 City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services City Council 17 –42 11/16/2021 City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services City Council 17 –43 11/16/2021 City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services City Council 17 –44 11/16/2021 City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services City Council 17 –45 11/16/2021 City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services City Council 17 –46 11/16/2021 2. SCOPE OF SERVICES AND SCHEDULE City Council 17 –47 11/16/2021 City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services City Council 17 –48 11/16/2021 City of Santa Ana, Public Works Agency– Proposal for On-Call Property Appraisal Services City Council 17 –49 11/16/2021 4. CERTIFICATIONS City Council 17 –50 11/16/2021 City Council 17 –51 11/16/2021 City Council 17 –52 11/16/2021 City Council 17 –53 11/16/2021 City Council 17 –54 11/16/2021 City Council 17 –55 11/16/2021 FEE PROPOSAL PREPARED FOR: City of Santa Ana Public Works Agency; M-36 20 Civic Center Plaza Ross Annex Santa Ana, CA 92701 PREPARED BY: Santolucito Doré Group, Inc. 31600 Railroad Canyon Road Suite 100-L Canyon Lake, CA 92587 PROPOSAL FOR ON-CALL PROPERTY APPRAISAL SERVICES September 15, 2021 • 4:00 pm City Council 17 –56 11/16/2021 3. FEE PROPOSAL City Council 17 –57 11/16/2021 City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 1 FEE PROPOSAL Appraisals are typically bid on a lump sum per subject property basis, depending on the type of property and complexity of the appraisal problem. Other types of appraisal services are typically billed on an hourly rate basis. SD Group’s fee for the appraisals of the sample properties referenced in the RFP and our hourly rates for any additional services requested are provided below. Our method of appraisal, research, applicable tasks, and proposed schedule are included in the body of the technical proposal and included following our fee proposal as well. All appraisal and appraisal review reports will be prepared in narrative format to be utilized for condemnation purposes. They will comply with USPAP, the Caltrans Right of Way Manual, the Uniform Act, and California Eminent Domain law. REAL ESTATE APPRAISAL REPORT FEES • Appraisal of 1224 East Warner Avenue (Cherry Aerospace Park Partial Acquisition) o M1 Light Industrial property, 15.45-acre site, approximate 270,000 square foot building (the building size was not provided on public records and was taken from Google Earth measurements for this proposal) o The acquisition of 10 feet from the back of sidewalk does not appear that it would impact the building improvements, any business operations, or parking o It appears a land only appraisal with compensation for site improvements (including, but not limited to: grass, bushes, several trees, a flagpole, and brick planter, as well as a monument sign that may need to be acquired, then relocated further back on the site) o An analysis of the value of the whole after acquisition will be made to determine if damages exist due to the partial acquisition o The fee for this type of appraisal would be approximately $4,000 for one appraisal with a turn around time of 45-60 days, from notice to proceed and receipt of all pertinent project and parcel information including the preliminary title report and any other necessary documents (provided by the City), with discounts given when receiving multiple parcels/appraisals of similar property types • Appraisal of 2246 South Evergreen Street (Residential Full Acquisition) o R1 Single Family Residential property, 7,835 square foot site, 931 square foot residence, built in 1952 o The acquisition of the entire property in full fee o The fee for this type of appraisal would be approximately $2,500 for one appraisal with a turn-around time of 30-45 days, from notice to proceed and receipt of all pertinent project and parcel information including the preliminary title report and any other necessary documents (provided by the City), with discounts given when receiving multiple parcels/appraisals of similar property types HOURLY RATES • Principal - $250-350 per hour for valuation and consultation • Principal - $350-$450 per hour for litigation support/depositions/court appearances • Senior - $150 per hour for valuation and consultation • Administrative/Research - $75-$100 per hour for valuation support City Council 17 –58 11/16/2021 City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 2 Our fees for the written narrative appraisal reports include site inspections with each property owner and meetings at the City, as required. We will provide condemnation support, as necessary, billed on an hourly basis. Draft electronic versions of the appraisal reports will be delivered for review and final electronic and hard copies, when requested, will be delivered to the client upon approval from the review appraiser. There are no additional document or historical retrieval costs anticipated. Travel and material costs are included in our total fee for this assignment. City Council 17 –59 11/16/2021 City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 3 UNDERSTANDING OF NEED AND PROPOSED METHOD TO ACCOMPLISH WORK SD Group looks forward to tailoring specific processes to comply with the City’s policies, procedures, and preferences. SD Group prides itself on its ability to complete complex projects on schedule and within budget. Christie and Lance have years of experience coordinating with various agencies and will strategize and coordinate each project thoroughly from the beginning to deliver high quality outstanding appraisal services. Christie and Lance will work closely with the City’s Project Managers and staff to discover ways to provide assistance, offer recommendations whenever challenges are presented, and will seek feedback pertaining to progress and satisfaction with SD Group’s performance. Appraisal is unique to each property and all recognized appraisal methodologies are completed with the highest level of quality. The following section describes our general work plan for completing the various appraisal and appraisal review assignments. APPRAISAL The purpose of an appraisal report is to produce a document that can be used by the City in negotiations for acquisition or disposition of property. The typical scope of work for an appraisal includes, but is not necessarily limited to, the following steps: Detailed Inspection of the Property The acquisition process begins when the appraiser sends out the Notice of Intent to Appraise letters to impacted property owners (for acquisitions). The appraiser will invite the property owner to be present for the onsite inspection. Additionally, City staff, other consultants/experts involved in the project, and, if applicable, the acquisition agent, are encouraged to attend the inspection as well. A complete understanding of the larger parcel, the subject property and overall impacts are a critical step in the appraisal process. Complete Highest and Best Use Analysis The cornerstone of the appraisal process is a detailed highest and best use of the property as vacant and as improved, which will be performed to isolate any valuation issues that arise after a detailed analysis of the legal, physical, and financial aspects of the property. This is the essential basis for the valuation analysis and ultimately the just compensation. The last critical stage is to determine the highest and best use of the remainder. Issues that may arise from this final test is uneconomic remainders, determination of underlying fees, or additional considerations for partial acquisitions and easements. This ultimately determines factors that may result in severance damages. Research Market Data of the Neighborhood, Subject Property, and Comparable Sales After the determination of the highest and best use, the comparables are selected with similar highest and best uses. When identifying sales of comparable properties, market research will include discussions with appropriate real estate professionals and governmental agencies. All sales data utilized in an appraisal report will be confirmed with a party to those transactions, whenever possible. Details of the comparables are presented to fully disclose all issues for adjustments applicable to the valuation of the subject. City Council 17 –60 11/16/2021 City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 4 Write a Narrative Appraisal Report The type of appraisal report utilized will be determined on a parcel-by-parcel basis. This determination will be made after analyzing the particular assignment and interests to be acquired, i.e., fee, easement, etc. A narrative appraisal report is typically used for public agency/eminent domain purposes. The appraiser may also be required to complete an Appraisal Summary Statement at the request of the City. Typical steps in the appraisal process are listed below: • Identify the larger parcel and the appraisal problem; • Obtain and review legals, plats, title reports, environmental reports, and other documents (provided by the City); • Send out Notice of Intent to Appraise letter; • Gather market data; • Perform property inspection; • Meet with project designer and others to address property impacts; • Perform a detailed highest and best use analysis; • Analyze and inspect comparables; • Valuation via the three approaches to value (sales, cost, income), as applicable for the property type; • Coordinate with Fixtures and Equipment Appraisers and Business Goodwill Appraisers; • Reconcile approaches to value; • Valuation of the part(s) acquired and improvements located within the acquisition area; • Valuation of the remainder after acquisition; • Assess and value potential damages and project benefits; • Prepare written appraisal report; • Work with the Review Appraiser; • Prepare the Appraisal Summary Statement; and • Deliver the completed appraisal report. After the delivery of the appraisal any review comments will be addressed, and when required, the report will be corrected or expanded to ensure the most reliable document for public scrutiny. APPRAISAL REVIEW Appraisers are required to comply with the Uniform Standards of Professional Appraisal Practice (USPAP) when performing appraisals and appraisal reviews. As such, the review appraiser is required to address a number of specific items pertaining to the report under review including the completeness of the report, adequacy and relevance of the data, propriety of the adjustments, form an opinion as to the appropriateness of the appraisal methods and techniques used to complete the appraisal, form an opinion as to whether or not the analyses, opinions, and conclusions are appropriate and reasonable or develop reasons for the disagreements, if any. In addition to USPAP, eminent domain projects with federal and state funding require compliance with various additional regulations and guidelines. The scope of work for an appraisal review typically includes the following steps: • Identify the appraiser(s) that conducted the appraisal; • Become familiar with the subject property and review legals, plats, title reports, environmental reports, and other documents; City Council 17 –61 11/16/2021 City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 5 • Become familiar with the subject neighborhood and the comparable properties used in the various analyses; • Check all mathematical calculations made by the appraiser(s); • Cross-reference narrative descriptions within the report with photographs, maps, and other exhibits (when included in the work under review); • Review the weighting assigned to the approaches to value used in the appraisal; • Determine if accepted appraisal principles, techniques, and standards were followed in arriving at property value in accordance with USPAP, California law, and Caltrans, FHWA, and FTA regulations, when applicable; • Ensure that the appraiser(s) did not overlook any feature that would materially affect the property value; • Develop an opinion as to the completeness of the material under review, given the review appraiser’s scope of work; • Develop an opinion as to the apparent adequacy and relevance of the data and the propriety of any adjustments to the data, given the review appraiser’s scope of work; • Develop an opinion as to appropriateness of the appraisal methods and techniques used, given the review appraiser’s scope of work, and developed reasons for any disagreement; • Develop an opinion as to whether the analyses, opinions, and conclusions are appropriate and reasonable, and developed the reasons for any disagreement; and • Form an opinion as to whether the appraisal can be used to establish fair market value for the subject larger parcel and make a recommendation as to whether the appraisers’ estimate of fair market value should be used as just compensation for the proposed acquisition. • Work with the appraiser whose work is under review to address any areas of concern within the appraisal. • Prepare and deliver the written appraisal review report. SD Group has the availability to deliver appraisal services to the City on an on-call basis. We have a history of delivering on time and within budget. City Council 17 –62 11/16/2021 City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 6 SCOPE OF SERVICES AND SCHEDULE SD Group has the availability to deliver appraisals and appraisal reviews to the City in a timely manner. Appraisal assignments are typically completed within 45 to 60 days after notice to proceed (NTP) and receipt of all pertinent project and parcel information. Reviews are typically completed within 7 to 10 days. The steps necessary to complete and appraisal and appraisal review were previously provided in the Understanding of Need and Proposed Method to Accomplish Work section. Our proposed schedule for a typical right of way appraisal is as follows: • Day 1 – NTP and receipt of Preliminary Title Reports (PTR) and other relevant documents; • Day 2 – Send out Notice of Decision to Appraise (NODA) letters; • Days 3-23 – Research subject properties (parcel size, existing land use/zoning, other pertinent factors), identify the appraisal problem, review PTRs and other reports/documents, research neighborhood and market data, perform detailed highest and best use analyses, and select, analyze, and verify comparables; • Days 23-25 – Property inspections and comparables inspections; • Days 26-40 – Valuations via applicable approaches (sales, cost, income); • Day 41 – Reconcile the approaches used; • Days 41-45 – Type the narrative appraisal reports; and • Days 45-60 – Deliver the draft appraisal reports. We understand the description and scope of work outlined in the RFP Attachment 1, under Property Appraisal Services, and will meet all requirements. All work will be under the oversight of Christie, the Project Manager for this contract. Additionally, Lance will review and sign all reports requiring an MAI signature. We have Quality Assurance/Quality Control (QA/QC) plan in place for each assignment that is tailored to the specific needs of each client and project. APPRAISAL METHODOLOGY AND PROCESS Property will be appraised via one or more of the three traditional approaches to value (cost, sales, and income capitalization), depending on the highest and best use and the quality and quantity of data available for analysis. The cost approach is a breakdown of property into land and building components. It assumes that an informed buyer would pay no more for a property than the cost of acquiring land and reproducing improvements of similar utility, less the amount of any depreciation. This approach is most applicable when improvements are relatively new and represent the highest and best use of the land, or in the case of special-use properties, for which there are few comparable sales. The sales comparison approach is the comparison of similar properties, that recently sold or are currently listed for sale, to the subject property. It assumes that an informed buyer would pay no more for a property than the cost of acquiring a substitute property of similar utility and desirability. This approach is most applicable when there are sufficient recent and reliable transactions of similar properties. It is most often relied upon in the valuation of owner-user properties. The income capitalization approach reflects the present value of the future benefits of property ownership. It converts a property’s net operating income into a lump-sum value via capitalization. The two methods of income capitalization are direct capitalization and yield capitalization (via a discounted cash flow analysis), with one or both applied, as applicable to the property being appraised. This approach is most applicable for income-producing properties. City Council 17 –63 11/16/2021 City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 7 Reconciliation of the appropriate approaches to value is the final analytical step in the valuation process. The relative dependability and applicability of each approach to value is each is evaluated to derive a value conclusion for the subject property. RESOURCES TO BE UTILIZED SD Group has the latest in-house hardware (laptops, monitors, printers, scanners) and software (Narrative1, Microsoft Office Suite, Adobe Acrobat Pro, Google Earth Pro, DeLorme), as well as subscriptions to professional market data (RealQuest, NiteOwl Pro, MLS, CoStar, LoopNet) for searching property information, records, deeds, and sale/rent comparables. We keep primarily electronic files stored on a server that is backed up regularly. We have an extensive database of market data, trends, and comparable data from previous projects to pull from, when relevant to the current appraisal assignment. We are fully equipped to handle the City’s appraisal assignment. City Council 17 –64 11/16/2021 City of Santa Ana RFP 21-075 Page A4-1 Appendix ATTACHMENT 4 CALTRANS ATTACHMENTS Please see below. City Council 17 –65 11/16/2021 Local Assistance Procedures Manual EXHIBIT 10-H2 Cost Proposal Page 4 of 11 January 2020 EXHIBIT 10-H2 COST PROPOSAL Page 1 of 3 SPECIFIC RATE OF COMPENSATION (USE FOR ON-CALL OR AS-NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Note: Mark-ups are Not Allowed Consultant __________________________________________ ☐Prime Consultant ☐Subconsultant ☐2nd Tier Subconsultant Project No. _______________________ Contract No. _________________ Participation Amount $____________________ Date ________________ For Combined Rate Fringe Benefit % + General &Administrative % = Combined ICR 110.00% OR For Home Office Rate Fringe Benefit % + General &Administrative % = Home Office ICR% For Field Office Rate Fringe Benefit % + General &Administrative % = Field Office ICR% Fee = 10% BILLING INFORMATION CALCULATION INFORMATION Name/Job Title/Classification Hourly Billing Rates Effective Date of Hourly Rate Actual or Avg. Hourly Rate % or $ Increase Hourly Range for Classifications Only Straight OT(1.5x) OT(2x) From To Christine Santolucito, R/W-AC* $250 N/A N/A 11/9/2021 12/31/2022 108.22 -- N/A Principal Appraiser $350 N/A N/A 1/1/2023 12/31/2023 151.50 3.0% N/A For valuation and consultation (1) $360 N/A N/A 1/1/2024 12/31/2024 156.05 3.0% N/A $371 N/A N/A 1/1/2025 12/31/2025 160.73 3.0% N/A $382 N/A N/A 1/1/2026 12/31/2026 165.55 3.0% N/A Christine Santolucito, R/W-AC* $350 N/A N/A 11/9/2021 12/31/2022 151.50 -- N/A Principal Appraiser $450 N/A N/A 1/1/2023 12/31/2023 195.00 3.0% N/A For litigation support / depositions / court appearances (1) $464 N/A N/A 1/1/2024 12/31/2024 200.85 3.0% N/A $478 N/A N/A 1/1/2025 12/31/2025 206.88 3.0% N/A $492 N/A N/A 1/1/2026 12/31/2026 213.08 3.0% N/A Santolucito Dore Group, Inc.X TBD TBD Up to $149,000 11/9/2021 City Council 17 –66 11/16/2021 Local Assistance Procedures Manual EXHIBIT 10-H2 Cost Proposal Page 5 of 11 January 2020 Lance Doré, MAI, FRICS* $350 N/A N/A 11/9/2021 12/31/2022 151.50 -- N/A Principal Appraiser $360 N/A N/A 1/1/2023 12/31/2023 156.05 3.0% N/A For valuation and consultation $371 N/A N/A 1/1/2024 12/31/2024 160.73 3.0% N/A $382 N/A N/A 1/1/2025 12/31/2025 165.55 3.0% N/A $394 N/A N/A 1/1/2026 12/31/2026 170.51 3.0% N/A Lance Doré, MAI, FRICS* $450 N/A N/A 11/9/2021 12/31/2022 195.00 -- N/A Principal Appraiser $464 N/A N/A 1/1/2023 12/31/2023 200.85 3.0% N/A For litigation support / depositions / court appearances $478 N/A N/A 1/1/2024 12/31/2024 206.88 3.0% N/A $492 N/A N/A 1/1/2025 12/31/2025 213.08 3.0% N/A $507 N/A N/A 1/1/2026 12/31/2026 219.47 3.0% N/A Meredith McDonald $150 N/A N/A 11/9/2021 12/31/2022 65.00 -- N/A Senior Appraiser $155 N/A N/A 1/1/2023 12/31/2023 66.95 3.0% N/A $159 N/A N/A 1/1/2024 12/31/2024 68.96 3.0% N/A $164 N/A N/A 1/1/2025 12/31/2025 71.03 3.0% N/A $169 N/A N/A 1/1/2026 12/31/2026 73.16 3.0% N/A Mark Demkiw $150 N/A N/A 11/9/2021 12/31/2022 65.00 -- N/A Senior Appraiser $155 N/A N/A 1/1/2023 12/31/2023 66.95 3.0% N/A $159 N/A N/A 1/1/2024 12/31/2024 68.96 3.0% N/A $164 N/A N/A 1/1/2025 12/31/2025 71.03 3.0% N/A $169 N/A N/A 1/1/2026 12/31/2026 73.16 3.0% N/A Matthew Sunderland $150 N/A N/A 11/9/2021 12/31/2022 65.00 -- N/A Senior Appraiser $155 N/A N/A 1/1/2023 12/31/2023 66.95 3.0% N/A $159 N/A N/A 1/1/2024 12/31/2024 68.96 3.0% N/A $164 N/A N/A 1/1/2025 12/31/2025 71.03 3.0% N/A $169 N/A N/A 1/1/2026 12/31/2026 73.16 3.0% N/A Paul Kim $150 N/A N/A 11/9/2021 12/31/2022 65.00 -- N/A Senior Appraiser $155 N/A N/A 1/1/2023 12/31/2023 66.95 3.0% N/A $159 N/A N/A 1/1/2024 12/31/2024 68.96 3.0% N/A $164 N/A N/A 1/1/2025 12/31/2025 71.03 3.0% N/A $169 N/A N/A 1/1/2026 12/31/2026 73.16 3.0% N/A Noble Tucker $100 N/A N/A 11/9/2021 12/31/2022 43.50 -- N/A Trainee Appraiser $103 N/A N/A 1/1/2023 12/31/2023 44.81 3.0% N/A $107 N/A N/A 1/1/2024 12/31/2024 46.15 3.0% N/A City Council 17 –67 11/16/2021 Local Assistance Procedures Manual EXHIBIT 10-H2 Cost Proposal Page 6 of 11 January 2020 $110 N/A N/A 1/1/2025 12/31/2025 47.53 3.0% N/A $113 N/A N/A 1/1/2026 12/31/2026 48.96 3.0% N/A Sky Sylvester $51 N/A N/A 11/9/2021 12/31/2022 22.00 -- N/A Admin/Researcher $52 N/A N/A 1/1/2023 12/31/2023 22.66 3.0% N/A $54 N/A N/A 1/1/2024 12/31/2024 23.34 3.0% N/A $56 N/A N/A 1/1/2025 12/31/2025 24.04 3.0% N/A $57 N/A N/A 1/1/2026 12/31/2026 24.76 3.0% N/A Senior Appraiser $150 N/A N/A 11/9/2021 12/31/2022 65.00 -- $60.00 - $80.00 $155 N/A N/A 1/1/2023 12/31/2023 66.95 3.0% $159 N/A N/A 1/1/2024 12/31/2024 68.96 3.0% $164 N/A N/A 1/1/2025 12/31/2025 71.03 3.0% $169 N/A N/A 1/1/2026 12/31/2026 73.16 3.0% Trainee Appraiser / Analyst $100 N/A N/A 11/9/2021 12/31/2022 43.50 -- $25.00 - $50.00 $103 N/A N/A 1/1/2023 12/31/2023 44.81 3.0% $107 N/A N/A 1/1/2024 12/31/2024 46.15 3.0% $110 N/A N/A 1/1/2025 12/31/2025 47.53 3.0% $113 N/A N/A 1/1/2026 12/31/2026 48.96 3.0% Administrative/Researcher $51 N/A N/A 11/9/2021 12/31/2022 22.00 -- $16.00 - $25.00 $52 N/A N/A 1/1/2023 12/31/2023 22.66 3.0% $54 N/A N/A 1/1/2024 12/31/2024 23.34 3.0% $56 N/A N/A 1/1/2025 12/31/2025 24.04 3.0% $57 N/A N/A 1/1/2026 12/31/2026 24.76 3.0% * Key Personnel (1)Christine's rate jumps 1/1/2023 upon completion of her MAI designation. (Add pages as necessary) NOTES: 1.Key personnel must be marked with an asterisk (*) and employees that are subject to prevailing wage requirements must be marked with two asterisks (**).All costs must comply with the Federal cost principles. Subconsultants will provide their own cost proposals. 2.The cost proposal format shall not be amended. 3.Billing rate = actual hourly rate * (1+ ICR) * (1+ Fee). Indirect cost rates shall be updated on an annual basis in accordance with the consultant’s annual accounting period and established by a cognizant agency or accepted by Caltrans. All costs must comply with the Federal cost principles for reimbursement. 4.For named employees and key personnel enter the actual hourly rate. For classifications only, enter the Average Hourly Rate for that classification. EXHIBIT 10-H2 COST PROPOSAL Page 2 of 3 City Council 17 –68 11/16/2021 Local Assistance Procedures Manual EXHIBIT 10-H2 Cost Proposal Page 7 of 11 January 2020 SPECIFIC RATE OF COMPENSATION (USE FOR ON-CALL OR AS-NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Consultant __________________________________________ ☐ Prime Consultant ☐ Subconsultant Project No. _______________________ Contract No. ____________________ Date ____________________ SCHEDULE OF OTHER DIRECT COST ITEMS (Add additional pages as necessary) Description of Item Quantity Unit Unit Cost Total Mileage Costs N/A $ $ Equipment Rental and Supplies N/A $ $ Permit Fees N/A $ $ Plan Sheets N/A $ $ Test N/A $ $ Vehicle N/A $ $ Subconsultant 1: N/A $ Subconsultant 2: N/A $ Subconsultant 3: N/A $ Subconsultant 4: N/A $ Subconsultant 5: N/A $ Note: Add additional pages if necessary. NOTES: 1.List other direct cost items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentation. 2. Proposed ODC items should be consistently billed regardless of client and contract type. 3.Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate. 4.Items such as special tooling, will be reimbursed at actual cost with supporting documentation (invoice). 5.Items listed above that would be considered "tools of the trade" are not reimbursable as other direct cost. 6.Travel related costs should be pre-approved by the contracting agency and shall not exceed current State Department of Personnel Administration rules. 7.If mileage is claimed, the rate should be properly supported by the consultant's calculation of their actual costs for company vehicles. In addition, the miles claimed should be supported by mileage logs. 8.If a consultant proposes rental costs for a vehicle, the company must demonstrate that this is its standard procedure for all of their contracts and that they do not own any vehicles that could be used for the same purpose. 9.The cost proposal format shall not be amended. All costs must comply with the Federal cost principles. 10.Add additional pages if necessary. 11.Subconsultants must provide their own cost proposals. XSantolucito Dore Group, Inc. TBD TBD 11/9/2021 City Council 17 –69 11/16/2021 Local Assistance Procedures Manual EXHIBIT 10-H2 Cost Proposal EXHIBIT 10-H2 COST PROPOSAL Page 3 of 3 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are actual, reasonable, allowable, and allocable to the contract in accordance with the contract terms and the following requirements: 7.Generally Accepted Accounting Principles (GAAP) 8.Terms and conditions of the contract 9.Title 23 United States Code Section 112 -Letting of Contracts 10.48 Code of Federal Regulations Part 31 -Contract Cost Principles and Procedures 11.23 Code of Federal Regulations Part 172 -Procurement, Management, and Administration of Engineering and Design Related Service 12 .48 Code of Federal Regulations Part 9904 -Cost Accounting Standards Board (when applicable) All costs must be applied consistently and fair1y to all contracts. All documentation of compliance must be retained in the project files and be in compliance with applicable federal and state requirements. Costs that are nonc ompliant with the federal and state requirements are not eligible for reimbursement. Prime Consultant or Subconsultant Certifying: Name: ______________ _ Title*: ______________ _ Signature: _____________ _ Date of Certification (mm/dd/yyyy): Email: ______________ _ Phone Number: ___________ _ Address: ________________________________ _ *An individual executive or financial officer of the consultant's or subconsultant's organization at a level no lower than a Vice President or a Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the cost proposal for the contract. List services the consultant is providing under the proposed contract: Page 7 of 9 January 2020 President 11/9/2021 Christine S. Santolucito 951-225-3500 x 101christie@sdgroupinc.com 31600 Railroad Canyon Road, Suite 100-L, Canyon Lake, CA 92587 On-Call Property Appraisal Services Our work for the City of Santa Ana's on-call contract will be billed on a lump sum per appraisal basis. It is recommended that our firm is included as a Vendor or Other Direct Cost (ODC) for any projects associated with the on-call contract. City Council 17 –70 11/16/2021 I Local Assistance Procedures Manual EXHBIT 10-1 Notice to Proposers DBE Information EXHIBIT 10-1 NOTICE TO PROPOSERS DBE INFORMATION (Federally funded projects only) The Agency has established a DBE goal for this Contract of _____ 1. 2. 3. 4. TERMS AS USED IN THIS DOCUMENT •The term "Disadvantaged Business Enterprise" or "DBE" means a for-profit small business concern owned and controlled by a socially and economically disadvantaged person(s) as defined in Title 49, Code of Federal Regulations (CFR), Part 26.5. •The term "Agreement" also means "Contract." •Agency also means the local entity entering into this contract with the Contractor or Consultant. •The term "Small Business" or "SB" is as defined in 49 CFR 26.65. AUTHORITY AND RESPONSIBILITY A.DBEs and other small businesses are strongly encouraged to participate in the performance of Contracts financed in whole or in part with federal funds (See 49 CFR 26, "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs"). The Consultant must ensure that DBEs and other small businesses have the opportunity to participate in the performance of the work that is the subject of this solicitation and should take all necessary and reasonable steps for this assurance. The proposer must not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts. B.Proposers are encouraged to use services offered by financial institutions owned and controlled by DBEs. SUBMISSION OF DBE INFORMATION If there is a DBE goal on the contract, Exhibit 10-01 Consultant Proposal DBE Commitment must be included in the Proposal. In order for a proposer to be considered responsible and responsive, the proposer must make good faith efforts to meet the goal established for the contract. If the goal is not met, the proposer must document adequate good faith efforts. All DBE participation will be counted towards meeting the contract goal; therefore, all DBE participation shall be collected and reported. Exhibit 10-02 Consultant Contract DBE Information must be included in best qualified consultant's executed consultant contract. Even if no DBE participation will be reported, the successful proposer must execute and return the form. DBE PARTICIPATION GENERAL INFORMATION It is the proposer's responsibility to be fully informed regarding the requirements of 49 CFR, Part 26, and the Department's DBE program developed pursuant to the regulations. Particular attention is directed to the following: A.A DBE must be a small business firm defined pursuant to 13 CFR 121 and be certified through the California Unified Certification Program (CUCP). B.A certified DBE may participate as a prime consultant, subconsultant, joint venture partner, as a vendor of material or supplies, or as a trucking company. C.A DBE proposer not proposing as a joint venture with a non-DBE, will be required to document one or a combination of the following: 1.The proposer is a DBE and will meet the goal by performing work with its own forces. 2.The proposer will meet the goal through work performed by DBE subconsultants, suppliers or trucking companies. 3.The proposer, prior to proposing, made adequate good faith efforts to meet the goal. Page 1 of 2 January 2020 0.00%TBD City Council 17 –71 11/16/2021 Local Assistance Procedures Manual EXHBIT 10-1 Notice to Proposers DBE Information D.A DBE joint venture partner must be responsible for specific contract items of work or clearly defined portions thereof. Responsibility means actually performing, managing, and supervising the work with its own forces. The DBE joint venture partner must share in the capital contribution, control, management, risks and profits of the joint venture commensurate with its ownership interest. E.A DBE must perform a commercially useful function pursuant to 49 CFR 26.55, that is, a DBE firm must be responsible for the execution of a distinct element of the work and must carry out its responsibility by actually performing, managing and supervising the work. F.The proposer shall list only one subconsultant for each portion of work as defined in their proposal and all DBE subconsultants should be listed in the bid/cost proposal list of subconsultants. G.A prime consultant who is a certified DBE is eligible to claim all of the work in the Contract toward the DBE participation except that portion of the work to be performed by non-DBE subconsultants. 5.RESOURCES A.The CUCP database includes the certified DBEs from all certifying agencies participating in the CUCP. If you believe a firm is certified that cannot be located on the database, please contact the Caltrans Office of Certification toll free number 1-866-810-6346 for assistance. B.Access the CUCP database from the Department of Transportation, Office of Civil Rights website 1.Click on the link titled Disadvantaged Business Enterprise; 2.Click on Search for a DBE Firm link; 3.Click on Access to the DBE Query Form located on the first line in the center of the page. Searches can be performed by one or more criteria. Follow instructions on the screen. 6. MATERIALS OR SUPPLIES PURCHASED FROM DBES COUNT TOWARDS THE DBE GOAL UNDER THE FOLLOWING CONDITIONS: A.If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the materials or supplies. A DBE manufacturer is a firm that operates or maintains a factory, or establishment that produces on the premises the materials, supplies, articles, or equipment required under the Contract and of the general character described by the specifications. B.If the materials or supplies purchased from a DBE regular dealer, count 60 percent of the cost of the materials or supplies. A DBE regular dealer is a firm that owns, operates or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the Contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To be a DBE regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question. A person may be a DBE regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone or asphalt without owning, operating or maintaining a place of business provided in this section. C.If the person both owns and operates distribution equipment for the products, any supplementing of regular dealers' own distribution equipment shall be, by a long-term lease agreement and not an ad hoc or Agreement-by-Agreement basis. Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite transactions are not DBE regular dealers within the meaning of this section. D.Materials or supplies purchased from a DBE, which is neither a manufacturer nor a regular dealer, will be limited to the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on the job site, provided the fees are reasonable and not excessive as compared with fees charged for similar services. Page 2 of 2 January 2020 City Council 17 –72 11/16/2021 Local Assistance Procedures Manual Exhibit 10-K Consultant Annual Certification of Indirect Costs and Financial Management System EXHIBIT 10-K CONSULTANT ANNUAL CERTIFICATION OF INDIRECT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If a Safe Harbor Indirect Cost Rate is approved, this form is not required.) Consultant’s Full Legal Name: Important: Consultant means the individual or consultant providing engineering and design related services as a party of a contract with a recipient or sub-recipient of Federal assistance. Therefore, the Indirect Cost Rate(s) shall not be combined with its parent company or subsidiaries. Indirect Cost Rate: Combined Rate % OR Home Office Rate % and Field Office Rate (if applicable) % Facilities Capital Cost of Money % (if applicable) Fiscal period * * Fiscal period is annual one year applicable accounting period that the Indirect Cost Rate was developed (not the contract period). The Indirect Cost Rate is based on the consultant’s one-year applicable accounting period for which financial statements are regularly prepared by the consultant. I have reviewed the proposal to establish an Indirect Cost Rate(s) for the fiscal period as specified above and have determined to the best of my knowledge and belief that: •All costs included in the cost proposal to establish the indirect cost rate(s) are allowable in accordance with the cost principles of the Federal Acquisition Regulation (FAR) 48, Code of Federal Regulations (CFR), Chapter 1, Part 31 (48 CFR Part 31); •The cost proposal does not include any costs which are expressly unallowable under the cost principles of 48 CFR Part 31; •The accounting treatment and billing of prevailing wage delta costs are consistent with our prevailing wage policy as either direct labor, indirect costs, or other direct costs on all federally- funded A&E Consultant Contracts. •All known material transactions or events that have occurred subsequent to year-end affecting the consultant’s ownership, organization, and indirect cost rates have been disclosed as of the date of this certification. I am providing the required and applicable documents as instructed on Exhibit 10-A. Financial Management System: Our labor charging, job costing, and accounting systems meet the standards for financial reporting, accounting records, and internal control adequate to demonstrate that costs claimed have been incurred, appropriately accounted for, are allocable to the contract, and comply with the federal requirements as set forth in Title 23 United States Code (U.S.C.) Section 112(b)(2); 48 CFR Part 31.201-2(d); 23 CFR, Chapter 1, Part 172.11(a)(2); and all applicable state and federal rules and regulations. Our financial management system has the following attributes: •Account numbers identifying allowable direct, indirect, and unallowable cost accounts; •Ability to accumulate and segregate allowable direct, indirect, and unallowable costs into separate cost Page 1 of 2 March 2018 Santolucito Dore Group, Inc. N/A N/A N/A N/A N/A SD Group does not have an ICR Rate because we are a small, woman-owned, disadvantaged business enterprise without a sophisticated financial management system as mentioned in this certification. SD Group bills on a lump sum basis per appraisal report as a direct cost and should be listed as a vendor. City Council 17 –73 11/16/2021 Local Assistance Procedures Manual Exhibit 10-K Consultant Annual Certification of Indirect Costs and Financial Management System accounts; •Ability to accumulate and segregate allowable direct costs by project, contract and type of cost; •Internal controls to maintain integrity of financial management system; •Ability to account and record costs consistently and to ensure costs billed are in compliance with FAR; •Ability to ensure and demonstrate costs billed reconcile to general ledgers and job costing system; and •Ability to ensure costs are in compliance with contract terms and federal and state requirement Cost Reimbursements on Contracts: I also understand that failure to comply with 48 CFR Part 16.301-3 or knowingly charge unallowable costs to Federal-Aid Highway Program (FAHP) contracts may result in possible penalties and sanctions as provided by the following: •Sanctions and Penalties -23 CFR Part 172.11(c)(4) •False Claims Act -Title 31 U.S.C. Sections 3729-3733 •Statements or entries generally -Title 18 U.S.C. Section 1001 •Major Fraud Act -Title 18 U.S.C. Section 1031 All A&E Contract Information: •Total participation amount $___________________ on all State and FAHP contracts for Architectural & Engineering services that the consultant received in the last three fiscal periods. •The number of states in which the consultant does business is . •Years of consultant’s experience with 48 CFR Part 31 is . •Audit history of the consultant’s current and prior years (if applicable) ☐Cognizant ICR Audit ☐Local Gov’t ICR Audit □Caltrans ICR Audit ☐Federal Gov’t ICR Audit☐CPA ICR Audit I, the undersigned, certify all of the above to the best of my knowledge and belief and that I have reviewed the Indirect Cost Rate Schedule to determine that any costs which are expressly unallowable under the Federal cost principles have been removed and comply with Title 23 U.S.C. Section 112(b)(2), 48 CFR Part 31, 23 CFR Part 172, and all applicable state and federal rules and regulations. I also certify that I understand that all documentation of compliance must be retained by the consultant. I hereby acknowledge that costs that are noncompliant with the federal and state requirements are not eligible for reimbursement and must be returned to Caltrans. Name**: _ Title**: Signature: Date of Certification (mm/dd/yyyy): Email**: Phone Number**: **An individual executive or financial officer of the consultant’s or subconsultant’s organization at a level no lower than a Vice President, a Chief Financial Officer, or equivalent, who has authority to represent the financial information used to establish the indirect cost rate. Note: Both prime and subconsultants as parties of a contract must complete their own Exhibit 10-K forms. Caltrans will not process local agency’s invoices until a complete Exhibit 10-K form is accepted and approved by Caltrans Audits and Investigations. Distribution: 1) Original -Local Agency Project File 2) Copy -Consultant 3) Copy -Caltrans Audits and Investigations Page 2 of 2 March 2018 N/A Christine S. Santolucito President christie@sdgroupinc.com 9/15/2021 951-225-3500 City Council 17 –74 11/16/2021 Local Assistance Procedures Manual Exhibit 10-O1 Consultant Proposal DBE Commitment EXHIBIT 10-O1 CONSULTANT PROPOSAL DBE COMMITMENT 1.Local Agency:2.Contract DBE Goal: 3.Project Description: 4.Project Location: 5.Consultant's Name: 6.Prime Certified DBE: 7.Description of Work, Service, or Materials Supplied 8.DBE Certification Number 10.DBE % % Local Agency to Complete this Section 17.Local Agency Contract Number: 18.Federal-Aid Project Number: 19.Proposed Contract Execution Date: 20.Consultant’s Ranking after Evaluation: __________________________ Local Agency certifies that all DBE certifications are valid and information on this form is complete and accurate. 9.DBE Contact Information 11.TOTAL CLAIMED DBE PARTICIPATION IMPORTANT: Identify all DBE firms being claimed for credit, regardless of tier. Written confirmation of each listed DBE is required. 12. Preparer's Signature 13. Date 14. Preparer's Name 15. Phone 16. Preparer's Title DISTRIBUTION: Original – Included with consultant’s proposal to local agency. ADA Notice: For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654-6410 or TDD (916) 654- 3880 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814. LPP 18-01 Page 1 of 2 January 2019 4 City of Santa Ana City of Santa Ana On-Call Property Appraisal Services TBD Santolucito Doré Group, Inc. Property Appraisal and Appraisal Review Services 43345 100% Christine S. Santolucito, R/W-AC 951-225-3500 ext. 101 christie@sdgroupinc.com 100 9/15/2021 Christine S. Santolucito 951-225-3500 President City Council 17 –75 11/16/2021 Local Assistance Procedures Manual Exhibit 10-O1 Consultant Proposal DBE Commitment INSTRUCTIONS – CONSULTANT PROPOSAL DBE COMMITMENT CONSULTANT SECTION 1.Local Agency - Enter the name of the local or regional agency that is funding the contract. 2.Contract DBE Goal - Enter the contract DBE goal percentage as it appears on the project advertisement. 3.Project Location - Enter the project location as it appears on the project advertisement. 4.Project Description - Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc.). 5.Consultant’s Name - Enter the consultant’s firm name. 6.Prime Certified DBE - Check box if prime contractor is a certified DBE. 7.Description of Work, Services, or Materials Supplied - Enter description of work, services, or materials to be provided. Indicate all work to be performed by DBEs including work performed by the prime consultant’s own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms. 8.DBE Certification Number - Enter the DBE’s Certification Identification Number. All DBEs must be certified on the date bids are opened. 9.DBE Contact Information - Enter the name, address, and phone number of all DBE subcontracted consultants. Also, enter the prime consultant’s name and phone number, if the prime is a DBE. 10.DBE % - Percent participation of work to be performed or service provided by a DBE. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full/partial participation. 11.Total Claimed DBE Participation % - Enter the total DBE participation claimed. If the total % claimed is less than item “Contract DBE Goal,” an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15-H DBE Information - Good Faith Efforts of the LAPM). 12.Preparer’s Signature - The person completing the DBE commitment form on behalf of the consultant’s firm must sign their name. 13.Date - Enter the date the DBE commitment form is signed by the consultant’s preparer. 14.Preparer’s Name - Enter the name of the person preparing and signing the consultant’s DBE commitment form. 15.Phone - Enter the area code and phone number of the person signing the consultant’s DBE commitment form. 16.Preparer’s Title - Enter the position/title of the person signing the consultant’s DBE commitment form. LOCAL AGENCY SECTION 17.Local Agency Contract Number - Enter the Local Agency contract number or identifier. 18.Federal-Aid Project Number - Enter the Federal-Aid Project Number. 19.Proposed Contract Execution Date - Enter the proposed contract execution date. 20.Consultant’s Ranking after Evaluation – Enter consultant’s ranking after all submittals/consultants are evaluated. Use this as a quick comparison for evaluating most qualified consultant. 21.Local Agency Representative’s Signature - The person completing this section of the form for the Local Agency must sign their name to certify that the information in this and the Consultant Section of this form is complete and accurate. 22.Date - Enter the date the DBE commitment form is signed by the Local Agency Representative. 23.Local Agency Representative’s Name - Enter the name of the Local Agency Representative certifying the consultant’s DBE commitment form. 24.Phone - Enter the area code and phone number of the person signing the consultant’s DBE commitment form. 25.Local Agency Representative Title - Enter the position/title of the Local Agency Representative certifying the consultant’s DBE commitment form. LPP 18-01 Page 2 of 2 January 2019 City Council 17 –76 11/16/2021 Local Assistance Procedures Manual Exhibit 10-O2 Consultant Contract DBE Commitment EXHIBIT 10-O2 CONSULTANT CONTRACT DBE COMMITMENT 1.Local Agency:2.Contract DBE Goal: 3.Project Description: 4.Project Location: 5.Consultant's Name:6.Prime Certified DBE: 7.Total Contract Award Amount: 8.Total Dollar Amount for ALL Subconsultants:9.Total Number of ALL Subconsultants: 10. Description of Work, Service, or Materials Supplied 11.DBE Certification Number 12.DBE Contact Information 13. DBE Dollar Amount Local Agency to Complete this Section 14.TOTAL CLAIMED DBE PARTICIPATION $ 20.Local Agency Contract Number: 21. Federal-Aid Project Number: 22.Contract Execution Date: Local Agency certifies that all DBE certifications are valid and information on this form is complete and accurate. 23. Local Agency Representative's Signature 24. Date 25.Local Agency Representative's Name 26. Phone 27.Local Agency Representative's Title % IMPORTANT: Identify all DBE firms being claimed for credit, regardless of tier. Written confirmation of each listed DBE is required. 15. Preparer's Signature 16. Date 17. Preparer's Name 18. Phone 19. Preparer's Title DISTRIBUTION: 1. Original – Local Agency 2.Copy – Caltrans District Local Assistance Engineer (DLAE). Failure to submit to DLAE within 30 days of contract execution may result in de-obligation of federal funds on contract. ADA Notice: For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654-6410 or TDD (916) 654- 3880 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814. Page 1 of 2 July 23, 2015 Property Appraisal and Appraisal Review Services 43345 Christine S. Santolucito, R/W-AC 951-225-3500 x 101 christie@sdgroupinc.com up to $149,500 up to 149,500 100 9/15/2021 Christine S. Santolucito 951-225-3500 x 101 President City of Santa Ana 8% On Call Property Appraisal Services Santolucito Doré Group, Inc.X up to $149,500 City Council 17 –77 11/16/2021 951-225-3500 • 31600 Railroad Canyon Road, Suite 100-L • Canyon Lake, CA 92587 • sdgroupinc.com September 15, 2021 Mr. Kenny Nguyen Project Manager City of Santa Ana Public Works Agency; M-36 20 Civic Center Plaza; Ross Annex Santa Ana, CA 92701 RE: RFP No. 21-103 Appraisal Lump Sum Billing – 10-K Exception Request Dear Mr. Nguyen: The Santolucito Doré Group, Inc. (SD Group) is a small, women-owned, disadvantaged business enterprise. We offer essentially one type of service – valuation services and typically bill our services on a lump sum per appraisal basis. As such, we do not have the need for sophisticated financial management software with cost segregation features as required on Exhibit 10-K, Consultant Annual Certification of Indirect Costs and Financial Management System. Implementing such software and practices would be cost prohibitive for us as a small DBE firm and we cannot certify to something we can’t comply with. If selected, our work for the City of Santa Ana's on-call contract will be billed on a lump sum per appraisal basis. It is recommended that our firm is included as a Vendor or Other Direct Cost (ODC) for any projects associated with the on-call contract. The Caltrans Local Assistance Procedures Manual allows DBE’s to participate in a number of ways, including being contracted as a vendor. Please see the attached page from the manual. Please let me know if you have any questions or need any additional information. We are excited for the opportunity to work with the City on this project. Sincerely, Christine S. Santolucito, R/W-AC President City Council 17 –78 11/16/2021 I Local Assistance Procedures Manual Chapter 9 Civil Rights & Disadvantaged Business Enterprise and conditions of the contract. The mechanisms may also provide that any delay or postponement of payment among the parties may take place only for good cause with the Agency’s prior written approval. 9.7 DBE Participation on the Contract Participation Opportunities The local agency should structure its contracts and cost estimates by task to provide opportunities for DBE participation. Participation by DBEs is possible during the Preliminary Engineering, Environmental, Final Design, Right of Way, and Construction phases of the project, and includes work as lead consultants, prime contractors, sub-consultants, subcontractors, suppliers, vendors and truckers. DBE Contract Goals All federal-aid contracts that have subcontracting opportunities must have a DBE goal set. This includes, but is not limited to: construction, consultant services such as project specific Architectural & Engineering (A&E), and master on-call A&E contracts. A DBE contract goal is a percentage of the total contract amount that is expected to be performed by certified DBE firms. The DBE contract goal will vary depending on the type of work involved, the location of the work, and the availability of DBEs for the work of the particular contract. The contract goal may be zero in situations such as extremely limited subcontracting opportunities, the lack of certified DBEs available in the District for the work to be performed, or other reasons. The local agency will need to keep documentation in the project file when a zero percent DBE contract goal is deemed appropriate. Some contracts, such as Emergency Opening, Sole-source, Nonprofit do not require a DBE goal. Work performed through Force Account also does not need a DBE goal. In these cases, there is no contract goal (different from zero percent goal). Setting the DBE Contract Goal When setting a DBE goal, the Agency may use contract goals only on those federal-aid contracts that have subcontracting possibilities. The goal for a specific contract may be higher or lower than the percentage level of the statewide overall goal, depending on such factors as the type of work involved, the location of the work, and the availability of DBEs for the work of the particular contract. However, over the period covered by the State’s overall goal, the Agency must set contract goals, and these individual contract goals will cumulatively result in meeting any portion of the state’s overall goal. The actual DBE participation for each of the local agency’s contracts contributes to the calculation used to determine if the statewide goal has been met. Caltrans approval of each contract goal is not necessarily required. However, Caltrans may review and approve or disapprove any contract goal the Agency establishes. The Agency’s contract goals must provide for participation by all certified DBEs and must not be subdivided into group-specific goals. DBE contract goals are established to encourage more participation of DBEs for federal-aid transportation contracts. The bullets below provide a summary guidance of how to set the DBE contract goal. For a detailed set of instructions and a template example, please refer to Exhibit 9-D: DBE Contract Goal Methodology. Page 21 of 38 January 2021 City Council 17 –79 11/16/2021 Page 1 Non-Fed Funding (6.1.2020) AGREEMENT TO PROVIDE ON-CALL PROPERTY APPRAISAL SERVICES FOR THE CITY OF SANTA ANA THIS AGREEMENT is made and entered into on this 16th day of November, 2021 by and between Ellis Group, Inc. dba Integra Realty Resources - Los Angeles (“Consultant”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of property appraisal and services on an as needed basis. 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 On an on-call basis, and at the City’s sole discretion, Consultant shall perform the services described in the scope of work that was included in RFP No. 21-103, which is attached as Exhibit A, and as more specifically delineated in Consultant’s proposal, which is incorporated by reference as though set forth fully herein. 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximum 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. Consultant is one of three (3) consultants selected to provide property appraisal services on an on-call basis under RFP 21-103. The total compensation for these services provided by all such consultants selected under RFP 21-103 shall not exceed the shared aggregate amount of $300,000 during the term of the Agreement, including any extension periods. b. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. City Council 17 –80 11/16/2021 Page 2 Non-Fed Funding (6.1.2020) 3. TERM This Agreement shall commence on the date first written above and terminate on November 15, 2024, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for two 1-year period upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., (“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the performance of other requirements on “public works” and “maintenance” projects. If the services being performed are part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement (“Documents & Data”). Consultant shall require all 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 City Council 17 –81 11/16/2021 Page 3 Non-Fed Funding (6.1.2020) the purposes intended by this Agreement shall be at City’s sole risk. 7. MINIMUM INSURANCE REQUIREMENTS A. Consultant shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property, which may arise from or in connection with the performance of the work hereunder by the Consultant, its agents, representatives, or employees. B. Coverage shall be at least as broad as: 1. Commercial General Liability (CGL Insurance: Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. 2. Automobile Liability Insurance: Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non-owned), with limit no less than $1,000,000 per accident for bodily injury and property damage. 3. Workers’ Compensation Insurance: as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. ) 4. Professional Liability (Errors and Omissions) Insurance: appropriates to the Consultant’s profession, with limit no less than $2,000,000 per occurrence or claim, $2,000,000 aggregate. C. If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. D. Other Insurance Provisions- the insurance policies are to contain, or be endorsed to contain, the following provisions: 1. Additional Insured Status- the City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant’s insurance (at least as broad as ISO Form CG 20 City Council 17 –82 11/16/2021 Page 4 Non-Fed Funding (6.1.2020) 10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions used). 2. Primary Coverage- For any claims related to this contract, the Consultant’s insurance coverage shall be primary insurance primary coverage at least as broad as ISO CG 20 01 04 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Consultant’s insurance and shall not contribute with it. 3. Notice of Cancellation- Each insurance policy required above shall state that coverage shall not be canceled, except with notice to the City. 4. Waiver of Subrogation- Consultant hereby grants to City a waiver of any right to subrogation, which any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. E. Self-Insured Retentions- Self-insured retentions must be declared to and approved by the City. The City may require the Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City. F. Acceptability of Insurers- Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the City. G. Claims Made Policies- If any of the required policies provide coverage on a claims-made basis: 1. The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work. 2. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. 3. If coverage is canceled or non-renewed, and not replaced with another claims- made policy form with a Retroactive Dat e prior to the contract effective date, the Consultant must purchase “extended reporting” coverage for a minimum of five (5) years after completion of contract work. City Council 17 –83 11/16/2021 Page 5 Non-Fed Funding (6.1.2020) H. Verification of Coverage- Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant’s obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. 8. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant’s services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 9. 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. 10. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and City Council 17 –84 11/16/2021 Page 6 Non-Fed Funding (6.1.2020) invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 11. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. “Confidential Information” shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. NON-DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, o r disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. 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 City Council 17 –85 11/16/2021 Page 7 Non-Fed Funding (6.1.2020) 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. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 16. 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. 17. 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 b reach, 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. 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 venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. City Council 17 –86 11/16/2021 Page 8 Non-Fed Funding (6.1.2020) 19. 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. 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. 21. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Nabil Saba 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 City Council 17 –87 11/16/2021 Page 9 To Consultant: Beth B. Finestone, Managing Director Integra Realty Resources – Los Angeles 16030 Ventura Boulevard, Suite 620 Encino, CA 91436-4473 With Copy To: Integra Realty Resources – Los Angeles 16030 Ventura Boulevard, Suite 620 Encino, CA 91436­4473 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA Kristine Ridge City Manager CONSULTANT: Daisy Gomez Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura A. Rossini Chief Assistant City Attorney [Signatures continue on the next page] Non-Fed Funding (6.1.2020) Beth B. Finestone Managing Director City Council 17 –88 11/16/2021 Page 10 Non-Fed Funding (6.1.2020) RECOMMENDED FOR APPROVAL: Nabil Saba, PE Executive Director Public Works Agency City Council 17 –89 11/16/2021 Page 11 Non-Fed Funding (6.1.2020) EXHIBIT A SCOPE OF SERVICES City Council 17 –90 11/16/2021 City of Santa Ana RFP 21-103 Page A1-1 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON-CALL PROPERTY APPRAISAL SERVICES RFP NO. 21-103 INTRODUCTION/PROJECT BACKGROUND The City of Santa Ana is issuing this Request for Proposals (RFP) to seek qualified firms to provide On-Call Property Appraisal services on an as-needed or “on-call” basis. It is the City’s goal to select one or more firms to enter into an agreements with to provide as needed property appraiser services for capital improvement projects (CIP). The CIP projects needing these right-of-way services include, but are not limited, to Warner Avenue, Bristol Street, Fairview Street, and Grand Avenue Street Improvements. Property Appraisal Services Maximum Contract Aggregate Amount $148,000 From the proposals received, it is the City’s goal to select up to three firms for property appraisal services for the on-call pool. The City will enter into separate agreements (the “Agreement”) with each of these firms, with a not-to-exceed aggregate amount shared amongst all. Work will be assigned by Contract Task Orders. As tasks are identified, they will be distributed among these firms based upon their ability to perform the required work within the project schedule and budget constraints. A detailed scope of work and corresponding fee will be outlined when a specific task is assigned to a consultant. The City reserves the right to distribute the work in any manner which will best serve the City’s interests. MINIMUM QUALIFICATIONS Consultants must demonstrate the minimum qualifications as established in the California Department of Transportation (Caltrans) Right of Way Manual which can be accessed at: http://www.dot.ca.gov/hq/row/rowman/manual/index.htm. DESCRIPTION OF WORK Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or their designee on an as-needed basis. The Consultants shall be thoroughly familiar with the Statement of Work prior to submitting a response to this Request for Proposal (RFP). City Council 17 –91 11/16/2021 City of Santa Ana RFP 21-103 Page A1-2  The Consultant shall diligently work on each 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  All electronic submittals of files must be through a shared folder. Consultant must upload and keep current the project parcel information and files in the shared folder established for the project.  Consultant must prepare electronic files of the parcels according to the Caltrans Review Process for right-of-way Certification.  Project files including copies of all correspondences, reports, documents, and electronic files shall be submitted to the City when requested and electronically updated as requested by the City.  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 such notification, the Consultant will proceed with the services required by the Agreement. PROPERTY APPRAISAL SERVICES Consultant shall prepare appraisal services that include full and partial acquisition for residential property; commercial property; industrial property; easements; special use or zoned property; and review appraisals. Appraisal Services shall be in accordance with federal, state, and local regulations, policies, procedures and standards. Consultant must make every effort to meet with the property owner prior to preparation of the report. Appraiser shall perform the following tasks:  Prepare appraisal report in accordance with the State of California Laws and the Uniform Standards of Professional Appraisal Practice (USPAP)  Research records, inspect the site and communicate with the property owner in preparation of the appraisal report. This might require multiple attempts for site visit and inspection  Prepare Real Estate Appraisal reports for full and partial acquisition  Prepare Appraisal Summary Statements to accompany City’s Offer Package  Prepare Valuation of City’s Landscape Setback Easement requirements  Prepare detailed appraisal report necessary for condemnation  Coordinate with Fixtures and Equipment Appraisers  Coordinate with Business Goodwill Appraisers  Communicate with property owners in writing and as required to obtain adequate information to prepare the report  Prepare all necessary correspondence, letters and reports  Provide effective communication with engineers, planners, attorneys, and City staff  Comply with federal, state and local regulations City Council 17 –92 11/16/2021 City of Santa Ana RFP 21-103 Page A1-3  Create files and maintain all records  Provide condemnation consultations as necessary  Attend meetings/public hearings and conduct presentations  Provide expert witness testimony as required for condemnation proceedings  Coordinate and review of Phase I and Phase II Environmental Studies  Review appraisal reports prepared by other consultants as required by the City and prepare review summary  Prepare Review Appraisal Reports (Required For Federally Funded Projects)  Coordinate, direct and obtain Review Appraisals in accordance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act (Uniform Act) and Caltrans guidelines  Examine all appraisals and corresponding reports  Seek any corrections or revisions deemed appropriate  Prepare Dual Appraisal Report as required for federally funded projects under Caltrans Guidelines Real estate appraisers must be certified and a Member of the Appraisal Institute Sample Fee Proposal Consultant shall describe the process (methods of appraisal, research, and any other necessary tasks) and provide the proposal fee breakdown to appraise the below sample addresses. The proposal will be used for fee comparison and evaluation process. The partial acquisition for Cherry Aerospace shall be 10 feet from the back of sidewalk and all existing improvements within the acquired area shall be appraised accordingly. Sample locations for appraisal proposal are the following:  1224 E. Warner Avenue (Cherry Aerospace Park Take)  2246 S. Evergreen Street (Residential Full Take) PAYMENT AND INVOICING: Selected Consultant shall invoice the City based on time and material according to the City’s standard invoice template. Tasks and hours shall be clearly identified and all rates must match those included in the approved agreement. City shall retain ten percent (10%) of the invoice amount from each payment until the completed Project has been accepted by the City. Each invoice must include a Consultant Progress Report that contains tasks and activities completed and summary of work in the next month period. Certificate of insurance must be current in order for invoices to be processed. CITY RESPONSIBILITIES: 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 City Council 17 –93 11/16/2021 City of Santa Ana RFP 21-103 Page A1-4 specifically in referred to herein.  Facilitate meeting spaces and coordination with City staff  Access to City facilities CONSULTANT RESPONSIBILITIES:  Provide all required insurance as outlined in Attachment 2 of this RFP.  Submit renewal of Certificate of Insurance 30 days before expiring.  Ensure Certificate of Insurance is current when submitting invoices. City Council 17 –94 11/16/2021 Page 12 Non-Fed Funding (6.1.2020) EXHIBIT B COMPENSATION Fee Proposal including hourly rates if applicable City Council 17 –95 11/16/2021 Integra Realty Resources Los Angeles Response to Request for Proposals (RFP) for On-Call Property Appraisal Services RFP No.: 21-103 – Fee Proposal City of Santa Ana Attn.: Kenny Nguyen, Project Manager Public Works Agency; M-36 20 Civic Center Plaza; Ross Annex Santa Ana, California 92701 September 15, 2021 City Council 17 –96 11/16/2021 Response to Request for Proposals (RFP) for On-Call Property Appraisal Services RFP No.: 21-103 SECTION 3: FEE PROPOSAL City Council 17 –97 11/16/2021 Response to Request for Proposals (RFP) for On-Call Property Appraisal Services RFP No.: 21-103 17 3. FEE PROPOSAL In completing other large, multi-parcel assignments, we have found that the most effective way to minimize costs is to organize each assignment after gaining an understanding of all of the work involved. That is, we would carefully consider all of the appraisal assignments to be completed in the reasonably foreseeable future. By identifying all appraisal assignments to be completed, we are able to make most efficient use of our time in completing field inspections, and in cross-referencing factual data contained within the specific appraisal reports. In simultaneously completing multiple appraisals, we would prepare a matrix identifying all of the properties along one axis and identifying the various tasks within each appraisal along the other axis. In this manner, we are able to complete our work in the most efficient manner possible. By organizing our work in this manner, we have found that appraisal fees (on a per parcel basis) are frequently 15% to 30% less in a multi-parcel project area than they would be if the appraisal of each parcel was completed one at a time. The anticipated pricing schedule for specific types of appraisals (non-eminent domain) is summarized as follows: City Council 17 –98 11/16/2021 Response to Request for Proposals (RFP) for On-Call Property Appraisal Services RFP No.: 21-103 18 We will provide firm fixed fee estimates for each assignment or grouping of assignments prior to the onset of undertaking the assignment. The fixed-fee estimates provided will include all costs associated with the completion of the appraisals. The City will not be billed for expenses we incur in the preparation of the appraisal, unless these are approved in writing by the City at the onset of an assignment. For the purpose of providing supplemental consulting services and expert testimony, our fully burdened hourly rates will be as follows: Low High Desk Field Vacant Land $2,700 $6,000 $1,000 $1,600 SFR $1,800 $3,500 $1,000 $1,600 Duplex-Triplex-Quadriplex $2,500 $4,500 $1,200 $1,800 Small Multifamily (5-9 units) $2,700 $4,500 $1,400 $2,000 Multifamily (10-20 units) $2,700 $5,000 $1,500 $2,500 Multifamily (20+ units) $3,500 $9,000 $1,800 $3,000 Vacant Land $3,000 $10,000 $1,500 $2,000 General $4,000 $8,000 $1,800 $2,500 Complex $7,000+$2,500 $3,500+ Complex $6,000 $15,000 $2,200 $3,000 Religious facilities $5,500 $7,500 $1,500 $3,400 Educational Facilities $5,500 $7,500 $1,500 $3,400 Hospital Facilities Lodging Facilities $5,500 $10,000 $1,800 $3,400 Parks/Recreation Facilities $4,000 $10,000 $1,500 $2,400 Planned SFR/Subdivisions $6,000 $11,000 $2,200 $3,600 Planned Multifamily $4,000 $8,500 $1,800 $3,400 Planned $5,000 $12,000 $2,200 $3,600 Planned Special Use $6,500 $20,000 $2,400 $3,600 Complex Planned Developments Commercial/Industrial Special Use Properties To be quoted on an as-needed basis Planned Developments To be quoted on an as-needed basis Residential Properties Typical Costs for Appraisal Services Summary Report Appraisal Review Typical Cost Range Median Cost Range City Council 17 –99 11/16/2021 Response to Request for Proposals (RFP) for On-Call Property Appraisal Services RFP No.: 21-103 19 John G. Ellis, MAI, CRE, FRICS: (Senior Managing Director) $400 per hour for appraisal and consulting $600 per hour for trial preparation and expert testimony Beth B. Finestone, MAI, AI-GRS, FRICS, CRE: (Managing Director) $375 per hour for appraisal and consulting $450 per hour for trial preparation and expert testimony J. Richard Donahue, MAI, FRICS: (Senior Managing Director, IRR-Orange County) $375 per hour for appraisal and consulting $450 per hour for trial preparation and expert testimony Robert M. Lea, MAI: (Director) $400 per hour for appraisal and consulting $550 per hour for trial preparation and expert testimony Adam M. Bogorad, MAI: (Senior Director) $350 per hour for appraisal and consulting $425 per hour for trial preparation and expert testimony Other Directors, Senior Consultants, and Senior Analysts: $225 to $325 per hour Analysts:$130 to $200 per hour Researchers:$125 per hour Administrative Staff: (For supplemental documentation requests) $100 per hour The following Caltrans Exhibits as referenced in Attachment 4 of the RFP are included as part of our Fee Proposal following this page: LAPM Exhibit 10-H: Cost Proposal (IRR-Los Angeles) LAPM Exhibit 10-H: Cost Proposal (IRR-Orange County) LAPM Exhibit 10-K: Consultant Annual Certification of Indirect Costs and Financial Management System (IRR-Los Angeles) LAPM Exhibit 10-K: Consultant Annual Certification of Indirect Costs and Financial Management System (IRR-Orange County) LAPM Exhibit 10-O1: Consultant Proposal DBE Commitment LAPM Exhibit 10-O2: Consultant Contract DBE Commitment City Council 17 –100 11/16/2021 Response to Request for Proposals (RFP) for On-Call Property Appraisal Services RFP No.: 21-103 20 Sample Fee Proposal In addition to the information provided above, you requested that we provide a sample fee proposal for two properties, 1) 1224 E. Warner Avenue and 2) 2246 S. Evergreen Street. The following addresses this request. 1. 1224 E. Warner Avenue is the Cherry Aerospace partial acquisition. If awarded this assignment we would immediately notify the property owner, in writing, of our intent to appraise their property and invite them to be present at the time of inspection. We understand that a partial acquisition of 10 feet from the back of the sidewalk is required from this property. Based on our review of aerial photographs, this is a relatively minor acquisition in terms of its impact to the property. It appears that the structural improvements (building) will not be impacted and that pedestrian access to the property (larger parcel) will still be possible in the after condition. We do not anticipate any severance damages to the remainder and as such propose to value the property on a land only basis. That is, we would value the underlying land associated with the larger parcel in the before condition and would then use the unit value of the land that is concluded to, to value the part being acquired. We would value the land utilizing the sales comparison approach. If one assumes that the 10-foot strip is a fee acquisition, it would be valued at 100% of the underlying fee value of the land associated with the larger parcel. We would add the value of any site improvements in the acquisition area to the value of the land being taken. Based on aerial photographs these improvements appear to include landscaping, concrete and brick planter walls. For any site improvements that need to be replaced in the after condition, we will provide compensation based on replacement cost new. For site improvements that do not need to be replaced in the after condition, we would provide compensation based on depreciated replacement cost. Please note that landscaping (trees, plants and shrubs are not depreciated). We also noted that there is a chain link gate at the east side of the property. While it is not in the acquisition area, it may need to be moved to the south so as to allow for proper automobile queuing in the after condition. If this is the case, our appraisal would include compensation to move or replace the gate. Our fee to appraise this property, assuming it is the only assignment awarded to us at the time is $5,000 and our timing would be six weeks. If this assignment is awarded as part of a larger group of properties that are part of the same project, out fee would decrease substantially as we could benefit from economies of scale by conducting multiple appraisals in the immediate area at the same time. 2. 2246 S. Evergreen Street is a single-family residential property that is proposed as a full acquisition. If awarded this assignment we would immediately notify the property owner, in writing, of our intent to appraise their property and invite them to be present at the time of inspection. We would value the property as improved, based on the sales comparison approach. We would compare the value of the property as improved to the value of the underlying land and would base our concluded value on whichever is higher. That is, we would appraise the property to its highest and best use. If a furniture, fixtures and equipment appraiser is retained, we would coordinate with them to confirm that there is no double counting of items being acquired. City Council 17 –101 11/16/2021 Response to Request for Proposals (RFP) for On-Call Property Appraisal Services RFP No.: 21-103 21 Our fee to appraise this property, assuming it is the only assignment awarded to us at the time is $4,000 and our timing would be six weeks. If this assignment is awarded as part of a larger group of properties that are part of the same project, our fee would decrease substantially as we could benefit from economies of scale by conducting multiple appraisals in the immediate area at the same time. City Council 17 –102 11/16/2021 Page 1 of 11 Non-Fed Funding (6.1.2020) AGREEMENT TO PROVIDE ON-CALL PROPERTY APPRAISAL SERVICES FOR THE CITY OF SANTA ANA THIS AGREEMENT is made and entered into on this 16th day of November, 2021 by and between Hennessey & Hennessey LLC, a California limited liability company (“Consultant”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of property appraisal and services on an as needed basis. 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 On an on-call basis, and at the City’s sole discretion, Consultant shall perform the services described in the scope of work that was included in RFP No. 21-103, which is attached as Exhibit A, and as more specifically delineated in Consultant’s proposal, which is incorporated by reference as though set forth fully herein. 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximum 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. Consultant is one of three (3) consultants selected to provide property appraisal services on an on-call basis under RFP 21-103. The total compensation for these services provided by all such consultants selected under RFP 21-103 shall not exceed the shared aggregate amount of $300,000 during the term of the Agreement, including any extension periods. b. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. City Council 17 –103 11/16/2021 Page 2 of 11 Non-Fed Funding (6.1.2020) 3. TERM This Agreement shall commence on the date first written above and terminate on November 15, 2024, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for two 1-year period upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., (“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the performance of other requirements on “public works” and “maintenance” projects. If the services being performed are part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement (“Documents & Data”). Consultant shall require all 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 City Council 17 –104 11/16/2021 Page 3 of 11 Non-Fed Funding (6.1.2020) the purposes intended by this Agreement shall be at City’s sole risk. 7. MINIMUM INSURANCE REQUIREMENTS A. Consultant shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property, which may arise from or in connection with the performance of the work hereunder by the Consultant, its agents, representatives, or employees. B. Coverage shall be at least as broad as: 1. Commercial General Liability (CGL Insurance: Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. 2. Automobile Liability Insurance: Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non-owned), with limit no less than $1,000,000 per accident for bodily injury and property damage. 3. Workers’ Compensation Insurance: as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. ) 4. Professional Liability (Errors and Omissions) Insurance: appropriates to the Consultant’s profession, with limit no less than $2,000,000 per occurrence or claim, $2,000,000 aggregate. C. If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. D. Other Insurance Provisions- the insurance policies are to contain, or be endorsed to contain, the following provisions: 1. Additional Insured Status- the City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant’s insurance (at least as broad as ISO Form CG 20 City Council 17 –105 11/16/2021 Page 4 of 11 Non-Fed Funding (6.1.2020) 10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions used). 2. Primary Coverage- For any claims related to this contract, the Consultant’s insurance coverage shall be primary insurance primary coverage at least as broad as ISO CG 20 01 04 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Consultant’s insurance and shall not contribute with it. 3. Notice of Cancellation- Each insurance policy required above shall state that coverage shall not be canceled, except with notice to the City. 4. Waiver of Subrogation- Consultant hereby grants to City a waiver of any right to subrogation, which any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. E. Self-Insured Retentions- Self-insured retentions must be declared to and approved by the City. The City may require the Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City. F. Acceptability of Insurers- Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the City. G. Claims Made Policies- If any of the required policies provide coverage on a claims-made basis: 1. The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work. 2. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. 3. If coverage is canceled or non-renewed, and not replaced with another claims- made policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase “extended reporting” coverage for a minimum of five (5) years after completion of contract work. City Council 17 –106 11/16/2021 Page 5 of 11 Non-Fed Funding (6.1.2020) H. Verification of Coverage- Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant’s obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. 8. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant’s services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 9. 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. 10. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and City Council 17 –107 11/16/2021 Page 6 of 11 Non-Fed Funding (6.1.2020) invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 11. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. “Confidential Information” shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. NON-DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, o r disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. 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 City Council 17 –108 11/16/2021 Page 7 of 11 Non-Fed Funding (6.1.2020) 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. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 16. 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. 17. 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 b reach, 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. 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 venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. City Council 17 –109 11/16/2021 Page 8 of 11 Non-Fed Funding (6.1.2020) 19. 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. 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. 21. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Nabil Saba 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 City Council 17 –110 11/16/2021 &nbsp;City Council&nbsp;17 &ndash;&nbsp;11111/16/2021&nbsp; Page 10 of 11 Non-Fed Funding (6.1.2020) EXHIBIT A SCOPE OF SERVICES City Council 17 –112 11/16/2021 City of Santa Ana RFP 21-103 Page A1-1 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON-CALL PROPERTY APPRAISAL SERVICES RFP NO. 21-103 INTRODUCTION/PROJECT BACKGROUND The City of Santa Ana is issuing this Request for Proposals (RFP) to seek qualified firms to provide On-Call Property Appraisal services on an as-needed or “on-call” basis. It is the City’s goal to select one or more firms to enter into an agreements with to provide as needed property appraiser services for capital improvement projects (CIP). The CIP projects needing these right-of-way services include, but are not limited, to Warner Avenue, Bristol Street, Fairview Street, and Grand Avenue Street Improvements. Property Appraisal Services Maximum Contract Aggregate Amount $148,000 From the proposals received, it is the City’s goal to select up to three firms for property appraisal services for the on-call pool. The City will enter into separate agreements (the “Agreement”) with each of these firms, with a not-to-exceed aggregate amount shared amongst all. Work will be assigned by Contract Task Orders. As tasks are identified, they will be distributed among these firms based upon their ability to perform the required work within the project schedule and budget constraints. A detailed scope of work and corresponding fee will be outlined when a specific task is assigned to a consultant. The City reserves the right to distribute the work in any manner which will best serve the City’s interests. MINIMUM QUALIFICATIONS Consultants must demonstrate the minimum qualifications as established in the California Department of Transportation (Caltrans) Right of Way Manual which can be accessed at: http://www.dot.ca.gov/hq/row/rowman/manual/index.htm. Consultants must demonstrate ability to have successfully negotiated and closed escrow on acquisition of parcels and minimized the eminent domain process on similar projects. DESCRIPTION OF WORK City Council 17 –113 11/16/2021 City of Santa Ana RFP 21-103 Page A1-2 Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or their designee on an as-needed basis. The Consultants 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 must have experience with State and federally funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards.  All acquisition/relocation agents, performing work for the City, must hold a valid California Real Estate License. Salespersons must be registered with the California Department of Real Estate (DRE), as working solely under the Consultant’s supervising broker of record.  Work may include, but is not be limited to, the following: o onsite review of the project area o review of existing records o conducting research and performing analysis o information gathering o negotiations o developing strategies o prepare memos and letters o attend community meetings as needed  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. Sub-consultant markup is not allowed in this contract.  The Consultant shall have a Quality Control Plan in effect during the entire time work is being performed under the Agreement. The Quality Control Plan shall establish a process whereby work products are independently checked, corrected and back checked. All project related correspondences and documents shall be maintained and bound in appropriate project files. Additionally, all electronic files shall conform to the City’s file naming system.  The Consultant shall diligently work on each 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  Consultant’s Project Manager and critical staff must attend the monthly meetings with City Council 17 –114 11/16/2021 City of Santa Ana RFP 21-103 Page A1-3 City Staff and other consultants requested by the City to review project progress, the schedule and any critical issues/items and the follow up action items necessary. All status reports must be submitted ahead of the meetings.  Consultant must prepare a Weekly Status report and submit to the City. Format and specific items of each status report must be reviewed and approved by the City.  Consultant must maintain electronic files of all the project parcels and correspondence including all reports generated by other related consultants required to perform acquisition/relocation and property management services.  All electronic submittals of files must be through a shared folder. Consultant must upload and keep current the project parcel information and files in the shared folder established for the project.  Consultant must prepare electronic files of the parcels according to the Caltrans Review Process for right-of-way Certification.  Project files including copies of all correspondences, reports, documents, and electronic files shall be submitted to the City when requested and electronically updated as requested by the City.  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 such notification, the Consultant will proceed with the services required by the Agreement. PROPERTY APPRAISAL SERVICES Consultant shall prepare appraisal services that include full and partial acquisition for residential property; commercial property; industrial property; easements; special use or zoned property; and review appraisals. Appraisal Services shall be in accordance with federal, state, and local regulations, policies, procedures and standards. Consultant must make every effort to meet with the property owner prior to preparation of the report. Appraiser shall perform the following tasks:  Prepare appraisal report in accordance with the State of California Laws and the Uniform Standards of Professional Appraisal Practice (USPAP)  Research records, inspect the site and communicate with the property owner in preparation of the appraisal report. This might require multiple attempts for site visit and inspection  Prepare Real Estate Appraisal reports for full and partial acquisition  Prepare Appraisal Summary Statements to accompany City’s Offer Package  Prepare Valuation of City’s Landscape Setback Easement requirements  Prepare detailed appraisal report necessary for condemnation  Coordinate with Fixtures and Equipment Appraisers  Coordinate with Business Goodwill Appraisers  Communicate with property owners in writing and as required to obtain adequate City Council 17 –115 11/16/2021 City of Santa Ana RFP 21-103 Page A1-4 information to prepare the report  Prepare all necessary correspondence, letters and reports  Provide effective communication with engineers, planners, attorneys, and City staff  Comply with federal, state and local regulations  Create files and maintain all records  Provide condemnation consultations as necessary  Attend meetings/public hearings and conduct presentations  Provide expert witness testimony as required for condemnation proceedings  Coordinate and review of Phase I and Phase II Environmental Studies  Review appraisal reports prepared by other consultants as required by the City and prepare review summary  Prepare Review Appraisal Reports (Required For Federally Funded Projects)  Coordinate, direct and obtain Review Appraisals in accordance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act (Uniform Act) and Caltrans guidelines  Examine all appraisals and corresponding reports  Seek any corrections or revisions deemed appropriate  Prepare Dual Appraisal Report as required for federally funded projects under Caltrans Guidelines Real estate appraisers must be certified and a Member of the Appraisal Institute Sample Fee Proposal Consultant shall describe the process (methods of appraisal, research, and any other necessary tasks) and provide the proposal fee breakdown to appraise the below sample addresses. The proposal will be used for fee comparison and evaluation process. The partial acquisition for Cherry Aerospace shall be 10 feet from the back of sidewalk and all existing improvements within the acquired area shall be appraised accordingly. Sample locations for appraisal proposal are the following:  1224 E. Warner Avenue (Cherry Aerospace Park Take)  2246 S. Evergreen Street (Residential Full Take) PAYMENT AND INVOICING: Selected Consultant shall invoice the City based on time and material according to the City’s standard invoice template. Tasks and hours shall be clearly identified and all rates must match those included in the approved agreement. City shall retain ten percent (10%) of the invoice amount from each payment until the completed Project has been accepted by the City. Each invoice must include a Consultant Progress Report that contains tasks and activities completed and summary of work in the next month period. Certificate of insurance must be current in order for invoices to be processed. City Council 17 –116 11/16/2021 City of Santa Ana RFP 21-103 Page A1-5 CITY RESPONSIBILITIES: 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.  Facilitate meeting spaces and coordination with City staff  Access to City facilities CONSULTANT RESPONSIBILITIES:  Provide all required insurance as outlined in Attachment 2 of this RFP.  Submit renewal of Certificate of Insurance 30 days before expiring.  Ensure Certificate of Insurance is current when submitting invoices. SPECIAL REQUIREMENTS (ATTACHMENT 4) This project may utilize California Department of Transportation (Caltrans) funds and shall therefore comply with all state and federal requirements. The below referenced forms included in Attachment 4 (Additional Provisions) of the Appendix must be completed in their entirety and submitted with your proposal:  LAPM Exhibit 10-H: Sample Cost Proposal  LAPM Exhibit 10-O1: Consultant Proposal DBE Commitment  LAPM Exhibit 10-O2: Consultant Contract DBE Commitment (include within Fee Proposal hard copy package) Please reference Caltrans Local Assistance Procedure Manual, Consultant Selection, Chapter 10, for further instructions and guidelines pertaining to the completion of these forms:https://dot.ca.gov/-/media/dot-media/programs/local-assistance/documents/lapm/ch10.pdf COMPLIANCE WITH REQUIREMENTS OF FUNDING AGENCY: This agreement may be funded with state and/or federal grant funds administered by Caltrans. Proposer shall comply with all requirements as they pertain to the use of these funds. Refer to Attachment 4 for Caltrans required forms, including Exhibit 10-H – Sample Cost Proposal (H2 for On-Call Contracts) in the Appendix of this RFP. DISADVANTAGED BUSINESS ENTERPRISES (DBE) GOAL: The Agency has established a DBE goal for this Contract. Proposers are encouraged to obtain DBE participation for this contract. Refer to Exhibit 10-I – Notice to Proposers DBE Information included in the Appendix of this RFP. Proposers must submit Exhibits 10-O1 & 10-O2 – Consultant Proposal & Contract DBE Commitment to demonstrate compliance with Agency’s DBE goal. CONSULTANT AUDIT AND REVIEW PROCESS: City Council 17 –117 11/16/2021 City of Santa Ana RFP 21-103 Page A1-6 The selected Consultant(s) shall complete Exhibit 10-K – Consultant Annual Certification of Indirect Costs and Financial Management System for all prime and sub-consultants in the Appendix of this RFP. To independently download any of the Caltrans Exhibits required per this RFP, visit: https://dot.ca.gov/programs/local-assistance/forms/local-assistance-procedures-manual-forms City Council 17 –118 11/16/2021 Proposal for RFP No. 21-103 On-Call Property Appraisal Services City of Santa Ana Attn: Mr. Kenny Nguyen Public Works Agency; M-36 20 Civic Center Plaza; Ross Annex Santa Ana, California 92701 September 10, 2021 Fee Proposal Original City Council 17 –119 11/16/2021 Fee Proposal 1. Hourly Fee Schedule Employee/Subcontractor Services and Hourly Rate Schedule Name Job Title/ Classification Job Function Fully Burdened Hourly Rate* Sharon A. Hennessey Senior appraiser Real estate appraisal $265 Court testimony $350 Susan D. Taylor Associate Appraisal assistant $130 Joseph S. Montano Associate Appraisal assistant $100 Subconsultants Document All Stars Project support Document preparation $75 Geri Easley Senior appraiser Real estate appraisal $265 Court testimony $350 2. Table Outlining Tasks and Team Efforts Hennessey & Hennessey utilizes its permanent staff and selected subcontractors on an as-needed basis to ensure that adequate labor resources are available to complete all contract task orders on a timely basis. The following table illustrates a typical labor-hour allocation for a hypothetical assignment, the full take of a commercially improved property. Task Hours to Complete Tasks Sharon A. Hennessey Joseph S. Montano Susan D. Taylor Document All Stars Gather information on subject (e.g., physical characteristics, zoning, general plan, taxes, flood zone) --1.00 ---- Inspect subject neighborhood 0.50 0.50 ---- Inspect and photograph subject property 1.50 1.50 ---- Conduct comparable sales search --6.00 ---- Conduct rental survey ----4.00 -- View comparable sales and rentals in field 6.00 6.00 ---- Verify sales ----3.00 -- Analyze valuation and write report 12.00 --2.00 -- Type and prepare report ------4.00 Prepare exhibits --2.00 ---- Review, edit, refine document 2.00 --3.00 -- Prepare final document --1.00 --1.00 Total 22.00 18.00 12.00 5.00 Proposal for On-Call Property Appraisal Services 1 RFP No. 21-103, City of Santa AnaCityCouncil 17 –120 11/16/2021 3. Project Fee Schedule Process for Completing Appraisal Assignment for Addresses a. Define the appraisal problem, which includes identifying the real estate and real property rights to be valued, the date of value, the date of the report, the intended uses and users of the appraisal, the definition of fair market value, and other assumptions and limiting conditions. b. Send by mail, in compliance with the statutory requirement, a letter to each property owner offering the opportunity to accompany the appraiser during a property inspection. This notice and all contacts with the property owner will be recorded in a parcel diary. c. For the partial acquisition assignments, contact the City of Santa Ana’s representative to request that surveyors stake or mark the right of way lines on the subject properties for clarity, prior to the inspection. d. Conduct the on-site inspections of the subject properties. Photograph, measure, and itemize the improvements. For the partial acquisition, itemize the improvements within the part taken. e. Conduct a field investigation of the subject properties' environs, including gathering data on the region, city, and neighborhood from governmental agencies, real estate agencies, city historical documents, planning and zoning documents from the appropriate city, information from county and city taxing authorities, and other published sources. The subject data is gathered in order to analyze the pertinent trends and constraints that could affect the value of the properties. f. Analyze the highest and best use of each of the subject properties as though vacant and available for development and as improved (if appraised as improved) as defined in the appraisal. g. Search for and analyze relevant, comparable data. Confirm factual information regarding each sale with the County Assessor’s records, the appropriate city's Planning Department, and other data sources. Confirm the sale with buyers, sellers, or brokers, when possible. h. Use the above information in the application of the approach to value. In the case of the single-family residence, the Sales Comparison Approach will be used. For the partial taking, the Sales Comparison Approach would be used to appraise the underlying land. A Modified Cost Approach is used to value the site improvements. I. Estimate and analyze the fair market value of the full acquisition and the partial acquisition. For the partial acquisition, specifically analyze the parts to be taken and any damage and/or benefits that may accrue to the remainders by reason of the takes and the construction of the project in the manner proposed. j. Prepare an Appraisal Report in conformance with the Uniform Standards of Professional Appraisal Practice (USPAP), the Caltrans Right of Way Manual - Chapter 7, Appraisals (when applicable), State and Federal Uniform Relocation Assistance and Real Property Acquisition Policies Acts, applicable eminent domain law, state-approved appraisal requirements, and in some cases Uniform Appraisal Standards for Federal Land Acquisitions. k. Provide one draft appraisal report to the review appraiser, if required. Upon approval of the draft report, provide one original of the final appraisal report and one electronic copy Proposal for On-Call Property Appraisal Services 2 RFP No. 21-103, City of Santa AnaCityCouncil 17 –121 11/16/2021 to the City of Santa Ana. Prepare the Appraisal Summary Statement to accompany the City’s offer package. All of the above activities in the Approach to Scope of Work will be performed by Sharon A. Hennessey, Susan D. Taylor, or Joseph S. Montano. Subcontractors will be utilized as necessary. The fee for appraising the sample properties is as follows: • 1224 E. Warner Avenue $4,500 This fee assumes that only the underlying land and site improvements are to be appraised. No mitigation/cost-co-cure measures are required. No severance damages. • 2246 S. Evergreen Street $2,850 Proposal for On-Call Property Appraisal Services 3 RFP No. 21-103, City of Santa AnaCityCouncil 17 –122 11/16/2021 Page 1 Non-Fed Funding (6.1.2020) AGREEMENT TO PROVIDE ON-CALL PROPERTY APPRAISAL SERVICES FOR THE CITY OF SANTA ANA THIS AGREEMENT is made and entered into on this 16th day of November, 2021 by and between Santolucito Dore Group Inc., a California corporation (“Consultant”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of property appraisal and services on an as needed basis. 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 On an on-call basis, and at the City’s sole discretion, Consultant shall perform the services described in the scope of work that was included in RFP No. 21-103, which is attached as Exhibit A, and as more specifically delineated in Consultant’s proposal, which is incorporated by reference as though fully set forth herein. 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximum 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. Consultant is one of three (3) consultants selected to provide property appraisal services on an on-call basis under RFP 21-103. The total compensation for these services provided by all such consultants selected under RFP 21-103 shall not exceed the shared aggregate amount of $300,000 during the term of the Agreement, including any extension periods. b. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. City Council 17 –123 11/16/2021 Page 2 Non-Fed Funding (6.1.2020) 3. TERM This Agreement shall commence on the date first written above and terminate on November 15, 2024, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for two 1-year period upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., (“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the performance of other requirements on “public works” and “maintenance” projects. If the services being performed are part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement (“Documents & Data”). Consultant shall require all 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 City Council 17 –124 11/16/2021 Page 3 Non-Fed Funding (6.1.2020) the purposes intended by this Agreement shall be at City’s sole risk. 7. MINIMUM INSURANCE REQUIREMENTS A. Consultant shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property, which may arise from or in connection with the performance of the work hereunder by the Consultant, its agents, representatives, or employees. B. Coverage shall be at least as broad as: 1. Commercial General Liability (CGL Insurance: Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. 2. Automobile Liability Insurance: Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non-owned), with limit no less than $1,000,000 per accident for bodily injury and property damage. 3. Workers’ Compensation Insurance: as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. 4. Professional Liability (Errors and Omissions) Insurance: appropriates to the Consultant’s profession, with limit no less than $1,000,000 per occurrence or claim, $2,000,000 aggregate. C. If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. D. Other Insurance Provisions- the insurance policies are to contain, or be endorsed to contain, the following provisions: 1. Additional Insured Status- the City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant’s insurance (at least as broad as ISO Form CG 20 City Council 17 –125 11/16/2021 Page 4 Non-Fed Funding (6.1.2020) 10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions used). 2. Primary Coverage- For any claims related to this contract, the Consultant’s insurance coverage shall be primary insurance primary coverage at least as broad as ISO CG 20 01 04 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Consultant’s insurance and shall not contribute with it. 3. Notice of Cancellation- Each insurance policy required above shall state that coverage shall not be canceled, except with notice to the City. 4. Waiver of Subrogation- Consultant hereby grants to City a waiver of any right to subrogation, which any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. E. Self-Insured Retentions- Self-insured retentions must be declared to and approved by the City. The City may require the Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City. F. Acceptability of Insurers- Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the City. G. Claims Made Policies- If any of the required policies provide coverage on a claims-made basis: 1. The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work. 2. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. 3. If coverage is canceled or non-renewed, and not replaced with another claims- made policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase “extended reporting” coverage for a minimum of five (5) years after completion of contract work. City Council 17 –126 11/16/2021 Page 5 Non-Fed Funding (6.1.2020) H. Verification of Coverage- Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant’s obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. 7. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant’s services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 8. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States’ letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 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 City Council 17 –127 11/16/2021 Page 6 Non-Fed Funding (6.1.2020) invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 10. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. “Confidential Information” shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 11. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 12. NON-DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 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 City Council 17 –128 11/16/2021 Page 7 Non-Fed Funding (6.1.2020) 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. 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. City Council 17 –129 11/16/2021 Page 8 Non-Fed Funding (6.1.2020) 18. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 19. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature 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 properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Nabil Saba 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 City Council 17 –130 11/16/2021 Page 9 Non-Fed Funding (6.1.2020) To Consultant: Christine S. Santolucito President Santolucito Dore Group Inc. 31600 Railroad Canyon Road, Suite 100-L Canyon Lake, CA 92587 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA Daisy Gomez Kristine Ridge Clerk of the Council City Manager APPROVED AS TO FORM: SONIA R. CARVALHO CONSULTANT: City Attorney By: Laura A. Rossini Chief Assistant City Attorney (title) Tax ID# RECOMMENDED FOR APPROVAL: Nabil Saba Executive Director Public Works Agency Christine S. Santolucito President City Council 17 –131 11/16/2021 Page 10 Non-Fed Funding (6.1.2020) EXHIBIT A SCOPE OF SERVICES City Council 17 –132 11/16/2021 City of Santa Ana RFP 21-103 Page A1-1 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON-CALL PROPERTY APPRAISAL SERVICES RFP NO. 21-103 INTRODUCTION/PROJECT BACKGROUND The City of Santa Ana is issuing this Request for Proposals (RFP) to seek qualified firms to provide On-Call Property Appraisal services on an as-needed or “on-call” basis. It is the City’s goal to select one or more firms to enter into an agreements with to provide as needed property appraiser services for capital improvement projects (CIP). The CIP projects needing these right-of-way services include, but are not limited, to Warner Avenue, Bristol Street, Fairview Street, and Grand Avenue Street Improvements. Property Appraisal Services Maximum Contract Aggregate Amount $148,000 From the proposals received, it is the City’s goal to select up to three firms for property appraisal services for the on-call pool. The City will enter into separate agreements (the “Agreement”) with each of these firms, with a not-to-exceed aggregate amount shared amongst all. Work will be assigned by Contract Task Orders. As tasks are identified, they will be distributed among these firms based upon their ability to perform the required work within the project schedule and budget constraints. A detailed scope of work and corresponding fee will be outlined when a specific task is assigned to a consultant. The City reserves the right to distribute the work in any manner which will best serve the City’s interests. MINIMUM QUALIFICATIONS Consultants must demonstrate the minimum qualifications as established in the California Department of Transportation (Caltrans) Right of Way Manual which can be accessed at: http://www.dot.ca.gov/hq/row/rowman/manual/index.htm. Consultants must demonstrate ability to have successfully negotiated and closed escrow on acquisition of parcels and minimized the eminent domain process on similar projects. DESCRIPTION OF WORK City Council 17 –133 11/16/2021 City of Santa Ana RFP 21-103 Page A1-2 Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or their designee on an as-needed basis. The Consultants 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 must have experience with State and federally funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards.  All acquisition/relocation agents, performing work for the City, must hold a valid California Real Estate License. Salespersons must be registered with the California Department of Real Estate (DRE), as working solely under the Consultant’s supervising broker of record.  Work may include, but is not be limited to, the following: o onsite review of the project area o review of existing records o conducting research and performing analysis o information gathering o negotiations o developing strategies o prepare memos and letters o attend community meetings as needed  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. Sub-consultant markup is not allowed in this contract.  The Consultant shall have a Quality Control Plan in effect during the entire time work is being performed under the Agreement. The Quality Control Plan shall establish a process whereby work products are independently checked, corrected and back checked. All project related correspondences and documents shall be maintained and bound in appropriate project files. Additionally, all electronic files shall conform to the City’s file naming system.  The Consultant shall diligently work on each 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  Consultant’s Project Manager and critical staff must attend the monthly meetings with City Council 17 –134 11/16/2021 City of Santa Ana RFP 21-103 Page A1-3 City Staff and other consultants requested by the City to review project progress, the schedule and any critical issues/items and the follow up action items necessary. All status reports must be submitted ahead of the meetings.  Consultant must prepare a Weekly Status report and submit to the City. Format and specific items of each status report must be reviewed and approved by the City.  Consultant must maintain electronic files of all the project parcels and correspondence including all reports generated by other related consultants required to perform acquisition/relocation and property management services.  All electronic submittals of files must be through a shared folder. Consultant must upload and keep current the project parcel information and files in the shared folder established for the project.  Consultant must prepare electronic files of the parcels according to the Caltrans Review Process for right-of-way Certification.  Project files including copies of all correspondences, reports, documents, and electronic files shall be submitted to the City when requested and electronically updated as requested by the City.  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 such notification, the Consultant will proceed with the services required by the Agreement. PROPERTY APPRAISAL SERVICES Consultant shall prepare appraisal services that include full and partial acquisition for residential property; commercial property; industrial property; easements; special use or zoned property; and review appraisals. Appraisal Services shall be in accordance with federal, state, and local regulations, policies, procedures and standards. Consultant must make every effort to meet with the property owner prior to preparation of the report. Appraiser shall perform the following tasks:  Prepare appraisal report in accordance with the State of California Laws and the Uniform Standards of Professional Appraisal Practice (USPAP)  Research records, inspect the site and communicate with the property owner in preparation of the appraisal report. This might require multiple attempts for site visit and inspection  Prepare Real Estate Appraisal reports for full and partial acquisition  Prepare Appraisal Summary Statements to accompany City’s Offer Package  Prepare Valuation of City’s Landscape Setback Easement requirements  Prepare detailed appraisal report necessary for condemnation  Coordinate with Fixtures and Equipment Appraisers  Coordinate with Business Goodwill Appraisers  Communicate with property owners in writing and as required to obtain adequate City Council 17 –135 11/16/2021 City of Santa Ana RFP 21-103 Page A1-4 information to prepare the report  Prepare all necessary correspondence, letters and reports  Provide effective communication with engineers, planners, attorneys, and City staff  Comply with federal, state and local regulations  Create files and maintain all records  Provide condemnation consultations as necessary  Attend meetings/public hearings and conduct presentations  Provide expert witness testimony as required for condemnation proceedings  Coordinate and review of Phase I and Phase II Environmental Studies  Review appraisal reports prepared by other consultants as required by the City and prepare review summary  Prepare Review Appraisal Reports (Required For Federally Funded Projects)  Coordinate, direct and obtain Review Appraisals in accordance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act (Uniform Act) and Caltrans guidelines  Examine all appraisals and corresponding reports  Seek any corrections or revisions deemed appropriate  Prepare Dual Appraisal Report as required for federally funded projects under Caltrans Guidelines Real estate appraisers must be certified and a Member of the Appraisal Institute Sample Fee Proposal Consultant shall describe the process (methods of appraisal, research, and any other necessary tasks) and provide the proposal fee breakdown to appraise the below sample addresses. The proposal will be used for fee comparison and evaluation process. The partial acquisition for Cherry Aerospace shall be 10 feet from the back of sidewalk and all existing improvements within the acquired area shall be appraised accordingly. Sample locations for appraisal proposal are the following:  1224 E. Warner Avenue (Cherry Aerospace Park Take)  2246 S. Evergreen Street (Residential Full Take) PAYMENT AND INVOICING: Selected Consultant shall invoice the City based on time and material according to the City’s standard invoice template. Tasks and hours shall be clearly identified and all rates must match those included in the approved agreement. City shall retain ten percent (10%) of the invoice amount from each payment until the completed Project has been accepted by the City. Each invoice must include a Consultant Progress Report that contains tasks and activities completed and summary of work in the next month period. Certificate of insurance must be current in order for invoices to be processed. City Council 17 –136 11/16/2021 City of Santa Ana RFP 21-103 Page A1-5 CITY RESPONSIBILITIES: 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.  Facilitate meeting spaces and coordination with City staff  Access to City facilities CONSULTANT RESPONSIBILITIES:  Provide all required insurance as outlined in Attachment 2 of this RFP.  Submit renewal of Certificate of Insurance 30 days before expiring.  Ensure Certificate of Insurance is current when submitting invoices. SPECIAL REQUIREMENTS (ATTACHMENT 4) This project may utilize California Department of Transportation (Caltrans) funds and shall therefore comply with all state and federal requirements. The below referenced forms included in Attachment 4 (Additional Provisions) of the Appendix must be completed in their entirety and submitted with your proposal:  LAPM Exhibit 10-H: Sample Cost Proposal  LAPM Exhibit 10-O1: Consultant Proposal DBE Commitment  LAPM Exhibit 10-O2: Consultant Contract DBE Commitment (include within Fee Proposal hard copy package) Please reference Caltrans Local Assistance Procedure Manual, Consultant Selection, Chapter 10, for further instructions and guidelines pertaining to the completion of these forms:https://dot.ca.gov/-/media/dot-media/programs/local-assistance/documents/lapm/ch10.pdf COMPLIANCE WITH REQUIREMENTS OF FUNDING AGENCY: This agreement may be funded with state and/or federal grant funds administered by Caltrans. Proposer shall comply with all requirements as they pertain to the use of these funds. Refer to Attachment 4 for Caltrans required forms, including Exhibit 10-H – Sample Cost Proposal (H2 for On-Call Contracts) in the Appendix of this RFP. DISADVANTAGED BUSINESS ENTERPRISES (DBE) GOAL: The Agency has established a DBE goal for this Contract. Proposers are encouraged to obtain DBE participation for this contract. Refer to Exhibit 10-I – Notice to Proposers DBE Information included in the Appendix of this RFP. Proposers must submit Exhibits 10-O1 & 10-O2 – Consultant Proposal & Contract DBE Commitment to demonstrate compliance with Agency’s DBE goal. CONSULTANT AUDIT AND REVIEW PROCESS: City Council 17 –137 11/16/2021 City of Santa Ana RFP 21-103 Page A1-6 The selected Consultant(s) shall complete Exhibit 10-K – Consultant Annual Certification of Indirect Costs and Financial Management System for all prime and sub-consultants in the Appendix of this RFP. To independently download any of the Caltrans Exhibits required per this RFP, visit: https://dot.ca.gov/programs/local-assistance/forms/local-assistance-procedures-manual-forms City Council 17 –138 11/16/2021 Page 11 Non-Fed Funding (6.1.2020) EXHIBIT B COMPENSATION Fee Proposal including hourly rates if applicable City Council 17 –139 11/16/2021 FEE PROPOSAL PREPARED FOR: City of Santa Ana Public Works Agency; M-36 20 Civic Center Plaza Ross Annex Santa Ana, CA 92701 PREPARED BY: Santolucito Doré Group, Inc. 31600 Railroad Canyon Road Suite 100-L Canyon Lake, CA 92587 PROPOSAL FOR ON-CALL PROPERTY APPRAISAL SERVICES September 15, 2021 • 4:00 pm City Council 17 –140 11/16/2021 3. FEE PROPOSAL City Council 17 –141 11/16/2021 City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 1 FEE PROPOSAL Appraisals are typically bid on a lump sum per subject property basis, depending on the type of property and complexity of the appraisal problem. Other types of appraisal services are typically billed on an hourly rate basis. SD Group’s fee for the appraisals of the sample properties referenced in the RFP and our hourly rates for any additional services requested are provided below. Our method of appraisal, research, applicable tasks, and proposed schedule are included in the body of the technical proposal and included following our fee proposal as well. All appraisal and appraisal review reports will be prepared in narrative format to be utilized for condemnation purposes. They will comply with USPAP, the Caltrans Right of Way Manual, the Uniform Act, and California Eminent Domain law. REAL ESTATE APPRAISAL REPORT FEES • Appraisal of 1224 East Warner Avenue (Cherry Aerospace Park Partial Acquisition) o M1 Light Industrial property, 15.45-acre site, approximate 270,000 square foot building (the building size was not provided on public records and was taken from Google Earth measurements for this proposal) o The acquisition of 10 feet from the back of sidewalk does not appear that it would impact the building improvements, any business operations, or parking o It appears a land only appraisal with compensation for site improvements (including, but not limited to: grass, bushes, several trees, a flagpole, and brick planter, as well as a monument sign that may need to be acquired, then relocated further back on the site) o An analysis of the value of the whole after acquisition will be made to determine if damages exist due to the partial acquisition o The fee for this type of appraisal would be approximately $4,000 for one appraisal with a turn around time of 45-60 days, from notice to proceed and receipt of all pertinent project and parcel information including the preliminary title report and any other necessary documents (provided by the City), with discounts given when receiving multiple parcels/appraisals of similar property types • Appraisal of 2246 South Evergreen Street (Residential Full Acquisition) o R1 Single Family Residential property, 7,835 square foot site, 931 square foot residence, built in 1952 o The acquisition of the entire property in full fee o The fee for this type of appraisal would be approximately $2,500 for one appraisal with a turn-around time of 30-45 days, from notice to proceed and receipt of all pertinent project and parcel information including the preliminary title report and any other necessary documents (provided by the City), with discounts given when receiving multiple parcels/appraisals of similar property types HOURLY RATES • Principal - $250-350 per hour for valuation and consultation • Principal - $350-$450 per hour for litigation support/depositions/court appearances • Senior - $150 per hour for valuation and consultation • Administrative/Research - $75-$100 per hour for valuation support City Council 17 –142 11/16/2021 City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 2 Our fees for the written narrative appraisal reports include site inspections with each property owner and meetings at the City, as required. We will provide condemnation support, as necessary, billed on an hourly basis. Draft electronic versions of the appraisal reports will be delivered for review and final electronic and hard copies, when requested, will be delivered to the client upon approval from the review appraiser. There are no additional document or historical retrieval costs anticipated. Travel and material costs are included in our total fee for this assignment. City Council 17 –143 11/16/2021 City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 3 UNDERSTANDING OF NEED AND PROPOSED METHOD TO ACCOMPLISH WORK SD Group looks forward to tailoring specific processes to comply with the City’s policies, procedures, and preferences. SD Group prides itself on its ability to complete complex projects on schedule and within budget. Christie and Lance have years of experience coordinating with various agencies and will strategize and coordinate each project thoroughly from the beginning to deliver high quality outstanding appraisal services. Christie and Lance will work closely with the City’s Project Managers and staff to discover ways to provide assistance, offer recommendations whenever challenges are presented, and will seek feedback pertaining to progress and satisfaction with SD Group’s performance. Appraisal is unique to each property and all recognized appraisal methodologies are completed with the highest level of quality. The following section describes our general work plan for completing the various appraisal and appraisal review assignments. APPRAISAL The purpose of an appraisal report is to produce a document that can be used by the City in negotiations for acquisition or disposition of property. The typical scope of work for an appraisal includes, but is not necessarily limited to, the following steps: Detailed Inspection of the Property The acquisition process begins when the appraiser sends out the Notice of Intent to Appraise letters to impacted property owners (for acquisitions). The appraiser will invite the property owner to be present for the onsite inspection. Additionally, City staff, other consultants/experts involved in the project, and, if applicable, the acquisition agent, are encouraged to attend the inspection as well. A complete understanding of the larger parcel, the subject property and overall impacts are a critical step in the appraisal process. Complete Highest and Best Use Analysis The cornerstone of the appraisal process is a detailed highest and best use of the property as vacant and as improved, which will be performed to isolate any valuation issues that arise after a detailed analysis of the legal, physical, and financial aspects of the property. This is the essential basis for the valuation analysis and ultimately the just compensation. The last critical stage is to determine the highest and best use of the remainder. Issues that may arise from this final test is uneconomic remainders, determination of underlying fees, or additional considerations for partial acquisitions and easements. This ultimately determines factors that may result in severance damages. Research Market Data of the Neighborhood, Subject Property, and Comparable Sales After the determination of the highest and best use, the comparables are selected with similar highest and best uses. When identifying sales of comparable properties, market research will include discussions with appropriate real estate professionals and governmental agencies. All sales data utilized in an appraisal report will be confirmed with a party to those transactions, whenever possible. Details of the comparables are presented to fully disclose all issues for adjustments applicable to the valuation of the subject. City Council 17 –144 11/16/2021 City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 4 Write a Narrative Appraisal Report The type of appraisal report utilized will be determined on a parcel-by-parcel basis. This determination will be made after analyzing the particular assignment and interests to be acquired, i.e., fee, easement, etc. A narrative appraisal report is typically used for public agency/eminent domain purposes. The appraiser may also be required to complete an Appraisal Summary Statement at the request of the City. Typical steps in the appraisal process are listed below: • Identify the larger parcel and the appraisal problem; • Obtain and review legals, plats, title reports, environmental reports, and other documents (provided by the City); • Send out Notice of Intent to Appraise letter; • Gather market data; • Perform property inspection; • Meet with project designer and others to address property impacts; • Perform a detailed highest and best use analysis; • Analyze and inspect comparables; • Valuation via the three approaches to value (sales, cost, income), as applicable for the property type; • Coordinate with Fixtures and Equipment Appraisers and Business Goodwill Appraisers; • Reconcile approaches to value; • Valuation of the part(s) acquired and improvements located within the acquisition area; • Valuation of the remainder after acquisition; • Assess and value potential damages and project benefits; • Prepare written appraisal report; • Work with the Review Appraiser; • Prepare the Appraisal Summary Statement; and • Deliver the completed appraisal report. After the delivery of the appraisal any review comments will be addressed, and when required, the report will be corrected or expanded to ensure the most reliable document for public scrutiny. APPRAISAL REVIEW Appraisers are required to comply with the Uniform Standards of Professional Appraisal Practice (USPAP) when performing appraisals and appraisal reviews. As such, the review appraiser is required to address a number of specific items pertaining to the report under review including the completeness of the report, adequacy and relevance of the data, propriety of the adjustments, form an opinion as to the appropriateness of the appraisal methods and techniques used to complete the appraisal, form an opinion as to whether or not the analyses, opinions, and conclusions are appropriate and reasonable or develop reasons for the disagreements, if any. In addition to USPAP, eminent domain projects with federal and state funding require compliance with various additional regulations and guidelines. The scope of work for an appraisal review typically includes the following steps: • Identify the appraiser(s) that conducted the appraisal; • Become familiar with the subject property and review legals, plats, title reports, environmental reports, and other documents; City Council 17 –145 11/16/2021 City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 5 • Become familiar with the subject neighborhood and the comparable properties used in the various analyses; • Check all mathematical calculations made by the appraiser(s); • Cross-reference narrative descriptions within the report with photographs, maps, and other exhibits (when included in the work under review); • Review the weighting assigned to the approaches to value used in the appraisal; • Determine if accepted appraisal principles, techniques, and standards were followed in arriving at property value in accordance with USPAP, California law, and Caltrans, FHWA, and FTA regulations, when applicable; • Ensure that the appraiser(s) did not overlook any feature that would materially affect the property value; • Develop an opinion as to the completeness of the material under review, given the review appraiser’s scope of work; • Develop an opinion as to the apparent adequacy and relevance of the data and the propriety of any adjustments to the data, given the review appraiser’s scope of work; • Develop an opinion as to appropriateness of the appraisal methods and techniques used, given the review appraiser’s scope of work, and developed reasons for any disagreement; • Develop an opinion as to whether the analyses, opinions, and conclusions are appropriate and reasonable, and developed the reasons for any disagreement; and • Form an opinion as to whether the appraisal can be used to establish fair market value for the subject larger parcel and make a recommendation as to whether the appraisers’ estimate of fair market value should be used as just compensation for the proposed acquisition. • Work with the appraiser whose work is under review to address any areas of concern within the appraisal. • Prepare and deliver the written appraisal review report. SD Group has the availability to deliver appraisal services to the City on an on-call basis. We have a history of delivering on time and within budget. City Council 17 –146 11/16/2021 City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 6 SCOPE OF SERVICES AND SCHEDULE SD Group has the availability to deliver appraisals and appraisal reviews to the City in a timely manner. Appraisal assignments are typically completed within 45 to 60 days after notice to proceed (NTP) and receipt of all pertinent project and parcel information. Reviews are typically completed within 7 to 10 days. The steps necessary to complete and appraisal and appraisal review were previously provided in the Understanding of Need and Proposed Method to Accomplish Work section. Our proposed schedule for a typical right of way appraisal is as follows: • Day 1 – NTP and receipt of Preliminary Title Reports (PTR) and other relevant documents; • Day 2 – Send out Notice of Decision to Appraise (NODA) letters; • Days 3-23 – Research subject properties (parcel size, existing land use/zoning, other pertinent factors), identify the appraisal problem, review PTRs and other reports/documents, research neighborhood and market data, perform detailed highest and best use analyses, and select, analyze, and verify comparables; • Days 23-25 – Property inspections and comparables inspections; • Days 26-40 – Valuations via applicable approaches (sales, cost, income); • Day 41 – Reconcile the approaches used; • Days 41-45 – Type the narrative appraisal reports; and • Days 45-60 – Deliver the draft appraisal reports. We understand the description and scope of work outlined in the RFP Attachment 1, under Property Appraisal Services, and will meet all requirements. All work will be under the oversight of Christie, the Project Manager for this contract. Additionally, Lance will review and sign all reports requiring an MAI signature. We have Quality Assurance/Quality Control (QA/QC) plan in place for each assignment that is tailored to the specific needs of each client and project. APPRAISAL METHODOLOGY AND PROCESS Property will be appraised via one or more of the three traditional approaches to value (cost, sales, and income capitalization), depending on the highest and best use and the quality and quantity of data available for analysis. The cost approach is a breakdown of property into land and building components. It assumes that an informed buyer would pay no more for a property than the cost of acquiring land and reproducing improvements of similar utility, less the amount of any depreciation. This approach is most applicable when improvements are relatively new and represent the highest and best use of the land, or in the case of special-use properties, for which there are few comparable sales. The sales comparison approach is the comparison of similar properties, that recently sold or are currently listed for sale, to the subject property. It assumes that an informed buyer would pay no more for a property than the cost of acquiring a substitute property of similar utility and desirability. This approach is most applicable when there are sufficient recent and reliable transactions of similar properties. It is most often relied upon in the valuation of owner-user properties. The income capitalization approach reflects the present value of the future benefits of property ownership. It converts a property’s net operating income into a lump-sum value via capitalization. The two methods of income capitalization are direct capitalization and yield capitalization (via a discounted cash flow analysis), with one or both applied, as applicable to the property being appraised. This approach is most applicable for income-producing properties. City Council 17 –147 11/16/2021 City of Santa Ana, Public Works Agency– Fee Proposal for On-Call Property Appraisal Services 7 Reconciliation of the appropriate approaches to value is the final analytical step in the valuation process. The relative dependability and applicability of each approach to value is each is evaluated to derive a value conclusion for the subject property. RESOURCES TO BE UTILIZED SD Group has the latest in-house hardware (laptops, monitors, printers, scanners) and software (Narrative1, Microsoft Office Suite, Adobe Acrobat Pro, Google Earth Pro, DeLorme), as well as subscriptions to professional market data (RealQuest, NiteOwl Pro, MLS, CoStar, LoopNet) for searching property information, records, deeds, and sale/rent comparables. We keep primarily electronic files stored on a server that is backed up regularly. We have an extensive database of market data, trends, and comparable data from previous projects to pull from, when relevant to the current appraisal assignment. We are fully equipped to handle the City’s appraisal assignment. City Council 17 –148 11/16/2021 City of Santa Ana RFP 21-075 Page A4-1 Appendix ATTACHMENT 4 CALTRANS ATTACHMENTS Please see below. City Council 17 –149 11/16/2021 Local Assistance Procedures Manual EXHIBIT 10-H2 Cost Proposal EXHIBIT 10-H2 COST PROPOSAL Page 1 of3 SPECIFIC RATE OF COMPENSATION (USE FOR ON-CALL OR AS-NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Note: Mark-ups are Not Allowed Consultant _________________ _ D Prime Consultant D Subconsultant D 2nd Tier Subconsultant Project No. _________ _ Contract No. --------Participation Amount $ ________ _ Date ---- For Combined Rate Fringe Benefit% +General &Administrative%= Combined ICR% OR For Home Office Rate Fringe Benefit % +General &Administrative%= Home Office ICR% For Field Office Rate Frinqe Benefit % +General &Administrative%= Field Office ICR% = Fee % BILLING INFORMATION CALCULATION INFORMATION Name/Job Title/Classification 1 Hourly Billing Rates2 Str aight 3 OT(1.5x) OT(2x) Effective Date of Hourly Rate From To Actual or Avg. Hourly Rate4 % or$ Increase Hourly Range -for Classifications Only John Doe -Project Manager* Civil Engineer II $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 01/01/2016 01/01/2017 01/01/2018 12/31/2016 12/31/2017 12/31/2018 $0.00 $0.00 $0.00 0.0% 0.0% Not Applicable Sue Jones-Construction Engineeri1nspector Engineer I $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 01/01/2016 01/01/2017 01/01/2018 12/31/2016 12/31/2017 12/31/2018 $0.00 $0.00 $0.00 0.0% 0.0% Not Applicable Buddy Black -Claims Engineer Engineer Ill Land Surveyor ** $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 01/01/2016 01/01/2017 01/01/2018 01/01/2016 01/01/2017 01/01/2018 12/31/2016 12/31/2017 12/31/2018 12/31/2016 12/31/2017 12/31/2018 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 0.0% 0.0% 0.0% 0.0% Not Applicable $00-$00 $00-$00 $00-$00 Technician $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 01/01/2016 01/01/2017 01/01/2018 12/31/2016 12/31/2017 12/31/2018 $0.00 $0.00 $0.00 0.0% 0.0% $00-$00 $00-$00 $00-$00 (Add pages as necessary) Page 4 of 9 January 2020 Santolucito Dore Group, Inc.X TBD TBD 9/15/2021$6,500 N/A N/A N/A N/A City Council 17 –150 11/16/2021 Local Assistance Procedures Manual EXHIBIT 10-H2 Cost Proposal NOTES: 1.Key personnel must be marked with an asterisk (*) and employees that are subject to prevailing wage requirements must be marked with two asterisks (**).All costs must comply with the Federal cost principles. Subconsultants will provide their own cost proposals. 2. The cost proposal format shall not be amended.3.Billing rate= actual hourly rate * (1 + ICR) * (1 + Fee). Indirect cost rates shall be updated on an annual basis in accordance with the consultants annual accounting period and established by a cognizant agency or accepted by Caltrans. All costs must comply with the Federal cost principles for reimbursement.4.For named employees and key personnel enter the actual hourly rate. For classifications only, enter the Average Hourly Rate for that classification. EXHIBIT 10-H2 COST PROPOSAL Page2ot3 SPECIFIC RATE OF COMPENSATION (USE FOR ON-CALL OR AS-NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Consultant __________________ _ □Prime Consultant □Subconsultant Project No. __________ _ Contract No. -----------Date ________ _ SCHEDULE OF OTHER DIRECT COST ITEMS (Add additional pages as necessary) Description of Item Quantity Unit Unit Cost Total Subconsultant 1: Subconsultant 2: Subconsultant 3: Subconsultant 4: Subconsultant 5: Note: Add additional pages if necessary. NOTES: 1.List other direct cost items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentation. 2.Proposed ODC items should be consistently billed regardless of client and contract type. 3.Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate. 4.Items such as special tooling, will be reimbursed at actual cost with supporting documentation (invoice). 5.Items listed above that would be considered "tools of the trade" are not reimbursable as other direct cost 6.Travel related costs should be pre-approved by the contracting agency and shall not exceed current State Department of Personnel Administration rules. Page 5 of 9 January 2020 Santolucito Dore Group, Inc. X TBD TBD 9/15/2021 Sample Property Appraisal - 1224 E. Warner Ave.1 1 $4,000 $4,000 Sample Property Appraisal - 2246 S. Evergreen St.1 1 $2,500 $2,500 TOTAL $6,500 City Council 17 –151 11/16/2021 Local Assistance Procedures Manual EXHIBIT 10-H2 Cost Proposal 7.If mileage is claimed, the rate should be properly supported by the consultant's calculation of their actual costs for company vehicles. In addition, the miles claimed should be supported by mileage logs. 8.If a consultant proposes rental costs for a vehicle, the company must demonstrate that this is its standard procedure for all of their contracts and that they do not own any vehicles that could be used for the same purpose.9. The cost proposal format shall not be amended. All costs must comply with the Federal cost principles. 10.Add additional pages if necessary.11.Subconsultants must provide their own cost proposals. Page 6 of 9 January 2020 City Council 17 –152 11/16/2021 Local Assistance Procedures Manual EXHIBIT 10-H2 Cost Proposal EXHIBIT 10-H2 COST PROPOSAL Page 3 of 3 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are actual, reasonable, allowable, and allocable to the contract in accordance with the contract terms and the following requirements: 7.Generally Accepted Accounting Principles (GAAP) 8.Terms and conditions of the contract 9.Title 23 United States Code Section 112 -Letting of Contracts 10.48 Code of Federal Regulations Part 31 -Contract Cost Principles and Procedures 11.23 Code of Federal Regulations Part 172 -Procurement, Management, and Administration of Engineering and Design Related Service 12 .48 Code of Federal Regulations Part 9904 -Cost Accounting Standards Board (when applicable) All costs must be applied consistently and fair1y to all contracts. All documentation of compliance must be retained in the project files and be in compliance with applicable federal and state requirements. Costs that are nonc ompliant with the federal and state requirements are not eligible for reimbursement. Prime Consultant or Subconsultant Certifying: Name: ______________ _ Title*: ______________ _ Signature�:Date of Certification (mm/dd/yyyy): Email: ______________ _ Phone Number: ___________ _ Address: ________________________________ _ *An individual executive or financial officer of the consultant's or subconsultant's organization at a level no lower than a Vice President or a Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the cost proposal for the contract. List services the consultant is providing under the proposed contract: Page 7 of 9 January 2020 Christine S. Santolucito President christie@sdgroupinc.com 9/15/2021 951-225-3500 x 101 31600 Railroad Canyon Road, Suite 100-L, Canyon Lake, CA 92587 Property Appraisal and Appraisal Review Services *If selected, our work for the City of Santa Ana's on-call contract will be billed on a lump sum per appraisal basis. It is recommended that our firm is included as a Vendor or Other Direct Cost (ODC) for any projects associated with the on-call contract. City Council 17 –153 11/16/2021 I Local Assistance Procedures Manual EXHBIT 10-1 Notice to Proposers DBE Information EXHIBIT 10-1 NOTICE TO PROPOSERS DBE INFORMATION (Federally funded projects only) The Agency has established a DBE goal for this Contract of _____ 1. 2. 3. 4. TERMS AS USED IN THIS DOCUMENT •The term "Disadvantaged Business Enterprise" or "DBE" means a for-profit small business concern owned and controlled by a socially and economically disadvantaged person(s) as defined in Title 49, Code of Federal Regulations (CFR), Part 26.5. •The term "Agreement" also means "Contract." •Agency also means the local entity entering into this contract with the Contractor or Consultant. •The term "Small Business" or "SB" is as defined in 49 CFR 26.65. AUTHORITY AND RESPONSIBILITY A.DBEs and other small businesses are strongly encouraged to participate in the performance of Contracts financed in whole or in part with federal funds (See 49 CFR 26, "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs"). The Consultant must ensure that DBEs and other small businesses have the opportunity to participate in the performance of the work that is the subject of this solicitation and should take all necessary and reasonable steps for this assurance. The proposer must not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts. B.Proposers are encouraged to use services offered by financial institutions owned and controlled by DBEs. SUBMISSION OF DBE INFORMATION If there is a DBE goal on the contract, Exhibit 10-01 Consultant Proposal DBE Commitment must be included in the Proposal. In order for a proposer to be considered responsible and responsive, the proposer must make good faith efforts to meet the goal established for the contract. If the goal is not met, the proposer must document adequate good faith efforts. All DBE participation will be counted towards meeting the contract goal; therefore, all DBE participation shall be collected and reported. Exhibit 10-02 Consultant Contract DBE Information must be included in best qualified consultant's executed consultant contract. Even if no DBE participation will be reported, the successful proposer must execute and return the form. DBE PARTICIPATION GENERAL INFORMATION It is the proposer's responsibility to be fully informed regarding the requirements of 49 CFR, Part 26, and the Department's DBE program developed pursuant to the regulations. Particular attention is directed to the following: A.A DBE must be a small business firm defined pursuant to 13 CFR 121 and be certified through the California Unified Certification Program (CUCP). B.A certified DBE may participate as a prime consultant, subconsultant, joint venture partner, as a vendor of material or supplies, or as a trucking company. C.A DBE proposer not proposing as a joint venture with a non-DBE, will be required to document one or a combination of the following: 1.The proposer is a DBE and will meet the goal by performing work with its own forces. 2.The proposer will meet the goal through work performed by DBE subconsultants, suppliers or trucking companies. 3.The proposer, prior to proposing, made adequate good faith efforts to meet the goal. Page 1 of 2 January 2020 0.00%TBD City Council 17 –154 11/16/2021 Local Assistance Procedures Manual EXHBIT 10-1 Notice to Proposers DBE Information D.A DBE joint venture partner must be responsible for specific contract items of work or clearly defined portions thereof. Responsibility means actually performing, managing, and supervising the work with its own forces. The DBE joint venture partner must share in the capital contribution, control, management, risks and profits of the joint venture commensurate with its ownership interest. E.A DBE must perform a commercially useful function pursuant to 49 CFR 26.55, that is, a DBE firm must be responsible for the execution of a distinct element of the work and must carry out its responsibility by actually performing, managing and supervising the work. F.The proposer shall list only one subconsultant for each portion of work as defined in their proposal and all DBE subconsultants should be listed in the bid/cost proposal list of subconsultants. G.A prime consultant who is a certified DBE is eligible to claim all of the work in the Contract toward the DBE participation except that portion of the work to be performed by non-DBE subconsultants. 5.RESOURCES A.The CUCP database includes the certified DBEs from all certifying agencies participating in the CUCP. If you believe a firm is certified that cannot be located on the database, please contact the Caltrans Office of Certification toll free number 1-866-810-6346 for assistance. B.Access the CUCP database from the Department of Transportation, Office of Civil Rights website 1.Click on the link titled Disadvantaged Business Enterprise; 2.Click on Search for a DBE Firm link; 3.Click on Access to the DBE Query Form located on the first line in the center of the page. Searches can be performed by one or more criteria. Follow instructions on the screen. 6. MATERIALS OR SUPPLIES PURCHASED FROM DBES COUNT TOWARDS THE DBE GOAL UNDER THE FOLLOWING CONDITIONS: A.If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the materials or supplies. A DBE manufacturer is a firm that operates or maintains a factory, or establishment that produces on the premises the materials, supplies, articles, or equipment required under the Contract and of the general character described by the specifications. B.If the materials or supplies purchased from a DBE regular dealer, count 60 percent of the cost of the materials or supplies. A DBE regular dealer is a firm that owns, operates or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the Contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To be a DBE regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question. A person may be a DBE regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone or asphalt without owning, operating or maintaining a place of business provided in this section. C.If the person both owns and operates distribution equipment for the products, any supplementing of regular dealers' own distribution equipment shall be, by a long-term lease agreement and not an ad hoc or Agreement-by-Agreement basis. Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite transactions are not DBE regular dealers within the meaning of this section. D.Materials or supplies purchased from a DBE, which is neither a manufacturer nor a regular dealer, will be limited to the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on the job site, provided the fees are reasonable and not excessive as compared with fees charged for similar services. Page 2 of 2 January 2020 City Council 17 –155 11/16/2021 Local Assistance Procedures Manual Exhibit 10-K Consultant Annual Certification of Indirect Costs and Financial Management System EXHIBIT 10-K CONSULTANT ANNUAL CERTIFICATION OF INDIRECT COSTS AND FINANCIAL MANAGEMENT SYSTEM (Note: If a Safe Harbor Indirect Cost Rate is approved, this form is not required.) Consultant’s Full Legal Name: Important: Consultant means the individual or consultant providing engineering and design related services as a party of a contract with a recipient or sub-recipient of Federal assistance. Therefore, the Indirect Cost Rate(s) shall not be combined with its parent company or subsidiaries. Indirect Cost Rate: Combined Rate % OR Home Office Rate % and Field Office Rate (if applicable) % Facilities Capital Cost of Money % (if applicable) Fiscal period * * Fiscal period is annual one year applicable accounting period that the Indirect Cost Rate was developed (not the contract period). The Indirect Cost Rate is based on the consultant’s one-year applicable accounting period for which financial statements are regularly prepared by the consultant. I have reviewed the proposal to establish an Indirect Cost Rate(s) for the fiscal period as specified above and have determined to the best of my knowledge and belief that: •All costs included in the cost proposal to establish the indirect cost rate(s) are allowable in accordance with the cost principles of the Federal Acquisition Regulation (FAR) 48, Code of Federal Regulations (CFR), Chapter 1, Part 31 (48 CFR Part 31); •The cost proposal does not include any costs which are expressly unallowable under the cost principles of 48 CFR Part 31; •The accounting treatment and billing of prevailing wage delta costs are consistent with our prevailing wage policy as either direct labor, indirect costs, or other direct costs on all federally- funded A&E Consultant Contracts. •All known material transactions or events that have occurred subsequent to year-end affecting the consultant’s ownership, organization, and indirect cost rates have been disclosed as of the date of this certification. I am providing the required and applicable documents as instructed on Exhibit 10-A. Financial Management System: Our labor charging, job costing, and accounting systems meet the standards for financial reporting, accounting records, and internal control adequate to demonstrate that costs claimed have been incurred, appropriately accounted for, are allocable to the contract, and comply with the federal requirements as set forth in Title 23 United States Code (U.S.C.) Section 112(b)(2); 48 CFR Part 31.201-2(d); 23 CFR, Chapter 1, Part 172.11(a)(2); and all applicable state and federal rules and regulations. Our financial management system has the following attributes: •Account numbers identifying allowable direct, indirect, and unallowable cost accounts; •Ability to accumulate and segregate allowable direct, indirect, and unallowable costs into separate cost Page 1 of 2 March 2018 Santolucito Dore Group, Inc. N/A N/A N/A N/A N/A SD Group does not have an ICR Rate because we are a small, woman-owned, disadvantaged business enterprise without a sophisticated financial management system as mentioned in this certification. SD Group bills on a lump sum basis per appraisal report as a direct cost and should be listed as a vendor. City Council 17 –156 11/16/2021 Local Assistance Procedures Manual Exhibit 10-K Consultant Annual Certification of Indirect Costs and Financial Management System accounts; •Ability to accumulate and segregate allowable direct costs by project, contract and type of cost; •Internal controls to maintain integrity of financial management system; •Ability to account and record costs consistently and to ensure costs billed are in compliance with FAR; •Ability to ensure and demonstrate costs billed reconcile to general ledgers and job costing system; and •Ability to ensure costs are in compliance with contract terms and federal and state requirement Cost Reimbursements on Contracts: I also understand that failure to comply with 48 CFR Part 16.301-3 or knowingly charge unallowable costs to Federal-Aid Highway Program (FAHP) contracts may result in possible penalties and sanctions as provided by the following: •Sanctions and Penalties -23 CFR Part 172.11(c)(4) •False Claims Act -Title 31 U.S.C. Sections 3729-3733 •Statements or entries generally -Title 18 U.S.C. Section 1001 •Major Fraud Act -Title 18 U.S.C. Section 1031 All A&E Contract Information: •Total participation amount $___________________ on all State and FAHP contracts for Architectural & Engineering services that the consultant received in the last three fiscal periods. •The number of states in which the consultant does business is . •Years of consultant’s experience with 48 CFR Part 31 is . •Audit history of the consultant’s current and prior years (if applicable) ☐Cognizant ICR Audit ☐Local Gov’t ICR Audit □Caltrans ICR Audit ☐Federal Gov’t ICR Audit☐CPA ICR Audit I, the undersigned, certify all of the above to the best of my knowledge and belief and that I have reviewed the Indirect Cost Rate Schedule to determine that any costs which are expressly unallowable under the Federal cost principles have been removed and comply with Title 23 U.S.C. Section 112(b)(2), 48 CFR Part 31, 23 CFR Part 172, and all applicable state and federal rules and regulations. I also certify that I understand that all documentation of compliance must be retained by the consultant. I hereby acknowledge that costs that are noncompliant with the federal and state requirements are not eligible for reimbursement and must be returned to Caltrans. Name**: _ Title**: Signature:Date of Certification (mm/dd/yyyy): Email**: Phone Number**: **An individual executive or financial officer of the consultant’s or subconsultant’s organization at a level no lower than a Vice President, a Chief Financial Officer, or equivalent, who has authority to represent the financial information used to establish the indirect cost rate. Note: Both prime and subconsultants as parties of a contract must complete their own Exhibit 10-K forms. Caltrans will not process local agency’s invoices until a complete Exhibit 10-K form is accepted and approved by Caltrans Audits and Investigations. Distribution: 1) Original -Local Agency Project File 2) Copy -Consultant 3) Copy -Caltrans Audits and Investigations Page 2 of 2 March 2018 N/A Christine S. Santolucito President christie@sdgroupinc.com 9/15/2021 951-225-3500 City Council 17 –157 11/16/2021 Local Assistance Procedures Manual Exhibit 10-O1 Consultant Proposal DBE Commitment EXHIBIT 10-O1 CONSULTANT PROPOSAL DBE COMMITMENT 1.Local Agency:2.Contract DBE Goal: 3.Project Description: 4.Project Location: 5.Consultant's Name: 6.Prime Certified DBE: 7.Description of Work, Service, or Materials Supplied 8.DBE Certification Number 10.DBE % % Local Agency to Complete this Section 17.Local Agency Contract Number: 18.Federal-Aid Project Number: 19.Proposed Contract Execution Date: 20.Consultant’s Ranking after Evaluation: __________________________ Local Agency certifies that all DBE certifications are valid and information on this form is complete and accurate. 9.DBE Contact Information 11.TOTAL CLAIMED DBE PARTICIPATION IMPORTANT: Identify all DBE firms being claimed for credit, regardless of tier. Written confirmation of each listed DBE is required. 12. Preparer's Signature 13. Date 14. Preparer's Name 15. Phone 16. Preparer's Title DISTRIBUTION: Original – Included with consultant’s proposal to local agency. ADA Notice: For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654-6410 or TDD (916) 654- 3880 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814. LPP 18-01 Page 1 of 2 January 2019 4 City of Santa Ana City of Santa Ana On-Call Property Appraisal Services TBD Santolucito Doré Group, Inc. Property Appraisal and Appraisal Review Services 43345 100% Christine S. Santolucito, R/W-AC 951-225-3500 ext. 101 christie@sdgroupinc.com 100 9/15/2021 Christine S. Santolucito 951-225-3500 President City Council 17 –158 11/16/2021 Local Assistance Procedures Manual Exhibit 10-O1 Consultant Proposal DBE Commitment INSTRUCTIONS – CONSULTANT PROPOSAL DBE COMMITMENT CONSULTANT SECTION 1.Local Agency - Enter the name of the local or regional agency that is funding the contract. 2.Contract DBE Goal - Enter the contract DBE goal percentage as it appears on the project advertisement. 3.Project Location - Enter the project location as it appears on the project advertisement. 4.Project Description - Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc.). 5.Consultant’s Name - Enter the consultant’s firm name. 6.Prime Certified DBE - Check box if prime contractor is a certified DBE. 7.Description of Work, Services, or Materials Supplied - Enter description of work, services, or materials to be provided. Indicate all work to be performed by DBEs including work performed by the prime consultant’s own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms. 8.DBE Certification Number - Enter the DBE’s Certification Identification Number. All DBEs must be certified on the date bids are opened. 9.DBE Contact Information - Enter the name, address, and phone number of all DBE subcontracted consultants. Also, enter the prime consultant’s name and phone number, if the prime is a DBE. 10.DBE % - Percent participation of work to be performed or service provided by a DBE. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full/partial participation. 11.Total Claimed DBE Participation % - Enter the total DBE participation claimed. If the total % claimed is less than item “Contract DBE Goal,” an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15-H DBE Information - Good Faith Efforts of the LAPM). 12.Preparer’s Signature - The person completing the DBE commitment form on behalf of the consultant’s firm must sign their name. 13.Date - Enter the date the DBE commitment form is signed by the consultant’s preparer. 14.Preparer’s Name - Enter the name of the person preparing and signing the consultant’s DBE commitment form. 15.Phone - Enter the area code and phone number of the person signing the consultant’s DBE commitment form. 16.Preparer’s Title - Enter the position/title of the person signing the consultant’s DBE commitment form. LOCAL AGENCY SECTION 17.Local Agency Contract Number - Enter the Local Agency contract number or identifier. 18.Federal-Aid Project Number - Enter the Federal-Aid Project Number. 19.Proposed Contract Execution Date - Enter the proposed contract execution date. 20.Consultant’s Ranking after Evaluation – Enter consultant’s ranking after all submittals/consultants are evaluated. Use this as a quick comparison for evaluating most qualified consultant. 21.Local Agency Representative’s Signature - The person completing this section of the form for the Local Agency must sign their name to certify that the information in this and the Consultant Section of this form is complete and accurate. 22.Date - Enter the date the DBE commitment form is signed by the Local Agency Representative. 23.Local Agency Representative’s Name - Enter the name of the Local Agency Representative certifying the consultant’s DBE commitment form. 24.Phone - Enter the area code and phone number of the person signing the consultant’s DBE commitment form. 25.Local Agency Representative Title - Enter the position/title of the Local Agency Representative certifying the consultant’s DBE commitment form. LPP 18-01 Page 2 of 2 January 2019 City Council 17 –159 11/16/2021 Local Assistance Procedures Manual Exhibit 10-O2 Consultant Contract DBE Commitment EXHIBIT 10-O2 CONSULTANT CONTRACT DBE COMMITMENT 1.Local Agency:2.Contract DBE Goal: 3.Project Description: 4.Project Location: 5.Consultant's Name:6.Prime Certified DBE: 7.Total Contract Award Amount: 8.Total Dollar Amount for ALL Subconsultants:9.Total Number of ALL Subconsultants: 10. Description of Work, Service, or Materials Supplied 11.DBE Certification Number 12.DBE Contact Information 13. DBE Dollar Amount Local Agency to Complete this Section 14.TOTAL CLAIMED DBE PARTICIPATION $ 20.Local Agency Contract Number: 21. Federal-Aid Project Number: 22.Contract Execution Date: Local Agency certifies that all DBE certifications are valid and information on this form is complete and accurate. 23. Local Agency Representative's Signature 24. Date 25.Local Agency Representative's Name 26. Phone 27.Local Agency Representative's Title % IMPORTANT: Identify all DBE firms being claimed for credit, regardless of tier. Written confirmation of each listed DBE is required. 15. Preparer's Signature 16. Date 17. Preparer's Name 18. Phone 19. Preparer's Title DISTRIBUTION: 1. Original – Local Agency 2.Copy – Caltrans District Local Assistance Engineer (DLAE). Failure to submit to DLAE within 30 days of contract execution may result in de-obligation of federal funds on contract. ADA Notice: For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654-6410 or TDD (916) 654- 3880 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814. Page 1 of 2 July 23, 2015 Property Appraisal and Appraisal Review Services 43345 Christine S. Santolucito, R/W-AC 951-225-3500 ext. 101 christie@sdgroupinc.com $6,500 6,500 100 Christine S. Santolucito President 9/15/2021 951-225-3500 City Council 17 –160 11/16/2021 Local Assistance Procedures Manual Exhibit 10-O2 Consultant Contract DBE Commitment INSTRUCTIONS – CONSULTANT CONTRACT DBE COMMITMENT CONSULTANT SECTION 1.Local Agency -Enter the name of the local or regional agency that is funding the contract. 2.Contract DBE Goal -Enter the contract DBE goal percentage as it appears on the project advertisement. 3.Project Description -Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc). 4.Project Location -Enter the project location as it appears on the project advertisement. 5.Consultant’s Name -Enter the consultant’s firm name. 6.Prime Certified DBE - Check box if prime contractor is a certified DBE. 7.Total Contract Award Amount -Enter the total contract award dollar amount for the prime consultant. 8.Total Dollar Amount for ALL Subconsultants – Enter the total dollar amount for all subcontracted consultants. SUM = (DBEs + all Non-DBEs). Do not include the prime consultant information in this count. 9.Total number of ALL subconsultants – Enter the total number of all subcontracted consultants. SUM = (DBEs + all Non-DBEs). Do not include the prime consultant information in this count. 10.Description of Work, Services, or Materials Supplied -Enter description of work, services, or materials to be provided. Indicate all work to be performed by DBEs including work performed by the prime consultant’s own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms. 11.DBE Certification Number -Enter the DBE’s Certification Identification Number. All DBEs must be certified on the date bids are opened. 12.DBE Contact Information -Enter the name, address, and phone number of all DBE subcontracted consultants. Also, enter the prime consultant’s name and phone number, if the prime is a DBE. 13.DBE Dollar Amount - Enter the subcontracted dollar amount of the work to be performed or service to be provided. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full/partial participation. 14.Total Claimed DBE Participation -$: Enter the total dollar amounts entered in the “DBE Dollar Amount” column. %: Enter the total DBE participation claimed (“Total Participation Dollars Claimed” divided by item “Total Contract Award Amount”). If the total % claimed is less than item “Contract DBE Goal,” an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15-H DBE Information - Good Faith Efforts of the LAPM). 15.Preparer’s Signature -The person completing the DBE commitment form on behalf of the consultant’s firm must sign their name. 16.Date -Enter the date the DBE commitment form is signed by the consultant’s preparer. 17.Preparer’s Name -Enter the name of the person preparing and signing the consultant’s DBE commitment form. 18.Phone -Enter the area code and phone number of the person signing the consultant’s DBE commitment form. 19.Preparer’s Title -Enter the position/title of the person signing the consultant’s DBE commitment form. LOCAL AGENCY SECTION 20.Local Agency Contract Number -Enter the Local Agency contract number or identifier. 21.Federal-Aid Project Number -Enter the Federal-Aid Project Number. 22.Contract Execution Date -Enter the date the contract was executed. 23.Local Agency Representative’s Signature - The person completing this section of the form for the Local Agency must sign their name to certify that the information in this and the Consultant Section of this form is complete and accurate. 24.Date -Enter the date the DBE commitment form is signed by the Local Agency Representative. 25.Local Agency Representative’s Name -Enter the name of the Local Agency Representative certifying the consultant’s DBE commitment form. 26.Phone -Enter the area code and phone number of the person signing the consultant’s DBE commitment form. 27.Local Agency Representative Title -Enter the position/title of the Local Agency Representative certifying the consultant’s DBE commitment form. Page 2 of 2 July 23, 2015 City Council 17 –161 11/16/2021 951-225-3500 • 31600 Railroad Canyon Road, Suite 100-L • Canyon Lake, CA 92587 • sdgroupinc.com September 15, 2021 Mr. Kenny Nguyen Project Manager City of Santa Ana Public Works Agency; M-36 20 Civic Center Plaza; Ross Annex Santa Ana, CA 92701 RE: RFP No. 21-103 Appraisal Lump Sum Billing – 10-K Exception Request Dear Mr. Nguyen: The Santolucito Doré Group, Inc. (SD Group) is a small, women-owned, disadvantaged business enterprise. We offer essentially one type of service – valuation services and typically bill our services on a lump sum per appraisal basis. As such, we do not have the need for sophisticated financial management software with cost segregation features as required on Exhibit 10-K, Consultant Annual Certification of Indirect Costs and Financial Management System. Implementing such software and practices would be cost prohibitive for us as a small DBE firm and we cannot certify to something we can’t comply with. If selected, our work for the City of Santa Ana's on-call contract will be billed on a lump sum per appraisal basis. It is recommended that our firm is included as a Vendor or Other Direct Cost (ODC) for any projects associated with the on-call contract. The Caltrans Local Assistance Procedures Manual allows DBE’s to participate in a number of ways, including being contracted as a vendor. Please see the attached page from the manual. Please let me know if you have any questions or need any additional information. We are excited for the opportunity to work with the City on this project. Sincerely, Christine S. Santolucito, R/W-AC President City Council 17 –162 11/16/2021 I Local Assistance Procedures Manual Chapter 9 Civil Rights & Disadvantaged Business Enterprise and conditions of the contract. The mechanisms may also provide that any delay or postponement of payment among the parties may take place only for good cause with the Agency’s prior written approval. 9.7 DBE Participation on the Contract Participation Opportunities The local agency should structure its contracts and cost estimates by task to provide opportunities for DBE participation. Participation by DBEs is possible during the Preliminary Engineering, Environmental, Final Design, Right of Way, and Construction phases of the project, and includes work as lead consultants, prime contractors, sub-consultants, subcontractors, suppliers, vendors and truckers. DBE Contract Goals All federal-aid contracts that have subcontracting opportunities must have a DBE goal set. This includes, but is not limited to: construction, consultant services such as project specific Architectural & Engineering (A&E), and master on-call A&E contracts. A DBE contract goal is a percentage of the total contract amount that is expected to be performed by certified DBE firms. The DBE contract goal will vary depending on the type of work involved, the location of the work, and the availability of DBEs for the work of the particular contract. The contract goal may be zero in situations such as extremely limited subcontracting opportunities, the lack of certified DBEs available in the District for the work to be performed, or other reasons. The local agency will need to keep documentation in the project file when a zero percent DBE contract goal is deemed appropriate. Some contracts, such as Emergency Opening, Sole-source, Nonprofit do not require a DBE goal. Work performed through Force Account also does not need a DBE goal. In these cases, there is no contract goal (different from zero percent goal). Setting the DBE Contract Goal When setting a DBE goal, the Agency may use contract goals only on those federal-aid contracts that have subcontracting possibilities. The goal for a specific contract may be higher or lower than the percentage level of the statewide overall goal, depending on such factors as the type of work involved, the location of the work, and the availability of DBEs for the work of the particular contract. However, over the period covered by the State’s overall goal, the Agency must set contract goals, and these individual contract goals will cumulatively result in meeting any portion of the state’s overall goal. The actual DBE participation for each of the local agency’s contracts contributes to the calculation used to determine if the statewide goal has been met. Caltrans approval of each contract goal is not necessarily required. However, Caltrans may review and approve or disapprove any contract goal the Agency establishes. The Agency’s contract goals must provide for participation by all certified DBEs and must not be subdivided into group-specific goals. DBE contract goals are established to encourage more participation of DBEs for federal-aid transportation contracts. The bullets below provide a summary guidance of how to set the DBE contract goal. For a detailed set of instructions and a template example, please refer to Exhibit 9-D: DBE Contract Goal Methodology. Page 21 of 38 January 2021 City Council 17 –163 11/16/2021 Public Works Agency www.santa-ana.org/pw Item # 18 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Agreements for On-Call Right-of-Way Specialty Services - Acquisition and Relocation Services AGENDA TITLE Approve Agreements with Monument ROW and Overland, Pacific & Cutler for On-Call Right-of-Way Specialty Services - Acquisition and Relocation Services - in an Amount Not to Exceed $649,500 for a Three-Year Term. (Non-General Fund) RECOMMENDED ACTION 1. Authorize the City Manager to execute an agreement with Monument ROW to provide completion of final close-out work per Caltrans requirements, acquisition maintenance, and a relocation assistance program, in an amount not to exceed $149,500 for a three-year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one-year extensions, subject non-substantive changes approved by the City Manager and City Attorney. 2. Authorize the City Manager to execute agreements with Monument ROW and Overland, Pacific & Cutler LLC to provide completion of final close-out work, acquisition maintenance, and a relocation assistance program, in a shared aggregate amount not to exceed $500,000 for a three-year term beginning November 16, 2021, and expiring November 15, 2024, with an option for two, one-year extensions, subject non-substantive changes approved by the City Manager and City Attorney. DISCUSSION On July 6, 2021, the Public Works Agency released Request for Proposal (RFP) No. 21- 075, by which it sought the services of a professional engineering firm to provide on-call right-of-way specialty services on an as-needed or “on-call” basis for the Public Works Agency. The capital improvement projects needing the right-of-way services include, but are not limited to, Warner Avenue, Bristol Street, Fairview Street, and Grand Avenue street improvement projects. The RFP was advertised on the City’s online procurement management and publication system, with proposals due on July 27, 2021. Four proposals were received and evaluated by a selection committee. Based on criteria outlined in the RFP, the following summarizes the responding firms and their ranking: City Council 18 –1 11/16/2021 Agreements for On-Call Right-of-Way Specialty Services November 16, 2021 Page 2 2 2 2 5 Firm City Rank Monument Irvine 1 Overland, Pacific, & Cutler Long Beach 2 Interwest Irvine 3 Paragon Partners Cypress 4 Approval of the recommended action will authorize two sets of consultant agreements to be utilized depending on the type of funding to be used for future task orders. For grant- funded projects that require adherence to Caltrans Architecture and Engineering requirements, task orders will be issued on the Caltrans version of the on-call agreement (Exhibit 1). All other task orders that are funded with local or discretionary funds shall utilize the standard version of the consultant agreement (Exhibits 2 and 3), which does not contain the same Caltrans provisions and requirements for federally grant-funded project tasks. Based upon the scope of work and selection criteria outlined in RFP 21-075, staff recommends awarding two sets of on-call agreements: one to Monument to provide completion of final close-out work per Caltrans requirements, acquisition maintenance, and a relocation assistance program (Exhibit 1), and the other to Overland, Pacific & Cutler and Monument to provide completion of final close-out work, acquisition maintenance, and a relocation assistance program not subject to Caltrans requirements (Exhibit 2 and 3). Their proposals demonstrated the firms have the necessary capacity and expertise to complete the required services. The firms’ rates are reasonable and within industry standard, the teams’ qualifications are appropriate, and the proposals were determined to provide the best value for the City. ENVIRONMENTAL IMPACT There is no environmental impact associated with the action. FISCAL IMPACT The following table summarizes the projects with funds budgeted and available for expenditure on the right-of-way acquisition and relocation services to be provided by the agreements in Fiscal Year 2021-2022. Federal Funded Project(s) Fiscal Year Accounting Unit - Account No. (Project No.) Fund Description Accounting Unit - Account No. Description Amount City Council 18 –2 11/16/2021 Agreements for On-Call Right-of-Way Specialty Services November 16, 2021 Page 3 2 2 2 5 2021-22 05917663-66220 (15-6827) Select Street Construction Gas Tax HUTA 2103, Improvements Other Than Building $20,000 2021-22 03217663-66220 (15-6827) Measure M Street Construction Measure M2 Competitive Street, Improvements Other Than Building $60,000 Total $80,000 Non-Federal Funded Project(s) Fiscal Year Accounting Unit - Account No. (Project No.) Fund Description Accounting Unit - Account No. Description Amount 2021-22 03217663-66220 (18-6901) Measure M Street Construction Measure M2 Competitive Street, Improvements Other Than Building $37,500 2021-22 05917668-66220 (18-6901) Select Street Construction Warner Ave-Tustin Community Facilities District, Improvements Other Than Building $12,500 2021-22 03517660-66220 (17-6883) New Transportation System Improvement- Area F New Transportation System Improvement- Area F, Improvements Other Than Building $20,000 2021-22 03217663-66220 (11-6741) Measure M Street Construction Measure M2 Competitive Street, Improvements Other Than Building $60,000 Total $130,000 Any unused agreement amounts may be utilized by projects not listed above by following the established on-call services process during FY 2021-22 and for the remaining agreement term. Prior to utilizing the on-call services for any of future task orders without accounts identified above, City staff must receive Finance and Management Services Agency approval of funding and accounts to be used to ensure funds are available within the authorization limit of $149,500 for any federally funded projects and the shared $500,000 aggregate for any projects using local or discretionary funds. Upon successful completion of the fiscal review, a corresponding Notice to Proceed containing the specific scope and maximum expenditure for the task order will be issued. City Council 18 –3 11/16/2021 Agreements for On-Call Right-of-Way Specialty Services November 16, 2021 Page 4 2 2 2 5 EXHIBIT(S) 1. Agreement with Monument for On-Call Right-of-Way Services – Caltrans Version 2. Agreement with Monument for On-Call Right-of-Way Services 3. Agreement with Overland, Pacific & Cutler for On-Call Right of Way Services Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Kristine Ridge, City Manager City Council 18 –4 11/16/2021 Page 1 AGREEMENT TO PROVIDE RIGHT OF WAY SPECIALTY SERVICES - ACQUISITION AND RELOCATION SERVICES ON AN ON-CALL BASIS THIS AGREEMENT is made and entered into this 16th day of November, 2021 by and between, Monument ROW, a California corporation (“Consultant”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”). RECITALS A.On July 6, 2021, the City issued Request for Proposal (“RFP”) No. 21-075, by which it sought a consultant to provide On-Call Acquisition and Relocation Services for the City’s Public Works Agency. B.Consultant submitted a responsive proposal that was among those selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 21-075. C.In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional contracting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1.SCOPE OF SERVICES On an on-call basis, and at the City’s sole discretion, Consultant shall perform the acquisition and relocation services described in t he scope of work that was included in RFP No. 21-075 and is attached hereto and marked as Exhibit A and as more specifically delineated in Consultant’s proposal, which is attached as Exhibit B and incorporated in full. 2.ALLOWABLE COSTS AND PAYMENTS a.City neither warrants nor guarantees any minimum or maximum 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 Consultant’s Cost Proposal attached as Exhibit C. Consultant is the top-ranking consultant to provide acquisition and relocation services on an as-needed basis under RFP No. 21-075. The total compensation for these services provided under RFP No. 21-075 to perform them shall not exceed an aggregate amount of $149,500.00 during the term of the Agreement, including any extension periods. b.Consultant’s Cost Proposal attached as Exhibit C. The specified hourly rates shall include direct salary costs, employee benefits, overhead, and fee. These rates are City Council 18 –5 11/16/2021 Page 2 not adjustable for the performance period set forth in this Agreement. In addition, Consultant will be reimbursed for incurred (actual) direct costs other than salary costs that are in the cost proposal and identified in the cost proposal and in the executed Task Order. c. Specific projects will be assigned to Consultant through issuance of Task Orders. After a project to be performed under this Agreement is identified by City, City will prepare a draft Task Order less the cost estimate. A draft Task Order will identify the scope of services, expected results, project deliverables, period of performance, project schedule and will designate a City Project Coordinator. The draft Task Order will be delivered to Consultant for review. Consultant shall return the draft Task Order within ten (10) calendar days along with a Cost Estimate, including a written estimate of the number of hours and hourly rates per staff person, any anticipated reimbursable expenses, overhead, fee if any, and total dollar amount. After agreement has been reached on the negotiable items and total cost, the finalized Task Order shall be signed by both City and Consultant. d. Task Orders may be negotiated for a lump sum (Firm Fixed Price) or for specific rates of compensation, both of which must be based on the labor and other rates set forth in Consultant Cost Proposal. e. Reimbursement for transportation and subsistence costs shall not exceed the rates as specified in the approved Cost Proposal. f. When milestone cost estimates are included in the approved Cost Proposal, Consultant shall obtain prior written approval for a revised milestone cost estimate from City before exceeding such estimate. g. Progress payments for each Task Order will be made monthly in arrears based on services provided and actual costs incurred. h. Consultant shall not commence performance of work or services until this Agreement has been approved by City, and notification to proceed has been issued by City. No payment will be made prior to approval or for any work performed prior to approval of this Agreement. i. A Task Order is of no force or effect until returned to City and signed by an authorized representative of City. No expenditures are authorized on a project, and work shall not commence until a Task Order for that project has been executed by City. j. Consultant will be reimbursed, as promptly as fiscal procedures will permit upon receipt by City of itemized invoices in triplicate. Separate invoices itemizing all costs are required for all work performed under each Task Order. Invoices shall be City Council 18 –6 11/16/2021 Page 3 submitted no later than 45 calendar days after the performance of work for which Consultant is billing, or upon completion of the Task Order. Invoices shall detail the work performed on each milestone, on each project as applicable. Invoices shall follow the format stipulated for the approved Cost Proposal and shall reference this Agreement number, project title, and Task Order number. Credits due to City that include any equipment purchased under the Equipment Purchase provision of this Agreement must be reimbursed by Consultant prior to the expiration or termination of this Agreement. Invoices shall be mailed to City at the following address: City of Santa Ana, Public Works Agency M-36, 20 Civic Center Plaza, P.O. Box 1988, Santa Ana, CA 92702. k. The period of performance for Task Orders shall be in accordance with dates specified in the Task Order. No Task Order will be written which extends beyond the expiration date of this Agreement. l. The total amount payable by City for an individual Task Order shall not exceed the amount agreed to in the Task Order, unless authorized by contract amendment. m. If the Consultant fails to satisfactorily complete a deliverable according to the schedule set forth in a Task Order, no payment will be made until the deliverabl e has been satisfactorily completed. n. Task Orders may not be used to amend this Agreement and may not exceed the scope of work under this Agreement. o. The total amount payable by City for all Task Orders resulting from this Agreement shall not exceed an aggregate amount of $149,500. It is understood and agreed that there is no guarantee, either expressed or implied, that this dollar amount will be authorized under this Agreement through Task Orders. p. Consultant shall submit progress reports on each specific project in accordance with the Task Order. These reports shall be submitted at least once a month. The report should be sufficiently detailed for the City’s Project Manager to determine, if Consultant is performing to expectations, or is on schedule; to provide communication of interim findings, and to sufficiently address any difficulties or special problems encountered, so remedies can be developed. q. Consultant’s Project Manager shall meet with City’s Project Manager, as needed, to discuss progress on the project(s). r. This Agreement is valid and enforceable only if sufficient funds are made available to the City for the purpose of this Agreement. In addition, this Agreement is subject to any additional restrictions, limitations, conditions, or any statute enacted by Congress, the State Legislature, or the City that may affect the provisions, terms or funding of this Agreement in any manner. City Council 18 –7 11/16/2021 Page 4 3. COST PRINCIPLES AND ADMINISTRATIVE REQUIREMENTS a. Consultant agrees that the Contract Cost Principles and Procedures, 48 CFR Part 31, Contract Cost Principals and Procedures, shall be used to determine the allowability of individual terms of cost. et seq., shall be used to determine the cost allowability of individual items. b. Consultant agrees to comply with federal procedures in accordance with 2 CFR, Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. c. Any costs for which payment has been made to Consultant that are determined by subsequent audit to be unallowable under 2 CFR, Part 200 and 48 CFR, Federal Acquisition Regulations System, Chapter 1, Part 31.000 et seq., are subject to repayment by Consultant to City. 4. PERFORMANCE PERIOD a. This Agreement shall go into effect on the date first written above, contingent upon approval by City, and Consultant shall commence work after notification to proceed by City. This Agreement shall end on November 15, 2024, unless terminated earlier in accordance with Section 21. The term of this Agreement may be extended for up to two 1-year periods upon a writing executed by the City Manager and City Attorney. b. Consultant is advised that any recommendation for contract award is not binding on City until the Agreement is fully executed and approved by City. c. The period of performance for each specific project shall be in accordance with the Task Order for that project. If work on a Task Order is in progress on the expiration date of this Agreement, the terms of the Agreement shall be extended by amendment. 5. STATE PREVAILING WAGE RATES a. If applicable, Consultant shall comply with the State of California’s General Prevailing Wage Rate requirements in accordance with California Labor Code, Section 1770, and all Federal, State, and local laws and ordinances applicable to the work. b. Any subcontract entered into as a result of this Agreement, if for more than $25,000 for public works construction or more than $15,000 for the alteration, demolition, repair, or maintenance of public works, shall contain all of the provisions of this Section, unless the awarding agency has an approved labor compliance program by the Director of Industrial Relations. City Council 18 –8 11/16/2021 Page 5 c. When prevailing wages apply to the services described in the scope of work, transportation and subsistence costs shall be reimbursed at the minimum rates set by the Department of Industrial Relations (DIR) as outlined in the applicable Prevailing Wage Determination. See http://www.dir.ca.gov. Consultant shall be responsible for any future adjustments to prevailing wage rates including, but not limited to, base hourly rates and employer payments as determined by the Department of Industrial Relations, Consultant is responsible for paying the appropriate rate, including escalations that take place during the term of the Agreement. d. When prevailing rates apply, the Consultant is responsible for verifying compliance with certified payroll requirements. Invoice payment will not be made until the invoice is approved by City. 6. 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. 7. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement (“Documents & Data”). Consultant shall require all subconsultants to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subconsultant prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data, which were provided, to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City’s sole risk. 8. MINIMUM INSURANCE REQUIREMENTS A. Consultant shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property, which may arise from or in City Council 18 –9 11/16/2021 Page 6 connection with the performance of the work hereunder by the Consultant, its agents, representatives, or employees. B. Insurance coverage shall be at least as broad as: 1) Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location or the general aggregate limit shall be twice the required occurrence limit. 2) Automobile Liability Insurance: Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non-owned), with limit no less than $1,000,000 per accident for bodily injury and property damage. 3) Workers’ Compensation Insurance- as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. 4) Professional Liability (Errors and Omissions) Insurance- appropriate to the Consultant’s profession, with limit no less than $2,000,000 per occurrence or claim, $2,000,000 aggregate. C. If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. D. Other Insurance Provisions- the insurance policies are to contain, or be endorsed to contain, the following provisions: 1) Additional Insured Status- the City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant’s insurance (at least as broad as ISO Form CG 20 10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions used). 2) Primary Coverage- for any claims related to this contract, the Consultant’s insurance coverage shall be primary insurance primary coverage at least as broad as ISO CG 20 01 04 13 as respects the City, its officers, officials, employees, and City Council 18 –10 11/16/2021 Page 7 volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Consultant’s insurance and shall not contribute with it. 3) Notice of Cancellation- each insurance policy required above shall state that coverage shall not be canceled, except with notice to the City. 4) Waiver of Subrogation- Consultant hereby grants to City a waiver of any right to subrogation, which any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. E. Self-Insured Retentions- Self-insured retentions must be declared to and approved by the City. The City may require the Consultant to purchase coverage with a lo wer retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City. F. Acceptability of Insurers- Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the City. G. Claims Made Policies- If any of the required policies provide coverage on a claims- made basis: 1) The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work. 2) Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. 3) If coverage is canceled or non-renewed, and not replaced with another claims-made policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase “extended reporting” coverage for a minimum of five (5) years after completion of contract work. H. Verification of Coverage- Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant’s obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. City Council 18 –11 11/16/2021 Page 8 I. Subcontractors- Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Contractor shall ensure that City is an additional insured on insurance required from subcontractors. J. Special Risks or Circumstances- City reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances. 9. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its subconsultants, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant’s services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 10. 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. 11. RETENTION OF RECORDS/AUDIT For the purpose of determining compliance with Public Contract Code 10115, et seq. and Title 21, California Code of Regulations, Chapter 21, Section 2500 et seq., when applicable, and other matters connected with the performance of this Agreement, pursuant to Government Code 8546.7, Consultant, subconsultants, and City shall maintain and make available for inspection all books, documents, papers, accounting records, and other evidence pertaining to the performance City Council 18 –12 11/16/2021 Page 9 of the Agreement, including but not limited to, the costs of administering the Agreement. All parties shall make such materials available at their respective offices at all reasonable times during the Agreement period and for three years from the date of final payment under the Agreement. The state, State Auditor, City, FHWA, or any duly authorized representative of the Federal Government shall have access to any books, records, and documents of Consultant and its certified public accountants work papers that are pertinent to the contract and indirect cost rates (ICR) for audit, examinations, workpaper review, excerpts, and transactions, and copies thereof shall be furnished if requested. 12. AUDIT REVIEW PROCEDURES a. Any dispute concerning a question of fact arising under an interim or post audit of this Agreement that is not disposed of by mutual agreement shall be reviewed by the City. b. Not later than 30 days after issuance of the final audit report, Consultant may request a review by the City of unresolved audit issues. The request for review will be submitted in writing, submitted to the project manager of RFP. c. Neither the pendency of a dispute nor its consideration by City will excuse Consultant from full and timely performance in accordance with the terms of this Agreement. 13. 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 cov ered 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. 14. CONFLICT OF INTEREST a. Consultant shall disclose any financial, business, or other relationship with City that may have an impact upon the outcome of this Agreement, or any ensuing City construction project. Consultant shall also list current clients who may have a financial interest in the outcome of this Agreement, or any ensuing City construction project that will follow. City Council 18 –13 11/16/2021 Page 10 b.Consultant hereby certifies that it does not now have, nor shall it acquire any financial or business interest that would conflict with the performance of services under this Agreement. c.Consultant agrees to complete any statements of economic interest if required by either City ordinance or State law. 15.REBATES, KICKBACKS, OR OTHER UNLAWFUL CONSIDERATION Consultant warrants that this Agreement was not obtained or secured through rebates kickbacks or other unlawful consideration, either promised or paid to any City employee. For breach or violation of this warranty, City shall have the right in its discretion; to t erminate the contract without liability; to pay only for the value of the work actually performed; or to deduct from the contract price; or otherwise recover the full amount of such rebate, kickback or other unlawful consideration. 16.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 telegraphi c communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax 714- 647-6956 Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M- 21) P.O. Box 1988 Santa Ana, CA 92702 Fax 714-647-5635 To Consultant: Amber Costello, President Monument ROW 200 Spectrum Center, Suite 300 Irvine, CA 92618 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 City Council 18 –14 11/16/2021 Page 11 deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these timeframes, weekends, federal, state, County or City holidays shall be excluded. 17. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant regarding the subject matter herein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 18. SUBCONTRACTING a, Nothing contained in this Agreement or otherwise, shall create any contractual relation between City and any subconsultant(s), and no subcontract shall relieve Consultant of its responsibilities and obligations hereunder. Consultant agrees to be as fully responsible to City for the acts and omissions of its subconsultant(s) and of persons either directl y or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by Consultant. Consultant’s obligation to pay its subconsultant(s) is an independent obligation from City’s obligation to make payments to the Consultant. b. Consultant shall perform the work contemplated with resources available within its own organization and no portion of the work pertinent to this Agreement shall be subcontracted without written authorization by City, except that which is expressly identified in the approved Cost Proposal. c. Consultant shall pay its subconsultants within fifteen (15) calendar days from receipt of each payment made to Consultant by City. d. All subcontracts entered into as a result of this Agreement shall contain all the provisions stipulated in this Agreement to be applicable to subconsultants. e. Any substitution of subconsultant(s) must be approved in writing by City prior to the start of work by the subconsultant(s). City Council 18 –15 11/16/2021 Page 12 19. EQUIPMENT PURCHASE a. Prior authorization in writing by City shall be required before Consultant enters into any unbudgeted purchase order, or subcontract exceeding $5,000 for supplies, equipment, or consultant services. Consultant shall provide an evaluation of the necessity or desirability of incurring such costs. b. For purchase of any item, service or consulting work not covered in Consultant’s Cost Proposal and exceeding $5,000 prior authorization by City, three competitive quotations must be submitted with the request, or the absence of bidding must be adequately justified. c. Any equipment purchased as a result of this Agreement is subject to the following condition: “Consultant shall maintain an inventory of all nonexpendable property. Nonexpendable property is defined as having a useful life of at least two years and an acquisition cost of $5,000 or more. If the purchased equipment needs replacement and is sold or traded in, City shall receive a proper refund or credit at the conclusion of the Agreement, or if the Agreement is terminated, Consultant may either keep the equipment and credit City in an amount equal to its fair market value, or sell such equipment at the best price obtainable at a public or private sale, in accordance with established City procedures and credit City in an amount equal to the sales price. If Consultant elects to keep the equipment, fair market value shall be determined at Consultant’s expense, based on a competent independent appraisal of such equipment. Appraisals shall be obtained from an appraiser mutually agreeable to by City and Consultant. If it is determined to sell the equipment, the terms and conditions of such sale must be approved in advance by City.” 2 CFR, Part 200 requires a credit to Federal funds when participating equipment with a fair market value greater than $5,000 is credited to the project. 20. 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. 21. TERMINATION a. City reserves the right to terminate this Agreement upon thirty (30) calendar days written notice to Consultant with the reasons for termination stated in the notice. Upon termination, City shall be entitled to all work including but not limited to, reports, investigations, appraisals, inventories, studies, analyses, drawings and data estimates performed to that date, whether completed or not. b. Notwithstanding any provisions of this Agreement, Consultant shall not be relieved City Council 18 –16 11/16/2021 Page 13 of liability to City for damages sustained by the City by virtue of any breach of this Agreement by Consultant, and City may withhold any payments due to Consultant until such time as the exact amount of damages, if any, due City from Consultant is determined. 22. 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. 23. 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. 24. STATEMENT OF COMPLIANCE a. Consultant’s signature affixed herein, and dated, shall constitute a certification under penalty of perjury under the laws of the State of California that Consultant has, unless exempt, complied with, the nondiscrimination program requirements of Government Code Section 12990 and Title 2, California Administrative Code, Section 11102. b. During the performance of this Agreement, Consultant and its subconsultants shall not unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of sex, race, color, ancestry, religious creed, national origin, physical disability (including HIV and AIDS), mental disability, medical condition (e.g., cancer), age (over 40), marital status, gender, gender identity, gender expression, sexual orientation, military or veteran status, and denial of family care leave. Consultant and subconsultants shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. c. Consultant and subconsultants shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code §12990 (a-f) et seq.) and the applicable regulations promulgated thereunder (California Code of Regulations, Title 2, Section 7285 et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code Section 12990 (a-f), set forth in Chapter 5 of Division 4 of Title 2 of the California Code of Regulations, are incorporated into this Agreement by reference and made a part hereof as if set City Council 18 –17 11/16/2021 Page 14 forth in full. Consultant and its subconsultants shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other Agreement. d. The Consultant shall comply with regulations relative to Title VI (nondiscrimination in federally assisted programs of the Department of Transportation – Title 49 Code of Federal Regulations, Part 21 – Effectuation of Title VI of the 1964 Civil Rights Act). Title VI provides that the recipients of federal assistance will implement and maintain a policy of nondiscrimination in which no person in the state of California shall, on the basis of race, color, national origin, religion, sex, age, disability, be excluded from participation in, denied the benefits of or subject to discrimination under any program or activity by the recipients of federal assistance or their assignees and successors in interest. e. The Consultant, with regard to the work performed by it during the Agreement shall act in accordance with Title VI. Specifically, the Consultant shall not discriminate on the basis of race, color, national origin, religion, sex, age, or disability in the selection and retention of subconsultants, including procurement of materials and leases of equipment. The Consultant shall not participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the U.S. DOT’s Regulations, including employment practices when the Agreement covers a program whose goal is employment. f. Consultant, subrecipient or subconsultant will never exclude any person from participation in, deny any person the benefits of, or otherwise discriminate against anyone in connection with the award and performance of any contract covered by 40 Code of Federal Regulations Part 26 on the basis of race, color, sex or national origin. In administering the City components of the Disadvantaged Business Enterprises (DBE) Program Plan, Consultant, subreceipient or subconsultant will not, directly, or through contractual or other arrangements, use criteria or methods of administration that have the effect of defeating or substantially impairing accomplishment of the objectives of the DBE Program Plan with respect to individuals of a particular race, color, sex, or national origin. g. Under 49 CFR 26.13(b): Consultant shall not discriminate on the basis of race, color, national origin, or sex in the performance of this Agreement, Consultant shall carryout applicable requirements of 49 CFR 26 in the award and administration of federal-aid contracts. Failure by Consultant to carry out these requirements is a material breach of this Agreement, which may result in the termination of this Agreement or such other remedy, which the City deems appropriate, which may include, but is not limited to: 1) Withholding monthly progress payment if applicable; 2) Assessing sanctions; City Council 18 –18 11/16/2021 Page 15 3) Liquidating damages; and/or 4) Disqualifying consultant from future proposing as non-responsible. h.Termination and Substitution of DBE Subconsultants. Consultant shall utilize the specific DBEs listed to perform the work and supply the materials for which each is listed unless Consultant or DBE subconsultant obtains the City’s written consent. Consultant shall not terminate or substitute a listed DBE for convenience and perform work with their own forces or obtain materials from other sources without authorization from City. Unless the City’s consent is provided, the Consultant shall not be entitled to any payment for work or material unless it is performed or supplied by the listed DBE on the Exhibit 10-02 Consultant Contract DBE Commitment form, included in the Bid. i.Consultant shall notify City’s designated representative of any changes to its anticipated DBE participation before starting the affected work. Consultant shall notify City of any notices of decertification or certification regarding a subconsultant’s DBE status. j.Consultant shall provide all required DBE forms to the City as required pursuant to applicable law. k.All certifications required for the Bid are attached hereto as part of Exhibit B to the Agreement. 25.DEBARMENT AND SUSPENSION CERTIFICATION a.Consultant’s signature affixed herein, shall constitute a certification under penalty of perjury under the laws of the State of California, that Consultant has complied with Title 2 CFR, Part 180, “OMB Guidelines to Agencies on Government wide Debarment and Suspension (nonprocurement)”, which certifies that he/she or any person associated therewith in the capacity of owner, partner, director, officer, or manager, is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal agency; has not been suspended, debarred, voluntarily excluded, or determined ineligible by any federal agency within the past three (3) years; does not have a proposed debarment pending; and has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past three (3) years. Any exceptions to this certification must be disclosed to City. b.Exceptions to the Federal Government Excluded Parties List System maintained by the General Services Administration are to be determined by the Federal Highway Administration. City Council 18 –19 11/16/2021 City Council 18 –20 11/16/2021 Page 17 EXHIBIT A SCOPE OF SERVICES City Council 18 –21 11/16/2021 City of Santa Ana RFP 21-075 Page A1-1 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON-CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO. 21-075 INTRODUCTION/PROJECT BACKGROUND The City of Santa Ana is issuing this Request for Proposals (RFP) to seek qualified Right of Way Specialty firms to provide On-Call Right of Way Specialty services on an as-needed or “on-call” basis. From the proposals received, it is the City’s goal to select one or more firms to enter into an agreement(s) with. The capital improvement projects needing the right-of-way services include, but are not limited, to Warner Avenue, Bristol Street, Fairview Street, and Grand Avenue Street Improvements. The services being considered for contract are the following “Specialty Areas”: Specialty Areas Maximum Contract Aggregate Amount A Acquisition/Relocation $300,000 B Property Management Services $148,000 C Property Appraisal Services $148,000 D Business Goodwill Appraisal Services $148,000 E Furniture, Fixtures and Equipment Appraisal Services $148,000 Consultants are encouraged to prepare proposals for the multiple specialty areas listed above. Each Specialty Area shall be submitted individually in response to the RFP. From the proposals received, it is the City’s goal to select one to two firms for each of the specialty services (A, B, C, D, and E). The City will enter into separate agreements (the “Agreement”) with each of these firms. Work will be assigned by Contract Task Orders. As tasks are identified, they will be distributed among these firms based upon their ability to perform the required work within the project schedule and budget constraints. A detailed scope of work and corresponding fee will be outlined when a specific task is assigned to a consultant. The City reserves the right to distribute the work in any manner which will best serve the City’s interests. Right of way firms are welcome to submit proposals for all Specialty Areas. However, the firm providing the Specialty Service for the selected parcels will not be selected for a different Specialty Service for the same parcels. City Council 18 –22 11/16/2021 City of Santa Ana RFP 21-075 Page A1-2 MINIMUM QUALIFICATIONS Consultants must demonstrate the minimum qualifications as established in the California Department of Transportation (Caltrans) Right of Way Manual which can be accessed at: http://www.dot.ca.gov/hq/row/rowman/manual/index.htm. Consultants must demonstrate ability to have successfully negotiated and closed escrow on acquisition of parcels and minimized the eminent domain process on similar projects. DESCRIPTION OF WORK Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or their designee on an as-needed basis. The Consultants 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 must have experience with State and federally funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards.  All acquisition/relocation agents, performing work for the City, must hold a valid California Real Estate License. Salespersons must be registered with the California Department of Real Estate (DRE), as working solely under the Consultant’s supervising broker of record.  Work may include, but is not be limited to, the following: o onsite review of the project area o review of existing records o conducting research and performing analysis o information gathering o negotiations o developing strategies o prepare memos and letters o attend community meetings as needed  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. Sub-consultant markup is not allowed in this contract. City Council 18 –23 11/16/2021 City of Santa Ana RFP 21-075 Page A1-3  The Consultant shall have a Quality Control Plan in effect during the entire time work is being performed under the Agreement. The Quality Control Plan shall establish a process whereby work products are independently checked, corrected and back checked. All project related correspondences and documents shall be maintained and bound in appropriate project files. Additionally, all electronic files shall conform to the City’s file naming system.  The Consultant shall diligently work on each 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  Consultant’s Project Manager and critical staff must attend the monthly meetings with City Staff and other consultants requested by the City to review project progress, the schedule and any critical issues/items and the follow up action items necessary. All status reports must be submitted ahead of the meetings.  Consultant must prepare a Weekly Status report and submit to the City. Format and specific items of each status report must be reviewed and approved by the City.  Consultant must maintain electronic files of all the project parcels and correspondence including all reports generated by other related consultants required to perform acquisition/relocation and property management services.  All electronic submittals of files must be through a shared folder. Consultant must upload and keep current the project parcel information and files in the shared folder established for the project.  Consultant must prepare electronic files of the parcels according to the Caltrans Review Process for right-of-way Certification.  Project files including copies of all correspondences, reports, documents, and electronic files shall be submitted to the City when requested and electronically updated as requested by the City.  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 such notification, the Consultant will proceed with the services required by the Agreement. City Council 18 –24 11/16/2021 City of Santa Ana RFP 21-075 Page A1-4 SPECIALITY AREA A ACQUISITION & RELOCATION SERVICES Acquisition Consultant Responsibilities  “Good faith negotiations” with property owners for the purchase of right-of-way based on values established in the reviewed and approved appraisals.  Adherence to all professional standards including the Caltrans Right-of-Way Manual and all applicable laws and regulations.  Preparation of all written correspondence, applicable forms and City’s standard purchase agreement.  Coordination with City staff.  Performance of notary services related to the signing of acquisition documents.  Escrow coordination with Agency’s selected title company.  Completion of final close-out work per Caltrans requirements.  Maintenance of all acquisition files including acquisition diaries. Acquisition Consultant Responsibilities under the Uniform Act  Ensure establishment of just compensation by local agency prior to initiation of negotiations.  Expeditious acquisition within 30 days of approved appraisal.  First Written Offer should be presented in person when possible.  Caltrans requires that a copy of the appraisal report shall be provided to the owner with the First Written Offer; a Summary Statement (basis for the appraisal) is adequate in this case.  Owner to be given reasonable time to consider City’s offer and present material relevant to value determination (i.e., 30 days and a minimum of 3 contacts)  Payment is required before taking possession unless date of possession clause is used in contract. Agency is responsible for payment of all incidental expenses (title, escrow, surveys, prepayment penalties)  Preparation of Administrative Settlements when it is reasonable and in the public interest.  Diary entries including confirmation of delivering Title VI information. Acquisition Consultant Tasks  Meet with City staff to discuss assignments and procedures.  Perform the services required by the City with qualified personnel, equipment, materials, supplies, and management and administration services.  All personnel and subcontractors, referred to as “Approved Personnel”, shall be approved by City, prior to providing services. There shall be no changes in the Approved Personnel without written concurrence of the City.  Prepare and maintain a schedule of major activities and milestones and provide an estimate City Council 18 –25 11/16/2021 City of Santa Ana RFP 21-075 Page A1-5 of the cost to conduct proposed assignments including assignments to subcontractors. Upon City’s written approval of the estimated cost, initiate the assignment in a timely manner.  Present strategies for negotiating successfully and reach agreements with Property Owners and their representatives and to close the acquisition Process.  Be responsible for the accuracy of work and promptly make all necessary revisions or corrections resulting from errors and omissions by Approved Personnel.  As deemed necessary by the City, meet with the City and other staff as requested.  Prepare, monitor and maintain all files (electronic as well as hard copy) to ensure overall project integrity.  Coordinate with the appraisers for site inspections.  Review appraisal reports to ensure conformity with the environmental document and the Right-of-Way (ROW) Map.  Prepare and assemble the “Offer Package” using the format approved by the City for City signature.  Meet and present written purchase offers to property owners as directed by staff.  Negotiate effectively with property owners, or businesses, tenants (or their appointed representatives) to successfully obtain an agreement for the purchase and sale transaction.  Supplement negotiations by obtaining and reviewing counter offers or demands from property owners, recommendations for settlements, coordinating with the agency to review and discuss all possible solutions and problems, including condemnation.  Prepare all acquisition agreements, deeds and other documents necessary to complete the acquisition.  Obtain property owners’ signature on the Purchase & Sale Agreements (PSA)  Obtain re-conveyance and subordination agreements as necessary. Maintain an accurate and current record of all-pertinent information and contacts concerning the property owners and tenants.  Assist City in condemnation support activities.  Open escrow after execution of PSA by the City and coordinate closely with title and escrow companies to ensure escrow is closed on-time and properly.  Coordinate with lenders and escrow companies to obtain partial re-conveyance for part take acquisitions and obtain approval for close of escrow.  Obtain recorded deeds and title insurance policies after close of escrow and maintain appropriate reports for City.  Prepare and maintain a weekly status report of all cases identified by parcel number, property owner, address, Assessor’s parcel map (APN) and all other important information required to monitor progress of acquisition cases. Relocation Services Consultant shall provide a complete relocation assistance program to comply with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Uniform Act) or Title 25, California Code of Regulations, its amendments, and other pertinent laws and regulations. City Council 18 –26 11/16/2021 City of Santa Ana RFP 21-075 Page A1-6 Prepare relocation plans, relocation guidelines, relocation cost estimates, project area surveys and other specialized reports. Consultant’s relocation services include, but are not limited to the following: General Relocation Services  Prepare and maintain a schedule of major activities and milestones for relocation. Upon City’s written approval of the estimated cost, initiate the assignment in a timely manner.  Provide relocation advisory services.  Meet personally with each displacee to ascertain the nature and scope of relocation assistance required, to inform the displacees of their rights, and to explain the relocation process.  Prepare a weekly status report of relocation cases to be submitted to the City in a format approved by the City.  Document and log all contacts and activities.  Prepare and distribute informational brochures and other required notices.  Determine each displacee’s eligibility for relocation; prepare an estimated timeline and list of benefits. All Notice of Eviction’s (NOE) must be reviewed by the City prior to presentation to displacee.  Prepare “Relocation Claim Package” in accordance with City approved format.  Claim package must clearly identify the beneficiary of the claim (tenant or owner), benefit calculations per Caltrans standards, assignment of benefit forms signed by all parties and the consultant, W9 to match the name of the claimant as appears on the claim form. All claims must include the (NOE).  Relocation checks requested for pick up by consultant must be picked up by authorized personnel from City with a signed receipt.  Consultant must practice a system of “checks & balances” for delivery of relocation checks to recipients. It is suggested that checks be delivered by a different agent involved in negotiating with the claimant.  Conduct appropriate searches for relocation replacement sites and provide relocation site referrals to displacees  Obtain moving bids and prepare estimate of benefits.  Coordinate closely with Property Management consultant so that proper fencing, board up, utility shut-off and testing of lead and asbestos can begin immediately upon vacancy of the buildings. Residential Relocation Services  Prepare residential relocation claims and submit to the City for approval and payment  Personally inspect replacement dwellings and/or buildings and sites to determine if they are safe and meet sanitary regulatory requirements  Coordinate the move with displace  Prepare certification of abandonment and submit to the City City Council 18 –27 11/16/2021 City of Santa Ana RFP 21-075 Page A1-7 Business Relocation Services  Conduct interviews and establish eligibility for relocation benefits.  Coordinate with Furniture, Fixture, and Equipment (FF&E) appraiser to prepare an inventory of personal property, accompany the appraiser if requested.  Coordinate with real estate appraiser to ensure there’s no duplication of benefits, accompany the appraiser if requested.  Coordinate with business goodwill appraiser and provide necessary assistance.  Search and provide potential relocation sites to the businesses/tenants based on the type of business and their needs.  Determine eligibility for in-lieu payment.  Prepare construction cost estimates to determine reasonable relocation benefits of replacement properties.  Determine actual and reasonable search expenses.  Arrange for a final walk-through inspection of the property with displacee.  Coordinate and monitor the move to ensure City purchased items are not part of the move.  When personal FF&E is purchased from tenants, consultant must assist the City for bulk sale of the purchased items.  Prepare final claim, certification of abandonment and submit to the City. Construction and Moving Bid Services Movers  Conduct on site inventory and photos.  Complete certified inventory and mover instruction form.  Schedule and coordinate bids.  Attend site inspection, if necessary. Contractors:  Verify licensing  Prepare mover instruction form  Schedule and coordinate bids  Attend site inspection, if necessary  Review and compare bids  Evaluate for eligibility Relocation Plan Consultant shall prepare a Relocation Plan, in accordance with all requirements of State Law, State Housing and Community Development (HCD) Guidelines, the Relocation Assistance and Real Property Acquisition Rules and Regulations of the Agency. The purpose of this Relocation Plan is to provide the City with summary and statistical information regarding the impact of a City Council 18 –28 11/16/2021 City of Santa Ana RFP 21-075 Page A1-8 project to potential displaced people. Specifically, this report shall identify potential impacts that may occur as a result of the demolition of existing structures, proposed displacement of occupants, and a plan to mitigate respective impacts. The Relocation Plan shall include: Description of the proposed project and project location Assessment of needs Replacement housing resources Residential and commercial displacements Temporary housing (if applicable) Program assurances and standards Relocation assistance program Citizen participation and plan review period Description of relocation benefits Eviction policies and procedures Appeals and grievance procedures Displacement schedule Estimated relocation costs City Council 18 –29 11/16/2021 Page 18 EXHIBIT B CONSULTANT’S PROPOSAL City Council 18 –30 11/16/2021 City Council 18 –31 11/16/2021 City Council 18 –32 11/16/2021 Section One STATEMENT OF QUALIFICATIONS City Council 18 –33 11/16/2021 July 27, 2021 Kenny Nguyen Project Manager City of Santa Ana Public Works Agency 20 Civic Center Plaza, M-36 Santa Ana, CA 92701 Subject: On Call Right-Of-Way Specialty Services RFP N0: 21-075 Dear Mr. Nguyen and RFP Review Panel, Monument is proposing on the City of Santa Ana On Call Right-of-Way Specialty Services RFP for Acquisition and Relocation Services. Monument has researched the City’s Capital Improvement Program and understands the potential project needs. We are confident Monument is the right choice for the City as demonstrated below and outlined in our Proposal. Why Monument is the clear choice for the City. The following differentiators demonstrate just a few of the many reasons why Monument is the clear choice for the City’s right-of-way needs. These are expanded upon in our Proposal. • Our Project Manager. We are presenting one of our best, Daniela Borbe, as the Project Manager for the City of Santa Ana. Over the past 15 years Daniela has managed multiple projects for the City including Warner Avenue Widening, Grand Avenue Widening and all three phases of the Bristol Street Widening project. Daniela posses the knowledge, experience and City tribal knowledge necessary to successfully execute the City’s projects. • Our Team. The Monument Team is a force to be reckoned with and unmatched in experience. Our Team is a diverse group speaking multiple languages to better serve the Santa Ana community. Many in our proposed Team currently work with or have worked on projects for the City. What this translates to is our Team understands the City’s project delivery philosophy and can hit the ground running without a learning curve. This saves time and money. • We are Local. Monument has offices in Irvine with the majority of our staff within 20 minutes from the City of Santa Ana. We are present and available to make in-person visits, meetings, and community meetings. Responsiveness. Our proposal is in strict compliance with the Request for Proposal requirements, and we acknowledge the RFP and Q & A Addendum. We have carefully reviewed the proposal requirements and have responded to all requests for information from Monument and our proposed team. Monument’s management team have the requested licenses and many years of experience supervising and managing right-of-way activities for municipalities and public agencies. Our Acquisition Agents are seasoned as well as licensed. City Council 18 –34 11/16/2021 Qualifications and Experience. Monument’s management team have been in the business for over 150 years combined! Our agents and support staff are seasoned experts in acquisition and right-of-way support. The Monument Team has successfully managed public works projects throughout California, involving thousands of parcels and property owners and countless miles of right-of-way. Technical Approach and Timeline. The members of the Monument Team are known in the industry for successfully completing projects on an accelerated schedule. We offer value through early project planning, a clear scope of work, defined project tasks and deliverables, quality control, exceptional project performance and knowing the real estate and right-of-way process and timetables. In addition, we know the importance of collaborating with stakeholders to ensure the successful and timely completion of each project. Price. Monument understands and is sensitive to the budget constraints that government entities often face; therefore, we are happy to provide competitive rates that fall within the City’s budget. Contract Agreement Statement. Monument approves of the Sample Contractor Agreement and will agree to its terms without modification. Monument was established as a DBE and SBE with the intent to provide true expertise and focused client service. The Monument Team has successfully managed public works projects throughout California, involving thousands of parcels and property owners and countless miles of right-of-way. We are confident that the attached proposal clearly identifies the ways in which Monument can fulfill the needs of the City of Santa Ana in a cost-effective and timely manner. Please do not hesitate to reach out with additional questions. Amber Costello may be reached by phone at 562.260.0507 or electronically at acostello@monumentrow.com. We look forward to serving the City of Santa Ana. Sincerely, Amber Costello President City Council 18 –35 11/16/2021 3 B. FIRM AND TEAM EXPERIENCE Monument, a DBE and SBE certified firm, is a full- service real estate and right-of-way company providing exceptional service, strategic planning, innovation and timely delivery. We serve local, state and federal agencies, transportation authorities and engineering partners with public infrastructure projects throughout California. At Monument, we understand the difference an experienced, solutions-minded right-of-way partner can bring in achieving the goals and objectives of a project and that’s exactly what we are. We have successfully delivered hundreds of projects as a Team, with our success attributed to our Company motto. . . we listen, we innovate, we deliver. Monument is more than your typical right-of-way company. Our team is comprised of the best in the industry, most with over 25 years in the business and leaders of some of the largest and most complex projects delivered in the State of California. Monument’s interdisciplinary team is composed of highly experienced project managers, seasoned acquisition agents, relocation experts and project support specialists, working together with the client to provide solutions at every phase of the project. The Monument team is known in the industry for successfully completing projects on an accelerated schedule. We accomplish this with early project planning, a clear scope of work, defined project tasks and deliverables, quality control, exceptional performance, and communication with the client and project partners. We know the importance of collaborating with stakeholders to ensure the successful and timely completion of each project. Monument is much more than a provider of real estate services, we act as a project partner, equally invested in the goals and objectives of the project and fully integrated with the project team. Office Location & Point of Contact The proposed services will be performed by staff in Monument’s Irvine office which is located at 200 Spectrum Center, Suite 300, Irvine, CA 92618. Our team will be led by Daniela Borbe, Project Manager, who has invaluable experience with the City. Daniela will be supported by Joey Mendoza, Principal-In-Charge. Joey is authorized to bind the company and can be reached directly at 949.378.0687 or electronically at jmendoza@monumentrow.com. DBE & SBE Participation Monument is certified as a Disadvantaged Business Enterprise (DBE) registered as CUCP #46456 and Small Business Enterprise (SBE) firm in the State of California. For projects receiving direct federal transportation funding, Monument can assist the City of Santa Ana in satisfying any DBE and SBE participation goals that may be required. Our Services Monument is a robust team of experts in many right-of-way disciplines. We are more than just acquisition and relocation. Monument offers the following full range of services, should the City have any additional right-of-way needs: PROPOSED TEAM with over 100 years of experience ORGANIZATION TYPE: DBE and SBE Offices in IRVINE and Sacramento FIRM SIZE: 25+ employees • Project & Program Management • Planning & Programming • Property Acquisition • Residential & Business Relocation • Property & Asset Management • Appraisal & Appraisal Review • Title & Escrow • Condemnation Support • Economic Feasibility Studies • Site Location & Corridor Analysis • Utility Coordination • Prior Rights Research & Investigation • Right-of-Way Engineering • In Lieu Staffing Support City Council 18 –36 11/16/2021 4 WHY THE CITY SHOULD CHOOSE MONUMENT We present three key differentiators which set Monument apart from our competition and demonstrate that Monument is the right choice for the City of Santa Ana. OUR PROJECT MANAGER Our designated Project Manager, Daniela Borbe, has worked in partnership with the City of Santa Ana for over 15 years and has successfully delivered multiple projects including Bristol Street Widening Project, Phases 3A, 3B and 4, Warner Avenue Widening Project and Grand Avenue Widening Project. Daniela is a highly dedicated and experienced Project Manager with over 20 years of experience managing projects in Orange County and the greater Los Angeles area. Daniela has the demonstrated ability to meet and exceed the needs of the City while building trust with the community and stakeholders. Daniela brings significant tribal knowledge of the City’s preferences, policies and procedures, fiscal sensitivity, and understands how the City manages projects. There is no learning curve here . . . Daniela is the Project Manager for the job! OUR TEAM Monument staff have been delivering projects for the City of Santa Ana for many years. The Monument Team is over 25 members strong, many having direct experience working with the City of Santa Ana on both past and current projects. Our Acquisition Lead, July Yokogawa, and seasoned Agents Mario Cerna, Tim McCloud, and Cami Stigall, are actively working cases and have completed City projects over the last decade. Our knowledge of City policy and practice allows our Team to provide the most cost and time-efficient service to the City of Santa Ana. Further, our Team includes the best right-of-way practitioners in the industry who have joined forces at Monument which provides the City of Santa Ana with a depth of knowledge and resources to tap into as needed. WE ARE LOCAL Monument has the local resources necessary to meet the City’s needs. Our office, as well as the residences of our proposed staff, are all within 20 minutes of the City of Santa Ana. Our proposed Team and additional resources are truly local and available to attend in-person client meetings, board meetings, tenant and owner meetings, site walks and any other coordinated planning sessions. We are available and present to the City of Santa Ana. Now let’s dive into the Monument Team and our experience. . . City Council 18 –37 11/16/2021 City Council 18 –38 11/16/2021 City Council 18 –39 11/16/2021 City Council 18 –40 11/16/2021 City Council 18 –41 11/16/2021 City Council 18 –42 11/16/2021 10 MARIO CERNA Senior Agent 18 Years Experience Mario is an experienced right-of-way professional with over 18 years of experience working in acquisition and relocation supporting development and infrastructure projects. Mario has successfully relocated thousands of both residential owners and tenants and relocated hundreds of businesses. Mario is also an experienced acquisition agent and is fluent in Spanish. JEREMY NIED, SR/WA Senior Agent 20 Years Experience Jeremy has more than 20 years experience in the right-of-way and real estate services industry. He has worked with a wide range of public agencies and private sector clients with an emphasis on transportation, housing and flood control projects. He is experienced in negotiating with private parties, corporations, and lenders to obtain lender consents and subordination agreements. Jeremy is also experienced in property analysis and valuation. RAMIE DAWIT Senior Agent 15 Years Experience Ramie has been in the right-of-way profession for over 15 years. Ramie has delivered over 5,000 cases in her career to date including businesses, residential, railroad, manufacturing, public agency and much more. She excels at managing multi-disciplinary road improvement projects with Caltrans oversight. TIM MCCLOUD Agent 5 Years Experience Tim has 5 years of experience as a Right-of-Way Agent handling all aspects of acquisition, relocation, escrow coordination, document preparation, data management, and title review and analysis. Tim has been involved in real estate transactions ranging from property acquisition to development and disposition. Tim has worked on significant projects throughout California and is an excellent at analysis and synthesis of large amounts of data. HABEN WOLDEMARIAN Agent 5 Years Experience Haben has been in the right-of-way business for over 5 years and has developed into a multi-tasking, utility player. He is experienced in property management, relocation, acquisition, and project controls. He is also experienced in property management and manages subconsultants and vendors in addition to drafting relocation plans, cost estimates and review of appraisal reports. CAMI STIGALL Agent 3 Years Experience Cami has experience in all aspects of acquisition and relocation. Cami works with municipal agencies and cities, and is experienced in disseminating project information, managing large quantities of data and developing and maintaining project deliverables under the direction of the project manager and client. RYAN MENDOZA Agent 3 Years Experience Ryan has been in the right-of-way industry for over 3 years and is experienced in all aspects of acquisition and relocation. He works with local cities and municipalities on projects of all sizes. His responsibilities include coordinating project materials, research and fact-finding, generating schedules, preparing reports, managing meeting minutes, updating project information, scheduling meetings, conferences, and other project-related events. RICKY RODRIGUEZ Caltrans Technical Advisor 30 Years Experience Ricky has over 30 years in the industry and is one-of-a-kind given his expertise in the disciplines of utility relocation coordination and right-of-way acquisition services. He is retired from Caltrans where he managed all agents and surveyors in all aspects of acquisition, appraisal, excess lands, airspace, relocation, utility relocation, planning and management, property management, demolition, clearance, right of way engineering and certification. City Council 18 –43 11/16/2021 11 C. UNDERSTANDING OF NEED The City of Santa Ana is seeking a professional consultant to provide a full array of real estate and right-of-way services to assist in delivering the City’s capital improvement program. Monument has researched the City’s Capital Improvement Program and Adopted Budget for Fiscal Year 2021/2022, and we understand that right- of-way services may be required for the following future projects: Bristol Street and Memory Lane Intersection Widening, Bristol Street Improvements and Widening: Phase 4, Fairview Street Improvement and Bridge Replacement Program. The City’s Capital Improvement Program also identifies numerous street improvement, sewer, utility, active transportation, park and facility projects. Not only does Monument have a clear understanding of the City needs, we have over a decade of experience working directly with the City of Santa Ana delivering many projects. As mentioned in this proposal, many of our team have delivered projects and worked with the City including Project Manager, Daniela Borbe, Acquisition Lead, July Yokogawa (formerly July Ly), Senior Agent, Mario Cerna, Agents, Tim McCloud an Cami Stigall, and Joey Mendoza, Principal of Monument and Principal-in-Charge. This direct experience working with the City of Santa Ana provides Monument valuable insight into the City’s real estate and right-of-way needs. In particular, we understand the City is looking for a trusted Consultant that provides quality service, but also goes above and beyond in achieving the City’s objectives as follows: Local. Monument’s office and its Team are within short driving distance to the City and we know the City and surrounding areas well. We believe this is vital to serve the City and community by providing quick response times for in-person meetings and to ease property owners and impacted occupants in-person, when needed. Our close proximity to the City makes it easy for us to hand deliver important documents between the parties, such as agreements, deeds, and checks, and ensures these documents reach their destination safely. KRISTINE SANDER Project Support 6 Years Experience Kristine has years of experience in many aspects of the professional real estate industry. Her role as project coordinator includes disseminating project information and developing and maintaining project deliverables under the direction of the Project Manager. Her responsibilities include coordinating project materials and research, generating schedules reports, updating project information, scheduling meetings, conferences, and other project-related events. JESSICA NORVELL Project Support 5 Years Experience Jessica has experience in many aspects of the professional real estate industry. As a critical team member of the Monument Project Support Team, Jessica is experienced in disseminating project information, managing large quantities of data and developing and maintaining project deliverables under the direction of the project manager and client. TIFFANY MCCLOUD Project Support 8 Years Experience Tiffany provides acquisition and relocation assistance. Her duties include offer packages, contracts, site searches, and client interviews, and other support services for Monument projects. Tiffany updates and maintains the project database and case files. City Council 18 –44 11/16/2021 City Council 18 –45 11/16/2021 City Council 18 –46 11/16/2021 14 SCHEDULE, COST CONTROLS, REPORTING & QUALITY Project controls are a key component to Monument’s project management approach. Controls provide the process and method needed to run a project and assists the Team in driving the project in an organized and systematic manner. Monument’s will strive to complete the City’s projects ahead of schedule and under budget. We will accomplish that using the following tools to manage, monitor and adapt to the ever-changing environment of a project. RIGHT-OF-WAY SCHEDULE Daniela will prepare a right-of-way delivery schedule at the onset of the project, which will be updated and tracked frequently relative to the overall project baseline schedule. The right-of-way schedule will correspond to the project schedule, linking project milestones, master schedule information and project constraints to the acquisition and relocation tasks and other project control tools. Other project control tools include project tracking at both the relocation and acquisition level, as well as project status reports and project construction need date tracking. Schedule updates will be provided to the City at least monthly, and more frequently if significant milestones are achieved. A sample schedule is provided on the next page. COST CONTROLS Monument will prepare a detailed budget for right-of-way capital and services costs with line items for each anticipated acquisition, relocation and related costs. This will serve as the baseline budget for the right-of-way program and will be used for comparison of budgeted and actual expenditures. Daniela will work closely with the City to assure that projected needs are programmed and appropriate reports are issued to track contract commitments, actual expenses and forecast. This will include regular updates on schedule, budget, acquisition and contract status to appropriate City staff. PROPERTY ACQUISITION AND RELOCATION REPORTING Daniela will prepare monthly progress reports that will present the status of the acquisition and relocation cases and provide measures of progress per parcel. These monthly progress reports will be provided to the City and distributed to other project team members. They will serve to track deliverables and key milestone dates for each case, such as appraisal completion, offer presentations, agreement dates, escrow openings and closings as well as time sensitive condemnation activities to ensure the process can successfully advance to the advertisement and construction phase. City Council 18 –47 11/16/2021 City Council 18 –48 11/16/2021 16 D. RELEVANT PROJECT EXPERIENCE Monument’s team has been part of the Southern California business landscape for more than 25 years delivering right-of-way services on hundreds of projects. Our portfolio of projects include a variety of capital improvement projects for cities, counties, transportation agencies and municipalities, with an emphasis on projects involving state and federal funding that require compliance with the Caltrans Right-of-Way Manual and FHWA procedures. Monument’s staff have successfully completed countless projects that involved implementation of the Uniform Relocation Assistance and Real Property Acquisition Act of 1970 (the Uniform Relocation Act) and under local, state and federal guidelines. The following table identifies a few of the more recent projects in Southern California that involved the delivery of right-of-way services by our team. Further, we have provided three full project references for your review. AGENCY | PROJECT NAME | LOCATION PROJECT MANAGEROTHER MONUMENT PERSONNEL INVOLVED CALTRANS FHWAPROJECT MGMTACQUISITIONRELOCATIONWarner Avenue Widening Project, Phase 1 and 2City of Santa Ana | Santa Ana, CAKenny Nguyen | 714.647.5632 | knguyen@santa-ana.org Daniela Borbe Joey Mendoza, July Yokogawa  Bristol Street Widening Project, Phases 3A, 3B, and 4City of Santa Ana | Santa Ana, CAKenny Nguyen | 714.647.5632 | knguyen@santa-ana.org Daniela Borbe Joey Mendoza, July Yokogawa  Grand Avenue Widening ProjectCity of Santa Ana | Santa Ana, CAKenny Nguyen | 714.647.5632 | knguyen@santa-ana.org Daniela Borbe Joey Mendoza  State Route 55 ProjectOrange County Transportation Authority | Orange, CARose Casey | 714.560.5729 | rcasey@octa.net Daniela Borbe Joey Mendoza, July Yokogawa  Interstate 405 Improvement ProjectOrange County Transportation Authority | Orange, CARose Casey | 714.560.5729 | rcasey@octa.net Daniela Borbe Joey Mendoza, July Yokogawa  South Laguna Tunnel Stabilization and Sewer Pipeline ReplacementSouth Coast Water District | Laguna Beach, CAJoseph McDivitt | 949.499.4555 ext 3122 | jmcdivitt@scwd.org Daniela Borbe Joey Mendoza, July Yokogawa  La Cadena Over Santa Ana River Bridge Improvement Project City of Colton | Colton, CAVictor Ortiz | vortiz@coltonca gov Daniela Borbe Joey Mendoza, July Yokogawa  La Paz Bridge / Roadway WideningCity of Mission Viejo | Mission Viejo, CAMark Chagnon | 949.470.3091 | mchagnon@cityofmissionviejo.org Daniela Borbe Joey Mendoza  Crown Valley Parkway Widening ProjectCity of Laguna Niguel | Laguna Niguel, CA Daniela Borbe Joey Mendoza  Anaheim Canyon Metro Link Pedestrian Improvement ProjectCity of Anaheim | Anaheim, CACesar Morales | 714.765.5176 ext 4433 | cmorales@anaheim.net Daniela Borbe Joey Mendoza  Jamboree Road Bridge Widening at State Route 73City of Newport Beach | Newport Beach, CAAndy Tran | 949.644.3315 | atran@newportbeachca.gov Daniela Borbe Joey Mendoza  West Valley Connector ProjectSan Bernardino County Transportation Author ty | San Bernardino, CAVictor Lopez | 909.884.8276 | vlopez@gosbcta.com Joey Mendoza July Yokogawa  Ontario Tunnel ProjectSan Bernardino County Transportation Author ty | San Bernardino, CAVictor Lopez | 909.884.8276 | vlopez@gosbcta.com Joey Mendoza July Yokogawa  Mount Vernon Bridge ReplacementSan Bernardino County Transportation Author ty | San Bernardino, CADennis Saylor | 909.889.8611 | dsaylor@gosbcta com Joey Mendoza July Yokogawa  California High Speed Rail ProjectCal fornia High Speed Rail Authority | Fresno, CADennis Kim | 916.384.0863 | dennis.kim@hsr.ca gov Ramie Daw t July Yokogawa, Patti Fiest  City Council 18 –49 11/16/2021 City Council 18 –50 11/16/2021 City Council 18 –51 11/16/2021 City Council 18 –52 11/16/2021 City Council 18 –53 11/16/2021 City Council 18 –54 11/16/2021 19 We understand the City is seeking a professional real estate consultant to provide comprehensive right-of-way acquisition and relocation services for its Capital Improvement Program. Funding for these projects will involve a combination of local, state and federal funding and applicable regulations and policies. Monument is a leader in right-of-way consulting services in California with an emphasis on capital improvement projects for cities, counties and local agencies. We have an extensive understanding of the City’s requirements, having provided acquisition and relocation services for the City of Santa Ana and similar projects for other local agencies in Orange County. Monument provides project management and right-of-way services for state and federally funded projects, and we are experts in the requirements of the Caltrans Right of Way Manual, including funding applications, acquisition and relocation procedures, utility coordination, right-of-way certification and all other requirements of the Local Assistance Procedures Manual. Over the past 25 years, Monument’s principals and management team have led right-of-way programs for hundreds of water, flood, utility, highway, bridge, road improvement and transit projects throughout California. These projects include both design-bid-build and design-build, each requiring a unique, customized right-of-way implementation plan based on the project objectives and desired outcomes. SCOPE OF WORK Monument has direct experience performing all services outlined in the City’s RFP, which will require compliance with all applicable state and federal guidelines to ensure funding is never compromised. Further, Monument is well versed in the Caltrans Right of Way Manual and FHWA requirements applicable to on-system projects. All right-of-way services performed on the City’s projects will comply with federal, state and local laws and regulations as referenced in the Project Understanding section. As such, Monument has prepared the following Scope of Work to deliver the requested services for this project. Project Management Monument’s Project Manager, Daniela Borbe, has an in-depth understanding of the right-of-way process, applicable policies and regulations, an ability to comprehend both the “big picture” and the project details, superior problem-solving and communication skills, creative thinking and adaptability. She possess these qualities and ensures quality control and timely execution of the project. As she has exhibited on past projects for the City of Santa Ana, she will work closely with City staff and the engineering team in performing the required real estate services, and establish work processes to manage and coordinate right-of-way activities to ensure that deliverables meet quality standards. Daniela will work with City staff to anticipate potential issues, resolve problems, recommend solutions, and ensure the project schedule is adhered to by the team. For the City’s project, we anticipate following tasks: • Participate in a Right-of-Way Kick Off meeting with the City and design consultant to ensure design, appraisal and right-of-way impacts are coordinated and on schedule, establish lines of communication, project reporting requirements, as well as listen to the City’s concerns and address any issues that may arise. • Schedule regular meetings with the City and Project Team to ensure that project deliverables stay on schedule and within budget. Participate in project and public meetings, as required. • Provide oversight for all right-of-way acquisition and relocation activities to ensure timely and accurate performance of real estate activities. • Coordinate with design engineers and surveyors in the performance of right-of-way engineering. • Prepare and deliver written progress status reports for cases, updates to other City consultants on schedule and cost updates, as required. • Manage and maintain quality control program City Council 18 –55 11/16/2021 20 to ensure compliance with City and Monument requirements. Our QA/QC Manager will conduct weekly reviews of the project reporting to ensure compliance with City and regulatory requirements. • Provide general consulting services to City staff and their consultants on matters relating to appraisals, appraisal reviews, environmental assessments, acquisitions, relocation assistance, property management, title and closing services and policy implementation. • Implement and comply with Uniform Act guidelines, State and Federal laws, Caltrans Local Assistance Program Guidelines, Caltrans Local Assistance Procedures Manual and the Caltrans Right of Way Manual (as necessary). • Develop all necessary acquisition and relocation formats for use on the project, including appraisal notices, offer letters, appraisal statements, acquisition brochures, agreements, contracts, deeds, relocation notifications and claim forms, in a format acceptable to the City and the City’s counsel. Right-of-Way Acquisition Monument performs negotiations for voluntary and involuntary acquisitions with a hands-on approach knowing the sensitivity involved. We comply with all applicable laws and regulations including the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 or Title 25, California Code of Regulations, and its amendments. Utilizing our team of bilingual agents, we establish trusted relationships with the property owners to ensure a smooth transaction while ethically representing the City. Preparation of Offer Package. Monument’s Project Manager will complete a thorough review of both the appraisal and the appraisal review, as well as the title report and underlying documents, vesting information, and other relevant documents for the preparation of the City’s purchase offer packages. Each offer package will contain the City’s written offer letter, Appraisal Summary Statement, Statement of Just Compensation, acquisition brochure, proposed Right-of-Way Contract and deeds, Title VI, if applicable, and an itemized list of Improvements Pertaining to the Realty, if applicable. Before submitting offer packages to the City for approval, Monument’s QA/ QC Manager will perform a comprehensive review to ensure all documents contained in the package comply with required laws and regulations and meet the City’s quality standards. Negotiations. Monument’s Acquisition Agent will contact the property owner(s) and, if possible, meet with the owner in person at a convenient location to present the City’s offer within two (2) weeks after receipt of the approved appraisal and determination of just compensation by the City. During this meeting, the agent will discuss the project, explain the property rights affecting the property, review the proposed project design, present the offer to purchase, review the salient information in the appraisal report, review the terms of the ROW Contract and answers any questions or concerns the owner may have concerning the process. An informational brochure explaining the acquisition process will also be provided. Immediately following this meeting, the Acquisition Agent will notify the Relocation Agent of the initiation of negotiations and if relocation will be required. Owners will be given reasonable opportunity to consider offers, present materials they believe are relevant to determining property values, and suggest modifications in the proposed terms and conditions of the purchase. Every reasonable effort will be made to acquire the necessary real property rights expeditiously through negotiations. The Acquisition Agent will proactively communicate with the property owner on a regular basis, meet in person when necessary, and respond to any questions, concerns or clarifications requested by the property owner. The Acquisition Agent will establish a file and maintain a parcel diary/log to record all communications with the property owner and/or the property owner’s representative. If an amicable agreement is reached with the property owner, the Acquisition Agent will prepare a memorandum transmitting the owner’s signed agreement and executed deeds to sell the property, for review and approval by the City. Upon the City’s acceptance, City Council 18 –56 11/16/2021 21 Monument will prepare a memorandum transmitting the agreement and deeds to the escrow company to initiate the escrow due diligence process. Escrow Coordination. After an offer is accepted and the purchase agreement is approved by the City, Monument’s Escrow Coordinator will transmit the original documents to the escrow company and request that the title company send an updated Preliminary Title Report. The Escrow Coordinator will review the updated title report and prepare a memorandum of disapproved title exceptions. The escrow company will prepare escrow instructions, transmit a copy of the purchase contract to the title company and begin the process of satisfying all monetary liens, prorating taxes and clearing adverse title exceptions and encumbrances. Upon escrow’s request for funds from the City, the estimated closing amount will be deposited in escrow, and upon close, the escrow holder will record a deed and issue a title insurance policy. The Escrow Coordinator will provide ongoing support to the escrow officer to ensure the timely execution of escrow instructions, coordination of title clearance documents and processing of wire transfers. Escrow closure generally will be accomplished in 30 to 60 days. Condemnation Support. In the event negotiations are unsuccessful and the Acquisition Agent recommends that an administrative settlement is not feasible or project timing requires use of the eminent domain process, the Project Manager will submit a recommendation to the City to initiate condemnation proceedings. The Monument Team will work closely with the City’s condemnation counsel in preparing the resolution hearing notices, providing a duplicate copy of the agent’s acquisition file, and assist in the eminent domain complaint and in trial preparation as requested. Settlement negotiations by legal staff may continue until the trial begins, including alternative dispute resolution and negotiations for Stipulated Use and Possession to ensure access to the property consistent with project schedules. Relocation Monument will provide relocation services to assure that displaced individuals and businesses promptly receive relocation benefits consistent with Federal, State, and local regulations, Caltrans policies and procedures, and City’s ROW Policies and Procedures, where applicable. • Perform all relocation assistance services in accordance with the Uniform Relocation and Real Property Acquisition Act; the California Relocation Assistance and Real Property Acquisition Guidelines; the City’s Policies and Procedures and any other applicable regulations. • Prepare a Relocation Plan, if necessary. • Meet personally with each prospective displacee to ascertain the nature and scope of relocation assistance required, to inform the displacees of their rights, and to explain the relocation process. • Determine each displacee’s eligibility for relocation assistance; prepare an estimated timeline for relocation, and prepare an estimate of the amount of relocation benefits to which each displace is eligible. • Prepare all applicable claim forms, secure claimant’s signatures on claim forms, and submit forms to the City for review, acceptance, and payment. • Conduct appropriate searches for relocation replacement sites and provide relocation site referrals to displacees. • Personally inspect replacement dwellings and/or buildings and sites to determine if they meet decent, safe, and sanitary regulatory requirements. • Where appropriate, advise displacees of available economic assistance and social services; and provide displacees with referrals to organizations, social service agencies and community organizations. • Perform any other normal procedures and processes to implement the relocation assignment and provide any other supporting information and correspondence required by the City. City Council 18 –57 11/16/2021 City Council 18 –58 11/16/2021 Section Three FEE SCHEDULE Please see separately sealed package for Monument’s Fee Schedule City Council 18 –59 11/16/2021 Appendices MONUMENT STAFF RESUMESATTACHMENT 3-1: NON-COLLUSION AFFIDAVITATTACHMENT 3-2: NON-LOBBYING CERTIFICATIONATTACHMENT 3-3: NON-DISCRIMINATION CERTIFICATIONEXHIBIT 10-01: CONSULTANT PROPOSAL DBE COMMITMENT City Council 18 –60 11/16/2021 City Council 18 –61 11/16/2021 City Council 18 –62 11/16/2021 City Council 18 –63 11/16/2021 City Council 18 –64 11/16/2021 City Council 18 –65 11/16/2021 City Council 18 –66 11/16/2021 City Council 18 –67 11/16/2021 City Council 18 –68 11/16/2021 City Council 18 –69 11/16/2021 City Council 18 –70 11/16/2021 City Council 18 –71 11/16/2021 City Council 18 –72 11/16/2021 City Council 18 –73 11/16/2021 City Council 18 –74 11/16/2021 City Council 18 –75 11/16/2021 City Council 18 –76 11/16/2021 City Council 18 –77 11/16/2021 City Council 18 –78 11/16/2021 City Council 18 –79 11/16/2021 City Council 18 –80 11/16/2021 City Council 18 –81 11/16/2021 City Council 18 –82 11/16/2021 City Council 18 –83 11/16/2021 City Council 18 –84 11/16/2021 City Council 18 –85 11/16/2021 City Council 18 –86 11/16/2021 City Council 18 –87 11/16/2021 City Council 18 –88 11/16/2021 Page 19 EXHIBIT C COMPENSATION AND COST PROPOSAL City Council 18 –89 11/16/2021 City Council 18 –90 11/16/2021 City Council 18 –91 11/16/2021 City Council 18 –92 11/16/2021 City Council 18 –93 11/16/2021 Local Assistance Procedures Manual Exhibit 10-O2 Consultant Contract DBE Commitment INSTRUCTIONS – CONSULTANT CONTRACT DBE COMMITMENT CONSULTANT SECTION 1. Local Agency -Enter the name of the local or regional agency that is funding the contract. 2. Contract DBE Goal -Enter the contract DBE goal percentage as it appears on the project advertisement. 3. Project Description -Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc). 4. Project Location -Enter the project location as it appears on the project advertisement. 5. Consultant’s Name -Enter the consultant’s firm name. 6. Prime Certified DBE - Check box if prime contractor is a certified DBE. 7. Total Contract Award Amount -Enter the total contract award dollar amount for the prime consultant. 8. Total Dollar Amount for ALL Subconsultants – Enter the total dollar amount for all subcontracted consultants. SUM = (DBEs + all Non-DBEs). Do not include the prime consultant information in this count. 9. Total number of ALL subconsultants – Enter the total number of all subcontracted consultants. SUM = (DBEs + all Non-DBEs). Do not include the prime consultant information in this count. 10. Description of Work, Services, or Materials Supplied -Enter description of work, services, or materials to be provided. Indicate all work to be performed by DBEs including work performed by the prime consultant’s own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms. 11. DBE Certification Number -Enter the DBE’s Certification Identification Number. All DBEs must be certified on the date bids are opened. 12. DBE Contact Information -Enter the name, address, and phone number of all DBE subcontracted consultants. Also, enter the prime consultant’s name and phone number, if the prime is a DBE. 13. DBE Dollar Amount - Enter the subcontracted dollar amount of the work to be performed or service to be provided. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full/partial participation. 14. Total Claimed DBE Participation -$: Enter the total dollar amounts entered in the “DBE Dollar Amount” column. %: Enter the total DBE participation claimed (“Total Participation Dollars Claimed” divided by item “Total Contract Award Amount”). If the total % claimed is less than item “Contract DBE Goal,” an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15-H DBE Information - Good Faith Efforts of the LAPM). 15. Preparer’s Signature -The person completing the DBE commitment form on behalf of the consultant’s firm must sign their name. 16. Date -Enter the date the DBE commitment form is signed by the consultant’s preparer. 17. Preparer’s Name -Enter the name of the person preparing and signing the consultant’s DBE commitment form. 18. Phone -Enter the area code and phone number of the person signing the consultant’s DBE commitment form. 19. Preparer’s Title -Enter the position/title of the person signing the consultant’s DBE commitment form. LOCAL AGENCY SECTION 20. Local Agency Contract Number -Enter the Local Agency contract number or identifier. 21. Federal-Aid Project Number -Enter the Federal-Aid Project Number. 22. Contract Execution Date -Enter the date the contract was executed. 23. Local Agency Representative’s Signature - The person completing this section of the form for the Local Agency must sign their name to certify that the information in this and the Consultant Section of this form is complete and accurate. 24. Date -Enter the date the DBE commitment form is signed by the Local Agency Representative. 25. Local Agency Representative’s Name -Enter the name of the Local Agency Representative certifying the consultant’s DBE commitment form. 26. Phone -Enter the area code and phone number of the person signing the consultant’s DBE commitment form. 27. Local Agency Representative Title -Enter the position/title of the Local Agency Representative certifying the consultant’s DBE commitment form. Page 2 of 2 July 23, 2015 City Council 18 –94 11/16/2021 Page 1 Non-Fed Funding (6.1.2020) AGREEMENT TO PROVIDE ON-CALL ACQUISITION AND RELOCATION SERVICES FOR THE CITY OF SANTA ANA THIS AGREEMENT is made and entered into on this 16th day of November, 2021 by and between Monument ROW, a California corporation (“Consultant”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”). RECITALS A.The City desires to retain a consultant having special skill and knowledge in the field of acquisition and relocation services on an as needed basis. 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 On an on-call basis, and at the City’s sole discretion, Consultant shall perform the services described in the scope of work that was included in RFP No. 21-075, which is attached as Exhibit A, and as more specifically delineated in Consultant’s proposal, which is incorporated herein by reference as though fully set forth herein. 2.COMPENSATION a.City neither warrants nor guarantees any minimum or maximum 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. Consultant is one of two (2) consultants selected to provide acquisition and relocation services on an on-call basis under RFP 21-075. The total compensation for these services provided by all such consultants selected under RFP 21-075 shall not exceed the shared aggregate amount of five hundred thousand dollars and zero cents ($500,000.00) during the term of the Agreement, including any extension periods. b.Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work, which fails to meet the standards of performance City Council 18 –95 11/16/2021 Page 2 Non-Fed Funding (6.1.2020) 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 1, 2024, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for two 1-year periods upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., (“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the performance of other requirements on “public works” and “maintenance” projects. If the services being performed are part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement (“Documents & Data”). Consultant shall require all 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 City Council 18 –96 11/16/2021 Page 3 Non-Fed Funding (6.1.2020) 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. MINIMUM INSURANCE REQUIREMENTS A. Consultant shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property, which may arise from or in connection with the performance of the work hereunder by the Consultant, its agents, representatives, or employees. B. Insurance coverage shall be at least as broad as: 1) Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply sepa rately to this project/location or the general aggregate limit shall be twice the required occurrence limit. 2) Automobile Liability Insurance: Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non-owned), with limit no less than $1,000,000 per accident for bodily injury and property damage. 3) Workers’ Compensation Insurance- as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. 4) Professional Liability (Errors and Omissions) Insurance- appropriate to the Consultant’s profession, with limit no less than $2,000,000 per occurrence or claim, $2,000,000 aggregate. C. If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. D. Other Insurance Provisions- the insurance policies are to contain, or be endorsed to contain, the following provisions: 1) Additional Insured Status- the City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant’s insurance (at least as broad as ISO Form CG 20 City Council 18 –97 11/16/2021 Page 4 Non-Fed Funding (6.1.2020) 10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions used). 2) Primary Coverage- for any claims related to this contract, the Consultant’s insurance coverage shall be primary insurance primary coverage at least as broad as ISO CG 20 01 04 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Consultant’s insurance and shall not contribute with it. 3) Notice of Cancellation- each insurance policy required above shall state that coverage shall not be canceled, except with notice to the City. 4) Waiver of Subrogation- Consultant hereby grants to City a waiver of any right to subrogation, which any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. E. Self-Insured Retentions- Self-insured retentions must be declared to and approved by the City. The City may require the Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City. F. Acceptability of Insurers- Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the City. G. Claims Made Policies- If any of the required policies provide coverage on a claims-made basis: 1) The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work. 2) Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. 3) If coverage is canceled or non-renewed, and not replaced with another claims-made policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase “extended reporting” coverage for a minimum of five (5) years after completion of contract work. City Council 18 –98 11/16/2021 Page 5 Non-Fed Funding (6.1.2020) H. Verification of Coverage- Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant’s obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. I. Subcontractors- Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Contractor shall ensure that City is an additional insured on insurance required from subcontractors. J. Special Risks or Circumstances- City reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances. 8. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant’s services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 9. 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. City Council 18 –99 11/16/2021 Page 6 Non-Fed Funding (6.1.2020) 10. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 11. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own inf ormation of like importance, but in no event less than reasonable care. “Confidential Information” shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. NON-DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. City Council 18 –100 11/16/2021 Page 7 Non-Fed Funding (6.1.2020) 14. 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. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services, which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 16. 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. 17. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. City Council 18 –101 11/16/2021 Page 8 Non-Fed Funding (6.1.2020) 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 venue 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 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. 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. 21. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 City Council 18 –102 11/16/2021 Page 9 Non-Fed Funding (6.1.2020) With courtesy copies to: Nabil Saba 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: Amber Costello, President Monument ROW 200 Spectrum Center, Suite 300 Irvine, CA 92618 Office: 800-577-0109 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) d ays 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA Daisy Gomez Kristine Ridge Clerk of the Council City Manager [Signatures continue on the next page] City Council 18 –103 11/16/2021 Page 10 Non-Fed Funding (6.1.2020) APPROVED AS TO FORM: SONIA R. CARVALHO CONSULTANT: City Attorney By: Laura A. Rossini Chief Assistant City Attorney (title) Tax ID# RECOMMENDED FOR APPROVAL: Nabil Saba Executive Director Public Works Agency Amber Costello President City Council 18 –104 11/16/2021 Page 11 Non-Fed Funding (6.1.2020) EXHIBIT A SCOPE OF SERVICES City Council 18 –105 11/16/2021 City of Santa Ana RFP 21-075 Page A1-1 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON-CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO. 21-075 INTRODUCTION/PROJECT BACKGROUND The City of Santa Ana is issuing this Request for Proposals (RFP) to seek qualified Right of Way Specialty firms to provide On-Call Right of Way Specialty services on an as-needed or “on-call” basis. From the proposals received, it is the City’s goal to select one or more firms to enter into an agreement(s) with. The capital improvement projects needing the right-of-way services include, but are not limited, to Warner Avenue, Bristol Street, Fairview Street, and Grand Avenue Street Improvements. The services being considered for contract are the following “Specialty Areas”: Specialty Areas Maximum Contract Aggregate Amount A Acquisition/Relocation $300,000 B Property Management Services $148,000 C Property Appraisal Services $148,000 D Business Goodwill Appraisal Services $148,000 E Furniture, Fixtures and Equipment Appraisal Services $148,000 Consultants are encouraged to prepare proposals for the multiple specialty areas listed above. Each Specialty Area shall be submitted individually in response to the RFP. From the proposals received, it is the City’s goal to select one to two firms for each of the specialty services (A, B, C, D, and E). The City will enter into separate agreements (the “Agreement”) with each of these firms. Work will be assigned by Contract Task Orders. As tasks are identified, they will be distributed among these firms based upon their ability to perform the required work within the project schedule and budget constraints. A detailed scope of work and corresponding fee will be outlined when a specific task is assigned to a consultant. The City reserves the right to distribute the work in any manner which will best serve the City’s interests. Right of way firms are welcome to submit proposals for all Specialty Areas. However, the firm providing the Specialty Service for the selected parcels will not be selected for a different Specialty Service for the same parcels. Page 12 City Council 18 –106 11/16/2021 City of Santa Ana RFP 21-075 Page A1-2 MINIMUM QUALIFICATIONS Consultants must demonstrate the minimum qualifications as established in the California Department of Transportation (Caltrans) Right of Way Manual which can be accessed at: http://www.dot.ca.gov/hq/row/rowman/manual/index.htm. Consultants must demonstrate ability to have successfully negotiated and closed escrow on acquisition of parcels and minimized the eminent domain process on similar projects. DESCRIPTION OF WORK Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or their designee on an as-needed basis. The Consultants 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 must have experience with State and federally funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards. All acquisition/relocation agents, performing work for the City, must hold a valid California Real Estate License. Salespersons must be registered with the California Department of Real Estate (DRE), as working solely under the Consultant’s supervising broker of record. Work may include, but is not be limited to, the following: o onsite review of the project area o review of existing records o conducting research and performing analysis o information gathering o negotiations o developing strategies o prepare memos and letters o attend community meetings as needed 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. Sub-consultant markup is not allowed in this contract. Page 13 City Council 18 –107 11/16/2021 City of Santa Ana RFP 21-075 Page A1-3 The Consultant shall have a Quality Control Plan in effect during the entire time work is being performed under the Agreement. The Quality Control Plan shall establish a process whereby work products are independently checked, corrected and back checked. All project related correspondences and documents shall be maintained and bound in appropriate project files. Additionally, all electronic files shall conform to the City’s file naming system. The Consultant shall diligently work on each 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 Consultant’s Project Manager and critical staff must attend the monthly meetings with City Staff and other consultants requested by the City to review project progress, the schedule and any critical issues/items and the follow up action items necessary. All status reports must be submitted ahead of the meetings. Consultant must prepare a Weekly Status report and submit to the City. Format and specific items of each status report must be reviewed and approved by the City. Consultant must maintain electronic files of all the project parcels and correspondence including all reports generated by other related consultants required to perform acquisition/relocation and property management services. All electronic submittals of files must be through a shared folder. Consultant must upload and keep current the project parcel information and files in the shared folder established for the project. Consultant must prepare electronic files of the parcels according to the Caltrans Review Process for right-of-way Certification. Project files including copies of all correspondences, reports, documents, and electronic files shall be submitted to the City when requested and electronically updated as requested by the City. 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 such notification, the Consultant will proceed with the services required by the Agreement. Page 14 City Council 18 –108 11/16/2021 City of Santa Ana RFP 21-075 Page A1-4 SPECIALITY AREA A ACQUISITION & RELOCATION SERVICES Acquisition Consultant Responsibilities “Good faith negotiations” with property owners for the purchase of right-of-way based on values established in the reviewed and approved appraisals. Adherence to all professional standards including the Caltrans Right-of-Way Manual and all applicable laws and regulations. Preparation of all written correspondence, applicable forms and City’s standard purchase agreement. Coordination with City staff. Performance of notary services related to the signing of acquisition documents. Escrow coordination with Agency’s selected title company. Completion of final close-out work per Caltrans requirements. Maintenance of all acquisition files including acquisition diaries. Acquisition Consultant Responsibilities under the Uniform Act Ensure establishment of just compensation by local agency prior to initiation of negotiations. Expeditious acquisition within 30 days of approved appraisal. First Written Offer should be presented in person when possible. Caltrans requires that a copy of the appraisal report shall be provided to the owner with the First Written Offer; a Summary Statement (basis for the appraisal) is adequate in this case. Owner to be given reasonable time to consider City’s offer and present material relevant to value determination (i.e., 30 days and a minimum of 3 contacts) Payment is required before taking possession unless date of possession clause is used in contract. Agency is responsible for payment of all incidental expenses (title, escrow, surveys, prepayment penalties) Preparation of Administrative Settlements when it is reasonable and in the public interest. Diary entries including confirmation of delivering Title VI information. Acquisition Consultant Tasks Meet with City staff to discuss assignments and procedures. Perform the services required by the City with qualified personnel, equipment, materials, supplies, and management and administration services. All personnel and subcontractors, referred to as “Approved Personnel”, shall be approved by City, prior to providing services. There shall be no changes in the Approved Personnel without written concurrence of the City. Prepare and maintain a schedule of major activities and milestones and provide an estimate Page 15 City Council 18 –109 11/16/2021 City of Santa Ana RFP 21-075 Page A1-5 of the cost to conduct proposed assignments including assignments to subcontractors. Upon City’s written approval of the estimated cost, initiate the assignment in a timely manner. Present strategies for negotiating successfully and reach agreements with Property Owners and their representatives and to close the acquisition Process. Be responsible for the accuracy of work and promptly make all necessary revisions or corrections resulting from errors and omissions by Approved Personnel. As deemed necessary by the City, meet with the City and other staff as requested. Prepare, monitor and maintain all files (electronic as well as hard copy) to ensure overall project integrity. Coordinate with the appraisers for site inspections. Review appraisal reports to ensure conformity with the environmental document and the Right-of-Way (ROW) Map. Prepare and assemble the “Offer Package” using the format approved by the City for City signature. Meet and present written purchase offers to property owners as directed by staff. Negotiate effectively with property owners, or businesses, tenants (or their appointed representatives) to successfully obtain an agreement for the purchase and sale transaction. Supplement negotiations by obtaining and reviewing counter offers or demands from property owners, recommendations for settlements, coordinating with the agency to review and discuss all possible solutions and problems, including condemnation. Prepare all acquisition agreements, deeds and other documents necessary to complete the acquisition. Obtain property owners’ signature on the Purchase & Sale Agreements (PSA) Obtain re-conveyance and subordination agreements as necessary. Maintain an accurate and current record of all-pertinent information and contacts concerning the property owners and tenants. Assist City in condemnation support activities. Open escrow after execution of PSA by the City and coordinate closely with title and escrow companies to ensure escrow is closed on-time and properly. Coordinate with lenders and escrow companies to obtain partial re-conveyance for part take acquisitions and obtain approval for close of escrow. Obtain recorded deeds and title insurance policies after close of escrow and maintain appropriate reports for City. Prepare and maintain a weekly status report of all cases identified by parcel number, property owner, address, Assessor’s parcel map (APN) and all other important information required to monitor progress of acquisition cases. Relocation Services Consultant shall provide a complete relocation assistance program to comply with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Uniform Act) or Title 25, California Code of Regulations, its amendments, and other pertinent laws and regulations. Page 16 City Council 18 –110 11/16/2021 City of Santa Ana RFP 21-075 Page A1-6 Prepare relocation plans, relocation guidelines, relocation cost estimates, project area surveys and other specialized reports. Consultant’s relocation services include, but are not limited to the following: General Relocation Services Prepare and maintain a schedule of major activities and milestones for relocation. Upon City’s written approval of the estimated cost, initiate the assignment in a timely manner. Provide relocation advisory services. Meet personally with each displacee to ascertain the nature and scope of relocation assistance required, to inform the displacees of their rights, and to explain the relocation process. Prepare a weekly status report of relocation cases to be submitted to the City in a format approved by the City. Document and log all contacts and activities. Prepare and distribute informational brochures and other required notices. Determine each displacee’s eligibility for relocation; prepare an estimated timeline and list of benefits. All Notice of Eviction’s (NOE) must be reviewed by the City prior to presentation to displacee. Prepare “Relocation Claim Package” in accordance with City approved format. Claim package must clearly identify the beneficiary of the claim (tenant or owner), benefit calculations per Caltrans standards, assignment of benefit forms signed by all parties and the consultant, W9 to match the name of the claimant as appears on the claim form. All claims must include the (NOE). Relocation checks requested for pick up by consultant must be picked up by authorized personnel from City with a signed receipt. Consultant must practice a system of “checks & balances” for delivery of relocation checks to recipients. It is suggested that checks be delivered by a different agent involved in negotiating with the claimant. Conduct appropriate searches for relocation replacement sites and provide relocation site referrals to displacees Obtain moving bids and prepare estimate of benefits. Coordinate closely with Property Management consultant so that proper fencing, board up, utility shut-off and testing of lead and asbestos can begin immediately upon vacancy of the buildings. Residential Relocation Services Prepare residential relocation claims and submit to the City for approval and payment Personally inspect replacement dwellings and/or buildings and sites to determine if they are safe and meet sanitary regulatory requirements Coordinate the move with displace Prepare certification of abandonment and submit to the City Page 17 City Council 18 –111 11/16/2021 City of Santa Ana RFP 21-075 Page A1-7 Business Relocation Services Conduct interviews and establish eligibility for relocation benefits. Coordinate with Furniture, Fixture, and Equipment (FF&E) appraiser to prepare an inventory of personal property, accompany the appraiser if requested. Coordinate with real estate appraiser to ensure there’s no duplication of benefits, accompany the appraiser if requested. Coordinate with business goodwill appraiser and provide necessary assistance. Search and provide potential relocation sites to the businesses/tenants based on the type of business and their needs. Determine eligibility for in-lieu payment. Prepare construction cost estimates to determine reasonable relocation benefits of replacement properties. Determine actual and reasonable search expenses. Arrange for a final walk-through inspection of the property with displacee. Coordinate and monitor the move to ensure City purchased items are not part of the move. When personal FF&E is purchased from tenants, consultant must assist the City for bulk sale of the purchased items. Prepare final claim, certification of abandonment and submit to the City. Construction and Moving Bid Services Movers Conduct on site inventory and photos. Complete certified inventory and mover instruction form. Schedule and coordinate bids. Attend site inspection, if necessary. Contractors: Verify licensing Prepare mover instruction form Schedule and coordinate bids Attend site inspection, if necessary Review and compare bids Evaluate for eligibility Relocation Plan Consultant shall prepare a Relocation Plan, in accordance with all requirements of State Law, State Housing and Community Development (HCD) Guidelines, the Relocation Assistance and Real Property Acquisition Rules and Regulations of the Agency. The purpose of this Relocation Plan is to provide the City with summary and statistical information regarding the impact of a Page 18 City Council 18 –112 11/16/2021 City of Santa Ana RFP 21-075 Page A1-8 project to potential displaced people. Specifically, this report shall identify potential impacts that may occur as a result of the demolition of existing structures, proposed displacement of occupants, and a plan to mitigate respective impacts. The Relocation Plan shall include: Description of the proposed project and project location Assessment of needs Replacement housing resources Residential and commercial displacements Temporary housing (if applicable) Program assurances and standards Relocation assistance program Citizen participation and plan review period Description of relocation benefits Eviction policies and procedures Appeals and grievance procedures Displacement schedule Estimated relocation costs Page 19 City Council 18 –113 11/16/2021 Page 20 Non-Fed Funding (6.1.2020) EXHIBIT B COMPENSATION Fee Proposal including hourly rates if applicable City Council 18 –114 11/16/2021 SECTION 3 FEE PROPOSAL MONUMENT RIGHT-OF-WAY 2021 HOURLY SCHEDULE Right-of-Way Management & Implementation Principal-in-Charge $250.00 per hour Project Manager $165.00 per hour Senior Acquisition/Relocation Agent $115.00 per hour Acquisition/Relocation Agent $105.00 per hour Project Specialist $75.00 per hour Preliminary Fee Schedule (by Task) Task Est. Hours (per report/case) Fee Full Take Acquisition 20 to 30 hours $2,250 to $3,450 p/report Part Take Acquisition 25 to 40 hours $2875 to $4,600 p/report Residential Relocation 25 to 30 hours $2,250 to $3,500 p/case Business Relocation 40 to 60 hours $4,000 to $6,500 p/case City Council 18 –115 11/16/2021 Page 1 Non-Fed Funding (6.1.2020) AGREEMENT TO PROVIDE ON-CALL ACQUISITION AND RELOCATION SERVICES FOR THE CITY OF SANTA ANA THIS AGREEMENT is made and entered into on this 16th day of November, 2021 by and between Overland, Pacific & Cutler LLC, a Delaware limited liability company registered to do business in California (“Consultant”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”). RECITALS A.The City desires to retain a consultant having special skill and knowledge in the field of acquisition and relocation services on an as needed basis. 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 On an on-call basis, and at the City’s sole discretion, Consultant shall perform the services described in the scope of work that was included in RFP No. 21-075, which is attached as Exhibit A, and as more specifically delineated in Consultant’s proposal, which is incorporated herein by reference. 2.COMPENSATION a.City neither warrants nor guarantees any minimum or maximum 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. Consultant is one of two (2) consultants selected to provide acquisition and relocation services on an on-call basis under RFP 21-075. The total compensation for these services provided by all such consultants selected under RFP 21-075 shall not exceed the shared aggregate amount of five hundred thousand dollars and zero cents ($500,000.00) during the term of the Agreement, including any extension periods. b.Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work, which fails to meet the standards of performance DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –116 11/16/2021 Page 2 Non-Fed Funding (6.1.2020) 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 15, 2024, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for two 1-year periods upon a writing executed by the City Manager and City Attorney. 4.PREVAILING WAGES Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., (“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the performance of other requirements on “public works” and “maintenance” projects. If the services being performed are part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5.INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6.OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement (“Documents & Data”). Consultant shall require all 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 DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –117 11/16/2021 Page 3 Non-Fed Funding (6.1.2020) 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. MINIMUM INSURANCE REQUIREMENTS A. Consultant shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property, which may arise from or in connection with the performance of the work hereunder by the Consultant, its agents, representatives, or employees. B. Insurance coverage shall be at least as broad as: 1) Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply sepa rately to this project/location or the general aggregate limit shall be twice the required occurrence limit. 2) Automobile Liability Insurance: Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non-owned), with limit no less than $1,000,000 per accident for bodily injury and property damage. 3) Workers’ Compensation Insurance- as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. 4) Professional Liability (Errors and Omissions) Insurance- appropriate to the Consultant’s profession, with limit no less than $2,000,000 per occurrence or claim, $2,000,000 aggregate. C. If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. D. Other Insurance Provisions- the insurance policies are to contain, or be endorsed to contain, the following provisions: 1) Additional Insured Status- the City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant’s insurance (at least as broad as ISO Form CG 20 DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –118 11/16/2021 Page 4 Non-Fed Funding (6.1.2020) 10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions used). 2) Primary Coverage- for any claims related to this contract, the Consultant’s insurance coverage shall be primary insurance primary coverage at least as broad as ISO CG 20 01 04 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Consultant’s insurance and shall not contribute with it. 3) Notice of Cancellation- each insurance policy required above shall state that coverage shall not be canceled, except with notice to the City. 4) Waiver of Subrogation- Consultant hereby grants to City a waiver of any right to subrogation which any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. E. Self-Insured Retentions- Self-insured retentions must be declared to and approved by the City. The City may require the Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self-insured retention may be satisfied by either the named insured or City. F. Acceptability of Insurers- Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the City. G. Claims Made Policies- If any of the required policies provide coverage on a claims-made basis: 1) The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work. 2) Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. 3) If coverage is canceled or non-renewed, and not replaced with another claims-made policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase “extended reporting” coverage for a minimum of five (5) years after completion of contract work. DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –119 11/16/2021 Page 5 Non-Fed Funding (6.1.2020) H. Verification of Coverage- Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant’s obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. I. Subcontractors- Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Contractor shall ensure that City is an additional insured on insurance required from subcontractors. J. Special Risks or Circumstances- City reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances. 8. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant’s services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 9. 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. DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –120 11/16/2021 Page 6 Non-Fed Funding (6.1.2020) 10.RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 11.CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own inf ormation of like importance, but in no event less than reasonable care. “Confidential Information” shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 12.CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13.NON-DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –121 11/16/2021 Page 7 Non-Fed Funding (6.1.2020) 14. 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. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 16. 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. 17. 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. DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –122 11/16/2021 Page 8 Non-Fed Funding (6.1.2020) 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 venue 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 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. 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. 21. 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 DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –123 11/16/2021 Page 9 Non-Fed Funding (6.1.2020) With courtesy copies to: Nabil Saba 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: Overland, Pacific & Cutler, LLC. Attention: Brian Everette, CEO 5000 Airport Plaza Dr., Suite 250 Long Beach, California 90808 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) d ays 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA Daisy Gomez Kristine Ridge Clerk of the Council City Manager [Signatures continue on the next page] DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –124 11/16/2021 Page 10 Non-Fed Funding (6.1.2020) APPROVED AS TO FORM: SONIA R. CARVALHO CONSULTANT: City Attorney By: Laura A. Rossini Chief Assistant City Attorney (title) Tax ID# RECOMMENDED FOR APPROVAL: Nabil Saba Executive Director Public Works Agency Brian Everett CEO DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –125 11/16/2021 Page 11 Non-Fed Funding (6.1.2020) EXHIBIT A SCOPE OF SERVICES DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –126 11/16/2021 City of Santa Ana RFP 21-075 Page A1-1 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR ON-CALL RIGHT OF WAY SPECIALTY SERVICES RFP NO. 21-075 INTRODUCTION/PROJECT BACKGROUND The City of Santa Ana is issuing this Request for Proposals (RFP) to seek qualified Right of Way Specialty firms to provide On-Call Right of Way Specialty services on an as-needed or “on-call” basis. From the proposals received, it is the City’s goal to select one or more firms to enter into an agreement(s) with. The capital improvement projects needing the right-of-way services include, but are not limited, to Warner Avenue, Bristol Street, Fairview Street, and Grand Avenue Street Improvements. The services being considered for contract are the following “Specialty Areas”: Specialty Areas Maximum Contract Aggregate Amount A Acquisition/Relocation $300,000 B Property Management Services $148,000 C Property Appraisal Services $148,000 D Business Goodwill Appraisal Services $148,000 E Furniture, Fixtures and Equipment Appraisal Services $148,000 Consultants are encouraged to prepare proposals for the multiple specialty areas listed above. Each Specialty Area shall be submitted individually in response to the RFP. From the proposals received, it is the City’s goal to select one to two firms for each of the specialty services (A, B, C, D, and E). The City will enter into separate agreements (the “Agreement”) with each of these firms. Work will be assigned by Contract Task Orders. As tasks are identified, they will be distributed among these firms based upon their ability to perform the required work within the project schedule and budget constraints. A detailed scope of work and corresponding fee will be outlined when a specific task is assigned to a consultant. The City reserves the right to distribute the work in any manner which will best serve the City’s interests. Right of way firms are welcome to submit proposals for all Specialty Areas. However, the firm providing the Specialty Service for the selected parcels will not be selected for a different Specialty Service for the same parcels. DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –127 11/16/2021 City of Santa Ana RFP 21-075 Page A1-2 MINIMUM QUALIFICATIONS Consultants must demonstrate the minimum qualifications as established in the California Department of Transportation (Caltrans) Right of Way Manual which can be accessed at: http://www.dot.ca.gov/hq/row/rowman/manual/index.htm. Consultants must demonstrate ability to have successfully negotiated and closed escrow on acquisition of parcels and minimized the eminent domain process on similar projects. DESCRIPTION OF WORK Consultants under contract with the City of Santa Ana will provide support to City of Santa Ana staff or their designee on an as-needed basis. The Consultants 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 must have experience with State and federally funded projects. All work shall be performed in conformance with all applicable regulations, policies, procedures and standards.  All acquisition/relocation agents, performing work for the City, must hold a valid California Real Estate License. Salespersons must be registered with the California Department of Real Estate (DRE), as working solely under the Consultant’s supervising broker of record.  Work may include, but is not be limited to, the following: o onsite review of the project area o review of existing records o conducting research and performing analysis o information gathering o negotiations o developing strategies o prepare memos and letters o attend community meetings as needed  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. Sub-consultant markup is not allowed in this contract. DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –128 11/16/2021 City of Santa Ana RFP 21-075 Page A1-3  The Consultant shall have a Quality Control Plan in effect during the entire time work is being performed under the Agreement. The Quality Control Plan shall establish a process whereby work products are independently checked, corrected and back checked. All project related correspondences and documents shall be maintained and bound in appropriate project files. Additionally, all electronic files shall conform to the City’s file naming system.  The Consultant shall diligently work on each 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  Consultant’s Project Manager and critical staff must attend the monthly meetings with City Staff and other consultants requested by the City to review project progress, the schedule and any critical issues/items and the follow up action items necessary. All status reports must be submitted ahead of the meetings.  Consultant must prepare a Weekly Status report and submit to the City. Format and specific items of each status report must be reviewed and approved by the City.  Consultant must maintain electronic files of all the project parcels and correspondence including all reports generated by other related consultants required to perform acquisition/relocation and property management services.  All electronic submittals of files must be through a shared folder. Consultant must upload and keep current the project parcel information and files in the shared folder established for the project.  Consultant must prepare electronic files of the parcels according to the Caltrans Review Process for right-of-way Certification.  Project files including copies of all correspondences, reports, documents, and electronic files shall be submitted to the City when requested and electronically updated as requested by the City.  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 such notification, the Consultant will proceed with the services required by the Agreement. DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –129 11/16/2021 City of Santa Ana RFP 21-075 Page A1-4 SPECIALITY AREA A ACQUISITION & RELOCATION SERVICES Acquisition Consultant Responsibilities  “Good faith negotiations” with property owners for the purchase of right-of-way based on values established in the reviewed and approved appraisals.  Adherence to all professional standards including the Caltrans Right-of-Way Manual and all applicable laws and regulations.  Preparation of all written correspondence, applicable forms and City’s standard purchase agreement.  Coordination with City staff.  Performance of notary services related to the signing of acquisition documents.  Escrow coordination with Agency’s selected title company.  Completion of final close-out work per Caltrans requirements.  Maintenance of all acquisition files including acquisition diaries. Acquisition Consultant Responsibilities under the Uniform Act  Ensure establishment of just compensation by local agency prior to initiation of negotiations.  Expeditious acquisition within 30 days of approved appraisal.  First Written Offer should be presented in person when possible.  Caltrans requires that a copy of the appraisal report shall be provided to the owner with the First Written Offer; a Summary Statement (basis for the appraisal) is adequate in this case.  Owner to be given reasonable time to consider City’s offer and present material relevant to value determination (i.e., 30 days and a minimum of 3 contacts)  Payment is required before taking possession unless date of possession clause is used in contract. Agency is responsible for payment of all incidental expenses (title, escrow, surveys, prepayment penalties)  Preparation of Administrative Settlements when it is reasonable and in the public interest.  Diary entries including confirmation of delivering Title VI information. Acquisition Consultant Tasks  Meet with City staff to discuss assignments and procedures.  Perform the services required by the City with qualified personnel, equipment, materials, supplies, and management and administration services.  All personnel and subcontractors, referred to as “Approved Personnel”, shall be approved by City, prior to providing services. There shall be no changes in the Approved Personnel without written concurrence of the City.  Prepare and maintain a schedule of major activities and milestones and provide an estimate DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –130 11/16/2021 City of Santa Ana RFP 21-075 Page A1-5 of the cost to conduct proposed assignments including assignments to subcontractors. Upon City’s written approval of the estimated cost, initiate the assignment in a timely manner. Present strategies for negotiating successfully and reach agreements with Property Owners and their representatives and to close the acquisition Process. Be responsible for the accuracy of work and promptly make all necessary revisions or corrections resulting from errors and omissions by Approved Personnel. As deemed necessary by the City, meet with the City and other staff as requested. Prepare, monitor and maintain all files (electronic as well as hard copy) to ensure overall project integrity. Coordinate with the appraisers for site inspections. Review appraisal reports to ensure conformity with the environmental document and the Right-of-Way (ROW) Map. Prepare and assemble the “Offer Package” using the format approved by the City for City signature. Meet and present written purchase offers to property owners as directed by staff. Negotiate effectively with property owners, or businesses, tenants (or their appointed representatives) to successfully obtain an agreement for the purchase and sale transaction. Supplement negotiations by obtaining and reviewing counter offers or demands from property owners, recommendations for settlements, coordinating with the agency to review and discuss all possible solutions and problems, including condemnation. Prepare all acquisition agreements, deeds and other documents necessary to complete the acquisition. Obtain property owners’ signature on the Purchase & Sale Agreements (PSA) Obtain re-conveyance and subordination agreements as necessary. Maintain an accurate and current record of all-pertinent information and contacts concerning the property owners and tenants. Assist City in condemnation support activities. Open escrow after execution of PSA by the City and coordinate closely with title and escrow companies to ensure escrow is closed on-time and properly. Coordinate with lenders and escrow companies to obtain partial re-conveyance for part take acquisitions and obtain approval for close of escrow. Obtain recorded deeds and title insurance policies after close of escrow and maintain appropriate reports for City. Prepare and maintain a weekly status report of all cases identified by parcel number, property owner, address, Assessor’s parcel map (APN) and all other important information required to monitor progress of acquisition cases. Relocation Services Consultant shall provide a complete relocation assistance program to comply with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Uniform Act) or Title 25, California Code of Regulations, its amendments, and other pertinent laws and regulations. DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –131 11/16/2021 City of Santa Ana RFP 21-075 Page A1-6 Prepare relocation plans, relocation guidelines, relocation cost estimates, project area surveys and other specialized reports. Consultant’s relocation services include, but are not limited to the following: General Relocation Services  Prepare and maintain a schedule of major activities and milestones for relocation. Upon City’s written approval of the estimated cost, initiate the assignment in a timely manner.  Provide relocation advisory services.  Meet personally with each displacee to ascertain the nature and scope of relocation assistance required, to inform the displacees of their rights, and to explain the relocation process.  Prepare a weekly status report of relocation cases to be submitted to the City in a format approved by the City.  Document and log all contacts and activities.  Prepare and distribute informational brochures and other required notices.  Determine each displacee’s eligibility for relocation; prepare an estimated timeline and list of benefits. All Notice of Eviction’s (NOE) must be reviewed by the City prior to presentation to displacee.  Prepare “Relocation Claim Package” in accordance with City approved format.  Claim package must clearly identify the beneficiary of the claim (tenant or owner), benefit calculations per Caltrans standards, assignment of benefit forms signed by all parties and the consultant, W9 to match the name of the claimant as appears on the claim form. All claims must include the (NOE).  Relocation checks requested for pick up by consultant must be picked up by authorized personnel from City with a signed receipt.  Consultant must practice a system of “checks & balances” for delivery of relocation checks to recipients. It is suggested that checks be delivered by a different agent involved in negotiating with the claimant.  Conduct appropriate searches for relocation replacement sites and provide relocation site referrals to displacees  Obtain moving bids and prepare estimate of benefits.  Coordinate closely with Property Management consultant so that proper fencing, board up, utility shut-off and testing of lead and asbestos can begin immediately upon vacancy of the buildings. Residential Relocation Services  Prepare residential relocation claims and submit to the City for approval and payment  Personally inspect replacement dwellings and/or buildings and sites to determine if they are safe and meet sanitary regulatory requirements  Coordinate the move with displace  Prepare certification of abandonment and submit to the City DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –132 11/16/2021 City of Santa Ana RFP 21-075 Page A1-7 Business Relocation Services Conduct interviews and establish eligibility for relocation benefits. Coordinate with Furniture, Fixture, and Equipment (FF&E) appraiser to prepare an inventory of personal property, accompany the appraiser if requested. Coordinate with real estate appraiser to ensure there’s no duplication of benefits, accompany the appraiser if requested. Coordinate with business goodwill appraiser and provide necessary assistance. Search and provide potential relocation sites to the businesses/tenants based on the type of business and their needs. Determine eligibility for in-lieu payment. Prepare construction cost estimates to determine reasonable relocation benefits of replacement properties. Determine actual and reasonable search expenses. Arrange for a final walk-through inspection of the property with displacee. Coordinate and monitor the move to ensure City purchased items are not part of the move. When personal FF&E is purchased from tenants, consultant must assist the City for bulk sale of the purchased items. Prepare final claim, certification of abandonment and submit to the City. Construction and Moving Bid Services Movers Conduct on site inventory and photos. Complete certified inventory and mover instruction form. Schedule and coordinate bids. Attend site inspection, if necessary. Contractors: Verify licensing Prepare mover instruction form Schedule and coordinate bids Attend site inspection, if necessary Review and compare bids Evaluate for eligibility Relocation Plan Consultant shall prepare a Relocation Plan, in accordance with all requirements of State Law, State Housing and Community Development (HCD) Guidelines, the Relocation Assistance and Real Property Acquisition Rules and Regulations of the Agency. The purpose of this Relocation Plan is to provide the City with summary and statistical information regarding the impact of a DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –133 11/16/2021 City of Santa Ana RFP 21-075 Page A1-8 project to potential displaced people. Specifically, this report shall identify potential impacts that may occur as a result of the demolition of existing structures, proposed displacement of occupants, and a plan to mitigate respective impacts. The Relocation Plan shall include: Description of the proposed project and project location Assessment of needs Replacement housing resources Residential and commercial displacements Temporary housing (if applicable) Program assurances and standards Relocation assistance program Citizen participation and plan review period Description of relocation benefits Eviction policies and procedures Appeals and grievance procedures Displacement schedule Estimated relocation costs DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –134 11/16/2021 Page 12 Non-Fed Funding (6.1.2020) EXHIBIT B COMPENSATION Fee Proposal including hourly rates if applicable DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –135 11/16/2021 Enhancing Lives Through Infrastructure opcservices.com PAGE 5RFP #21-075 - On Call Right of Way Specialty ServicesCity of Santa AnaOPC Management & Implementation Program Manager $250.00 Senior Project Manager $150.00 Project Manager/Project Controls Manager $130.00 Sr. Acquisition Agent/Sr. Relocation Agent/Sr. Analyst/Project Coordinator $115.00 Acquisition Agent/Relocation Agent/Analyst $105.00 Project Support/Administrative Project Support Specialist $75.00 Administrative Assistant $55.00 OPC’s Hourly Rates to provide Acquisition and Relocation are as follows: Compensation/Payment Schedule Standard Hourly Fee Schedule DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –136 11/16/2021 Enhancing Lives Through Infrastructure opcservices.com PAGE 6RFP #21-075 - On Call Right of Way Specialty ServicesCity of Santa AnaOPC The following outlines OPC’s current billing terms. OPC considers local travel/mileage, photocopying, first class postage, telephone, facsimile, and mobile communication charges a normal part of doing business and such costs are included in the stated hourly rates. Out-of-pocket expenses including pre-approved travel and lodging, outside exhibit preparation, requested overnight courier or registered and/or certified mail (return receipt requested) charges, and specialty reproduction (unless otherwise specified) are in addition to the contract amount and will be charged at cost plus ten percent (+10%) for administration, coordination, and handling. Subcontracted services, other than those listed above, will be invoiced at cost plus ten percent (+10%). In the event OPC is required to perform any act in relation to litigation arising out of any project with the Client (for example, expert consulting, responding to a complaint, or proceeding with discovery and trial), such services are not part of this contract, nor are they part of our normal fees. If required, these types of services will be invoiced at two (2) times the regular hourly rates. In the event this contract extends twelve (12) months beyond the initial date of execution, the hourly rates and any remaining amount in the contract shall be adjusted upwardly by five percent (5%) per annum, compounded annually, on the anniversary date of this contract. Written communication services in other languages would be an additional cost and would be billed separately based on quoted hourly rates by independent translation services. Verbal communication in Spanish, if necessary, will be included at no additional charge. OPC will submit monthly invoices for the professional and trade services rendered based on the hourly rate schedule provided above. The client shall promptly pay the uncontested amount due within no more than thirty (30) days after receipt of invoice. Billing Terms Billing Terms DocuSign Envelope ID: DDFB4565-1CFF-4604-9A6D-4723AB034B02 City Council 18 –137 11/16/2021 Public Works Agency www.santa-ana.org/pw Item # 19 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: San Lorenzo Sewage Lift Station AGENDA TITLE Approve an Agreement with Arch Insurance Company to Take Over the San Lorenzo Sewage Lift Station Project (Project No. 06-3510) (Non-General Fund) RECOMMENDED ACTION Authorize the City Manager to execute an agreement with Arch Insurance Company to take over the San Lorenzo Sewage Lift Station Project and be responsible for the completion of all work in accordance with the contract subject to non-substantive changes approved by City Manager and City Attorney. DISCUSSION On October 1, 2019, the City Council awarded a contract to Rockforce Construction, LLC, the lowest responsible bidder, in accordance with the base bid in the amount of $7,606,500, for construction of the San Lorenzo Sewage Lift Station Project. The location of this project is approximately 350 feet from the Northeast corner of Bristol Street and Segerstrom Avenue. Rockforce Construction met all inspection and testing requirements to complete approximately 45 percent of the contract scope of work. However, due to their inability to continue construction of the remaining project scope, Rockforce Construction defaulted on the contract. In compliance with the Standard Specifications for Public Works Construction (“Greenbook”), staff began the process of terminating the contract for default. On August 16, 2021, staff terminated the contract and negotiated with Arch Insurance Company to take over the project, as required by the Performance and Payment Bonds. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. City Council 19 –1 11/16/2021 Execute Agreement with Arch Insurance Company November 16, 2021 Page 2 2 2 2 6 FISCAL IMPACT There is no fiscal impact associated with this action. The originally approved project cost analysis will not change and the surety will be responsible for expenses related to the transition and cost escalation of labor and materials. EXHIBIT(S) 1. Takeover Agreement 2. Rockforce Staff Report - https://www.santa- ana.org/sites/default/files/pw/documents/San_Lorenzo_Lift_Station_Project_Staff _Report%2011_16_21.pdf Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Kristine Ridge, City Manager City Council 19 –2 11/16/2021 1 TAKEOVER AGREEMENT PROJECT 06-3510 SAN LORENZO SEWAGE LIFT STATION PROJECT I. RECITALS 1. The parties to this Takeover Agreement (“Agreement”) are ARCH INSURANCE COMPANY (“Arch” or “Surety”) and the CITY OF SANTA ANA (“Owner”). This Agreement is effective as of the date last signed by any party (“Effective Date”). 2. Owner entered into a Contract (the “Contract”) with ROCKFORCE CONSTRUCTION, LLC (“ROCKFORCE” or “Principal”) for ROCKFORCE to furnish all labor and material and perform all work for the San Lorenzo Sewage Lift Station project (the “Project”) in accordance with the terms and provisions of the Contract, a copy of the Contract being attached hereto as Exhibit “A” and incorporated herein, including all Contract Documents forming a part of the Contract, as enumerated in the Contract and modifications, amendments and/or changes to the Contract effectuated prior to the Effective Date of this Agreement. References herein to the “Contract” shall be deemed to include references to all modifications, amendments and/or changes to the Contract effectuated prior to the Effective Date of this Agreement. 3. As required by the Contract, Surety issued Performance and Payment Bonds numbered SU1156899 identifying ROCKFORCE as the principal and Owner as the obligee (the “Performance Bond” and “Payment Bond”), each of which are in the Penal Sum equal to the Contract Price under the Contract of $7,606,500 copies of these Bonds being attached hereto as Exhibit “B”, respectively, and incorporated herein; 4. On August 16, 2021, Owner terminated the Contract for ROCKFORCE’s defaults thereunder, and the Notice of Termination for Breach being attached hereto as Exhibit “C” and incorporated herein. The Owner subsequently made demand upon the Performance Bond for Arch to complete the Project. 5. As of the date of ROCKFORCE’s default under the Contract, certain work and other obligations of ROCKFORCE remain to be performed under the Contract. 6. Surety acknowledges its obligations under the Performance Bond to perform and complete the Remaining Work/Obligations upon ROCKFORCE’s default and termination by the Owner; accordingly, Surety agrees to complete the Remaining Work/Obligations by retaining one or more Completion Contractor, subject to written approval by Owner, to complete the Remaining Work/Obligations under the Contract, in accordance with the terms, conditions and other requirements of the Contract, subject to the terms and conditions of the Performance Bond and this Agreement. 7. The Owner acknowledges that Arch is acting in its capacity as the Surety City Council 19 –3 11/16/2021 2 for ROCKFORCE in making arrangements for the performance and completion of the Remaining Work/Obligations. NOW, THEREFORE, based on the exchange of valuable consideration, including the covenants and conditions of this Agreement, the receipt and sufficiency of which is acknowledged, and based on the Recitals set forth above which form a part of this Agreement, Surety and Owner agree to the following terms and conditions: II. TERMS AND CONDITIONS 1. Recitals. The above Recitals and the Terms and Conditions herein are contractual and not merely recitals and the agreements contained herein and consideration transferred are to satisfy the rights and obligations between Owner and Surety, except as to claims reserved by this Agreement. 2. Incorporation of the Contract. The Contract is incorporated by reference into this Agreement, including the Contract Documents, including but not limited to, any Addendum (which pertains to the Contract Documents), Notice Inviting Bids, Instructions to Bidders, Bid (including documentation accompanying the Bid and any post-bid documentation submitted prior to the Notice of Award) when attached as an exhibit to the Contract, the Bonds, permits, the Special Provisions, the Plans, Standard Plans, Standard Specifications, Reference Specifications, and all Modifications issued after the execution of the Contract All terms of the Contract are incorporated herein, 3. The Balance of the Contract Sum. Arch will procure the performance of the Remaining Work relying on, among other things, the Owner’s representation that the outstanding earned and unpaid Contract funds in the amount of $4,324,389.00 shall be paid to Arch. The Owner represents that the Balance of the Contract Sum as follows: Contract Price: $7,606,500.00 Approved Change Orders: $ 61,803.00 Current Contract Price: $7,668,303.00 Amount Paid to Principal: $3,343,914.00 “Balance of the Contract Sum”: $4,324,389.00 Owner agrees that the Balance of the Contract Sum is dedicated to and will be paid to Arch for the completion of the Remaining Work pursuant to this Agreement. The Balance of the Contract Sum includes $183,794.55 in retention, which shall be released to Arch pursuant to the terms of the Contract. Arch expressly reserves the right to verify all Contract fund accountings and to request the appropriate adjustments from the Owner and/or its representatives. The Balance of the Contract Sum shall be increased by the value of future Change Orders subsequently approved by Owner. 4. Surety to Perform Remaining Work. Surety shall be responsible for the completion of all Work in accordance with the entire Contract. Surety shall perform the Remaining Work through one or more completion contractors (hereinafter “Completion Contractor”), subject to written approval by the Owner, which Surety shall engage City Council 19 –4 11/16/2021 3 pursuant to the terms of a separate agreement. Owner hereby acknowledges that Surety is not acting as a contractor and is not licensed as a contractor in the State of California, and hereby agrees to fully and forever waive and release any and all claims that Owner might allege against Surety on the grounds that Surety is an unlicensed contractor for the work performed pursuant to the Agreement. 5. Owner’s Rights and Obligations Under the Contract. Except to the extent provided in this Agreement, Owner shall have all rights, obligations and responsibilities under the Contract with respect to Surety, to the reasonable extent and effect as if Surety had executed the Contract. 6. Owner’s Right With Respect to Changes in the Work. Owner reserves the right, to the extent appropriate under the Contract and this Agreement, to issue Change Orders. The terms of these Change Orders, including attendant extensions of time and valuation of Change Order work, shall be determined as provided in the Contract. Surety reserves the right to refuse to perform any extra or additional work if such work constitutes a cardinal change under the Contract. Owner reserves the right to dispute that the extra or additional work constitutes a cardinal change and to immediately submit the dispute to mediation with a mutually agreeable mediator followed, if necessary, by legal action, including but not limited to any appropriate injunctive or other equitable relief. 7. Schedule for Completion of Remaining Work and New Completion Date. Within ten (10) calendar days after the Effective Date of this Agreement, Completion Contractor shall furnish to Owner all insurance certificates and other proofs of insurance required by the Contract, prior to starting work. The Owner will give a Notice to Proceed after all insurance requirements of the Contract have been met. Within thirty (30) days after the Notice to Proceed is issued, Surety and Owner will agree upon the “Takeover Final Completion Date” by which Surety shall complete the Project. Owner waives any right to liquidated damages permitted under the Contract accruing prior to the “Takeover Final Completion Date,” but retains the right to assess liquidated damages if the Surety does not complete the Project by the Takeover Final Completion Date, subject to claims by Surety for excusable and/or compensable delay, at the rate of $1,500 per calendar day, and at Owner’s discretion. If assessed by the Owner, Arch shall be liable for liquidated damages after the Takeover Final Completion Date. 8. Completion Contractor. The Completion Contractor shall be a contractor to the Surety, and no contractual relationship shall exist between Owner and Completion Contractor pursuant to this Agreement. Insurance and license requirements for the Completion Contractor shall be in accordance with the Contract Documents. The Completion Contractor shall not be required to procure new surety bonds identifying the Owner as obligee. Owner acknowledges that, subject to the terms of the Contract, the Completion Contractor is authorized to make routine day-to-day decisions regarding the operation and manner of performing the Remaining Work, but does not have authority to: (i) agree to any changes in the Contract or Remaining Work other than minor design changes or clarifications that do not increase the Project’s cost nor extend its schedule (ii) agree to any Change Orders; (iii) agree to any back charges or deductions of any nature; City Council 19 –5 11/16/2021 4 (iv) agree to any schedule changes; or (v) agree to any adjustments in the Contract amount or Remaining Work other than minor design changes or clarifications that do not increase the Project’s cost nor extend its schedule , without the Surety’s prior express written consent which shall be delivered to Owner as a condition precedent to the Completion Contractor negotiating items (i) through (v), such consent not to be unreasonably withheld. The Remaining Work shall be subject to inspection and acceptance by the Owner and applicable federal, state and local agencies with jurisdiction, as provided in the Contract. The Owner shall forward concurrently to Surety (by U.S. Mail or email as appropriate), a copy of all its written communications directed to the Completion Contractor. 9. Surety Representative. All communications and administration will be between the Owner and the Surety and its consultant, Richard Tropp of J.S. Held, LLC (the “Consultant”). The Surety hereby designates and authorizes Consultant to sign, on Surety’s behalf, any instrument which is required, or may be requested, by the Owner in connection with the administration of the Contract. 10. Preservation of the Penal Sum Of Performance Bond. The Owner hereby confirms that Arch’s liability and obligation hereunder shall not extend beyond the penal sum of its Performance Bond. All payments made by Arch previously, and those made in the future, have been and will be credited against the penal sum of the Performance Bond, less the amount paid to Arch under the Contract and this Agreement. Neither this Agreement nor any other Arch act constitutes a waiver of such penal sum or an increase in the liability of Arch under the Performance Bond. 11. Payment Bond and Payment Bond Claims. The Payment Bond shall remain in full force and effect in accordance with its terms and provisions. The total liability of the Surety under the Payment Bond is limited to and shall not exceed the penal sum of the Payment Bond. 12. Payment Requisitions. Surety, through its Completion Contractor, shall submit to Owner whatever information or documentation is required regarding the work performed under the Contract, to conform and support the requisition process and schedule established under the Contract. Owner recognizes that Surety shall be completing the Remaining Work through the services of the Completion Contractor. Subject to requirements of the Contract Documents, Owner shall accept the Completion Contractor’s work, progress of the work, quality of the work, conformance of the work to the requirements of the Contract, payments to others, warranty and maintenance of the work, and all other matters pertinent to the Contract, wherever such representations are required by the Contract, as if those representations had been made by Surety, since Surety may have no personal knowledge of such matters. 13. Satisfaction of Surety’s Performance Obligation. Surety’s satisfaction of its obligations under the Contract, the Bonds and this Agreement or Surety’s expenditure of the Performance Bond Penal Sum, whichever comes first, shall satisfy Surety’s performance obligations under the Contract, its Performance Bond and this Agreement. Owner represents that Principal would have been required to complete all of its City Council 19 –6 11/16/2021 5 obligations under the Contract had Principal not been declared to be in default and that, prior to the date of this Agreement and other than approved changed orders, Owner had not made any agreement with Principal that any item of work included in the Contract would not have to be performed. 14. Notices. All notices and correspondence to Owner, other than routine email correspondence, shall be mailed, with a copy by email, to: Executive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92702 nsaba@santa-ana.org with copy to: City Attorney City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92702 jfunk@santa-ana.org All notices and correspondence to Surety, other than routine email correspondence, shall be mailed and emailed to: Susan D. Neff, Esq. Senior Surety Counsel Arch Insurance Company 865 S. Figueroa Street, Suite 2700 Los Angeles, California 90017 sneff@archinsurance.com With a copy to: Christopher Bunge Watt, Tieder, Hoffar & Fitzgerald, LLP 4 Park Plaza, Suite 1000 Irvine, California 92614 cbunge@watttieder.com and Richard Tropp J.S. Held, LLC 1701 Quail Street, Suite 200 City Council 19 –7 11/16/2021 6 Newport Beach, California 92660 rtropp@jsheld.com 15. No Third-Party Rights. Nothing in this Agreement shall be deemed to create any rights in favor of, or to inure to the benefit of, any third parties, or to waive or release any defense or limitation against third party claims. 16. All Claims Referred to Surety. Owner recognizes that Surety may be liable to unpaid suppliers and subcontractors of Principal. Other than as required by law, Owner agrees to make no representations or promises of payment to these suppliers and subcontractors and to refer all inquiries to Surety. 17. Surety’s Performance Rights Confirmed. Nothing shall limit Surety’s rights as a Completing Surety under the Contract and applicable law. Owner hereby recognizes those rights, including the right of equitable subrogation. Further, Owner recognizes Surety’s rights as a performing Surety under the Contract, including the right to additional compensation or damages where allowed or appropriate under the Contract or applicable law for claims or matters arising after the date of this Agreement. The Owner expressly agrees and acknowledges: (i) that Surety is entering into this Agreement not as a contractor, but as a means of satisfying the Surety’s performance bond obligations; (ii) that the Surety has provided to Owner the Completion Contractor, a licensed contractor, to finish the Project; and (iii) that the Owner hereby forever releases and discharges any and all claims that the Surety as an unlicensed contractor. 18. Agreement Binding on Successors. This Agreement shall be binding upon the successors and assignees of Surety and Owner. Surety shall not assign this Agreement without the written consent of Owner. Assignment without such written consent shall be void. 19. No Modification Except in Writing. This Agreement cannot be modified except in a writing signed by both Owner and Surety. 20. This Agreement Controls. In case of conflict between the provisions of this Agreement and the provisions of the Contract and/or Performance and Payment Bonds, this Agreement shall control. Notwithstanding any other provision herein, this Agreement shall not be interpreted to limit any of the Owner’s rights under the Contract or the Performance Bond. Further, this Agreement, the Contract and the Performance and Payment Bonds constitute the entire Agreement between Owner and Surety and, together, supersede all prior negotiations, representations, offers, other writings and oral statements of every description. 21. Construction and Application of Law. The parties stipulate that this Agreement and all agreements or documents incorporated herein shall not be subject to the rule of construction that a written agreement is construed against the party preparing or drafting that Agreement. The parties also agree that this Agreement and its City Council 19 –8 11/16/2021 7 performance shall be governed by and construed in accordance with all applicable local, state, and federal laws, regulations, rules, and ordinances. 22. Validity. The provisions of this Agreement shall be applied and interpreted in a manner consistent with each other so as to carry out the purposes and intent of the parties, but if for any reason any provision is unenforceable or invalid, such provision shall be deemed severed from this Agreement and the remaining provisions shall be carried out with the same force and effect as if the severed provision had not been a part of this Agreement. The headings of the Paragraphs are included solely for convenience of reference, and if there is any conflict between such headings and the text of Agreement, the Agreement shall control. This Agreement shall be governed by the laws of the State of California. 23. No Waiver. The failure of either party to exercise in any respect a right provided for in this Agreement shall not be deemed to be a subsequent waiver of the same right or of any other right. 24. Counterparts/Facsimile. This Agreement may be executed in any number of counterparts each of which, when executed and delivered, shall be deemed to be an original with all the counterparts constituting but one and the same instrument. Additionally, facsimile signature shall bind the undersigned. 25. Reservation of Rights. Notwithstanding any contrary statement or provision of this Agreement, nothing contained herein nor any payments made pursuant hereto nor any performance hereunder shall constitute a waiver of any claims by any party to this Agreement. 26. Authority. The persons executing this Agreement on behalf of the parties hereto warrant that they are duly authorized to execute this Agreement on behalf of said parties and that, by so executing this Agreement, the parties hereto are formally bound to the provisions of this Agreement. 27. Applicable Laws. In performing its obligations and duties under this Agreement, each party shall comply with all applicable local, state, and federal laws, regulations, rules, and ordinances. 28. Attorneys’ Fees. In the event any action is brought between the parties hereto relating to this Agreement or the breach thereof, the prevailing party in such action shall be entitled to recover from the other party reasonable expenses, attorneys’ fees and costs in connection with such action or proceeding. [Signatures on following page.] City Council 19 –9 11/16/2021 APPROVED AS TO FORM:Sonia R. Carvalho, City Attorney __________________________By: John M. FunkSenior Assistant City Attorney City Council 19 –10 11/16/2021 EXHIBIT A City Council 19 –11 11/16/2021 City Council 19 –12 11/16/2021 City Council 19 –13 11/16/2021 City Council 19 –14 11/16/2021 City Council 19 –15 11/16/2021 City Council 19 –16 11/16/2021 City Council 19 –17 11/16/2021 City Council 19 –18 11/16/2021 Finance and Management Services www.santa-ana.org/finance Item # 20 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Debit and Credit Card Merchant Payment Processing Services AGENDA TITLE: Approve Renewal Agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for Debit and Credit Card Merchant Payment Processing Services, including Europay, MasterCard, Visa and e-Commerce Gateway Transaction Integration and Support in the Amount not to Exceed $172,500, which Includes a General Contingency of $22,500 RECOMMENDED ACTION Authorize the City Manager to execute a renewal agreement with TSYS Merchant Solutions, LLC, DBA Global Payments, for debit and credit card payment processing services, including Europay, MasterCard, and Visa and e-Commerce gateway transaction integration and support in an amount not to exceed $172,500, which includes a general contingency of $22,500. The renewal agreement shall commence November 16, 2021, and expire June 30, 2022, and will cover all services provided by Consultant since July 1, 2021, subject to non-substantive changes approved by City Manager and City Attorney. DISCUSSION The Treasury & Customer Service Division (“Treasury”) of the Finance & Management Services Agency (“FMSA”) is responsible for maintaining all banking related services for the City. A component of banking is debit and credit card merchant payment processing services. Since 1997, City of Santa Ana residents have been able to use debit and credit cards to pay City of Santa Ana taxes, permits, fees, fines, and other charges due for City services. Acceptance of a debit and/or credit card payment requires and involves using a merchant service company such as TSYS Merchant Solutions, LLC, DBA Global Payments (“TSYS”). MasterCard and Visa payment transactions are presented by TSYS on behalf of the City for all credit card payments made at City facilities, including but not limited to: City Hall Cashiering Counters, Police Department Traffic and Records Divisions, and the Santa Ana Zoo. On March 12, 2012, the City Council authorized a moratorium on the imposition of City debit and credit card processing fees to promote electronic payments and attract more online payments by customers; and in March 2013, Treasury negotiated a significant reduction of the TSYS discount fee from 1.5% to 0%, which has helped the City offset City Council 20 –1 11/16/2021 Award Renewal Agreement with TSYS, DBA Global Payments November 16, 2021 Page 2 2 2 2 9 City expenditures. TSYS has agreed to maintain the reduced rate for the term of the agreement. The rapid growth and popularity of debit and credit card payments made by residents and businesses; in Fiscal Year 2020-21 there were over 41,000 debit and credit card payment transactions at City facilities (up approximately 5,000 transactions over FY 2019-20), which totaled over $5.6 million (up approximately $535,000 over FY 2019-20) in collections of City taxes, permits, fees, fines, and other charges due for City services. Additionally, on June 21, 2016, the City Council approved a maximum credit card transaction limit in the amount of $5,000 dollars for debit and credit card transactions taking place at City facilities in order to reduce the merchant payment processing charges for large dollar debit and credit card transactions, which are costlier than smaller dollar transactions. The City incurs a variety of fees for each transaction, the most variable and largest of which is an Interchange fee set by payment networks like MasterCard and Visa. The amounts vary from card type to card type, based on criteria established by the issuer. For example, a 3.5% merchant payment processing fee for a $100,000 transaction costs the City $3,500, while a 3.5% percent fee for a $1,000 transaction costs the City $35. Payment of high merchant processing fees for accepting large dollar value debit and credit card transactions is contrary to the City’s financial interest and is not in the spirit of the City’s moratorium on debit and credit card merchant processing fees, which is intended to be a convenience for City residents and small businesses. Consequently, to improve the security of debit and credit card payment transactions for Santa Ana residents and to minimize the risk of a credit card information data breach, City Council will be presented in a future Council Meeting with a recommendation to approve a City- wide upgrade to iNovah cashiering software and payment terminal hardware to EMV Chip & PIN contactless payment terminals and PCI DSS compliance to protect credit card payment data. TSYS is the fifth largest third-party merchant processor in North America. TSYS has historically provided an excellent customer experience in connection with the City’s merchant processing needs. Because of TSYS’ long time business relationship with the City beginning as TransFirst, LLC in March 2014, they possess institutional knowledge of the City’s current payment processing systems. Regretfully, over a number months the City and TSYS (now merged with Global Payments) have attempted to negotiate contractual terms for an extended renewal contract, but ultimately could not come to a mutually satisfactory agreement with regards to certain key contractual provisions beyond June 30, 2022. Nevertheless, TSYS has agreed to maintain a reduced merchant processing rate for the City’s in-person credit and debit card transactions, and thus a short-term renewal agreement will allow Treasury Services sufficient time to transition and consolidate cashiering payment capabilities with a different provider. City Council 20 –2 11/16/2021 Award Renewal Agreement with TSYS, DBA Global Payments November 16, 2021 Page 3 2 2 2 9 Therefore, staff recommends the approval of a short-term renewal agreement with TSYS for merchant payment processing services for the City’s walk-in cashiering stations. Below is a summary of costs by Fiscal Year: FY 2021-22: 1. Merchant Payment Services – base amount of $150,000, plus $22,500 contingency. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds for this renewal agreement and services are budgeted and available in various departmental Contract Services Professional accounts (No. Various-62300). Funds will be budgeted for expenditure as follows: FY Accounting Unit - Account No. Fund Description Accounting Unit - Accounting No. Description Contracted Amount Annual Rate Increase (Contingency) Maximum Amount 2021- 22 Various- 62300 Various Contract Services Professional $150,000 $22,500 $172,500 Subtotal:Subtotal:Grand Total: $150,000 $22,500 $172,500 EXHIBIT(S) 1. TSYS Merchant Solutions, LLC, DBA Global Payments, Agreement Submitted By: Kathryn Downs, FMSA Executive Director Approved By: Kristine Ridge, City Manager City Council 20 –3 11/16/2021 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A50037 Page 1 of 10 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A5003 RENEWAL AGREEMENT CITY OF SANTA ANA THIS RENEWAL AGREEMENT (“Agreement”) is made and entered into on this 16th day of November 2021, by and between TSYS Merchant Solutions, LLC, dba Global Payments, Inc. & Its Subsidiaries (“Consultant”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”). RECITALS A.The City desires to retain a consultant having special skill and knowledge in the field of debit and credit card merchant payment processing services, including Europay, MasterCard, and Visa and e-Commerce gateway transaction integration and support services. B.Consultant represents that Consultant is able and willing to provide such services to the City. C.In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1.SCOPE OF SERVICES Consultant shall perform 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 the Merchant Card Processing Agreement attached hereto as Exhibit A. 2.COMPENSATION a.City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in the Client Satisfaction Offer, which shall be deemed inclusive of all fees and charges payable by City, attached hereto as Exhibit B. For the fiscal year period covered under the terms of this Agreement funds to be expended shall not exceed a base contracted amount of $150,000, together with a general contingency amount of $22,500, for a combined maximum sum of $172,500. 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 EXHIBIT 1 City Council 20 –4 11/16/2021 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A50037 Page 2 of 10 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A5003 in the Recitals which may reasonably be expected by City. Billing or invoice statements shall be presumed to have been received three (3) days after they are mailed or twenty- four (24) hours after being electronically transmitted in accordance with the provisions of Section 13 of this Agreement (“NOTICE”). c. Change Order Contingency: During the term of this Agreement, City may request optional services of Consultant at mutually agreed upon scope and fees. 1. Change Order No extra work may be undertaken unless a written "Change Order" is first given by the Contract Officer or his/her designee, to Consultant, incorporating therein any material change in the scope, fees and/or administration of this Agreement proposed by City. 2. Additional Work or Services (a) Extra Work or Services City shall have the right at any time during the performance of the work or services set forth in this Agreement, without invalidating said Agreement or any amendments thereto, to elect to exercise any existing option specified in the Scope of Services for extra work or services or to order extra work or services pursuant to a duly executed Change Order or to expend previously appropriated, but unspent contingency funds authorized to be carried forward by the Executive Director of Finance and Management Services to cover expenses for work or services agreed to by the parties but exceeding any annual City fiscal year compensation amount cap initially specified under the Compensation provisions of this Agreement or thereby make changes by altering, adding to or deducting from said work or services. (b) Maximum Contract Compensation Cap Net total compensation to Consultant shall not, as the result of any Change Order, exceed the maximum contract compensation amount set forth under Section 2 (“COMPENSATION”), subsection a. of this Agreement, unless an increase in maximum contract compensation is agreed to by the parties pursuant to a duly executed amendment of this Agreement. d. Coordination of Work or Services 1. Representative of Consultant The following officer of Consultant is hereby designated as being the representative of Consultant authorized to act in its behalf with respect to the work specified City Council 20 –5 11/16/2021 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A50037 Page 3 of 10 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A5003 herein and make all decisions in connection therewith: Global Payments Integrated Carl Van Laethem Representative Client Success Advisor/National Accounts It is expressly understood that the experience, knowledge, capability and reputation of the foregoing officer & representative is a substantial inducement for City to enter into this Agreement. Therefore, the foregoing representative shall be responsible during the term of this Agreement for directing all activities of Consultant and devoting sufficient time to personally supervise the services hereunder. For purposes of this Agreement, the foregoing officer & representative may not be replaced nor may their responsibilities be substantially reduced by Consultant without the express written approval of City. 2. Contract Officer The Contract Officer shall be the person designated hereunder by City. It shall be Consultant's responsibility to assure that City's Contract Officer is kept informed of the progress of the performance of the consulting services set forth in this Agreement and Consultant shall refer any decisions which must be made by City to the Contract Officer. The Contract Officer shall have authority to enter into Change Orders with Consultant pursuant to this Agreement. The Contract Officer shall have authority to sign all documents on behalf of City required hereunder to carry out the terms of this Agreement. Unless otherwise specified herein, any approval of City required hereunder shall mean the approval of the Contract Officer. City of Santa Ana Kristine Ridge, City Manager Contract Officer or designee 3. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2022, unless terminated earlier in accordance with Section 9, below. This Agreement shall cover all services provided by Consultant since July 1, 2021. 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. City Council 20 –6 11/16/2021 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A50037 Page 4 of 10 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A5003 5. 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 insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non-owned automobiles. c. Worker’s Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if 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. Technology errors and omissions insurance, with a limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. Cyber and Network Security/Technology liability insurance with a limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. f. Crime liability insurance with a limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. iii. City of Santa Ana, its officers, employees, agents and representatives shall be Additional Insureds with respect to General Liability Insurance and Auto City Council 20 –7 11/16/2021 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A50037 Page 5 of 10 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A5003 Liability Insurance is Primary and Non-Contributory. iv. Certificates and policies shall state that the policies shall not be canceled without thirty (30) days prior written notice to the City of cancellation with ten (10) days prior notice for non-payment of premium in accordance with policy provisions. Similar notice of reduction or material change shall be given if coverage falls below or is not in compliance with the contract requirements. v. Consultant shall supply City with a fully executed additional insured endorsement. vi. Certificates of insurance endorsements shall show the City as a certificate holder as follows: City of Santa Ana Risk Management Division, 4th Floor 20 Civic Center Plaza Santa Ana, CA 92701 vii. Where the amounts or coverage provided by the certificates of insurance provides coverage greater than those listed by this Agreement, the amounts provided by the certificates of insurance shall be incorporated by reference into the Agreement. g. 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. 6. NON-DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 7. 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 City Council 20 –8 11/16/2021 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A50037 Page 6 of 10 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A5003 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. 8. 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. 9. 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 of Finance and Management Services 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. 10. 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. 11. 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. City Council 20 –9 11/16/2021 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A50037 Page 7 of 10 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A5003 12. 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. 13. NOTICE Any notice, tender, demand, delivery, or other communication required or made 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 by express mail courier (i.e. FedEx, UPS, etc.), or sent by fax or email communication in the manner provided in this section. Any such notice shall be addressed to the other party at the address set forth below. Consultant invoice/billing statement notices to City shall be sent to City’s Primary Representative/Project Manager or designees. All notices, including invoice/billing statement notices and notices of address changes, provided under this Agreement are deemed received on the third day after mailing if sent by regular mail, or the next day if sent by overnight delivery. 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. If sent by email, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the delivery time stamp notated by the internet service provider, addressed as set forth above. For purposes of calculating these time frames, weekends, City Hall closure dates, federal, state, County or City holidays shall be excluded. If 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 Finance and Management Services Agency City of Santa Ana 20 Civic Center Plaza (M- 17) Santa Ana, CA 92702 Phone: (714) 647-6960 Fax: (714) 647-5414 City Council 20 –10 11/16/2021 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A50037 Page 8 of 10 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A5003 If to Consultant: TSYS Merchant Solutions, LLC, dba Global Payments Attn: David Green Corporate Secretary One Heartland Way Jefferson, IL 47130 Fax: (480) 333-7979 Representative or designees: Consultant Primary Representative/Project Manager shall be: Carl Van Laethem Client Success Advisor/National Accounts Global Payments Integrated Phone: (801) 772-1671 Email: carl.vanlaethem@globalpay.com Representative or designees: City Primary Representative/Project Manager shall be: Willard Holt Treasury and Customer Services Manager 20 Civic Center Plaza (M-15), Room 1105, Santa Ana, CA 92701 Phone: (714) 647-5456 Fax: 714-647-5304 Email: wholt@santa-ana.org A party may change its address or representative or designees by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address and/or new representative or designees. 14. COUNTERPART SIGNATURE AND DELIVERY This Agreement must be signed below and may be signed in separate counterparts including facsimile copies and delivered by fax, email as a PDF (Portable Document Format) file attachment, or by other means that displays the original or a copy of the signatures. Each counterpart (including facsimile copies) is deemed an original and all counterparts are deemed on and the same instrument and legally binding on the parties. Any subsequent amendments to this Agreement may be signed and delivered in the same manner. City Council 20 –11 11/16/2021 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A50037 Page 9 of 10 DocuSign Envelope ID: CC785C3E-264A-4B1 F-BF9B-0D8C42A5003 15.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. Provided however, that in the event that any provision of any exhibit is in direct conflict with the provisions of this Agreement then the terms of this Agreement will prevail solely with respect to any such directly conflicting provisions, or portions thereof. // // {Signatures on following page} City Council 20 –12 11/16/2021 DocuSign Envelope ID : CC785C3E-264A-4B1 F-BF9B-OD8C 42A5 0037 IN WITNESS WHEREOF, the pa11ies hereto have executed this Agreement the date and year first above written. ATTEST: Daisy Gomez Cle rk of the Council APPROVED AS TO FORM: Sonia R. Carvalho City Attorney RECOMMENDED FOR APPROVAL: Exec utive Director Fi nance and Management Services Agency DocuSign Enve lope ID : CC785C3E-264A-4B1 F-BF9B -OD8C42A50037 CITY OF SANT A ANA Kiistine Ridge City Manager CONSULT ANT: David Green Corporate Secretary SB Page 10 of IO City Council 20 –13 11/16/2021 EXHIBIT A MERCHANT CARD PROCESSING AGREEMENT City Council 20 –14 11/16/2021 Page 1 of 10 UNIVMERAGMT v22.0421 MERCHANT CARD PROCESSING AGREEMENT PLEASE READ SECTION 20 (“ATTORNEY FEES; ARBITRATION; CLASS ACTION WAIVER”) CAREFULLY AS IT RELATES TO ARBITRATION AND CLASS ACTIONS While all terms in this Merchant Agreement are important, here is a summary of some sections on which we occasionally receive questions. These are common clauses in merchant processing agreements throughout our industry. • The introductory paragraphs explain that the Merchant Agreement consists of other documents in addition to this Merchant Agreement. • We can amend your Merchant Agreement by providing you with 15 days’ notice or, under certain circumstances, with less than 15 days’ notice (see section 10). • Unless confirmed otherwise on your application, the initial term of this Merchant Agreement is three years. If you terminate early without cause, you may be required to pay an early termination fee (see section 11). • The proceeds you receive from transactions are provisional credits. We can charge or debit your settlement account to recover these provisional credits. We can also debit your Settlement Account to recover other amounts that you may owe us (see Section 12). • If you dispute any charge or funding, you must notify us within 30 days of the date of the statement (see section 12.5). • In some circumstances, we may require the establishment of a reserve account with us so we can mitigate risks. Section 13 explains how that reserve account will be funded and how we may use money in that account. • Our processing fees are set out in detail in the Merchant Application. We may change these fees, but must ordinarily notify you before doing so (see Section 16). • This agreement contains an arbitration clause (see Section 20.2) and a class action waiver (see Section 20.3). • This agreement is a complete and final agreement between us. It supersedes any previous negotiations we may have had on the services and products. (Section 21). This Merchant Card Processing Agreement (“MPA”) is for merchant card payment processing services among the merchant (“Merchant”) that signed the Application for Merchant Card Processing (“Merchant Application”), Member Bank, and Processor. The Merchant Application and the MPA are part of the “Merchant Agreement” as defined below. Subject to the requirements of the Operating Rules, Processor and Member Bank reserve the right to allocate duties and obligations amongst themselves as they agree appropriate in their sole discretion, and Member Bank or Processor may jointly or individually assert or exercise any rights or remedies provided hereunder. If Merchant wishes to address any act or omission by, or make or bring any claim or action against, Merchant Bank or Processor relating to this Merchant Agreement, it shall first discuss such issue with Processor prior to making or bringing any claim or action against Member Bank (in which case Processor shall address the issue as agreed with Member Bank). Member Bank is responsible for sponsoring Merchant with Visa and Mastercard, and for settlement of Merchant sales funds. Unless otherwise noted, all other products, services and obligations to Merchant are the sole responsibility of Processor. VISA®, Inc. (“Visa”) and Mastercard® International, Inc. (“Mastercard”), the Discover® Network (“Discover”), and the American Express® Network (“American Express”) are collectively known herein as the “Card Associations.” If elected by Merchant on the Merchant Application, Processor will settle American Express® Card and Discover® Network transactions in accordance with the terms set forth in the Merchant Application and in doing so, Processor does not represent or indicate in any way that Member Bank sponsors Processor into the American Express Network and Discover Network. If Merchant elects and is approved to participate in the American Express OptBlue Program, Merchant agrees to comply with the American Express OptBlue Merchant Operating Guide, which may be accessed at www.americanexpress.com/merchantopguide. Member Bank does not sponsor Processor into the American Express Network and Discover Network, is not providing or agreeing to provide Merchant any services hereunder with respect to American Express Card and Discover Network Card transactions, does not determine or approve or agree upon any fees, charges, pricing, or any other terms and conditions, relating to American Express Card and Discover Network Card transactions, and has no responsibility or liability to Merchant for American Express Card and Discover Network Card transactions. Nor does Member Bank provide or agree to provide Merchant any services hereunder or have any responsibility or liability to Merchant with respect to any PIN-based debit or stored value or electronic benefit transfer transactions (except only to the extent, if any, required under Visa’s or Mastercard’s Operating Rules or mandatory provisions of applicable law), or any PayPal transactions, JCB, Carte Blanche, or other Card type transactions (other than Visa and Mastercard Credit and non-PIN based debit/stored value /electronic benefit transactions, including any such transactions made with Diner’s International Cards which also carry the Mastercard Mark and are processed as Mastercard transactions), any CrossCheck or other Check Services transactions, merchant gift or loyalty card transactions, or any other services specified in the Merchant Application as covered in whole or in part by this Agreement but as not being provided by Member Bank. No reference to Member Bank herein shall be deemed to create any obligations or liability of Member Bank with respect to American Express Card or American Express Network transactions or Discover Network Cards or Discover Network Card transactions, or to any of the other types of Cards, transactions or services referred to above or in the Merchant Application as not being provided by Member Bank. The appendices, addenda (including but not limited to the ACH Addendum, and Petro Addendum if applicable), schedules, Fee Schedule, applicable product or services terms as indicated on the Merchant Application, and ACH Terms and Conditions that accompany this MPA, as amended from time to time as provided herein, are part of the terms and conditions of this MPA, as are the Merchant Application and the Operating Rules, and are hereinafter individually and collectively referred to as the “Merchant Agreement.” The Operating Rules for Visa are located at https://usa.visa.com/support/consumer/visa-rules.html, and the Operating Rules for Mastercard are located at https://www.mastercard.us/en- us/business/overview/support/rules.html. Capitalized terms used in this Merchant Agreement which are not defined herein shall have the meaning given to them in the Merchant Application, which is incorporated by reference into this Agreement and may be amended from time to time by Merchant Bank or Processor upon notice to Merchant. According to the processing services selected by Merchant on the Merchant Application and, in accordance with the terms of this Merchant Agreement and applicable Operating Rules, Merchant agrees to participate in Processor’s Card processing program by honoring Cards in accordance with this Merchant Agreement; and to submit Transaction Receipts, Credit Transaction Receipts and other electronic data to Processor for the Card Program services provided by Processor. With respect to Visa and Mastercard Transactions: Member Bank is responsible for providing settlement funds directly to Merchant, and Processor shall not have access to or hold settlement funds. 1. MERCHANT’S APPLICATION AND INFORMATION. By completing the Merchant Application, Merchant applies for the Card Program services covered by the Merchant Application and the Merchant Agreement. In their sole and absolute discretion, Processor and/or Member Bank may accept or reject Merchant’s Merchant Application. Merchant may present Transactions to Processor only for the activities and in the volumes described on the Merchant Application, including the percentage of Mail/Phone Order and Electronic Commerce Transactions. The earlier date of the presentation of the first Transaction, including any test Transaction, by Merchant to Processor or the date Processor approves the Merchant Application signifies the effective date of the Merchant Agreement (the “Effective Date”). By either Merchant’s signature on the Merchant Application or Merchant’s processing a Transaction (including a test Transaction) with Processor, Merchant affirmatively accepts and agrees to be bound by the Merchant Agreement. 2. MERCHANT’S GENERAL DUTIES. 2.1 General. Merchant will comply with the Merchant Agreement for submitting and processing Transactions with Processor. Processor is responsible to Merchant for processing Transactions under the Operating Rules for the Card Program services to which Merchant subscribes, which may vary among Card types. 2.2 Merchant’s Responsibility for Acts of Others. Merchant, and not Member Bank or Processor, is responsible for any advice from, acts of, as well as omissions, acts of fraud or acts of misconduct by, Merchant’s employees, processors, consultants, advisors, contractors, Merchant Servicers, Agents, officers and directors. Merchant, and not Member Bank or Processor, is responsible for the use, unauthorized use or misuse of Merchant’s equipment, POS Equipment, or software. 2.3 Electronic and Paperless Notices and Disclosures. Merchant consents to receiving electronically rather than in paper form all written notices, disclosures and other documents (“Documents”) which are to be provided by Processor to Merchant under the Merchant Agreement. Processor will notify Merchant that a Document is available at Processor’s web site with a link to that specific page of the web site containing the Document. Merchant agrees that such notification may be sent to Merchant at the e-mail address provided as part of the Merchant Application. By Merchant affirmatively checking the box to consent to receive paperless delivery of IRS Notices on the Merchant Application, if applicable, Merchant acknowledges that it has reviewed and received the Consent to Paperless Delivery of IRS Notices, located at http://www.tsys.com/documents.html and that Merchant consents and agrees to receive IRS notifications by paperless delivery. Merchant understands and acknowledges that access to the Internet and e-mail are required for Merchant to access Documents electronically or by paperless delivery and Merchant confirms that Merchant has such access. Merchant understands that there are costs related to accessing Documents electronically or by paperless delivery and Merchant agrees that Merchant is responsible for these related access costs. At any time, and without giving Merchant advance notice, Member Bank and/or Processor may elect not to send a Document electronically or by paperless delivery, in which case a paper copy of the Document will be sent to Merchant at Merchant’s last known address, as provided by Merchant, or such Document shall otherwise be provided as provided for herein. 3. PROCEDURES FOR CARD TRANSACTIONS. 3.1 Honoring Cards. (a) Limited Acceptance. If appropriately indicated herein, Merchant shall be a Limited Acceptance Merchant, which means that Merchant has elected to accept only certain Visa and Mastercard card types as indicated on the Merchant Application, or via later notification. The Visa or Mastercard Credit acceptance option on the Merchant Application refers to Visa Credit and Business transactions, and is what Mastercard refers to as “Other Card” transactions. Notwithstanding anything to the contrary in the Application, Merchant can elect (i) to accept only Visa or Mastercard non-PIN based debit/stored value/electronic benefit transactions (sometimes referred to as “signature debit” transactions, whether or not an actual signature is required), or (ii) to accept only Visa or Mastercard Credit transactions, or (iii) to accept all Visa or Mastercard Credit and signature debit transactions; provided, however, that a Merchant who accepts any Visa or Mastercard Card types must accept all valid Visa or Mastercard Card types issued by a non-U.S. issuer. Merchant is not required City Council 20 –15 11/16/2021 Page 2 of 10 UNIVMERAGMT v22.0421 to accept Card brands other than Visa or Mastercard in order to accept Visa or Mastercard Cards (except that transactions using Diner’s International Cards which also carry the Mastercard Mark must be accepted if Merchant accepts Mastercard Card transactions of the same type). Merchant Bank and Processor have no obligation other than those expressly provided under the Operating Rules and applicable law as they may relate to Limited Acceptance. Member Bank’s and Processor’s obligations do not include policing card types at the point of sale. Merchant will be solely responsible for the implementation of its decision for limited acceptance including but not limited to policing the card type(s) of transactions at the point of sale submitted for processing by Processor. Should Merchant submit a transaction for processing for a card type it has indicated it does not wish to accept, Processor may process that transaction and Merchant will pay the applicable fees, charges, and assessments associated with that transaction. Merchant will comply with any applicable laws and Operating Rules for the card type processed. (b) Discover. If Merchant has chosen to accept Discover Card Transactions in the Merchant Application, Merchant must accept Discover Cards at all Merchant establishments, including in payment for purchases of goods and services, for charitable contributions and for Cash Over Transactions, when properly presented for payment by a Cardholder. Subject to this Section, a Merchant must create a Transaction Receipt for each Discover Card Transaction and deliver at least one copy of the Transaction Receipt to the Cardholder. A Merchant may issue a Cash Over in connection with a Discover Card Transaction. Merchant must deliver a single Authorization Request for the aggregate total of the goods/services purchase amount and the Cash Over amount. In addition, the Transaction Receipt must include both the purchase amount and the Cash Over amount. (c) PayPal™. If Merchant has chosen to accept PayPal Payment Card Transactions in the Merchant Application, Merchant must accept PayPal Payment Cards at all Merchant establishments, including in payment for purchases of goods and services and for charitable contributions when properly presented for payment by a Cardholder. Subject to this Section, a Merchant must create a Transaction Receipt for each PayPal Card Transaction and deliver at least one copy of the Transaction Receipt to the Cardholder. (d) American Express. If Merchant has chosen to accept American Express® Cards in the Merchant Application, Merchant must accept American Express Cards as payment for goods and services sold, or (if applicable) for charitable contributions made, at all of its establishments, except as expressly permitted by state statute. Merchant is jointly and severally liable for the obligations of Merchant’s establishments under the Merchant Agreement. In the event Merchant’s American Express annual charge volume exceeds $1,000,000 in a rolling twelve month period or is greater than $100,000 in any three consecutive months, Merchant will be considered a High CV Merchant by American Express and will be required to enter into a direct merchant card acceptance agreement with American Express. Upon any conversion to a direct agreement with American Express, Merchant will be bound by American Express’ then current Card Acceptance Agreement and to any pricing and fees set by American Express. Merchant has the right to opt-out of acceptance of American Express Cards at any time without affecting Merchant’s rights to accept other card types. If Merchant elects to receive messages from American Express regarding products, services and resources available to it, as indicated on the Merchant Application, Merchant agrees messages maybe sent by American Express to the phone numbers, fax numbers or email addresses provided by Merchant. If a wireless number is provided, Merchant agrees communications may be sent via SMS or text in addition to automated calls. Merchant may opt out of receiving messages by contacting Processor. (e) EBT Transactions. If Merchant has chosen to accept Electronic Benefits Transfer (“EBT”) transactions, Merchant agrees to issue United States Department of Agriculture, Food and Nutrition Services (“FNS”) food stamp benefits (“FS Benefits”) and/or government delivered cash assistance benefits (“Cash Benefits,” and with FS Benefits, “Benefits”) to recipients (“Recipients”) in in accordance with the procedures specified herein, and in all documentation and user guides provided to Merchant by Processor, as amended from time-to-time; and pursuant to the Quest Operating Rules (the "Quest Rules"), as amended from time-to-time, issued by the National Automated Clearing House Association as approved by the Financial Management Service of the U.S. Treasury Department. Unless otherwise defined herein, all capitalized terms shall have the meanings ascribed them in the Quest Rules. Merchant will provide each recipient a receipt of each Benefit issuance. Merchant will be solely responsible for Merchant’s issuance of Benefits other than in accordance with authorizations. Merchant agrees to comply with all the requirements, laws, rules and regulations pertaining to the delivery of services to Benefit Recipients and Benefit Recipient confidentiality. If Merchant issues FS Benefits under this Merchant Agreement, Merchant represents and warrants to Processor that Merchant is an FNS-authorized "Merchant" (as such term is defined in the Rules) and is not currently suspended or disqualified by FNS. Merchant agrees to secure and maintain at its own expense all necessary licenses, permits, franchises, or other authorities required to lawfully effect the issuance and distribution of Benefits under this Merchant Agreement, including without limitation, any applicable franchise tax certificate and non-governmental contractor’s certificate, and covenants that Merchant will not issue Benefits at any time during which Merchant is not in compliance with the requirements of any applicable law. Merchant agrees to hold Processor harmless from any costs of compliance or failure to comply with any such obligation by Merchant. Processor may terminate or modify the provision of services to Merchant if any of Processor’s agreements with government EBT agencies are terminated for any reason or if any party threatens to terminate services to Processor due to some action or inaction on the part of Merchant. Nothing contained herein shall preclude the State from commencing appropriate administrative or legal action against Merchant or for making any referral for such action to any appropriate Federal, State, or local agency. Any references to "State" herein shall mean the State in which Merchant issues Benefits pursuant hereto. If Merchant issues Benefits in more than one State pursuant hereto, then the reference shall mean each such State severally, not jointly. 3.2 Operating Procedures for Transactions. In accepting Cards for the purchase of Merchant’s goods and services, Merchant shall comply with the requirements of the Merchant Agreement, including but not limited to the Operating Rules, as the same are revised from time to time. 3.3 Submission of Valid Transactions. (a) Merchant will submit to Processor a Transaction only if the Transaction is made or approved by the Cardholder who is issued the Card used for the Transaction. The burden of verifying the identity of the Cardholder and the Cardholder’s authority to initiate a Transaction rests solely with Merchant. Merchant will not submit directly or indirectly: (i) any Transaction that Merchant knows or should have known to be fraudulent or not authorized by the Cardholder; (ii) any Transaction that results from a transaction outside of Merchant’s normal course of business, as described on the Merchant Application; or (iii) any Transaction containing the account of a Card issued to Merchant or any account numbers issued to Merchant’s business owners, family members, principals or employees for Transactions that do not represent a purchase of goods or services from Merchant or a credit transaction related to a purchase of goods or services from Merchant . (b) If at any time the volume of Transactions substantially exceeds or decreases from the projected annual volume stated on the Application, or if at any time Processor suspects fraud, money laundering or violations of the Operating Rules, Processor may, in its sole and absolute discretion and in addition to other remedies that the Processor may have: (i) refuse to process the excessive or suspect Transactions; (ii) process the Transactions and retain the funds received from processing until such time as the excess or suspect Transactions are found to be valid or invalid and processed in accordance with the Operating Rules; (iii) suspend processing and/or terminate the Agreement; or (iv) amend the Merchant Agreement to protect the interests of Processor. 3.4 Payments to Merchant for Valid Transactions. (a) Member Bank and Processor will provide provisional credit to Merchant for each undisputed and valid Transaction that Merchant submits to Processor by crediting Merchant’s Settlement Account, provided Member Bank and Processor have received settlement for the valid Transaction through the Interchange procedures specified by the Card Association applicable to the Card used for the Transaction (Member Bank and Processor do not provide payment for all Card types for which Authorization services are provided). Member Bank and Processor are not obligated to provide provisional credit to Merchant for Transactions submitted that are not valid Transactions, and may suspend or discontinue any provisional credit in Member Bank’s and/or Processor’s sole and absolute discretion, including for any reason that would justify termination of this Merchant Agreement. Each provisional credit from Member Bank and Processor to Merchant will be subject to adjustment, including revocation, upon Processor’s further review and verification. Provisional credit to Merchant for a Transaction disputed by a Cardholder for any reason is not final. (b) Member Bank and Processor may deduct from any payment to Merchant the amount of any Credit Transaction Receipt processed for Merchant, any Chargeback to Merchant, any amount to be deposited in the Reserve Account and any Processing Fees and amounts sufficient to reimburse Member Bank and Processor for the amount of any Card Association assessments (sometimes referred to as “fines” or “penalties”) or charges due from Merchant or for any current or future obligation of the Merchant that arises under the Merchant Agreement. Merchant must immediately pay Member Bank and Processor the amount by which a Credit Transaction Receipt processed on any day exceeds valid Transactions submitted on that day. Without limiting Member Bank’s and Processor’s remedies, Member Bank and Processor may obtain the amount due by deducting it from the Settlement Account, Reserve Account or other accounts of or funds due Merchant. (c) Merchant acknowledges that all payments and credits provided to Merchant are provisional and subject to suspension, to Chargebacks and to adjustments in accordance with the Merchant Agreement, including, but not limited to the Operating Rules. 3.5 Retrieval Requests. If Merchant deposits Transactions with Processor through magnetic tape, electronic transmission, or electronic data capture terminal, upon the request of a Card Association, Processor or Member Bank, Merchant shall respond to all Retrieval Requests within the time frames specified in the applicable Operating Rules. If Merchant does not respond or responds late to a Retrieval Request, Merchant may be without recourse as Chargebacks for “non receipt of requested item” in most cases, cannot be reversed. Member Bank and Processor are not obligated to provide provisional credit to Merchant for any Retrieval Request and may suspend or discontinue any provisional credit in their sole and absolute discretion. 3.6 Equipment; Supplies; Displays. Important Note: Merchant acknowledges and agrees that Member Bank and its affiliates have no duty, obligation or liability whatsoever for: (1) the POS Equipment, herein; (2) any actions or omissions of Processor with respect to the POS Equipment; (3) failure of merchant to perform routine maintenance and updates to the POS Equipment; (4) any failure of merchant to adhere to standard security requirements as it relates to the POS Equipment; or (5) any claims or disputes arising out of the foregoing. (a) At Merchant’s request, Processor will supply Merchant with point-of-sale equipment, including a terminal, router or other compatible or ancillary equipment, hardware or device (collectively “POS Equipment”). Processor will use good faith efforts to program or configure the POS Equipment to operate at the Merchant Outlets in compliance with the Operating Rules; however, Processor makes no representations or warranties that Processor’s programming of the POS Equipment furnished by Processor will operate in compliance with the Operating Rules and applicable law. If Processor supplies Merchant with POS Equipment or other equipment, then Merchant must return such equipment upon termination of this Agreement. (b) The individual providing the terminal to Merchant is an employee of Processor, unless otherwise identified as an independent sales contractor. Merchant City Council 20 –16 11/16/2021 Page 3 of 10 UNIVMERAGMT v22.0421 acknowledges and understands that POS Equipment may be supplied to Merchant that is the property of Processor and is being provided to Merchant for free use subject to the following conditions and requirements: (i) Merchant shall be liable for a $495 fee for non-return of Processor supplied POS Equipment if Merchant terminates or ceases processing under the terms of this Agreement before the expiration of the initial or renewal term of this Merchant Agreement and fails to return the POS Equipment within ten days of termination or of ceasing processing. (ii) Merchant shall be liable for a $450 fee for non-return of Encryption Exchange POS Equipment if applicable; (iii) Merchant will be liable for any damages to the POS Equipment from the misuse or negligent use or handling of the POS Equipment; (iv) Merchant will be liable for any reasonable monthly fee as determined by Processor for paper or other supplies provided by Processor for use with the POS Equipment; and (v) Processor, at its absolute and sole discretion, may allow for one terminal exchange at no charge, but may charge additional fees for subsequent exchanges. (c) All Processor and third party POS Equipment and services provided or procured by Processor under this Merchant Agreement are provided “AS-IS.” Processor makes no warranty as to this POS Equipment’s fitness for any particular purpose (or any other Warranty) and disclaims any liability resulting from the POS Equipment or Merchant’s use of the POS Equipment. (d) Merchant acknowledges that Processor or a third party is supplying the POS Equipment and that Member Bank shall have no responsibility or liability for the POS Equipment supplied to Merchant. (e) Merchant will use only the forms for Transactions and electronic processing formats provided or approved in advance by Processor. Processor may change the forms from time to time, and, upon notification, Merchant will comply with any changes. Merchant will use Transaction forms or materials provided by Processor only for Transactions which Merchant submits to Processor. (f) Merchant may not (i) indicate or imply that the Card Associations, Processor or Member Bank endorses any Merchant goods or services, (ii) refer to a Card Association, Processor or Member Bank in stating eligibility for Merchant’s products, services or membership, or (iii) use any marks, symbols or logos owned by any Card Association, Processor or Member Bank for any purpose other than those permitted in the Operating Rules, provided that any use of Processor’s or Member Bank’s marks, symbols or logos shall be in accordance with and subject to any branding guidelines provided by Processor and Member Bank. Merchant acknowledges that Member Bank and Processor shall remain the sole and exclusive owners of their respective intellectual property and Confidential Information (defined below). Except to the extent expressly provided herein, no rights to Processor’s or Member Bank’s intellectual property or Confidential Information are granted hereunder, and all rights therein are expressly reserved. 3.7 Europay/Mastercard/Visa (“EMV”) Chip Card Compliance. Merchant agrees that if Merchant does not use POS Equipment that has been certified EMV chip card compliant and enabled or when a lost or stolen chip and PIN card is used at an EMV enabled terminal capable of processing chip and signature only, Merchant may be liable for payment of any transactions submitted for chargeback by the applicable EMV chip card issuer(s). 4. MERCHANT’S WARRANTIES. Upon signing the Merchant Application, and each time Merchant submits a Transaction, Merchant represents and warrants that: 4.1 Merchant has abided by the Merchant Agreement, and all applicable laws , the Operating Rules; 4.2 Each statement made on the Merchant Application was true as of the date Merchant signed the Merchant Application agreeing to be bound by the Merchant Agreement; 4.3 There have been no materially adverse changes in information provided in the Merchant Application or in Merchant’s financial condition, or management; 4.4 Merchant does not do business under a trade name or style not previously disclosed in writing, and there has been no change in the nature of Merchant’s business or the product lines that Merchant sells not previously disclosed; 4.5 The Transaction is genuine and arises from a bona fide sale of merchandise or services by Merchant, represents a valid obligation for the amount shown on the Transaction Receipt and does not involve the use of the Card for any other purpose; 4.6 Merchant has title to the Transaction and Transaction Receipt, there are no liens or other encumbrances on it, and Merchant has the authority to convey the Transaction for processing; 4.7 The Transaction is not subject to any dispute, set-off or counterclaim; 4.8 The Transaction has not been previously presented for processing unless allowed by the Operating Rules; 4.9 Each statement on the Transaction Receipt is true, and Merchant has no knowledge of facts that would impair the validity or collectability of the amount of the Transaction; 4.10 The person who executes the Merchant Application on behalf of Merchant has the full power and authority to execute the Merchant Application and to enter into the Merchant Agreement; 4.11 The Merchant Agreement is the legal, valid, and binding obligation of Merchant enforceable against Merchant in accordance with its terms; 4.12 Merchant shall submit Transactions only in accordance with the information contained in the Merchant Application and the Merchant Agreement; 4.13 Merchant has the power and authority to authorize the automatic funds transfer provided for in the Merchant Agreement; 4.14 The Settlement Account is owned and controlled by Merchant and is a valid account for processing debit and credit transactions under the Merchant Agreement; 4.15 Merchant is not (i) a Sanctioned Person, (ii) located in or operating under a license issued by a jurisdiction whose government has been identified by the U.S. Department of State as a sponsor of international terrorism under 22 U.S.C. 2371 or 50 U.S.C. App. 2405(j), (iii) located in or operating under a license issued by a jurisdiction that has been designated as non-cooperative with international anti-money laundering principles or procedures by an intergovernmental group or organization of which the U.S. is a member, or (iv) located in or operating under a license issued by a jurisdiction that has been designated by the U.S. Secretary of Treasury pursuant to 31 U.S.C. 5318A as warranting special measures due to money laundering concerns; and 4.16 Merchant will immediately notify Member Bank and Processor in writing of any material changes to any information provided herein including but not limited to a change in Merchant’s legal entity, location, business type, or the types of goods and services offered for sale by Merchant. 5. CONFIDENTIALITY; DATA SECURITY. 5.1 Confidentiality. Merchant will treat as confidential: (i) the terms of the Merchant Agreement; (ii) all information or data, of whatever nature, relating to Processor (including its operations, policies, procedures, accounts and personnel) accessed or used by or disclosed to Merchant in connection with the Merchant Agreement; (iii) Processor’s IRS W-9 form; and (iv) all information or data that is proprietary to a third party (including Processor’s customers and contractors) and that Processor is obligated to treat as confidential, accessed or used by or disclosed to Merchant in connection with the Merchant Agreement (individually and collectively, “Confidential Information”). Merchant shall not use or disclose Confidential Information without Processor’s prior written consent. Merchant may only disclose Confidential Information to Merchant employees who have a need to know such information in connection with Merchant’s performance hereunder and who are bound to confidentiality restrictions no less restrictive than those herein. Merchant shall exercise at least the same degree of care to maintain the confidentiality of Confidential Information that it uses for its own similar information, but in no event less than a reasonable degree of care. The foregoing obligations shall not apply to any information that (x) is received from any third party source that is properly authorized to disclose it without restriction, (y) is or becomes generally known to the public by publication or some other means other than a breach by Merchant or its employees of any agreement or confidentiality obligations, or (z) is required by law to be divulged, provided that the request is proper and the disclosure does not exceed that which is required. In the case of (z), Merchant will provide prior notice thereof and cooperate with Processor to limit disclosure. Upon Processor’s request, and upon termination or expiration of the Merchant Agreement, Merchant shall return or, only if requested by Processor, destroy all Confidential Information in its possession or control. Merchant acknowledges that a breach of this Section 5 may cause Processor irreparable injury and that Processor may have no adequate remedy at law. Accordingly, Processor may seek provisional or injunctive relief in addition to any other rights or remedies. 5.2 Transaction Receipts. Merchant will retain in a secure and confidential manner original or complete and legible copies of each Transaction Receipt, and each Credit Transaction Receipt required to be provided to Cardholders, for such period as required by law or the Operating Rules. Merchant shall render all materials containing Cardholder Account Numbers unreadable prior to discarding. Merchant is responsible for ascertaining whether applicable law requires copies retained by Merchant to truncate card numbers and suppress expiration dates, and for complying with all such laws. 5.3 Storage. Merchant will store Transaction Receipts and Credit Transaction Receipts in an area limited to selected and authorized personnel, and when record-retention requirements have been met, Merchant will destroy the records so that the same are rendered unreadable. 5.4 Merchant Servicers and Agents. Merchant must notify Processor and receive Processor’s approval prior to engaging any Merchant Servicer or Agent in connection with Merchant’s acceptance of Cards or the submission of Transactions to Processor. Merchant shall provide Member Bank and Processor at least sixty days advance written notice of Merchant’s election to use a Merchant Servicer or Agent. Member Bank and/or Processor may individually approve or deny the use of a Merchant Servicer or Agent in their sole and absolute discretion and at any time. If a Merchant Servicer or Agent is required to certify, register, or act in any fashion pursuant to the Operating Rules, Merchant shall cause such Merchant Servicer or Agent to cooperate with Processor in completing any steps required for registration and/or certification and/or action. Merchant is solely responsible for any and all applicable fees, costs, expenses and liabilities associated with such registration and/or certification and/or action. Processor and Member Bank shall in no event be liable to Merchant or any third party for any actions or inactions of any Merchant Servicer or Agent used by Merchant, and Merchant hereby expressly assumes all such liability. Merchant will immediately notify Processor if Merchant decides to use electronic authorization or data capture terminals provided by any entity other than Processor or its authorized designee (“Third Party Terminals”) to process Transactions, including leasing a terminal from a third party. If Merchant elects to use Third Party Terminals: (a) the third party providing the terminals will be Merchant’s Merchant Servicer in the delivery of Transactions to Processor; and (b) Merchant assumes full responsibility and liability for any failure of that third party to comply with the Operating Rules, applicable laws, rules or regulations or the Merchant Agreement. Processor and Member Bank will not be responsible for any losses or additional fees incurred by Merchant as a result of any error by a third party agent or a malfunction in a Third Party Terminal. City Council 20 –17 11/16/2021 Page 4 of 10 UNIVMERAGMT v22.0421 The use of a Merchant Servicer or Agent or software or systems provided by a Merchant Servicer or Agent that has connectivity to the Internet poses an increased risk, and Merchant assumes all liability for such increased risks. If Merchant utilizes software or hardware with a connection to the Internet such hardware or software interacts in any capacity with the provision of services contemplated pursuant to this Merchant Agreement, Merchant is solely liable without limitation for any and all consequences of such interaction. 5.5 Security. Merchant agrees and shall ensure that Merchant Servicers and Agents utilized by Merchant provide the same levels of security as those required of Merchant, and that such Merchant Servicers and Agents transmit data in accordance with: (a) the required format(s) of the Card Associations; (b) the Operating Rules; and (c) the requirements of Processor and Member Bank. Merchant must have a written contract between Merchant and its Agent or between Merchant and the Merchant Servicer that stipulates adherence to the provisions of such information security requirements. Merchant’s written contract with any such third party must contain provisions obligating the third party to comply with applicable law, with CISP and SDP and DISC and PCIDSS, PA-DSS, PIN and PED security requirements if applicable, and all other Card Association requirements pertaining to confidentiality and security and integrity of Cardholder and Card transaction data, with all rules prohibiting storage of certain Card transaction data, and with all other applicable Operating Rules and the requirements of Processor and Member Bank. Merchant will only allow Merchant Servicers or Agents to have access to cardholder data for the purposes that are authorized by the Operating Rules. Any fees or liability assessments from actual or alleged noncompliance will be the sole liability of the Merchant. Merchants processing less than 1 million annual Visa transactions and using third parties for POS application, terminal installation and integration must engage Payment Card Industry (PCI) Qualified Integrator Reseller (QIR) professionals to install, integrate, and support point-of-sale applications and terminal installation and integration. Merchant shall indemnify and hold Member Bank and Processor harmless against losses or damages arising from the acts or omissions of Merchant Servicers or Agents engaged by Merchant. 5.6 Loss or Theft. Merchant must immediately notify Member Bank and Processor of any suspected or confirmed loss or theft of materials or records that contain Cardholder Account Numbers or Card Transaction information. In the event of a suspected or confirmed loss or theft Merchant shall provide immediate access to all facilities, systems, procedures, equipment, and documents as may be deemed appropriate by Processor and Member Bank or their designated representatives, regulators or auditors for inspection, audit, and copying as deemed appropriate by both Member Bank and Processor in their individual sole discretion. Merchant shall be responsible for all costs associated with such inspection, audit, and copying however such costs may occur. 5.7 Merchant authorizes Processor to release its name and address to any third party whom the Processor determines needs to know such information in order for Processor to perform the Card Program services under this Merchant Agreement and who has requested such information. 5.8 Merchant will not: (a) provide Cardholder Account Numbers, personal Cardholder information or Transaction information to anyone except Processor, the Card Associations, or Merchant’s Merchant Servicers or Agents for the purpose of assisting Merchant in completing Card Transactions, or as specifically required by law; (b) retain or store Card Magnetic Stripe, CVV, CVV2, CVC2 or CID data (including Track Data) subsequent to Authorization for a Transaction; (c) sell, purchase, provide or exchange Card Account Number information to any third party without the Cardholder’s consent, or to any entity other than Merchant’s Merchant Servicers or Agents, Processor, the Card Associations, or in response to valid legal process or subpoena; or (d) release any Cardholder information over the telephone under any circumstances. 5.9 Merchant may not in any event, including its failure, including bankruptcy, insolvency, or other suspension of business operations, sell, transfer, or disclose any materials that contain Cardholder Account Numbers, personal information or Transaction information to third parties. In the event that Merchant’s business fails or ceases to exist, Merchant is required to return to Processor all such information or provide proof of destruction of this information to Processor. 5.10 Merchant agrees to establish security procedures to protect Cardholder information and comply with the Visa Cardholder Information Security Program (CISP), Mastercard’s Site Data Protection (SDP) Program, Discover Information Security Compliance (DISC), American Express Data Security Requirements, the Payment Card Industry (PCI) Data Security Standards, and applicable laws pertaining to the privacy and security of personal information (including, without limitation, and to the extent applicable, those of non-U.S. governmental authorities). Detailed information about PCI DSS can be found at the PCI DSS Council’s Website: www.pcisecuritystandards.org. The Card Associations, Processor or Member Bank, and their respective representatives, may inspect the premises of Merchant or any Merchant Servicer or Agent engaged by Merchant for compliance with security requirements. Merchant acknowledges that any failure to comply with security requirements may result in the imposition of restrictions on Merchant or the permanent prohibition of Merchant’s participation in Card acceptance programs by the Card Associations. Merchant shall indemnify and hold Processor and Member Bank harmless against any losses or damages arising from Merchant's actual or alleged failure to comply with security procedures and any losses or damages arising from or related to Merchant's acts or omissions that result in an actual or alleged breach of data security, including but not limited to Merchant's non- participation in any breach security program Processor may offer. 5.11 Processor acknowledges that it will maintain compliance with all applicable PCI DSS requirements. 5.12 Federal regulations enacted pursuant to the USA PATRIOT Act and other applicable laws require financial institutions with which Processor has relationships to verify the identity of every person who seeks to open an account with a financial institution. As a result of Merchant’s status as an account holder with Member Bank, Merchant shall provide documentary verification of Merchant’s identity, such as a driver’s license or passport for an individual and certified copy of organization documents for an entity in manner acceptable to Processor and Member Bank. Processor and Member Bank reserve the right to verify Merchant’s identity through other non-documentary methods as Processor and Member Bank deems appropriate in its sole discretion. Processor and Member Bank may retain a copy of any document it obtains to verify Merchant’s identity with the financial institution. 6. OPERATING RULES. 6.1 Merchant must comply with the Operating Rules, as the same may be amended from time to time. The Operating Rules may change with little or no advance notice to Merchant and Merchant will be bound by all such changes. If Merchant objects to any change in the Operating Rules, it must immediately stop accepting new Transactions for Cards governed by the change. The Operating Rules will govern in the event that there is any inconsistency between the Merchant Agreement and the Operating Rules. However, nothing in the Merchant Agreement shall be construed to impose on Merchant a requirement (including a requirement under the Operating Rules) which is prohibited by mandatory provisions of applicable law (i.e., where the applicability of such provisions of law to the Merchant Agreement, and of the law’s prohibition to the particular requirement which otherwise would be imposed on Merchant hereunder, cannot lawfully be waived by agreement), but the requirement hereunder shall be construed to continue in effect and to be imposed on Merchant in all respects and at all times to the fullest extent possible without violating the law’s prohibition, with only those particular applications of the requirement which would violate the law’s prohibition deemed severed from the provisions hereof. 6.2 Operating Rules of the Debit Networks may differ among them with respect to the Transactions they allow. Processor, at its discretion, may require that the most restrictive requirements of one Debit Network apply to all of Merchant’s On-line Debit Card Transactions, regardless of Card type. 7. MERCHANT’S BUSINESS; OTHER PROCESSORS. 7.1 Compliance With Laws. Merchant will comply with all applicable federal, state, and local laws and regulations (“Requirements of Law”), including but not limited to laws and regulations regarding anti-money laundering compliance, in completing Transactions, submitting them to Processor, performing its obligations under the Merchant Agreement, and otherwise conducting its business. 7.2 Change in Name or Business. Merchant will give Member Bank and Processor at least thirty days’ prior written notice before any change in Merchant’s name or location, any change in ownership or management of Merchant’s business, any sale, assignment, rental, lease or transfer of ownership of any location that accepts Cards, or any material change in information concerning Merchant in the Merchant Application, and material change in the type or nature of the business carried out by Merchant or otherwise required to be provided to Processor. 7.3 Other Processors. To the extent permitted by applicable law, Merchant agrees that it will not participate in a Card Program with another financial institution or processor without Processor’s written approval. 8. CREDIT REPORTS AND OTHER INFORMATION. 8.1 Reports About Merchant. From time to time, Processor may obtain credit and other information on Merchant, owners and officers of Merchant, any and all personal guarantors of Merchant, and any signatory to the Merchant Application, from others (such as customers and suppliers of Merchant, lenders and credit reporting agencies), and furnish information on Merchant’s relationship with Processor and Processor’s experience with Merchant to others seeking the information. 8.2 Reports from Merchant. Merchant will provide Processor with updated business and financial information concerning Merchant, including financial statements, tax returns, evidence of required licenses and other information and documents Processor may reasonably request from time to time. Merchant shall further provide Processor such information as it may request for the making of insurance claim, regulatory or other filings related to Merchant’s activity pursuant to this Agreement. All material marked “confidential” which Processor receives from Merchant will be used only by Processor, Member Bank or Card Association in performing the Card Program services under this Merchant Agreement or related services and reporting. Processor, Member Bank and any Card Association, regulator, auditor or any other entity having authority may audit Merchant’s records relating to this Merchant Agreement. Merchant shall provide all documentation, information or other inspection rights requested by Processor’s or Member Bank’s regulators or auditors or otherwise to enable Processor and Member Bank to meet Requirements of Law. Without limiting the generality of the foregoing, Merchant understands and agrees that if, at the time of signing this Merchant Agreement Merchant is undergoing a forensic investigation, Merchant must notify Processor and fully cooperate with the investigation until it is completed. 8.3 Information. Merchant authorizes Processor to release and use information collected in connection with Processor’s provision of services to the Merchant contemplated in the Merchant Agreement, to third parties that provide services to Processor or Merchant, for marketing purposes with third parties with whom Processor has a relationship to offer products and/or services to merchants, or to any third party that requests and has a reason to know such information, including but not limited to the Card Associations, and any third party having regulatory control over any party. 9. ASSIGNMENT; BANKRUPTCY. 9.1 Assignment. The Merchant Agreement is binding upon the successors and assigns of Processor, Member Bank and Merchant. Merchant will not assign or transfer (including by merger, change of control or operation of law) the Merchant Agreement (in whole or in part) to another person or entity without Processor and Member Bank’s prior written consent City Council 20 –18 11/16/2021 Page 5 of 10 UNIVMERAGMT v22.0421 and any purported assignment made without Processor’s and Member Bank’s consent will be void. 9.2 Bankruptcy. (a) Merchant will notify Processor immediately if any bankruptcy, insolvency or similar petition is filed by or against Merchant. Merchant acknowledges that this Merchant Agreement constitutes an executory contract to extend financial accommodations as defined in 11 U.S.C. §365(c)(2) and that the Merchant Agreement cannot be assumed or assigned in the event of bankruptcy. Merchant and Processor agree that in the event of Merchant’s bankruptcy, Processor shall be entitled to suspend further performance under this Merchant Agreement. (b) Merchant acknowledges and agrees that in the event of a bankruptcy proceeding, Merchant must establish a Reserve Account or maintain a previously established and then current Reserve Account in amounts required by Processor and in accordance with any Reserve Account provision specified in this Merchant Agreement. Processor will have the right to setoff against the Reserve Account for any and all obligations which Merchant may owe Processor, without regard as to whether the obligations relate to Transactions initiated or created before or after the filing of the bankruptcy petition. 10. AMENDMENTS; WAIVERS. 10.1 Amendments. Bank shall have the right to modify or amend the terms and conditions of this Merchant Agreement, including, without limitation, the right to modify, amend, or supplement applicable fees, charges, and/or discounts. Modifications and amendments related to changes to the Operating Rules, changes to the fees charged by the Card Associations, Member Bank, or third parties, or in response to changes in Requirements of Law (collectively, a “Third Party Change”) may be made effective immediately, with or without notice. Modifications or amendments unrelated to a Third Party Change shall be effective upon the date specified in a notice to the Merchant (the “Change Notice”), provided that the date shall not be fewer than five business days after the date of such Change Notice. A Change Notice may be reflected as a message attached to Merchant’s monthly billing statements. Following the Effective Date, in the event of any modification or amendment not related to a Third Party Change, Merchant shall have the right to terminate this Merchant Agreement, without liability for premature termination pursuant to Section 11.2(d), by providing written notice thereof to Processor, provided that such notice must be given within five business days following the date of the Change Notice. Other than the amendments set forth above, this Merchant Agreement may be amended only in writing signed by Merchant, Member Bank, and Processor. 10.2 Waivers. Bank’s failure to enforce this Merchant Agreement will not waive Bank’s rights under this Merchant Agreement. Waivers of any provision of this Merchant Agreement must be in writing and signed by Bank. A waiver in one instance will not apply to other occasions unless that intent is clear from the signed waiver. 11. TERM; TERMINATION. 11.1 Term/Renewal. The initial term of this Merchant Agreement shall be for the term of three years (the “Initial Term”) commencing on the earlier date of the presentation of the first Transaction, including any test Transaction, by Merchant to Bank or the date Bank approves the Merchant Application; provided, however, that if Merchant is receiving these terms and conditions as an amendment to an existing Merchant Agreement, the amendment shall not affect the then-existing term. By either Merchant’s signature on the Merchant Application or Merchant’s processing a Transaction with Bank, Merchant confirms acceptance of the Merchant Agreement. At the expiration of the Initial Term, this Merchant Agreement will automatically renew for successive one year periods (each a “Renewal Term” and collectively with the Initial Term the “Term”) unless a party provides the other parties with notice of its intent not to renew the Merchant Agreement at least ninety days prior to the expiration of the then current term. 11.2 Termination. (a) Termination without Cause. Member Bank or Processor or Member Bank’s or Processor’s designated representative may terminate the Merchant Agreement as to all Card types or individually specified Card types, without cause, upon thirty days advance written notice. (b) Termination for Cause by Processor or Member Bank. Member Bank or Processor or Member Bank’s or Processor’s designated representative may terminate the Merchant Agreement in its sole and absolute discretion, effective immediately, upon written, electronic or oral notice, to Merchant if Member Bank or Processor reasonably determines that any of the following conditions exists: (i) Merchant has violated any provision of the Merchant Agreement. (ii) There is a material adverse change in Merchant’s financial condition, material change in Merchant’s processing activity, processing activity inconsistent with the Merchant Application, or Member Bank or Processor determines in its sole discretion that Merchant’s processing activity could result in a loss to Processor or Merchant Bank. (iii) A petition in bankruptcy has been filed by or against Merchant, Merchant is generally unable to pay its debts as they become due, a receiver, custodian, trustee, liquidator or similar official is appointed for a substantial portion of Merchant’s business, there is a general assignment for the benefit creditors, or the business terminates. (iv) Any information which Merchant provided to Processor or Merchant Bank, including Merchant Application information, was false, incomplete or misleading when received, or has materially changed since Merchant provided such information. (v) At any time during the term of the Merchant Agreement, Merchant has had a monthly ratio of Chargebacks to Transactions that Processor or Member Bank, in their sole and absolute discretion, deems excessive. (vi) There is an overdraft for three days or more in the Settlement Account, or overdrafts in the Settlement Account are otherwise excessive. (vii) Merchant or any of Merchant’s officers or employees has been involved in processing Transactions with Processor or Member Bank or other parties arising from fraudulent or otherwise unauthorized transactions. (viii) Merchant is or will be unable or unwilling to perform its obligations under the Merchant Agreement or any applicable laws. (ix) Merchant has failed to pay Processor or Member Bank any amount when due. (x) Merchant has failed to promptly perform or discharge any obligation under the Merchant Agreement, the Settlement Account or the Reserve Account. (xi) Any of Merchant’s representations or warranties made in connection with the Merchant Agreement was not true or accurate when given. (xii) Merchant has defaulted on any agreement it has with Processor or Member Bank. (xiii) Processor or Member Bank is served with legal demand, order or process seeking to attach or garnish any of the provisional credits arising out of or relating to the Merchant Agreement, Merchant’s funds or property in Processor’s or Member Bank’s possession, (xiv) The Operating Rules are amended in any way such that Processor or Member Bank determines that the continued existence of the Merchant Agreement would cause Processor or Member Bank to be in breach of such Operating Rules. (xv) Any Guaranty supporting Merchant’s obligations is revoked, withdrawn or terminated or altered in any way. (xvi) Any governmental entity initiates proceedings against, or an investigation regarding, Merchant, or Processor or Member Bank reasonably believes that a governmental entity may do so. (xvii) If any circumstances arise regarding Merchant or its business that, in Processor’s or Member Bank’s discretion, make harm or loss of goodwill to Processor, Member Bank or any Card Association likely. (c) Termination for Cause by Merchant. Merchant may terminate the Merchant Agreement in the event of a material breach of the terms of the Merchant Agreement by Processor, provided Merchant gives Processor written notice of any alleged breach and such breach remains uncured for a period of thirty days following receipt of written notice by the Processor. (d) Damages for Early Termination. (i) Processor and Merchant acknowledge and agree that in addition to all other remedies available to Processor under the Merchant Agreement or as otherwise available in law or equity, if the Merchant Agreement is terminated prior to the expiration of the applicable Term of the Merchant Agreement for any reason other than for a material, uncured breach by Processor, Merchant agrees to pay Processor damages (the “Damages”) determined by adding an account closure fee as follows (unless a different amount is disclosed on the Merchant Application): (1) $250 for Merchants with less than twelve months remaining from the date of termination to the end of the then current Term, or; (2) $500 for Merchants with more than twelve months remaining, or such portion of the foregoing as may be permitted by applicable law. (ii) Merchant agrees that such Damages shall also be due to Processor if Merchant discontinues submitting Transactions for processing during the Term for a period of ninety (90) consecutive days, and is not designated on the Merchant Application, or by notice to Processor, as a seasonal merchant or as otherwise agreed to by Processor. (iii) Merchant acknowledges and agrees that the Damages are not a penalty but rather are a reasonable computation of the financial harm caused by the termination of the Merchant Agreement or the cessation of processing activity by Merchant. (e) Member Bank’s or Processor’s rights of termination under the Merchant Agreement are cumulative. A specific right of termination shall not limit any other right of Processor or Member Bank to terminate the Merchant Agreement expressed elsewhere in the Merchant Agreement. Notice of termination may be given orally or in writing, if given orally, shall be confirmed in writing, except as otherwise stated in the Merchant Agreement. (f) Upon termination, Merchant’s rights to complete Transactions and submit them to Processor, and to use Transaction form or formats, promotional material and any other items provided by Processor, will cease. Termination of the Merchant Agreement will not terminate the rights and obligations of Merchant, Processor and Member Bank relating to acts or omissions occurring before termination, including for example, any Processing Fees or other service fees owed to Processor, any Transactions processed for Merchant by Processor (whether before or after termination), Merchant’s Chargeback and indemnity obligations, and the Security Interest granted to Processor and Member Bank in the Merchant Agreement. (g) It is understood that a file for terminated merchants referred to as Member Alert to Control High-Risk Merchants (“MATCH”), formerly known as the Terminated Merchant File (“TMF”), is managed and maintained by Mastercard and utilized by the Card Associations and acquiring banks to identify the names of any business (and its principals) that have been terminated for certain reasons, including fraud, depositing excessive counterfeit paper, excessive unauthorized transactions, excessive chargebacks, depositing paper for others (laundering), bankruptcy or breach of a Merchant Agreement. Merchant acknowledges that Member Bank or Processor is required to report Merchant to the MATCH (and/or on the Consortium Merchant Negative File (the CMNF) published by Discover® Network) if the Merchant Agreement is terminated for any of the foregoing reasons or other reasons as may be modified by the Card Associations. Merchant agrees and consents to such reporting in the event of the termination of the Merchant Agreement for any of the foregoing reasons, and Processor and Member Bank shall have no liability for such reporting, even in City Council 20 –19 11/16/2021 Page 6 of 10 UNIVMERAGMT v22.0421 instances where Merchant contends that the foregoing bases for termination do not, in fact, exist. (h) Sections 2.3, 3, 4, 5, 6, 7, 8.1, 9.1, 10.2, 11, 12, 13, 14, 15, 16.3, 16.4 17, 18, 19, 20, 22, 23, 24, and 25 will survive termination of the Merchant Agreement. 12. SETTLEMENT ACCOUNT. 12.1 Settlement Account Required. Merchant must maintain a Settlement Account in Merchant’s name in satisfactory condition at a depository institution under arrangements acceptable to Processor. The Settlement Account will be subject to the provisions of Section 14 of this Merchant Agreement. 12.2 Minimum Balance. Merchant agrees to maintain a minimum balance of funds in the Settlement Account as Processor may specify to Merchant in writing from time to time. 12.3 Provisional Credits. Subject to the terms and conditions of the Merchant Agreement, Processor and Member Bank agree to provisionally credit Merchant for each Transaction that Processor accepts from Merchant. Merchant acknowledges that Processor and Member Bank may reverse or revoke such credit, including in response to any Chargeback. Furthermore, Merchant agrees that Processor and Member Bank may charge or debit the Settlement Account for the amount of any Transaction processed under the Merchant Agreement, or any agreement Processor or Member Bank may have with any Merchant Affiliate, that results in a Chargeback, or for any Credit Transaction Receipt or other reimbursement or Processing Fees or other Merchant obligation to which Processor or Member Bank may be entitled under the Merchant Agreement. 12.4 Audits and Adjustments. Merchant agrees that Processor and Member Bank may audit all Transaction calculations and that Processor and Member Bank shall have the right, without notice, to make withdrawals, deposits, or other adjustments to or from the Settlement Account for any deficiencies or overages. 12.5 Errors and Disputes. Processor and Member Bank shall be entitled to presume that any amounts the Processor and Member Bank pays to or debits from Merchant are correct unless Merchant disputes these by sending Processor written notice within thirty days of the date of the applicable statement containing any disputed payments or debits. PROCESSOR AND MEMBER BANK SHALL NOT BE LIABLE FOR ANY DISPUTED PAYMENTS OR DEBITS, INCLUDING ANY ALLEGEDLY IMPROPER FEE(S), UNDERPAYMENTS, OR BILLING ERRORS, WHICH ARE NOT REPORTED TO PROCESSOR IN WRITING WITHIN SUCH THIRTY-DAY PERIOD. 12.6 POS Equipment. If Merchant chooses to rent or lease POS Equipment from Processor or utilizes software provided by Processor for use in processing Transactions, Merchant agrees to pay Processor: (a) a pre-determined monthly rental fee; (b) any initial upfront costs as required; and (c) all applicable taxes for such POS Equipment or software utilization. 12.7 Settlement Account Closure. If the Settlement Account is closed, Processor or its designated representative may terminate the Merchant Agreement, effective immediately, upon written or oral notice (with written confirmation in the event of oral notice) unless Merchant opens another Settlement Account acceptable to Processor. Merchant may change the Settlement Account upon prior written approval by Processor, which approval will not be unreasonably withheld. 12.8 ACH Authorization. Merchant authorizes Processor and Member Bank or their agents or designated representatives to initiate debit and credit entries and adjustments to the Settlement Account or the Reserve Account (described in Section 13 of the MPA) through the ACH settlement process for amounts due under the Merchant Agreement. This authorization will remain in full force and effect until termination of the Merchant Agreement and the full and final payment of all obligations of Merchant due under the Merchant Agreement. Merchant acknowledges and agrees that Processor and Member Bank will not be liable for any delays in receipt of funds, any failure by Merchant to receive funds, or errors in debit or credit entries caused by Merchant, or third parties, including but not limited to any Card Association or any financial institution. 13. ADDITIONAL COLLATERAL SECURITY; RESERVE ACCOUNT. As a condition for providing Card Program services, Merchant may, at Processor’s discretion, be required to provide additional collateral security for Merchant’s obligations hereunder, which additional collateral security shall be of a kind, and in amounts, satisfactory to Processor in Processor’s sole discretion, and which shall be in addition to all other collateral provided for in Section 14 hereof. Processor may require that all or any part of the additional collateral be deposited in a Reserve Account, in which case the following provisions of this Section 13 shall apply: 13.1 Reserve During Term of Merchant Agreement. (a) Merchant may be required to deposit, or Processor or Member Bank may deposit by deducting from any provisional credit or payment otherwise due to Merchant or from any funds in the Settlement Account or any other deposit account of Merchant, into an account maintained by Member Bank (or at another approved depository institution) (the “Reserve Account”), initially or at any time in the future as requested by Processor, sums sufficient to satisfy Merchant’s current and/or future obligations as determined by Processor in its sole and absolute discretion. In lieu of establishing a Reserve Account, Processor may, at its election, demand and receive other forms of additional collateral security, including, without limitation, letters of credit or certificates of deposit. Failure to supply such additional collateral security shall constitute a material breach of this Merchant Agreement. (b) The Reserve Account will be separate from the Settlement Account. Notwithstanding anything else in this Merchant Agreement to the contrary, Merchant shall have no ownership interest or property rights in the Reserve Account or the funds therein, no right of withdrawal from the Reserve Account, and no right to receive interest on funds held in the Reserve Account. Rather, the Reserve Account shall be under the sole control of Member Bank. Any and all earnings from deposits of Merchant to the Reserve Account shall be the sole property of the Processor. 13.2 Reserve Account Deposits. (a) At any time in Processor’s sole and absolute discretion, Processor may (i) designate the minimum balance required to be deposited in the Reserve Account, (ii) require that the amount on deposit in the Reserve Account be increased, (iii) require that Merchant deposit, or Processor or Member Bank may deposit for Merchant into the Reserve Account a percentage of, or a fixed amount from each Transaction processed, or (iv) otherwise determine the amount to be deposited in the Reserve Account. Processor at its sole and absolute discretion may require that each month Merchant deposit, or Processor or Member Bank may deposit by deducting from any provisional credit or payment due to Merchant or from any funds in the Settlement Account or any other deposit account of Merchant sums into the Reserve Account no later than the twentieth day of the month. Processor shall notify Merchant as to the amount of the funds to be deposited each month. (b) Merchant acknowledges and agrees that the Reserve Account may contain both funds deposited by Merchant and funds of other merchants of the Processor. 13.3 Deductions from Reserve Account. If funds are not available in the Settlement Account, Processor or Member Bank without prior notice to Merchant may deduct from any provisional credits or payment due to Merchant that are maintained in the Reserve Account any current or future obligation of Merchant to Processor or Member Bank under the Merchant Agreement, including all Processing Fees, Chargebacks, Credit Transaction Receipts, Damages, and any and all additional fees and obligations under the terms of the Merchant Agreement, and sums sufficient to reimburse Processor and Member Bank for the amount of any liability assessments and charges due the Card Associations. 13.4 Replenishment of Reserve Account Deficiencies. Whenever the balance in the Reserve Account is less than the minimum balance required, or is otherwise deficient, Processor or Member Bank may, without prior notice, deposit the deficiency into the Reserve Account by reducing any payment to Merchant required by the Merchant Agreement or deduct the deficiency from the Merchant’s or Merchant’s Affiliate’s Settlement Account or any other deposit account of Merchant or Merchant Affiliate with another depository institution (including accounts of general partners if Merchant is a partnership) and deposit it into the Reserve Account. Merchant authorizes deductions from its accounts by ACH entry, sight draft, preauthorized check, reverse wire, or otherwise as Processor and Member Bank deem appropriate under the circumstances. In addition, Merchant will deposit any deficiency into the Reserve Account within one Business Day after receiving Processor’s oral or written request. Without limiting Processor’s remedies, Merchant’s failure to deposit any deficiency on time will permit Processor, without advance notice, to suspend or cease processing additional Transaction Receipts and Credit Transaction Receipts. Processor will give Merchant written notice of any suspension or cessation of processing. 13.5 Additions to Reserve Account. If Processor has reason to believe that Merchant may be liable to customers or to Processor for Chargebacks exceeding the balance in the Reserve Account, Processor or Member Bank may: (a) immediately place in the Reserve Account provisional credits or payments otherwise due to Merchant and/or stop processing transactions for Merchant until such time as the extent of Merchant’s obligations to Processor and Member Bank, or Merchant’s liability for Chargebacks, or Merchant’s liability to customers are known, and Processor no longer deems itself insecure, and/or (b) demand from Merchant an amount that in Processor’s judgment is needed to ensure payment of Merchant’s obligations and liabilities. Merchant’s failure to pay any amount will permit Member Bank or Processor or its designated representative to terminate the Merchant Agreement immediately without advance notice. 13.6 Reserve Account After Merchant Agreement Terminates. Processor or Member Bank may continue to hold or deposit funds in the Reserve Account after termination of the Merchant Agreement, regardless of whether termination is by Merchant, Processor or Member Bank. Upon termination of the Merchant Agreement by Merchant, Processor or Member Bank, Processor and Member Bank may retain sufficient funds to satisfy any and all Processing Fees, Chargebacks, Credit Transaction Receipts, Damages, and any and all additional fees, and sums sufficient to reimburse Processor and Member Bank for the amount of any liability assessments and charges due the Card Associations or other obligations or liabilities arising or, in Processor’s or Member Bank’s discretion, likely to arise under the terms of the Merchant Agreement. If no funds have been deposited into the Reserve Account before termination, Processor, at Processor’s option, may notify Merchant to deposit funds into the Reserve Account upon termination of the Merchant Agreement. All provisions which apply to a pre-termination Reserve Account will apply after termination, including replenishment of deficiencies. The funds will be held by Processor and Member Bank or its designated agent for a period of not less than one hundred eighty days from the date of the last Transaction, including, but not limited to a Chargeback, processed under the Merchant Agreement, plus the period of any warranty, guarantee, and/or return policy on goods and/or services sold. Processor and Member Bank will turn over the balance in the Reserve Account to Merchant after Processor reasonably determines that the risk of Chargebacks, Processing Fees or Merchant’s liabilities or obligations under the Merchant Agreement has ended and after deducting all amounts that Merchant owes to Processor and Member Bank under the Merchant Agreement or any other agreement. 14. SECURITY INTEREST. 14.1 Merchant’s Grant of Security Interest. (a) To secure Merchant’s performance of its obligations under this Merchant Agreement, and any other agreement with Processor or Member Bank, Merchant grants Processor and Member Bank a security interest in each Transaction and its proceeds, provisional credits, the Settlement Account, the Reserve Account (without in any way suggesting that Merchant has ownership interest or property rights in the Reserve Account), and any other deposit account of Merchant with a financial institution, whether now existing or established in the future, and in the proceeds of all those accounts, any funds due to City Council 20 –20 11/16/2021 Page 7 of 10 UNIVMERAGMT v22.0421 Merchant from Processor or Member Bank and any of Merchant’s property held by Processor or Member Bank. Processor and Member Bank may enforce these security interests without notice or demand. The security interests granted under this Merchant Agreement will continue after the Merchant Agreement terminates, until Merchant satisfies all its obligations to Processor and Member Bank. (b) Furthermore, and with respect to any security interests granted herein, Processor and Member Bank will have all rights afforded under the Uniform Commercial Code, as the same may, from time to time, be in effect in the State of Georgia; provided, however, in the event that, by reason of mandatory provisions of law, any or all of the attachment, perfection or priority of the security interests granted herein is governed by the Uniform Commercial Code as in effect in a jurisdiction other than the State of Georgia, then Processor and Member Bank will have all rights afforded under the Uniform Commercial Code as in effect from time to time in such other jurisdiction for purposes of the provisions relating to such attachment, perfection or priority of the security interests, as well as any other applicable law. 14.2 Perfection of Security Interest. Upon request of Processor, Merchant will execute one or more financing statements or other documents to evidence the security interests granted to Processor and Member Bank under this Section 14. Merchant shall cooperate with Processor in obtaining any control agreement or similar agreement with a depository bank necessary to perfect the security interests granted herein. In addition, Merchant agrees that its signature on the Merchant Application will be considered Merchant’s signature agreeing to any control agreement as defined in Article 9 of the Uniform Commercial Code among Merchant, Processor, Member Bank and any other financial institution under which Processor, Member Bank, Merchant and any other financial institution agree to the disposition of funds in the Settlement Account, the Reserve Account or any other deposit account without further consent by Merchant. 15. CUSTOMER CLAIMS. To the extent that Processor or Member Bank has paid or may become liable for a Chargeback or Credit Transaction Receipt, Merchant will be obligated to reimburse Processor and Member Bank for any sums Processor or Member Bank pays or for which Processor or Member Bank is liable. If Merchant does not reimburse Processor or Member Bank, Processor and Member Bank will have all of the rights and remedies of Cardholders, including the Cardholders’ rights under 11 U.S.C. §507(a)(6). Processor and Member Bank may assert any claim on behalf of a Cardholder individually or on behalf of all Cardholders as a class. 16. PROCESSING FEES. 16.1 Fee Schedule. Merchant will pay Processing Fees in the amount specified in the Fee Schedule attached to the Merchant Application or as otherwise provided for in this Merchant Agreement or an Addendum thereto. Monthly recurring Processing Fees will be assessed upon approval of the Merchant Application. Processor may amend, supplement, modify, or increase the Processing Fees, including, without limitation, introducing new products or services, pursuant to Section 10.1 of this Merchant Agreement. 16.2 Card Association Actions. Processor will not be required to provide Merchant with fifteen days’ notice of an increase in Processing Fees in the event that any Card Association, or any other entity having such authority takes any action that increases the Processing Fees. 16.3 Government and Regulatory Actions. Processor will not be required to provide Merchant with fifteen days’ notice for any increase in Processing Fees resulting from any fine, charge, fee or cost incurred in connection with any state, federal or other regulatory action, change in laws or regulations or escheatment of Merchant’s funds. 16.4 Payment. Processing Fees and other service charges, obligations or liabilities owed by Merchant to Processor or Member Bank under the Merchant Agreement may be deducted by Processor or Member Bank from amounts due Merchant, or from the Settlement Account or from the Reserve Account. Merchant will pay the amounts due by the next Business Day if sufficient funds are not available in the Settlement Account. 17. INDEMNIFICATION; LIMITATION OF LIABILITY; WARRANTY. 17.1 Indemnification. Merchant shall indemnify each of Processor and Member Bank, including their respective officers, directors, employees, independent sales organizations (“ISOs”), and agents, against and hold them harmless from any and all claims, demands, settlements, losses, damages, liabilities, costs and expenses of any kind (including reasonable attorney’s fees) of any party arising from or based upon any actual or alleged act or omission of Merchant, Merchant’s employees, Merchant’s designated representatives or agents, Merchant Servicers or Merchant’s Agent(s) in connection with or arising out of this Merchant Agreement, the duties to be performed by Merchant pursuant to the Merchant Agreement, any Transactions which Merchant submits to Processor (including Chargebacks), or Merchant’s actual or alleged violation of the Operating Rules or any Requirements of Law. In the event that Processor or Member Bank is made a party to any litigation, proceeding, arbitration, bankruptcy proceeding, or other legal process (collectively “Actions”) commenced by any third party, Merchant shall protect and hold each of Processor and Member Bank harmless from and with respect to the Actions and shall indemnify such party from and against all costs, expenses, and attorney’s fees, including in-house legal fees, incurred or paid in connection with the Action, together with any judgments, settlements, losses, damages or other liabilities. Merchant shall indemnify, defend, and hold harmless each of Processor and Member Bank from and against any actual or alleged hacking, infiltration, or compromise of Merchant’s systems or the systems of Merchant, Merchant Servicers or Merchant’s Agent(s), designated representatives, or other agents. 17.2 Limitation of Liability. Each of Processor and Member Bank will not accept responsibility for errors, acts, or failure to act by others, including but not limited to, Merchant Servicers, Agents, third party suppliers of software, equipment or services; or, banks, communication common carriers, data processors or clearinghouses through which transactions may be passed, originated and/or authorized. Each of Processor and Member Bank will not be responsible for any loss, liability or delay caused by fires, earthquakes, war, civil disturbances, power surges or failures, acts of governments, acts of terrorism, labor disputes, failures in communication networks, legal constraints or other events beyond the control of Bank. Each of Processor and Member Bank undertakes no duties to Merchant other than the duties expressly provided for in the Merchant Agreement, and any and all other or additional duties that may be imposed upon Processor or Member Bank in law or equity are hereby irrevocably waived and released to the maximum extent permitted by law. IN ANY EVENT, TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, THE CUMULATIVE LIABILITY OF EACH OF PROCESSOR AND MEMBER BANK, AS WELL AS THEIR RESPECTIVE OFFICERS, DIRECTORS, EMPLOYEES, AND AGENTS, TO MERCHANT, WHETHER ARISING IN CONTRACT, TORT (INCLUDING, WITHOUT LIMITATION, NEGLIGENCE AND STRICT LIABILITY) OR OTHERWISE, SHALL NOT EXCEED THE LESSER OF $10,000 OR, THE AMOUNT EQUAL TO THE AGGREGATE OF MONTHLY NET PROCESSING FEES PAID BY MERCHANT IN THE THREE MONTH PERIOD PRIOR TO THE MONTH THAT THE INCIDENT GIVING RISE TO LIABILITY OCCURRED. TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, IN NO EVENT SHALL EITHER PROCESSOR OR MEMBER BANK OR THEIR RESPECTIVE OFFICERS, DIRECTORS, EMPLOYEES, AND AGENTS BE LIABLE FOR SPECIAL, INCIDENTAL, INDIRECT, CONSEQUENTIAL OR EXEMPLARY DAMAGES OR FOR ANY INTERRUPTION OR LOSS OF USE, DATA, BUSINESS OR PROFITS, WHETHER OR NOT SUCH LOSS OR DAMAGES WERE FORESEEABLE OR PROCESSOR OR MEMBER BANK WAS ADVISED OF THE POSSIBILITY THEREOF AND REGARDLESS OF WHETHER ANY LIMITED REMEDY HEREIN FAILS OF ITS ESSENTIAL PURPOSE. TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, PROCESSOR AND MEMBER BANK SPECIFICALLY DISCLAIM ALL WARRANTIES OF ANY KIND, EXPRESSED OR IMPLIED, INCLUDING, WITHOUT LIMITATION, ANY WARRANTY OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE OR NON-INFRINGEMENT OF ANY INTELLECTUAL PROPERTY RIGHT WITH RESPECT TO THE SERVICES PROVIDED HEREUNDER. WITHOUT LIMITING THE GENERALITY OF THE FOREGOING, PROCESSOR AND MEMBER BANK DO NOT GUARANTEE OR WARRANT THAT THE SERVICES WILL BE UNINTERRUPTED OR ERROR- FREE. 18. NOTICES. Each notice required by the Merchant Agreement will be in writing (hard copy or electronic), except as otherwise stated in the Merchant Agreement, and will be effective when delivered, (a) to Member Bank at the address designated on the Merchant Application, and the return address on Merchant’s Card processing statements, (b) to Processor at the address designated on the Merchant Application and (c) to Merchant at Merchant’s address to which Processor mails Merchant’s statements or at the electronic mail address provided by Merchant in the Merchant Application, or at such other address as any party may provide by written notice to the other parties. Any address Merchant designates may also be the address to which Processor mails Merchant’s statements. Where applicable, delivery by facsimile transmission or electronic mail will be considered effective when the sender receives electronic confirmation of the transmission. 19. GEORGIA LAW; JURISDICTION; VENUE. Merchant’s offer to enter into this Merchant Agreement is made in Muscogee County, Georgia; this Merchant Agreement shall be performed by Merchant in Muscogee County, Georgia and governed by Georgia law, excluding its conflict of laws rules. Merchant and Guarantor agree to bring any claim or action relating to the Merchant Agreement in binding arbitration as set forth in Section 20.2 below. Any matters not otherwise subject to arbitration (such as, by way of example only, injunctive relief, action to recover any monetary losses or damages from unpaid obligations of the Merchant under the Merchant Agreement, or claims to enforce an arbitration award), shall be brought in the state or federal courts located in Muscogee County, Georgia. All parties irrevocably and unconditionally submit to the jurisdiction of such courts with respect to any such action. In the event that Processor or Member Bank is required to resolve a dispute with Merchant that requires any action under this provision, Merchant hereby agrees and consents to receive service of process by certified mail. 20. ATTORNEY FEES; ARBITRATION; CLASS ACTION WAIVER. 20.1 Attorney Fees. Merchant and/or Guarantor will be liable for and will indemnify and reimburse Processor and Member Bank for all attorneys’ fees, including in-house legal fees, and other costs and expenses paid or incurred by Processor and Member Bank in the enforcement of this Merchant Agreement or in matters relating to this Merchant Agreement, or arising from any breach by Merchant of this Merchant Agreement, or any other wrongdoing by Merchant or Guarantor. In the event Processor or Member Bank must engage in any recovery or collection efforts to collect any amounts due from Merchant to Processor or Member Bank, Merchant will reimburse Processor and Member Bank for all fees and expenses incurred in such collection, plus reasonable administrative fees and expenses. 20.2 Arbitration. NOTE: PLEASE READ THIS SECTION CAREFULLY AS IT AFFECTS YOUR RIGHTS AND THE RESOLUTION OF DISPUTES ANY DISPUTE OR CLAIM ARISING OUT OF, RELATING TO, OR IN CONNECTION WITH THIS AGREEMENT OR THE RELATIONSHIPS WHICH RESULT FROM THIS AGREEMENT SHALL BE RESOLVED BY BINDING ARBITRATION, RATHER THAN IN COURT; HOWEVER, MERCHANT MAY ASSERT CLAIMS IN SMALL City Council 20 –21 11/16/2021 Page 8 of 10 UNIVMERAGMT v22.0421 CLAIMS COURT IF (1) THE CLAIMS QUALIFY FOR SMALL CLAIMS COURT; (2) THE MATTER REMAINS IN SMALL CLAIMS COURT AT ALL TIMES; AND (3) THE MATTER PROCEEDS ONLY ON AN INDIVIDUAL (NOT A CLASS OR REPRESENTATIVE BASIS). ARBITRATION DOES NOT PROCEED BEFORE A JURY AND MAY INVOLVE MORE LIMITED DISCOVERY THAN A COURT PROCEEDING. ANY ARBITRATION UNDER THIS AGREEMENT WILL ONLY BE ON AN INDIVIDUAL BASIS. CLASS ARBITRATIONS, CLASS ACTIONS, PRIVATE ATTORNEY GENERAL ACTIONS, AND CONSOLIDATION WITH OTHER ARBITRATIONS ARE NOT PERMITTED. The arbitrator's award or decision will not affect issues or claims involved in any proceeding between Processor or Member Bank and any person or entity who is not a party to the arbitration. The arbitrator may award monetary, declaratory or injunctive relief only in favor of the individual party seeking relief and only to the extent necessary to provide relief warranted by that party's individual claim. The arbitrator's award, if any, will not apply to any person or entity that is not a party to the arbitration. However, nothing in this Section or Merchant Agreement shall preclude any party from bringing issues to the attention of federal, state or local agencies. Such agencies can, if the law allows, seek relief on your behalf. Further, notwithstanding the foregoing, nothing in this Section or this Merchant Agreement prohibits a party from applying to a court of competent jurisdiction for a temporary restraining order, preliminary injunction, or other equitable relief. The Federal Arbitration Act (9 U.S.C. § 1 et seq.) governs the interpretation and enforcement of the arbitration provisions of this section. Arbitration will be administered by JAMS (www.jamsadr.com). For claims greater than $250,000, the JAMS Comprehensive Arbitration Rules and Procedures in effect at the time the arbitration is commenced will apply (if no such rules are in effect, JAMS default arbitration rules shall apply). For claims equal to or less than $250,000, the JAMS Streamlined Arbitration Rules and Procedures in effect at the time the arbitration is commenced will apply (if no such rules are in effect, JAMS default arbitration rules shall apply). Unless the arbitrator(s) determine that justice or fairness require otherwise: (i) any arbitration will proceed in Muscogee County, Georgia (although, for the convenience of the Merchant or Guarantor (as applicable), any party or its counsel may participate telephonically); and (ii) the arbitrator(s) will oversee limited discovery, taking into account the amount in controversy and the parties’ desire to keep proceedings cost-effective and efficient. Any decision rendered in any arbitration proceeding shall be final and binding on each of the parties to the arbitration and judgment may be entered thereon in any court of competent jurisdiction. The parties will maintain the confidential nature of the arbitration proceeding except as may be necessary to enforce any award or to comply with applicable law. If the total damage claims in an arbitration are $10,000 or less, not including Merchant’s attorney fees (“Small Arbitration Claim"), the arbitrator may, if the MERCHANT, prevails, award the Merchant reasonable attorney fees, expert fees and costs (separate from Arbitration Costs as defined below), but may not grant Processor its attorney fees, expert fees or costs (separate from Arbitration Costs) unless the arbitrator determines that the Merchant’s claim was frivolous or brought in bad faith. In a Small Arbitration Claim case, ISO will pay all arbitration filing, administrative and arbitrator costs (together, “Arbitration Costs"). The Merchant must submit any request for payment of Arbitration Costs to JAMS at the same time the Merchant submits its Demand for Arbitration. However, if the Merchant wants Processor to advance the Arbitration Costs for a Small Arbitration Claim before filing, Processor will do so at the Merchant’s written request which must be sent to Processor at the address in Section 18 above. If the Merchant’s total damage claims in an arbitration exceed $10,000, not including the Merchant’s attorney fees (“Large Arbitration Claim"), the arbitrator may award the prevailing party its reasonable attorneys' fees and costs, or it may apportion attorneys' fees and costs between the Merchant and Processor (such fees and costs being separate from Arbitration Costs). In a Large Arbitration Claim case, if the Merchant is able to demonstrate that the Arbitration Costs will be prohibitive as compared to the costs of litigation, ISO will pay as much of the Arbitration Costs as the arbitrator deems necessary to prevent the arbitration from being cost-prohibitive. Merchant hereby agrees that claims applicable to American Express may be resolved through arbitration as further described in the American Express Merchant Requirements Guide (the “American Express Guide”). A court, not the arbitrator, will decide any questions regarding the validity, scope and/or enforceability of this Section 20.3 Class Action Waiver. NOTE: PLEASE READ THIS SECTION CAREFULLY AS IT AFFECTS YOUR RIGHTS AND THE RESOLUTION OF DISPUTES MERCHANT AND GUARANTOR (IF APPLICABLE) ACKNOWLEDGE AND AGREE THAT ALL DISPUTES ARISING OUT OF OR RELATED TO THIS MERCHANT AGREEMENT SHALL BE RESOLVED ON AN INDIVIDUAL BASIS WITHOUT RESORT TO ANY FORM OF CLASS ACTION AND SHALL NOT BE CONSOLIDATED WITH THE CLAIMS OF ANY OTHER PARTIES. 21. FINAL AGREEMENT. This Merchant Agreement and all applicable Addenda attached hereto, is the complete and final agreement between Merchant, Processor and Member Bank for the Card Program services covered by this Merchant Agreement and supersedes all prior or contemporaneous negotiations, stipulations or agreements between them with respect thereto. In the event of any conflict or inconsistency between this Merchant Agreement and any other agreement between Processor or any of its affiliates and Member Bank or any of its affiliates (but not Merchant), such other agreement shall control with respect to such conflict or inconsistency. If any provision of this Merchant Agreement is invalid or unenforceable, the other provisions remain effective. 22. SEVERABILITY. If any term or provision of this Merchant Agreement is found to be invalid, illegal or otherwise unenforceable, the same shall not affect the other terms or provisions hereof or the whole of this Merchant Agreement, but such terms or provisions shall be deemed modified to the extent necessary to render such term or provision enforceable, and the rights and obligations of the parties shall be construed and enforced accordingly, preserving to the fullest permissible extent the intent and agreements of the parties herein set forth. No part or portion of 20.2 (Arbitration) or Section 20.3 (Class Action Waiver) shall be deemed so integral to either this Agreement as a whole, or to the remaining parts or portions of Sections 20.2 or 20.3 hereof, that the unenforceability of that part or portion should have any impact on or render the remainder unenforceable. 23. CONTINUING GUARANTY. 23.1 As a primary inducement to Processor to enter into the Merchant Agreement, and to approve the Merchant Application of Merchant, the Guarantor(s), individually and severally, who signed on the Guarantor signature line(s) on the Merchant Application, agree to be bound by all terms and provisions of the Merchant Agreement to the same extent and in the same manner as Merchant, and unconditionally and irrevocably, personally guarantee the continuing full and faithful performance and payment by Merchant of each and all of Merchant’s duties and obligations to Processor and Member Bank under the Merchant Agreement or any other agreement currently in effect or in the future entered into between Merchant or its principals and Processor or Member Bank, as such agreements now exist or are amended from time to time, with or without notice to Guarantor(s). 23.2 Merchant and Guarantor(s) further agree to be bound by the terms and provisions of any Merchant Agreement between Processor or Member Bank and any Merchant Affiliate, regardless of whether such agreement currently exists or is executed, amended or supplement at some future date. Merchant and Guarantor(s) unconditionally and irrevocably guarantee the full payment and performance of each and all duties and obligations owed to Processor or Member Bank by Merchant Affiliate pursuant to any Merchant Agreement. The provisions of Section 23.3 apply to the guarantee by Merchant and Guarantor(s) of the Merchant Affiliate’s obligations to Processor or Member Bank under any Merchant Card Processing Agreement. 23.3 Guarantor(s) understands that Processor, without notice to Guarantor(s), may from time to time renew or extend the Merchant Agreement, modify rates, limits, charges and fees, or modify the amount or type of services provided to Merchant all of which may increase the Guarantor’s obligations under this Guaranty. Guarantor(s) further understands that Processor may proceed directly against Guarantor(s) without first exhausting Processor’s remedies against Merchant, any other person or entity responsible to Processor or any security held by Processor. This Guaranty is a continuing guaranty and will not be discharged or affected by the release or discharge of Merchant or the death of the Guarantor(s). This Guaranty will bind all heirs, administrators, and representatives of the Guarantor(s) and may be enforced by or for the benefit of any successor of Processor. To the fullest extent permissible under applicable law, Guarantor(s) waives any and all rights of subrogation, reimbursement or indemnity derived from Merchant, all other rights and defenses available to Merchant, and all other rights and defenses available to Guarantor(s). This Guaranty may not be otherwise revoked, suspended, withdrawn or terminated without the express written consent of Processor. 24. AUTHORIZED USERS. To the extent Merchant is granted electronic access to any systems or portals of Processor, Merchant shall be responsible for (i) ensuring that only authorized users of such systems or portals access the same; (ii) keeping all logins, user names, and passwords confidential; and (iii) promptly notifying Processor of any unauthorized access of such logins, user names, or passwords; and (iv) all actions taken by anyone using such access, logins, user names, or passwords, even if such actions were not authorized by Merchant. 25. TAXES. Merchant shall be solely responsible for the calculation, collection, and remittance of any sales tax imposed by any government authority in connection with the provision of Merchant’s goods or services. Unless Merchant is otherwise exempt (and can prove such exemption to Processor’s satisfaction), Merchant agrees to pay all taxes imposed on the services, equipment, or other property provided to Merchant pursuant to this Agreement. 26. RELATIONSHIP OF THE PARTIES. Merchant designates Processor as its agent to receive payments for transactions processed pursuant to this Card Services Agreement. Processor, however, shall not be considered a partner or fiduciary to Merchant, and nothing in this Merchant Agreement or the rendition of services related to this Merchant Agreement shall be deemed to create a joint venture, partnership, or fiduciary relationship between or among the parties. Rather, the relationships between Member Bank and Merchant, and between Processor and Merchant, are arm’s length commercial relationships. 27. PRODUCTS AND SERVICES. Important Note: Merchant acknowledges and agrees that Member Bank and its affiliates have no obligation or liability whatsoever for: (1) the Products and Services described City Council 20 –22 11/16/2021 Page 9 of 10 UNIVMERAGMT v22.0421 herein, (2) any actions or omissions of Processor with respect to these Products and Services, or (3) any claims or disputes arising out of the foregoing. 27.1 If Merchant elects to receive any of the ancillary Products and Services listed on the Merchant Application (including but not limited to the Guardian Suite (and its related products), Payment Acceptance Applications (WebPASS, Multi-PASS, and/or Hosted Payments), and TransLink Insights either in various packages or on a product by product basis, Merchant agrees to the following terms applicable to the relevant software licenses (collectively, the “Licensed Software”). Use of the Licensed Software is limited to Merchant’s internal business purposes. Title to and ownership of the Licensed Software remains with Processor and its suppliers. Merchant may not (a) alter or modify the Licensed Software, (b) reverse engineer, decompile, disassemble, or in any way attempt to derive the source code for the Licensed Software, or (c) transfer the Licensed Software to any third party or make the Licensed Software available to any third party as part of any time-sharing or service bureau arrangement. Merchant will not export or re-export the Licensed Software without the appropriate United States or foreign government licenses. All express and implied warranties regarding the Licensed Software by Processor and its suppliers to Merchant are disclaimed. For U.S. Government End Users: The Licensed Software is a “commercial item,” as that term is defined at 48 C.F.R. 2.101 (OCT 1995), and more specifically is “commercial computer software” and “commercial computer software documentation,” as such terms are used in 48 C.F.R. 12.212 (SEPT 1995). Consistent with 48 C.F.R. 12.212 and 48 C.F.R. 227.7202-1 through 227.7202-4 (JUNE 1995), the Licensed Software is provided to U.S. Government end users (a) only as a commercial end item, and (b) with only those rights as are granted to all other end users pursuant to the terms and conditions herein. The Licensed Software is only offered on terminals capable of supporting it. 27.2 VITAL POS. Subject to the terms and conditions of this Agreement and the Terms of Use and Privacy Policy located within the Vital POS Software and associated portals and web pages (the “Platform”), including without limitation payment of the fees as set forth in this Agreement, Processor hereby grants to Merchant a limited, revocable, non- exclusive, non-transferable, non-sublicensable license to utilize (and allow for the utilization by designated employees and agents) the Vital POS Platform only on an as-is basis, for the sole and exclusive purpose of internally operating the products in the normal course of Merchant’s business, and as expressly stipulated under this Agreement (the “Platform License”). Merchant acknowledges and agrees that the Platform provided under this Agreement and all intellectual property provided, embodied, or used in association therewith, including without limitation all trademarks, service marks, logos, software, designs, templates, encryption algorithms, copyrights, and other proprietary rights, and any documentation related to any of the foregoing (collectively, “Intellectual Property Rights”), are and shall remain solely and exclusively owned by Processor (or other third party owner as the case may be). Merchant shall have no right to market, distribute, sell, assign, pledge, sublicense, lease, deliver, or otherwise transfer the Platform or any component thereof, to any third party. Merchant shall not, and shall not permit any third party to, use the Platform directly or indirectly to provide a time-sharing or subscription service to any third party or to function as a service bureau or application service provider. Merchant shall not reverse engineer, decompile, disassemble, translate, modify, alter, create any derivative works based upon, or otherwise change the Platform or any part thereof, or determine or attempt to determine any source code, algorithms, methods or techniques embodied in the Software included in the Services, or any Application Programming Interfaces “API(s)” or any part thereof, or access or use the Platform or the APIs in any way except via access provided through use in accordance with the Processor documentation and the terms of the Agreement. Merchant shall comply with the Terms of Use and Privacy Policy (as updated from time to time), all security and operational requirements, policies, and procedures relating to the Platform as specified in the documentation related thereto and as may be otherwise communicated or provided by Processor. Merchant shall use the Platform solely in the conduct of its business and in compliance with all laws, rules, and regulations of every governmental authority or card association having jurisdiction over Merchant or any of the foregoing. 28. GLOBAL PAYMENTS EQUIPMENT AGREEMENT. Important Note: Merchant agrees Member Bank is not a party to the GLOBAL PAYMENTS Equipment Agreement and has no responsibility under it. Merchant acknowledges and agrees that Member Bank and its affiliates have no obligation or liability whatsoever for: (1) products or services provided under the GLOBAL PAYMENTS Equipment Agreement, or (2) any actions or omissions of TSYS Merchant Solutions, LLC dba Global Payments (“GLOBAL PAYMENTS”) with respect to the GLOBAL PAYMENTS Equipment Agreement. Merchant agrees that any claims or disputes arising out of the foregoing will be resolved without involving Member Bank and that Member Bank is entitled to rely on Merchant’s agreements in this Section 24. THIS GLOBAL PAYMENTS Equipment Agreement ("EQUIPMENT AGREEMENT"), by and between GLOBAL PAYMENTS, and “Merchant,” the name of which is set forth in the Agreement, as defined herein, shall become effective as of the date Merchant Application (“Effective Date”). WHEREAS, GLOBAL PAYMENTS and Merchant shall hereinafter be referred to as the “Parties”; and WHEREAS Merchant desires to purchase or rent equipment from GLOBAL PAYMENTS in order to accept and process specified credit card transactions. NOW THEREFORE, in consideration of the mutual promises made herein, and other valuable consideration, receipt and sufficiency of which are hereby acknowledged, the Parties do hereby agree as follows: 28.1 GLOBAL PAYMENTS agrees to sell or rent to Merchant and Merchant agrees to buy or rent from GLOBAL PAYMENTS the equipment described in the Merchant Application or as added from time to time via Merchant’s request through Processor‘s customer service center. GLOBAL PAYMENTS owns all right, title and interest in all EQUIPMENT rented or sold to MERCHANT hereunder, provided that such right, title and interest will transfer to MERCHANT in the event MERCHANT purchases the EQUIPMENT. The individual sales representative selling or renting the EQUIPMENT to MERCHANT is an employee of GLOBAL PAYMENTS. Merchant’s payment for equipment or delivery of the equipment to Merchant will constitute Merchant’s acceptance of the applicable following terms and conditions. Payment for equipment and any related fees shall be due and payable on the Effective Date of this EQUIPMENT AGREEMENT if purchasing equipment, monthly if renting, or upon an otherwise agreed upon date or payment schedule. Merchant agrees to pay the fee(s) set out in the Agreement and as added from time to time. Merchant is responsible for all sales, use, excise and other taxes, including penalties and interest, that may result from this transaction. The fees set forth in the Merchant Application related to this EQUIPMENT AGREEMENT are exclusive of any and all applicable taxes or assessments, whether designated as sales taxes, use taxes, ad valorem taxes, GST/HST taxes, VAT taxes or by some other name or designation, and including any interest or penalties thereon, which may be levied or assessed by any governmental or taxing jurisdiction in connection with the performance of services or provision of materials to Merchant by GLOBAL PAYMENTS. In the event of the payment of or for any such tax, assessment or expense by GLOBAL PAYMENTS, Merchant shall in turn pay GLOBAL PAYMENTS for such items. Merchant hereby authorizes GLOBAL PAYMENTS to debit payment from the Merchant’s designated account established under the Agreement for items ordered herein if payment does not accompany order. 28.2 Upon payment by Merchant to GLOBAL PAYMENTS of the entire purchase amount required herein, GLOBAL PAYMENTS shall sell, transfer and assign the purchased equipment to Merchant for Merchant’s use and benefit. All risks or expenses of loss, damage, or repair to the equipment shall be borne by Merchant upon such transfer of title. 28.3 If Merchant is renting equipment, Merchant agrees to pay Processor a monthly rental fee (“Rental Fee”) for the equipment until such time said equipment is returned to GLOBAL PAYMENTS, which will be debited monthly from the Merchant’s Settlement Account established under the Agreement or billed separately to merchant if the Merchant’s Settlement Account no longer exists. MERCHANT may return the EQUIPMENT to GLOBAL PAYMENTS at any time during the AGREEMENT, at which time MERCHANT will no longer be responsible for future payments of the RENTAL FEE. If Merchant is purchasing the equipment via multiple payments and terminates the EQUIPMENT AGREEMENT prior to completing the monthly purchase payments, then Merchant agrees to immediately pay the remainder of the purchase price or, if Merchant returns the equipment under the conditions specified herein, Merchant agrees to pay GLOBAL PAYMENTS’s then current RENTAL FEE for the length of time Merchant had the use of the equipment. 28.4 Merchant agrees to pay the Rental Fee on a per month basis as rental for the EQUIPMENT. GLOBAL PAYMENTS may amend the Rental Fee on thirty (30) days written notice to Merchant. Submission by Merchant of a Transaction after such notice period shall be evidence that Merchant has received the amended Rental Fee and has agreed to such amended Rental Fee. Merchant is supplied with monthly reports by Processor regarding the equipment. It is Merchant’s sole responsibility to report any error or discrepancies detected by Merchant in writing to GLOBAL PAYMENTS within ninety (90) days following the end of the monthly reporting period. After such period, Merchant will be deemed to have accepted the monthly reports as delivered. 28.5 The Parties agree to each of the terms and conditions set forth herein and acknowledge that such provisions are binding upon each of them, their successors, heirs and assigns. 28.6 Merchant understands that a telephone jack and other equipment may be required for its phone system to be compatible with equipment at Merchant’s expense. 28.7 Upon expiration or termination of the EQUIPMENT AGREEMENT, Merchant agrees to remove the rental equipment from its locations and deliver it to GLOBAL PAYMENTS at Merchant’s cost in the same condition as when the rental equipment was installed, normal wear and tear excepted. The Parties agree that the rental equipment is and will remain personal property of GLOBAL PAYMENTS. 28.8 Merchant hereby assumes the entire risk of loss, damage or destruction of the equipment from any cause whatsoever, until the delivery of the rental equipment to GLOBAL PAYMENTS. If the rental equipment is damaged, lost, or not returned to GLOBAL PAYMENTS, Merchant shall, at the option of GLOBAL PAYMENTS, repair the rental equipment at Merchant’s expense or pay GLOBAL PAYMENTS the current replacement cost of the rental equipment. 28.9 Merchant hereby grants to GLOBAL PAYMENTS the right, during normal business hours, to enter any location under Merchant’s control for the purpose of inspecting, repairing, or replacing rental equipment. 28.10 Merchant shall and does hereby agree to indemnify and hold GLOBAL PAYMENTS, its agents, employees, successors and assigns harmless from any and all liability, damages or loss (including attorney fees and costs) arising out of the ownership, selection, possession, leasing or renting, operation (regardless of where, how and by whom operated), control, use, condition (including, but not limited to, latent and other defects, whether or not discoverable by GLOBAL PAYMENTS) maintenance, delivery and return of the equipment. This indemnification and the obligations contained herein shall survive termination or expiration of EQUIPMENT AGREEMENT. 28.11 Merchant shall keep rental equipment insured against all risks for not less than replacement costs of rental equipment, naming GLOBAL PAYMENTS as an additional insured as its interest may appear. 28.12 If this EQUIPMENT AGREEMENT is terminated, GLOBAL PAYMENTS shall have the right to enter Merchant’s locations for the purpose of recovering rental equipment. 28.13 Neither Merchant nor any third party is authorized to make any alterations, repairs or changes including programming changes to rental equipment. Any personal property attached to rental equipment shall become part of the equipment. GLOBAL PAYMENTS will provide maintenance service to rental equipment during the term of the EQUIPMENT City Council 20 –23 11/16/2021 Page 10 of 10 UNIVMERAGMT v22.0421 AGREEMENT. Merchant shall not allow any other person or entity to maintain or tamper with rental equipment without the express written consent of GLOBAL PAYMENTS. 28.14 Merchant’s rights and remedies hereunder are exclusive and in lieu of all other rights and remedies. GLOBAL PAYMENTS shall not otherwise be liable for any error, omission, delay, loss of data or records or disclosure of confidential information which may occur as a result of, or in any way be connected with, any use of equipment or services provided by GLOBAL PAYMENTS pursuant to this or any other agreement. IN ANY EVENT, GLOBAL PAYMENTS’S LIABILITY TO MERCHANT, WHETHER ARISING IN CONTRACT, TORT (INCLUDING, WITHOUT LIMITATION, NEGLIGENCE AND STRICT LIABILITY) OR OTHERWISE, SHALL NOT EXCEED THE LESSER OF THE DIRECT LOSS TO MERCHANT OR AN AMOUNT EQUAL TO THE AGGREGATE OF MONTHLY RENTAL FEES PAID TO GLOBAL PAYMENTS BY MERCHANT IN THE SIX-MONTH PERIOD PRIOR TO THE INCIDENT GIVING RISE TO LIABILITY. IN NO EVENT SHALL GLOBAL PAYMENTS BE LIABLE FOR SPECIAL, INCIDENTAL, INDIRECT, CONSEQUENTIAL OR EXEMPLARY DAMAGES OR FOR ANY INTERRUPTION OR LOSS OF USE, DATA, BUSINESS OR PROFITS, WHETHER OR NOT SUCH LOSSES OR DAMAGES WERE FORESEEABLE OR GLOBAL PAYMENTS WAS ADVISED OF THE POSSIBILITY THEREOF AND REGARDLESS OF WHETHER ANY LIMITED REMEDY HEREIN FAILS OF ITS ESSENTIAL PURPOSE. GLOBAL PAYMENTS is not responsible for any loss or damages whatsoever sustained by Merchant arising as a result of any acts of God, strikes, flood, weather, shortages of parts or supplies or other events beyond its reasonable control. 28.15 GLOBAL PAYMENTS, NOT BEING THE MANUFACTURER OF THE EQUIPMENT, MAKES NO EXPRESS OR IMPLIED WARRANTY OF ANY KIND WHATSOEVER WITH RESPECT TO THE EQUIPMENT INCLUDING BUT NOT LIMITED TO: THE MERCHANTABILITY OF THE EQUIPMENT OR ITS FITNESS FOR ANY PARTICULAR PURPOSE; THE DESIGN OR CONDITION OF THE EQUIPMENT; THE QUALITY OR CAPACITY OF THE EQUIPMENT; THE WORKMANSHIP OF THE EQUIPMENT; COMPLIANCE OF THE EQUIPMENT WITH REQUIREMENTS OF ANY LAW, RULE, SPECIFICATION OF CONTRACT PERTAINING THERETO; THE ABSENCE OF ANY INFRINGEMENT OF ANY PATENT, TRADEMARK OR COPYRIGHT; THE ABSENCE OF LATENT OR OTHER DEFECTS, WHETHER OR NOT DISCOVERABLE; THE ABSENCE OF ANY OBLIGATION BASED ON STRICT LIABILITY IN TORT. UPON SALE OF THE EQUIPMENT TO MERCHANT, GLOBAL PAYMENTS HEREBY ASSIGNS, TO THE EXTENT POSSIBLE, ALL WARRANTIES AND RIGHTS OF GLOBAL PAYMENTS WITH RESPECT TO THE EQUIPMENT PROVIDED BY THE MANUFACTURER OF THE EQUIPMENT. GLOBAL PAYMENTS DOES NOT MAKE ANY EXPRESS OR IMPLIED REPRESENTATIONS OR WARRANTIES OF ANY KIND WITH RESPECT TO THE MANUFACTURER’S WARRANTY. 28.16 Except as expressly provided herein, Merchant may not assign its rights or delegate its responsibilities regarding rental equipment under this EQUIPMENT AGREEMENT without the prior written consent of GLOBAL PAYMENTS, which will not be unreasonably withheld. 28.17 The Parties acknowledge and agree that this EQUIPMENT AGREEMENT was, and shall be deemed to have been, made and delivered in Muscogee County, Georgia The laws of the State of Georgia, without giving effect to its conflicts of law principles, shall govern all matters (whether in contract, statute, tort or however characterized) arising out of or relating to this EQUIPMENT AGREEMENT, including, without limitation, the validity, interpretation, construction, performance and enforcement of the EQUIPMENT AGREEMENT. The Parties agree that, in the event of any dispute regarding, arising out of or relating to this EQUIPMENT AGREEMENT, the courts of the State of Georgia shall have and be vested with personal jurisdiction over the Parties. The Parties further agree that any and all actions, claims, suits or proceedings arising out of or relating (directly or indirectly) to this EQUIPMENT AGREEMENT shall be filed and litigated only in courts located in Muscogee County, Georgia , and such courts shall have exclusive jurisdiction over any action, claims, suit or proceeding arising out of or relating (directly or indirectly) to this EQUIPMENT AGREEMENT. If Merchant brings legal action against GLOBAL PAYMENTS for any reason, Merchant shall commence the action within one (1) year of the date the error or the incident giving rise to such action occurred. 28.18 No delay or failure by either Party to exercise any right under EQUIPMENT AGREEMENT, and no partial or single exercise of that right, shall constitute a waiver of fact or any other right, unless expressly provided herein. 28.19 Neither Party shall be responsible for the costs incurred by the other for negotiating or implementing this EQUIPMENT AGREEMENT and Merchant shall be responsible for installation of the equipment. 28.20 The obligations of all Parties hereto incurred prior to the effective date of termination of EQUIPMENT AGREEMENT shall survive such termination. 28.21 In the event that any portion of EQUIPMENT AGREEMENT shall be held invalid or unenforceable for any reason, it is agreed that any invalidity or unenforceability shall not affect the remainder of the same and the remaining provisions shall remain in full force and effect, and any court of competent jurisdiction may so modify any objectionable provision of the same so as to render it valid, reasonable and enforceable. 28.22 This EQUIPMENT AGREEMENT may only be amended or modified by a subsequent written agreement by and between the Parties hereto. 28.23 Merchant hereby represents that the entering into of this EQUIPMENT AGREEMENT has been duly authorized by Merchant and that this EQUIPMENT AGREEMENT constitutes a legal, valid and binding obligation of Merchant, and is enforceable against Merchant in accordance with its terms. 28.24 This EQUIPMENT AGREEMENT constitutes the entire understandings of the Parties as to the subject matter contained herein and supersedes all prior contracts, agreements and negotiations whether oral or written. City Council 20 –24 11/16/2021 EXHIBIT B CLIENT SATISFACTION OFFER City Council 20 –25 11/16/2021 Client Offer – TMS v1.2021Page 1 of 1CONFIDENTIAL CLIENT SATISFACTION OFFER (RETENTION DEPARTMENT) Merchant Name or DBA Name: City of Santa Ana Merchant ID(s): 41399800818517, 41399800818822, 41399800818830, 41399800822550 Date: 6/21/2021 TSYS Merchant Solutions, LLC DBA Global Payments (“Global Payments”), values its merchant clients and strives to create mutually beneficial, long-term relationships with them. To that end, Global Payments offers you, the Merchant, the following terms. Accepting this offer will modify your Application for Merchant Card Processing (“Application”) and Merchant Card Processing Agreement (the Application and the Card Processing Agreement are collectively referred to as the “Agreement”) with Global Payments as follows: Pricing Interchange Pass Thru (0.00% + 0.00 P/I) Authorization Fees: Visa / MC .25, Discover .30, Amex .21 Monthly Service Fee: $5.00 Annual Location Fee for MC: $15.00 Fixed Acquirer Network Fee (FANF): $2.90 Contract Term The term of the Agreement will continue for from the last date of execution below (the “Effective Date”). This time period will be referred to as the “Extended Term”. At the expiration of the Extended Term, the Agreement will automatically renew for successive one-year periods (each a “Renewal Term”, and collectively with the Initial Term and the Extended Term, the “Term”) unless a party provides the other party with notice of its intent not to renew the Agreement at least 60 days prior to the expiration of the then current term. Termination of the Agreement prior to the expiration of the Extended Term shall result in the assessment of an account closure fee for each terminating MID to be paid by Merchant as follows: (a) $250 if less than twelve months remaining from the date of termination to the end of the then current Term; or (b) $500 if more than twelve months remaining, or such portion of the foregoing as may be permitted by applicable law. All other terms and conditions of the Agreement remain unchanged. This Client Satisfaction Offer and the details contained herein are confidential and may not be disclosed, displayed, or otherwise transmitted to any third party except to attorneys, accountants or other professional advisers as may be necessary to effect the purposes of this letter between the parties. Sincerely, TSYS Merchant Solutions, LLC DBA Global Payments Reviewed and Accepted by Merchant: By: ____________________________________________________________ By: ____________________________________________________________ Name: _________________________________________________________ Name: __________________________________________________________ Title: __________________________________________________________ Title: ____________________________________________________________ Date: ________________ Date: ____________________________________________________________ City Council 20 –26 11/16/2021 Community Development Agency santa-ana.org/cda Item # 21 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Amendment to Operating Agreement with Salvation Army AGENDA TITLE: Approve an Amendment to Agreement with Salvation Army to Operate a Temporary Shelter at the Hospitality House for One Additional Month (Non-General Fund) RECOMMENDED ACTION Authorize the City Manager to execute: 1. An amendment to the agreement with Salvation Army to continue to operate a temporary shelter at the Hospitality House through January 31, 2022 for an additional amount of $130,000, for a total aggregate amount not to exceed $910,000, subject to non-substantive changes approved by the City Manager and City Attorney. 2. A first amendment, and any future amendments, to the agreement with Salvation Army to use $130,000 of additional ESG-CV funds to operate the shelter at the Hospitality House through January 31, 2022, for a total aggregate amount not to exceed $910,000, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION On June 15, 2021, the City Council approved an agreement with the Salvation Army to operate a temporary 75-bed homeless shelter at 818 E Third Street in Santa Ana, in the amount of $390,000 for an anticipated 90-day period, subject to extension through December 31, 2021, for a total not to exceed amount of $780,000. The monthly extension cost is at the rate of $130,000, bringing the total agreement to a not to exceed amount of $910,000. The Hospitality House has provided shelter for approximately 50 men since opening, follows the City’s referral process, and does not accept walk-ins. The shelter provides men a clean and safe personal bed space, three nourishing meals per day, and the opportunity to work with a professional Housing Navigator to expedite their placement in permanent housing. City Council 21 –1 11/16/2021 Amendment to Operating Agreement with Salvation Army November 16, 2021 Page 2 2 2 3 5 The Homeless Navigation Center is slated to open in January 2022. It is therefore necessary for this temporary site to be extended through the final stages of construction. Utilizing this same site will provide the continuity of care for shelter guests without any interruption of service. FISCAL IMPACT Funds in the amount of $130,000 are available in the Emergency Solutions Grant-CV grant, Payment to Subagent account (no.13518789 -69135) for expenditure in the current fiscal year. EXHIBIT(S) 1. Amendment to agreement with Salvation Army to operate the Hospitality House as a temporary shelter 2. Amendment to agreement with Salvation Army for use of ESG-CV funds to operate the Hospitality House as a temporary shelter Submitted By: Steven Mendoza, Assistant City Manager Approved By: Kristine Ridge, City Manager City Council 21 –2 11/16/2021 Page 1 of 2 FIRST AMENDMENT TO OPERATING AGREEMENT WITH THE SALVATION ARMY TO OPERATE THE HOSPITALITY HOUSE SHELTER THIS FIRST AMENDMENT to the above-referenced agreement is entered into on November 16, 2021, by and between The Salvation Army (“Contractor”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”). RECITALS A.The parties entered into an Agreement dated June 15, 2021, by which Contractor agreed to administer and operate the Hospitality House to temporarily house clients referred by the City and Street Outreach teams (“Agreement”). B.In accordance with the terms and conditions of said Agreement, the Parties desire to amend Section 2 – Effectiveness and Term of Agreement, to extend the Term of said Agreement, and Section 3 – Compensation, to increase the maximum amount of Compensation for said Agreement. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions of said Agreement, except as herein modified, the parties agree as follows: 1.Section 2(b), Effectiveness and Term of Agreement, shall be amended to extend the end date of the Term of said Agreement through the date upon which the City decides in its sole discretion to complete the transfer of City guests at the Hospitality House to the new Carnegie Navigation Center, which shall be no later than January 31, 2022, unless terminated in accordance with Section 15. City shall provide Contractor with fourteen (14) day written notice of the final date of transfer of City guests to the new Carnegie Navigation Center, which date shall serve as the end of the Term of this Agreement. If necessary, the Term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. 2.Section 3, Compensation, subsections (a) and (b), shall be amended to increase the maximum amount of compensation by one-hundred and thirty thousand dollars ($130,000.00), such that the total sum to be expended under said Agreement shall not exceed nine-hundred and ten thousand dollars ($910,000.00) during the Term of said Agreement. Contractor shall not be limited to a maximum amount of compensation per month, so long as Contractor remains within the total not to exceed amount of compensation during the Term of said Agreement. This total not to exceed amount of compensation is not guaranteed to Contractor. Rather, Contractor will only be paid for sufficient services provide during the Term of said Agreement. Once said Agreement is terminated, or the Term is ended as detailed in section 2(b) above, the City shall not be responsible for any further payments to Contractor other than payment for services provided by Contractor during the Term of the Agreement. EXHIBIT 1 City Council 21 –3 11/16/2021 Page 2 of 2 3.Except as modified by this First Amendment, all terms and conditions of said Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the Parties hereto have executed this First Amendment to said Agreement on the date and year first written above. ATTEST CITY OF SANTA ANA _______________________________ ______________________________ DAISY GOMEZ KRISTINE RIDGE Clerk of the Council City Manager APPROVED AS TO FORM THE SALVATION ARMY SONIA R. CARVALHO City Attorney By:___________________________ _______________________________ RYAN O. HODGE Name: Assistant City Attorney Title: RECOMMENDED FOR APPROVAL ________________________________ STEVEN A. MENDOZA Executive Director Community Development Agency EXHIBIT 1 City Council 21 –4 11/16/2021 Page 1 of 2 FIRST AMENDMENT TO AGREEMENT BETWEEN THE CITY OF SANTA ANA AND THE SALVATION ARMY FOR USE OF EMERGENCY SOLUTIONS GRANT CORONAVIRUS (ESG-CV) FUNDS THIS FIRST AMENDMENT to the above-referenced agreement is entered into on November 16, 2021, by and between The Salvation Army (“Subrecipient”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”). RECITALS A.The parties entered into Agreement No. A-2021-106, dated June 15, 2021, by which Contractor agreed to use ESG-CV funds to administer and operate the Hospitality House to temporarily house clients referred by the City and Street Outreach teams (“Agreement”). B.In accordance with the terms and conditions of said Agreement, the Parties desire to amend Section II –Term of Agreement, to extend the Term of said Agreement, and Section III – Disbursement of Funds, to increase the maximum amount of Compensation for said Agreement. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions of said Agreement, except as herein modified, the parties agree as follows: 1.Section II, Term of Agreement, shall be amended to extend the end date of the Term of said Agreement through the date upon which the City decides in its sole discretion to complete the transfer of City guests at the Hospitality House to the new Carnegie Navigation Center, which shall be no later than January 31, 2022, unless terminated earlier in accordance with Section 15.City shall provide Contractor with fourteen (14) day written notice of the final date of transfer of City guests to the new Carnegie Navigation Center, which date shall serve as the end of the Term of this Agreement. If necessary, the Term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. 2.Recitals J and K, and Sections III and III(a), Disbursement and Funds, shall be amended to increase the maximum amount of compensation by one hundred and thirty thousand dollars ($130,000.00), such that the total sum to be expended under said Agreement shall not exceed nine hundred and ten thousand dollars ($910,000.00) during the Term of said Agreement. Contractor shall not be limited to a maximum amount of compensation per month, so long as Contractor remains within the total not to exceed amount of compensation during the Term of said Agreement. This total not to exceed amount of compensation is not guaranteed to Contractor. Rather, Contractor will only be paid for sufficient services provided during the Term of said Agreement. Once said Agreement is terminated, or the Term is ended as detailed in section II above, the City shall not be responsible for any further payments to Contractor other than payment for services provided by Contractor during the Term of the Agreement. EXHIBIT 2 City Council 21 –5 11/16/2021 Page 2 of 2 3. Except as modified by this First Amendment, all terms and conditions of said Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the Parties hereto have executed this First Amendment to said Agreement on the date and year first written above. ATTEST CITY OF SANTA ANA _______________________________ ______________________________ DAISY GOMEZ KRISTINE RIDGE Clerk of the Council City Manager APPROVED AS TO FORM THE SALVATION ARMY SONIA R. CARVALHO City Attorney By:___________________________ _______________________________ RYAN O. HODGE Name: Assistant City Attorney Title: RECOMMENDED FOR APPROVAL ________________________________ STEVEN A. MENDOZA Executive Director Community Development Agency EXHIBIT 2 City Council 21 –6 11/16/2021 Community Development Agency santa-ana.org/cd Item # 22 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Amendment to Operating Agreement with Illumination Foundation AGENDA TITLE: Approve a Second Amendment to Illumination Foundation Agreement to Operate a Temporary Shelter at the Fullerton Recuperative Care Center for up to Two Additional Months RECOMMENDED ACTION Authorize the City Manager to execute a second amendment to the agreement with Illumination Foundation to extend the term to operate a temporary shelter at the Fullerton Recuperative Care Center for up to an additional two months through January 31, 2022, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION On April 6, 2021, the City Council approved an agreement with Illumination Foundation to operate a temporary shelter for $230,000 per month for 75 guest and a per diem rate of $55 per guest in excess of 75, in an amount not to exceed $1,500,000 from May 1, 2021 through September 30, 2021. On September 7, 2021 staff recommended that City Council approve an amendment to the agreement with Illumination Foundation to continue to operate a temporary shelter at the Fullerton Recuperative Care Center for up to four more months and add $600,000 to the contract amount, for an overall not to exceed amount of $2,100,000. The City Council approved an amendment for only two months, and adding only $300,000 to the contract amount, for an overall not-to-exceed amount of $1,800,000. Two additional months of operation at the temporary site is necessary for the completion of the Homeless Navigation Center and for the continuity of care for shelter guests. A Temporary Certificate of Occupancy (TCO) for the Homeless Navigation Center is anticipated by January 2022. Once a TCO is issued, guests will be transferred to the new site and the City will no longer utilize the Fullerton Recuperative Care Center. The temporary shelter located at the Fullerton Recuperative Care Center has had a daily census count of less than 75 since opening, thereby reducing the monthly cost to the City Council 22 –1 11/16/2021 Amendment to Operating Agreement with Illumination Foundation November 16, 2021 Page 2 2 2 3 6 City. It is estimated that the additional $300,000 that was added to the contract on September 7, 2021 is sufficient to continue operations through January 2022. Therefore, no additional funding is needed. FISCAL IMPACT There is no fiscal impact associated with this item EXHIBIT(S) 1. Amendment to agreement with Illumination Foundation to operate the Fullerton Recuperative Care Center as the Link temporary shelter Submitted By: Steven Mendoza, Assistant City Manager Approved By: Kristine Ridge, City Manager City Council 22 –2 11/16/2021 SECOND AMENDMENT TO OPERATING AGREEMENT WITH THE ILLUMINATION FOUNDATION FOR USE OF THE FULLERTON RECUPERATIVE CARE CENTER THIS SECOND AMENDMENT to the above-referenced agreement is entered into on November 16, 2021, by and between The Illumination Foundation (“Contractor”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”). RECITALS A. The parties entered into Agreement No. A-2021-046, dated April 6, 2021, by which Contractor agreed to administer and operate a portion of the Fullerton Recuperative Care Center to temporarily house clients referred by the City and Street Outreach teams (“Agreement”). B. The parties entered into a First Amendment to said Agreement No. A-2021-174 dated September 8, 2021, in order to extend the Term of said Agreement and to increase the maximum amount of Compensation for said Agreement. C. In accordance with the terms and conditions of said Agreement, as amended, the Parties desire to amend Section 2 – Effectiveness and Term of Agreement, to extend the Term of said Agreement. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions of said Agreement, as amended, except as herein modified, the parties agree as follows: 1. Section 2(b), Effectiveness and Term of Agreement, shall be amended to extend the potential no later than end date of the Term of said Agreement from November 30, 2021, to January 31, 2022. 2. Except as modified by this Second Amendment, all terms and conditions of said Agreement, as modified by the First Amendment, shall remain in full force and effect. {Signatures on following page} EXHIBIT 1 City Council 22 –3 11/16/2021 IN WITNESS WHEREOF, the Parties hereto have executed this Second Amendment to said Agreement on the date and year first written above. ATTEST CITY OF SANTA ANA _______________________________ ______________________________ DAISY GOMEZ KRISTINE RIDGE Clerk of the Council City Manager APPROVED AS TO FORM THE ILLUMINATION FOUNDATION SONIA R. CARVALHO City Attorney By:___________________________ _______________________________ RYAN O. HODGE Name: Assistant City Attorney Title: RECOMMENDED FOR APPROVAL ________________________________ STEVEN A. MENDOZA Executive Director Community Development Agency EXHIBIT 1 City Council 22 –4 11/16/2021 Parks, Recreation, and Community Services www.santa-ana.org/parks Item # 23 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Proposed City of Santa Ana Events Permit Policy AGENDA TITLE: Resolution Approving the Proposed Events Permit Policy RECOMMENDED ACTION Adopt a Resolution approving the Proposed Events Permit Policy, including park facility permits, film permits, land use certificates, and special event permits. DISCUSSION The proposed Events Permit Policy (Exhibit 2) provides an effective framework for the administration of event permits, while providing equitable and reasonable access to the City’s public facilities. The intent of this proposed policy is to provide guidance for use of City facilities by residents, community organizations, businesses, and non-residents for (1) Park Facility Permits, (2) Film Permits, (3) Land Use Certificates, and (4) Special Event Permits. This proposed policy, if approved, will govern all City of Santa Ana properties and their supporting amenities. The development of this proposed Policy included the following process: Incorporation of best practices within the Parks and Recreation profession related to policies and process.  Parks, Recreation and Community Services Commission reviewed and discussed the proposed policy at their regular meeting held on October 28, 2021. Commissioners provided input as follows: ensure online access for customers, how many days in advance is the permit required, happy that neighborhood associations have a path forward for activities and events, and is this a new policy. In addition to the proposed policy, the City of Santa Ana developed an Events Permit Guide (Exhibit 3) that outlines procedures and requirements associated with event permits in the City of Santa Ana. City Council 23 –1 11/16/2021 Proposed City of Santa Events Permit Policy November 16, 2021 Page 2 2 2 0 8 Significant areas of this proposed policy include the following: Event Permit Classifications The resident and non-resident event permits define the priority and corresponding fees as follows: Event Permit Priority Description Priority 1 City-sponsored special event serving Santa Ana residents Priority 2 Resident: Non-Profit Organization (Special Events) High School or College Students Resident and Non-Resident (Film) Priority 3 Resident: Private Party or Business Priority 4 Resident: Private Party or Business for Profit Making Priority 5 Non-Resident: Private Party or Business Priority 6 Non-Resident: Private Party or Business for Profit Making Types of Permits The City of Santa Ana has four (4) types of Event permits as follows: 1. PARK FACILITY PERMIT Allows the temporary use of a public park, field and/or facility for conducting certain outdoor and indoor, short-term events which are conducted completely or partially on City-owned or controlled park property pursuant to Santa Ana Municipal Code (SAMC) Sec. 31-3. 2. FILM PERMIT Allows commercial motion picture or electronic video tape in or upon any property owned or controlled by the City of Santa Ana SAMC Sec. 10-2(a). Locations vary and are citywide. 3. LAND USE CERTIFICATE Allows temporary use of private commercial property for conducting certain outdoor, short-term activities, which may be related to the onsite business pursuant to SAMC Sec. 41-195.5. This permit is originated and managed by the Planning and Building Agency (Planning Division) in conjunction with the Police Department and Orange County Fire Authority, depending on the nature of the activity proposed. 4. SPECIAL EVENT PERMIT Allows temporary use of public property for conducting certain outdoor, short-term events conducted completely or partially on City-owned or controlled public property pursuant to SAMC Sec. 10-22. City Council 23 –2 11/16/2021 Proposed City of Santa Events Permit Policy November 16, 2021 Page 3 2 2 0 8 Event Permit Process This proposed policy assists event organizers in developing successful event plans that comply with local, state, and federal codes, laws, policies, and regulations governing activities associated with the production and management of special events. The City Manager’s Office or designee manages the event permit process. Various City departments, along with partner agencies may have regulatory authority related to elements in an event application and participate in the review process. This provides a coordinated approach to the planning, review, and on-site management of events. Permit Requirements An event summary is required with the permit application to provide an overview of the requested event and is essential information. Information includes but is not limited to admission, attendance, event timeline, private property venue, public notification, site plan, and business license. Public Health Requirements Public health requirements may include but are not limited to food and beverage distribution, alcohol sale or service, amplified sound and waste management plan. Public Safety Requirements Public safety requirements may include but are not limited to police services, security services, fire prevention inspection, traffic control plan and parking, stage and other temporary structures, and temporary signage permits. Next Steps Next steps to move this proposed policy forward include the following steps: 1. Adopt a resolution (Exhibit 1) to approve the proposed Events Permit Policy. 2. Amend Miscellaneous Fee Schedule. 3. Implement the proposed policy and changes to the Miscellaneous Fee Schedule. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact related to this report. EXHIBIT(S) 1. Resolution to adopt the proposed City of Santa Ana Events Permit Policy 2. Proposed City of Santa Ana Events Permit Policy 3. City of Santa Ana Events Permit Guide Submitted By: Lisa Rudloff, Executive Dir. of Parks, Recreation and Community Services City Council 23 –3 11/16/2021 Proposed City of Santa Events Permit Policy November 16, 2021 Page 4 2 2 0 8 Approved By: Kristine Ridge, City Manager City Council 23 –4 11/16/2021 Exhibit1 City Council 23 –5 11/16/2021 Exhibit1 City Council 23 –6 11/16/2021 City Manager’s Authorization City of Santa Ana Events Permit Policy Date November 16, 2021 City of Santa Ana Administrative Policies and Procedures Purpose The purpose of the Policy is to provide an effective framework for the administration of Event permits that provide equitable and reasonable access to City public facilities. The intent of this Policy is to provide guidance for use of City facilities by residents, community organizations, businesses, and nonresidents for 1) Park Facility Permits; 2) Film Permits; 3) Land Use Certificates and 4) Special Event Permits. This Policy governs all City of Santa Ana properties and their supporting amenities. Definition The City Manager’s Office (CMO) or designee, are responsible for managing the City’s Events Permit Process. This Events Permit Policy (Policy) is established to ensure the use of City facilities for events 1) aligns with the City’s core mission, vision, and values; 2) provides equitable and fair access to all users; 3) remains equitably and fairly priced; 4) operates in a fiscally responsible manner; and 5) supports a healthy, safe, vibrant, and sustainable community. Policy 1.0 Policy Establishment and Permit Fees The CMO or designee shall implement and administer the Policy. All fees charged will be pursuant to the City’s Miscellaneous Fee Schedule, as adopted and periodically amended by the City Council. 2.0 USER CLASSIFICATIONS User classifications are for the purposes of assessing fees and determining priority as follows in section 4.1 of this Policy. 2.1 Park and Facility Permits The resident and nonresident permit priorities below define the scheduling priority and corresponding fees. Priority 1 City-sponsored special event serving Santa Ana residents. Priority 2 Resident: Non-Profit Organization (Special Events) High School or College Students Resident and Non-Resident (Film) Priority 3 Resident: Private Party or Business Exhibit ADRAFT Exhibit1 City Council 23 –7 11/16/2021 Priority 4 Resident: Private Party or Business for Profit Making Priority 5 Non-Resident: Private Party or Business Priority 6 Non-Resident: Private Party or Business for Profit Making 3.0 TYPES OF PERMITS The City of Santa Ana has four (4) types of Event permits as follows: 3.1 PARK FACILITY PERMIT Allows the temporary use of a public park, field and/or facility for conducting certain outdoor and indoor, short-term events which are conducted completely or partially on City-owned or controlled park property pursuant to SAMC Sec. 31-3. 3.2 FILM PERMIT Allows commercial motion picture or electronic video tape in or upon any property owned or controlled by the City of Santa Ana SAMC Sec. 10 -2(a). Locations vary and are citywide. 3.3 LAND USE CERTIFICATE Allows temporary use of private commercial property for conducting certain outdoor, short-term activities, which may be related to the onsite business pursuant to SAMC Sec. 41-195.5. This permit is originated and managed by the Planning and Building Agency (Planning Division) in conjunction with the Police Department and Orange County Fire Authority, depending on the nature of the activity proposed. 3.4 SPECIAL EVENT PERMIT Allows temporary use of public property for conducting certain outdoor, short - term events conducted completely or partially on City-owned or controlled public property pursuant to SAMC Sec. 10-22. 4.0 EVENT PERMIT PROCESS This Policy assists event organizers in developing successful event plans that comply with local, state, and federal codes, laws, policies and regulations governing activities associated with the production and management of special events. The CMO or designee manages the event permit process. Various city departments, along with partner agencies may have regula tory authority related to elements in an event application and participate in the review process. This provides a coordinated approach to the planning, review, and on -site management of events. The permit process is as follows: Exhibit A Exhibit1 City Council 23 –8 11/16/2021 4.1 Application Submittal Applicant completes an event permit application, site plan, traffic plan and additional supporting documentation for the corresponding department before the required deadline. Submittal of the permit application or initiation of the review process does not deem the permit application approved, nor should an event producer begin to execute their event without final written approval from the reviewing agency. Expected attendance for events includes total participants and/or spectators, vendors, exhibitors, staffing, etc. Major Park Facility events will take precedence over moderate and minor event dates. Table 1 - Park Facility Permit Categories Table 1 - Park Facility Permit Categorie Expected attendance for events includes total participants and/or spectators, vendors, exhibitors, staffing, etc. Major Park Facility events will take precedence over moderate and minor event dates. A permit application shall be submitted no earlier than 180 days for larger scale Special Events that require comprehensive event details and coordination (SMAC 10-22.2) At the sole discretion of the City of Santa Ana, event producers may submit written amendments to the initial permit application due to unique or changing circumstances related to the event. 4.2 Application Review Process Throughout the review process, the City may request additional information and/or documents for clarification. Delays in providing the requested information may affect the ability to complete the permit application review in a timely manner. Once the review process is completed, applicants will receive notification of the status of their application. 4.3 Pre-Event Planning Meeting After the application approval, there is a pre-event planning meeting with the event producer. The purpose of the pre-event meeting is to discuss the event in detail, address any changes, conflicts or concerns, and troubleshoot solutions. Additional PARK FACILITY PERMIT CATEGORY EXPECTED ATTENDANCE APPLICATION SUBMITTAL DEADLINE MAJOR 1,001 and Up Between ninety- (90) business days to one (1) year prior to the event date. MODERATE 100 – 1,000 Between forty-five (45) business days and six (6) months prior to the event date. MINOR Up to 100 Exhibit A Exhibit1 City Council 23 –9 11/16/2021 representatives of the city or partner agencies participate in the meetings as appropriate. A Post-Event Meeting may be scheduled at the request of the city or event producer. 4.4 Final Permit Application Approval Final approval of the permit application includes the city receiving all requested documentation and payment prior to the event. Deadlines for requested information and final payment varies for each application. The event applicant is responsible to submit all requested documentation and payment before the agreed upon deadline. 4.5 Right To Appeal The Right to Appeal for Park Facility Permits is pursuant to SAMC Section 31-3.3, Film Permits SAMC Section 10-5, Special Event Permits SAMC Section 10-14, and Land Use Certificates SAMC Section 41-677 provides for an appeal process for denial and revocations. 5.0 PERMIT REQUIREMENTS 5.1 EVENT SUMMARY An event summary provides an overview of the requested event and is essential information that should be included with the permit application. 5.1.1 Admission Includes all admission/registration/participant fee information related to the event. 5.1.2 Attendance Providing the estimated attendance for an event helps in the review of the event plans with emphasis on public safety, venue occupancy, staffing, and impact to the surrounding neighborhood. Estimated attendance should include the total number of people anticipated to attend, participate, provide support services and/or watch the event. 5.1.3 Event Time Line Detailed timelines are required when completing the permit application and include setup, takedown and all activity times. The time denoted on the final permit is determined by the times provided by the applicant. Set-up and cleanup completion time should correspond with the permit and insurance documents must cover the entire length of the event. The City may require separate permit applications for events with plans that vary significantly from day-to-day or have multiple distinct event types (e.g. a parade with a separate festival). 5.1.4 Private Property Venue Exhibit A Exhibit1 City Council 23 –10 11/16/2021 Events that utilize private commercial property for any portion of the event are required to include a signature by the private property owner on the application or submit a letter authorizing use of the property from the property owner or property manager. 5.1.5 Private events taking place on private residential property are not included in the event permit process and need to comply with the existing City of Santa Ana zoning requirements for residential property. 5.1.6 Public Notification All Park Facility Permit events require a public notification to local neighborhood associations and businesses adjacent to the park or venue. Major Park Facility Permit events require public notification thirty days prior to the event date. Minor and Moderate Park Facility Permit events notification requires fourteen days prior to the event date. Events that include a street closure requires the event organizer to petition all residences and businesses within the enclosed street closure boundaries wherein pedestrian and vehicular ingress and egress is impacted by the special event and obtain a percentage of signatures that is deemed acceptable by the Police Chief or designee (SAMC 10-22(b)(10)). 5.1.7 Site Plan A detailed map/site plan with the permit application is required illustrating the proposed event and includes the following: location and description of structures, placement and number of any refuse and recyclable containers, portable restrooms, fences, barricades, sound system, canopies/tents, stages, parking areas, location of all street closures and detours, etc. For runs or cycling events, routes to be followed and location of staging area from which participants will exit, information/aide booths, checkpoints, route monitor locations, spectator areas, etc. are required. 5.1.8 Business License The City of Santa Ana requires all persons conducting business within the City to obtain a business license prior to their event. Event producers and any participating, onsite vendors or exhibitors require licenses. Current Santa Ana businesses may show proof of a current business license. Gratuitous Licenses are also available for businesses outside of Santa Ana and are good for up to one year of issuance. 5.2 Public Health 5.2.1 Food and Beverage Distribution In accordance with the California Health and Safety Code, an Organizer permit is required when two or more food vendors are participating at a community event. If the applicant is planning to operate a Temporary Food Facility (TFF) during an event, they a re Exhibit A Exhibit1 City Council 23 –11 11/16/2021 required to apply, meet requirements and obtain a TFF permit prior to selling or giving away food or beverage at an event. The California Health and Safety Code requires a TFF Permit of any person or organization providing food at a community event. All food vendors, including permitted restaurants, are required to apply for and obtain a TFF Permit when participating in a community event. 5.2.2 Alcohol Sale or Service If the sale of alcohol or public service of alcohol is included in a Park Facility Permit event, authorization from the State of California Department of Alcohol Beverage Control (ABC) is required prior to the issuance of a permit. The City may place restrictions on the management of alcohol at a proposed event. Santa Ana Municipal Code Sec. 31-2.1 prohibits the consumption or possession of alcoholic beverages in a city park (SAMC 31-2.1) unless permitted through issuance of a permit (SAMC 31-3). In the instance that a City Council approved contract permits the sale and public service of alcohol, the sale and service of alcohol may be discontinued or terminated if it is deemed to be inconsistent with the terms and conditions of permitted use (SAMC 31-2). 5.2.3 Amplified Sound Amplified sound permits are available for events at City parks. Amplified sound means music or speech projected or transmitted by artificial means, including, but not limited to, amplifiers, loudspeakers or any similar devices (SAMC Sec. 31-1.1). Additional restrictions may apply for any events near residential are as and/or business districts. 5.2.4 Waste Management Plan Event organizers must arrange for provision of containers and collection of water, trash and recyclables by contacting the City’s Exclusive Waste Hauler. Recycling containers for the following materials is required for plastic, glass, metal, paper and cardboard. The specifications of the containers, including size, type, location, and pickup/delivery times is required on the event site plan. Clean up of all trash after the event is required in all areas, and if needed, power washing of any grease or food waste contamination will be required. Event area will be subject to inspection post-event. 5.3 PUBLIC SAFETY 5.3.1 Police Services During the pre-event meeting, the SAPD will determine the type of police services needed and number of officers. Applicants are directly responsible for the cost of Police Services, unpaid services will result in rejection of future applications and the City reserves all legal rights to recoup any unpaid fees. Exhibit A Exhibit1 City Council 23 –12 11/16/2021 5.3.2 Security Services SAPD may deem an activity warrants the presence of one or more security personnel and the cost of such service shall be borne by the applicant. Licensed security personnel in uniform are required and subject to approval by the City. Proof of obtaining security personnel is due to the SAPD two weeks prior to the event. 5.3.3 Fire Prevention Inspection Events that require street closures, the assembly of 50 or more people, cooking, open flame, use of pyrotechnics or fireworks, a change of building use (i.e. a warehouse use for an assembly space), electricity or temporary membrane structures (tents or canopies), and a separate permit may be required from the Orange County Fire Authority (OCFA). As part of the permit requirements, onsite stand- by and inspection services may be required due to the size, complexity and/or unique safety issues regarding the activities associated with the proposed event. Inspection fees may apply. 5.3.4 Traffic Control Plan and Parking Event producers requiring street closures and traffic modifications that pose a significant impact to vehicular traffic must have an approved traffic control plan created by a licensed and qualified traffic control company. All traffic plans are subject to final approval by the City’s Traffic Engineer and the SAPD. Events taking place in a portion of a parking lot or alley are also subject to traffic control plans by a traffic control specialist and must obtain final approval by the City’s Traffic Engineer and the Santa Ana Police Department. In the event that water filled traffic barriers (k-rails) are required, it is the responsibility of the event producer to obtain the k -rails and a water truck capable of filling the k-rails to ensure the barriers effectiveness. The Public Works Agency requires the use of water filled K-rail when the street or alley being closed or any of the two end of the block streets are classified larger than a residential street, per The City of Santa Ana’s Master Plan of Streets and Highways or whenever Traffic Engineering staff feel there’s the potential for a safety hazard to occur. In the event that water filled K-rail is required, it is the applicant’s responsibility to ensure that the traffic control company is able to provide the water truck service necessary to completely fill all required water filled K-rails. 5.3.5 Stages and Other Temporary Structures Separate building permits may be required for stages and other temporary structures such as platforms and grandstands/bleachers that measure over 5 feet 9 inches in height. Applicants shall submit Exhibit A Exhibit1 City Council 23 –13 11/16/2021 the building permit applications and plans no less than one month prior to their event to allow sufficient time for review and issuance of the permit. 5.3.6 Temporary Signage Permits SAMC Sec. 41-814 et seq. and Citywide Design Guidelines contain regulations and specifications of signs that may be located on private property within the City. Event applicants interested in installing temporary signs or banners on private property are required to apply for a temporary sign permit through the Planning Division. 6.0 FEES, PAYMENTS, DEPOSITS, AND INSURANCE 6.1 Fees and Payments The permit fees referenced in this Policy are listed in the City Council approved Miscellaneous Fees Schedule. 6.2 Deposits Applicants must pay a deposit as listed in the City Council approved Miscellaneous Fee Schedule at the time of application. Deposits will be refunded following the event when all conditions set forth in the permit are fulfilled. Reservation deposits are not refunded until after the final reservation and if no damage has been incurred. 6.3 Insurance and Indemnity Provisions The City requires applicants to provide liability insurance for an event and film permit. Insurance requirements are determined based on the City’s risk assessment of the activity/event. . Insurance requirements are no less than $1,000,000 per occurrence for bodily injury and property damage. Insurance requirements vary by the type of event, facility, and number of anticipated guests, and are subject to change without notice. Insurance requirements fulfilled prior to approval of the application and proof of insurance required 30 calendar days or more prior to the event. 7.0 RESERVATION CANCELLATIONS AND PERMIT AMENDMENTS 7.1 Permit Cancellations Permit cancellations and refunds will be processed as follows: All cancellations may incur a cancellation fee for each occurrence as dictated by the Miscellaneous Fee Schedule. Failure by the applicant or authorized event contact person to arrive at a scheduled event, and/or failure to provide written cancellation notice will be considered a “No Show.” Applicants with three or more “No Shows” may lose reservation privileges and remaining reservations will be cancelled for the calendar year. Exhibit A Exhibit1 City Council 23 –14 11/16/2021 7.2 Permit Amendments Permit amendments include, but are not limited to the following: date, time and amenities. One change permitted at no charge if requested 5 days or more prior to reservation. A Processing Fee may be charged for each subsequent change. Dependent on when request is submitted, other fees may apply for cancellations or modifications to the original reservation. No refunds or credits will be issued for early departure from an approved permit. 8.0 ADDITIONAL CITY POLICIES AND AGREEMENTS This Policy may be subject to other City Council approved policies and agreements that establish separate user reservation relationships and associated fees for specific programs and/or entities. Exhibit A Exhibit1 City Council 23 –15 11/16/2021 City Manager’s Authorization City of Santa Ana Events Permit Policy Date November 16, 2021 City of Santa Ana Administrative Policies and Procedures Purpose The purpose of the Policy is to provide an effective framework for the administration of Event permits that provide equitable and reasonable access to City public facilities. The intent of this Policy is to provide guidance for use of City facilities by residents, community organizations, businesses, and nonresidents for 1) Park Facility Permits; 2) Film Permits; 3) Land Use Certificates and 4) Special Event Permits. This Policy governs all City of Santa Ana properties and their supporting amenities. Definition The City Manager’s Office (CMO) or designee, are responsible for managing the City’s Events Permit Process. This Events Permit Policy (Policy) is established to ensure the use of City facilities for events 1) aligns with the City’s core mission, vision, and values; 2) provides equitable and fair access to all users; 3) remains equitably and fairly priced; 4) operates in a fiscally responsible manner; and 5) supports a healthy, safe, vibrant, and sustainable community. Policy 1.0 Policy Establishment and Permit Fees The CMO or designee shall implement and administer the Policy. All fees charged will be pursuant to the City’s Miscellaneous Fee Schedule, as adopted and periodically amended by the City Council. 2.0 USER CLASSIFICATIONS User classifications are for the purposes of assessing fees and determining priority as follows in section 4.1 of this Policy. 2.1 Park and Facility Permits The resident and nonresident permit priorities below define the scheduling priority and corresponding fees. Priority 1 City-sponsored special event serving Santa Ana residents. Priority 2 Resident: Non-Profit Organization (Special Events) High School or College Students Resident and Non-Resident (Film) Priority 3 Resident: Private Party or Business Exhibit 2 DRAFTCity Council 23 –16 11/16/2021 2 Priority 4 Resident: Private Party or Business for Profit Making Priority 5 Non-Resident: Private Party or Business Priority 6 Non-Resident: Private Party or Business for Profit Making 3.0 TYPES OF PERMITS The City of Santa Ana has four (4) types of Event permits as follows: 3.1 PARK FACILITY PERMIT Allows the temporary use of a public park, field and/or facility for conducting certain outdoor and indoor, short-term events which are conducted completely or partially on City-owned or controlled park property pursuant to SAMC Sec. 31-3. 3.2 FILM PERMIT Allows commercial motion picture or electronic video tape in or upon any property owned or controlled by the City of Santa Ana SAMC Sec. 10 -2(a). Locations vary and are citywide. 3.3 LAND USE CERTIFICATE Allows temporary use of private commercial property for conducting certain outdoor, short-term activities, which may be related to the onsite business pursuant to SAMC Sec. 41-195.5. This permit is originated and managed by the Planning and Building Agency (Planning Division) in conjunction with the Police Department and Orange County Fire Authority, depending on the nature of the activity proposed. 3.4 SPECIAL EVENT PERMIT Allows temporary use of public property for conducting certain outdoor, short - term events conducted completely or partially on City-owned or controlled public property pursuant to SAMC Sec. 10-22. 4.0 EVENT PERMIT PROCESS This Policy assists event organizers in developing successful event plans that comply with local, state, and federal codes, laws, policies and regulations governing activities associated with the production and management of special events. The CMO or designee manages the event permit process. Various city departments, along with partner agencies may have regula tory authority related to elements in an event application and participate in the review process. This provides a coordinated approach to the planning, review, and on -site management of events. The permit process is as follows: Exhibit 2 City Council 23 –17 11/16/2021 3 4.1 Application Submittal Applicant completes an event permit application, site plan, traffic plan and additional supporting documentation for the corresponding department before the required deadline. Submittal of the permit application or initiation of the review process does not deem the permit application approved, nor should an event producer begin to execute their event without final written approval from the reviewing agency. Expected attendance for events includes total participants and/or spectators, vendors, exhibitors, staffing, etc. Major Park Facility events will take precedence over moderate and minor event dates. Table 1 - Park Facility Permit Categories Table 1 - Park Facility Permit Categorie Expected attendance for events includes total participants and/or spectators, vendors, exhibitors, staffing, etc. Major Park Facility events will take precedence over moderate and minor event dates. A permit application shall be submitted no earlier than 180 days for larger scale Special Events that require comprehensive event details and coordination (SMAC 10-22.2) At the sole discretion of the City of Santa Ana, event producers may submit written amendments to the initial permit application due to unique or changing circumstances related to the event. 4.2 Application Review Process Throughout the review process, the City may request additional information and/or documents for clarification. Delays in providing the requested information may affect the ability to complete the permit application review in a timely manner. Once the review process is completed, applicants will receive notification of the status of their application. 4.3 Pre-Event Planning Meeting After the application approval, there is a pre-event planning meeting with the event producer. The purpose of the pre-event meeting is to discuss the event in detail, address any changes, conflicts or concerns, and troubleshoot solutions. Additional PARK FACILITY PERMIT CATEGORY EXPECTED ATTENDANCE APPLICATION SUBMITTAL DEADLINE MAJOR 1,001 and Up Between ninety- (90) business days to one (1) year prior to the event date. MODERATE 100 – 1,000 Between forty-five (45) business days and six (6) months prior to the event date. MINOR Up to 100 Exhibit 2 City Council 23 –18 11/16/2021 4 representatives of the city or partner agencies participate in the meetings as appropriate. A Post-Event Meeting may be scheduled at the request of the city or event producer. 4.4 Final Permit Application Approval Final approval of the permit application includes the city receiving all requested documentation and payment prior to the event. Deadlines for requested information and final payment varies for each application. The event applicant is responsible to submit all requested documentation and payment before the agreed upon deadline. 4.5 Right To Appeal The Right to Appeal for Park Facility Permits is pursuant to SAMC Section 31-3.3, Film Permits SAMC Section 10-5, Special Event Permits SAMC Section 10-14, and Land Use Certificates SAMC Section 41-677 provides for an appeal process for denial and revocations. 5.0 PERMIT REQUIREMENTS 5.1 EVENT SUMMARY An event summary provides an overview of the requested event and is essential information that should be included with the permit application. 5.1.1 Admission Includes all admission/registration/participant fee information related to the event. 5.1.2 Attendance Providing the estimated attendance for an event helps in the review of the event plans with emphasis on public safety, venue occupancy, staffing, and impact to the surrounding neighborhood. Estimated attendance should include the total number of people anticipated to attend, participate, provide support services and/or watch the event. 5.1.3 Event Time Line Detailed timelines are required when completing the permit application and include setup, takedown and all activity times. The time denoted on the final permit is determined by the times provided by the applicant. Set-up and cleanup completion time should correspond with the permit and insurance documents must cover the entire length of the event. The City may require separate permit applications for events with plans that vary significantly from day-to-day or have multiple distinct event types (e.g. a parade with a separate festival). 5.1.4 Private Property Venue Exhibit 2 City Council 23 –19 11/16/2021 5 Events that utilize private commercial property for any portion of the event are required to include a signature by the private property owner on the application or submit a letter authorizing use of the property from the property owner or property manager. 5.1.5 Private events taking place on private residential property are not included in the event permit process and need to comply with the existing City of Santa Ana zoning requirements for residential property. 5.1.6 Public Notification All Park Facility Permit events require a public notification to local neighborhood associations and businesses adjacent to the park or venue. Major Park Facility Permit events require public notification thirty days prior to the event date. Minor and Moderate Park Facility Permit events notification requires fourteen days prior to the event date. Events that include a street closure requires the event organizer to petition all residences and businesses within the enclosed street closure boundaries wherein pedestrian and vehicular ingress and egress is impacted by the special event and obtain a percentage of signatures that is deemed acceptable by the Police Chief or designee (SAMC 10-22(b)(10)). 5.1.7 Site Plan A detailed map/site plan with the permit application is required illustrating the proposed event and includes the following: location and description of structures, placement and number of any refuse and recyclable containers, portable restrooms, fences, barricades, sound system, canopies/tents, stages, parking areas, location of all street closures and detours, etc. For runs or cycling events, routes to be followed and location of staging area from which participants will exit, information/aide booths, checkpoints, route monitor locations, spectator areas, etc. are required. 5.1.8 Business License The City of Santa Ana requires all persons conducting business within the City to obtain a business license prior to their event. Event producers and any participating, onsite vendors or exhibitors require licenses. Current Santa Ana businesses may show proof of a current business license. Gratuitous Licenses are also available for businesses outside of Santa Ana and are good for up to one year of issuance. 5.2 Public Health 5.2.1 Food and Beverage Distribution In accordance with the California Health and Safety Code, an Organizer permit is required when two or more food vendors are participating at a community event. If the applicant is planning to operate a Temporary Food Facility (TFF) during an event, they a re Exhibit 2 City Council 23 –20 11/16/2021 6 required to apply, meet requirements and obtain a TFF permit prior to selling or giving away food or beverage at an event. The California Health and Safety Code requires a TFF Permit of any person or organization providing food at a community event. All food vendors, including permitted restaurants, are required to apply for and obtain a TFF Permit when participating in a community event. 5.2.2 Alcohol Sale or Service If the sale of alcohol or public service of alcohol is included in a Park Facility Permit event, authorization from the State of California Department of Alcohol Beverage Control (ABC) is required prior to the issuance of a permit. The City may place restrictions on the management of alcohol at a proposed event. Santa Ana Municipal Code Sec. 31-2.1 prohibits the consumption or possession of alcoholic beverages in a city park (SAMC 31-2.1) unless permitted through issuance of a permit (SAMC 31-3). In the instance that a City Council approved contract permits the sale and public service of alcohol, the sale and service of alcohol may be discontinued or terminated if it is deemed to be inconsistent with the terms and conditions of permitted use (SAMC 31-2). 5.2.3 Amplified Sound Amplified sound permits are available for events at City parks. Amplified sound means music or speech projected or transmitted by artificial means, including, but not limited to, amplifiers, loudspeakers or any similar devices (SAMC Sec. 31-1.1). Additional restrictions may apply for any events near residential are as and/or business districts. 5.2.4 Waste Management Plan Event organizers must arrange for provision of containers and collection of water, trash and recyclables by contacting the City’s Exclusive Waste Hauler. Recycling containers for the following materials is required for plastic, glass, metal, paper and cardboard. The specifications of the containers, including size, type, location, and pickup/delivery times is required on the event site plan. Clean up of all trash after the event is required in all areas, and if needed, power washing of any grease or food waste contamination will be required. Event area will be subject to inspection post-event. 5.3 PUBLIC SAFETY 5.3.1 Police Services During the pre-event meeting, the SAPD will determine the type of police services needed and number of officers. Applicants are directly responsible for the cost of Police Services, unpaid services will result in rejection of future applications and the City reserves all legal rights to recoup any unpaid fees. Exhibit 2 City Council 23 –21 11/16/2021 7 5.3.2 Security Services SAPD may deem an activity warrants the presence of one or more security personnel and the cost of such service shall be borne by the applicant. Licensed security personnel in uniform are required and subject to approval by the City. Proof of obtaining security personnel is due to the SAPD two weeks prior to the event. 5.3.3 Fire Prevention Inspection Events that require street closures, the assembly of 50 or more people, cooking, open flame, use of pyrotechnics or fireworks, a change of building use (i.e. a warehouse use for an assembly space), electricity or temporary membrane structures (tents or canopies), and a separate permit may be required from the Orange County Fire Authority (OCFA). As part of the permit requirements, onsite stand- by and inspection services may be required due to the size, complexity and/or unique safety issues regarding the activities associated with the proposed event. Inspection fees may apply. 5.3.4 Traffic Control Plan and Parking Event producers requiring street closures and traffic modifications that pose a significant impact to vehicular traffic must have an approved traffic control plan created by a licensed and qualified traffic control company. All traffic plans are subject to final approval by the City’s Traffic Engineer and the SAPD. Events taking place in a portion of a parking lot or alley are also subject to traffic control plans by a traffic control specialist and must obtain final approval by the City’s Traffic Engineer and the Santa Ana Police Department. In the event that water filled traffic barriers (k-rails) are required, it is the responsibility of the event producer to obtain the k -rails and a water truck capable of filling the k-rails to ensure the barriers effectiveness. The Public Works Agency requires the use of water filled K-rail when the street or alley being closed or any of the two end of the block streets are classified larger than a residential street, per The City of Santa Ana’s Master Plan of Streets and Highways or whenever Traffic Engineering staff feel there’s the potential for a safety hazard to occur. In the event that water filled K-rail is required, it is the applicant’s responsibility to ensure that the traffic control company is able to provide the water truck service necessary to completely fill all required water filled K-rails. 5.3.5 Stages and Other Temporary Structures Separate building permits may be required for stages and other temporary structures such as platforms and grandstands/bleachers that measure over 5 feet 9 inches in height. Applicants shall submit Exhibit 2 City Council 23 –22 11/16/2021 8 the building permit applications and plans no less than one month prior to their event to allow sufficient time for review and issuance of the permit. 5.3.6 Temporary Signage Permits SAMC Sec. 41-814 et seq. and Citywide Design Guidelines contain regulations and specifications of signs that may be located on private property within the City. Event applicants interested in installing temporary signs or banners on private property are required to apply for a temporary sign permit through the Planning Division. 6.0 FEES, PAYMENTS, DEPOSITS, AND INSURANCE 6.1 Fees and Payments The permit fees referenced in this Policy are listed in the City Council approved Miscellaneous Fees Schedule. 6.2 Deposits Applicants must pay a deposit as listed in the City Council approved Miscellaneous Fee Schedule at the time of application. Deposits will be refunded following the event when all conditions set forth in the permit are fulfilled. Reservation deposits are not refunded until after the final reservation and if no damage has been incurred. 6.3 Insurance and Indemnity Provisions The City requires applicants to provide liability insurance for an event and film permit. Insurance requirements are determined based on the City’s risk assessment of the activity/event. . Insurance requirements are no less than $1,000,000 per occurrence for bodily injury and property damage. Insurance requirements vary by the type of event, facility, and number of anticipated guests, and are subject to change without notice. Insurance requirements fulfilled prior to approval of the application and proof of insurance required 30 calendar days or more prior to the event. 7.0 RESERVATION CANCELLATIONS AND PERMIT AMENDMENTS 7.1 Permit Cancellations Permit cancellations and refunds will be processed as follows: All cancellations may incur a cancellation fee for each occurrence as dictated by the Miscellaneous Fee Schedule. Failure by the applicant or authorized event contact person to arrive at a scheduled event, and/or failure to provide written cancellation notice will be considered a “No Show.” Applicants with three or more “No Shows” may lose reservation privileges and remaining reservations will be cancelled for the calendar year. Exhibit 2 City Council 23 –23 11/16/2021 9 7.2 Permit Amendments Permit amendments include, but are not limited to the following: date, time and amenities. One change permitted at no charge if requested 5 days or more prior to reservation. A Processing Fee may be charged for each subsequent change. Dependent on when request is submitted, other fees may apply for cancellations or modifications to the original reservation. No refunds or credits will be issued for early departure from an approved permit. 8.0 ADDITIONAL CITY POLICIES AND AGREEMENTS This Policy may be subject to other City Council approved policies and agreements that establish separate user reservation relationships and associated fees for specific programs and/or entities. Exhibit 2 City Council 23 –24 11/16/2021 Exhibit 3 City Council 23 –25 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 2 Table of Contents LETTER FROM THE CITY MANAGER ............................................................................................................ 3 EVENT APPLICANT CLASSIFICATIONS ........................................................................................................ 4 EVENT PERMIT CLASSIFICATIONS (Park Facility and Film Permits Only) ............................................ 4 TYPES OF PERMITS .......................................................................................................................................... 5 A. PARK FACILITY PERMIT ...................................................................................................................... 5 B. FILM PERMIT ........................................................................................................................................... 5 C. LAND USE CERTIFICATE ..................................................................................................................... 5 D. SPECIAL EVENT PERMIT ..................................................................................................................... 5 EVENT PERMIT PROCESS ............................................................................................................................... 6 A. Application Submittal ............................................................................................................................... 6 B. Application Review Process ................................................................................................................... 7 C. Pre-Event Planning Meeting................................................................................................................... 7 D. Final Permit Application Approval ......................................................................................................... 7 E. Right To Appeal ................................................................................................................................. 7 PERMIT REQUIREMENTS ................................................................................................................................ 8 A. EVENT SUMMARY ................................................................................................................................. 8 B. PUBLIC HEALTH ..................................................................................................................................... 9 C. PUBLIC SAFETY ................................................................................................................................... 10 FEES, DEPOSITS, AND INSURANCE ........................................................................................................... 13 A. FEES ..................................................................................................................................................... B. DEPOSITS .............................................................................................................................................. RESERVATION CANCELLATIONS ............................................................................................................... 15 AND PERMIT AMENDMENTS ........................................................................................................................ 15 ADDITIONAL CITY POLICIES AND AGREEMENTS ................................................................................... 15 CHECKLIST FOR EVENT PERMIT APPLICATION ...................................................................................... 15 EXHIBIT 1 .......................................................................................................................................................... 16 EVENTS PERMIT POLICY ............................................................................................................................ 16 EXHIBIT 2 .......................................................................................................................................................... 17 EVENT PERMIT APPLICATION ................................................................................................................... 17 EXHIBIT 3 .......................................................................................................................................................... 22 80% APPROVAL PETITION FORM ............................................................................................................. 22 Exhibit 3 City Council 23 –26 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 3 Thousands of events such as celebrations, community based festivals, fairs, sporting events and other similar events conducted within the City enhance the vitality, quality of life, and economic prosperity of Santa Ana. The intent of this Events Permit Guide (Guide) is to provide guidance for use of City facilities by residents, community organizations, businesses, and nonresidents for 1) Park Facility Permits; 2) Film Permits; 3) Land Use Certificates and 4) Special Event Permits. This Guide corresponds with the Events Policy (Policy) outlining procedures and requirements associated with the management of events, filming, parades, land use and publically owned land permitting in the City of Santa Ana. On behalf of the City of Santa Ana, thank you for contributing to the spirit and vitality of our community through your event. LLLEEETTTTTTEEERRR FFFRRROOOMMM TTTHHHEEE CCCIIITTTYYY MMMAAANNNAAAGGGEEERRR Exhibit 3 City Council 23 –27 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 4 Event applicants are classified into the below groups for purposes of assessing fees and determining priority of use as described below. EVENT PERMIT CLASSIFICATIONS (Park Facility and Film Permits Only) The resident and nonresident event permits define the scheduling priority and corresponding fees. Priority 1 City-sponsored special event serving Santa Ana residents. Priority 2 Resident: Non-Profit Organization (Special Events) High School or College Students Resident and Non-Resident (Film) Priority 3 Resident: Private Party or Business Priority 4 Resident: Private Party or Business for Profit Making Priority 5 Non-Resident: Private Party or Business Priority 6 Non-Resident: Private Party or Business for Profit Making EEEVVVEEENNNTTT AAAPPPPPPLLLIIICCCAAANNNTTT CCCLLLAAASSSSSSIIIFFFIIICCCAAATTTIIIOOONNNSSS Exhibit 3 City Council 23 –28 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 5 A. PARK FACILITY PERMIT Allows the temporary use of a public park, field and/or facility for conducting certain outdoor and indoor, short-term events which are conducted completely or partially on City-owned or controlled park property pursuant to SAMC Sec. 31-3. B. FILM PERMIT Allows commercial motion picture or electronic video tape in or upon any property owned or controlled by the City of Santa Ana SAMC Sec. 10-2(a). Locations vary and are citywide. C. LAND USE CERTIFICATE Allows temporary use of private commercial property for conducting certain outdoor, short-term activities, which may be related to the onsite business pursuant to SAMC Sec. 41-195.5. This permit is originated and managed by the Planning and Building Agency (Planning Division) in conjunction with the Police Department and Orange County Fire Authority, depending on the nature of the activity proposed. D. SPECIAL EVENT PERMIT Allows temporary use of public property for conducting certain outdoor, short-term events conducted completely or partially on City-owned or controlled public property pursuant to SAMC Sec. 10-22. TTTYYYPPPEEESSS OOOFFF PPPEEERRRMMMIIITTTSSS Exhibit 3 City Council 23 –29 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 6 This Guide assists event organizers in developing successful event plans that comply with local, state, and federal codes, laws, policies and regulations governing activities associated with the production and management of special events. The City Manager’s Office (CMO) or designee (SAMC 10-22) manages the event permit process. Various city departments, along with partner agencies may have regulatory authority related to elements in an event application and participate in the review process. This provides a coordinated approach to the planning, review, and on -site management of events. The permit process is as follows: A. Application Submittal Applicant completes an event permit application, site plan, traffic plan and additional supporting documentation for the corresponding departments no earlier than six (6) months before and no later than 45 business days prior to event. Submittal of the permit application or initiation of the review process does not deem the permit application approved, nor should an event producer begin to advertise or execute their event without final written approval from the reviewing agency. Applications submitted within the 45 business day guidelines may be denied or may be subject to expedited processing fees. Expected attendance for events includes total participants and/or spectators, vendors, exhibitors, staffing, etc. Major special events will take precedence over moderate and minor special event dates. Table 1 - Park Facility Permit Categories A permit application shall be submitted no earlier than 180 days for larger scale Special Events that require comprehensive event details and coordination (SMAC 10-22.2) At the sole discretion of the City of Santa Ana, event producers may submit written amendments to the initial permit application due to unique or changing circumstances related to the event. PARK FACILITY PERMIT CATEGORY EXPECTED ATTENDANCE APPLICATION SUBMITTAL DEADLINE MAJOR 1,001 and Up Between ninety- (90) business days to one (1) year prior to the event date. MODERATE 100 – 1,000 Between forty-five (45) business days and six (6) months prior to the event date. MINOR Up to 100 EEEVVVEEENNNTTT PPPEEERRRMMMIIITTT PPPRRROOOCCCEEESSSSSS Exhibit 3 City Council 23 –30 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 7 B. Application Review Process Throughout the review process, the City may request additional information and/or documents for clarification. Delays in providing the requested information may affect the ability to complete the permit application review in a timely manner. Once the review process is completed, applicants will receive notification of the status of their application. C. Pre-Event Planning Meeting After the application approval, a pre-event planning meeting may be scheduled with the event producer. The purpose of the pre-event meeting is to discuss the event in detail, address any changes, conflicts or concerns, and troubleshoot solutions. Additional representatives of the city or partner agencies participate in the meetings as appropriate. A Post-Event Meeting may be scheduled at the request of the city or event producer D. Final Permit Application Approval Final approval of the permit application includes the city receiving all requested documentation and payment prior to the event. Deadlines for requested information and final payment varies for each application. The event applicant is responsible to submit all requested documentation and payment before the agreed upon deadline. E. Right To Appeal The Right to Appeal for Park Facility Permits is pursuant to SAMC Section 31-3.3, Film Permits SAMC Section 10-5, Special Event Permits SAMC Section 10-14, and Land Use Certificates SAMC Section 41-677 provides for an appeal process for denial and revocations. Exhibit 3 City Council 23 –31 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 8 A. EVENT SUMMARY An event summary provides an overview of the requested event and is essential information that should be included with the permit application. 1. Admission Includes all admission/registration/participant fee information related to the event. 2. Attendance Providing the estimated attendance for an event helps in the review of the event plans with emphasis on public safety, venue occupancy, staffing, and impact to the surrounding neighborhood. Estimated attendance should include the total number of people anticipated to attend, participate, provide support services and/or watch the event. 3. Event Time Line Detailed timelines are required when completing the permit application and include setup, takedown and all activity times. The time denoted on the final permit is determined by the times provided by the applicant. Set-up and cleanup completion time should correspond with the permit and insurance documents must cover the entire length of the event. The City may require separate permit applications for events with plans that vary significantly from day-to-day or have multiple distinct event types (e.g. a parade with a separate festival). 4. Private Property Venue Special events that utilize private commercial property for any portion of the event are required to include a signature by the private property owner on the application or submit a letter authorizing use of the property from the property owner or property manager. Private events taking place on private residential property are not included in the event permit process and need to comply with the existing City of Santa Ana zoning requirements for residential property. 5. Public Notification All Park Facility Permit events require a public notification to local neighborhood associations and businesses adjacent to the park or venue. Major special events require public notification thirty days prior to the event PPPEEERRRMMMIIITTT RRREEEQQQUUUIIIRRREEEMMMEEENNNTTTSSS Exhibit 3 City Council 23 –32 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 9 date. Minor and Moderate special event notification requires fourteen days prior to the event date. Events that include a street closure requires the event organizer to petition all residences and businesses within the enclosed street closure boundaries wherein pedestrian and vehicular ingress and egress is impacted by the special event and obtain a percentage of signatures that is deemed acceptable by the Police Chief or designee (SAMC 10-22(b)(10)). 6. Site Plan A detailed map/site plan with the permit application is required illustrating the proposed event and includes the following: location and description of structures, placement and number of any refuse and recyclable containers, portable restrooms, fences, barricades, sound system, canopies/tents, stages, parking areas, location of all street closures and detours, etc. For runs or cycling events, routes to be followed and location of staging area from which participants will exit, information/aide booths, checkpoints, route monitor locations, spectator areas, etc. are required. 7. Business License The City of Santa Ana requires all persons conducting business within the City to obtain a business license prior to their event. Event producers and any participating, onsite vendors or exhibitors require licenses. Current Santa Ana businesses may show proof of a current business license. Gratuitous Licenses are also available for businesses outside of Santa Ana and are good for up to one year of issuance. B. PUBLIC HEALTH 1. Food and Beverage Distribution In accordance with the California Health and Safety Code, an Organizer permit is required when two or more food vendors are participating at a community event. If the applicant is planning to operate a Temporary Food Facility (TFF) during an event, they are required to apply, meet requirements and obtain a TFF permit prior to selling or giving away food or beverage at an event. The California Health and Safety Code requires a TFF Permit of any person or organization providing food at a community event. All food vendors, including permitted restaurants, are required to apply for and obtain a TFF Permit when participating in a community event. 2. Alcohol Sale or Service If the sale of alcohol or public service of alcohol is included in a Park Facility Permit event, authorization from the State of California Department of Alcohol Beverage Control (ABC) is required prior to the issuance of a Exhibit 3 City Council 23 –33 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 10 permit. The City may place restrictions on the management of alcohol at a proposed event. Santa Ana Municipal Code Sec. 31 -2.1 prohibits the consumption or possession of alcoholic beverages in a city park (SAMC 31-2.1) unless permitted through issuance of a permit (SAMC 31-3). In the instance that a City Council approved contract permits t he sale and public service of alcohol, the sale and service of alcohol may be discontinued or terminated if it is deemed to be inconsistent with the terms and conditions of permitted use (SAMC 31-2). 3. Amplified Sound Amplified sound permits are available for events at City parks. Amplified sound means music or speech projected or transmitted by artificial means, including, but not limited to, amplifiers, loudspeakers or any similar devices (SAMC Sec. 31-1.1). Additional restrictions may apply for any events near residential areas and/or business districts. 4. Waste Management Plan Event organizers must arrange for provision of containers and collection of water, trash and recyclables by contacting the City’s Exclusive Waste Hauler. Recycling containers for the following materials is required for plastic, glass, metal, paper and cardboard. The specifications of the containers, including size, type, location, and pickup/delivery times is required on the event site plan. Clean up of all trash after the event is required in all areas, and if needed, power washing of any grease or food waste contamination will be required. Event area will be subject to inspection post-event. C. PUBLIC SAFETY 1. Police Services During the pre-event meeting, the SAPD will determine the type of police services needed and number of officers. Applicants are directly responsible for the cost of Police Services and unpaid services will result in rejection of future applications. The City reserves all legal rights to recoup any unpaid fees. 2. Security Services SAPD may deem an activity warrants the presence of one or more security personnel and the cost of such service shall be borne by the applicant. Licensed security personnel in uniform are required and subject to approval by the City. Proof of obtaining security personnel is due to the SAPD two weeks prior to the event. Exhibit 3 City Council 23 –34 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 11 3. Fire Prevention Inspection Events that require street closures, the assembly of 50 or more people, cooking, open flame, use of pyrotechnics or fireworks, a change of building use (ex.; a warehouse used for an assembly space), electricity or temporary membrane structures (tents or canopies), and a separate permit may be required from the Orange County Fire Authority (OCFA). As part of the permit requirements, onsite stand-by and inspection services may be required due to the size, complexity and/or unique safety issues regarding the activities associated with the proposed event. Inspection fees may apply. 4. Traffic Control Plan and Parking Event producers requiring street closures and traffic modifications that pose a significant impact to vehicular traffic must have an approved traffic control plan created by a licensed and qualified traffic control company. All traffic plans are subject to final approval by the City’s Traffic Engineer and the SAPD. Events taking place in a portion of a parking lot or alley are also subject to traffic control plans by a traffic control specialist and must obtain final approval by the City’s Traffic Engineer and the Santa Ana Police Department. The City of Santa Ana Public Works Agency requires the use of water filled K-rail when the street or alley being closed or any of the two end of the block streets are classified larger than a residential street, per The City of Santa Ana’s Master Plan of Streets and Highways or whenever Traffic Engineering staff feel there’s the potential for a safety hazard to occur. In the event that water filled K-rail is required, it is the applicant’s responsibility to ensure that the traffic control company is able to provide the water truck service necessary to completely fill all required water filled K-rails. Should an event pose a significant impact to public or neighborhoo d parking, a parking and shuttle plan will be required. Parking plans include user agreements for alternative parking lots, shuttle service, and other alternative methods of transportation. Shuttle plans include the location of the shuttle lot, agreement or permission for use of an alternative lot, shuttle route and drop off location. 5. Stages and Other Temporary Structures Separate building permits may be required for stages and other temporary structures such as platforms and grandstands/bleachers that measure over 5 feet 9 inches in height. Applicants shall submit the building permit Exhibit 3 City Council 23 –35 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 12 applications and plans no less than one month prior to their event to allow sufficient time for review and issuance of the permit. 6. Temporary Signage Permits Santa Ana Municipal Code Sec. 41-814 et seq. and Citywide Design Guidelines contain regulations and specifications of signs that may be located on private property within the City. Event applicants interested in installing temporary signs or banners on private property are required to apply for a temporary sign permit through the Planning Division. Exhibit 3 City Council 23 –36 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 13 A. Fees The reservation fees referenced in this Policy are listed in the City Council approved Miscellaneous Fees Schedule. B. Deposits Applicants must pay a deposit as listed in the City Council approved Miscellaneous Fee Schedule at the time of application. Deposits will be refunded following the event when all conditions set forth in the permit are fulfilled. Reservation deposits are not refunded until after the final reservation and if no damage has been incurred. C. Insurance and Indemnity Provisions i. Commercial General Liability Insurance The Event Producer or PERMITTEE shall maintain commercial general liability insurance naming the City of Santa Ana, 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 dam age to property, resulting from any act or occurrence arising out of PERMITEE’S operations in the performance of this Agreement, including, without limitation, acts involving vehicles. Risk Management will review each application and determine the amount of insurance that will be required. Insurance requirements are likely to be in the vicinity of $1,000,000 to $5,000,000 per occurrence. The City reserves the right to modify these requirements based on the nature of the risk, prior events, insurance coverage, or other special circumstances. PERMITTEE shall supply City with a fully executed additional insured policy endorsement. This insurance is primary and non -contributing with any other valid and collectible insurance or self -insurance available to the City. ii. Business Automobile Liability Insurance PERMITTEE shall maintain business automobile liability insurance or an equivalent form with a limit of not less than $1,000,000 each accident. Such insurance shall include coverage for owned, hired and non -owned automobiles. (This coverage is not required if PERMITTEE shall not use or operate automobiles in connection with the permitted event). iii. Worker's Compensation Insurance In accordance with the provisions of California Labor Code Section 3700, if PERMITTEE 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, PERMITTEE agrees to FFFEEEEEESSS,,, DDDEEEPPPOOOSSSIIITTTSSS,,, AAANNNDDD IIINNNSSSUUURRRAAANNNCCCEEE Exhibit 3 City Council 23 –37 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 14 obtain and maintain any employer's liability in surance with limits not less than $1,000,000 per accident. iv. Other Insurance Risk Management will review each application and determine if any additional insurance will be required such as Professional Liability, Errors and Omissions, Sexual Abuse or Molestation (SAM) Liability, Pollution Liability, Cyber Liability, and Aviation Services Including Unmanned Aircraft's (Drones). The event producer or PERMITTEE shall maintain all insurance required above in full force and effect for the entire period covered by their permit. Certificates of insurance shall be furnished to the City fifteen (15) business days before the first event date and will require final approval by the Risk Management Division. Incomplete or incorrect insurance forms may delay or cancel the issuance of a permit. v. Third Party Insurance PERMITTEE shall require and verify that any hired vendors such as food/catering trucks, portable restroom companies, traffic control companies, shuttle providers, security companies working or staging equipment ma intain insurance. vi. Waivers Event waivers must include an indemnification clause that holds the City of Santa Ana and the event organizer harmless. Waivers are required to be signed by active participants (e.g. runners), vendors/exhibitors, performers (e.g. musicians, dancers), and volunteers. Exhibit 3 City Council 23 –38 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 15 A. Permit Cancellations Permit cancellations and refunds will be processed as follows: All cancellations may incur a cancellation fee for each occurrence as dictated by the Miscellaneous Fee Schedule. Failure by the applicant or authorized event contact person to arrive at a scheduled event, and/or failure to provide written cancellation notice will be considered a “No Show.” Applicants with three or more “No Shows” may lose reservation privileges and remaining reservations will be cancelled for the calendar year. B. Permit Amendments Permit amendments include, but are not limited to the following: date, time and amenities. One change permitted at no charge if requested 5 days or more prior to reservation. A Processing Fee may be charged for each subsequent change. Dependent on when request is submitted, other fees may apply for cancellations or modifications to the original reservation. No refunds or credits will be issued for early departure from an approved permit. This Policy may be subject to other City Council approved policies and agreements that establish separate user reservation relationships and associated fees for specific programs and/or entities. Please include the following documents with your application:  Insurance Certificate  Additional Insured Endorsement page or Blanket Endorsement  Proof of Identification (i.e. valid driver’s license, valid identification card, lease agreement or mortgage statement, home utility bill, et c.) AAADDDDDDIIITTTIIIOOONNN AAALLL CCCIIITTTYYY PPPOOOLLLIIICCCIIIEEESSS AAANNNDDD AAAGGGRRREEEEEEMMMEEENNNTTTSSS CCCHHHEEECCCKKKLLLIIISSSTTT FFFOOORRR EEEVVVEEENNNTTT PPPEEERRRMMMIIITTT AAAPPPPPPLLLIIICCCAAATTTIIIOOONNN RRREEESSSEEERRRVVVAAATTTIIIOOONNN CCCAAANNNCCCEEELLLLLLAAATTTIIIOOONNNSSS AAANNNDDD PPPEEERRRMMMIIITTT AAAMMMEEENNNDDDMMMEEENNNTTTSSS Exhibit 3 City Council 23 –39 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 16 Approved by City Council xx/xx/xxxx EEEXXXHHHIIIBBBIIITTT 111 CCCIIITTTYYY OOOFFF SSSAAANNNTTTAAA AAANNN AAA EEEVVVEEENNNTTTSSS PPPEEERRRMMMIIITTT PPPOOOLLLIIICCCYYY Exhibit 3 City Council 23 –40 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 17 https://www.santa-ana.org/parks/event-planning EEEXXXHHHIIIBBBIIITTT 222 CCCIIITTTYYY OOOFFF SSSAAANNNTTTAAA AAANNNAAA EEEVVVEEENNNTTT PPPEEERRRMMMIIITTT AAAPPPPPPLLLIIICCCAAATTTIIIOOONNN Exhibit 3 City Council 23 –41 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 18 Exhibit 3 City Council 23 –42 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 19 Exhibit 3 City Council 23 –43 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 20 Exhibit 3 City Council 23 –44 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 21 Exhibit 3 City Council 23 –45 11/16/2021 City of Santa Ana Events Permit Guide November 16, 2021 22 EEEXXXHHHIIIBBBIIITTT 333 CCCIIITTTYYY OOOFFF SSSAAANNNTTTAAA AAANNNAAA 888000%%% AAAPPPPPPRRROOOVVVAAALLL PPPEEETTTIIITTTIIIOOONNN FFFOOORRRMMM Exhibit 3 City Council 23 –46 11/16/2021 Public Works Agency www.santa-ana.org/pw Item # 24 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Grant Applications for the Fiscal Year 2022-2023 Measure M2 Comprehensive Transportation Program AGENDA TITLE Adopt Resolutions Authorizing Grant Applications for the Fiscal Year 2022-2023 Measure M2 Comprehensive Transportation Funding Program (Non-General Fund) RECOMMENDED ACTION 1. Adopt Resolutions Authorizing the City of Santa Ana to submit applications for funding consideration under the Measure M2 Comprehensive Transportation Funding Program 2022 Call for Projects. 2. Direct staff to incorporate approved Comprehensive Transportation Funding Program projects into the Seven-Year Capital Improvement Program for Fiscal Year 2022-23. DISCUSSION The Orange County Transportation Authority (OCTA) issued a call for projects under the Measure M2 Comprehensive Transportation Funding Program (CTFP) Fiscal Year (FY) 2022-23. Approximately $32 million will be available for award on a countywide, competitive basis for two programs: Arterial Capacity Enhancements (ACE) via the Regional Capacity Program (Project O) and Regional Traffic Signal Synchronization (RTSS) via the Regional Traffic Signal Synchronization Program (Project P). The CTFP is the mechanism by which OCTA administers competitive funding for streets and roads projects. The City will be submitting applications totaling $11,139,163 in grant funding requests, which requires a local match commitment of 25 percent for ACE and 20 percent for RTSS programs. If awarded, existing and future local funding sources, including but not limited to Transportation System Improvement Area funds (TSIA), Gas Tax funds, and Measure M2 Fairshare funds, will be used to provide the required matching funds for the recommended projects to be budgeted in FY 2022-23 Capital Improvement Program (CIP). City Council 24 –1 11/16/2021 Resolution – FY 2021-22 Measure M2 CTFP Grant Applications November 16, 2021 Page 2 2 2 2 0 Staff is requesting authorization to apply for grant funding for the following projects: RECOMMENDED PROJECTS CTFP TYPE PHASE GRANT REQUEST FY Euclid Street Traffic Signal Synchronization RTSS Design/ Construction $475,000 22-23 Fairview Street Improvements from 17th to Trask ACE Design / ROW / Construction $10,664,163 22-23 Staff carefully considered the grant funding criteria and strategically selected the projects that will score well region-wide. Given the need for the street improvements and the project eligibility requirements defined by OCTA, staff recommends that the City Council adopt the Resolutions authorizing submittal of the CTFP application for funding consideration, as well as direct staff to incorporate approved projects into the FY 2022- 23 Seven-Year CIP. ENVIRONMENTAL IMPACT There is no environmental impact associated with the action. FISCAL IMPACT There is no fiscal impact associated with this action at this time. The City will recognize grant award revenue, inclusive of required City local match, through future Council action during the FY 2022-23 CIP budget programing cycle. However, in the event both of the recommended projects are awarded in the 2022 CTFP Call for Projects, the table below provides a breakdown of the total potential funding for the identified projects: RECOMMENDED PROJECTS PHASE CTFP GRANT FUNDS CITY MATCH FUNDS*FY Euclid Street Traffic Signal Synchronization Design/ Construction $475,000 $95,000 22-23 Fairview Street Improvements from 17th to Trask Design / ROW /Construction $10,664,163 $2,666,041 22-23 *The amounts listed above reflect maximum City funds to be committed if awarded full grant allocations. EXHIBIT(S) 1. FY 22-23 CTFP Call for Projects – RTSS Resolution 2. FY 22-23 CTFP Call for Projects – ACE Resolution City Council 24 –2 11/16/2021 Resolution – FY 2021-22 Measure M2 CTFP Grant Applications November 16, 2021 Page 3 2 2 2 0 Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Kristine Ridge, City Manager City Council 24 –3 11/16/2021 EXHIBIT 1 Resolution No. 2021-XXX Page 1 of 3 RESOLUTION NO. 2021-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE SUBMITTAL OF IMPROVEMENT PROJECTS TO THE ORANGE COUNTY TRANSPORTATION AUTHORITY FOR FUNDING UNDER THE REGIONAL TRAFFIC SIGNAL SYNCHRONIZATION PROGRAM BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The Measure M2 Regional Traffic Signal Synchronization Program targets over 2000 signalized intersections across Orange County to maintain traffic signal synchronization, improve traffic flow, and reduce congestion across jurisdictions. B. The City of Santa Ana has been declared by the Orange County Transportation Authority to meet the eligibility requirements to receive revenues as part of Measure M2. C. The City of Santa Ana must include all projects funded by Net Revenues in the seven-year Capital Improvement Program as part of the Renewed Measure M Ordinance eligibility requirement. D. The City of Santa Ana has currently adopted a Local Signal Synchronization Plan consistent with the Regional Traffic Signal Synchronization Master Plan as a key component of local agencies’ efforts to synchronizing traffic signals across local agencies’ boundaries. E. The City of Santa Ana will provide matching funds for each project as required by the Comprehensive Transportation Funding Programs Procedures Manual. F. The City of Santa Ana will not use Renewed Measure M funds to supplant Developer Fees or other commitments. G. The City of Santa Ana desires to implement multi-jurisdictional signal synchronization listed below. City Council 24 –4 11/16/2021 EXHIBIT 1 Resolution No. 2021-XXX Page 2 of 3 Section 2. The City Council of the City of Santa Ana hereby approves the formal submissions of the projects described below to the Orange County Transportation Authority for funding under the OCTA’s Regional Traffic Signal Synchronization Program and requests that the OCTA allocate funds in the amounts specified in the City’s submissions. Said funds shall be matched by funds from Santa Ana as required and shall be used as supplemental funding to aid the City in signal synchronization along the following street(s): PROJECT PROGRAM FY Euclid Street Traffic Signal Synchronization RTSSP 22/23 Section 3. The City of Santa Ana authorizes a formal amendment to the seven- year Capital Improvement Program to add projects approved for Measure M2 funding upon approval from the Orange County Transportation Authority Board of Directors. Section 4. The City Council appoints the City Manager, or his or her designee, as agent for the City of Santa Ana to conduct all negotiations, and execute and submit all documents, including but not limited to applications, agreements, amendments, payment requests and so on, which may be necessary for allocation of the requested funds to Santa Ana. Section 5. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this ____ day of ___________________, 2021. Vicente Sarmiento Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: John M. Funk Sr. Assistant City Attorney City Council 24 –5 11/16/2021 EXHIBIT 1 Resolution No. 2021-XXX Page 3 of 3 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers _ CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby certify the attached Resolution No. 2021- ____ to be the original resolution adopted by the City Council of the City of Santa Ana on _____________________, 2021. Date: Clerk of the Council City of Santa Ana City Council 24 –6 11/16/2021 Resolution No. 2021-XXX Page 1 of 3 RESOLUTION NO. 2021-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE SUBMITTAL OF IMPROVEMENT PROJECTS TO THE ORANGE COUNTY TRANSPORTATION AUTHORITY FOR FUNDING UNDER THE COMPREHENSIVE TRANSPORTATION PROGRAM BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The City of Santa Ana desires to implement the transportation improvements listed below. B. The City of Santa Ana has been declared by the Orange County Transportation Authority to meet the eligibility requirements to receive Measure M2 “Fair Share” funds. C. The City’s Circulation Element is consistent with the County of Orange Master Plan of Arterial Highways. D. The City of Santa Ana will not use Measure M2 funds to supplant Developer Fees or other commitments. E. The City of Santa Ana will include all projects funded by M2 Net Revenues in its seven-year Capital Improvement Program, as part of the Measure M2 Ordinance eligibility requirements. F. The City of Santa Ana will provide matching funds for each project as required by the Orange County Comprehensive Transportation Funding Programs Guidelines. G. The Orange County Transportation Authority intends to allocate funds for transportation improvement projects within the incorporated cities and the County. H. The City of Santa Ana authorizes a formal amendment to the seven-year Capital Improvement to add projects approved for Measure M2 funding upon approval from Orange County Transportation Authority Board of Directors if necessary. City Council 24 –7 11/16/2021 Resolution No. 2021-XXX Page 2 of 3 Section 2. The City Council of the City of Santa Ana hereby approves the formal submissions of the projects described below to the Orange County Transportation Authority for funding under the OCTA’s Comprehensive Transportation Funding Program and requests that the OCTA allocate funds in the amounts specified in the City's submissions. Said funds shall be matched by funds from Santa Ana as required and shall be used as supplemental funding to aid the City in the improvement of the following street(s). “ACE” shall mean Arterial Capacity Enhancement. PROJECT PROGRAM FY Fairview St. Improvements from Monte Carlo Dr. to Trask Ave. ACE 2/23 Section 3. The City Council appoints the City Manager, or his or her designee, as agent for the City of Santa Ana to conduct all negotiations, and execute and submit all documents, including but not limited to applications, agreements, amendments, payment requests and so on, which may be necessary for allocation of the requested funds to Santa Ana. Section 4. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this ____ day of ___________________, 2021. Vicente Sarmiento Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: John M. Funk Sr. Assistant City Attorney City Council 24 –8 11/16/2021 Resolution No. 2021-XXX Page 3 of 3 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers _ CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby certify the attached Resolution No. 2021- ____ to be the original resolution adopted by the City Council of the City of Santa Ana on _____________________, 2021. Date: Clerk of the Council City of Santa Ana City Council 24 –9 11/16/2021 Human Resources www.santa-ana.org/hr Item # 25 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: City Manager Evaluation and Salary Adjustment AGENDA TITLE: City Manager Evaluation and Adopt a i) Resolution to Reflect Positive Performance Evaluation Conducted on October 19, 2021 and Approving an Amended Annual Salary for the City Manager, and ii) Resolution Amending Resolution No. 2019-111 to Effect Certain Changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS) RECOMMENDED ACTION 1. Adopt a Resolution affirming positive evaluation results and approving an adjusted annual salary for the City Manager, and 2. Adopt a Resolution amending Resolution No. 2019-111 to effect certain changes to the City’s Master Salary Schedule in Conformance with Title 2 of the California Code of Regulations Section 570.5 and the California Public Employees' Retirement System (CalPERS). DISCUSSION The City of Santa Ana City Charter provides that the City Council shall conduct evaluations of its appointees on an annual basis. In addition, City Manager Kristine Ridge’s Employment Agreement provides for an annual evaluation and opportunity for consideration of adjustments based on a positive evaluation. The City Council conducted the evaluation of City Manager Ridge on October 19, 2021 and agreed that Ms. Ridge is doing an excellent job as City Manager. The City Manager’s Employment Agreement was approved on April 30, 2019 and provided an annual salary of $290,000, which since has not been adjusted or amended. The City Manager proposed adjustments to her annual salary, and based on their evaluation, the City Council supported an annual salary of $301,600 with a possible additional increase in six months based on continued positive performance. The proposed resolutions affirm the positive evaluation results and approves an adjusted annual salary City Council 25 –1 11/16/2021 City Manager Evaluation and Salary Adjustment November 16, 2021 Page 2 2 2 4 0 for the City Manager (Exhibit 1), and amends the Master Salary schedule to effect the abovementioned change to the City Manager’s salary (Exhibit 2). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The City Council’s adoption of the proposed Resolution and amended agreements will result in an annual total increase in costs of approximately $13,150, with a FY21-22 fiscal impact of approximately $8,200. There are sufficient funds in the City Manager’s Office Budget (accounts 01103010-6XXXX) to cover the increased expenses. EXHIBIT(S) 1. Proposed Resolution 2. Resolution amending Resolution No. 2019-111 Submitted By: Jason Motsick, Executive Dir Human Resources Approved By: Kristine Ridge, City Manager City Council 25 –2 11/16/2021 City Council 25 –3 11/16/2021 City Council 25 –4 11/16/2021 City Council 25 –5 11/16/2021 City Council 25 –6 11/16/2021 City Council 25 –7 11/16/2021 CITY OF SANTA ANA MASTER SALARY SCHEDULE FISCAL YEAR 2021-2022 Update as of November, 2021 ATTACHMENT A City Council 25 –8 11/16/2021 TABLE OF CONTENTS: REGULAR CLASSES AND ASSIGNMENT OF CLASSES TO SALARY RATE RANGES………………………..P. 01 - 07 PART-TIME CATEGORIES SALARY RATE RANGES…………………………………………………………..…..…….P. 08 - 09 DEFINE SALARY RATE RANGE AND STEP ADVANCEMENT………………………………………………………..P. 10 - 12 SPECIAL COMPENSATION PROVISIONS……………………………………………………………………………………P. 13 - 17 OTHER PAY ADDITIVES…………………………………………………………………………………………………………….P. 18 - 24 FOOTNOTES…………………………………………………………………………………………………………………………….P. 25 - 26 EFFECTIVE CHANGES, INCORPORTED HEREIN………………………………………………………………………….P. 27 PRIMARY SALARY MATRIX (EXHIBIT A)…………………………………………………………………………………….P. 28 MIDDLE-MANAGEMENT SALARY MATRIX (EXHIBIT B).…………………………………………………………….P. 29 EXECUTIVE MANAGEMENT SALARY MATRIX (EXHIBIT C)…………………………………………………….…..P. 30 City Council 25 –9 11/16/2021 CITY OF SANTA ANA Consolidated Alphabetical List of Regular Classes and Assignment of Classes to Salary Rate Ranges for Fiscal Year 2021-2022 Effective Effective MONTHLY SALARY RATE RANGES UNIT JOB 1/1/2021 7/1/2021 AAA AA A B C D E CODE CODE JOB TITLE RANGE NO.RANGE NO.SEIU 6 01140 ACCOUNTANT I 665 672 5,542 5,818 6,110 6,415 6,735 7,073 7,427 SEIU 6 01140 ACCOUNTANT I 665 672 5,542 5,818 6,110 6,415 6,735 7,073 7,427 SEIU 6 01150gg ACCOUNTANT II 694 701 6,384 6,702 7,039 7,391 7,761 8,149 8,557 SEIU 6 07010 ACCOUNTING ASSISTANT 614 621 4,317 4,533 4,764 5,002 5,252 5,515 5,790 SEIU 6 07015 ACCOUNTING ASSISTANT/SYSTEMS TECHNICIAN 614 621 4,317 4,533 4,764 5,002 5,252 5,515 5,790 MID M-NS 01120 ACCOUNTING MANAGER (MM)MM-25 MM-25 - - 10,622 - 12,943 - 15,769 SEIU 6 07009 ACCOUNTS PAYABLE SUPERVISOR 668 675 5,623 5,905 6,200 6,510 6,835 7,176 7,535 SEIU 6 01295 ACTIVE TRANSPORTATION COORDINATOR 710 717 6,903 7,247 7,609 7,989 8,389 8,809 9,250 UC 07271 ADMINISTRATIVE SECRETARY (UC)**610 610 - 4,921 5,168 5,425 5,703 5,989 6,286 MID M-NS 00190 ADMINISTRATIVE SERVICES MANAGER (MM)MM-22 MM-22 - -9,865 - 12,018 - 14,642 POA-NS 03920 ANIMAL SERVICE OFFICER I 664 668 - -5,434 5,706 5,992 6,291 6,606 POA-NS 03930 ANIMAL SERVICE OFFICER II 694 698 - -6,291 6,606 6,937 7,283 7,647 ADMIN MGMT-NS 02910 APPLICATIONS SYSTEMS MANAGER (AM)**AM774 AM774 - -10,968 11,521 12,097 12,702 13,338 ADMIN MGMT-NS 02915 APPLICATIONS/TECH SUPPORT MANAGER (AM)**AM784 AM784 - -11,521 12,097 12,702 13,338 14,005 SEIU 6 02845 ARTS & CULTURE SPECIALIST 665 672 5,542 5,818 6,110 6,415 6,735 7,073 7,427 SEIU 6 00270 ASSISTANT BUYER 635 642 4,787 5,026 5,278 5,542 5,818 6,110 6,415 MID M-NS 01620 ASSISTANT CITY ATTORNEY (MM)MM-22 MM-22 - - 9,865 - 12,018 - 14,642 EXEC-NS 00090 ASSISTANT CITY MANAGER (EM)EM-40 EM-40 - - 17,581 - -- 23,245 MID M-NS 01710 ASSISTANT CLERK OF THE COUNCIL (MM)MM-18 MM-18 - - 8,937 - 10,889 - 13,265 MID M-NS 02865 ASSISTANT DIR OF COMMUNITY DEVELOPMENT (MM)MM-26 MM-26 - - 10,889 - 13,265 - 16,160 MID M-NS 01180 ASSISTANT DIR OF FINANCE AND MANAGEMENT SVCS (MM)MM-28 MM-28 - - 11,439 - 13,936 - 16,980 MID CMM-NS 01836 ASSISTANT DIR OF HUMAN RESOURCES (CMM)CMM-26 CMM-26 - - 10,889 - 13,265 - 16,160 MID M-NS 02492 ASSISTANT DIR OF PLANNING AND BUILDING (MM)MM-28 MM-28 - - 11,439 - 13,936 - 16,980 SEIU 6 01601m ASSISTANT ENGINEER 684 691 6,080 6,384 6,702 7,039 7,391 7,761 8,149 SEIU 6 00530 ASSISTANT FLEET SERVICES TECHNICIAN 610 617 4,236 4,448 4,671 4,906 5,151 5,408 5,678 SEIU 6 04125 ASSISTANT INSTRUMENT TECHNICIAN 642 649 4,954 5,201 5,461 5,734 6,021 6,322 6,638 SEIU 6 05180 ASSISTANT LIBRARIAN 623 630 4,511 4,741 4,978 5,226 5,488 5,762 6,050 SEIU 6 00280 ASSISTANT PARKS/LANDSCAPE PLANNER 675 682 5,818 6,110 6,415 6,735 7,073 7,427 7,799 SEIU 6 01410m/n ASSISTANT PLAN CHECK ENGINEER 747 754 8,269 8,683 9,117 9,577 10,055 10,558 11,086 SEIU 6 00040 ASSISTANT PLANNER I 674 681 5,790 6,080 6,384 6,702 7,039 7,391 7,761 SEIU 6 02440 ASSISTANT PLANNER II 694 701 6,384 6,702 7,039 7,391 7,761 8,149 8,557 ADMIN MGMT-NS 01772 ASSISTANT PUBLIC WORKS MAINTENANCE MANAGER (AM)**AM750 AM750 - - 9,755 10,243 10,756 11,295 11,858 MID M-NS 07721 ASSISTANT TO THE CITY MANAGER (MM)MM-22 MM-22 - - 9,865 - 12,018 - 14,642 SEIU 6 02155 ASSISTANT TRAFFIC OPERATIONS ENGINEER 748 755 8,309 8,725 9,161 9,625 10,105 10,611 11,142 SEIU 6 02100m ASSOCIATE ENGINEER 747 754 8,269 8,683 9,117 9,577 10,055 10,558 11,086 SEIU 6 01040 ASSOCIATE PARK AND LANDSCAPE PLANNER 725 732 7,427 7,799 8,189 8,599 9,029 9,482 9,955 SEIU 6 02280m/n ASSOCIATE PLAN CHECK ENGINEER 762 769 8,897 9,342 9,819 10,309 10,825 11,366 11,934 SEIU 6 02450 ASSOCIATE PLANNER 724 731 7,391 7,761 8,149 8,557 8,985 9,434 9,906 POA-NS 06170 BACKGROUND INVESTIGATOR 679 683 - - 5,847 6,140 6,446 6,768 7,107 MID M-NS 00474 BENEFITS AND COMPENSATION MANAGER (MM)MM-18 MM-18 - - 8,937 - 10,889 - 13,265 SEIU 6 05150 BIBLIOGRAPHIC TECHNICIAN 613 620 4,296 4,511 4,741 4,978 5,226 5,488 5,762 UC 00497 BUDGET AIDE (UC)**642 642 - 5,759 6,046 6,349 6,666 7,000 7,351 UC 00496 BUDGET ANALYST (UC)**668 668 - 6,538 6,863 7,209 7,568 7,948 8,346 ADMIN MGMT-NS 06400 BUDGET AND RESEARCH MANAGER (AM)**AM764 AM764 - -10,446 10,968 11,521 12,097 12,702 ADMIN MGMT-NS 00493 BUDGET SUPERVISOR (AM)**AM744 AM744 - -9,473 9,947 10,446 10,968 11,521 SEIU 6 04315 BUILDING MAINTENANCE AIDE 592 599 3,880 4,074 4,278 4,493 4,718 4,954 5,201 SEIU 6 04310 BUILDING MAINTENANCE SUPERVISOR 684 691 6,080 6,384 6,702 7,039 7,391 7,761 8,149 SEIU 6 04140 BUILDING MAINTENANCE TECHNICIAN 632 639 4,718 4,954 5,201 5,461 5,734 6,021 6,322 MID M-NS 00940 BUILDING SAFETY MANAGER (MM)MM-26 MM-26 - - 10,889 - 13,265 - 16,160 SEIU 6 02230q BUILDING TECHNICIAN 627 634 4,601 4,834 5,076 5,330 5,596 5,876 6,170 SEIU 6 01240 BUSINESS TAX COLLECTOR/INSPECTOR 638 645 4,858 5,101 5,356 5,623 5,905 6,200 6,510 SEIU 6 01350k BUYER 678 685 5,905 6,200 6,510 6,835 7,176 7,535 7,913 SEIU 6 07030 CENTRAL SERVICES SUPERVISOR 639 646 4,882 5,126 5,382 5,650 5,934 6,230 6,542 MID M-NS 01650 CHIEF ASSISTANT CITY ATTORNEY (MM)MM-30 MM-30 - - 12,018 - 14,642 - 17,840 MID CMM-NS 01651 CHIEF ASSISTANT CITY ATTORNEY-EMPLOYEE RELATIONS (EXEMPT) (CMM)CMM-30 CMM-30 - - 12,018 - 14,642 - 17,840 EXEC-NS 01701 CHIEF TECHNOLOGY INNOVATIONS OFFICER (EM)EM-20 EM-20 - - 14,075 - -- 18,315 APPOINT 01690 CITY ATTORNEY (EM)*N/A N/A - - - Per Contract - - APPOINT 01790 CITY MANAGER (EM)*N/A N/A By Resolution: $25,133 Monthly ($301,600 annually) MID M-NS 02150 CITY TRAFFIC ENGINEER (MM)MM-25 MM-25 - - 10,622 - 12,943 - 15,769 SEIU 6 02132m CIVIL ENGINEER 762 769 8,897 9,342 9,819 10,309 10,825 11,366 11,934 Page 1 of 30 City Council 25 –10 11/16/2021 CITY OF SANTA ANA Consolidated Alphabetical List of Regular Classes and Assignment of Classes to Salary Rate Ranges for Fiscal Year 2021-2022 Effective Effective MONTHLY SALARY RATE RANGES UNIT JOB 1/1/2021 7/1/2021 AAA AA A B C D E CODE CODE JOB TITLE RANGE NO.RANGE NO. APPOINT 01990 CLERK OF THE COUNCIL (EM)*EM-33 EM-33 Per Contract: (STEP 14) $14,075/MO SEIU 6 02780h CODE ENFORCEMENT ASSOCIATE 632 639 4,718 4,954 5,201 5,461 5,734 6,021 6,322 MID M-NS 02750 CODE ENFORCEMENT MANAGER (MM)MM-26 MM-26 - - 10,889 - 13,265 - 16,160 SEIU 6 02740h CODE ENFORCEMENT OFFICER 676 683 5,847 6,140 6,446 6,768 7,107 7,463 7,837 ADMIN MGMT-NS 02745 CODE ENFORCEMENT PRINCIPAL (AM)**AM725 AM725 - - 8,634 9,065 9,518 9,997 10,496 SEIU 6 00070h CODE ENFORCEMENT SUPERVISOR 700 707 6,574 6,903 7,247 7,609 7,989 8,389 8,809 SEIU 6 06430q COMBINATION BUILDING INSPECTOR 680 687 5,963 6,260 6,574 6,903 7,247 7,609 7,989 POA-NS 07660 COMMUNICATIONS SERVICES OFFICER 659 663 - - 5,304 5,569 5,847 6,140 6,446 SEIU 6 07585 COMMUNITY DEVELOPMENT ANALYST 689 696 6,230 6,542 6,869 7,211 7,571 7,951 8,349 SEIU 6 07321 COMMUNITY DEVELOPMENT COMMISSION SECRETARY 611 618 4,257 4,470 4,694 4,930 5,176 5,434 5,706 MID M-NS 07615 COMMUNITY DEVELOPMENT MANAGER (MM)MM-22 MM-22 - - 9,865 - 12,018 - 14,642 SEIU 6 05000 COMMUNITY LIAISON 695 702 6,415 6,735 7,073 7,427 7,799 8,189 8,599 SEIU 6 02240u CONSTRUCTION INSPECTOR 674 681 5,790 6,080 6,384 6,702 7,039 7,391 7,761 SEIU 6 01850w CONTRACTS ADMINISTRATOR 680 687 5,963 6,260 6,574 6,903 7,247 7,609 7,989 MID M-NS 04780 CORPORATE YARD FACILITIES/FLEET SVCS MGR (MM)MM-22 MM-22 - - 9,865 - 12,018 - 14,642 SEIU 6 04070 CORPORATE YARD MAINTENANCE ATTENDANT 568 575 3,449 3,622 3,803 3,994 4,194 4,404 4,624 PMA-NS 01971 CORRECTIONAL MANAGER (RM)M770 M770 - 8,941 9,388 9,857 10,350 10,868 - POA-NS 00310dd/oo/uu CORRECTIONAL OFFICER 679 683 - - 5,847 6,140 6,446 6,768 7,107 SEIU 6 07630 CORRECTIONAL RECORDS SPECIALIST 575 582 3,568 3,747 3,935 4,132 4,339 4,556 4,787 SEIU 6 07629 CORRECTIONAL RECORDS SUPERVISOR 652 659 5,201 5,461 5,734 6,021 6,322 6,638 6,971 POA-NS 00370uu/vv CORRECTIONAL SUPERVISOR 728 732 - - 7,427 7,799 8,189 8,599 9,029 MID M-NS 00400 COUNCIL SERVICES MANAGER (MM)MM-22 MM-22 - - 9,865 - 12,018 - 14,642 UC 00830 COUNCIL SERVICES SECRETARY (UC)**589 589 - 4,445 4,669 4,902 5,145 5,407 5,674 COUNCIL 08700 COUNCILMEMBER N/A N/A - - 1,000 - - - - POA-NS 03995 CRIME RESEARCH AIDE 690 694 - - 6,170 6,478 6,801 7,141 7,499 POA-NS 03990 CRIME RESEARCH ANALYST 716 720 - - 7,005 7,355 7,723 8,109 8,515 SEIU 6 04005 CUSTODIAL AIDE/PORTER 537 544 2,965 3,113 3,269 3,432 3,604 3,784 3,974 SEIU 6 04000k CUSTODIAN 567 574 3,432 3,604 3,784 3,974 4,173 4,382 4,601 SEIU 6 04090 CUSTODIAN SUPERVISOR 623 630 4,511 4,741 4,978 5,226 5,488 5,762 6,050 SEIU 6 01220k CUSTOMER SERVICE REPRESENTATIVE 622 629 4,493 4,718 4,954 5,201 5,461 5,734 6,021 SEIU 6 04200 DATA ENTRY OFFICE ASST 592 599 3,880 4,074 4,278 4,493 4,718 4,954 5,201 MID M-NS 01610 DEPUTY CITY ATTORNEY (MM)MM-12 MM-12 - - 7,704 - 9,386 - 11,439 MID M-NS 00315 DEPUTY CITY ENGINEER (MM)MM-25 MM-25 - - 10,622 - 12,943 - 15,769 SEIU 6 07050 DEPUTY CLERK OF THE COUNCIL 634 641 4,764 5,002 5,252 5,515 5,790 6,080 6,384 MID M-NS 02251 DEPUTY PUBLIC WORKS DIR/CONSTRUCTION SERVICES MGR (MM)MM-26 MM-26 - - 10,889 - 13,265 - 16,160 MID M-NS 04430 DEPUTY PUBLIC WORKS DIR/MAINTENANCE SERVICES MGR (MM)MM-24 MM-24 - - 10,359 - 12,627 - 15,384 MID M-NS 00320 DEPUTY PUBLIC WORKS DIRECTOR/CITY ENGINEER (MM)MM-28 MM-28 - - 11,439 - 13,936 - 16,980 MID M-NS 04410 DEPUTY PUBLIC WORKS DIRECTOR/WATER RSRCS MGR (MM)MM-26 MM-26 - - 10,889 - 13,265 - 16,160 SEIU 6 03100 DNA COORDINATOR 614 621 4,317 4,533 4,764 5,002 5,252 5,515 5,790 MID M-NS 02690 ECONOMIC DEVELOPMENT MANAGER (MM)MM-22 MM-22 - - 9,865 - 12,018 - 14,642 SEIU 6 00560 ECONOMIC DEVELOPMENT SPECIALIST I 695 702 6,415 6,735 7,073 7,427 7,799 8,189 8,599 SEIU 6 00550 ECONOMIC DEVELOPMENT SPECIALIST II 724 731 7,391 7,761 8,149 8,557 8,985 9,434 9,906 SEIU 6 00350 ECONOMIC DEVELOPMENT SPECIALIST III 754 761 8,557 8,985 9,434 9,906 10,401 10,922 11,468 POA-NS 02705 EMERGENCY OPERATIONS COORDINATOR 748 752 - - 8,189 8,599 9,029 9,482 9,955 UCE 01784 EMPLOYEE RELATIONS ANALYST (UCE)663 663 - 6,380 6,702 7,034 7,386 7,754 8,142 MID CMM-NS 01781 EMPLOYEE RELATIONS MANAGER (CMM)CMM-22 CMM-22 - - 9,865 - 12,018 - 14,642 SEIU 6 02030 ENGINEERING AIDE 628 635 4,624 4,858 5,101 5,356 5,623 5,905 6,200 SEIU 6 02035 ENGINEERING TECHNICIAN 638 645 4,858 5,101 5,356 5,623 5,905 6,200 6,510 SEIU 6 01771 ENTERPRISE PROGRAM MANAGER 727 734 7,499 7,875 8,269 8,683 9,117 9,577 10,055 SEIU 6 00440hh EQUIPMENT OPERATOR 634 641 4,764 5,002 5,252 5,515 5,790 6,080 6,384 SEIU 6 04215 EQUIPMENT OPERATOR - WATER SERVICES 638 645 4,858 5,101 5,356 5,623 5,905 6,200 6,510 UC 01515 EQUITY AND INCLUSION COORDINATOR (EXEMPT) (UC)**668 668 - 6,538 6,863 7,209 7,568 7,948 8,346 UC 00900 EXECUTIVE ASSISTANT (UC)**645 645 - 5,844 6,138 6,444 6,765 7,103 7,459 EXEC-NS 02870 EXECUTIVE DIR OF COMMUNITY DEVELOPMENT (EM)EM-20 EM-20 - - 14,075 - - - 18,315 EXEC-NS 01190 EXECUTIVE DIR OF FINANCE AND MGMT SVCS (EM)EM-20 EM-20 - - 14,075 - - - 18,315 EXEC-NS 01830 EXECUTIVE DIR OF HUMAN RESOURCES (EM)EM-20 EM-20 - - 14,075 - - - 18,315 EXEC-NS 05400 EXECUTIVE DIR OF PARKS, REC & COMMUNITY SVCS (EM)EM-20 EM-20 - - 14,075 - - - 18,315 EXEC-NS 02490 EXECUTIVE DIR OF PLANNING AND BLDG SAFETY (EM)EM-30 EM-30 - - 15,537 - - - 20,218 EXEC-NS 02170 EXECUTIVE DIR OF PUBLIC WORKS (EM)EM-30 EM-30 - - 15,537 - - - 20,218 Page 2 of 30 City Council 25 –11 11/16/2021 CITY OF SANTA ANA Consolidated Alphabetical List of Regular Classes and Assignment of Classes to Salary Rate Ranges for Fiscal Year 2021-2022 Effective Effective MONTHLY SALARY RATE RANGES UNIT JOB 1/1/2021 7/1/2021 AAA AA A B C D E CODE CODE JOB TITLE RANGE NO.RANGE NO. UCE 07393 EXECUTIVE SECRETARY - HUMAN RESOURCES (UCE)615 615 - 5,045 5,297 5,563 5,844 6,138 6,444 UC 07392 EXECUTIVE SECRETARY (UC)**615 615 - 5,045 5,297 5,563 5,844 6,138 6,444 UC 00140 EXECUTIVE SECRETARY TO THE POLICE CHIEF (UC)**620 620 - 5,168 5,425 5,703 5,989 6,286 6,602 MID M-NS 04376 FACILITIES AND FLEET MAINTENANCE MANAGER (MM)MM-22 MM-22 - - 9,865 - 12,018 - 14,642 ADMIN MGMT-NS 04377 FACILITIES MAINTENANCE MANAGER (AM)AM723 AM723 - - 8,549 8,978 9,428 9,900 10,396 MID M-NS 04375 FACILITIES MAINTENANCE SUPERINTENDENT (MM)MM-18 MM-18 - - 8,937 - 10,889 - 13,265 SEIU 6 04370 FACILITIES SUPERVISOR 684 691 6,080 6,384 6,702 7,039 7,391 7,761 8,149 UC 00481 FINANCIAL ANALYST (UC)**663 663 - 6,380 6,702 7,034 7,386 7,754 8,142 POA-NS 07600ww FIREARMS EXAMINER 735 739 - - 7,685 8,069 8,473 8,897 9,342 SEIU 6 00500 FLEET PARTS SPECIALIST 649 656 5,126 5,382 5,650 5,934 6,230 6,542 6,869 ADMIN MGMT-NS 04785 FLEET SERVICES MANAGER (AM)AM723 AM723 - - 8,549 8,978 9,428 9,900 10,396 SEIU 6 04770e FLEET SERVICES SUPERVISOR 698 705 6,510 6,835 7,176 7,535 7,913 8,309 8,725 SEIU 6 04720b/e FLEET SERVICES TECHNICIAN I 639 646 4,882 5,126 5,382 5,650 5,934 6,230 6,542 SEIU 6 04730b/e FLEET SERVICES TECHNICIAN II 659 666 5,382 5,650 5,934 6,230 6,542 6,869 7,211 SEIU 6 00450b/e FLEET SERVICES TECHNICIAN III 674 681 5,790 6,080 6,384 6,702 7,039 7,391 7,761 POA-NS 01360 FORENSIC SERVICES SUPERVISOR 766 770 - - 8,941 9,388 9,857 10,350 10,868 POA-NS 03970y/yy/zz FORENSIC SPECIALIST I 690 694 - - 6,170 6,478 6,801 7,141 7,499 POA-NS 03980dd/yy/zz/aaa FORENSIC SPECIALIST II 709 713 - - 6,768 7,107 7,463 7,837 8,229 SEIU 6 04190 GENERAL MAINTENANCE LEADER 653 660 5,226 5,488 5,762 6,050 6,353 6,670 7,005 SEIU 6 01010 GENERAL MAINTENANCE SUPERVISOR 684 691 6,080 6,384 6,702 7,039 7,391 7,761 8,149 SEIU 6 04180 GENERAL MAINTENANCE WORKER 632 639 4,718 4,954 5,201 5,461 5,734 6,021 6,322 SEIU 6 02190 GIS ADMINISTRATOR 719 726 7,211 7,571 7,951 8,349 8,767 9,205 9,673 SEIU 6 02192 GIS SYSTEMS ANALYST/PROGRAMMER 701 708 6,606 6,937 7,283 7,647 8,029 8,431 8,853 SEIU 6 01500 GRAPHICS DESIGNER I 635 642 4,787 5,026 5,278 5,542 5,818 6,110 6,415 SEIU 6 02400k GRAPHICS DESIGNER II 655 662 5,278 5,542 5,818 6,110 6,415 6,735 7,073 MID M-NS 03751 HOMELESS SERVICES DIVISION MANAGER (MM)MM-22 MM-22 - - 9,865 - 12,018 - 14,642 ADMIN MGMT-NS 03750 HOMELESS SERVICES MANAGER (AM)**AM764 AM764 - - 10,446 10,968 11,521 12,097 12,702 SEIU 6 01885 HOUSING AUTHORITY ANALYST 692 699 6,322 6,638 6,971 7,319 7,685 8,069 8,473 SEIU 6 07640 HOUSING AUTHORITY COORDINATOR 755 762 8,599 9,029 9,482 9,955 10,453 10,976 11,525 SEIU 6 02720 HOUSING AUTHORITY OPERATIONS SUPERVISOR 713 720 7,005 7,355 7,723 8,109 8,515 8,941 9,388 MID M-NS 02460 HOUSING DIVISION MANAGER (MM)MM-22 MM-22 - - 9,865 - 12,018 - 14,642 SEIU 6 07580 HOUSING PROGRAMS AIDE 604 611 4,111 4,317 4,533 4,764 5,002 5,252 5,515 SEIU 6 01840 HOUSING PROGRAMS ANALYST 713 720 7,005 7,355 7,723 8,109 8,515 8,941 9,388 SEIU 6 00520 HOUSING PROGRAMS COORDINATOR 755 762 8,599 9,029 9,482 9,955 10,453 10,976 11,525 SEIU 6 01890 HOUSING SPECIALIST I 617 624 4,382 4,601 4,834 5,076 5,330 5,596 5,876 SEIU 6 01900k HOUSING SPECIALIST II 638 645 4,858 5,101 5,356 5,623 5,905 6,200 6,510 UC 07069 HUMAN RESOURCES ADMINISTRATIVE ASSISTANT (UC)**581 581 - 4,271 4,486 4,710 4,945 5,194 5,453 UC 01520 HUMAN RESOURCES ANALYST (UC)**663 663 - 6,380 6,702 7,034 7,386 7,754 8,142 MID CMM-NS 01837 HUMAN RESOURCES BUSINESS SYSTEMS ADMINISTRATOR (CMM)CMM-18 CMM-18 - - 8,937 - 10,889 - 13,265 MID CMM-NS 01551 HUMAN RESOURCES OPERATIONS MANAGER (CMM)CMM-22 CMM-22 - - 9,865 - 12,018 - 14,642 UC 07070 HUMAN RESOURCES SPECIALIST (UC)**581 581 - 4,271 4,486 4,710 4,945 5,194 5,453 UC 01250 HUMAN RESOURCES TECHNICIAN (UC)**622 622 - 5,221 5,480 5,759 6,046 6,349 6,666 MID M-NS 00960 INFORMATION SERVICES AND NETWORK MANAGER (MM)MM-22 MM-22 - - 9,865 - 12,018 - 14,642 SEIU 6 02670k INFORMATION SERVICES REPRESENTATIVE 628 635 4,624 4,858 5,101 5,356 5,623 5,905 6,200 SEIU 6 04130 INSTRUMENT TECHNICIAN 660 667 5,408 5,678 5,963 6,260 6,574 6,903 7,247 PMA-NS 03231 JAIL ADMINISTRATOR (RM)M860 M860 - 13,871 14,565 15,293 16,058 16,861 - SEIU 6 07090 LEAD ACCOUNTING ASSISTANT 648 655 5,101 5,356 5,623 5,905 6,200 6,510 6,835 SEIU 6 07628 LEAD CORRECTIONAL RECORDS SPECIALIST 617 624 4,382 4,601 4,834 5,076 5,330 5,596 5,876 SEIU 6 07110 LEAD POLICE RECORDS SPECIALIST 627 634 4,601 4,834 5,076 5,330 5,596 5,876 6,170 UC 07080 LEGAL OFFICE ASSISTANT (UC)**544 544 - 3,568 3,745 3,934 4,129 4,337 4,553 UC 07120 LEGAL SECRETARY (UC)**588 588 - 4,422 4,645 4,877 5,121 5,378 5,648 SEIU 6 05110k LIBRARIAN 663 670 5,488 5,762 6,050 6,353 6,670 7,005 7,355 MID M-NS 05195 LIBRARY OPERATIONS MANAGER (MM)MM-17 MM-17 - - 8,718 - 10,622 - 12,943 SEIU 6 05050k LIBRARY SERVICES ASSISTANT 565 572 3,398 3,568 3,747 3,935 4,132 4,339 4,556 EXEC-NS 01561 LIBRARY SERVICES DIRECTOR (EM)EM-10 EM-10 - - 12,444 - - - 14,311 SEIU 6 05076 LIBRARY TECHNICIAN 596 603 3,954 4,152 4,360 4,579 4,810 5,051 5,304 SEIU 6 07000 LOAN SPECIALIST 665 672 5,542 5,818 6,110 6,415 6,735 7,073 7,427 SEIU 6 07170 MAIL CLERK/MESSENGER 546 553 3,098 3,253 3,415 3,586 3,765 3,954 4,152 SEIU 6 00740 MAINTENANCE ASSISTANT 568 575 3,449 3,622 3,803 3,994 4,194 4,404 4,624 Page 3 of 30 City Council 25 –12 11/16/2021 CITY OF SANTA ANA Consolidated Alphabetical List of Regular Classes and Assignment of Classes to Salary Rate Ranges for Fiscal Year 2021-2022 Effective Effective MONTHLY SALARY RATE RANGES UNIT JOB 1/1/2021 7/1/2021 AAA AA A B C D E CODE CODE JOB TITLE RANGE NO.RANGE NO. SEIU 6 04050 MAINTENANCE WORKER I 588 595 3,803 3,994 4,194 4,404 4,624 4,858 5,101 SEIU 6 04060bb/s MAINTENANCE WORKER II 613 620 4,296 4,511 4,741 4,978 5,226 5,488 5,762 UC 01200 MANAGEMENT AIDE (UC)**642 642 - 5,759 6,046 6,349 6,666 7,000 7,351 UC 01720 MANAGEMENT ANALYST (UC)**668 668 - 6,538 6,863 7,209 7,568 7,948 8,346 UC 00750 MANAGEMENT ASSISTANT (EXEMPT) (UC)**668 668 - 6,538 6,863 7,209 7,568 7,948 8,346 COUNCIL 08710 MAYOR N/A N/A - - 1,000 - - - - SEIU 6 01210 METER READER COLLECTOR 613 620 4,296 4,511 4,741 4,978 5,226 5,488 5,762 SEIU 6 00020 MICRO SYSTEMS TECHNICIAN 649 656 5,126 5,382 5,650 5,934 6,230 6,542 6,869 SEIU 6 06450 NETWORK ENGINEER 749 756 8,349 8,767 9,205 9,673 10,156 10,664 11,198 SEIU 6 06460 NETWORK SPECIALIST/WAN SYSTEMS ADMINISTRATOR 709 716 6,869 7,211 7,571 7,951 8,349 8,767 9,205 SEIU 6 06440 NPDES MANAGER 735 742 7,799 8,189 8,599 9,029 9,482 9,955 10,453 SEIU 6 07180 OFFICE ASSISTANT 567 574 3,432 3,604 3,784 3,974 4,173 4,382 4,601 SEIU 6 07190 OFFICE SPECIALIST 542 549 3,040 3,192 3,352 3,519 3,695 3,880 4,074 MID M-NS 00475 ORGANIZATIONAL DEVELOPMENT AND TRAINING MANAGER (MM)MM-18 MM-18 - - 8,937 - 10,889 - 13,265 UC 01670 PARALEGAL (EXEMPT) (UC)**623 623 - 5,245 5,508 5,787 6,076 6,380 6,702 SEIU 6 04860 PARK MAINTENANCE AIDE 466 473 2,097 2,201 2,311 2,427 2,548 2,676 2,810 SEIU 6 03610 PARK RANGER 653 660 5,226 5,488 5,762 6,050 6,353 6,670 7,005 SEIU 6 04320 PARK SERVICES INSPECTION SUPERVISOR 685 692 6,110 6,415 6,735 7,073 7,427 7,799 8,189 SEIU 6 04105 PARK SERVICES INSPECTOR I 593 600 3,896 4,091 4,296 4,511 4,741 4,978 5,226 SEIU 6 04106 PARK SERVICES INSPECTOR II 637 644 4,834 5,076 5,330 5,596 5,876 6,170 6,478 MID M-NS 04104 PARK SERVICES SUPERINTENDENT (MM)MM-18 MM-18 - - 8,937 - 10,889 - 13,265 POA-NS 03900pp PARKING CONTROL OFFICER 629 633 - - 4,579 4,810 5,051 5,304 5,569 SEIU 6 02890 PARKING METER OPERATIONS SUPERVISOR 651 658 5,176 5,434 5,706 5,992 6,291 6,606 6,937 SEIU 6 07160 PARKING METER TECHNICIAN I 596 603 3,954 4,152 4,360 4,579 4,810 5,051 5,304 SEIU 6 00080k PARKING METER TECHNICIAN II 626 633 4,579 4,810 5,051 5,304 5,569 5,847 6,140 ADMIN MGMT-NS 07405 PAYROLL MANAGER (AM)**AM750 AM750 - - 9,755 10,243 10,756 11,295 11,858 UC 07400 PAYROLL SYSTEMS ANALYST (UC)**708 708 - 7,948 8,346 8,761 9,200 9,659 10,141 UC 07410k PAYROLL TECHNICIAN (UC)**622 622 - 5,221 5,480 5,759 6,046 6,349 6,666 SEIU 6 07200 PERMIT SERVICES PROCESSOR 612 619 4,278 4,493 4,718 4,954 5,201 5,461 5,734 SEIU 6 02590 PERMIT SERVICES SUPERVISOR 700 707 6,574 6,903 7,247 7,609 7,989 8,389 8,809 SEIU 6 02580 PERMIT SERVICES TECHNICIAN 664 671 5,515 5,790 6,080 6,384 6,702 7,039 7,391 SEIU 6 00050 PLANNING ASSISTANT 654 661 5,252 5,515 5,790 6,080 6,384 6,702 7,039 SEIU 6 07320 PLANNING COMMISSION SECRETARY 635 642 4,787 5,026 5,278 5,542 5,818 6,110 6,415 MID M-NS 02500 PLANNING MANAGER (MM)MM-26 MM-26 - - 10,889 - 13,265 - 16,160 SEIU 6 02271 PLANS EXAMINER 726 733 7,463 7,837 8,229 8,641 9,073 9,529 10,005 PMA-NS 00181 POLICE ADMINISTRATIVE BUDGET MANAGER (RM)M824 M824 - 11,640 12,223 12,834 13,476 14,150 - PMA-NS 00180 POLICE ADMINISTRATIVE MANAGER (RM)M801 M801 - 10,401 10,922 11,468 12,041 12,643 - POA-NS 03600 POLICE ATHLETIC/ACTIVITIES LEAGUE ASSISTANT DIRECTOR 658 662 - - 5,278 5,542 5,818 6,110 6,415 PMA-SWORN 03360 POLICE CAPTAIN (RM)***M881 M881 - - 15,368 16,136 16,943 17,790 18,680 EXEC-SWORN 03390 POLICE CHIEF (EM)EM-40 EM-40 - - 17,581 - - - 23,245 PMA-NS 03370 POLICE COMMUNICATIONS MANAGER (RM)M786 M786 - 9,673 10,156 10,664 11,198 11,757 - POA-NS 06180 POLICE COMMUNICATIONS SUPERVISOR 724 728 - - 7,283 7,647 8,029 8,431 8,853 POA-NS 00780 POLICE COMMUNITY SERVICES SPECIALIST 679 683 - - 5,847 6,140 6,446 6,768 7,107 POA-NS 00799 POLICE EVIDENCE AND SUPPLY SPECIALIST 662 666 - - 5,382 5,650 5,934 6,230 6,542 POA-NS 00801 POLICE EVIDENCE AND SUPPLY SUPERVISOR 682 686 - - 5,934 6,230 6,542 6,869 7,211 SEIU 6 06290 POLICE FISCAL OFFICER 712 719 6,971 7,319 7,685 8,069 8,473 8,897 9,342 SEIU 6 06295 POLICE FISCAL SERVICES SUPERVISOR 681 688 5,992 6,291 6,606 6,937 7,283 7,647 8,029 POA-NS 00790tt POLICE INVESTIGATIVE SPECIALIST 679 683 - - 5,847 6,140 6,446 6,768 7,107 PMA-SWORN 03350 POLICE LIEUTENANT (RM)***M847 M847 - - 13,027 13,678 14,362 15,080 15,834 POA-SWORN 03200j/dd/ee/rr/ss/tt POLICE OFFICER 735 739 - - 7,685 8,069 8,473 8,897 9,342 POA-NS 01100 POLICE PHOTO/VIDEO SPECIALIST 674 678 - - 5,706 5,992 6,291 6,606 6,937 POA-NS 00800 POLICE PROPERTY AND EVIDENCE SUPERVISOR 682 686 - - 5,934 6,230 6,542 6,869 7,211 SEIU 6 07220 POLICE RECORDS SPECIALIST 585 592 3,747 3,935 4,132 4,339 4,556 4,787 5,026 SEIU 6 07230 POLICE RECORDS SUPERVISOR 652 659 5,201 5,461 5,734 6,021 6,322 6,638 6,971 POA-NS 03870 POLICE RECRUIT 688 692 - - 6,110 6,415 6,735 7,073 7,427 POA-SWORN 03300dd/ee/tt POLICE SERGEANT 778 782 - - 9,482 9,955 10,453 10,976 11,525 POA-NS 03800 POLICE SERVICE OFFICER 659 663 - - 5,304 5,569 5,847 6,140 6,446 POA-NS 03680d POLICE SERVICES DISPATCHER 684 688 - - 5,992 6,291 6,606 6,937 7,283 Page 4 of 30 City Council 25 –13 11/16/2021 CITY OF SANTA ANA Consolidated Alphabetical List of Regular Classes and Assignment of Classes to Salary Rate Ranges for Fiscal Year 2021-2022 Effective Effective MONTHLY SALARY RATE RANGES UNIT JOB 1/1/2021 7/1/2021 AAA AA A B C D E CODE CODE JOB TITLE RANGE NO.RANGE NO. PMA-NS 02931 POLICE SYSTEMS MANAGER (RM)M824 M824 - 11,640 12,223 12,834 13,476 14,150 - SEIU 6 06475 POLICE SYSTEMS SUPPORT ANALYST 735 742 7,799 8,189 8,599 9,029 9,482 9,955 10,453 MID M-NS 02129 PRINCIPAL CIVIL ENGINEER (MM)MM-25 MM-25 - - 10,622 - 12,943 - 15,769 ADMIN CAM-NS 01782 PRINCIPAL EMPLOYEE RELATIONS ANALYST (CAM)CAM-737 CAM-737 - - 9,154 9,610 10,092 10,597 11,128 ADMIN MGMT-NS 01519 PRINCIPAL HUMAN RESOURCES ANALYST (AM)**AM737 AM737 - - 9,154 9,610 10,092 10,597 11,128 SEIU 6 05115 PRINCIPAL LIBRARIAN 686 693 6,140 6,446 6,768 7,107 7,463 7,837 8,229 ADMIN MGMT-NS 00151 PRINCIPAL MANAGEMENT ANALYST (AM)**AM734 AM734 - - 9,023 9,473 9,947 10,446 10,968 ADMIN MGMT-NS 02471 PRINCIPAL PLANNER (AM)**AM760 AM760 - - 10,243 10,756 11,295 11,858 12,451 SEIU 6 02630 PRINCIPAL PROGRAMMER ANALYST 749 756 8,349 8,767 9,205 9,673 10,156 10,664 11,198 SEIU 6 01460 PROGRAMMER ANALYST 709 716 6,869 7,211 7,571 7,951 8,349 8,767 9,205 ADMIN MGMT-NS 06145 PROJECT MANAGEMENT OFFICER (AM)**AM784 AM784 - - 11,521 12,097 12,702 13,338 14,005 SEIU 6 06140bb PROJECTS MANAGER 734 741 7,761 8,149 8,557 8,985 9,434 9,906 10,401 SEIU 6 07250 PROPERTY CONTROL SPECIALIST 613 620 4,296 4,511 4,741 4,978 5,226 5,488 5,762 ADMIN MGMT-NS 01800 PUBLIC AFFAIRS INFORMATION OFFICER (AM)AM743 AM743 - - 9,428 9,900 10,396 10,915 11,464 SEIU 6 04040 PUBLIC WORKS CREW LEADER 653 660 5,226 5,488 5,762 6,050 6,353 6,670 7,005 SEIU 6 04519 PUBLIC WORKS DISPATCHER 599 606 4,014 4,215 4,426 4,648 4,882 5,126 5,382 SEIU 6 04344 PUBLIC WORKS PROJECT MANAGER 785 792 9,955 10,453 10,976 11,525 12,102 12,707 13,342 SEIU 6 04340bb PUBLIC WORKS PROJECTS SPECIALIST 696 703 6,446 6,768 7,107 7,463 7,837 8,229 8,641 SEIU 6 05030 PUBLIC WORKS SAFETY COORDINATOR 692 699 6,322 6,638 6,971 7,319 7,685 8,069 8,473 SEIU 6 01345 PURCHASING SPECIALIST 614 621 4,317 4,533 4,764 5,002 5,252 5,515 5,790 SEIU 6 01340 PURCHASING SUPERVISOR 723 730 7,355 7,723 8,109 8,515 8,941 9,388 9,857 POA-NS 03820 RANGEMASTER 659 663 - - 5,304 5,569 5,847 6,140 6,446 SEIU 6 00060 RECEPTIONIST 581 588 3,676 3,861 4,054 4,257 4,470 4,694 4,930 SEIU 6 07430 RECORDS SPECIALIST 608 615 4,194 4,404 4,624 4,858 5,101 5,356 5,623 SEIU 6 00460 RECREATION AND COMMUNITY EVENTS SUPERVISOR 699 706 6,542 6,869 7,211 7,571 7,951 8,349 8,767 MID M-NS 01945 RECREATION AND COMMUNITY SERVICES MANAGER (MM)MM-22 MM-22 - - 9,865 - 12,018 - 14,642 SEIU 6 01940 RECREATION AND COMMUNITY SERVICES SUPERVISOR 714 721 7,039 7,391 7,761 8,149 8,557 8,985 9,434 SEIU 6 05310 RECREATION LEADER 553 560 3,205 3,365 3,533 3,710 3,896 4,091 4,296 SEIU 6 05330 RECREATION PROGRAM COORDINATOR 633 640 4,741 4,978 5,226 5,488 5,762 6,050 6,353 SEIU 6 07260 REPROGRAPHIC EQUIPMENT OPERATOR 575 582 3,568 3,747 3,935 4,132 4,339 4,556 4,787 SEIU 6 02710 RESIDENTIAL CONSTRUCTION SPECIALIST 674 681 5,790 6,080 6,384 6,702 7,039 7,391 7,761 SEIU 6 01090 REVENUE SUPERVISOR 670 677 5,678 5,963 6,260 6,574 6,903 7,247 7,609 SEIU 6 00118 RIGHT OF WAY COORDINATOR 596 603 3,954 4,152 4,360 4,579 4,810 5,051 5,304 UC 01756 RISK MANAGEMENT ANALYST (UC)**652 652 - 6,046 6,349 6,666 7,000 7,351 7,716 UC 01753 RISK MANAGEMENT ASSISTANT (UC)**571 571 - 4,068 4,271 4,486 4,710 4,945 5,194 ADMIN MGMT-NS 01751 RISK MANAGEMENT SUPERVISOR (AM)**AM723 AM723 - - 8,549 8,978 9,428 9,900 10,396 UC 01755 RISK MANAGEMENT TECHNICIAN (UC)**622 622 - 5,221 5,480 5,759 6,046 6,349 6,666 MID M-NS 01750 RISK MANAGER (MM)MM-22 MM-22 - - 9,865 - 12,018 - 14,642 SEIU 6 02200 SANITATION INSPECTOR I 624 631 4,533 4,764 5,002 5,252 5,515 5,790 6,080 SEIU 6 02210 SANITATION INSPECTOR II 665 672 5,542 5,818 6,110 6,415 6,735 7,073 7,427 SEIU 6 07270 SECRETARY 612 619 4,278 4,493 4,718 4,954 5,201 5,461 5,734 ADMIN MGMT-NS 01071 SECRETARY TO THE CITY MANAGER (AM)**AM682 AM682 - - 7,000 7,351 7,716 8,102 8,509 SEIU 6 01055 SECURITY ELECTRONICS TECHNICIAN 688 695 6,200 6,510 6,835 7,176 7,535 7,913 8,309 SEIU 6 07490 SENIOR ACCOUNTANT 712 719 6,971 7,319 7,685 8,069 8,473 8,897 9,342 SEIU 6 07280k SENIOR ACCOUNTING ASSISTANT 629 636 4,648 4,882 5,126 5,382 5,650 5,934 6,230 SEIU 6 07016 SENIOR ACCOUNTING ASSISTANT/SYSTEMS TECHNICIAN 629 636 4,648 4,882 5,126 5,382 5,650 5,934 6,230 MID M-NS 01630 SENIOR ASSISTANT CITY ATTORNEY (MM)MM-28 MM-28 - - 11,439 - 13,936 - 16,980 MID CMM-NS 01631 SENIOR ASSISTANT CITY ATTORNEY-EMPLOYEE RELATIONS (EXEMPT) (CMM)CMM-28 CMM-28 - - 11,439 - 13,936 - 16,980 ADMIN MGMT-NS 00494 SENIOR BUDGET ANALYST (AM)**AM707 AM707 - - 7,908 8,304 8,718 9,154 9,610 SEIU 6 02131m SENIOR CIVIL ENGINEER 785 792 9,955 10,453 10,976 11,525 12,102 12,707 13,342 SEIU 6 06431q SENIOR COMBINATION BUILDING INSPECTOR 700 707 6,574 6,903 7,247 7,609 7,989 8,389 8,809 SEIU 6 07584 SENIOR COMMUNITY DEVELOPMENT ANALYST 718 725 7,176 7,535 7,913 8,309 8,725 9,161 9,625 SEIU 6 07610 SENIOR COMMUNITY PLANNER 744 751 8,149 8,557 8,985 9,434 9,906 10,401 10,922 SEIU 6 02239u SENIOR CONSTRUCTION INSPECTOR 700 707 6,574 6,903 7,247 7,609 7,989 8,389 8,809 SEIU 6 07650 SENIOR CORRECTIONAL RECORDS SPECIALIST 602 609 4,074 4,278 4,493 4,718 4,954 5,201 5,461 SEIU 6 07290ff SENIOR DEPUTY CLERK OF THE COUNCIL 667 674 5,596 5,876 6,170 6,478 6,801 7,141 7,499 SEIU 6 02180q SENIOR ELECTRICAL SYSTEMS SPECIALIST (T)694 701 6,384 6,702 7,039 7,391 7,761 8,149 8,557 ADMIN CAM-NS 01783 SENIOR EMPLOYEE RELATIONS ANALYST (CAM)CAM-722 CAM-722 - - 8,509 8,935 9,380 9,850 10,345 SEIU 6 02111m SENIOR ENGINEER 785 792 9,955 10,453 10,976 11,525 12,102 12,707 13,342 Page 5 of 30 City Council 25 –14 11/16/2021 CITY OF SANTA ANA Consolidated Alphabetical List of Regular Classes and Assignment of Classes to Salary Rate Ranges for Fiscal Year 2021-2022 Effective Effective MONTHLY SALARY RATE RANGES UNIT JOB 1/1/2021 7/1/2021 AAA AA A B C D E CODE CODE JOB TITLE RANGE NO.RANGE NO. ADMIN MGMT-NS 00482 SENIOR FINANCIAL ANALYST (AM)**AM717 AM717 - - 8,304 8,718 9,154 9,610 10,092 SEIU 6 00840 SENIOR FLEET SERVICES SUPERVISOR 718 725 7,176 7,535 7,913 8,309 8,725 9,161 9,625 SEIU 6 02260 SENIOR GRADING SPECIALIST 695 702 6,415 6,735 7,073 7,427 7,799 8,189 8,599 SEIU 6 01860 SENIOR HOUSING SPECIALIST 681 688 5,992 6,291 6,606 6,937 7,283 7,647 8,029 ADMIN MGMT-NS 01541 SENIOR HUMAN RESOURCES ANALYST (AM)**AM722 AM722 - - 8,509 8,935 9,380 9,850 10,345 UC 07300 SENIOR HUMAN RESOURCES SPECIALIST (UC)**602 602 - 4,734 4,971 5,221 5,480 5,759 6,046 UC 00770 SENIOR HUMAN RESOURCES TECHNICIAN (UC)**642 642 - 5,759 6,046 6,349 6,666 7,000 7,351 SEIU 6 02040 SENIOR LAND SURVEYOR 795 802 10,453 10,976 11,525 12,102 12,707 13,342 14,009 UC 02790 SENIOR LEGAL MANAGEMENT ASSISTANT (EXEMPT) (UC)**697 697 - 7,530 7,908 8,304 8,718 9,154 9,610 UC 07310 SENIOR LEGAL SECRETARY (UC)**610 610 - 4,921 5,168 5,425 5,703 5,989 6,286 SEIU 6 05109k SENIOR LIBRARIAN 669 676 5,650 5,934 6,230 6,542 6,869 7,211 7,571 SEIU 6 05075 SENIOR LIBRARY TECHNICIAN 616 623 4,360 4,579 4,810 5,051 5,304 5,569 5,847 ADMIN MGMT-NS 00152 SENIOR MANAGEMENT ANALYST (AM)**AM707 AM707 - - 7,908 8,304 8,718 9,154 9,610 UC 06360 SENIOR MANAGEMENT ASSISTANT (EXEMPT) (UC)**697 697 - 7,530 7,908 8,304 8,718 9,154 9,610 SEIU 6 07330 SENIOR OFFICE ASSISTANT 592 599 3,880 4,074 4,278 4,493 4,718 4,954 5,201 SEIU 6 07360 SENIOR OFFICE SPECIALIST 567 574 3,432 3,604 3,784 3,974 4,173 4,382 4,601 UC 01675 SENIOR PARALEGAL (EXEMPT) (UC)**663 663 - 6,380 6,702 7,034 7,386 7,754 8,142 SEIU 6 06330 SENIOR PARK SERVICES INSPECTION SUPERVISOR 718 725 7,176 7,535 7,913 8,309 8,725 9,161 9,625 POA-NS 01270 SENIOR PARKING CONTROL OFFICER 649 653 - - 5,051 5,304 5,569 5,847 6,140 UC 07415 SENIOR PAYROLL TECHNICIAN (UC)**642 642 - 5,759 6,046 6,349 6,666 7,000 7,351 SEIU 6 00330m/n SENIOR PLAN CHECK ENGINEER 785 792 9,955 10,453 10,976 11,525 12,102 12,707 13,342 SEIU 6 02470 SENIOR PLANNER 750 757 8,389 8,809 9,250 9,721 10,207 10,717 11,254 SEIU 6 02430q SENIOR PLUMBING/MECHANICAL SYSTEMS SPEC.694 701 6,384 6,702 7,039 7,391 7,761 8,149 8,557 SEIU 6 07370 SENIOR POLICE RECORDS SPECIALIST 612 619 4,278 4,493 4,718 4,954 5,201 5,461 5,734 SEIU 6 01470 SENIOR PROGRAMMER ANALYST 729 736 7,571 7,951 8,349 8,767 9,205 9,673 10,156 SEIU 6 02700 SENIOR RESIDENTIAL CONSTRUCTION SPECIALIST 694 701 6,384 6,702 7,039 7,391 7,761 8,149 8,557 SEIU 6 00990k SENIOR SYSTEMS ADMINISTRATOR 702 709 6,638 6,971 7,319 7,685 8,069 8,473 8,897 SEIU 6 02151m SENIOR TRAFFIC ENGINEER 785 792 9,955 10,453 10,976 11,525 12,102 12,707 13,342 SEIU 6 01290m SENIOR TRANSPORTATION ANALYST 785 792 9,955 10,453 10,976 11,525 12,102 12,707 13,342 SEIU 6 07776 SENIOR WATER SERVICES SUPERVISOR 719 726 7,211 7,571 7,951 8,349 8,767 9,205 9,673 SEIU 6 06240 SENIOR WATER SYSTEMS OPERATOR 680 687 5,963 6,260 6,574 6,903 7,247 7,609 7,989 SEIU 6 01310 STOCK CLERK 608 615 4,194 4,404 4,624 4,858 5,101 5,356 5,623 SEIU 6 01320 STOREKEEPER 643 650 4,978 5,226 5,488 5,762 6,050 6,353 6,670 SEIU 6 01315 STORES AND CITY YARD PROPERTY SPECIALIST 643 650 4,978 5,226 5,488 5,762 6,050 6,353 6,670 SEIU 6 00115 STORMWATER COORDINATOR 705 712 6,735 7,073 7,427 7,799 8,189 8,599 9,029 MID M-NS 02925 STRATEGIC COMMUNICATIONS MANAGER (MM)MM-19 MM-19 - - 9,159 - 11,160 - 13,595 SEIU 6 04280 STREET LIGHTING MAINTENANCE WORKER 649 656 5,126 5,382 5,650 5,934 6,230 6,542 6,869 SEIU 6 04360 STREET MAINTENANCE SUPERVISOR 685 692 6,110 6,415 6,735 7,073 7,427 7,799 8,189 SEIU 6 04160 STREET PAINTER 627 634 4,601 4,834 5,076 5,330 5,596 5,876 6,170 SEIU 6 07500 SUPERVISING ACCOUNTANT 734 741 7,761 8,149 8,557 8,985 9,434 9,906 10,401 SEIU 6 00269 SUPERVISING BUYER 708 715 6,835 7,176 7,535 7,913 8,309 8,725 9,161 SEIU 6 05055 SUPERVISING LIBRARY SERVICES ASSISTANT 597 604 3,974 4,173 4,382 4,601 4,834 5,076 5,330 SEIU 6 07470 SUPERVISING PARK RANGER 678 685 5,905 6,200 6,510 6,835 7,176 7,535 7,913 ADMIN MGMT-NS 02371 SUPERVISOR OF INSPECTIONS (AM)**AM745 AM745 - - 9,518 9,997 10,496 11,022 11,580 SEIU 6 02070 SURVEY PARTY CHIEF 707 714 6,801 7,141 7,499 7,875 8,269 8,683 9,117 SEIU 6 02050 SURVEY PARTY TECHNICIAN I 643 650 4,978 5,226 5,488 5,762 6,050 6,353 6,670 SEIU 6 02060 SURVEY PARTY TECHNICIAN II 674 681 5,790 6,080 6,384 6,702 7,039 7,391 7,761 SEIU 6 00120 SYSTEMS ADMINISTRATOR 670 677 5,678 5,963 6,260 6,574 6,903 7,247 7,609 SEIU 6 06470 SYSTEMS SUPPORT ANALYST 729 736 7,571 7,951 8,349 8,767 9,205 9,673 10,156 SEIU 6 01060 SYSTEMS TECHNICIAN 610 617 4,236 4,448 4,671 4,906 5,151 5,408 5,678 SEIU 6 00710 TELECOMMUNICATIONS COORDINATOR 711 718 6,937 7,283 7,647 8,029 8,431 8,853 9,296 SEIU 6 07140 TELECOMMUNICATIONS CUSTOMER SERVICE REP.623 630 4,511 4,741 4,978 5,226 5,488 5,762 6,050 POA-NS 00860 TRAFFIC SERVICES SPECIALIST 679 683 - - 5,847 6,140 6,446 6,768 7,107 UC 01280 TRAINING COORDINATOR (UC)**707 707 - 7,908 8,304 8,718 9,154 9,610 10,092 MID M-NS 00200 TRANSIT PROGRAM MANAGER (MM)MM-25 MM-25 - - 10,622 - 12,943 - 15,769 Page 6 of 30 City Council 25 –15 11/16/2021 CITY OF SANTA ANA Consolidated Alphabetical List of Regular Classes and Assignment of Classes to Salary Rate Ranges for Fiscal Year 2021-2022 Effective Effective MONTHLY SALARY RATE RANGES UNIT JOB 1/1/2021 7/1/2021 AAA AA A B C D E CODE CODE JOB TITLE RANGE NO.RANGE NO. MID M-NS 01080 TRANSPORTATION MANAGER (MM)MM-25 MM-25 - - 10,622 - 12,943 - 15,769 MID M-NS 01170 TREASURY AND CUSTOMER SERVICES MANAGER (MM)MM-22 MM-22 - - 9,865 - 12,018 - 14,642 SEIU 6 07020 TREASURY SERVICES SUPERVISOR 668 675 5,623 5,905 6,200 6,510 6,835 7,176 7,535 SEIU 6 04330bb TREE MAINTENANCE SUPERVISOR 684 691 6,080 6,384 6,702 7,039 7,391 7,761 8,149 SEIU 6 04170bb TREE TRIMMER 627 634 4,601 4,834 5,076 5,330 5,596 5,876 6,170 SEIU 6 01215 UTILITIES BILLING/SYSTEMS TECHNICIAN 622 629 4,493 4,718 4,954 5,201 5,461 5,734 6,021 SEIU 6 01219 UTILITIES CUSTOMER SERVICE SUPERVISOR 659 666 5,382 5,650 5,934 6,230 6,542 6,869 7,211 SEIU 6 06320 VIDEO TECHNICIAN 671 678 5,706 5,992 6,291 6,606 6,937 7,283 7,647 SEIU 6 07750 WATER SERVICES CREW LEADER 659 666 5,382 5,650 5,934 6,230 6,542 6,869 7,211 SEIU 6 07755 WATER SERVICES METER REPAIRER I 618 625 4,404 4,624 4,858 5,101 5,356 5,623 5,905 SEIU 6 07756 WATER SERVICES METER REPAIRER II 637 644 4,834 5,076 5,330 5,596 5,876 6,170 6,478 SEIU 6 07795 WATER SERVICES PRODUCTION SUPERVISOR 689 696 6,230 6,542 6,869 7,211 7,571 7,951 8,349 SEIU 6 07760 WATER SERVICES QUALITY COORDINATOR 710 717 6,903 7,247 7,609 7,989 8,389 8,809 9,250 SEIU 6 07765 WATER SERVICES QUALITY INSPECTOR 669 676 5,650 5,934 6,230 6,542 6,869 7,211 7,571 SEIU 6 07770 WATER SERVICES QUALITY SUPERVISOR 693 700 6,353 6,670 7,005 7,355 7,723 8,109 8,515 SEIU 6 07775 WATER SERVICES SUPERVISOR 693 700 6,353 6,670 7,005 7,355 7,723 8,109 8,515 SEIU 6 07780 WATER SERVICES UTILITY INSPECTOR 669 676 5,650 5,934 6,230 6,542 6,869 7,211 7,571 SEIU 6 07785 WATER SERVICES WORKER I 593 600 3,896 4,091 4,296 4,511 4,741 4,978 5,226 SEIU 6 07790 WATER SERVICES WORKER II 618 625 4,404 4,624 4,858 5,101 5,356 5,623 5,905 SEIU 6 04540 WATER SYSTEMS ELECTRICIAN 680 687 5,963 6,260 6,574 6,903 7,247 7,609 7,989 SEIU 6 00880 WATER SYSTEMS OPERATOR I 621 628 4,470 4,694 4,930 5,176 5,434 5,706 5,992 SEIU 6 00920 WATER SYSTEMS OPERATOR II 641 648 4,930 5,176 5,434 5,706 5,992 6,291 6,606 SEIU 6 04530 WATER SYSTEMS OPERATOR III 655 662 5,278 5,542 5,818 6,110 6,415 6,735 7,073 SEIU 6 01006 WEB SYSTEMS TECHNICIAN 610 617 4,236 4,448 4,671 4,906 5,151 5,408 5,678 SEIU 6 01005 WEBSITE ENTRY SPECIALIST 583 590 3,710 3,896 4,091 4,296 4,511 4,741 4,978 SEIU 6 02390 WORK CENTER COORDINATOR 754 761 8,557 8,985 9,434 9,906 10,401 10,922 11,468 SEIU 6 08371 WORKFORCE SPECIALIST I 610 617 4,236 4,448 4,671 4,906 5,151 5,408 5,678 SEIU 6 08372k WORKFORCE SPECIALIST II 634 641 4,764 5,002 5,252 5,515 5,790 6,080 6,384 SEIU 6 08373k WORKFORCE SPECIALIST III 654 661 5,252 5,515 5,790 6,080 6,384 6,702 7,039 SEIU 6 08374 WORKFORCE SPECIALIST IV 709 716 6,869 7,211 7,571 7,951 8,349 8,767 9,205 SEIU 6 05313 YOUTH SERVICES TECHNICIAN 603 610 4,091 4,296 4,511 4,741 4,978 5,226 5,488 SEIU 6 05430 ZOO CURATOR 665 672 5,542 5,818 6,110 6,415 6,735 7,073 7,427 SEIU 6 05450 ZOO CURATOR OF EDUCATION 669 676 5,650 5,934 6,230 6,542 6,869 7,211 7,571 SEIU 6 05451 ZOO CURATOR OF HEALTH 662 669 5,461 5,734 6,021 6,322 6,638 6,971 7,319 SEIU 6 00930 ZOO EDUCATION SPECIALIST 620 627 4,448 4,671 4,906 5,151 5,408 5,678 5,963 SEIU 6 05420 ZOO KEEPER I 585 592 3,747 3,935 4,132 4,339 4,556 4,787 5,026 SEIU 6 05410 ZOO KEEPER II 615 622 4,339 4,556 4,787 5,026 5,278 5,542 5,818 MID M-NS 05480 ZOO MANAGER (MM)MM-22 MM-22 - - 9,865 - 12,018 - 14,642 SEIU 6 05485 ZOO OPERATIONS COORDINATOR 639 646 4,882 5,126 5,382 5,650 5,934 6,230 6,542 **AM and CASA Rate Ranges Frozen as of 10/1/2014 and No Longer Reflected on the Current Salary Schedule Matrix. *Per Contract. NOTES: Page 7 of 30 City Council 25 –16 11/16/2021 CITY OF SANTA ANA Consolidated Alphabetical List of Salaries and Wages for Various Part-time Categories for Fiscal Year 2021-2022 CLASS TITLES AND WAGE RATES FOR REPRESENTED CATEGORIES OF NON-CIVIL SERVICE PART-TIME EMPLOYMENT UNIT CODE JOB CODE JOB TITLE (REPRESENTED PART-TIME)POS. NO.STEP AA STEP A STEP B STEP C STEP D STEP E SEIU PT 09041 ACCOUNT CLERK I 2936 19.50 20.45 21.47 22.55 23.67 SEIU PT 09042 ACCOUNT CLERK II 2977 21.57 22.64 23.80 24.96 26.21 SEIU PT 09770 ADMINISTRATIVE AIDE 2917 24.72 25.96 27.25 28.62 30.05 SEIU PT 09000 ANIMAL KEEPER 2761 15.53 16.31 17.13 17.99 18.89 SEIU PT 09215 BUILDING MAINTENANCE ASSISTANT 21.25 22.30 23.42 24.62 25.81 SEIU PT 09040 CASHIER 2724 15.10 15.86 16.65 17.48 18.35 SEIU PT 09060 CLERICAL AIDE 2763 15.40 16.18 16.95 17.80 18.69 SEIU PT 09090 CLERK TYPIST 2765 20.20 21.21 22.27 23.38 24.55 SEIU PT 09800 COMBINATION INSPECTOR 3097 30.20 31.69 33.30 34.95 36.72 SEIU PT 09100 COMMUNITY CENTER AIDE 2766 20.19 21.20 22.26 23.37 24.54 SEIU PT 09690 COMPUTER TECHNICIAN 2859 19.65 20.63 21.67 22.76 23.91 SEIU PT 09780 CUSTOMER SERVICE CLERK 2913 20.25 21.25 22.31 23.43 24.62 SEIU PT 09120 DATA ENTRY CLERK 2768 16.79 17.64 18.55 19.46 20.44 SEIU PT 09471 ENGINEERING APPRENTICE 20.77 21.81 22.90 24.05 25.25 SEIU PT 09140 EQUIP. SVC. ATTENDANT 2769 18.90 19.82 20.85 21.85 22.97 SEIU PT 09755 INFORMATION DESK CLERK 3456 16.95 17.80 18.69 19.62 20.60 SEIU PT 09170 JANITOR 2771 15.49 16.26 17.07 17.92 18.84 SEIU PT 09190 LIBRARY ASSISTANT 2772 18.96 19.91 20.90 21.96 23.07 SEIU PT 09271 LIBRARY ASSOCIATE 18.96 19.91 20.90 21.96 23.07 SEIU PT 09200 LIBRARY CLERK I 2773 15.80 16.57 17.41 18.30 19.19 SEIU PT 09210 LIBRARY CLERK II 2732 17.50 18.37 19.27 20.25 21.25 SEIU PT 09230 MAINTENANCE ATTENDANT 2734 15.00 15.75 16.28 17.09 17.94 SEIU PT 09280 MOBILE LIBRARY CLERK 2774 19.25 20.25 21.23 22.30 23.42 SEIU PT 09775 MUNICIPAL UTILITY READER/COLL.3027 19.37 20.34 21.34 22.42 23.54 SEIU PT 09290 PAGE 2775 15.00 15.75 16.28 17.09 17.94 SEIU PT 09300 PARK MAINTENANCE ASST.2776 16.41 17.24 18.11 19.02 19.98 SEIU PT 03615 PARK RANGER (PART TIME)2806 27.24 28.61 30.03 31.55 33.14 SEIU PT 09505 PERMIT PARKING AIDE 2989 20.90 21.95 23.07 24.20 25.41 SEIU PT 09135 PLANNING TECHNICIAN 3059 24.84 26.07 27.38 28.75 30.20 SEIU PT 09330 POLICE RECORDS CLERK 2778 18.36 19.25 20.25 21.23 22.30 SEIU PT 09340 POLICE SUPPLY CLERK 2738 18.41 19.33 20.30 21.32 22.39 SEIU PT 08160 PROGRAM COORDINATOR 2739 18.31 19.23 20.19 21.20 22.26 SEIU PT 09360 PROGRAM LEADER 2780 15.07 15.82 16.61 17.44 18.31 SEIU PT 09720 PURCHASING CLERK 2760 19.42 20.39 21.43 22.49 23.60 SEIU PT 09395 RECREATION FACILITY ATTENDANT 3579 16.41 17.24 18.11 19.02 19.98 SEIU PT 09900 RIGHT OF WAY TECHNICIAN 3096 15.62 16.41 17.26 18.10 18.98 SEIU PT 09070 SENIOR CLERICAL AIDE 2782 16.95 17.80 18.69 19.62 20.60 SEIU PT 09270 SENIOR LIBRARY ASSOCIATE 20.13 21.13 22.17 23.30 24.46 SEIU PT 09400 SENIOR PROGRAM LEADER 2783 15.82 16.61 17.44 18.31 19.23 SEIU PT 09430 SPECIAL EVENTS LEADER I 2746 15.44 16.21 17.02 17.87 18.76 SEIU PT 09440 SPECIAL EVENTS LEADER II 2747 18.84 19.78 20.77 21.81 22.90 SEIU PT 08170 SR. LIBRARY ASSISTANT 2750 20.13 21.13 22.17 23.30 24.46 SEIU PT 09250 SR. MAINTENANCE AIDE 2752 15.12 15.87 16.66 17.50 18.38 SEIU PT 09260 SR. MAINTENANCE WORKER 2753 18.38 19.30 20.27 21.28 22.34 SEIU PT 08370 SR. SPECIAL EMP. COUNSELOR 2754 15.62 16.41 17.26 18.10 18.98 SEIU PT 08410 SR. TUTOR 2755 18.08 18.98 19.93 20.88 21.92 SEIU PT 09460 STORES AIDE 2784 18.03 18.94 19.86 20.87 21.89 Page 8 of 30 City Council 25 –17 11/16/2021 CITY OF SANTA ANA Consolidated Alphabetical List of Salaries and Wages for Various Part-time Categories for Fiscal Year 2021-2022 SEIU PT 08420 TUTOR 2757 15.62 16.40 17.22 18.08 18.98 SEIU PT 09960 WATER CONSERVATION REPRESENTATIVE 15.95 16.74 17.57 18.45 19.41 CLASS TITLES AND WAGE RATES FOR SEASONAL AND OTHER UNAFFILIATED CATEGORIES OF NON-CIVIL SERVICE PART-TIME UNIT CODE JOB CODE JOB TITLE (UNAFFILIATED PART-TIME)POS. NO.STEP AA STEP A STEP B STEP C STEP D STEP E SEASONAL PT 08000 ADMINISTRATIVE INTERN 2722 - 16.28 17.09 - - - SEASONAL PT 08995 ANIMAL CONTROL OFFICER 3148 - 23.96 25.16 26.42 27.75 29.13 SEASONAL PT 09315 BACKGROUND INVESTIGATOR 3071 - 28.45 29.87 31.38 32.94 34.60 SEASONAL PT 09790 BUDGET INTERN 3241 - 17.94 18.84 - - - SEASONAL PT 09316 COLD CASE INVESTIGATOR 3108 - 28.45 29.87 31.38 32.94 34.60 SEASONAL PT 00360 CORRECTIONAL SERVICES OFFICER 3257 - 20.01 21.01 22.06 23.19 24.32 SEASONAL PT 09130 ENGINEERING INTERN - 17.94 18.84 - - - SEASONAL PT 07605 FINGERPRINT EXAMINER 3111 - 29.88 31.39 32.94 34.59 36.32 SEASONAL PT 08500 FORENSIC BALLISTICS TECHNICIAN 3085 - 24.56 25.80 27.09 28.45 29.87 SEASONAL PT 07071 HUMAN RESOURCES CLERICAL AIDE - 15.40 16.18 16.95 17.80 18.69 SEASONAL PT 09345 JAIL TRANSPORTATION OFFICER - 25.80 27.09 28.45 29.87 31.38 SEASONAL PT 08610 LAW CLERK 2729 - 15.10 15.84 16.63 17.49 18.35 SEASONAL PT 08080 MANAGEMENT INTERN 2759 - 20.77 21.81 - - - SEASONAL PT 08130 POLICE CADET 2736 - 15.10 15.86 16.65 17.48 18.35 SEASONAL PT 08135 POLICE RESERVE LEVEL 1 3187 - 29.16 - - - - SEASONAL PT 08136 POLICE RESERVE LEVEL 2 3186 - 20.83 - - - - SEASONAL PT 08137 POLICE RESERVE LEVEL 3 3188 - 16.66 - - - - SEASONAL PT 08100 SR. ADMINISTRATIVE INTERN 2749 - 17.94 18.84 - - - SEASONAL PT 08600 STUDENT INTERN 2756 - 15.00 15.75 - - - CLASS TITLES AND WAGE RATES FOR REPRESENTED CATEGORIES OF SANTA ANA MANAGEMENT ASSOCIATION (SAMA) CIVIL SERVICE PART-TIME EMPLOYMENT UNIT CODE JOB CODE JOB TITLE (SAMA PART-TIME CIVIL SERVICE)POS. NO.STEP AA STEP A STEP B STEP C STEP D STEP E SAMA-AM-PTCS 01541 SR HUMAN RESOURCES ANALYST 722 AM-NSWN 47.43 49.81 52.29 54.91 57.66 CLASS TITLES AND WAGE RATES FOR REPRESENTED CATEGORIES OF CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) CIVIL SERVICE PART-TIME EMPLOYMENT UNIT CODE JOB CODE JOB TITLE (CASA PART-TIME CIVIL SERVICE)POS. NO.STEP AA STEP A STEP B STEP C STEP D STEP E CASA-PTCS 01250 HUMAN RESOURCES TECHNICIAN (UC)622 UC 29.10 30.55 32.10 33.70 35.39 37.16 CLASS TITLES AND WAGE RATES FOR REPRESENTED CATEGORIES OF SEIU LOCAL 721 - CITY OF SANTA ANA PART-TIME CIVIL SERVICE UNIT EMPLOYMENT UNIT CODE JOB CODE JOB TITLE (SEIU PART-TIME CIVIL SERVICE)POS. NO.STEP AA STEP A STEP B STEP C STEP D STEP E SEIU PTCS 00270 ASSISTANT BUYER 621 28.03 29.43 30.90 32.44 34.07 35.77 SEIU PTCS 07180 OFFICE ASSISTANT 553 20.10 21.10 22.16 23.27 24.44 25.66 SEIU PTCS 04860 PARK MAINTENANCE AIDE 452 12.28 12.89 13.53 14.21 14.93 15.68 SEIU PTCS 00050 PLANNING ASSISTANT 640 30.75 32.29 33.90 35.60 37.37 39.24 SEIU PTCS 07270 SECRETARY 598 25.03 26.29 27.62 29.00 30.45 31.97 SEIU PTCS 07584 SENIOR COMMUNITY DEVELOPMENT ANALYST 704 42.02 44.12 46.32 48.64 51.08 53.63 Page 9 of 30 City Council 25 –18 11/16/2021 DEFINE SALARY RATE RANGES AND STEP ADVANCEMENT: The City's basic salary and wage schedule provides for a number of ranges of pay rates (salary rate ranges), each comprised of pay steps or rates. The steps are identified by the letters ‘AAA’ to ‘E’ inclusive. Not all salary rate ranges are comprised of seven steps or letters (e.g., SAMA has 17 steps, identified by numbers). For employees, the purpose of each step and the length of service required for advancement within the rate range are summarized as follows: For non-management employees, represented by SEIU (Primary Salary Matrix, Exhibit A): AAA Step Normal beginning pay rate. AA Step Automatic Increase - After 6 months' service in next lower step. Also optional hiring rate. A Step Automatic Increase - After 12 months' service in next lower step. Also optional hiring rate. B Step Automatic Increase - After 12 months' service in next lower step. Also optional hiring rate. C Step Automatic Increase - After 12 months' service in next lower step. Also optional hiring rate. D Step Automatic Increase - After 12 months' service in next lower step. Also maximum hiring rate. E Step Merit Rate - After 12 months' service in next lower step. For part-time civil service employees, represented by SEIU (Primary Salary Matrix, Exhibit A): AA Step Normal beginning pay rate. A Step Automatic Increase – After 1,040 hours’ service in next lower step. Also optional hiring rate. B Step Automatic Increase – After 2,080 hours’ service in next lower step. Also optional hiring rate. C Step Automatic Increase – After 2,080 hours’ service in next lower step. Also optional hiring rate. D Step Automatic Increase – After 2,080 hours’ service in next lower step. Also optional hiring rate. E Step Automatic Increase – After 3,120 hours’ service in next lower step. Also maximum hiring rate. For non-management employees, represented by POA Sworn/non-Sworn (Primary Salary Matrix, Exhibit A): A Step Normal beginning pay rate. B Step Automatic Increase - After 6 months' service in next lower step. Also optional hiring rate. C Step Automatic Increase - After 12 months' service in next lower step. D Step Automatic Increase - After 12 months' service in next lower step. E Step Merit Rate - After 12 months' service in next lower step. For non-sworn management employees, represented by PMA (Primary Salary Matrix, Exhibit A): Advancement in the SAMA salary rate ranges is granted only for continued meritorious performance of service. AA Step Normal beginning pay rate. A Step Merit Rate - After 6 months' service in next lower step. Also optional hiring rate. B Step Merit Rate - After 12 months' service in next lower step. Also optional hiring rate. C Step Merit Rate - After 12 months' service in next lower step. Also maximum hiring rate. D Step Merit Rate - After 12 months' service in next lower step. For sworn management employees, represented by PMA (Primary Salary Matrix, Exhibit A): Advancement in the PMA salary rate ranges is granted only for continued meritorious performance of service. A Step Normal beginning pay rate. B Step Merit Rate - After 12 months' service in next lower step. Also optional hiring rate. C Step Merit Rate - After 12 months' service in next lower step. Also optional hiring rate. D Step Merit Rate - After 12 months' service in next lower step. Also maximum hiring rate. E Step Merit Rate - After 12 months' service in next lower step. For non-sworn and sworn management employees, represented by PMA Annual Performance Based Bonus Pay: Performance rated as Significantly Exceeds Expectations (‘5’), one-time bonus payment of five percent (5%). Performance rated as Exceeds Expectations (‘4’), one-time bonus payment of five percent (2.5%). Performance rated as Meets Expectations (‘3’), ineligible for a bonus payment. Performance rated as Meets Expectations (‘2’), ineligible for a bonus payment. Performance rated as Meets Expectations (‘1’), ineligible for a bonus payment. Page 10 of 30 City Council 25 –19 11162021 For unrepresented confidential employees, represented by CASA (Off the Matrix): AA Step Normal beginning pay rate. A Step Automatic Increase - After 6 months' service in next lower step. Also optional hiring rate. B Step Automatic Increase - After 12 months' service in next lower step. Also optional hiring rate. C Step Automatic Increase - After 12 months' service in next lower step. Also optional hiring rate. D Step Automatic Increase - After 12 months' service in next lower step. Also optional hiring rate. E Step Merit Rate - After 12 months' service in next lower step. Also optional hiring rate. For unrepresented confidential employees, non-represented (Off the Matrix): AA Step Normal beginning pay rate. A Step Automatic Increase - After 6 months' service in next lower step. Also optional hiring rate. B Step Automatic Increase - After 12 months' service in next lower step. Also optional hiring rate. C Step Automatic Increase - After 12 months' service in next lower step. Also optional hiring rate. D Step Automatic Increase - After 12 months' service in next lower step. Also optional hiring rate. E Step Merit Rate - After 12 months' service in next lower step. Also optional hiring rate. For administrative-management employees (AM), represented by SAMA (Off the Matrix): Advancement in the SAMA salary rate ranges is granted only for continued meritorious performance of service. A Step Normal beginning pay rate. B Step Merit Rate - After 12 months' service in next lower step. Also optional hiring rate. C Step Merit Rate - After 12 months' service in next lower step. Also optional hiring rate. D Step Merit Rate - After 12 months' service in next lower step. Also maximum hiring rate. E Step Merit Rate - After 12 months' service in next lower step. For confidential administrative-management employees (CAM), non-represented (Off the Matrix): Advancement in the SAMA salary rate ranges is granted only for continued meritorious performance of service. A Step Normal beginning pay rate. B Step Merit Rate - After 12 months' service in next lower step. Also optional hiring rate. C Step Merit Rate - After 12 months' service in next lower step. Also optional hiring rate. D Step Merit Rate - After 12 months' service in next lower step. Also maximum hiring rate. E Step Merit Rate - After 12 months' service in next lower step. For middle-management employees (MM), represented by SAMA (MM Matrix, Exhibit B): Advancement in the SAMA salary rate ranges is granted only for continued meritorious performance of service. SAMA middle-management classifications merit rate ranges are from step “1” through “17” SAMA middle-management optimal hiring rate states are from step “1” through “6” SAMA middle-management maximum hiring range is step “9” SAMA step advancement from “1” through “15” are advanced in two-step increments in an annual basis. SAMA step advancement from “16” through “17” are advanced in one-step increments in an annual basis. For confidential middle-management employees (CMM), non-represented (MM Matrix, Exhibit C): Advancement in the SAMA salary rate ranges is granted only for continued meritorious performance of service. SAMA middle-management classifications merit rate ranges are from step “1” through “17” SAMA middle-management optimal hiring rate states are from step “1” through “6” SAMA middle-management maximum hiring range is step “9” SAMA step advancement from “1” through “15” are advanced in two-step increments in an annual basis. SAMA step advancement from “16” through “17” are advanced in one-step increments in an annual basis. For Executive Management employees (EM), represented by Executive Management (Off the Matrix): EM classifications compensation plan is performance salary-based ranges. EM-10 Monthly Salary Range $12,444 - $14,311 EM-20 Monthly Salary Range $14,075 - $18,315 EM-30 Monthly Salary Range $15,537 - $20,218 EM-40 Monthly Salary Range $17,581 - $23,245 EM Performance rated as Extremely Meritorious Performance, one-time bonus payment not to exceed seven and one-half percent (7.5%) in total and at the discretion of the City Manager. Page 11 of 30 City Council 25 –20 11162021 For part-time employees, represented by SEIU (Off the Matrix): A Step Normal beginning pay rate. B Step Automatic Increase – After 1,040 hours’ service in next lower step. Also optional hiring rate. C Step Automatic Increase – After 1,040 hours’ service in next lower step. Also optional hiring rate. D Step Automatic Increase – After 1,040 hours’ service in next lower step. Also optional hiring rate. E Step Automatic Increase – After 1,040 hours’ service in next lower step. Also optional hiring rate. For part-time employees, non-represented (Off the Matrix): A Step Normal beginning pay rate. B Step Automatic Increase – After 1,040 hours’ service in next lower step. Also optional hiring rate. C Step Automatic Increase – After 1,040 hours’ service in next lower step. Also optional hiring rate. D Step Automatic Increase – After 1,040 hours’ service in next lower step. Also optional hiring rate. E Step Automatic Increase – After 1,040 hours’ service in next lower step. Also optional hiring rate. In the primary salary schedule matrix (Exhibit A), each salary range is identified by a three-digit number. The first two digits are listed in the first vertical column on the left and the third digit is listed horizontally across the top and identifies the appropriate column. This three-digit range number locates the starting step ("AAA, AA" or "A") of the range depending on whether the class has been assigned 5, 6 or 7 steps and the subsequent steps ("AA, A," "B," "C," "D" and "E") are found in the column directly below the starting step. For example, "AAA" step of Range No. 501 is found to be $2402 by moving down the left column (Range No.) to the number 50 (the first two digits of the Range No.), then horizontally to column 1 (the third digit of the Range No.). The "AAA" step of $2402 has the remaining steps shown directly below; thus the full, seven-step range is 2402-2523-2650- 2782-2921-3067-3221. In the same manner, Range No. 555 is found to be 3129-3285-3449-3622-3803-3994-4194. Page 12 of 30 City Council 25 –21 11162021 SPECIAL COMPENSATION PROVISIONS: Lower case letters appearing next to certain occupational code numbers in the above listing refer to special compensation provisions, shown below, that may be applicable to certain incumbents of the classes of employment so identified. Note: SEIU MOU Article V Section 1B Limitation on Assignment Pay Differentials Employees hired after August 31, 2010 or hired before August 31, 2010, who did not receive assignment pay under section 5.1 of this article prior to June 30, 2013, shall not be eligible to receive it. SEIU MOU Article V section 10 Limitation on Career Development Incentive Pay With the exception of employee classifications listed below*, employees covered by this MOU and already receiving career development incentive pay under section 5.10 prior to June 30, 2012 and who continue to meet the qualifications described in the applicable career development incentive pay provisions of section 5.8 shall continue to receive said pay under the current career development incentive pay formulas. Employees who have not received career development pay prior to June 30, 2012 shall not be eligible to receive it. The employee classifications listed below* covered by this MOU and already receiving career development incentive pay under section 5.9 prior to June 30, 2013 and who continue to meet the qualifications described in the applicable career development incentive pay provisions of section 5.9 shall continue to receive said pay under the current career development incentive pay formulas. Employees in the classifications listed below who have not received career development pay prior to June 30, 2013 will not thereafter be eligible to receive it. *Associate Engineer, Senior Civil Engineer, Senior Engineer, Senior Traffic Engineer. (a) (Reserved) (b) Incumbents in the classifications of Fleet Services Technician I, II and III who possess nationally recognized certifications for Automotive Service Excellence Master Certification (ASE) and ASE Alternative Fuel, will be paid an assignment pay differential at a rate set five (5) salary rate ranges (approximately 2.5%) for said certification above their then current base monthly salary step. The restrictions set forth in Section 5.1.B do not apply to this provision. (SEIU MOU Article V Section 1C) (c) (Reserved) (d) An incumbent in the class of Police Services Dispatcher who is continuously and regularly assigned to and actually performing in a lead supervisory and trainer capacity over an assigned shift of Police Services Dispatchers will be paid at a rate set ten (10) salary rate ranges (approximately 5.0%) above his or her then current base monthly salary step. (POA MOU Article V Section 1A) (e) Incumbents in the classifications of Fleet Services Technician I, II, III, and Fleet Services Supervisor, who maintain a valid State of California Commercial Driver’s License and are assigned to an area that requires the possession of either a Class “A” or Class “B” license in the course and scope of their work shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above their then current base monthly salary step. (SEIU MOU Article V Section 1.C.3) (f) (Reserved) (g) (Reserved) (h) Incumbents in the classifications of: Code Enforcement Associate, Code Enforcement Officer, Code Enforcement Supervisor who obtain or possess a valid certificate in any of four Career Development Incentive areas shall receive incentive pay worth five salary rate ranges (approximately 2.5%) for each certificates not to exceed five (5) certificates or a total of twenty-five salary rate ranges (approximately 12.5%). If an incumbent has obtained four (4) certificates from list, he or she than shall be eligible to earn an additional five (5) salary rate ranges (approximately 2.5%) pay additive upon completion of both the SCACEO/CACEO Intermediate and SCACEO/CACEO Advanced Certifications. (SEIU MOU Article V Section 9D) (i) (Reserved) Page 13 of 30 City Council 25 –22 11162021 (j) Incumbents in the class of Police Officer who are continuously and regularly assigned to and actually performing duties of a Corporal will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. If a Corporal is assigned to lead a work unit without a Sergeant, he or she will be paid an additional five (5) salary rate ranges (approximately 2.5%) above his or her base monthly salary step for such assignment. At the present time, Directed Patrols and Civic Center Patrol units are examples of such assignments. (POA MOU Article V Section 1C) (k) Incumbents regularly and continuously assigned to lead a functional unit which includes two (2) or more positions in the same or lower classifications as the incumbent may be compensated at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step. (SEIU MOU Article V Section 2), and/or (Council Resolution No. 82-110 Section 3.1, as amended by Resolution No. 91-103), and/or (Resolution No. 99-023) and (POA MOU Article V Section 1N) (l) (Reserved) (m) Incumbents in the classifications of Assistant Engineer, Associate Engineer, Civil Engineer, Senior Civil Engineer, Senior Engineer, Senior Traffic Engineer, Assistant Plan Check Engineer, Associate Plan Check Engineer, Senior Plan Check Engineer, or Senior Transportation Analyst will be eligible for career incentive pay for any certificates approved for their classification at a rate set of ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step for valid registration(s) as a Registered Engineer by the State of California or as a Structural Engineer by the State of California (a total of twenty (20) salary rate ranges (approximately 10% for both). Additionally, said incumbents who possess a valid certificate issued by the ICBO (or similar nationally recognized certificating organization) in the areas of accessibility/usability (one specialty area), residential energy plan check, or non-residential energy plan check, shall be paid an incentive pay differential at a rate set above his or her then current base monthly salary step in accordance with the following schedule: One certificate from one specialty area: five (5) salary rate ranges (approximately 2.5%); an additional certificate from a second specialty area (total of two): ten (10) salary rate ranges (approximately 5%); an additional certificate from a third specialty area (total of three): fifteen (15) salary rate ranges (approximately 7.5%). (SEIU MOU Article V Section 9.A) and/or (as amended by Resolution No. 97- 028) In no event shall the application of this Career Development Incentive Program result in an individual being eligible to earn more than twenty (25) salary rate ranges (approximately 12.5%) above his or her current monthly base salary step. (SEIU MOU Article V Section 9) (n) An incumbent who was employed as of August 16, 1991 in the classification of Assistant Plan Check Engineer, Associate Plan Check Engineer, Senior Plan Check Engineer and who as of December 31, 1987 had possessed a valid Plan Examiner Certificate issued by the ICBO shall continue to be paid at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base salary step. However effective January 1, 1988 said ten (10) range differential shall be reduced to five (5 ) salary rate ranges (approximately 2.5%) for any incumbent of said classifications who is issued his or her initial certificate on or after January 1, 1988. (SEIU MOU Article V Section 9B) (o) (Reserved) (p) (Reserved) (q) An incumbent in one of the classifications of: Combination Building Inspector, Senior Combination Building Inspector, Building Technician, or Senior Plumbing/Mechanical Systems Specialist who possess a valid certificate issued by the ICBO (or similar nationally recognized certificating organization) in relevant areas (see MOU for full details) shall be paid an incentive pay differential at a rate set above his or her then current base monthly salary step as follows: One certificate from one specialty area: five (5) salary rate ranges (approximately 2.5%); an additional certificate from a second specialty area (total of two): ten (10) salary rate ranges (approximately 5%); an additional certificate from a third specialty area (total of three): fifteen (15) salary rate ranges (approximately 7.5%); an additional certificate from a fourth specialty area (total of four): twenty (20) salary rate ranges (approximately 10%); an additional certificate from the fifth specialty area (total of five): twenty-five (25) salary rate ranges (approximately 12.5%). (SEIU MOU Article V Section 9C) (r) (Reserved) Page 14 of 30 City Council 25 –23 11/16/2021 (s) An incumbent in the classification of Maintenance Worker II (assigned to the tree crew) who possesses a valid certificate issued by the International Society of Arboriculture (ISA) as a certified Tree Worker shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. (SEIU MOU Article V Section 9H) (t) (Reserved) (u) An incumbent in the classification of Construction Inspector or Senior Construction Inspector who possess a valid certificate issued by the ICBO (or similar nationally recognized certificating organization) in the areas of reinforced concrete, structural masonry, structural steel/welding, electrical inspection, plumbing inspection, plans examiner, or C27 landscape contractors license, shall be paid an incentive pay differential at a rate set above his or her then current base monthly salary step as follows: One certificate from one specialty area: five (5) salary rate ranges (approximately 2.5%); an additional certificate from a second specialty area (total of two): ten (10) salary rate ranges (approximately 5%);an additional certificate from a third specialty area (total of three): fifteen (15) salary rate ranges (approximately 7.5%); an additional certificate from a fourth specialty area (total of four): twenty (20) salary rate ranges (approximately 10%); and an additional certificate from the fifth specialty area (total of five) twenty-five (25) salary rate ranges (approximately12.5%). (SEIU MOU Article V Section 9E) (v) (Reserved) (w) An incumbent in the classification of Contracts Administrator who possess a valid certificate issued by the ICBO (or similar nationally recognized certificating organization) in the areas of plumbing inspection, electrical inspection, plans examiner, C27 landscape contractors license, turf grass management, or certified arborist (ISA), shall be paid an incentive pay differential at a rate set above his or her then current base monthly salary step as follows: One certificate from one specialty area: five (5) salary rate ranges (approximately 2.5%); an additional certificate from a second specialty area (total of two): ten (10) salary rate ranges (approximately 5%); an additional certificate from a third specialty area (total of three): fifteen (15) salary rate ranges (approximately 7.5%); an additional certificate from a fourth specialty area (total of four) twenty (20) salary rate ranges (approximately 10%); and an additional certificate from the fifth specialty area (total of five): twenty-five (25) salary rate ranges (approximately 12.5%). (SEIU MOU Article V Section 9F) (x) (Reserved) (y) Incumbents in the class of Forensic Specialist I, who are regularly and continuously assigned to and actually performing duties in a "lead” supervisory capacity over a primary functional unit of Forensic Specialist I employees, will be paid at a rate set ten (10) salary rate ranges (approximately 5.0%) above their then current base monthly salary step. (POA MOU Article V Section 1B) (z) (Reserved) (aa) (Reserved) (bb) Incumbents in one of the classifications of Projects Manager, Tree Maintenance Supervisor, Tree Trimmer, Maintenance Worker II (assigned to the tree crew), or Public Works Projects Specialist who possess a valid certificate issued by the International Society of Arboriculture (ISA) as a certified arborist shall be paid at a rate of set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. (SEIU MOU Article V Section 9G) (cc) (Reserved) (dd) An employee who is continuously and regularly assigned as a Training Officer working in either Field Operations, the Detention facility, or as a Forensic Specialist II will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. (POA MOU Article V Section 1F as amended by Ninth Side Letter Amendment to the Memorandum of Understanding Between the City of Santa Ana and the Santa Ana POA) (ee) An employee who is continuously and regularly assigned to and actually performing duties of an Internal Affairs Officer will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. (POA MOU Article V Section 1G) (ff) Page 15 of 30 City Council 25 –24 11162021 (ff) The incumbent of the classification Senior Deputy Clerk of the Council designated by Resolution 91- 073 as third in command in the Clerk of the Council’s office with full signature authority for the Clerk in the clerk and Assistant Clerk’s absence, will be paid an additional ten salary rate ranges (approximately 5%) above the current base monthly salary step to which he or she would otherwise be entitled. (Council Resolution No.82-110 Section 3.1[ff], as amended by Resolution No. 91-103) (gg) The incumbent in the class of Accountant II who, at the discretion of the appointing authority, is regularly and continuously assigned electronic data processing (EDP) systems coordination responsibilities, will be paid an additional ten salary rate ranges (approximately 5%) above the current base monthly salary step to which he or she would otherwise be entitled. (Council Resolution No.82- 110 Section 3.1[gg], as amended by Resolution No. 92-034) (hh) An incumbent in the class of Equipment Operator who, at the discretion of the appointing authority, is regularly and continuously assigned, on a full-time basis, to operate a Motor Grader, will be paid an additional ten salary rate ranges (five percent) above the current base monthly salary step to which he or she would otherwise be entitled. (Council Resolution No. 82-110 Section 3.1[hh], as amended by Resolution No. 92-034 (ii) (Reserved) (jj) (Reserved) (kk) (Reserved) (ll) (Reserved) (mm) (Reserved) (nn) (Reserved) (oo) Incumbents in the classification of Correctional Officer who are continuously and regularly assigned to and actually performing duties of a Correctional Supervisor will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. (POA MOU Article V Section 1D) (pp) An employee who is continuously and regularly assigned to perform training functions as a Parking Control Officer will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. (POA MOU Article V Section 1H) (qq) (Reserved) (rr) Incumbents in the classification of Police Officer who are continuously and regularly assigned as a Canine Officer will be paid at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step. (POA MOU Article V Section1I) (ss) Incumbents in the classification of Police Officer who are continuously and regularly assigned to and actually performing duties of a Motor Officer assigned to the Traffic Division will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. (POA MOU Article V Section1J) (tt) An incumbent, identified by the Police Department, who is continuously and regularly assigned to and actually performing duties of a Detective/Investigator assigned to the Investigations Division or Special Investigations Units as well as Police Investigative Specialist, Background Investigator, Collision Investigator, and Graffiti Task Force Investigator, will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. (POA MOU Article V Section1K) (uu) Incumbents in the classifications of Correctional Officer or Correctional Supervisor, who are continuously and regularly assigned to either the 207(k) 7/12.5 Detention Work Schedule, or the 4/10.5 Detention Administration Work Schedule, shall be paid at a rate set six (6) salary rate ranges (approximately 3%) above his or her then current base monthly salary step. (POA MOU Article V Section1L) (vv) (Reserved) Page 16 of 30 City Council 25 –25 11162021 (ww) Incumbents in the classification of Firearms Examiner who are regularly and continuously assigned to and actually performing duties in a “lead” supervisory capacity over a primary functional unit, will be paid at a rate set ten (10) salary rate ranges (approximately 5.0%) above their then current base monthly salary step. (POA MOU Article V Section 1M and Council Resolution No. 2005-026) (xx) Reserved (yy) Incumbents in the classifications of Forensic Specialist I and Forensic Specialist II who are continuously and regularly assigned as a Tenprint - AFIS Technician will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above their then current base monthly salary step. (POA MOU Article V Section 1O) (zz) Incumbents in the classifications of Forensic Specialist I and Forensic Specialist II who are continuously and regularly assigned as a Fingerprint Analyst will be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above their then current base monthly salary step. (POA MOU Article V Section 1P) Page 17 of 30 City Council 25 –26 11162021 OTHER PAY ADDITIVES: 1. BILINGUAL PAY. Qualified personnel in the below-listed representational categories who meet the required criteria specified in the Memorandum of Understanding (or Pay Plan) covering their job classification will receive a monthly pay differential above their current base monthly salary step in the amounts specified below by representational category: (I) SEIU (Service Employees International Union): (SEIU MOU Article 5.3B, C):  Primary Bilingual Assignments: $175.00 per month.  Secondary Bilingual Assignments: $40.00 per month. (II) SEIU Part-time Civil Service (Service Employees International Union): (SEIU Article 5.3 B-C)  Primary Bilingual Assignments: prorated amount based on $175 per 173.33 hours.  Secondary Bilingual Assignments: prorated amount based on $40 per 173.33 hours. (III) SEIU Part-time Non Civil Service (Service Employees International Union): (SEIU Article 4.5 B-C)  Primary Bilingual Assignments: $1.01 above base hourly rate.  Secondary Bilingual Assignments: $0.23 above base hourly rate. (IV) SAMA (Santa Ana Management Association): (SAMA MOU Article 6.1.B-C):  Primary Bilingual Assignments: $175.00 per month.  Secondary Bilingual Assignments: $40.00 per month. (V) CMM (Confidential Middle-Management): (Resolution No. 2021-026):  Primary Bilingual Assignments: $175.00 per month.  Secondary Bilingual Assignments: $40.00 per month. (VI) CAM (Confidential Administrative-Management): (Resolution No. 2021-026):  Primary Bilingual Assignments: $175.00 per month.  Secondary Bilingual Assignments: $40.00 per month. (VII) CASA (Confidential Association of Santa Ana): (CASA MOU Article 6.3.B-C):  Primary Bilingual Assignments: $175.00 per month.  Secondary Bilingual Assignments: $40.00 per month. (VIII) UCE (Unrepresented Confidential Employees): (Resolution No. 2021-026):  Primary Bilingual Assignments: $175.00 per month.  Secondary Bilingual Assignments: $40.00 per month. (IX) POA (Police Officers Association): (POA MOU Article V Section 3C,D,E,F):  Sworn: Street Level Proficiency. The amount equal to the product obtained by multiplying the step “E” base salary rate of employee by five (5) salary rate ranges (approximately 2.5%).  Sworn: Complex Level Proficiency. The amount equal to the product obtained by multiplying the step “E” base salary rate of employee by ten (10) salary rate ranges (approximately 5%).  Non Sworn: Primary Level Proficiency: $175.00 per month.  Non Sworn: Secondary Level Proficiency: $40.00 per month. (X) PMA (Santa Ana Police Management Association): (PMA MOU Article 5.1):  Primary Bilingual Assignments: $175.00 per month. (XI) EM (Executive Management): (EM RESO Section 2):  Bilingual Assignment shall be paid in the highest amount as available to represented management employees. 2. SHIFT DIFFERENTIAL. (I) SEIU, Generally. An employee in a classification represented by SEIU who is continuously and regularly assigned to a schedule of work which requires that he or she actually work a minimum of four and one-half (4 1/2 hours) between the hours of 5:00 p.m. and 7:00 a.m. will be paid a shift differential for his or her entire work shift at a rate set ten (10) salary rate ranges (approximately 5%) higher than his or her then current base monthly salary step except however such shift pay differential shall not be applicable to employees in the classification of Park Ranger and Supervising Park Ranger. (SEIU MOU Article V Section 4A) Page 18 of 30 City Council 25 –27 11162021 (II) Library Department Employees. Employees hired and assigned to the Library prior to December 1, 1987 who work evening shifts until closing time, but who are not otherwise eligible for shift differential as provided under Subsection (a) above, shall receive as special shift pay, an amount equal to one-half (1/2) of one hour's pay for each day they work an evening shift until closing time. Said special shift pay shall be computed on the hourly equivalent of the base monthly salary step. Such half-hour's pay shall not be counted toward the computation of overtime. Such special library shift pay differential shall not be applicable to library employees hired on or after December 1, 1987. (SEIU MOU Article V Section 4B) (III) Early Morning Street Crews. A Street Maintenance employee who is assigned to traffic painting or downtown cleanup crews who is continuously and regularly assigned to a schedule of work which requires that he or she actually work at least fifty percent (50%) of his or her normal daily work shift between the hours of 1:00 a.m. and 7:00 a.m. will be paid a shift differential for his or her entire work shift at a rate set ten (10) salary rate ranges (approximately 5%) higher than his or her then current base monthly salary step. (SEIU MOU Article V Section 4C) (IV) Standby Pay. Employees who are released from active duty but who are required by their department to leave notice where they can be reached and be available to return to active duty when required by the department at any time other than their regularly scheduled working hours, shall be said to be on standby duty. Employees shall receive four hundred fifty dollars ($450) per week when assigned to be on standby duty. Employees who “trade” days will have that time deducted from their pay on a prorated daily rate based on a seven (7) day week. Employees who cover the day shall be paid at the daily rate. All trades must be approved by the Supervisor or Manager. Water Production, Water Maintenance, Public Works Maintenance, Building Maintenance, and Information Technology Department and staff shall be required to serve on standby duty and receive standby pay as defined above. The City’s preference will be to accomplish the above through volunteers; however, qualified employees may be directed to be on standby if the number of volunteers is insufficient. Additional Standby Pay programs may be implemented with the approval of the Department Head and City Manager. (SEIU MOU Article V Section 5.A-D) (V) (POA) Police Officers Association Incumbents in the classification of Animal Service Officer I or II, Forensic Specialist I or II, Crime Research Analyst, Police Communications Supervisor, Police Investigative Specialist, Police Property & Evidence Specialist, Police Service Officer, Police Evidence and Supply Specialist, Police Services Dispatcher, Communications Services Officer, Correctional Officer, Correctional Supervisor, and Parking Control Officer who are continuously and regularly assigned to a schedule of work which require that he or she actually work a minimum of four and one-half (4 1/2) hours between the hours of 5:00 P.M. and 7:00 A.M. will be paid a shift differential at a rate set ten (10) salary rate ranges (approximately 5.0%) above his or her then current base monthly salary step. (POA MOU Article V Section 2) Effective July 1, 2017 each Sworn employee who is continuously and regularly assigned to a schedule of work that requires that he or she actually work a minimum of four and one-half (4 ½) hours between the hours of 5:00 P.M. and 7:00 A.M. will be paid a shift differential at a rate set at 2.5% above his or her base monthly salary. (POA MOU Article V Section 2) (VI) (CASA) Confidential Association of the City of Santa Ana An employee in a classification represented by CASA who is continuously and regularly assigned to a schedule of work which requires that he or she actually work a minimum of four and one-half (4 ½) hours between the hours of 5:00 p.m. and 7:00 a.m., shall be paid a shift differential for his or her entire work shift at a rate set ten (10) salary rate ranges (approximately 5%) higher than his or her then-current base monthly salary step. (CASA MOU Article 6 Section 4A) (IV) (UCE) Unrepresented Confidential Employees An employee in a classification of UCE who is continuously and regularly assigned to a schedule of work which requires that he or she actually work a minimum of four and one-half (4 ½) hours between the hours of 5:00 p.m. and 7:00 a.m., shall be paid a shift differential for his or her entire work shift at a rate set ten (10) salary rate ranges (approximately 5%) higher than his or her then-current base monthly salary step. (Resolution No. 2021-026) (V) Standby Pay Employees who are released from active duty but who are required by their department to leave notice where they can be reached and be available to return to active duty when required by the department at any time other than their regularly scheduled working hours, shall be said to be on standby duty. Effective no later than Page 19 of 30 City Council 25 –28 11162021 the first (1st) day of the second (2nd) payroll period following Council approval, such employees shall receive two hundred dollars ($200) per week when assigned to be on standby duty. (CASA MOU Article 6 Section 4B) (VI) Standby Pay Employees who are released from active duty but who are required by their department to leave notice where they can be reached and be available to return to active duty when required by the department at any time other than their regularly scheduled working hours, shall be said to be on standby duty. Effective no later than the first (1st) day of the second (2nd) payroll period following Council approval, such employees shall receive two hundred dollars ($200) per week when assigned to be on standby duty. (Resolution No. 2021-026) (VII) Standby Pay The Police Chief at his discretion and based on the department's need may assign sworn officers to standby status for non -work days or other days as determined by the Police Chief. Officers thus assigned will be compensated at the rate of two (2) hours of straight time per day of standby duty. Officers assigned to standby status on non-work days will not lose their standby pay when called to duty, if they have been on call for at least six (6) hours when called. If officers on standby status are called to duty after having been on call for less than six (6) hours, they will be paid for their response to work, but not for their standby status. Employees on standby status shall provide the department with a telephone number at which he/she can be reached. The employee must be able to return to the department within the amount of time he/she would be able to return if traveling from home. An employee on standby/on- call shall remain fit for duty. Employees on standby are also subject to the requirements of the Investigations Bureau Order # 09, which sets forth the guidelines for standby status. (SAPOA MOU Article 5 Section 1E) 3. NOTARY PUBLIC (I) SEIU (Service Employees International Union) An employee that is required by a Department Head or their designee to perform the duties of a Notary Public for the City, in addition to regular duties shall be paid a monthly differential of forty dollars ($40) above his or her then current base monthly salary step. (SEIU MOU Article V Section1.D), (II) (CASA) Confidential Association of the City of Santa Ana Full-time incumbents in any classification who are required by a Department Head or their designee to perform the duties of a Notary Public for the City, in addition to regular duties, shall be paid a monthly pay premium of forty dollars ($40) above his or her then current base monthly salary step. (CASA MOU Article 6 Section 1B) (III) (UCE) Unrepresented Confidential Employees Full-time incumbents in any classification who are required by a Department Head or their designee to perform the duties of a Notary Public for the City, in addition to regular duties, shall be paid a monthly pay premium of forty dollars ($40) above his or her then current base monthly salary step. (Resolution No. 2021-026) 4. CONFIDENTIAL PREMIUM (I) (CASA) Confidential Association of the City of Santa Ana An employee who is routinely and consistently assigned to sensitive positions by a Department Head, involving labor negotiations which require trust and discretion, in accordance with Government Code section 3507.5, will be paid at a rate set 2.5%, above the current base monthly salary step. (CASA MOU Article 6 Section 6) (II) (UCE) Unrepresented Confidential Employees An employee who is routinely and consistently assigned to sensitive positions by a Department Head, involving labor negotiations which require trust and discretion, in accordance with Government Code section 3507.5, will be paid at a rate set 2.5%, above the current base monthly salary step. (Resolution No. 2021-026) 5. CAREER DEVELOPMENT PAY (POA) Police Officers Association The Senior Police Officer I -III and Senior Police Sergeant I -III provisions set forth in sections (II) — (VII) below apply to sworn employees in the bargaining unit hired by the City of Santa Ana into a sworn position prior to January 1, 2014. The Career Development Pay provided for in section (IX) below is for sworn members of the bargaining unit hired into a sworn position with the City of Santa Ana on or after January 1, 2014. (I) Crime Scene Investigator (C.S.I): Any sworn, safety -member Police Officer who attains the following educational and experience requirements and the approval as set out below shall be paid an additional five ( 5) salary rate ranges ( 2. 5%) above his or her then current base monthly salary step. The criteria for such designation shall be as follows: Page 20 of 30 City Council 25 –29 11162021 A Completion (acquisition) of at least thirty (30) educational and/or training units. B Assignment to and actual performance of the duties and responsibilities of a C. S. I. C Completion of a special training course for Crime Scene Investigators as developed and administered by the Santa Ana Police Department or such alternative course as designated for such purpose by the Police Chief. D Approval of the Police Chief. The number of such designations as C. S. I. shall be no larger than the requirements of the department as determined by the Police Chief (II) Senior Police Officer I: Any sworn, safety -member Police Officer, regardless of duty assignment, who completes (acquires) at least sixty (60) educational/training units fulfills the requirements established in this section shall be designated as a Senior Police Officer I and shall, upon approval of the Police Chief, be paid at a rate set fifteen (15) salary rate ranges (approximately 7.5%) above his or her then current base monthly salary step. (III) Senior Police Officer II: Any sworn, safety-member Police Officer regardless of duty assignment who completes (acquires) at least ninety (90) educational/training units; or possession of an Associate of Arts degree from an accredited college with an additional thirty (30) or more educational/training units shall be designated as a Senior Police Officer II and shall upon approval of the Police Chief,be paid at a rate set twenty-five (25) salary rate ranges (approximately 12.5%) above his or her then current base monthly salary step in the Police Officer classification. (IV) Senior Police Officer III: Any sworn safety -member Police Officer, regardless of duty assignment, who completes (acquires) at least one hundred and twenty (120) educational/ training units; or possession of an Associate of Arts degree from an accredited college with an additional sixty (60) or more educational/training units shall, upon approval of the Police Chief be designated as a Senior Police Officer III and shall be paid at a rate set thirty (30) salary rate ranges (approximately 15%) above his or her then current base monthly salary step in the Police Officer classification. (V) Senior Police Sergeant I: Any officer holding the rank of Police Sergeant in the Santa Ana Police Department, regardless of duty assignment, who completes (acquires) at least sixty (60) educational/ training units; shall be designated as a Senior Police Sergeant I and shall, upon approval of the Police Chief, be paid at a rate set fifteen (15) salary rate ranges (approximately 7.5%) above his or her then current base monthly salary step. (VI) Senior Police Sergeant Il: Any officer holding the rank of Police Sergeant in the Santa Ana Police Department, regardless of duty assignment, who completes (acquires) at least ninety (90) educational/ training units; or possession of an Associate of Arts degree from an accredited college with an additional thirty (30) or more educational/training units shall,upon approval of the Police Chief,be designated as a Senior Police Sergeant II and shall be paid at a rate set twenty-five (25) salary rate ranges (approximately 12.5%) above his or her then current base monthly salary step in the Police Sergeant class. (VII) Senior Police Sergeant III: Any officer holding the rank of Police Sergeant in the Santa Ana Police Department, regardless of duty assignment, who completes (acquires) at least one hundred and twenty (120) educational/training units; or possession of an Associate of Arts degree from an accredited college with an additional sixty (60) or more educational/training units shall, upon approval of the Police Chief, be designated as a Senior Police Sergeant III and shall be paid at a rate set thirty (30) salary rate ranges (approximately 15%) above his or her then current base monthly salary step in the Police Sergeant class. (VIII) Career Development Program – Non-Sworn: An incumbent in one of the classes designated as "non-sworn" covered by this MOU shall earn an additional amount as follows: A Upon attainment of an Associate in Arts Degree, employee will be paid at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step. For employees hired after July 1, 2017, the pay in this paragraph shall only apply to employees in classifications, which do not require a degree. B Upon attainment of a Bachelor of Arts or Science Degree, an employee will be paid at a rate set an additional ( 15) salary rate ranges ( approximately 7. 5%) above his or her then current base monthly salary step. If the employee obtains a Bachelor's Degree without attaining an Associate in Arts Degree, he or she will be paid at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step. For employees hired after July 1, 2017, the pay in this paragraph shall only apply to employees in classifications, which do not require a degree for any employee hired after July 1, 2017. Page 21 of 30 City Council 25 –30 11162021 C Upon attainment of a Masters in Arts Degree, an employee will be paid at a rate set twenty (20) rate ranges (approximately 10%) above his or her then current base monthly salary step. This pay is not stacked with the pay in paragraphs A and B above. For employees hired after July 1, 2017, the pay in this paragraph shall only apply employees in classifications, which do not require a degree. (IX) Career Development Pay – Sworn: Effective at the beginning of the pay period following City Council approval, sworn Employees hired on or after January 1, 2014 shall be eligible to receive Career Development Pay as follows: A Level One - Upon attainment of an Associate in Arts Degree employees will be paid at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step. B Level Two - Upon attainment of an Associate in Arts Degree and an additional thirty (30) educational units toward a declared Bachelor' s degree, employees will be paid at a rate set an additional (10) salary rate ranges approximately 5%) for a total of 20 salary rate ranges (approximately 10%) above his or her then current base monthly salary step. If such employee obtains a Bachelor's Degree without attaining an Associate in Arts Degree, he or she will be paid at a rate set twenty (20) salary rate ranges (approximately 10%) above his or her then current base monthly salary step. C Level Three - Upon attainment of a Bachelor of Arts or Science Degree employees will be paid at a rate set an additional (10) salary rate ranges (approximately 5%) for a total of 30 salary rate ranges (approximately 15%) above his or her then current base monthly salary step. (PMA) Santa Ana Police Management Association: Effective July 1, 2019, all eligible members of PMA currently receiving Educational Incentives listed in Section (as described below) as of July 1, 2019 will be "grandfathered in" to continue to receive those incentives but no other members of the association will be able to participate in this educational incentive. In no event shall the application of this Educational Incentive program result in an employee being eligible to earn more than ten percent (10%) above his or her then current base monthly salary step. (PMA MOU No. A-2019-187, § VI) (I) FBI National Academy. Any employee covered by this MOU who successfully completes the FBI National Academy shall be paid at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step. (II) California Command College. Any employee covered by this MOU who successfully completes the California Command College shall be paid at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step. (III) LAPD Leadership Program. Any employee covered by this MOU who successfully completes the LAPD Leadership Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. (IV) Police Executive Research Forum (PERF) Senior Management Institute for Police. Any employee covered by this MOU who successfully completes the Senior Management Institute for Police shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. (V) FBI National Academy (LEEDS Program). Any employee covered by this MOU who successfully completes the FBI LEEDS Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. (VI) International Association of Chiefs of Police. Any employee covered by this MOU who successfully completes the Leadership in Police Organizations Program shall be paid at a rate set five (5) sala1y rate ranges (approximately 2.5%) above his or her then current base monthly sala1y step. (VII) Homeland Security Executive Leaders Program. Any employee covered by this MOU who successfully completes the Homeland Security Executive Leaders Program shall be paid at a rate Page 22 of 30 City Council 25 –31 11162021 set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. (VIII) Advanced Leadership Program. The advanced leadership courses listed below represent curriculum that exceed minimum training mandates for law enforcement managers. The subject matter addresses a variety of critical topics associated with advanced organizational development and the role of leaders within the organization. All courses are applicable to sworn and civilian managers. Any employee covered by this MOU who successfully completes a cumulative total of 112 hours of the below listed advanced leadership courses shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. Leadership Courses Hours Command Institute for Law Enforcement Executives (F.B.I. -LEEDA) 40 Contemporary Leadership Issues (F.B.I. -LEEDA) 32 Executive Development Course (P.O.S.T.) 80 Management Civilian Seminar (Part I) (P.O.S.T.) 24 Management Civilian Seminar (Part II) P.O.S.T. 24 Organizational Leadership (P.O.S.T.) 40 Po lice Management Seminar Advanced (P.O.S.T.) 24 Supervisor Leadership Institute (F.B.I. - LEEDA) 40 POST Management Update 24 POST Superviso1y Update 24 FBI-LEEDA Executive Survival 32 Ro le of the Police Chief 40 POST Superviso1y/Leader ship Update 24 Effective Executive Communication 24 Po lice Management Seminar Advanced 24 Civilian Management Seminar 40 Advanced Civilian Management 24 i. Additional Courses. Any other course, 24 hours or longer, which focuses on developing leadership skills or increasing knowledge of contemporary law enforcement issues of a management/executive nature, or which enhances knowledge of community policing strategies or trends, shall be reviewed and approved by the Chief of Police after he/she ensures that the above criteria are met. (IX) Educational Incentive Program: Effective July 1, 2019 for all members covered by this MOU, including Current PMA members, employees hired or promoted into the PMA unit on or after July 1, 2019, shall not be eligible for the Educational Incentives Program described (above) but shall now be eligible for the Education Incentives listed in this section of this MOU. Those that were previously receiving incentives that qualify for the provisions in this section on or after July 1, 2019, shall not be eligible for both, only the greater benefit of the two. i. SWORN ONLY: Sworn employees may only qualify for one (1) Education Incentive Level at one time and not intended to be compounded with one another. 1. Level 1 - Any sworn employee covered by this MOU who successfully obtains his/her Supervisory POST certificate, shall be paid at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step (cap=5%). 2. Level 2 - Any sworn employee covered by this MOU who successfully obtains his/her Supervisory POST AND California Command College OR FBI National Academy shall be paid at twenty (20) salary rate ranges (approximately 10%) above his or her then current base monthly salary step (cap=10%). Page 23 of 30 City Council 25 –32 11/16/2021 3. Level 3 - Any sworn employee covered by this MOU who attains their MA/MS Degree AND Supervisory POST shall be paid at twenty (20) salary rate ranges (approximately 10%) on above his or her then current base monthly salary step (cap 10%). 4. Level 4- Any sworn employee covered by this MOU who attains their MA/MS Degree AND Supervisory POST AND California Command College OR FBI National Academy shall be paid at thirty (30) salary rate ranges (approximately 15%) on above his or her then current base monthly salary step (cap 15%). ii. NON-SWORN 1. Any non-sworn employee covered by this MOU who successfully attains a Masters of Art or Master of Science degree shall be paid at a rate set ten (10) sala1y rate ranges (approximately 5%) above his or her then current base monthly sala1y step (cap=5%). (EM) Sworn Unrepresented Executive Management: i. SWORN ONLY: Sworn employees may only qualify for one (1) Education Incentive Level at one time and not intended to be compounded with one another. (Resolution No. 2020-082) 1. Level 1 - Any sworn employee covered by this MOU who successfully obtains his/her Supervisory POST certificate, shall be paid at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step (cap=5%). 2. Level 2 - Any sworn employee covered by this MOU who successfully obtains his/her Supervisory POST AND California Command College OR FBI National Academy shall be paid at twenty (20) salary rate ranges (approximately 10%) above his or her then current base monthly salary step (cap=10%). 3. Level 3 - Any sworn employee covered by this MOU who attains their MA/MS Degree AND Supervisory POST shall be paid at twenty (20) salary rate ranges (approximately 10%) on above his or her then current base monthly salary step (cap 10%). 4. Level 4- Any sworn employee covered by this MOU who attains their MA/MS Degree AND Supervisory POST AND California Command College OR FBI National Academy shall be paid at thirty (30) salary rate ranges (approximately 15%) on above his or her then current base monthly salary step (cap 15%). Page 24 of 30 City Council 25 –33 11/16/2021 FOOTNOTES: Employee groups and City Council appointed employees are designated as follows: “ADMIN MGMT-NS”, denotes classifications defined as Administrative Management (AM) personnel under the terms of the Memorandum of Understanding (MOU) (A-2019-185) between the City and the Santa Ana Management Association (SAMA) from January 1, 2019 to June 30, 2022; “ADMIN CAM-NS”, denotes classifications defined as Confidential Administrative-Management (CAM) personnel under the terms of Santa Ana City Resolution No. 2021-026; “MID M-NS” denotes classifications defined as Middle Management (MM) personnel under the terms of the Memorandum of Understanding (MOU) (A-2019-185) between the City and the Santa Ana Management Association (SAMA) from January 1, 2019 to June 30, 2022; “MID CMM-NS”, denotes classifications defined as Confidential Middle-Management (CMM) personnel under the terms of Santa Ana City Resolution No. 2021-026; “SAMA-AM-PTCS” denotes classifications defined as Administrative Management (AM) “Part-Time Civil Service” (PTCS) personnel under the terms of the Memorandum of Understanding (MOU) (A-2019-185) between the City and the Santa Ana Management Association (SAMA) from January 1, 2019 to June 30, 2022; "APPOINT" denotes City Manager; City Attorney, and Clerk of the Council; "EXEC-NS", “EXEC-SWORN” denotes classifications defined as "Executive Management" (EM) Non-Sworn and Sworn personnel under the terms of Santa Ana City Council Resolution No. 2015-026; "PMA-NS", “PMA-SWORN” denotes classifications defined as Represented Management (RM) personnel covered by the Memorandum of Understanding (MOU) (A-2019-187) between the City and Santa Ana Police Management Association (PMA) from July 1, 2018 to December 31, 2021; "POA-NS", POA-SWORN denotes classifications defined as Non-Sworn and Sworn covered by the Memorandum of Understanding (MOU) (A-2019-027) between the City and the Santa Ana Police Officers Association (POA) from July 1, 2018 to December 31, 2021; "SEIU 6" denotes classifications covered by the Memorandum of Understanding (MOU) (A- 2019-227) between the City and the Service Employees International Union Local 721 Chapter 1939, AFL-CIO, (SEIU) from July 1, 2019 to June 30, 2022; "PT CS SEIU 6" denotes classifications defined as "Part-Time Civil Service" (PTCS) personnel under the terms of Memorandum of Understanding (MOU) (A-2020-090) between the City and the Service Employees International Union Local 721 Chapter 1939, AFL-CIO, (SEIU) (A-2020-090) from July 1, 2019 to June 30, 2022; "SEIU PT" denotes regular, long-term part-time classes covered by the Memorandum of Understanding (MOU) (A-2016-034) between the City and the Service Employees International Union (SEIU), Local 721 Chapter 1939, AFL-CIO, Part-time Employees' Representation Unit from July 1, 2015 to June 30, 2017; "UC" denotes classifications defined as “Confidential” (UC) personnel under the terms of Memorandum of Understanding (MOU) (A-2019-186) between the City and the Confidential Association of the City of Santa Ana (CASA) for January 1, 2019 to June 30, 2022 “UCE”, denotes classifications defined as Unrepresented Confidential Employees (UCE) personnel under the terms of Santa Ana City Resolution No. 2021-026; Page 25 of 30 City Council 25 –34 11162021 "PT CS CASA" denotes classifications defined as “Confidential” (UC) "Part-Time Civil Service" (PTCS) under the terms of Memorandum of Understanding (MOU) (A-2019-186) between the City and the Confidential Association of Santa Ana (CASA) for January 1, 2019 to June 30, 2022 Notes: Unrepresented "Executive Management" (EM) personnel, and as such, are eligible to receive certain employee benefits which are different from and/or greater than those available to non-management personnel. (T) designates a "terminal" class. A position classification that has been designated as "terminal" by formal City Council action will be deleted from the City's Basic Classification and Compensation Plan when vacated by its last remaining incumbent. No new appointments may be made to a class that has been so designated. Page 26 of 30 City Council 25 –35 11162021 EFFECTIVE CHANGES, INCORPORTED HEREIN: 1) On November 16, 2021, the Santa Ana City Council approved a resolution increasing the City Manager's base annual salary from $290,000 to $301,600. Page 27 of 30 City Council 25 –36 11/16/2021 RANGE 0 1 2 3 4 5 6 7 8 9 45 1874 1883 1892 1902 1911 1921 1930 1940 1950 1960 46 1968 1977 1987 1997 2007 2017 2027 2037 2048 2058 47 2066 2076 2086 2097 2107 2118 2128 2139 2150 2160 48 2169 2179 2190 2201 2212 2223 2234 2246 2257 2268 49 2277 2288 2299 2311 2322 2334 2346 2357 2369 2381 50 2391 2402 2414 2427 2439 2451 2463 2475 2488 2500 51 2511 2523 2536 2548 2561 2574 2587 2600 2613 2626 52 2637 2650 2663 2676 2690 2703 2717 2730 2744 2758 53 2769 2782 2796 2810 2824 2838 2853 2867 2881 2896 54 2907 2921 2936 2950 2965 2980 2995 3010 3025 3040 55 3052 3067 3082 3098 3113 3129 3144 3160 3176 3192 56 3205 3221 3237 3253 3269 3285 3302 3318 3335 3352 57 3365 3381 3398 3415 3432 3449 3467 3484 3501 3519 58 3533 3550 3568 3586 3604 3622 3640 3658 3676 3695 59 3710 3728 3747 3765 3784 3803 3822 3841 3861 3880 60 3896 3915 3935 3954 3974 3994 4014 4034 4054 4074 61 4091 4111 4132 4152 4173 4194 4215 4236 4257 4278 62 4296 4317 4339 4360 4382 4404 4426 4448 4470 4493 63 4511 4533 4556 4579 4601 4624 4648 4671 4694 4718 64 4741 4764 4787 4810 4834 4858 4882 4906 4930 4954 65 4978 5002 5026 5051 5076 5101 5126 5151 5176 5201 66 5226 5252 5278 5304 5330 5356 5382 5408 5434 5461 67 5488 5515 5542 5569 5596 5623 5650 5678 5706 5734 68 5762 5790 5818 5847 5876 5905 5934 5963 5992 6021 69 6050 6080 6110 6140 6170 6200 6230 6260 6291 6322 70 6353 6384 6415 6446 6478 6510 6542 6574 6606 6638 71 6670 6702 6735 6768 6801 6835 6869 6903 6937 6971 72 7005 7039 7073 7107 7141 7176 7211 7247 7283 7319 73 7355 7391 7427 7463 7499 7535 7571 7609 7647 7685 74 7723 7761 7799 7837 7875 7913 7951 7989 8029 8069 75 8109 8149 8189 8229 8269 8309 8349 8389 8431 8473 76 8515 8557 8599 8641 8683 8725 8767 8809 8853 8897 77 8941 8985 9029 9073 9117 9161 9205 9250 9296 9342 78 9388 9434 9482 9529 9577 9625 9673 9721 9770 9819 79 9857 9906 9955 10005 10055 10105 10156 10207 10258 10309 80 10350 10401 10453 10506 10558 10611 10664 10717 10771 10825 81 10868 10922 10976 11031 11086 11142 11198 11254 11310 11366 82 11411 11468 11525 11583 11640 11699 11757 11816 11875 11934 83 11982 12041 12102 12162 12223 12284 12345 12407 12469 12532 84 12581 12643 12707 12770 12834 12898 12963 13027 13093 13158 85 13210 13275 13342 13409 13476 13543 13611 13678 13748 13816 86 13871 13939 14009 14079 14150 14220 14292 14362 14435 14507 87 14565 14636 14709 14783 14858 14931 15007 15080 15157 15232 88 15293 15368 15444 15522 15601 15678 15757 15834 15915 15994 89 16058 16136 16216 16298 16381 16462 16545 16626 16711 16794 90 16861 16943 17027 17113 17200 17285 17372 17457 17547 17634 91 17704 17790 17878 17969 18060 18149 18241 18330 18424 18516 92 18589 18680 18772 18867 18963 19056 19153 19247 19345 19442 93 19518 19614 19711 19810 19911 20009 20111 20209 20312 20414 94 20494 20595 20697 20801 20907 21009 21117 21219 21328 21435 95 21519 21625 21732 21841 21952 22059 22173 22280 22394 22507 96 22595 22706 22819 22933 23050 23162 23282 23394 23514 23632 EXHIBIT A Primary Matrix Effective 7/1/2021 Page 28 of 30 City Council 25 –37 11/16/2021 EXHIBIT B Schedule of Salary Rate Ranges for Represented Middle-Management Classes of Employment Effective 7/1/2021 RANGE 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 MM-10 7336 7517 7704 7898 8100 8299 8504 8718 8937 9159 9386 9621 9865 10109 10359 10622 10889 MM-11 7517 7704 7898 8100 8299 8504 8718 8937 9159 9386 9621 9865 10109 10359 10622 10889 11160 MM-12 7704 7898 8100 8299 8504 8718 8937 9159 9386 9621 9865 10109 10359 10622 10889 11160 11439 MM-13 7898 8100 8299 8504 8718 8937 9159 9386 9621 9865 10109 10359 10622 10889 11160 11439 11727 MM-14 8100 8299 8504 8718 8937 9159 9386 9621 9865 10109 10359 10622 10889 11160 11439 11727 12018 MM-15 8299 8504 8718 8937 9159 9386 9621 9865 10109 10359 10622 10889 11160 11439 11727 12018 12318 MM-16 8504 8718 8937 9159 9386 9621 9865 10109 10359 10622 10889 11160 11439 11727 12018 12318 12627 MM-17 8718 8937 9159 9386 9621 9865 10109 10359 10622 10889 11160 11439 11727 12018 12318 12627 12943 MM-18 8937 9159 9386 9621 9865 10109 10359 10622 10889 11160 11439 11727 12018 12318 12627 12943 13265 MM-19 9159 9386 9621 9865 10109 10359 10622 10889 11160 11439 11727 12018 12318 12627 12943 13265 13595 MM-20 9386 9621 9865 10109 10359 10622 10889 11160 11439 11727 12018 12318 12627 12943 13265 13595 13936 MM-21 9621 9865 10109 10359 10622 10889 11160 11439 11727 12018 12318 12627 12943 13265 13595 13936 14285 MM-22 9865 10109 10359 10622 10889 11160 11439 11727 12018 12318 12627 12943 13265 13595 13936 14285 14642 MM-23 10109 10359 10622 10889 11160 11439 11727 12018 12318 12627 12943 13265 13595 13936 14285 14642 15010 MM-24 10359 10622 10889 11160 11439 11727 12018 12318 12627 12943 13265 13595 13936 14285 14642 15010 15384 MM-25 10622 10889 11160 11439 11727 12018 12318 12627 12943 13265 13595 13936 14285 14642 15010 15384 15769 MM-26 10889 11160 11439 11727 12018 12318 12627 12943 13265 13595 13936 14285 14642 15010 15384 15769 16160 MM-27 11160 11439 11727 12018 12318 12627 12943 13265 13595 13936 14285 14642 15010 15384 15769 16160 16566 MM-28 11439 11727 12018 12318 12627 12943 13265 13595 13936 14285 14642 15010 15384 15769 16160 16566 16980 MM-29 11727 12018 12318 12627 12943 13265 13595 13936 14285 14642 15010 15384 15769 16160 16566 16980 17404 MM-30 12018 12318 12627 12943 13265 13595 13936 14285 14642 15010 15384 15769 16160 16566 16980 17404 17840 MM-31 12318 12627 12943 13265 13595 13936 14285 14642 15010 15384 15769 16160 16566 16980 17404 17840 18282 MM-32 12627 12943 13265 13595 13936 14285 14642 15010 15384 15769 16160 16566 16980 17404 17840 18282 18742 MM-33 12943 13265 13595 13936 14285 14642 15010 15384 15769 16160 16566 16980 17404 17840 18282 18742 19210 MM-34 13265 13595 13936 14285 14642 15010 15384 15769 16160 16566 16980 17404 17840 18282 18742 19210 19690 MM-35 13595 13936 14285 14642 15010 15384 15769 16160 16566 16980 17404 17840 18282 18742 19210 19690 20181 MM-36 13936 14285 14642 15010 15384 15769 16160 16566 16980 17404 17840 18282 18742 19210 19690 20181 20686 MM-37 14285 14642 15010 15384 15769 16160 16566 16980 17404 17840 18282 18742 19210 19690 20181 20686 21202 MM-38 14642 15010 15384 15769 16160 16566 16980 17404 17840 18282 18742 19210 19690 20181 20686 21202 21733 MM-39 15010 15384 15769 16160 16566 16980 17404 17840 18282 18742 19210 19690 20181 20686 21202 21733 22275 MM-40 15384 15769 16160 16566 16980 17404 17840 18282 18742 19210 19690 20181 20686 21202 21733 22275 22832 Page 29 of 30 City Council 25 –38 11/16/2021 EXHIBIT C Schedule of Salary Rate Ranges for Represented Confidential Middle-Management Classes of Employment Effective 7/1/2021 RANGE 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 CMM-10 7336 7517 7704 7898 8100 8299 8504 8718 8937 9159 9386 9621 9865 10109 10359 10622 10889 CMM-11 7517 7704 7898 8100 8299 8504 8718 8937 9159 9386 9621 9865 10109 10359 10622 10889 11160 CMM-12 7704 7898 8100 8299 8504 8718 8937 9159 9386 9621 9865 10109 10359 10622 10889 11160 11439 CMM-13 7898 8100 8299 8504 8718 8937 9159 9386 9621 9865 10109 10359 10622 10889 11160 11439 11727 CMM-14 8100 8299 8504 8718 8937 9159 9386 9621 9865 10109 10359 10622 10889 11160 11439 11727 12018 CMM-15 8299 8504 8718 8937 9159 9386 9621 9865 10109 10359 10622 10889 11160 11439 11727 12018 12318 CMM-16 8504 8718 8937 9159 9386 9621 9865 10109 10359 10622 10889 11160 11439 11727 12018 12318 12627 CMM-17 8718 8937 9159 9386 9621 9865 10109 10359 10622 10889 11160 11439 11727 12018 12318 12627 12943 CMM-18 8937 9159 9386 9621 9865 10109 10359 10622 10889 11160 11439 11727 12018 12318 12627 12943 13265 CMM-19 9159 9386 9621 9865 10109 10359 10622 10889 11160 11439 11727 12018 12318 12627 12943 13265 13595 CMM-20 9386 9621 9865 10109 10359 10622 10889 11160 11439 11727 12018 12318 12627 12943 13265 13595 13936 CMM-21 9621 9865 10109 10359 10622 10889 11160 11439 11727 12018 12318 12627 12943 13265 13595 13936 14285 CMM-22 9865 10109 10359 10622 10889 11160 11439 11727 12018 12318 12627 12943 13265 13595 13936 14285 14642 CMM-23 10109 10359 10622 10889 11160 11439 11727 12018 12318 12627 12943 13265 13595 13936 14285 14642 15010 CMM-24 10359 10622 10889 11160 11439 11727 12018 12318 12627 12943 13265 13595 13936 14285 14642 15010 15384 CMM-25 10622 10889 11160 11439 11727 12018 12318 12627 12943 13265 13595 13936 14285 14642 15010 15384 15769 CMM-26 10889 11160 11439 11727 12018 12318 12627 12943 13265 13595 13936 14285 14642 15010 15384 15769 16160 CMM-27 11160 11439 11727 12018 12318 12627 12943 13265 13595 13936 14285 14642 15010 15384 15769 16160 16566 CMM-28 11439 11727 12018 12318 12627 12943 13265 13595 13936 14285 14642 15010 15384 15769 16160 16566 16980 CMM-29 11727 12018 12318 12627 12943 13265 13595 13936 14285 14642 15010 15384 15769 16160 16566 16980 17404 CMM-30 12018 12318 12627 12943 13265 13595 13936 14285 14642 15010 15384 15769 16160 16566 16980 17404 17840 CMM-31 12318 12627 12943 13265 13595 13936 14285 14642 15010 15384 15769 16160 16566 16980 17404 17840 18282 CMM-32 12627 12943 13265 13595 13936 14285 14642 15010 15384 15769 16160 16566 16980 17404 17840 18282 18742 CMM-33 12943 13265 13595 13936 14285 14642 15010 15384 15769 16160 16566 16980 17404 17840 18282 18742 19210 CMM-34 13265 13595 13936 14285 14642 15010 15384 15769 16160 16566 16980 17404 17840 18282 18742 19210 19690 CMM-35 13595 13936 14285 14642 15010 15384 15769 16160 16566 16980 17404 17840 18282 18742 19210 19690 20181 CMM-36 13936 14285 14642 15010 15384 15769 16160 16566 16980 17404 17840 18282 18742 19210 19690 20181 20686 CMM-37 14285 14642 15010 15384 15769 16160 16566 16980 17404 17840 18282 18742 19210 19690 20181 20686 21202 CMM-38 14642 15010 15384 15769 16160 16566 16980 17404 17840 18282 18742 19210 19690 20181 20686 21202 21733 CMM-39 15010 15384 15769 16160 16566 16980 17404 17840 18282 18742 19210 19690 20181 20686 21202 21733 22275 CMM-40 15384 15769 16160 16566 16980 17404 17840 18282 18742 19210 19690 20181 20686 21202 21733 22275 22832 Page 30 of 30 City Council 25 –39 11/16/2021 Community Development Agency www.santa-ana.org/cd Item # 26 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Revive Santa Ana Resident Stimulus Program AGENDA TITLE: Approve Appropriation Adjustment of $2,600,000 and Award a Purchase Order to PrePaid USA in the Amount of $6,000,000 for the Revive Santa Ana Resident Stimulus Program (Revive Santa Ana Program) RECOMMENDED ACTION 1. Approve an appropriation adjustment to reallocate $2,600,000 from the ARPA-FMSA Reserve Appropriations account (no. 18110013-69001) to the ARPA-CDA expenditure account (nos. 18118013-various) for the Revive Santa Ana Resident Stimulus Program. (Requires five affirmative votes) 2. Award a Purchase Order to PrePaid USA in the amount of $6,000,000 for the purchase of 20,000 $300 pre-paid visa cards. DISCUSSION On July 20, 2021, the City Council authorized the Revive Santa Ana Spending Plan made possible by the American Rescue Plan Act (ARPA) through U.S. Department of Treasury Coronavirus State and Local Fiscal Recovery Funds (SLFRF). The spending plan is intended to protect and revive the Santa Ana community as it emerges from the impacts of the COVID-19 pandemic, and includes $4,000,000 for a resident direct assistance program for residents most affected by the pandemic. This program will provide direct resident assistance via $300 pre-paid visa cards (card) as an economic support to mitigate negative economic impacts of the pandemic. These cards will be accepted by Santa Ana businesses that accept Visa as a form of payment. Additional details regarding the program are located in the Revive Santa Ana Resident Stimulus Program Guidelines (Exhibit 1). Staff conducted a data-driven analysis of the areas of greatest need for economic support to establish the target areas for the Revive Santa Ana Resident Stimulus Program. The primary eligible areas for all Revive Santa Ana programs are the Housing and Urban Development Qualified Census Tracts (HUD QCTs). HUD QCTs are based on an City Council 26 –1 11/16/2021 Revive Santa Ana Resident Stimulus Program November 16, 2021 Page 2 2 2 4 3 algorithm that considers the following factors based on 2010 Census Data: household size, adjusted income, and poverty rates. A detailed breakdown of the algorithm used to designate the 2022 QCTs is available at https://www.huduser.gov/portal/qct/QCT_Algorithm.html. An additional data-driven tool to establish eligible focus areas is the Orange County Equity Map (OC Equity Map). The OC Equity Map is a data platform that spotlights social and health disparities in Orange County neighborhoods across multiple dimensions with a specific focus on the impact from COVID-19. The interactive map visualizes census tracts in the county and displays the scores from the Social Progress Index (SPI), CDC Health Indicators, and population demographic data as well as overlays additional information that can be customized for a variety of different use cases. The OC Equity Map is comprised of various COVID-19 vulnerability composite indicators including various health and comorbidity risk factors as well as social progress index factors such as housing overcrowding, poverty rates, and internet access. Staff conducted an analysis of the various vulnerability composite indicators utilizing the OC Equity Map and determined that poverty rates would be the most appropriate factor to base the focus of this economic support program. The City is composed of 62 individual census tracts, 14 of which are considered HUD QCTs. These 14 tracts have poverty rates that range from 47.1% to 81.6%; poverty rates for the city as a whole range from 20.6% to 81.6% with a median of 42%. The program targets households in economically disadvantaged areas as determined by HUD’s Qualified Census Tracts and the highest rates of poverty (above 42%) as identified by the OC Equity Map in the Revive Santa Ana Resident Stimulus Program Eligible Areas Map (Exhibit 2). The City recognizes the disproportionate impact of the pandemic in low- income, high poverty, dense and overcrowded living conditions, and as such will distribute the economic support to rental units in the target areas. There are approximately 20,000 rental units within the target area. To ensure that all of target households receive this economic support, an additional $2,600,000 of funding is needed to cover the cost of these efforts. Approval of the appropriation adjustment will make those needed funds available for the program. The costs include funding for direct support for residents and 10% for the administration of the program, inclusive of salaries, overtime, material and supplies to support the distribution efforts. Upon City Council approval and receipt of cards from the vendor, the cards will be distributed door-to-door by City staff starting in December. The plan for distribution has been coordinated with input from multiple departments to maximize safety and efficiency. City Council 26 –2 11/16/2021 Revive Santa Ana Resident Stimulus Program November 16, 2021 Page 3 2 2 4 3 An Invitation for Bid (IFB) for prepaid gift/debit cards was advertised on October 22, 2021 on the City’s online bid and management publication system. A summary of the IFB and bids received is as follows: 55 Vendors notified 2 Santa Ana vendors notified 8 Vendors downloaded the bid packet 3 Bids received 0 Bids received from Santa Ana vendors In addition to the official bid notification through the City’s PlanetBid system, staff conducted proactive outreach to four local credit unions and three financial institutions to encourage them to bid. The bids were received and opened on November 3, 2021, and evaluated (Exhibit 3). The bid submitted by PrePaid USA located in Corona, California was determined to be responsive and met the City’s requirements. ARPA Eligibility Analysis The program responds to negative economic impacts caused by the public health emergency by providing direct assistance to households classified as Expenditure Category (EC) 2.3 Household Assistance: Cash Transfers. The City will provide cash assistance via a card to a population that is low- or moderate-income meeting the presumed benefit criteria based on HUD’s Qualified Census Tracts and Census Tracts and with poverty rates of over 42%. FISCAL IMPACT Funds in the amount of $4,000,000 are currently available and in the ARPA-CDA program accounting unit. Approval of the appropriation adjustment will reallocate $2,600,000 from the ARPA-FMSA Reserve Appropriations account (no. 18110013-69001) to the ARPA- CDA expenditure account (nos. 18118013-various), for expenditure as follows: Fiscal Year Accounting Unit- Account # Fund Description Accounting Unit, Account Description Amount FY 21-22 (Dec.-June) 18118013- Various American Rescue Plan Act (ARPA) ARPA-CDA, Various $6,600,000 Total $6,600,000 EXHIBIT(S) 1. Revive Santa Ana Resident Stimulus Program Guidelines 2. Revive Santa Ana Resident Stimulus Program Eligible Areas Map 3. Bid Abstract: IFB No. 21-126A: Prepaid Gift-Debit Cards City Council 26 –3 11/16/2021 Revive Santa Ana Resident Stimulus Program November 16, 2021 Page 4 2 2 4 3 Submitted By: Steven Mendoza, Assistant City Manager Approved By: Kristine Ridge, City Manager City Council 26 –4 11/16/2021 City of Santa Ana Page 1 of 3 Revive Santa Ana Resident Stimulus Program - NOV 2021 Program Guidelines The Revive Santa Ana Resident Stimulus program provides $300 pre-paid visa cards as an economic support to mitigate negative economic impacts of the pandemic. The support is targeted to rental households in economically disadvantaged areas as determined by HUD’s Qualified Census Tracts and Census Tracts and to areas with poverty rates of over 42%. Funding for this program is made possible by the American Rescue Plan Act (ARPA) through U.S. Department of Treasury Coronavirus State and Local Fiscal Recovery Funds (SLFRF) allocated to the City of Santa Ana. I.Program Eligibility Coronavirus Local Fiscal Recovery Fund Section 603(c)(1)(a) provides that funds may be used to respond to the public health emergency or its negative economic impacts, including assistance to households, small businesses, and nonprofits, or aid to impacted industries such as tourism, travel, and hospitality. The program responds to negative economic impacts caused by the public health emergency by providing direct assistance to households classified as Expenditure Category (EC) 2.3 Household Assistance: Cash Transfers. Per the interim final rule, in assessing whether a household or population experienced economic harm as a result of the pandemic, a recipient may presume that a household or population that experienced unemployment or increased food or housing insecurity or is low- or moderate-income experienced negative economic impacts resulting from the pandemic. The City will provide cash assistance via a pre-paid visa cards to a population that is low- or moderate-income meeting the presumed benefit criteria. The support will be disbursed to rental households in economically disadvantaged areas as determined by HUD’s Qualified Census Tracts and Census tracts and Census Tracts in areas with poverty rates of over 42%. (See Revive Santa Ana Resident Stimulus Program Eligible Areas Map) The City recognizes the disproportionate impact of the pandemic in low-income, high poverty, dense and overcrowded living conditions, and as such is targeting the distribution of the cash assistance to rental units in the target areas. II.Size of the cash assistance: The Revive Santa Ana Business Program will provide $300 in the form of a pre-paid visa card. EXHIBIT 1 City Council 26 –5 11/16/2021 City of Santa Ana Page 2 of 3 Revive Santa Ana Resident Stimulus Program - NOV 2021 III.Eligible households/housing units: Eligible households for this assistance include rental units registered with the City of Santa Ana’s Proactive Rental Enforcement Program (PREP) located in the Revive Santa Ana Resident Stimulus Program Eligible Areas Map. The PREP promotes public health, safety, and welfare through a systematic proactive code enforcement effort towards residential rental property throughout the City of Santa Ana. Property owners who enter into the residential property rental business are imposed a rental surcharge to pay the enforcement costs of the PREP program including inspection and administration. PREP promotes an environment in which unhealthy conditions and life safety hazards are reduced for occupants of residential rental property by identifying and correcting code violations. Santa Ana Residents that are renting a housing unit in Santa Ana that is not registered with the City as a PREP unit, but is within the eligible areas as determined by the Revive Santa Ana Resident Stimulus Program Eligible Areas Map, may be eligible for the assistance payment subject to funding availability. Residents may contact the City’s Economic Development Division for additional information. IV.Disbursement of cash assistance: The distribution will be conducted to rental units in Census Tracts with at least 40% poverty rate per the Revive Santa Ana Resident Stimulus Program Eligible Areas Map. Distribution will commence in the census tracts with the areas indicating the highest rates of poverty. City staff will visit each rental unit to provide the cash assistance. Staff will knock on the door and request to speak with a responsible party to the household to provide program information and the cash assistance via the $300 pre-paid visa cards. If a responsible party is not home, the City will mail program information to the household, inclusive of card pick-up options. V.Household eligibility requirements to receive cash assistance: To receive the cash assistance a recipient will need to do the following: •Present identification •Provide a phone number •Sign a certification/attestation log to document the following: o Recipient is a responsible party living in the household o Receipt of the cash assistance (gift/debit card) VI.Limit on number of pre-paid visa cards per household: There is a limit of one gift card per household. City Council 26 –6 11/16/2021 City of Santa Ana Page 3 of 3 Revive Santa Ana Resident Stimulus Program - NOV 2021 VII.Program contact information: City of Santa Ana Community Development Agency Economic Development Division Text/Call: (Pending) Email: (Pending) ____@santa-ana.org City Council 26 –7 11/16/2021 ?ìE ?ìE !"^$ ?sE %&l( ?uE EUCLID STBRISTOL STSANTA ANA BLVD EDINGER AV BRISTOL STSUNFLOWER AV WARNER AV RED HILL AVLA VETA AV HARBOR BLVDHARBOR BLVDRAITT STRAITT STWASHINGTON AV NEWHOPE STW A R N E R A V 1ST ST 1ST ST 1ST ST TUSTIN AVSEGERSTROM AV 17TH ST 17TH ST FAIRVIEWSTFAIRVIEW STFAIRVIEW STBRISTOL STMAIN STMAIN STMAIN STFLOWER STCIVIC CENTER DR SANTA CLARA AV SANTA CLARA AV FAIRHAVEN AV A L T O N A V GARDEN GROVE BLVD GRAND AVGLASSELL STEDINGER AV EDINGER AV D Y E R R D WESTMINSTER AV MC FADDEN AV MC FADDEN AV GRAND AVDYER RDFLOWER STFLOWER STWARNER AV MACARTHUR BLVD M A C A R T H U R B L V DBROADWAYBROADWAYBROADWAYSanta AnaRiverSanta Ana RiverSanta AnaRiver740.05 Units: 568 741.06 Units: 827 741.02 Units: 268 740.03 Units: 848 740.06 Units: 1039 741.03 Units: 83 740.04 Units: 960 742 Units: 386 741.10 Units: 86 744.03 Units: 804 741.11 Units: 205 741.07 Units: 1579 741.09 Units: 178741.08 Units: 168 743 Units: 114 745.02 Units: 313 746.02 Units: 662 746.01 Units: 627 744.07 Units: 483 747.01 Units: 426 745.01 Units: 629 744.06 Units: 413 744.05 Units: 978 748.02 Units: 236 749.02 Units: 696 748.01 Units: 268 748.05 Units: 740 748.03 Units: 178 749.01 Units: 995 747.02 Units: 320 748.06 Units: 389 753.01 Units: 743 750.02 Units: 1549 751 Units: 1064 752.01 Units: 290 750.04 Units: 1103 750.03 Units: 1455 753.02 Units: 361 752.02 Units: 319 754.01 Units: 87 755.16 Units: 335 754.03 Units: 707 754.04 Units: 1047 754.05 Units: 362 755.04 Units: 263 753.03 Units: 252 759.02 Units: 236 890.04 Units: 586 890.01 Units: 311 760.02 Units: 183 758.06 Units: 6 891.02 Units: 71 757.01 Units: 740 889.03 Units: 85 992.03 Units: 91 891.05 Units: 591 992.47 Units: 248 992.48 Units: 626 891.07 Units: 78 992.49 Units: 346 891.04 Units: 185 992.02 Units: 513 I 0 ½ 1¼ Miles Qualified Census Tracts (2022) Poverty Rate by 2020 Census Tract Below 42%- NOT ELIGIBLE 42% - 49% 50% - 59% 60% - 69% 70% -79% 80%+ Resident Stimulus Program Eligible Areas Map Units: Lists No. of PREP Units by Census Tract | EXHIBIT 2 City Council 26 –8 11/16/2021 Vendor Location Respondee Respondee Title Vendor Type PrePaid USA Corona, CA Marisol Arenas Sales Executive SOCB Perfect Gift LLC Pittsburgh, PA Jenny Schutt Account Executive Blackhawk Network Inc Pleasanton, CA Michael Penza Inside Sales Representative Vendor Card Type Total Card Load Value Total Processing Fee Activation Fee Available Discounts Applied CRA Credits Payment Terms Standard Shipping Fee Ground Delivery Standard Shipping Fee Overnight Delivery Total Amount with Standard Shipping Total Amount with Overnight Shipping PrePaid USA Visa 6,000,000.00 ($300 per card) 0 None 1.99 per card (waived processing fee)NA Vendor is willing to accept 50% of payment upfront, and 50% of payment upon receivng the cards. Perferred Payment Type: ACH/Wire Transfer Waived Waived 6,000,000 6,000,000 Perfect Gift LLC MasterCard and Visa 6,000,000.00 ($300 per card) 0 None 3.50 per card (waived processing fee)No Prepayment in full is required to receive all cards. Preferred Payment Type: ACH/Wire Waived 3,200 6,000,000 6,003,200 Blackhawk Network Visa 6,000,000.00 ($300 per card) .99 cents per card (19,800) None 3.00 per card (reduced processing Fee) No Prepayment in full is required to receive all cards. Preferred Payment Type: ACH/Wire Waived Waived 6,019,800 6,019,800 CITY OF SANTA ANA Issued On: 11/4/2021 Vendor Information Bid Information Bid Abstract: IFB No. 21-126A: Prepaid Gift-Debit Cards EXHIBIT 3 City Council 26 –9 11/16/2021 City Manager Office www.santa-ana.org/cm Item # 27 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Sunshine Ordinance AGENDA TITLE: Amendments to the Sunshine Ordinance Relating to Number, Timing, and Noticing of Community Meetings for Certain Development Projects, Lobbyist Disclosure Policy, and Publishing Timeline for City Council Meeting Agendas RECOMMENDED ACTION 1. Approve the first reading of an ordinance amending the Sunshine Ordinance to expand the number of community meetings for certain development projects from one to two, increase the radius of distributing noticing of said community meetings from 500 feet of the subject property to 1,000 feet, implement a Lobbyist Registration Policy, and revise the timeline to publish City Council meeting agendas from four days to seven days. 2. Approve an appropriation adjustment recognizing $40,000 from prior-year fund balance in the General Fund and appropriate the same amount to the General Fund, Clerk of the Council Service Enhancement salaries ($10,000) and contractual services ($30,000) expenditure accounts. (Requires five affirmative votes) DISCUSSION In May 2021, the City Council directed staff to research proposals to amend the Sunshine Ordinance as follows: Add one additional community meeting for certain development projects as defined in the Sunshine Ordinance. Increase noticing requirement for certain development projects from addresses within a 500-foot radius of the subject property to a 2,000-foot radius, as well as informing renters and homeowners. Require Nixle notifications when fulfilling noticing requirements for City-sponsored development projects. Require lobbyists to register with the Clerk of the Council. Continuing the deliverance of City Council meetings in the digital format and allow virtual participation of residents. Publish public meeting agendas seven days in advance. City Council 27 –1 11/16/2021 Sunshine Ordinance November 16, 2021 Page 2 2 2 4 6 Staff assessed each proposal to determine the feasibility of their implementation. An overview of each proposal, including the budgetary aspects and benefits of the proposed provisions, was presented to the City Council on July 20, 2021. Based upon feedback and direction from the City Council, staff recommends proceeding with the following four changes to the Sunshine Ordinance: (1) expand the number of community meetings for certain development projects from one to two; (2) increase the radius of distributing noticing of said community meetings from 500 feet of the subject property to 1,000 feet; (3) implementing a Lobbyist Disclosure Policy; and (4) revise the timeline to publish City Council meeting agendas from four days to seven days. Below is a summary of those proposed changes. Expand the Number of Community Meetings for Certain Development Projects from One to Two In its current form, the Sunshine Ordinance imposes community meeting requirements for the following types of development projects: (1) City-sponsored development projects; (2) new residential projects containing 25 or more units with exceptions; (3) new non- residential projects of 10,000 square feet or more and which are subject to a negative declaration, mitigated negative declaration or environmental impact report; and (4) development projects requiring a zone change, Specific Plan amendment, or General Plan amendment. The community meeting requirement relating to the number of meetings is summarized as follows: the development project applicant shall hold one community meeting no later than 20 days after submittal of an application for administrative site plan review. At the direction of the City Council, staff has prepared an ordinance amending this community meetings provision to require two community meetings (as opposed to the existing requirement to hold one community meeting). As proposed, the first community meeting would be required to be held within 20 days of submittal of an application for development project review, followed by an optional second community meeting no earlier than ten days prior to the development project being resubmitted by the development project applicant to the City after receipt of comments resulting from the City’s development project review. Staff asserts that it is rare that applications submitted for development project review are complete upon their first submittal and therefore it is rare that a developer project applicant does not receive comments from City staff to consider for resubmitting an application for development project review. Accordingly, it is rare that a developer project applicant will not be required to hold a second community meeting in conformance with the proposed changes to the Sunshine Ordinance. The City’s cost associated with requiring two community meeting varies, and principally includes the staff time associated with providing information and support to the development project applicant so that the development project applicant may host the meetings in compliance with the Sunshine Ordinance. Funding to support the staffing requirements for these types of meetings are supported by existing personnel budgets City Council 27 –2 11/16/2021 Sunshine Ordinance November 16, 2021 Page 3 2 2 4 6 for various departments. Therefore, there is no fiscal impact associated with this proposed change. Increase the Radius of Distributing Noticing of Community Meetings for Certain Development Projects from 500 Feet of the Subject Property to 1,000 Feet In addition to the community meetings requirement for certain development projects, the current form of the Sunshine Ordinance requires that a development project applicant provide noticing of the community meeting to all property owners and at least one occupant per dwelling unit within a 500-foot radius of the subject property. At the direction of the City Council, staff has prepared an ordinance amending the noticing provision of the Sunshine Ordinance to require that a development project applicant provide noticing of each community meeting to all property owners and at least one occupant per dwelling unit within a 1,000-foot radius (as opposed to the current threshold of 500 feet). The cost associated with preparing and distributing such notices varies. Additionally, the responsibility to prepare and distribute such notices is that of the development project applicant. As such, there is no fiscal impact to the City relating to this proposed change in noticing for community meetings. It is important to note that the Sunshine Ordinance provides that noticing of Planning Commission public hearings shall be in conformance with the noticing requirements for community meetings. Therefore, by increasing the radius of distributing noticing of community meetings for certain development projects from 500 feet of the subject property to 1,000 feet, the City would similarly be required to increase the radius of distributing noticing of Planning Commission public hearings from 500 feet to 1,000 feet of the subject property. As such, there will be an increase in costs associated with the expanded noticing requirements for Planning Commission meetings. While this cost varies, staff estimates that the cost for each mailer associated with noticing of a Planning Commission public hearing is 64 cents. The number of mailers to be sent for each public hearing may increase by anywhere from four to seven times when compared to the current number of mailers sent in conformance with the existing 500-foot radius requirement. Implement a Lobbyist Registration Policy A lobbyist registration (or “disclosure”) policy is one that requires lobbyists, as defined, to report specific information relating to their lobbying activities, including the issues lobbied upon, officials contacted, time spent, and an estimate of expenses, among other data. The purpose of a lobbyist registration policy is to establish transparency in the activity of lobbyists. While there are lobbyist registration policies at the federal and state level, such as the Lobbyist Disclosure Act of 1995 relating to federal lobbying practices and the Political Reform Act relating to state lobbying practices, there is no municipal lobbyist registration policy associated with lobbying practices involving the City of Santa Ana. City Council 27 –3 11/16/2021 Sunshine Ordinance November 16, 2021 Page 4 2 2 4 6 Members of the City Council expressed interest in the City establishing a lobbyist registration policy. There are multiple policy considerations for the City Council to consider to implement such a policy. For the purposes of the current proposed changes to the Sunshine Ordinance, staff reviewed the original lobbyist registration proposal by SACRed (Santa Ana Collaborative for Responsible Development), the organization that originally lobbied the City Council in 2012 to adopt the Sunshine Ordinance. That proposal, which was rejected by the City Council, has since been reviewed by the Clerk of the Council. Based upon her subject matter expertise and experience, the Clerk of the Council made minor changes to that proposal to align with current best practices. As presented, the proposed lobbyist registration provisions of the Sunshine Ordinance contain the following elements: purpose of policy, definitions; annual registration of lobbyists required; quarterly reports of lobbying activity; registration fee; and penalty for violation. Members of the City Council also discussed revolving door regulations and how these regulations affect former councilmembers for purposes of lobbying. Below is a summary of the current law on the revolving door regulations: Government Code Section 87406, also known as the “revolving door regulations” prohibits the following: (1) a local elected official, chief administrative officer of a county, city manager or general manager or chief administrator of a special district who held a position with a local government agency, (2) for a period of one year after leaving officer or employment, (3) from acting as an agent or attorney for, other otherwise represent, for compensation, any other person, (4) by making any formal or informal appearance before, or by making any oral of written communication to, that local government agency, or any committee, subcommittee, or present member of that local government agency, or any officer or employee of the local government agency, (5) if the appearance of communication is made for the purpose of influencing administrative or legislative action, or influencing any action or proceeding involving the issuance, amendment, awarding, or revocation of a permit, license, grant or contract, or the sale or purchase of goods or property, (6) except when the individual is, at the time of the appearance or communication, a board member, or employee of another local government agency or an employee or representative of a public agency and is appearing or communicating on behalf of that agency. Considering that existing State law prohibits these activities, revolving door provisions were not included as part of proposed amendments to the Sunshine Ordinance. The Clerk of the Council’s Office conducted a preliminary fiscal impact analysis and determined that a lobbyist registration policy could be implemented by their office City Council 27 –4 11/16/2021 Sunshine Ordinance November 16, 2021 Page 5 2 2 4 6 procuring a lobbyist disclosure filing module from an existing vendor, NetFile. the subscription-based software costs approximately $10,000 annually to procure. To implement such a policy, the Clerk of the Council recommends that a part-time Administrative Aide be hired to fulfill the functions required of the policy. Staff estimates that the annual personnel cost is $30,000. In summary, there will be a $40,000 annual expense associated with implementation of the lobbyist registration policy. This increase in expenses will require an appropriation adjustment. Revise the Timeline to Publish City Council Meeting Agendas from Four Days to Seven Days State law requires that public meeting agendas for regular meetings, such as regular City Council meetings, be published at least 72 hours (or three days) prior to the meeting start time. The Sunshine Ordinance, in its current form, requires that regular City Council meeting agendas be published 96 hours (or four days) prior to the meeting start time. At the direction of the City Council, staff has prepared an ordinance amending the Sunshine Ordinance to require regular City Council meeting agendas to be published seven days in advance. There is no direct cost associated with the change in publishing time associated with publishing the City Council meeting agendas seven days in advance. However, each City department that submits agenda items, along with departments who facilitate the agenda process (particularly the Clerk of the Council’s Office, City Manager’s Office, City Attorney’s Office, and Finance Department) would be required to revise their workflow to accommodate the seven-day lead time for publishing City Council meeting agendas. Additionally, it is important that both the members of the City Council and City staff alike be mindful of the seven-day lead time for City Council agenda items to be prepared and considered. This means that there will be at least seven days between the time a City Council meeting agenda is published and the time the accompanying agenda items are to be considered by the City Council at a public meeting. Furthermore, it is important to note that once the City Council meeting agenda is published, it is published in its final form and is not intended to be revised within the seven-day timeframe. Therefore, this proposed change does not create an opportunity for increased engagement. Instead, it provides additional time for members of the City Council and the public to view the City Council meeting agenda. Attached for consideration by the City Council is an ordinance (Exhibit 1) amending the Sunshine Ordinance. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Implementation of proposed ordinance amending the Sunshine Ordinance—particularly the lobbyist registration provisions—requires an additional $40,000 annual expense by the Clerk of the Council Office. City Council 27 –5 11/16/2021 Sunshine Ordinance November 16, 2021 Page 6 2 2 4 6 This increase in expenses is not budgeted and will require an appropriation adjustment in the amount of $40,000 from the General Fund fund balance and allocated as follows: FY 2021-22 Recognize $40,000 from prior year fund balance in the General Fund, prior year carryforward amount (01102002-50001) and appropriate the same amount as follows: Accounting Unit / Account Expenditure Type Amount 01107017-61020 Salaries Part-Time $10,000 01107017-62300 Contractual Services $30,000 EXHIBIT(S) 1. Ordinance Submitted By: Kristine Ridge, City Manager Approved By: Kristine Ridge, City Manager City Council 27 –6 11/16/2021 Ordinance No. NS-XXX Page 1 of 7 ORDINANCE NO. NS-XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, AMENDING ARTICLE II.I AND II.II OF CHAPTER 2 AND ADDING ARTICLE XI ENTITLED “LOBBYSIST REGISTRATION” TO CHAPTER 2 OF THE SANTA ANA MUNICIPAL CODE THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES HEREBY ORDAIN AS FOLLOWS: Section 1. Section 2-150 of Article II.I entitled “Public Access to Meetings” of Chapter 2 of the Santa Ana Municipal Code is hereby amended to read in its entirety as follows (new language is underlined and deleted language is stricken): Sec. 2-150. – Meetings and agenda postings for city council. Pursuant to Government Code Section 54953.7 of the Brown Act, the city is imposing the following additional requirements on itself to allow greater community access to its meetings: (1)City council meeting agendas must be posted at least ninety-six (96) hours seven (7) calendar days before any regular meeting of the city council. (2)The city will makes notices of the city council meetings accessible on the city’s website in various languages including Spanish through the use of fee web-based translation application. (3) Agenda’s will list future items on major projects. The list of “major projects” identified for the city council agenda will be compiled at the discretion of the city manager. Section 2. Section 2-153 of Article II.II entitled “Public Meetings for Certain Development Projects” of Chapter 2 of the Santa Ana Municipal Code is hereby amended to read in its entirety as follows (new language is underlined and deleted language is stricken): Sec. 2-153. - Public input through community meetings prior to discretionary approval. (a)Applicability. The requirements of this article apply to development projects requiring discretionary approval and that meet one or more of the following criteria: (1)City-sponsored development projects; (2)New residential projects containing twenty-five (25) or more units, except that the director of the Pplanning and building City Council 27 –7 11/16/2021 Ordinance No. NS-XXX Page 2 of 7 Building Agency may exempt a developer from one or more of the requirements of this article if, in the case of affordable housing, the developer can show that it will be in jeopardy of losing tax credits, or if an applicable project does not require a resubmittal following initial submittal; (3)New non-residential projects (including additions to existing buildings) of ten thousand (10,000) square feet or more and which are, in the determination of the city, subject to a negative declaration, mitigated negative declaration or environmental impact report as defined under the California Environmental Quality Act; (4)Development projects requiring a zone change, specific plan amendment, or general plan amendment. (b)Number and timing of community meeting. For those development projects that meet the criteria listed in subsection 2-153(a), the applicant shall hold two one (21) community meetings. The first community meeting shall be held no later than twenty (20) days after submittal of an application for administrative site plandevelopment project review. The second community meeting shall be held no earlier than ten (10) days prior to the development project being resubmitted by the applicant to the City after receipt of comments resulting from the City’s development project review. Should the applicant fail to hold the community meetings within this time, the completion of administrative site plandevelopment project review shall be delayed until such time as the community meeting s areis held. (c)Noticing. Notice of any community meeting held under this section shall be provided to all property owners, and at least one (1) occupant per dwelling unit having a valid United States Postal Service address within a 15000-foot radius of the subject property. Said notice shall be mailed no less than ten (10) days prior to the community meeting. The notice shall also be posted on the development project site and published in a newspaper of general circulation no less than ten (10) days prior to the community meeting. The city shall then post the notice on the city's website. It shall be the sole responsibility of the applicant to prepare and distribute this notice. (d)Notice content. The notice shall include the time, place and date of the community meeting; a map depicting the location of the subject property, including the properties contained within the notification boundary; a brief description of the project; and the applicant's contact information. The notice shall be written in English and Spanish and include instructions as to how to request language interpretation services for those wishing to have interpretation during the community meeting in languages other than English. City Council 27 –8 11/16/2021 Ordinance No. NS-XXX Page 3 of 7 3 (e)Community meeting time and place. The cCommunity meetings shall be held either on a weeknight during the early evening hours or on a Saturday. The meetings shall be held in any facility that is accessible to the public and that is no more than one (1) mile from the project site. Should there not be any such facilities available in the required area, the applicant may arrange, at their own expense and subject to availability, to use the next closest city facility. (f)Community meeting language interpretation. Should the applicant receive a written request for language interpretation services no later than forty-eight (48) hours prior to the meeting, it shall be the applicant's responsibility to arrange for such services to be available at the community meeting. (g)Community meetings format and content. During the community meetings the applicant shall give a presentation detailing the components of the proposed development project and a description of any impacts or benefits to the community, and provide contact information so that members of the public can contact them for further information. The applicant shall allow enough time for the attendees to ask questions and provide input. The applicant shall prepare detailed minutes of the meetings including a written record of the comments provided by the community members. (h)Providing information to city after community meeting. Not moreless than four (4) days following the last community meeting, the developer shall submit to the city an affidavit under penalty of perjury that the required community meetings wereas held in compliance with this section and will submit copies of all notices, notification lists, site postings, advertisements, or other communications used to publicize the meetings. The applicant shall also provide to the city a copy of the minutes and the written record of, and response to, the public comments made at theach community meeting. The public input will be made part of the public record and included as attachments to planning commission staff reports. (i)[Notice.] Notice of planning commission public hearings shall be in conformance with the requirements provided in subsection 2 -153(c), except that it shall be the responsibility of the applicant to provide the director of planning and development services the mailing lists of the names and addresses of those entitled to receive notice under subsection 2-153(c). The noticing provisions contained subsection 2- 153(c) shall supersede those contained in section 41 -672. Section 3. Article XI entitled “Lobbyist Registration” is hereby added to Chapter 2 of the Santa Ana Municipal Code to read in its entirety as follows (new language is underlined): City Council 27 –9 11/16/2021 Ordinance No. NS-XXX Page 4 of 7 ARTICLE XI.- LOBBYIST REGISTRATION Sec. 2-905.- Purpose. In order to ensure public confidence and the integrity of local government, Lobbyists should be required to register themselves and file disclosure reports with the Clerk of Council regarding the nature of their lobbying efforts, compensation, donations, and fundraising efforts. Sec. 2-906.– Definitions. (a)“City official” shall mean any elected or appointed official of the City of Santa Ana, city officer as defined in Section 2-300 of this Code , or member of a legislative body or advisory board or commission established by action of the City Council under authority of the City Charter, Municipal Code, or resolution. (b)“Gift” shall have the same meaning as in the Political Reform Act. (c)“Lobbyist” shall mean a person or business entity that received $250 or more in a calendar year for communicating, using any means, with a City official or employee to influence current or future City legislation, administrative decisions, City Council elections, or local initiative measures. This includes an employee, officer or director of an entity whose duties include communicating, either directly or through an agent, with city officials or City employees to influence any proposed or pending governmental, legislative or administrative action of the City. This definition shall only apply to this Article. Sec. 2-907.- Registration . (a)Any individual or entity that qualifies as a Lobbyist pursuant to this Article shall register with the Clerk of Council within fifteen (15) days of qualifying as a Lobbyist. (b)No person who qualified as a Lobbyist shall contact or communicate with any city official without first registering as a Lobbyist and identifying himself or herself as a Lobbyist. (c)Any individual or entity that registers as a lobbyist shall retain that status through December 31 of that year unless and until the individual or entity terminates the status as set forth below. (d)Any individual or entity registered pursuant to this Article shall file a termination statement with the Clerk of Council within 15 days after ceasing activities governed by this Article. The form of the termination statement shall be provided by the Clerk of Council. Sec. 2-908.- Exemptions from registration. City Council 27 –10 11/16/2021 Ordinance No. NS-XXX Page 5 of 7 5 The following persons or entities are exempt from registration as a Lobbyist: (a)Any public official acting in his or her official capacity; (b)Any government official or government employee acting in his or her official capacity; and (c)Any organization exempt from federal taxation pursuant to Section 501(c)(3) of the Internal Revenue Code, which receives funding from any federal, state or local government agency for the purpose of representing the interests of indigent persons and whose primary purpose is to provide direct services to those persons, if the individual or individuals represented by the organization before any City agency provide no payment to the organization for that representation. This exemption shall not apply to direct contacts with a city official in any situation other than a publicly noticed meeting, for the purpose of attempting to influence a city decision with regard to any city funding which the organization is seeking. (d)A newspaper or other regularly published periodical, radio or television stati on or network, including any individual who owns, publishes or is employed by such newspaper, periodical, station or network, when in the ordinary course of business, it publishes or broadcasts news, editorials or other comments, or paid advertising, which directly or indirectly attempts to influence City officials or employees regarding current or future City legislation, administrative decisions, or City Council elections or local initiative measures. Sec. 2-909.- Required quarterly disclosure reports. (a)Lobbyists shall file quarterly disclosure reports with the Clerk of Council specifying in detail the following: 1)The nature of the issues they are trying or tried to influence through lobbying of City officials; 2)Identify each client and the amount of compensation received from each client for communicating, using any means, with City officials to influence current or future City legislation, administrative decisions, City Council elections, or local initiative measures; 3)All campaign contributions or gifts to elected City officials; 4)All campaign contributions to a controlled committee of an elected City official; 5)All fundraising activities conducted on behalf of elected City officials; 6)All contributions or gifts to political campaigns; 7)All contributions or gifts made at the behest of elected City officials; 8)All contributions or gifts to political campaigns made at the behest of elected City officials; City Council 27 –11 11/16/2021 9)All contributions or gifts to registered domestic non-profit organizations made at the behest of elected City officials; 10) All contributions or gifts to religious institutions made at the behest of elected City officials; 11) All contributions or gifts to non-profits made at the behest of elected City officials; 12) All payment received for services as a consultant to the City or any City agency; 13) Any compensated work done for a political campaign of an elected City official; and 14) Disclosures shall cover the past two years. (b)Each quarterly report will be on a form prepared by the Clerk of Council and filed with the Clerk of Council no later than January 1 st, April 1st, July 1st, and September 1st of every year starting in 2022. Sec. 2-910.- Registration fee. The City may charge a Lobbyist Registration Fee to cover the costs associated with processing the Lobbyist Registration. The Lobbyist Registration Fee shall be in such amount established by resolution of the City Council. Sec. 2-911.-Disclosure reports made available to the public. The Clerk of Council shall make all Lobbyist disclosure reports available online to the public and copies available through the Clerk of Council’s office. Sec. 2-912.- Penalty for violation. (a)Any person who knowingly or willfully violates any provision of this Article, causes another person to knowingly or willfully violate this article, or knowingly or willfully aides or abets any person to violate this article is guilty of a misdemeanor. (b)Any person convicted of violating this Article may not act as a Lobbyist within the city or otherwise attempt to influence city legislation for compensation for one year after such a conviction. (c)Residents of the City of Santa Ana shall have standing to bring a civil action for enforcement of this Article. Section 4. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that Ordinance No. NS-XXX Page 6 of 7CityCouncil 27 –12 11/16/2021 Ordinance No. NS-XXX Page 7 of 7 7 it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections , subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. Section 5. This Ordinance shall become effective thirty (30) days after its adoption. Section 6. The Clerk of Council shall certify the adoption of this Ordinance and shall cause the same to be published as required by law. ADOPTED this ____ day of November, 2021. _________________________ Vicente Sarmiento Mayor APPROVED AS TO FORM Sonia R. Carvalho City Attorney By: Laura A. Rossini Chief Assistant City Attorney AYES: Councilmembers: _________________________________ NOES: Councilmembers: _________________________________ ABSTAIN: Councilmembers: _________________________________ NOT PRESENT: Councilmembers: _________________________________ CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS-XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on ______________, 2021, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: ______________ _____________________________ Daisy Gomez Clerk of the Council City of Santa Ana City Council 27 –13 11/16/2021 Planning and Building Agency www.santa-ana.org/pb Item # 28 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Code Enforcement Abatement Action AGENDA TITLE: Public Hearing - Recovery cost and Expenditures in an Amount of $39,604.19 Incurred by the City for Weed, Rubbish, and Garbage Abatement Within Private Property Located at 837 N. Ross Street Centro Cultural De Mexico en el Condado de Orange RECOMMENDED ACTION Adopt a resolution affirming the acceptance of the Weed, Rubbish, and Garbage Abatement report and confirm the Code Enforcement Division description for the recovery of the costs in an amount of $39,604.19, associated with the execution of the Inspection and Abatement Warrant on May 13, 2021, at 837 N. Ross Street, owned by Centro Cultural de Mexico en el Condado de Orange. DISCUSSION Santa Ana Municipal Code (SAMC) Section 16-48 prohibits the presence of weeds, rubbish, and garbage, among other items accumulated upon or in front of a property. Furthermore, SAMC 41-190 (a) prohibits any building or land to be used for any purpose other than that which is permitted in the district or modified district in which such building or land is located. Properties with these types of code violations create a negative impact and can be dangerous and injurious to neighboring properties and the health and welfare of residents in the community. In accordance with Santa Ana Municipal Code Section 16-49 and 16-50, when unsightly or unsafe conditions are identified, City staff provides notices requiring abatement of such conditions. As permitted by SAMC 16-49(b) and SAMC 1-8, a formal notice may also be mailed to provide similar notice that immediate action must be taken to abate the public nuisances. Ultimately, the property owner is responsible for ensuring the general property maintenance of the property and compliance with all the provisions of the Santa Ana Municipal Code. If the issue is not addressed by the prescribed date indicated in the notice(s), the City has the ability to take action to perform the abatement work through its own City staff and/or contractor. Between April 22, 2020 and April 20, 2021, the City of Santa Ana received 179 complaints regarding 837 N. Ross Street concerning the accumulation of trash, debris, and general City Council 28 –1 11/16/2021 Code Enforcement Abatement Action November 16, 2021 Page 2 2 2 3 8 lack of property maintenance along with the improper land use violation associated with the property owner consenting an unpermitted encampment on the premises. As part of the enforcement effort, the Code Enforcement Division issued a warning notice on May 7, 2020, to the property owner regarding violations of SAMC sections 16-48 (noxious growth, rubbish, garbage prohibited) and 41-190(a) (Use not permitted) relating to the unpermitted encampments on the premises parking lots and creating an increasingly negative and unsafe, unhealthy environment for the surrounding properties and residents. As part of the continuing enforcement efforts, the Code Enforcement Division issued additional Administrative Citation fines on December 2, 2020 ($100); December 7, 2020 ($200); December 14, 2020 ($500); and January 4, 2021 ($1000). Each time the Administrative Citation fines was mailed via certified and regular mailed as prescribed by the municipal code and ensuring due process. This method further ensures the property owner is aware of the violations and required corrections of the City codes. Notwithstanding the Code Enforcement Division’s enforcement actions and in an effort to assist the property owner obtain compliance, the City reached an agreement with the 837 N. Ross property owner to suspend additional issuance of fines and allow an extended period to comply. As part of the agreement, the City also provided additional services that included but were not limited to hosting two outreach events at the premises, provide mental health and shelter assistance as well as portable restrooms and wash stations to assist the encampment occupants. Unfortunately, despite the mutual agreement, the property owner was unable to abate the violations and bring the property into compliance in the prescribed and accorded dateline. As such, the Code Enforcement Division, through the City Attorney’s Office, requested and obtained an Inspection and Abatement Warrant to abate all outstanding violations from the Orange County Superior Court. The inspection abatement warrant allowed the abatement of the nuisance conditions at the exterior of the property by thoroughly cleaning the area, removing all garbage, trash, and debris in order to render the area safe. On May 13, 2021, in collaboration with the City’s Quality of Life Team and participation of the Public Works Agency, Santa Ana Police Department, Community Development Agency, Parks and Recreation Services; the Inspection and Abatement Warrant was executed at 837 N. Ross Street. Pursuant to the Santa Ana Municipal Code authority outlined in sections 16-55 and 16- 56, the Code Enforcement Division hereby provides a summary of the costs associated with the execution of the one Inspection and Abatement warrant totaling $39,604.19, which includes City staff time and City equipment. The adoption of the attached resolution will enable the city to invoice and pursue collection of costs and expenditures incurred by the city associated with the abatement efforts. City Council 28 –2 11/16/2021 Code Enforcement Abatement Action November 16, 2021 Page 3 2 2 3 8 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT All Administrative Staff recovered costs will be recorded in Miscellaneous Recoveries Account (No. 01116002-57010). Fiscal Year Accounting Unit – Account # Fund Description Account Unit, Account Description Amount FY 2021-22 01116002- 57010 General Fund Planning & Building Agency- Administration - Miscellaneous Recoveries $39,604.19 EXHIBIT(S) 1. Resolution 2. Inspection and Abatement Warrant Costs Submitted By: Minh Thai, Executive Director, Planning and Building Agency Approved By: Kristine Ridge, City Manager City Council 28 –3 11/16/2021 ` Resolution No. 2021-XXX Page 1 of 3 RESOLUTION NO. 2021-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CONFIRMING THE COSTS AND EXPENDITURES INCURRED BY THE CITY FOR WEED, RUBBISH, AND GARBAGE ABATEMENT WITHIN PRIVATE PROPERTY LOCATED AT 837 NORTH ROSS STREET, AND MAKING, CONFIRMING, AND LEVYING ASSESSMENTS FOR SUCH COSTS WHEREAS, in accordance with Santa Ana Municipal Code Sections 16-49 and 16-50, when unsightly or unsafe conditions of rubbish, garbage, or noxious growths are identified, the City provides notices to the respective property owners requiring abatement of such conditions; and WHEREAS, if the property is not cleaned by the prescribed date in the notices, the City may take action to perform abatement work through its own staff and/or a contractor and recover the costs of such abatement; and WHEREAS, between April 22, 2020 and April 20, 2021, the City received 179 complaints regarding 837 N. Ross Street concerning the accumulation of trash, debris, and general lack of property maintenance along with an improper land use violation associated with the property owner’s consent of unpermitted encampments on the premises; and WHEREAS, the property at 837 N. Ross Street is owned by Centro Cultural de Mexico en el Condado de Orange; and WHEREAS, the Code Enforcement Division issued a warning notice on May 7, 2020 to the property owner for violations of SAMC sections 16-48 (noxious growths, rubbish, garbage prohibited) and 41-190(a) (nonpermitted use of land and building); and WHEREAS, the Code Enforcement Division thereafter issued Administrative Citation fines on December 2, 2020, December 7, 2020, December 14, 2020, and January 4, 2021; and WHEREAS, despite an initial agreement to stay further enforcement actions and other City measures to assist the property owner with compliance, it became necessary for the City to obtain an inspection and abatement warrant from the Orange County Superior Court to permit the City to abate the nuisance conditions at the exterior of the property, specifically to clean the area and remove all garbage, trash, and debris in order to render the area safe; and WHEREAS, on May 13, 2021, in collaboration with the City’s Quality of Life Team and participation of the Public Works Agency, Santa Ana Police Department, Community Development Agency, and Parks and Recreation Services, the City executed the above warrant at 837 N. Ross Street; and EXHIBIT 1 City Council 28 –4 11/16/2021 ` Resolution No. 2021-XXX Page 2 of 3 WHEREAS, pursuant to the Santa Ana Municipal Code authority outlined in sections 16-55 and 16-56, the Code Enforcement Division has provided an itemized written report of costs associated with the execution of the Inspection and Abatement warrant totaling $39,604.19, a copy of which is attached as Exhibit A; and WHEREAS, notice was given that on November 16, 2021, at 5:45 p.m. or as soon as possible thereafter, in the Santa Ana City Council Chambers, 22 Civic Center Plaza, Santa Ana, California, a public hearing would be held by the City Council to consider the report, at which any and all persons interested in such report would be heard; and WHEREAS, the City Council, at the time and place set for hearing, received, heard, and considered the report and all objections thereto submitted by property owners liable to be assessed for the abatement, and directed any modification of the report as it deemed necessary; and WHEREAS, the adoption of this Resolution will enable the city to properly invoice and pursue collection of costs and expenditures incurred by the City associated with the above abatement efforts. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Ana as follows: Section 1. The itemized written report of costs associated with the execution of the inspection and abatement warrant at 837 N. Ross Street, a copy of which is attached as Exhibit A, is hereby confirmed. Section 2. These costs shall be made and assessed against the property and shall be collected from the owner of the property. In accordance with Santa Ana Municipal Code sections 16-57 and 16-58, these costs shall constitute a lien on the property until paid, and a copy of the report shall be filed with the Orange County Auditor-Controller. Section 3. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this _____ day of ____________, 2021. ________________________________ Vicente Sarmiento Mayor City Council 28 –5 11/16/2021 ` Resolution No. 2021-XXX Page 3 of 3 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: John M. Funk Sr. Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers _ CERTIFICATION OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2021-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on _______________. Date: ______________________ ________________________________ Clerk of the Council City of Santa Ana City Council 28 –6 11/16/2021 Date Department Employee Title Regular Wage Regular Hours Overtime Wage Overtime Hours Total Department Total 5/13/2021 PWA Luzanna Guillen Street Maintenance Supervisor 38.57$ 7 269.99$ 5/13/2021 PWA Octavio Montes Public Works Crew Leader 33.14$ 7 231.98$ 5/13/2021 PWA Juan Ixta Public Works Crew Leader 34.74$ 7 243.18$ 5/13/2021 PWA Keith Knudsen Maintenance Worker I 23.39$ 7 163.73$ 5/13/2021 PWA Mario Moreno Maintenance Worker I 23.39$ 7 163.73$ 5/13/2021 PWA Elizabeth Rubio PW Projects Specialist 44.69$ 7 312.83$ 5/13/2021 PWA Arturo Rodriguez Asst. PW Maintenance Mgr 58.11$ 7 406.77$ 5/13/2021 PWA Pedro Guillen Deputy PW Director/Maint Svcs 84.68$ 7 592.76$ 5/13/2021 PWA Landscape West Contractor (4 teams of 2 = Quantity 8 31.55$ 7 1,766.80$ 5/13/2021 PWA Truck Quantity 3 4.07$ 7 85.46$ 5/13/2021 PWA Dump Truck Quantity 1 5.03$ 7 35.22$ 5/13/2021 PWA Backhoe Quantity 1 4.76$ 7 33.32$ 5/13/2021 PWA Loader Quantity 1 3.28$ 7 22.98$ 4,328.75$ 5/7/2021 CMO Steven Mendoza Assistant City Manager 146.06$ 2 292.12$ 5/11/2021 CMO Steven Mendoza Assistant City Manager 146.06$ 2 292.12$ 5/13/2021 CMO Steven Mendoza Assistant City Manager 146.06$ 3 438.18$ 1,022.42$ 5/7/2021 CDA Terri Eggers Homeless Services Manager 71.79$ 2 143.58$ 5/11/2021 CDA Terri Eggers Homeless Services Manager 71.79$ 2 143.58$ 5/13/2021 CDA Terri Eggers Homeless Services Manager 71.79$ 6 430.74$ 717.90$ 5/13/2021 City Net BATES, MATTHEW 24.50$ 1 24.50$ 5/13/2021 City Net BEESON, NICHOLAS 24.50$ 8 36.75$ 0.08 198.94$ 5/13/2021 City Net BELTRAN, CONCEPCION 24.50$ 8 36.75$ 0.08 198.94$ 5/13/2021 City Net GRANT, ELIZABETH 24.50$ 8 196.00$ 5/13/2021 City Net GUTIERREZ VERDEJO, MINERVA 24.50$ 8 36.75$ 0.07 198.57$ 5/13/2021 City Net HURTADO, AIMEE 24.50$ 8 36.75$ 0.08 198.94$ 5/13/2021 City Net ILER, ALISANN 24.50$ 1 24.50$ 5/13/2021 City Net LITTLEJOHN, ROSALINDA 24.50$ 1.5 36.75$ 5/13/2021 City Net MENDEZ CLARA, GUILLERMO 24.50$ 8 196.00$ 5/13/2021 City Net MOFFA, DANIELLE 24.50$ 8 196.00$ 5/13/2021 City Net SANTIAGO, ADAM 24.50$ 8 196.00$ 1,665.14$ 5/13/2021 SAPD Sgt. Juan Montiel #2569 Seargent 127.06$ 6.5 825.89$ 5/13/2021 SAPD Cpl. Cassandra Hawkins Corporal 90.21$ 6.5 586.37$ 5/13/2021 SAPD Ofc. Amanda Brown #3423 Officer 86.41$ 6.5 561.67$ 5/13/2021 SAPD Ofc. Erick O’Rourke #3537 Officer 86.46$ 6.5 561.99$ 5/13/2021 SAPD Ofc. Jesse Smith #3658 Officer 69.90$ 6.5 454.35$ 5/13/2021 SAPD Ofc. Nickolas Cavendish #3664 Officer 76.57$ 6.5 497.71$ 5/13/2021 SAPD Ofc. Steven Stuczynski #3371 Officer 79.30$ 6.5 515.45$ 5/13/2021 SAPD Ofc. Joshua Coleman #3489 Officer 76.12$ 6.5 494.78$ 5/13/2021 SAPD Ofc. Ryan Bell #3517 Officer 83.15$ 6.5 540.48$ 5/13/2021 SAPD Ofc. Michael Smith #3456 Officer 86.55$ 6.5 562.58$ 5/13/2021 SAPD Ofc. James Babinski #3515 Officer 86.53$ 6.5 562.45$ 5/13/2021 SAPD Ofc. Axel Calles #3388 Officer 86.96$ 6.5 565.24$ 6,728.93$ 5/7/2020 PBA Jerry Navarro Code Enforcement Officer 44.69$ 2 89.38$ 5/18/2020 PBA Jerry Navarro Code Enforcement Officer 44.69$ 1.5 67.04$ 8/13/2020 PBA Jerry Navarro Code Enforcement Officer 44.69$ 2 89.38$ 12/2/2020 PBA Jerry Navarro Code Enforcement Officer 44.69$ 1 44.69$ 12/14/2020 PBA Jerry Navarro Code Enforcement Officer 44.69$ 2 89.38$ INSPECTION AND ABATEMENT WARRANT COSTS (837 N. Ross Street) EXHIBIT 2 City Council 28 –7 11/16/2021 12/29/2020 PBA Jerry Navarro Code Enforcement Officer 44.69$ 1.5 67.04$ 1/3/2021 PBA Jerry Navarro Code Enforcement Officer 44.69$ 0.5 22.35$ 1/4/2021 PBA Jerry Navarro Code Enforcement Officer 44.69$ 0.5 22.35$ 2/24/2021 PBA Jerry Navarro Code Enforcement Officer 44.69$ 1 44.69$ 3/1/2021 PBA Jerry Navarro Code Enforcement Officer 44.69$ 2 89.38$ 3/9/2021 PBA Jerry Navarro Code Enforcement Officer 44.69$ 3 134.07$ 3/18/2021 PBA Jerry Navarro Code Enforcement Officer 44.69$ 1 44.69$ 4/5/2021 PBA Jerry Navarro Code Enforcement Officer 44.69$ 4 178.76$ 4/23/2021 PBA Jerry Navarro Code Enforcement Officer 44.69$ 2 89.38$ 4/26/2021 PBA Jerry Navarro Code Enforcement Officer 44.69$ 1 44.69$ 5/3/2021 PBA Jerry Navarro Code Enforcement Officer 44.69$ 1 44.69$ 5/7/2021 PBA Jerry Navarro Code Enforcement Officer 44.69$ 1 44.69$ 5/13/2021 PBA Jerry Navarro Code Enforcement Officer 44.69$ 9 402.21$ 5/13/2021 PBA Cesar Jimenez Code Enforcement Officer 44.69$ 9 402.21$ 2,011.05$ 5/13/2021 CAO Jose Montoya Deputy City Attorney 225.00$ 102.8 23,130.00$ 23,130.00$ TOTAL 39,604.19$ City Council 28 –8 11/16/2021 Planning and Building Agency www.santa-ana.org/pb Item # 29 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: Zoning Ordinance Amendment No. 2021-03 AGENDA TITLE: Public Hearing - Zoning Ordinance Amendment No. 2021-03 - An Ordinance of the City Council of the City of Santa Ana Repealing and Reenacting in its Entirety Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code Regarding the Housing Opportunity Ordinance RECOMMENDED ACTION Consider the recommendations made by the Planning Commission and take one of the following options: 1. Approve first reading of the Ordinance as presented; or 2. Approve first reading of the Ordinance incorporating the changes recommended by the Planning Commission; or 3. Approve first reading of the Ordinance with the incorporation of changes desired by the City Council. BACKGROUND AND DISCUSSION Planning Commission Recommendations: The City Planning Commission held a public hearing on the proposed draft Ordinance on October 25, 2021. The Commission voted 4:3:0 (Ayes: Alderete, Pham, Ramos, Woo; Noes: Calderon, McLoughlin, Morrissey) to forward the draft Ordinance with the following recommendations: 1. Increase the minimum inclusionary percentage for all income categories 2. Increase the minimum starting dollar amount in the proposed in-lieu fee sliding scale 3. Permit projects that have been approved (entitled) by the City prior to the adoption date of the proposed Ordinance to vest the existing regulations and provisions of the Housing Opportunity Ordinance under Ordinance No. NS-2994 For ease of reference, the redline and clean versions of the Ordinance as presented to the Planning Commission are attached as Exhibit 1. In addition, the redline and clean City Council 29 –1 11/16/2021 Zoning Ordinance Amendment No. 2021-03 November 16, 2021 Page 2 2 2 3 7 versions of the Ordinance with the incorporation of changes recommended by the Planning Commission are attached as Exhibit 4. For comparison purpose, the Commission’s recommended changes are further outlined and discussed in Table 1 below alongside the original changes discussed by the City Council and the Housing Ad Hoc Committee. Table 1: Summary of Key Amendments & Planning Commission Recommended Changes Code Section Subject Summary of Key Amendments Planning Commission Recommended Changes & Staff’s Analysis Title Update Title: 2021 AFFORDABLE HOUSING OPPORTUNITY & CREATION ORDINANCE The updated title will provide clarity and distinction from prior versions of the ordinance. No recommended changes by the Commission. 41-1900 Purpose: Expands the scope of the ordinance This section has been modified to also require affordable housing for zoning classification changes exceeding permitted densities No recommended changes by the Commission. 41-1901 Definition: Deletes “Entitled Residential Project” and “Prior Project” definition and modifies various definitions to include a new category for extremely low-income The provisions for “Entitled Residential Projects” and “Prior Projects” no longer apply after October 1, 2021. A new category of extremely low-income has been added to also prioritize production of housing for this income category. No recommended changes by the Commission. City Council 29 –2 11/16/2021 Zoning Ordinance Amendment No. 2021-03 November 16, 2021 Page 3 2 2 3 7 41-1902 Applicability: Establishes new standards for projects that need to comply with the ordinance This section is amended to revert the language to the previous HOO before it was previously amended in October 2020. The HOO would apply to projects of 5 or more units that will require a zone change or general plan amendment, including city initiated zone changes and general plan amendments since November 28, 2011 (The current ordinance only applies to projects that are requesting an increase in the density permitted by the General Plan). It also establishes the applicability of the ordinance to projects that have not been issued a building permit or have not paid their HOO in-lieu fee as of November 17, 2021. To incentivize the construction of extremely low-income units and blended income projects, the amendment also adds a percentage of rental units that may be built on-site for extremely low-income households equal to 5 percent of the total number of units, and 10 percent for a blended income project of which, 5 percent, 3 percent, and 2, percent respectively shall be for low, very low, and extremely low income. Commission recommended change: Allow projects that have received entitlement approvals under existing Ordinance No. NS- 2994 to vest the provisions of the existing ordinance and to not be subjected to the provisions of the proposed ordinance. Discussion: This recommendation would provide the opportunity for currently entitled development projects to vest the regulations and provisions of the HOO in effect at the time when the project was proposed and approved by the City. It will also help to maintain the financial assumptions and constructability of the project as approved. ------------------------ Commission recommended change: For rental units, increase the minimum inclusionary percentage for each income level as follows: Low Income: Increase to 20% from 15% Very Low Income: Increase to 15% from 10% Extremely Low Income: Increase to 10% from 5% Mixed Income: Increase to 15% from 10%, of which, 5% each will be allocated to each of the three target income levels. Discussion: Prior to considering increasing the inclusionary percentage in the draft Ordinance, additional analysis is recommended to evaluate the impacts of these changes to the constructability of a project. 41-1903 Exempt Projects: Clarifies which projects are not subject to the ordinance This section is amended to delete the language regarding applications deemed complete prior to November 28, 2011 and further clarify the exclusions to the HOO that may be agreed upon by City Council in a development agreement. Discussion: To be consistent with the changes recommended by the Commission under section 41-1902 above, this section can be clarified to also include a provision addressing projects to be vested under Ordinance No. NS-2994 and to include a vesting project list. These changes will provide clarity for the future application and implementation of the Ordinance. The proposed vesting list is included as Exhibit 5 to this report. City Council 29 –3 11/16/2021 Zoning Ordinance Amendment No. 2021-03 November 16, 2021 Page 4 2 2 3 7 41-1904 In-Lieu Fee Option: Revises the in-lieu fee and changes the timing of payment This section is amended to increase the in-lieu fee from $5 per habitable square foot to establish a sliding scale with a $5 - $15 range per habitable square foot. Units Fee Per Square Foot of Habitable Area 5 – 9 $6.00 10 – 14 $9.00 15 – 19 $12.00 20 or more $15.00 This section also removes the prior incentive for “Entitled Residential Projects” to obtain building permits during the current economic climate. The provision for “Entitled Residential Projects” no longer applies after October 1, 2021. The amendments also extend the timing of payment from issuance of the building permit to issuance of the certificate of occupancy, allowing a developer the option to pay after the project is developed in order to make the larger fee more reasonable and to help reduce carrying costs during construction. Commission recommended change: Modify the sliding scale to range between $10 - $15 in place of $6 - $15 as follows: Units Fee Per Square Foot of Habitable Area 5 – 9 $10.00 10 – 14 $11.66 15 – 19 $13.32 20 or more $15.00 Discussion: Prior to considering increasing the bottom step of the sliding scale and reducing the differential between each step in the draft Ordinance, additional analysis is recommended to evaluate the constructability of a project in the 5-19 unit categories. It is challenging for small infill projects to construct affordable units onsite. If the in-lieu fee amount is not aligned with the market gap, these smaller projects may not be feasible. The Commission also discussed the need to provide clarity regarding the timing of payment of the vested in-lieu fee when the City approves a phased development project. To be consistent with the timing provision that permits construction of affordable units proportional with each phase (Section 41-1906(b)of the draft Ordinance) of a project, an approved phased development project should also be allowed to time the payment proportional with each phase as well. This change would meet the intent of reducing the carrying cost during the project construction phase. 41-1904 (c)(1)(i) & (ii) Skilled and Trained Workforce Incentives and Sliding Scale In-Lieu Fee Schedule: Incentive to utilize a skilled and trained workforce and local hire This section is amended to incorporate a skilled and trained workforce incentive and a sliding scale for the reduction of the in- lieu fee to $5 or $10, depending on the level of utilization of a skilled and trained workforce and local hire. This change also incorporates a local hire incentive where a developer of 15 or more housing units would include a 35-percent minimum local hire component as part of the skilled and trained workforce. No recommended changes by the Commission. City Council 29 –4 11/16/2021 Zoning Ordinance Amendment No. 2021-03 November 16, 2021 Page 5 2 2 3 7 In summary, if the City Council desires to incorporate Planning Commission recommendations 1 and 2, additional analysis should be completed to fully evaluate their impacts to the constructability of a project. Planning Commission recommendation 3 can be incorporated without the need to complete additional analysis of the impacts on the constructability of a project. Background and Process: On November 28, 2011, the Santa Ana City Council adopted Ordinance No. NS-2825, known as the Housing Opportunity Ordinance and appearing as “Article XVIII.I. – Housing Opportunity Ordinance” (“Housing Opportunity Ordinance”) of Chapter 41 (Zoning) of the Santa Ana Municipal Code. The Housing Opportunity Ordinance was adopted to implement the City’s Housing Element Goal of providing affordable housing within the City. On September 1, 2015, the City Council adopted Ordinance No. NS-2881, which amended the Housing Opportunity Ordinance in various respects, including applicability, options to satisfy inclusionary requirements, and calculation of the in-lieu housing fee. These amendments were intended to make the inclusionary housing requirements more predictable for housing developers and to incentivize the production of more affordable housing. In response to impacts of the COVID-19 pandemic on the development and construction of housing in the City, including the reduction of housing starts, the City Council adopted Ordinance No. NS-2994 on September 1, 2020. Ordinance No. NS-2994 further amended the Housing Opportunity Ordinance to lower the in-lieu fee option amount for all projects from $15 to $5 per square foot, adjust the trigger of the ordinance, and expand the eligible uses of in-lieu fees collected by the City. 41-1909 Inclusionary Housing Fund: Clarifies the use of the in-lieu fees collected This section is amended to further clarify the use of in-lieu fees paid to the City. It provides the Community Development Agency with a priority for the use of the funds for large families and allows the funds to be used for additional one-time programs addressing housing security, eviction prevention, and housing legal assistance for city residents. This section is also amended to strengthen and emphasize the goal for projects that receive inclusionary housing funds to negotiate in good faith to utilize a skilled and trained workforce with a local hire component. No recommended changes by the Commission. 41-1910 In-lieu fee calculation: Provides for periodic review at the option of the City Council; deletes “Prior Projects” This section is amended to provide for periodic review of the in-lieu fee when determined to be appropriate by the City Council. The amendment also deletes the paragraph on “Prior projects” since it is no longer applicable. No recommended changes by the Commission. City Council 29 –5 11/16/2021 Zoning Ordinance Amendment No. 2021-03 November 16, 2021 Page 6 2 2 3 7 On March 2, 2021, at the direction of the City Council, an Ad Hoc Committee for Housing was formed. The Ad Hoc Committee reviewed the Housing Opportunity Ordinance and recommended certain changes. The Ad Hoc Committee’s recommendations were presented, discussed, and commented on by the City Council at the regular meetings of July 6th, July 26th, and September 7th of 2021. At the meetings, the City Council also provided a forum to receive input from key stakeholders and members of the public. On October 5, 2021, the City Council provided direction to staff to prepare amendments to the Housing Opportunity Ordinance and to initiate the adoption public hearing process. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. It is recommended that the City Council finds and determines that this Ordinance is not subject to the California Environmental Quality Act (CEQA) pursuant to Sections 15060(c)(2) and 15060(c)(3) of the State CEQA Guidelines because it will not result in a direct or reasonably foreseeable indirect physical change in the environment, as there is no possibility it will have a significant effect on the environment and it is not a "project", as defined in Section 15378 of the CEQA Guidelines. Furthermore, even if the proposed Ordinance is considered a project, it falls within the "common sense" CEQA exemption set forth in CEQA Guidelines Section 15061(b)(3), excluding 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." Adoption of this Ordinance will not have a significant effect on the environment because the proposed changes will only modernize, update, and clarify existing affordable and inclusionary housing requirements responding to the current economic and housing trends in the City and will not cause a physical change in the environment. FISCAL IMPACT There is no fiscal impact associated with this action. EXHIBIT(S) 1. Redline and Clean versions of draft Ordinance adopting Zoning Ordinance Amendment No. 2021-03 2. City Council Public Hearing Notice 3. Planning Commission staff report, exhibits, presentation, and written public comments of October 25, 2021 are incorporated herein by reference and can be viewed at the following link: Item - PrimeGov Portal 4. Redline and Clean versions of draft Ordinance adopting Zoning Ordinance Amendment No. 2021-03 with the incorporation of Planning Commission Recommendations 5. Proposed 2021 List of Entitled Projects Vested Under the Regulations and Provisions of Ordinance No. NS-2994 Submitted: Minh Thai, Executive Director, Planning and Building Agency City Council 29 –6 11/16/2021 Zoning Ordinance Amendment No. 2021-03 November 16, 2021 Page 7 2 2 3 7 Approved By: Kristine Ridge, City Manager City Council 29 –7 11/16/2021 Ordinance No. NS-XXX Page 1 of 18 ORDINANCE NO. NS-________ ZONING ORDINANCE AMENDMENT NO. 2021-03 AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REPEALING AND REENACTING IN ITS ENTIRETY ARTICLE XVIII.I. OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE REGARDING THE HOUSING OPPORTUNITY ORDINANCE 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. On November 28, 2011, the Santa Ana City Council adopted Ordinance No. NS-2825, known as the Housing Opportunity Ordinance and appearing as “Article XVIII.I. – Housing Opportunity Ordinance” (“Housing Opportunity Ordinance”) of Chapter 41 of the Santa Ana Municipal Code. The Housing Opportunity Ordinance was adopted to implement the City’s Housing Element Goal of providing affordable housing within the City. B. On September 1, 2015, the City Council adopted Ordinance No. NS-2881, which amended the Housing Opportunity Ordinance in various respects, including applicability, options to satisfy inclusionary requirements, and calculation of the in-lieu housing fee. These amendments were intended to make the inclusionary housing requirements more predictable for housing developers and to incentivize the production of more affordable housing. C. In response to impacts of the COVID-19 pandemic on the development and construction of housing in the City, including the reduction of housing starts, the City Council adopted Ordinance No. NS-2994 on September 1, 2020. Ordinance No. NS- 2994 further amended the Housing Opportunity Ordinance to lower the in-lieu housing fee for all projects from $15 to $5 per square foot, adjust the trigger of the ordinance, and expand the eligible uses of in-lieu fees collected by the City. D. On March 2, 2021, at the direction of the City Council, an Ad Hoc Committee for Housing was formed. The Ad Hoc Committee reviewed the Housing Opportunity Ordinance and recommended certain changes. The Ad Hoc Committee’s recommendations were presented and discussed at the City Council Meeting on July 6, 2021. E. On July 26, 2021, the City Council conducted a work-study session to further evaluate the Committee’s recommendations and to receive input from key stakeholders and members of the public. The City Council provided direction to staff to prepare amendments to the Housing Opportunity Ordinance concerning the applicability City Council 29 –8 11/16/2021 Ordinance No. NS-XXX Page 2 of 18 and triggers for the ordinance, adjustments to the in-lieu fee calculation, set-aside units, and options for satisfaction of inclusionary requirements. F. On September 7, 2021, the City Council further considered this matter and provided additional direction to staff regarding proposed amendments to the Housing Opportunity Ordinance. G. At the City Council meeting of October 5, 2021, staff received direction to initiate the adoption hearing in order for the City Council to consider the changes recommended by the Housing Ad Hoc Committee. H. On October 25, 2021, the Planning Commission held a duly noticed public hearing on the proposed amendments and considered the staff report, recommendations by staff, and public testimony concerning the proposed Ordinance. The Planning Commission recommended that the City Council adopt the proposed Ordinance. I. The Request for City Council Action for this Ordinance dated __________, 2021 and duly signed by the Executive Director of the Planning and Building Agency shall, by this reference, be incorporated herein, and together with this ordinance, any amendments or supplements, and oral testimony, constitute the necessary findings for this ordinance. Section 2. The City Council finds and determines that this Ordinance is not subject to the California Environmental Quality Act (CEQA) pursuant to Sections 15060(c)(2) and 15060(c)(3) of the State CEQA Guidelines because it will not result in a direct or reasonably foreseeable indirect physical change in the environment, as there is no possibility it will have a significant effect on the environment and it is not a "project", as defined in Section 15378 of the CEQA Guidelines. Furthermore, the proposed Ordinance falls within the "common sense" CEQA exemption set forth in CEQA Guidelines Section 15061(b)(3), excluding 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." Adoption of this Ordinance will not have a significant effect on the environment because the proposed changes will only modernize, update, and clarify existing affordable and inclusionary housing requirements responding to the current economic and housing trends in the City and will not cause a physical change in the environment. Section 3. Article XVIII.I of Chapter 41 of the Santa Ana Municipal Code is hereby repealed in its entirety. Section 4. Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code is hereby reenacted and amended to read in its entirety as follows: ARTICLE XVIII.I. - 2021 AFFORDABLE HOUSING OPPORTUNITY AND CREATION ORDINANCE City Council 29 –9 11/16/2021 Ordinance No. NS-XXX Page 3 of 18 Sec. 41-1900. Purpose. This article establishes standards and procedures to encourage the development of housing that is affordable to a range of households with varying income levels. The purpose of this article is to encourage the development and availability of affordable housing by requiring the inclusion of affordable housing units within new developments or the conversion of rental units to condominium ownership when the number of units exceed the densities permitted under the general plan. , zoning classification, or the conversion of rental units to condominium ownership. Sec. 41-1901. Definitions. As used in this article, the following terms shall have the following meanings: Adjusted for household size appropriate for the unit means a household of one person in the case of a studio unit, two (2) persons in the case of a one-bedroom unit, three (3) persons in the case of a two-bedroom unit, four (4) persons in the case of a three- bedroom unit, and five (5) persons in the case of a four-bedroom unit. Administrative procedures means those regulations promulgated by the executive director pursuant to section 41-1910 of this article. Affordable housing cost means the total housing costs paid by a qualifying household, which shall not exceed the fraction of gross income specified, as follows: Extremely low-income households. Thirty (30) percent of the income of a household earning thirty (30) percent of the Orange County median income adjusted for family size appropriate for the unit. Very low-income households. Thirty (30) percent of the income of a household earning fifty (50) percent of the Orange County median income adjusted for family size appropriate for the unit. Low-income households. Thirty (30) percent of the income of a household earning eighty (80) percent of the Orange County median income for family size appropriate for the unit. Moderate-income households. Thirty (30) percent of the income of a household earning one hundred twenty (120) percent of the Orange County median income adjusted for family size appropriate for the unit. The qualifying limits for extremely low-income, very low-income, low-income and moderate-income households are established and amended annually pursuant to Section 8 of the United States Housing Act of 1937. The limits are published by the Secretary of Housing and Urban Development. Developer means any association, corporation, firm, joint venture, partnership, person, or any entity or combination of entities, which seeks city approval for all or part of a residential project. Development agreement means an agreement approved by the city council between a property owner and the city pursuant to Government Code section 65864, et seq. City Council 29 –10 11/16/2021 Ordinance No. NS-XXX Page 4 of 18 Entitled residential project means a development project that includes residential units subject to the provisions and applicability of this Article XVIII.I. that received entitlement approvals by city council action between August 4, 2015 and August 17, 2020 to construct the residential project and which has not been issued a building permit prior to August 18, 2020. A list of the currently entitled residential projects is attached hereto as Exhibit A and is incorporated by reference. Executive director means the executive director of community development for the city. General plan means the adopted general plan for the City of Santa Ana. Inclusionary housing agreement means a legally binding agreement between the developer and the city, in a form and substance satisfactory to the executive director and the city attorney, and containing those provisions necessary to ensure that the requirements of this article are satisfied, whether through the provision of inclusionary units or through an approved alternative method. Inclusionary housing fund means the fund created by the city in which all fees collected in compliance with this article shall be deposited. Inclusionary housing plan means the plan submitted by the developer, in a form specified by the executive director, detailing how the provisions of this article will be implemented for the proposed residential project. Inclusionary unit means a dwelling unit that will be offered for sale or rent to extremely low, very low, low, or moderate -income households, at an affordable housing cost, in compliance with this article. Low-income units and, very low-income units, and extremely low-income units means inclusionary units restricted to occupancy by low or, very low, and extremely low-income households, respectively, at an affordable housing cost. Market rate units means dwelling units in a residential project that are not inclusionary units. Moderate-income units means inclusionary units restricted to occupancy by moderate-income households at an affordable housing cost. Prior project means any project for which an application was submitted and the application was deemed complete prior to August 4, 2015. Regulatory agreement means an agreement entered into between the City of Santa Ana or the Santa Ana Community Development Agency and a developer by which the developer covenants to keep certain housing units at an affordable housing cost for a specified period of time. Rehabilitated units/rehabilitation means the improvement of a unit in substandard condition to a decent, safe and sanitary level. Units are in substandard condition when, while they may be structurally sound, they do not provide safe and adequate shelter, and in their present condition endanger the health, safety or well-being of the occupants. Residential project/project means any of the following: City Council 29 –11 11/16/2021 Ordinance No. NS-XXX Page 5 of 18 A subdivision resulting in the creation of five (5) or more residential lots or residential condominium units; or The new construction of a project consisting of five (5) or more multi-family units; or The new construction of five (5) or more separate houses or dwelling units; or The conversion of five (5) or more existing residential rental units to condominium ownership. Target area means that area designated by the city from time to time, on an as-needed basis, as a priority area for rehabilitation due to health and safety concerns. Total housing costs the total monthly or annual recurring expenses required of a household to obtain shelter. For a rental unit, total housing costs shall include the monthly rent payment and utilities paid by the tenant (excluding telephone and television). For an ownership unit, total housing costs shall include the mortgage payment (principal and interest), insurance, homeowners' association dues (if applicable), private mortgage insurance (if applicable), taxes, utilities, an allowance for maintenance and any other related assessments. Sec. 41-1902. Applicability and inclusionary unit requirements. (a) Applicability. The requirements of this article shall apply to any new residential project comprised of twenty (20five (5) or more residential lots or residential units located withinwhich has not been issued a building permit or paid the cityin-lieu fee as of November 17, 2021, including new construction, and condominium conversions, which exceedmeets one or all of the following applicability thresholds: (1) A change in use to allow for residential or that exceeds the general plan or zoning prescribed densities or percentage of residential development of the subject property at the time of application. (b) Applications. The requirements of this article shall apply to any new residential project proposed in connection with an application to do a (2) Implementation of the following: (1) Increase the permitted residential density or percentage of residential development allowed as a result of the subject property above the density permitted by thecity initiated zone changes or city initiated general plan at the time of the application. The inclusionary requirements shall only apply to the incremental increase in the number of units beyond that which is allowed by the applicable density permitted by the general plan. amendments after November 28, 2011. (2) (3) Increase of the permitted percentage of residential development allowed for a mixed-use development above the percentage at the time of the application. The inclusionary requirements shall only apply to the incremental increase in the number of units beyond that which is allowed by the density permitted by the general plan. permitted under the zoning classification at the time of application. (3) Convert City Council 29 –12 11/16/2021 Ordinance No. NS-XXX Page 6 of 18 (4) Development of new residential uses or increase of the permitted residential density or percentage of residential development within an overlay zone approved pursuant to Division 28 of Article I of this Chapter. (5) Conversion of rental units to condominium ownership. (b) Applications. The inclusionary requirements shall only apply to the incremental increase in the number of units beyond that which is allowed by the density permitted by the general plan. as prescribed in Subsection (a) above. (c) Units for sale. If the new residential project consists of units for sale, then a minimum of ten (10) percent of the total number of units in the project shall be sold to moderate -income households. (d) Rental units. If the new residential project consists of rental units, then athe inclusionary units shall be constructed as follows: (1) A minimum of fifteen (15) percent of the units shall be rented to low-income households, or (2) A minimum of ten (10) percent shall be rented to very low-income households., or (3) A minimum of five (5) percent shall be rented to extremely low-income households, or (4) A minimum of ten (10) percent shall be available at an affordable housing cost of which five (5) percent rented to low-income households, three (3) percent rented to very low-income households, and two (2) percent rented to extremely low-income households. (e) Rounding of quantities in calculations. In calculating the required number of inclusionary units, fractional units shall be rounded-up to the next whole unit. The developer may choose to pay an in-lieu fee set forth in section 41-1904(c) for the fractional units, which shall be calculated based on the number of habitable square feet applicable in each case. (f) Displacement of existing inclusionary units. Notwithstanding any other provision of this article, any residential project subject to this article that results in the displacement of extremely low, very low and/or low -income household(s) shall be required to provide on- site inclusionary units as required by this article. (g) Compliance with article. All inclusionary units required by this article shall be sold or rented in compliance with this article. Sec. 41-1903. Exempt projects. The following are exempt from the requirements of this article: City Council 29 –13 11/16/2021 Ordinance No. NS-XXX Page 7 of 18 (a) Applications deemed complete. Applications that include a residential project for which a development application has been deemed complete prior to November 28, 2011. (b) (a) Development agreements. A residential project that is the subject of a development agreement under applicable provisions of the California Government Code that expressly provides for an exclusion to this article, provides for a different amount of inclusionary units, or provides for a different amount of inclusionary unitsspecified method for determining the in-lieu fee provisions of this ordinance, such as the timing of payment or the point in time for determining the applicable in-lieu fee amount, to satisfy the inclusionary units from that specified by this article, provided the development agreement was adopted on or before November 28, 2011.. (c) (b) Project with regulatory agreement. A residential project for which a regulatory agreement has been approved, provided that the regulatory agreement is effective at the time the residential project would otherwise be required to comply with the requirements of this article, and there is no uncured breach of the regulatory agreement before issuance of a certificate of occupancy for the project. This may include a residential project that has obtained a density bonus under article XVI.I of the Santa Ana Municipal Code. Such projects cannot be used to satisfy the inclusionary requirement for another project. (d) (c) Adaptive Reuse. Adaptive reuse development projects pursuant to Chapter 41, Article XVI.II - Adaptive Reuse. Sec. 41-1904. Options to satisfy inclusionary requirements. (a) On-site units. The primary means of complying with the inclusionary requirements of this article shall be the provision of on-site inclusionary units in accordance with section 41-1901,1902 above. A developer may only satisfy the requirements of this article by means of an alternative to on-site inclusionary units in accordance with the requirements and procedures of this section. (b) Off-site units. (1) New units. The developer may satisfy the inclusionary unit requirements for the project, in whole or in part by constructing the required new inclusionary housing at a different location within the city borders at the ratio of one square foot of habitable inclusionary unit space for each required habitable square foot. While the total habitable square footage area of the required new inclusionary units must be the same as the sum- total of the number of habitable square feet for the project as directed by this ordinance, the number of units and bedrooms associated with the off-site units may be approved by the review authority of the city, consistent with the type of affordable housing needed at the time of project review. (2) Rehabilitated units outside a designated target area. The developer may satisfy the inclusionary unit requirements for the project, in whole or in part by City Council 29 –14 11/16/2021 Ordinance No. NS-XXX Page 8 of 18 substantially rehabilitating existing housing units elsewhere within the borders of the city at a rate of one and one-half (1½) habitable square feet per each required habitable square foot of inclusionary units. (3) Rehabilitated units within a designated target area. Upon application, the developer may satisfy the inclusionary unit requirements for the project, in whole or in part by substantially rehabilitating existing housing units elsewhere within the borders of the city at a rate of one habitable square foot per each required habitable square foot of affordable inclusionary units. (c) In-lieu fee. (1) More than twenty (20) units. A residential project comprised of more than twenty (20) residential lots or residential units, the developer may elect to satisfy the inclusionary unit requirements for the project, in whole or in part, by payment of a fee in lieu of constructing some or all of the required units. The amount of the fee allowed by this section shall be five dollars per square foot ($5.00/ft.2 ) of the sum total of the number of habitable square feet within the entire project, as measured from the exterior walls of the residential units. This calculation does not include exterior hallways, common areas, landscape, open space or exterior stairways. (2) Entitled residential projects. The applicant(s) of an entitled residential project (see Exhibit A) may either construct the inclusionary units or pay an in lieu fee as follows: (i) Twenty (20) or fewer units. In the case of an entitled residential project containing between five (5) and twenty (20) (1) Five (5) or more units. For a residential project comprised of five (5) or more residential lots or residential units, the developer may elect to satisfy the inclusionary unit requirements for the project, in whole or in part, by payment of a fee in -lieu of constructing some or all of the required units. The total amount of the fee allowed by this section shall be five dollars per square foot ($5.00/ft.) ofcalculated using the In-Lieu Fee Schedule in section 41-1904(c)(1)(i) multiplied by the sum total of the number of habitable square feet within the entire project, as measured from the exterior walls of the residential units. This calculation does not include exterior hallways, common areas, landscape, open space or exterior stairways. (ii) More than twenty (20) units. In the case of an entitled residential project comprised of more than twenty (20) residential lots or residential units, the developer may elect to satisfy the inclusionary unit requirements for the project, in whole or in part, by payment of a fee in lieu of constructing some or all of the required units. The amount of the fee allowed by this section shall be five dollars per square foot ($5.00/ft.) of the sum total of the number of habitable square feet within the entire project, as measured from the exterior walls of the residential units. This calculation does not include exterior hallways, common areas, landscape, open space or exterior stairways. The in lieu fee amount allowed herein by this subsection shall revert to fifteen dollars per square foot ($15.00) on October 1, 2021 for any construction which adds net residential City Council 29 –15 11/16/2021 Ordinance No. NS-XXX Page 9 of 18 units, which has city-approved entitlements, that has not been issued a building permit by October 1, 2021. (iii) A residential project that has been entitled and approved with conditions to pay a specific in lieu fee or has a city council approved development agreement to pay a specific in-lieu fee shall comply with the conditions or the development agreement as approved and shall not be modified by this ordinance. (3) (i) In-Lieu Fee Schedule Units Fee Per Square Foot of Habitable Area 5 – 9 $6.00 10 – 14 $9.00 15 – 19 $12.00 20 or more $15.00 (ii) Local Skilled and Trained Workforce Incentive. The in-lieu fee for fifteen (15) or more units shall be reduced if the developer voluntarily provides the City with an executed enforceable commitment to use a “Skilled and Trained Workforce” as defined in Public Contract Code section 2601 to complete the construction of the project as follows: Use of Skilled and Trained Workforce Fee Per Square Foot of Habitable Area 30% of workforce utilizing 2 or more construction trades $10.00 60% of workforce utilizing 3 or more construction trades $5.00 A minimum of 35% of the above work-hours shall be performed in accordance with local hire policies approved by the City Council. City Council 29 –16 11/16/2021 Ordinance No. NS-XXX Page 10 of 18 (2) Timing of payment. The total fee amount for the entirety of a project is calculated, determined, and set at the time of issuance of the first building permit for the project. The developer shall pay the All in-lieu fees allowed by this section shall be paid no later than prior to issuance of the building permitfirst occupancy approval for any construction which adds net residential units. The developer may provide input regarding what project the in lieu fees should be applied towards, but such input shall not be dispositive. The in in-lieu fees collected by the city are city funds over which the city has complete and absolute discretion. (4) (3) Inclusionary housing fund. Fees collected in compliance with this section shall be deposited in the inclusionary housing fund. Sec. 41-1904.1. Inclusionary housing development incentives for production of units. (a) In order to make the production of new inclusionary units on-site or off-site or off- site rehabilitated units, certain incentives, standards and concessions shall be allowed and prescribed as set forth herein below. Such concessions shall not be available to those developers that choose to pay an in lieu fee rather than build the units. The developer may opt to take advantage of up to two (2) concessions among the following possible concessions: (1) Parking concession. One on-site parking space for each zero to one bedroom unit; two (2) on-site parking spaces for each two (2) to three (3) bedroom unit; two and one-half (2½) parking spaces for each four (4) or more bedroom unit. (2) Concession on one of the following Zoning Code site development standards: (i) Setback reduction of up to twenty-five (25) percent reduction on subject property; (ii) Height increase of up to twenty (20) additional feet. (b) A developer of a for sale residential project proposing to provide on-site moderate income units and a surrounding community benefit may opt to take advantage of up to three (3) of the above concessions. The surrounding community benefit will include but not be limited to park improvements, urban community gardens, developer-funded down payment assistance, or subsidy of services, activities or programs. Sec. 41-1905. Housing plan and housing agreement. (a) Submittal and execution. The developer shall comply with the following requirements: (1) Inclusionary housing plan. The developer shall submit an inclusionary housing plan in a form specified by the executive director, detailing how the provisions of this article will be implemented for the proposed residential project. The inclusionary housing plan and its supportive documents, plans, and details shall be submitted at the same time as the site plan and application materials for the original project. All City Council 29 –17 11/16/2021 Ordinance No. NS-XXX Page 11 of 18 inclusionary housing plans shall be subject to the approval of the executive director and subject to appeal processes and procedures set forth in the Santa Ana Municipal Code. 2) Inclusionary housing agreement. The developer shall execute and cause to be recorded an inclusionary housing agreement. The inclusionary housing agreement shall be a legally binding agreement between the developer and the city, executed by the city manager, or his or her designee, and in a form and substance satisfactory to the executive director and the city attorney, and containing those provisions necessary to ensure that the requirements of this article are satisfied, whether through the provision of inclusionary units or through an approved alternative method. (b) Discretionary approvals. No discretionary approval shall be issued for a residential project subject to this article until the developer has submitted an inclusionary housing plan. (c) Issuance of building permit. No building permit shall be issued for a residential project subject to this article unless the executive director has approved the inclusionary housing plan, and any required inclusionary housing agreement has been recorded. (d) Issuance of certificate of occupancy. A certificate of occupancy shall not be issued for a residential project subject to this article unless the approved inclusionary housing plan has been fully implemented. Sec. 41-1906. Standards. (a) Location within project, relationship to non-inclusionary units. All inclusionary units shall be: (1) Reasonably dispersed throughout the residential project; (2) Proportional, in number of bedrooms, gross floor area of habitable space, and location, to the market rate units; (3) Comparable to the market rate units included in the residential project in terms of design, materials, finished quality, and appearance; and (4) Permitted the same access to project amenities and recreational facilities, as are market rate units. (b) Timing of construction. All inclusionary units in a residential project shall be constructed concurrent with, or before the construction of the market rate units. If the city approves a phased project, a proportional share of the required inclusionary units shall be provided within each phase of the residential project. (c) Location outside the proposed original project. For projects where the developer proposes to either produce new inclusionary units or rehabilitate existing off-site units to meet the inclusionary affordable housing requirements of this ordinance, the off-site project(s) containing the required inclusionary units shall be subject to the following requirements: City Council 29 –18 11/16/2021 Ordinance No. NS-XXX Page 12 of 18 (1) The sum-total area (in habitable square feet) of all the newly constructed off-site inclusionary units shall be the same number of habitable square feet of inclusionary area as required by this ordinance. For the purpose of the calculation of the number of square feet of required inclusionary housing, the total gross habitable square feet of the housing units of the original market rate project shall be used, as measured from exterior walls to exterior walls of the market units provided as the base for calculation either ten (10) percent for very low income or fifteen (15) percent for low income inclusionary units. The common areas, exterior hallways, stairways, patios, and balconies shall not be calculated in determining the number of required square feet of inclusionary housing production. All new or rehabilitated units must meet all current zoning and general plan standards. (2) While the total number of square feet of inclusionary housing requirement is calculated based on the requirements of this ordinance, the number of units, bedrooms and other amenities on the proposed off-site inclusionary housing location shall be approved by the review authority commensurate with the size and type of units most in demand at the time of submittal of the application. (3) Any off-site affordable inclusionary housing project shall be substantially comparable to the market rate units included in the residential project in terms of quality of design, materials and finishes. (4) If tenants are displaced due to rehabilitation of housing to meet the inclusionary unit requirement, the developer shall be responsible for relocation costs as required by state law. (5) No city, housing authority, or public funds, subsidies, or participation of any kind shall be expended on the production or building of any inclusionary housing projects associated with meeting the inclusionary unit requirement. (d) Timing of construction. All inclusionary units in a residential project or proposed off-site new inclusionary units or rehabilitated units shall be constructed concurrent with, or before the construction of the market rate units. If the city approves a phased project, a proportional share of the required inclusionary units shall be provided within each phase of the residential project. (e) Units for sale. (1) Time limit for inclusionary restrictions. A unit for sale shall be restricted to the target income level group at the applicable affordable housing cost for a minimum of fifty-five (55) years. (2) Certification of purchasers. The developer and all subsequent owners of an inclusionary unit offered for sale shall certify, on a form provided by the city, the income of the purchaser and that such owners will live in such inclusionary unit as their primary residence. City Council 29 –19 11/16/2021 Ordinance No. NS-XXX Page 13 of 18 (3) Resale price control. In order to maintain the availability of inclusionary units required by this article, the resale price of an owner occupied inclusionary unit shall be limited to the lesser of the fair market value of the unit as established by a licensed real estate agent based upon three (3) comparable properties or the restricted resale price. For these purposes, the restricted resale price shall be the applicable affordable housing cost. (4) Inheritance of inclusionary units. Upon the death of an owner of an owner- occupied inclusionary unit, title in the property may transfer to the surviving joint tenant or heir (in the case of the death of a sole owner or all owners of the household). (5) Forfeiture. If an inclusionary unit for sale is sold for an amount in excess of the resale price controls required by this section, the buyer and the seller shall be jointly and severally liable to the city for the amount in excess of the affordable housing cost at the time of such sale of the inclusionary unit. Recovered funds shall be deposited into the inclusionary housing fund. Notwithstanding the foregoing, city may allow the buyer and seller to cure any violation of the resale price controls within one hundred eighty (180) days. (f) Rental units. (1) Time limit for inclusionary restrictions. A rental inclusionary unit shall remain restricted to the target income level group at the applicable affordable housing cost for fifty-five (55) years. (2) Certification of renters. The owner of any rental inclusionary unit shall certify, on a form provided by the city, the income of all members of the household above the age of eighteen (18) at the time of the initial rental and annually thereafter. (3) Forfeiture. Any lessor who leases an inclusionary unit in violation of this article shall be required to forfeit to the city all money so obtained. Recovered funds shall be deposited into the inclusionary housing fund. (g) Execution and recording of documents. The executive director may require the execution and recording of whatever documents are required to ensure enforcement of this section; including, but not limited to, promissory notes, deeds of trust, resale restrictions, rights of first refusal, options to purchase, and/or other documents, which shall be recorded against all inclusionary units. (h) General prohibitions. (1) No person shall sell or rent an inclusionary unit at a price or rent in excess of the maximum amount allowed by any restriction placed on the unit in accordance with this article. City Council 29 –20 11/16/2021 Ordinance No. NS-XXX Page 14 of 18 (2) No person shall sell or rent an inclusionary unit to a person or persons that do not meet the income restrictions placed on the unit in accordance with this article. (3) No person shall provide false or materially incomplete information to the city or to a seller or lessor of an inclusionary unit to obtain occupancy of housing for which that person is not eligible. (i) Principal residency requirement. (1.) The owner or lessee of an inclusionary unit shall reside in the unit for not less than ten (10) out of every twelve (12) months. (2.) No owner or lessee of an inclusionary unit shall lease or sublease, as applicable, an inclusionary unit without the prior permission of the executive director. Sec. 41-1907. Reserved. Sec. 41-1908. Enforcement. (a) Violation. Any violation of this article constitutes a misdemeanor. (b) Forfeiture of funds. Any individual who sells an inclusionary unit in violation of this article shall be required to forfeit any money in excess of the affordable housing cost at such time. Any individual who rents an inclusionary unit in violation of this article shall be required to forfeit all money so obtained. Recovered funds shall be deposited into the inclusionary housing fund. (c) Legal actions. The city may institute any appropriate legal actions or proceedings necessary to ensure compliance with this article, including actions: (1) To disapprove, revoke, or suspend any permit, including a building permit, certificate of occupancy, or discretionary approval; and (2) For injunctive relief or damages. (d) Recovery of costs. In any action to enforce this article, or an inclusionary housing agreement recorded hereunder, the city shall be entitled to recover its reasonable attorney's fees and costs. Sec. 41-1909. Inclusionary housing fund. (a) Inclusionary housing fund. There is hereby established a separate fund of the city, to be known as the inclusionary housing fund. All monies collected pursuant to this article shall be deposited in the inclusionary housing fund. Additional monies from other sources may be deposited in the inclusionary housing fund. The monies deposited in the inclusionary housing fund shall be subject to the following conditions: (1) Monies deposited into the inclusionary housing fund must be used to increase and improve the supply of housing affordable to moderate, low, very low, and extremely low income households in the city as specified in the city's affordable housing City Council 29 –21 11/16/2021 Ordinance No. NS-XXX Page 15 of 18 funds policies and procedures. A priority will be on the creation of affordable housing opportunities or units from the existing market rate housing stock rather than construction of new affordable housing units. This includes, but is not limited to, the purchase and rehabilitation of units for sale. Monies may also be used to pay for one-time programs for code enforcement, quality of life and general health and safety activities. Monies may also be used to cover reasonable administrative or related expenses associated with the administration of this article. new affordable housing opportunities for large families currently living in the City. Other eligible uses of the inclusionary housing fund include but are not limited to: (i) Creating affordable units from the existing market rate housing stock including but not limited to, the purchase and rehabilitation of units. (ii) Funding one-time programs for code enforcement, quality of life, and general health and safety activities. (iii) Implementing and promoting programs addressing housing security, eviction prevention, and housing legal assistance for city residents. (iv) Funding reasonable administrative or related expenses associated with the administration of this article. (2) The fund shall be administered by the executive director, or his or her designee, who may develop procedures in the city's affordable housing funds policies and procedures to implement the purposes of the inclusionary housing fund consistent with the requirements of this article and any adopted budget of the city. (3) Monies deposited in accordance with this section shall be used in accordance with the affordable housing funds policies and procedures, housing element, consolidated plan, or subsequent plan adopted by the city council to construct, rehabilitate, or subsidize affordable housing or to recapture affordable housing at risk of market conversion, or to assist other government entities, private organizations, or individuals to do so. Permissible uses include, but are not limited to, assistance to housing development corporations, equity participation loans, grants, pre-home ownership co- investment, pre-development loan funds, participation leases, or other public-private partnership arrangements. The inclusionary housing fund may be used for the benefit of both rental and owner-occupied housing. (4) A developer receiving funding from the inclusionary housing fund shall implement a local preference in their resident selection criteria and marketing policies meeting guidelines established by the executive director. (5) A developer opting for the in lieu payment option or receiving funding from the inclusionary housing fund, as well as its contractors and subcontractors at every tier performing work for the new housing units is encouraged and should negotiate in good faith to provide the City with an enforceable commitment that a skilled and trained City Council 29 –22 11/16/2021 Ordinance No. NS-XXX Page 16 of 18 workforce will be usedminimum 30% of the labor utilizing 2 or more construction trades be performed by a “Skilled and Trained Workforce” as defined in Public Contract Code section 2601 to complete a contract or projectthe construction of the project and shall also include a minimum of 35% of all work-hours for the project be performed in accordance with Public Contract Code §§ 2601—2602local hire policies approved by the City Council. Sec. 41-1910. Administrative. (a) In-lieu fee calculation. The amount per square foot of the inclusionary housing in- lieu fee shall be subject to city council review and consideration before the end of calendar year 2018, but after June 30, 2018. Between July 1, 2018 and December 31, 2018, staff shall report on the effectiveness of this ordinance and provide options for council consideration on the components of this ordinance, including, but not limited to, the monetary amount of inclusionary in-lieu fee per square footas needed. (b) Prior projects. The applicant(s) of any project for which a site plan review application was submitted and such application was deemed complete prior to August 4, 2015, may either construct the inclusionary units pursuant to the prior housing opportunity ordinance (Ordinance No. NS-2825) or pay an in lieu fee calculated by the formula under the prior housing opportunity ordinance (Ordinance No. NS-2825) or request to revise its inclusionary housing plan and/or inclusionary housing agreement and pay an in-lieu fee of nine dollars and thirty-five cents ($9.35) per square foot of habitable space for the entire project's inclusionary housing obligation. (c) (b) Administration fees. The council may by resolution establish reasonable fees and deposits for the administration of this article including an annual monitoring fee and an inclusionary housing plan submittal fee. (d) (c) Monitoring/audits. At the time of initial occupancy, and annually thereafter, the city will monitor the project to ensure that the income verifications are correct and in compliance with the inclusionary housing administrative procedures. For ownership units, the city shall monitor to verify that owner-occupancy requirements are maintained. Developer/property owners are required to cooperate with the city in promptly providing all information requested by the city in monitoring compliance with program requirements. The city will conduct periodic random quality control audits of inclusionary units to assure ensure compliance with rules and requirements. Such audits may include verification of continued occupancy in inclusionary units by eligible tenants, compliance with the inclusionary housing plan and agreement, and physical inspections of the residential project. (e) Administrative procedures. The city manager is hereby authorized and directed to promulgate administrative procedures for the implementation of this article. Secs. 41-1911—41-1999. Reserved. Section 5. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any City Council 29 –23 11/16/2021 Ordinance No. NS-XXX Page 17 of 18 court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. Section 6. This Ordinance shall become effective thirty (30) days after its adoption. Section 7. The Clerk of the Council shall certify the adoption of this ordinance and shall cause the same to be published as required by law. ADOPTED this _______ day of ___________, 2021. _________________________ Vicente Sarmiento Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By:_________________________ John M. Funk Sr. Assistant City Attorney AYES: Councilmembers ______________________________________ NOES: Councilmembers _______________________________________ ABSTAIN: Councilmembers _______________________________________ NOT PRESENT: Councilmembers _______________________________________ City Council 29 –24 11/16/2021 Ordinance No. NS-XXX Page 18 of 18 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby attest to and certify the attached Ordinance No. NS-____________ to be the original ordinance adopted by the City Council of the City of Santa Ana on _______________, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: ________________ ____________________________________ Clerk of the Council City of Santa Ana City Council 29 –25 11/16/2021 Ordinance No. NS-XXX Page 1 of 16 ORDINANCE NO. NS-________ ZONING ORDINANCE AMENDMENT NO. 2021-03 AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REPEALING AND REENACTING IN ITS ENTIRETY ARTICLE XVIII.I. OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE REGARDING THE HOUSING OPPORTUNITY ORDINANCE 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. On November 28, 2011, the Santa Ana City Council adopted Ordinance No. NS-2825, known as the Housing Opportunity Ordinance and appearing as “Article XVIII.I. – Housing Opportunity Ordinance” (“Housing Opportunity Ordinance”) of Chapter 41 of the Santa Ana Municipal Code. The Housing Opportunity Ordinance was adopted to implement the City’s Housing Element Goal of providing affordable housing within the City. B. On September 1, 2015, the City Council adopted Ordinance No. NS-2881, which amended the Housing Opportunity Ordinance in various respects, including applicability, options to satisfy inclusionary requirements, and calculation of the in-lieu housing fee. These amendments were intended to make the inclusionary housing requirements more predictable for housing developers and to incentivize the production of more affordable housing. C. In response to impacts of the COVID-19 pandemic on the development and construction of housing in the City, including the reduction of housing starts, the City Council adopted Ordinance No. NS-2994 on September 1, 2020. Ordinance No. NS- 2994 further amended the Housing Opportunity Ordinance to lower the in-lieu housing fee for all projects from $15 to $5 per square foot, adjust the trigger of the ordinance, and expand the eligible uses of in-lieu fees collected by the City. D. On March 2, 2021, at the direction of the City Council, an Ad Hoc Committee for Housing was formed. The Ad Hoc Committee reviewed the Housing Opportunity Ordinance and recommended certain changes. The Ad Hoc Committee’s recommendations were presented and discussed at the City Council Meeting on July 6, 2021. E. On July 26, 2021, the City Council conducted a work-study session to further evaluate the Committee’s recommendations and to receive input from key stakeholders and members of the public. The City Council provided direction to staff to prepare amendments to the Housing Opportunity Ordinance concerning the applicability City Council 29 –26 11/16/2021 Ordinance No. NS-XXX Page 2 of 16 and triggers for the ordinance, adjustments to the in-lieu fee calculation, set-aside units, and options for satisfaction of inclusionary requirements. F. On September 7, 2021, the City Council further considered this matter and provided additional direction to staff regarding proposed amendments to the Housing Opportunity Ordinance. G. At the City Council meeting of October 5, 2021, staff received direction to initiate the adoption hearing in order for the City Council to consider the changes recommended by the Housing Ad Hoc Committee. H. On October 25, 2021, the Planning Commission held a duly noticed public hearing on the proposed amendments and considered the staff report, recommendations by staff, and public testimony concerning the proposed Ordinance. The Planning Commission recommended that the City Council adopt the proposed Ordinance. I. The Request for City Council Action for this Ordinance dated __________, 2021 and duly signed by the Executive Director of the Planning and Building Agency shall, by this reference, be incorporated herein, and together with this ordinance, any amendments or supplements, and oral testimony, constitute the necessary findings for this ordinance. Section 2. The City Council finds and determines that this Ordinance is not subject to the California Environmental Quality Act (CEQA) pursuant to Sections 15060(c)(2) and 15060(c)(3) of the State CEQA Guidelines because it will not result in a direct or reasonably foreseeable indirect physical change in the environment, as there is no possibility it will have a significant effect on the environment and it is not a "project", as defined in Section 15378 of the CEQA Guidelines. Furthermore, the proposed Ordinance falls within the "common sense" CEQA exemption set forth in CEQA Guidelines Section 15061(b)(3), excluding 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." Adoption of this Ordinance will not have a significant effect on the environment because the proposed changes will only modernize, update, and clarify existing affordable and inclusionary housing requirements responding to the current economic and housing trends in the City and will not cause a physical change in the environment. Section 3. Article XVIII.I of Chapter 41 of the Santa Ana Municipal Code is hereby repealed in its entirety. Section 4. Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code is hereby reenacted and amended to read in its entirety as follows: ARTICLE XVIII.I. - 2021 AFFORDABLE HOUSING OPPORTUNITY AND CREATION ORDINANCE City Council 29 –27 11/16/2021 Ordinance No. NS-XXX Page 3 of 16 Sec. 41-1900. Purpose. This article establishes standards and procedures to encourage the development of housing that is affordable to a range of households with varying income levels. The purpose of this article is to encourage the development and availability of affordable housing by requiring the inclusion of affordable housing units within new developments when the number of units exceed the densities permitted under the general plan, zoning classification, or the conversion of rental units to condominium ownership. Sec. 41-1901. Definitions. As used in this article, the following terms shall have the following meanings: Adjusted for household size appropriate for the unit means a household of one person in the case of a studio unit, two (2) persons in the case of a one-bedroom unit, three (3) persons in the case of a two-bedroom unit, four (4) persons in the case of a three- bedroom unit, and five (5) persons in the case of a four-bedroom unit. Administrative procedures means those regulations promulgated by the executive director pursuant to section 41-1910 of this article. Affordable housing cost means the total housing costs paid by a qualifying household, which shall not exceed the fraction of gross income specified, as follows: Extremely low-income households. Thirty (30) percent of the income of a household earning thirty (30) percent of the Orange County median income adjusted for family size appropriate for the unit. Very low-income households. Thirty (30) percent of the income of a household earning fifty (50) percent of the Orange County median income adjusted for family size appropriate for the unit. Low-income households. Thirty (30) percent of the income of a household earning eighty (80) percent of the Orange County median income for family size appropriate for the unit. Moderate-income households. Thirty (30) percent of the income of a household earning one hundred twenty (120) percent of the Orange County median income adjusted for family size appropriate for the unit. The qualifying limits for extremely low-income, very low-income, low-income and moderate-income households are established and amended annually pursuant to Section 8 of the United States Housing Act of 1937. The limits are published by the Secretary of Housing and Urban Development. Developer means any association, corporation, firm, joint venture, partnership, person, or any entity or combination of entities, which seeks city approval for all or part of a residential project. Development agreement means an agreement approved by the city council between a property owner and the city pursuant to Government Code section 65864, et seq. Executive director means the executive director of community development for the city. City Council 29 –28 11/16/2021 Ordinance No. NS-XXX Page 4 of 16 General plan means the adopted general plan for the City of Santa Ana. Inclusionary housing agreement means a legally binding agreement between the developer and the city, in a form and substance satisfactory to the executive director and the city attorney, and containing those provisions necessary to ensure that the requirements of this article are satisfied, whether through the provision of inclusionary units or through an approved alternative method. Inclusionary housing fund means the fund created by the city in which all fees collected in compliance with this article shall be deposited. Inclusionary housing plan means the plan submitted by the developer, in a form specified by the executive director, detailing how the provisions of this article will be implemented for the proposed residential project. Inclusionary unit means a dwelling unit that will be offered for sale or rent to extremely low, very low, low, or moderate-income households, at an affordable housing cost, in compliance with this article. Low-income units, very low-income units, and extremely low-income units means inclusionary units restricted to occupancy by low, very low, and extremely low-income households, respectively, at an affordable housing cost. Market rate units means dwelling units in a residential project that are not inclusionary units. Moderate-income units means inclusionary units restricted to occupancy by moderate-income households at an affordable housing cost. Regulatory agreement means an agreement entered into between the City of Santa Ana or the Santa Ana Community Development Agency and a developer by which the developer covenants to keep certain housing units at an affordable housing cost for a specified period of time. Rehabilitated units/rehabilitation means the improvement of a unit in substandard condition to a decent, safe and sanitary level. Units are in substandard condition when, while they may be structurally sound, they do not provide safe and adequate shelter, and in their present condition endanger the health, safety or well-being of the occupants. Residential project/project means any of the following: A subdivision resulting in the creation of five (5) or more residential lots or residential condominium units; or The new construction of a project consisting of five (5) or more multi-family units; or The new construction of five (5) or more separate houses or dwelling units; or The conversion of five (5) or more existing residential rental units to condominium ownership. Target area means that area designated by the city from time to time, on an as-needed basis, as a priority area for rehabilitation due to health and safety concerns. City Council 29 –29 11/16/2021 Ordinance No. NS-XXX Page 5 of 16 Total housing costs the total monthly or annual recurring expenses required of a household to obtain shelter. For a rental unit, total housing costs shall include the monthly rent payment and utilities paid by the tenant (excluding telephone and television). For an ownership unit, total housing costs shall include the mortgage payment (principal and interest), insurance, homeowners' association dues (if applicable), private mortgage insurance (if applicable), taxes, utilities, an allowance for maintenance and any other related assessments. Sec. 41-1902. Applicability and inclusionary unit requirements. (a) Applicability. The requirements of this article shall apply to any new project comprised of five (5) or more residential lots or residential units which has not been issued a building permit or paid the in-lieu fee as of November 17, 2021, including new construction and condominium conversions, which meets one or all of the following applicability thresholds: (1) A change in use to allow for residential or that exceeds the general plan or zoning prescribed densities or percentage of residential development of the subject property at the time of application. (2) Implementation of the permitted residential density or percentage of residential development allowed as a result of city initiated zone changes or city initiated general plan amendments after November 28, 2011. (3) Increase of the permitted percentage of residential development allowed for a mixed-use development above the percentage permitted under the zoning classification at the time of application. (4) Development of new residential uses or increase of the permitted residential density or percentage of residential development within an overlay zone approved pursuant to Division 28 of Article I of this Chapter. (5) Conversion of rental units to condominium ownership. (b) Applications. The inclusionary requirements shall only apply to the incremental units beyond that which is allowed as prescribed in Subsection (a) above. (c) Units for sale. If the new residential project consists of units for sale, then a minimum of ten (10) percent of the total number of units in the project shall be sold to moderate-income households. (d) Rental units. If the new residential project consists of rental units, the inclusionary units shall be constructed as follows: (1) A minimum of fifteen (15) percent of the units shall be rented to low-income households, or City Council 29 –30 11/16/2021 Ordinance No. NS-XXX Page 6 of 16 (2) A minimum of ten (10) percent shall be rented to very low-income households, or (3) A minimum of five (5) percent shall be rented to extremely low-income households, or (4) A minimum of ten (10) percent shall be available at an affordable housing cost of which five (5) percent rented to low-income households, three (3) percent rented to very low-income households, and two (2) percent rented to extremely low-income households. (e) Rounding of quantities in calculations. In calculating the required number of inclusionary units, fractional units shall be rounded-up to the next whole unit. The developer may choose to pay an in-lieu fee set forth in section 41-1904(c) for the fractional units, which shall be calculated based on the number of habitable square feet applicable in each case. (f) Displacement of existing inclusionary units. Notwithstanding any other provision of this article, any residential project subject to this article that results in the displacement of extremely low, very low and/or low-income household(s) shall be required to provide on- site inclusionary units as required by this article. (g) Compliance with article. All inclusionary units required by this article shall be sold or rented in compliance with this article. Sec. 41-1903. Exempt projects. The following are exempt from the requirements of this article: (a) Development agreements. A residential project that is the subject of a development agreement under applicable provisions of the California Government Code that expressly provides for an exclusion to this article, provides for a different amount of inclusionary units, or provides for a different specified method for determining the in-lieu fee provisions of this ordinance, such as the timing of payment or the point in time for determining the applicable in-lieu fee amount, to satisfy the inclusionary units from that specified by this article. (b) Project with regulatory agreement. A residential project for which a regulatory agreement has been approved, provided that the regulatory agreement is effective at the time the residential project would otherwise be required to comply with the requirements of this article, and there is no uncured breach of the regulatory agreement before issuance of a certificate of occupancy for the project. This may include a residential project that has obtained a density bonus under article XVI.I of the Santa Ana Municipal Code. Such projects cannot be used to satisfy the inclusionary requirement for another project. (c) Adaptive Reuse. Adaptive reuse development projects pursuant to Chapter 41, Article XVI.II - Adaptive Reuse. City Council 29 –31 11/16/2021 Ordinance No. NS-XXX Page 7 of 16 Sec. 41-1904. Options to satisfy inclusionary requirements. (a) On-site units. The primary means of complying with the inclusionary requirements of this article shall be the provision of on-site inclusionary units in accordance with section 41-1902 above. A developer may only satisfy the requirements of this article by means of an alternative to on-site inclusionary units in accordance with the requirements and procedures of this section. (b) Off-site units. (1) New units. The developer may satisfy the inclusionary unit requirements for the project, in whole or in part by constructing the required new inclusionary housing at a different location within the city borders at the ratio of one square foot of habitable inclusionary unit space for each required habitable square foot. While the total habitable square footage area of the required new inclusionary units must be the same as the sum- total of the number of habitable square feet for the project as directed by this ordinance, the number of units and bedrooms associated with the off-site units may be approved by the review authority of the city, consistent with the type of affordable housing needed at the time of project review. (2) Rehabilitated units outside a designated target area. The developer may satisfy the inclusionary unit requirements for the project, in whole or in part by substantially rehabilitating existing housing units elsewhere within the borders of the city at a rate of one and one-half (1½) habitable square feet per each required habitable square foot of inclusionary units. (3) Rehabilitated units within a designated target area. Upon application, the developer may satisfy the inclusionary unit requirements for the project, in whole or in part by substantially rehabilitating existing housing units elsewhere within the borders of the city at a rate of one habitable square foot per each required habitable square foot of affordable inclusionary units. (c) In-lieu fee. (1) Five (5) or more units. For a residential project comprised of five (5) or more residential lots or residential units, the developer may elect to satisfy the inclusionary unit requirements for the project, in whole or in part, by payment of a fee in-lieu of constructing some or all of the required units. The total amount of the fee allowed by this section shall be calculated using the In-Lieu Fee Schedule in section 41-1904(c)(1)(i) multiplied by the sum total of the number of habitable square feet within the entire project, as measured from the exterior walls of the residential units. This calculation does not include exterior hallways, common areas, landscape, open space or exterior stairways. (i) In-Lieu Fee Schedule City Council 29 –32 11/16/2021 Ordinance No. NS-XXX Page 8 of 16 Units Fee Per Square Foot of Habitable Area 5 – 9 $6.00 10 – 14 $9.00 15 – 19 $12.00 20 or more $15.00 (ii) Local Skilled and Trained Workforce Incentive. The in-lieu fee for fifteen (15) or more units shall be reduced if the developer voluntarily provides the City with an executed enforceable commitment to use a “Skilled and Trained Workforce” as defined in Public Contract Code section 2601 to complete the construction of the project as follows: Use of Skilled and Trained Workforce Fee Per Square Foot of Habitable Area 30% of workforce utilizing 2 or more construction trades $10.00 60% of workforce utilizing 3 or more construction trades $5.00 A minimum of 35% of the above work-hours shall be performed in accordance with local hire policies approved by the City Council. (2) Timing of payment. The total fee amount for the entirety of a project is calculated, determined, and set at the time of issuance of the first building permit for the project. All in-lieu fees allowed by this section shall be paid no later than prior to issuance of the first occupancy approval for any construction which adds net residential units. The in-lieu fees collected by the city are city funds over which the city has complete and absolute discretion. (3) Inclusionary housing fund. Fees collected in compliance with this section shall be deposited in the inclusionary housing fund. Sec. 41-1904.1. Inclusionary housing development incentives for production of units. (a) In order to make the production of new inclusionary units on-site or off-site or off- site rehabilitated units, certain incentives, standards and concessions shall be allowed and prescribed as set forth herein below. Such concessions shall not be available to those developers that choose to pay an in lieu fee rather than build the units. The developer may opt to take advantage of up to two (2) concessions among the following possible concessions: City Council 29 –33 11/16/2021 Ordinance No. NS-XXX Page 9 of 16 (1) Parking concession. One on-site parking space for each zero to one bedroom unit; two (2) on-site parking spaces for each two (2) to three (3) bedroom unit; two and one-half (2½) parking spaces for each four (4) or more bedroom unit. (2) Concession on one of the following Zoning Code site development standards: (i) Setback reduction of up to twenty-five (25) percent reduction on subject property; (ii) Height increase of up to twenty (20) additional feet. (b) A developer of a for sale residential project proposing to provide on-site moderate income units and a surrounding community benefit may opt to take advantage of up to three (3) of the above concessions. The surrounding community benefit will include but not be limited to park improvements, urban community gardens, developer-funded down payment assistance, or subsidy of services, activities or programs. Sec. 41-1905. Housing plan and housing agreement. (a) Submittal and execution. The developer shall comply with the following requirements: (1) Inclusionary housing plan. The developer shall submit an inclusionary housing plan in a form specified by the executive director, detailing how the provisions of this article will be implemented for the proposed residential project. The inclusionary housing plan and its supportive documents, plans, and details shall be submitted at the same time as the site plan and application materials for the original project. All inclusionary housing plans shall be subject to the approval of the executive director and subject to appeal processes and procedures set forth in the Santa Ana Municipal Code. 2) Inclusionary housing agreement. The developer shall execute and cause to be recorded an inclusionary housing agreement. The inclusionary housing agreement shall be a legally binding agreement between the developer and the city, executed by the city manager, or his or her designee, and in a form and substance satisfactory to the executive director and the city attorney, and containing those provisions necessary to ensure that the requirements of this article are satisfied, whether through the provision of inclusionary units or through an approved alternative method. (b) Discretionary approvals. No discretionary approval shall be issued for a residential project subject to this article until the developer has submitted an inclusionary housing plan. (c) Issuance of building permit. No building permit shall be issued for a residential project subject to this article unless the executive director has approved the inclusionary housing plan, and any required inclusionary housing agreement has been recorded. (d) Issuance of certificate of occupancy. A certificate of occupancy shall not be issued for a residential project subject to this article unless the approved inclusionary housing plan has been fully implemented. Sec. 41-1906. Standards. City Council 29 –34 11/16/2021 Ordinance No. NS-XXX Page 10 of 16 (a) Location within project, relationship to non-inclusionary units. All inclusionary units shall be: (1) Reasonably dispersed throughout the residential project; (2) Proportional, in number of bedrooms, gross floor area of habitable space, and location, to the market rate units; (3) Comparable to the market rate units included in the residential project in terms of design, materials, finished quality, and appearance; and (4) Permitted the same access to project amenities and recreational facilities, as are market rate units. (b) Timing of construction. All inclusionary units in a residential project shall be constructed concurrent with, or before the construction of the market rate units. If the city approves a phased project, a proportional share of the required inclusionary units shall be provided within each phase of the residential project. (c) Location outside the proposed original project. For projects where the developer proposes to either produce new inclusionary units or rehabilitate existing off-site units to meet the inclusionary affordable housing requirements of this ordinance, the off-site project(s) containing the required inclusionary units shall be subject to the following requirements: (1) The sum-total area (in habitable square feet) of all the newly constructed off-site inclusionary units shall be the same number of habitable square feet of inclusionary area as required by this ordinance. For the purpose of the calculation of the number of square feet of required inclusionary housing, the total gross habitable square feet of the housing units of the original market rate project shall be used, as measured from exterior walls to exterior walls of the market units provided as the base for calculation. The common areas, exterior hallways, stairways, patios, and balconies shall not be calculated in determining the number of required square feet of inclusionary housing production. All new or rehabilitated units must meet all current zoning and general plan standards. (2) While the total number of square feet of inclusionary housing requirement is calculated based on the requirements of this ordinance, the number of units, bedrooms and other amenities on the proposed off-site inclusionary housing location shall be approved by the review authority commensurate with the size and type of units most in demand at the time of submittal of the application. (3) Any off-site affordable inclusionary housing project shall be substantially comparable to the market rate units included in the residential project in terms of quality of design, materials and finishes. City Council 29 –35 11/16/2021 Ordinance No. NS-XXX Page 11 of 16 (4) If tenants are displaced due to rehabilitation of housing to meet the inclusionary unit requirement, the developer shall be responsible for relocation costs as required by state law. (5) No city, housing authority, or public funds, subsidies, or participation of any kind shall be expended on the production or building of any inclusionary housing projects associated with meeting the inclusionary unit requirement. (d) Timing of construction. All inclusionary units in a residential project or proposed off-site new inclusionary units or rehabilitated units shall be constructed concurrent with, or before the construction of the market rate units. If the city approves a phased project, a proportional share of the required inclusionary units shall be provided within each phase of the residential project. (e) Units for sale. (1) Time limit for inclusionary restrictions. A unit for sale shall be restricted to the target income level group at the applicable affordable housing cost for a minimum of fifty-five (55) years. (2) Certification of purchasers. The developer and all subsequent owners of an inclusionary unit offered for sale shall certify, on a form provided by the city, the income of the purchaser and that such owners will live in such inclusionary unit as their primary residence. (3) Resale price control. In order to maintain the availability of inclusionary units required by this article, the resale price of an owner occupied inclusionary unit shall be limited to the lesser of the fair market value of the unit as established by a licensed real estate agent based upon three (3) comparable properties or the restricted resale price. For these purposes, the restricted resale price shall be the applicable affordable housing cost. (4) Inheritance of inclusionary units. Upon the death of an owner of an owner- occupied inclusionary unit, title in the property may transfer to the surviving joint tenant or heir (in the case of the death of a sole owner or all owners of the household). (5) Forfeiture. If an inclusionary unit for sale is sold for an amount in excess of the resale price controls required by this section, the buyer and the seller shall be jointly and severally liable to the city for the amount in excess of the affordable housing cost at the time of such sale of the inclusionary unit. Recovered funds shall be deposited into the inclusionary housing fund. Notwithstanding the foregoing, city may allow the buyer and seller to cure any violation of the resale price controls within one hundred eighty (180) days. (f) Rental units. City Council 29 –36 11/16/2021 Ordinance No. NS-XXX Page 12 of 16 (1) Time limit for inclusionary restrictions. A rental inclusionary unit shall remain restricted to the target income level group at the applicable affordable housing cost for fifty-five (55) years. (2) Certification of renters. The owner of any rental inclusionary unit shall certify, on a form provided by the city, the income of all members of the household above the age of eighteen (18) at the time of the initial rental and annually thereafter. (3) Forfeiture. Any lessor who leases an inclusionary unit in violation of this article shall be required to forfeit to the city all money so obtained. Recovered funds shall be deposited into the inclusionary housing fund. (g) Execution and recording of documents. The executive director may require the execution and recording of whatever documents are required to ensure enforcement of this section; including, but not limited to, promissory notes, deeds of trust, resale restrictions, rights of first refusal, options to purchase, and/or other documents, which shall be recorded against all inclusionary units. (h) General prohibitions. (1) No person shall sell or rent an inclusionary unit at a price or rent in excess of the maximum amount allowed by any restriction placed on the unit in accordance with this article. (2) No person shall sell or rent an inclusionary unit to a person or persons that do not meet the income restrictions placed on the unit in accordance with this article. (3) No person shall provide false or materially incomplete information to the city or to a seller or lessor of an inclusionary unit to obtain occupancy of housing for which that person is not eligible. (i) Principal residency requirement. 1. The owner or lessee of an inclusionary unit shall reside in the unit for not less than ten (10) out of every twelve (12) months. 2. No owner or lessee of an inclusionary unit shall lease or sublease, as applicable, an inclusionary unit without the prior permission of the executive director. Sec. 41-1907. Reserved. Sec. 41-1908. Enforcement. (a) Violation. Any violation of this article constitutes a misdemeanor. (b) Forfeiture of funds. Any individual who sells an inclusionary unit in violation of this article shall be required to forfeit any money in excess of the affordable housing cost at City Council 29 –37 11/16/2021 Ordinance No. NS-XXX Page 13 of 16 such time. Any individual who rents an inclusionary unit in violation of this article shall be required to forfeit all money so obtained. Recovered funds shall be deposited into the inclusionary housing fund. (c) Legal actions. The city may institute any appropriate legal actions or proceedings necessary to ensure compliance with this article, including actions: (1) To disapprove, revoke, or suspend any permit, including a building permit, certificate of occupancy, or discretionary approval; and (2) For injunctive relief or damages. (d) Recovery of costs. In any action to enforce this article, or an inclusionary housing agreement recorded hereunder, the city shall be entitled to recover its reasonable attorney's fees and costs. Sec. 41-1909. Inclusionary housing fund. (a) Inclusionary housing fund. There is hereby established a separate fund of the city, to be known as the inclusionary housing fund. All monies collected pursuant to this article shall be deposited in the inclusionary housing fund. Additional monies from other sources may be deposited in the inclusionary housing fund. The monies deposited in the inclusionary housing fund shall be subject to the following conditions: (1) Monies deposited into the inclusionary housing fund must be used to increase and improve the supply of housing affordable to moderate, low, very low, and extremely low income households in the city as specified in the city's affordable housing funds policies and procedures. A priority will be on the creation of new affordable housing opportunities for large families currently living in the City. Other eligible uses of the inclusionary housing fund include but are not limited to: (i) Creating affordable units from the existing market rate housing stock including but not limited to, the purchase and rehabilitation of units. (ii) Funding one-time programs for code enforcement, quality of life, and general health and safety activities. (iii) Implementing and promoting programs addressing housing security, eviction prevention, and housing legal assistance for city residents. (iv) Funding reasonable administrative or related expenses associated with the administration of this article. (2) The fund shall be administered by the executive director, or his or her designee, who may develop procedures in the city's affordable housing funds policies and procedures to implement the purposes of the inclusionary housing fund consistent with the requirements of this article and any adopted budget of the city. (3) Monies deposited in accordance with this section shall be used in accordance with the affordable housing funds policies and procedures, housing element, City Council 29 –38 11/16/2021 Ordinance No. NS-XXX Page 14 of 16 consolidated plan, or subsequent plan adopted by the city council to construct, rehabilitate, or subsidize affordable housing or to recapture affordable housing at risk of market conversion, or to assist other government entities, private organizations, or individuals to do so. Permissible uses include, but are not limited to, assistance to housing development corporations, equity participation loans, grants, pre-home ownership co- investment, pre-development loan funds, participation leases, or other public-private partnership arrangements. The inclusionary housing fund may be used for the benefit of both rental and owner-occupied housing. (4) A developer receiving funding from the inclusionary housing fund shall implement a local preference in their resident selection criteria and marketing policies meeting guidelines established by the executive director. (5) A developer receiving funding from the inclusionary housing fund, as well as its contractors and subcontractors at every tier performing work for the new housing units is encouraged and should negotiate in good faith to provide the City with an enforceable commitment that a minimum 30% of the labor utilizing 2 or more construction trades be performed by a “Skilled and Trained Workforce” as defined in Public Contract Code section 2601 to complete the construction of the project and shall also include a minimum of 35% of all work-hours for the project be performed in accordance with local hire policies approved by the City Council. Sec. 41-1910. Administrative. (a) In-lieu fee calculation. The amount per square foot of the inclusionary housing in- lieu fee shall be subject to city council review and consideration as needed. (b) Administration fees. The council may by resolution establish reasonable fees and deposits for the administration of this article including an annual monitoring fee and an inclusionary housing plan submittal fee. (c) Monitoring/audits. At the time of initial occupancy, and annually thereafter, the city will monitor the project to ensure that the income verifications are correct and in compliance with the inclusionary housing administrative procedures. For ownership units, the city shall monitor to verify that owner-occupancy requirements are maintained. Developer/property owners are required to cooperate with the city in promptly providing all information requested by the city in monitoring compliance with program requirements. The city will conduct periodic random quality control audits of inclusionary units to ensure compliance with rules and requirements. Such audits may include verification of continued occupancy in inclusionary units by eligible tenants, compliance with the inclusionary housing plan and agreement, and physical inspections of the residential project. (e) Administrative procedures. The city manager is hereby authorized and directed to promulgate administrative procedures for the implementation of this article. Secs. 41-1911—41-1999. Reserved. City Council 29 –39 11/16/2021 Ordinance No. NS-XXX Page 15 of 16 Section 5. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. Section 6. This Ordinance shall become effective thirty (30) days after its adoption. Section 7. The Clerk of the Council shall certify the adoption of this ordinance and shall cause the same to be published as required by law. ADOPTED this _______ day of ___________, 2021. _________________________ Vicente Sarmiento Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By:_________________________ John M. Funk Sr. Assistant City Attorney AYES: Councilmembers ______________________________________ NOES: Councilmembers _______________________________________ ABSTAIN: Councilmembers _______________________________________ NOT PRESENT: Councilmembers _______________________________________ City Council 29 –40 11/16/2021 Ordinance No. NS-XXX Page 16 of 16 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby attest to and certify the attached Ordinance No. NS-____________ to be the original ordinance adopted by the City Council of the City of Santa Ana on _______________, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: ________________ ____________________________________ Clerk of the Council City of Santa Ana City Council 29 –41 11/16/2021 O R A N G E C O U N T Y R E P O R T E R OR# ~SINCE 1921~ To the right is a copy of the notice you sent to us for publication in the ORANGE COUNTY REPORTER. Thank you for using our newspaper. Please read this notice carefully and call us with any corrections. The Proof of Publication will be filed with the County Clerk, if required, and mailed to you after the last date below. Publication date(s) for this notice is (are): Daily Journal Corporation Serving your legal advertising needs throughout California. Mailing Address : 600 W SANTA ANA BLVD, SANTA ANA, CA 92701 Telephone (714) 543-2027 / Fax (714) 542-6841 Visit us @ www.LegalAdstore.com NORMA OROZCO SANTA ANA/CITY CLERK 20 CIVIC CENTER PLAZA M-30 SANTA ANA, CA 92701 GPN GOVT PUBLIC NOTICE PH Notice - HOO amendment 11/05/2021 Publication Total $172.05 $172.05 ORANGE COUNTY REPORTER, SANTA ANA (714) 543-2027 BUSINESS JOURNAL, RIVERSIDE (951) 784-0111 DAILY COMMERCE, LOS ANGELES (213) 229-5300 LOS ANGELES DAILY JOURNAL, LOS ANGELES (213) 229-5300 SAN FRANCISCO DAILY JOURNAL, SAN FRANCISCO (800) 640-4829 SAN JOSE POST-RECORD, SAN JOSE (408) 287-4866 THE DAILY RECORDER, SACRAMENTO (916) 444-2355 THE DAILY TRANSCRIPT, SAN DIEGO (619) 232-3486 THE INTER-CITY EXPRESS, OAKLAND (510) 272-4747 Notice Type: Ad Description COPY OF NOTICE 3527760 !A000005867232! The charge(s) for this order is as follows. An invoice will be sent after the last date of publication. If you prepaid this order in full, you will not receive an invoice. NOTICE OF PUBLIC HEARING BEFORE THE CITY COUNCIL OF THE CITY OF SANTA ANA,CA. The City of Santa Ana encourages the public to participate in the decision- making process.The following notice is being provided so that you can ask questions,make comments and stay informed about projects that might be important to you.We encourage you to contact us prior to the Public Hearing if you have any questions. NOTICE IS HEREBY GIVEN -The City Council of the City of Santa Ana will hold a public hearing to receive public testimony and will take action on the item described below. Proposed Action:The City Council is considering the adoption of Zoning Ordinance Amendment No.2021-03 to amend the Santa Ana Municipal Code repealing and reenacting in its entirety Article XVIII.I.of Chapter 41 of the Santa Ana Municipal Code regarding the Housing Opportunity Ordinance.The proposed Amendment will modernize and update the Ordinance to clarify the purpose and applicability of the proposed regulations,to clarify vesting provisions for development projects,to modify the in- lieu fee structure,and to incentivize the use of a skilled and trained local workforce,as well as other various sections of the Ordinance to respond to current development and economic trends.The Planning Commission vote on October 25,2021,resulted in a 4-3 (Calderon,McLoughlin and Morrissey dissented)recommendation that the City Council adopt the proposed Amendment with certain modifications. Environmental Impact:There is no environmental impact associated with this action in that the Ordinance is not subject to the California Environmental Quality Act (CEQA)pursuant to Sections 15060(c)(2)and 15060(c)(3)of the State CEQA Guidelines because it will not result in a direct or reasonably foreseeable indirect physical change in the environment,as there is no possibility it will have a significant effect on the environment and it is not a "project",as defined in Section 15378 of the CEQA Guidelines.Furthermore,the proposed Ordinance falls within the "common sense"CEQA exemption set forth in CEQA Guidelines Section 15061(b)(3), excluding 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." Adoption of this Ordinance will not have a significant effect on the environment because the proposed changes will only modernize,update,and clarify existing affordable and inclusionary housing requirements responding to the current economic and housing trends in the City and will not cause a physical change in the environment.Notice of Exemption, Environmental Review No.2021-107 will be filed for this project. Meeting Time and Date –This matter will be heard on Tuesday,November 16, 2021 at 5:45 p.m.or thereafter in the City Council Chamber,22 Civic Center Plaza, Santa Ana,California 92702.All persons interested in this matter are notified to appear at this time. How To Make Comments -If you do not wish to appear at the public hearing,you may also send your written comments to the Clerk of the Council,by mail to City of Santa Ana,20 Civic Center Plaza –M30, Santa Ana,CA 92701 or via e-mail at ecomments@santa-ana.org (reference "City Council meeting")by 12:00 p.m.on Monday,the day before the meeting;e- mails received after said time will be on file for public viewing the day after the meeting. Who To Contact For Questions -Should you have any questions,please contact the Planning and Building Agency at (714) 667-2706 or you can send an email to ecomments@santa-ana.org. Where To Get More Information -All staff reports regarding any item on this agenda are available for public inspection in the Clerk of the Council Office during regular business hours and posted on the City's website the Friday before a Council meeting at:www.santa-ana.org/cc/city- meetings. Si tiene preguntas en español,favor de llamar al (714)647-6520. N u c n liên l c b ng ti ng Vi t,xin i n tho i cho Tony Lai s (714)565- 2627. If you challenge the decision on the above matter,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. Daisy Gomez, Clerk of the Council Publish Orange County Reporter -Legals Section; Date:November 5,2021 11/5/21 OR-3527760# City Council 29 –42 11/16/2021 Ordinance No. NS-XXX Page 1 of 17 ORDINANCE NO. NS-________ ZONING ORDINANCE AMENDMENT NO. 2021-03 AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REPEALING AND REENACTING IN ITS ENTIRETY ARTICLE XVIII.I. OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE REGARDING THE HOUSING OPPORTUNITY ORDINANCE 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. On November 28, 2011, the Santa Ana City Council adopted Ordinance No. NS-2825, known as the Housing Opportunity Ordinance and appearing as “Article XVIII.I. – Housing Opportunity Ordinance” (“Housing Opportunity Ordinance”) of Chapter 41 of the Santa Ana Municipal Code. The Housing Opportunity Ordinance was adopted to implement the City’s Housing Element Goal of providing affordable housing within the City. B. On September 1, 2015, the City Council adopted Ordinance No. NS-2881, which amended the Housing Opportunity Ordinance in various respects, including applicability, options to satisfy inclusionary requirements, and calculation of the in-lieu housing fee. These amendments were intended to make the inclusionary housing requirements more predictable for housing developers and to incentivize the production of more affordable housing. C. In response to impacts of the COVID-19 pandemic on the development and construction of housing in the City, including the reduction of housing starts, the City Council adopted Ordinance No. NS-2994 on September 1, 2020. Ordinance No. NS- 2994 further amended the Housing Opportunity Ordinance to lower the in-lieu housing fee for all projects from $15 to $5 per square foot, adjust the trigger of the ordinance, and expand the eligible uses of in-lieu fees collected by the City. D. On March 2, 2021, at the direction of the City Council, an Ad Hoc Committee for Housing was formed. The Ad Hoc Committee reviewed the Housing Opportunity Ordinance and recommended certain changes. The Ad Hoc Committee’s recommendations were presented and discussed at the City Council Meeting on July 6, 2021. E. On July 26, 2021, the City Council conducted a work-study session to further evaluate the Committee’s recommendations and to receive input from key stakeholders and members of the public. The City Council provided direction to staff to prepare amendments to the Housing Opportunity Ordinance concerning the applicability City Council 29 –43 11/16/2021 Ordinance No. NS-XXX Page 2 of 17 and triggers for the ordinance, adjustments to the in-lieu fee calculation, set-aside units, and options for satisfaction of inclusionary requirements. F. On September 7, 2021, the City Council further considered this matter and provided additional direction to staff regarding proposed amendments to the Housing Opportunity Ordinance. G. At the City Council meeting of October 5, 2021, staff received direction to initiate the adoption hearing in order for the City Council to consider the changes recommended by the Housing Ad Hoc Committee. H. On October 25, 2021, the Planning Commission held a duly noticed public hearing on the proposed amendments and considered the staff report, recommendations by staff, and public testimony concerning the proposed Ordinance. The Planning Commission recommended that the City Council adopt the proposed Ordinance. I. The Request for City Council Action for this Ordinance dated __________, 2021 and duly signed by the Executive Director of the Planning and Building Agency shall, by this reference, be incorporated herein, and together with this ordinance, any amendments or supplements, and oral testimony, constitute the necessary findings for this ordinance. Section 2. The City Council finds and determines that this Ordinance is not subject to the California Environmental Quality Act (CEQA) pursuant to Sections 15060(c)(2) and 15060(c)(3) of the State CEQA Guidelines because it will not result in a direct or reasonably foreseeable indirect physical change in the environment, as there is no possibility it will have a significant effect on the environment and it is not a "project", as defined in Section 15378 of the CEQA Guidelines. Furthermore, the proposed Ordinance falls within the "common sense" CEQA exemption set forth in CEQA Guidelines Section 15061(b)(3), excluding 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." Adoption of this Ordinance will not have a significant effect on the environment because the proposed changes will only modernize, update, and clarify existing affordable and inclusionary housing requirements responding to the current economic and housing trends in the City and will not cause a physical change in the environment. Section 3. Article XVIII.I of Chapter 41 of the Santa Ana Municipal Code is hereby repealed in its entirety. Section 4. Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code is hereby reenacted and amended to read in its entirety as follows: ARTICLE XVIII.I. - 2021 AFFORDABLE HOUSING OPPORTUNITY AND CREATION ORDINANCE City Council 29 –44 11/16/2021 Ordinance No. NS-XXX Page 3 of 17 Sec. 41-1900. Purpose. This article establishes standards and procedures to encourage the development of housing that is affordable to a range of households with varying income levels. The purpose of this article is to encourage the development and availability of affordable housing by requiring the inclusion of affordable housing units within new developments when the number of units exceed the densities permitted under the general plan, zoning classification, or the conversion of rental units to condominium ownership. Sec. 41-1901. Definitions. As used in this article, the following terms shall have the following meanings: Adjusted for household size appropriate for the unit means a household of one person in the case of a studio unit, two (2) persons in the case of a one-bedroom unit, three (3) persons in the case of a two-bedroom unit, four (4) persons in the case of a three- bedroom unit, and five (5) persons in the case of a four-bedroom unit. Administrative procedures means those regulations promulgated by the executive director pursuant to section 41-1910 of this article. Affordable housing cost means the total housing costs paid by a qualifying household, which shall not exceed the fraction of gross income specified, as follows: Extremely low-income households. Thirty (30) percent of the income of a household earning thirty (30) percent of the Orange County median income adjusted for family size appropriate for the unit. Very low-income households. Thirty (30) percent of the income of a household earning fifty (50) percent of the Orange County median income adjusted for family size appropriate for the unit. Low-income households. Thirty (30) percent of the income of a household earning eighty (80) percent of the Orange County median income for family size appropriate for the unit. Moderate-income households. Thirty (30) percent of the income of a household earning one hundred twenty (120) percent of the Orange County median income adjusted for family size appropriate for the unit. The qualifying limits for extremely low-income, very low-income, low-income and moderate-income households are established and amended annually pursuant to Section 8 of the United States Housing Act of 1937. The limits are published by the Secretary of Housing and Urban Development. Developer means any association, corporation, firm, joint venture, partnership, person, or any entity or combination of entities, which seeks city approval for all or part of a residential project. Development agreement means an agreement approved by the city council between a property owner and the city pursuant to Government Code section 65864, et seq. Executive director means the executive director of community development for the city. City Council 29 –45 11/16/2021 Ordinance No. NS-XXX Page 4 of 17 General plan means the adopted general plan for the City of Santa Ana. Inclusionary housing agreement means a legally binding agreement between the developer and the city, in a form and substance satisfactory to the executive director and the city attorney, and containing those provisions necessary to ensure that the requirements of this article are satisfied, whether through the provision of inclusionary units or through an approved alternative method. Inclusionary housing fund means the fund created by the city in which all fees collected in compliance with this article shall be deposited. Inclusionary housing plan means the plan submitted by the developer, in a form specified by the executive director, detailing how the provisions of this article will be implemented for the proposed residential project. Inclusionary unit means a dwelling unit that will be offered for sale or rent to extremely low, very low, low, or moderate-income households, at an affordable housing cost, in compliance with this article. Low-income units, very low-income units, and extremely low-income units means inclusionary units restricted to occupancy by low, very low, and extremely low-income households, respectively, at an affordable housing cost. Market rate units means dwelling units in a residential project that are not inclusionary units. Moderate-income units means inclusionary units restricted to occupancy by moderate-income households at an affordable housing cost. Regulatory agreement means an agreement entered into between the City of Santa Ana or the Santa Ana Community Development Agency and a developer by which the developer covenants to keep certain housing units at an affordable housing cost for a specified period of time. Rehabilitated units/rehabilitation means the improvement of a unit in substandard condition to a decent, safe and sanitary level. Units are in substandard condition when, while they may be structurally sound, they do not provide safe and adequate shelter, and in their present condition endanger the health, safety or well-being of the occupants. Residential project/project means any of the following: A subdivision resulting in the creation of five (5) or more residential lots or residential condominium units; or The new construction of a project consisting of five (5) or more multi-family units; or The new construction of five (5) or more separate houses or dwelling units; or The conversion of five (5) or more existing residential rental units to condominium ownership. Target area means that area designated by the city from time to time, on an as-needed basis, as a priority area for rehabilitation due to health and safety concerns. City Council 29 –46 11/16/2021 Ordinance No. NS-XXX Page 5 of 17 Total housing costs the total monthly or annual recurring expenses required of a household to obtain shelter. For a rental unit, total housing costs shall include the monthly rent payment and utilities paid by the tenant (excluding telephone and television). For an ownership unit, total housing costs shall include the mortgage payment (principal and interest), insurance, homeowners' association dues (if applicable), private mortgage insurance (if applicable), taxes, utilities, an allowance for maintenance and any other related assessments. Sec. 41-1902. Applicability and inclusionary unit requirements. (a) Applicability. The requirements of this article shall apply to any new project comprised of five (5) or more residential lots or residential units which has not been issued a building permit or paid the in-lieu fee as of November 17, 2021, including new construction and condominium conversions, which meets one or all of the following applicability thresholds: (1) A change in use to allow for residential or that exceeds the general plan or zoning prescribed densities or percentage of residential development of the subject property at the time of application. (2) Implementation of the permitted residential density or percentage of residential development allowed as a result of city initiated zone changes or city initiated general plan amendments after November 28, 2011. (3) Increase of the permitted percentage of residential development allowed for a mixed-use development above the percentage permitted under the zoning classification at the time of application. (4) Development of new residential uses or increase of the permitted residential density or percentage of residential development within an overlay zone approved pursuant to Division 28 of Article I of this Chapter. (5) Conversion of rental units to condominium ownership. (b) Applications. The inclusionary requirements shall only apply to the incremental units beyond that which is allowed as prescribed in Subsection (a) above. (c) Units for sale. If the new residential project consists of units for sale, then a minimum of ten (10) percent of the total number of units in the project shall be sold to moderate-income households. (d) Rental units. If the new residential project consists of rental units, the inclusionary units shall be constructed as follows: (1) A minimum of fifteen (15) twenty (20) percent of the units shall be rented to low-income households, or City Council 29 –47 11/16/2021 Ordinance No. NS-XXX Page 6 of 17 (2) A minimum of ten (10) fifteen (15) percent shall be rented to very low- income households, or (3) A minimum of five (5) ten (10) percent shall be rented to extremely low- income households, or (4) A minimum of ten (10) fifteen (15) percent shall be available at an affordable housing cost of which five (5) percent rented to low-income households, three (3) five (5) percent rented to very low-income households, and two (2) five (5) percent rented to extremely low-income households. (e) Rounding of quantities in calculations. In calculating the required number of inclusionary units, fractional units shall be rounded-up to the next whole unit. The developer may choose to pay an in-lieu fee set forth in section 41-1904(c) for the fractional units, which shall be calculated based on the number of habitable square feet applicable in each case. (f) Displacement of existing inclusionary units. Notwithstanding any other provision of this article, any residential project subject to this article that results in the displacement of extremely low, very low and/or low-income household(s) shall be required to provide on- site inclusionary units as required by this article. (g) Compliance with article. All inclusionary units required by this article shall be sold or rented in compliance with this article. Sec. 41-1903. Exempt projects. The following are exempt from the requirements of this article: (a) Development agreements. A residential project that is the subject of a development agreement under applicable provisions of the California Government Code that expressly provides for an exclusion to this article, provides for a different amount of inclusionary units, or provides for a different specified method for determining the in-lieu fee provisions of this ordinance, such as the timing of payment or the point in time for determining the applicable in-lieu fee amount, to satisfy the inclusionary units from that specified by this article. (b) Project with regulatory agreement. A residential project for which a regulatory agreement has been approved, provided that the regulatory agreement is effective at the time the residential project would otherwise be required to comply with the requirements of this article, and there is no uncured breach of the regulatory agreement before issuance of a certificate of occupancy for the project. This may include a residential project that has obtained a density bonus under article XVI.I of the Santa Ana Municipal Code. Such projects cannot be used to satisfy the inclusionary requirement for another project. (c) Adaptive Reuse. Adaptive reuse development projects pursuant to Chapter 41, Article XVI.II - Adaptive Reuse. City Council 29 –48 11/16/2021 Ordinance No. NS-XXX Page 7 of 17 (d) Development Projects Approved Under the Provisions of Ordinance No. NS-2994 Adopted on September 1, 2020. A development project that has received entitlement approvals by city council action prior to November 16, 2021 to construct new residential units is hereby determined to have vested the right to carry out the completion and construction of the project under the regulations and provisions of Ordinance No. NS- 2994. The vested regulations and provisions in accordance with this section shall terminate if any or all of the entitlement approvals become invalid for any reasons or have expired under the various applicable time limits established in the Santa Ana Municipal Code. A list these projects and the vested right(s) under Ordinance No. NS-2994 are attached hereto as Exhibit A and is incorporated herein by reference. Sec. 41-1904. Options to satisfy inclusionary requirements. (a) On-site units. The primary means of complying with the inclusionary requirements of this article shall be the provision of on-site inclusionary units in accordance with section 41-1902 above. A developer may only satisfy the requirements of this article by means of an alternative to on-site inclusionary units in accordance with the requirements and procedures of this section. (b) Off-site units. (1) New units. The developer may satisfy the inclusionary unit requirements for the project, in whole or in part by constructing the required new inclusionary housing at a different location within the city borders at the ratio of one square foot of habitable inclusionary unit space for each required habitable square foot. While the total habitable square footage area of the required new inclusionary units must be the same as the sum- total of the number of habitable square feet for the project as directed by this ordinance, the number of units and bedrooms associated with the off-site units may be approved by the review authority of the city, consistent with the type of affordable housing needed at the time of project review. (2) Rehabilitated units outside a designated target area. The developer may satisfy the inclusionary unit requirements for the project, in whole or in part by substantially rehabilitating existing housing units elsewhere within the borders of the city at a rate of one and one-half (1½) habitable square feet per each required habitable square foot of inclusionary units. (3) Rehabilitated units within a designated target area. Upon application, the developer may satisfy the inclusionary unit requirements for the project, in whole or in part by substantially rehabilitating existing housing units elsewhere within the borders of the city at a rate of one habitable square foot per each required habitable square foot of affordable inclusionary units. (c) In-lieu fee. City Council 29 –49 11/16/2021 Ordinance No. NS-XXX Page 8 of 17 (1) Five (5) or more units. For a residential project comprised of five (5) or more residential lots or residential units, the developer may elect to satisfy the inclusionary unit requirements for the project, in whole or in part, by payment of a fee in-lieu of constructing some or all of the required units. The total amount of the fee allowed by this section shall be calculated using the In-Lieu Fee Schedule in section 41-1904(c)(1)(i) multiplied by the sum total of the number of habitable square feet within the entire project, as measured from the exterior walls of the residential units. This calculation does not include exterior hallways, common areas, landscape, open space or exterior stairways. (i) In-Lieu Fee Schedule Units Fee Per Square Foot of Habitable Area 5 – 9 $610.00 10 – 14 $9.0011.66 15 – 19 $12.0013.32 20 or more $15.00 (ii) Local Skilled and Trained Workforce Incentive. The in-lieu fee for fifteen (15) or more units shall be reduced if the developer voluntarily provides the City with an executed enforceable commitment to use a “Skilled and Trained Workforce” as defined in Public Contract Code section 2601 to complete the construction of the project as follows: Use of Skilled and Trained Workforce Fee Per Square Foot of Habitable Area 30% of workforce utilizing 2 or more construction trades $10.00 60% of workforce utilizing 3 or more construction trades $5.00 A minimum of 35% of the above work-hours shall be performed in accordance with local hire policies approved by the City Council. (2) Timing of payment. The total fee amount for the entirety of a project is calculated, determined, and set at the time of issuance of the first building permit for the project. All in-lieu fees allowed by this section shall be paid no later than prior to issuance of the first occupancy approval for any construction which adds net residential units. If the city approves a phased project, a proportional share of the required fee shall be paid within each phase of the residential project. The in-lieu fees collected by the city are city funds over which the city has complete and absolute discretion. City Council 29 –50 11/16/2021 Ordinance No. NS-XXX Page 9 of 17 (3) Inclusionary housing fund. Fees collected in compliance with this section shall be deposited in the inclusionary housing fund. Sec. 41-1904.1. Inclusionary housing development incentives for production of units. (a) In order to make the production of new inclusionary units on-site or off-site or off- site rehabilitated units, certain incentives, standards and concessions shall be allowed and prescribed as set forth herein below. Such concessions shall not be available to those developers that choose to pay an in lieu fee rather than build the units. The developer may opt to take advantage of up to two (2) concessions among the following possible concessions: (1) Parking concession. One on-site parking space for each zero to one bedroom unit; two (2) on-site parking spaces for each two (2) to three (3) bedroom unit; two and one-half (2½) parking spaces for each four (4) or more bedroom unit. (2) Concession on one of the following Zoning Code site development standards: (i) Setback reduction of up to twenty-five (25) percent reduction on subject property; (ii) Height increase of up to twenty (20) additional feet. (b) A developer of a for sale residential project proposing to provide on-site moderate income units and a surrounding community benefit may opt to take advantage of up to three (3) of the above concessions. The surrounding community benefit will include but not be limited to park improvements, urban community gardens, developer-funded down payment assistance, or subsidy of services, activities or programs. Sec. 41-1905. Housing plan and housing agreement. (a) Submittal and execution. The developer shall comply with the following requirements: (1) Inclusionary housing plan. The developer shall submit an inclusionary housing plan in a form specified by the executive director, detailing how the provisions of this article will be implemented for the proposed residential project. The inclusionary housing plan and its supportive documents, plans, and details shall be submitted at the same time as the site plan and application materials for the original project. All inclusionary housing plans shall be subject to the approval of the executive director and subject to appeal processes and procedures set forth in the Santa Ana Municipal Code. 2) Inclusionary housing agreement. The developer shall execute and cause to be recorded an inclusionary housing agreement. The inclusionary housing agreement shall be a legally binding agreement between the developer and the city, executed by the city manager, or his or her designee, and in a form and substance satisfactory to the executive director and the city attorney, and containing those provisions necessary to City Council 29 –51 11/16/2021 Ordinance No. NS-XXX Page 10 of 17 ensure that the requirements of this article are satisfied, whether through the provision of inclusionary units or through an approved alternative method. (b) Discretionary approvals. No discretionary approval shall be issued for a residential project subject to this article until the developer has submitted an inclusionary housing plan. (c) Issuance of building permit. No building permit shall be issued for a residential project subject to this article unless the executive director has approved the inclusionary housing plan, and any required inclusionary housing agreement has been recorded. (d) Issuance of certificate of occupancy. A certificate of occupancy shall not be issued for a residential project subject to this article unless the approved inclusionary housing plan has been fully implemented. Sec. 41-1906. Standards. (a) Location within project, relationship to non-inclusionary units. All inclusionary units shall be: (1) Reasonably dispersed throughout the residential project; (2) Proportional, in number of bedrooms, gross floor area of habitable space, and location, to the market rate units; (3) Comparable to the market rate units included in the residential project in terms of design, materials, finished quality, and appearance; and (4) Permitted the same access to project amenities and recreational facilities, as are market rate units. (b) Timing of construction. All inclusionary units in a residential project shall be constructed concurrent with, or before the construction of the market rate units. If the city approves a phased project, a proportional share of the required inclusionary units shall be provided within each phase of the residential project. (c) Location outside the proposed original project. For projects where the developer proposes to either produce new inclusionary units or rehabilitate existing off-site units to meet the inclusionary affordable housing requirements of this ordinance, the off-site project(s) containing the required inclusionary units shall be subject to the following requirements: (1) The sum-total area (in habitable square feet) of all the newly constructed off-site inclusionary units shall be the same number of habitable square feet of inclusionary area as required by this ordinance. For the purpose of the calculation of the number of square feet of required inclusionary housing, the total gross habitable square feet of the housing units of the original market rate project shall be used, as measured from exterior walls to exterior walls of the market units provided as the base for calculation. The common areas, exterior hallways, stairways, patios, and balconies shall City Council 29 –52 11/16/2021 Ordinance No. NS-XXX Page 11 of 17 not be calculated in determining the number of required square feet of inclusionary housing production. All new or rehabilitated units must meet all current zoning and general plan standards. (2) While the total number of square feet of inclusionary housing requirement is calculated based on the requirements of this ordinance, the number of units, bedrooms and other amenities on the proposed off-site inclusionary housing location shall be approved by the review authority commensurate with the size and type of units most in demand at the time of submittal of the application. (3) Any off-site affordable inclusionary housing project shall be substantially comparable to the market rate units included in the residential project in terms of quality of design, materials and finishes. (4) If tenants are displaced due to rehabilitation of housing to meet the inclusionary unit requirement, the developer shall be responsible for relocation costs as required by state law. (5) No city, housing authority, or public funds, subsidies, or participation of any kind shall be expended on the production or building of any inclusionary housing projects associated with meeting the inclusionary unit requirement. (d) Timing of construction. All inclusionary units in a residential project or proposed off-site new inclusionary units or rehabilitated units shall be constructed concurrent with, or before the construction of the market rate units. If the city approves a phased project, a proportional share of the required inclusionary units shall be provided within each phase of the residential project. (e) Units for sale. (1) Time limit for inclusionary restrictions. A unit for sale shall be restricted to the target income level group at the applicable affordable housing cost for a minimum of fifty-five (55) years. (2) Certification of purchasers. The developer and all subsequent owners of an inclusionary unit offered for sale shall certify, on a form provided by the city, the income of the purchaser and that such owners will live in such inclusionary unit as their primary residence. (3) Resale price control. In order to maintain the availability of inclusionary units required by this article, the resale price of an owner occupied inclusionary unit shall be limited to the lesser of the fair market value of the unit as established by a licensed real estate agent based upon three (3) comparable properties or the restricted resale price. For these purposes, the restricted resale price shall be the applicable affordable housing cost. City Council 29 –53 11/16/2021 Ordinance No. NS-XXX Page 12 of 17 (4) Inheritance of inclusionary units. Upon the death of an owner of an owner- occupied inclusionary unit, title in the property may transfer to the surviving joint tenant or heir (in the case of the death of a sole owner or all owners of the household). (5) Forfeiture. If an inclusionary unit for sale is sold for an amount in excess of the resale price controls required by this section, the buyer and the seller shall be jointly and severally liable to the city for the amount in excess of the affordable housing cost at the time of such sale of the inclusionary unit. Recovered funds shall be deposited into the inclusionary housing fund. Notwithstanding the foregoing, city may allow the buyer and seller to cure any violation of the resale price controls within one hundred eighty (180) days. (f) Rental units. (1) Time limit for inclusionary restrictions. A rental inclusionary unit shall remain restricted to the target income level group at the applicable affordable housing cost for fifty-five (55) years. (2) Certification of renters. The owner of any rental inclusionary unit shall certify, on a form provided by the city, the income of all members of the household above the age of eighteen (18) at the time of the initial rental and annually thereafter. (3) Forfeiture. Any lessor who leases an inclusionary unit in violation of this article shall be required to forfeit to the city all money so obtained. Recovered funds shall be deposited into the inclusionary housing fund. (g) Execution and recording of documents. The executive director may require the execution and recording of whatever documents are required to ensure enforcement of this section; including, but not limited to, promissory notes, deeds of trust, resale restrictions, rights of first refusal, options to purchase, and/or other documents, which shall be recorded against all inclusionary units. (h) General prohibitions. (1) No person shall sell or rent an inclusionary unit at a price or rent in excess of the maximum amount allowed by any restriction placed on the unit in accordance with this article. (2) No person shall sell or rent an inclusionary unit to a person or persons that do not meet the income restrictions placed on the unit in accordance with this article. (3) No person shall provide false or materially incomplete information to the city or to a seller or lessor of an inclusionary unit to obtain occupancy of housing for which that person is not eligible. (i) Principal residency requirement. City Council 29 –54 11/16/2021 Ordinance No. NS-XXX Page 13 of 17 1. The owner or lessee of an inclusionary unit shall reside in the unit for not less than ten (10) out of every twelve (12) months. 2. No owner or lessee of an inclusionary unit shall lease or sublease, as applicable, an inclusionary unit without the prior permission of the executive director. Sec. 41-1907. Reserved. Sec. 41-1908. Enforcement. (a) Violation. Any violation of this article constitutes a misdemeanor. (b) Forfeiture of funds. Any individual who sells an inclusionary unit in violation of this article shall be required to forfeit any money in excess of the affordable housing cost at such time. Any individual who rents an inclusionary unit in violation of this article shall be required to forfeit all money so obtained. Recovered funds shall be deposited into the inclusionary housing fund. (c) Legal actions. The city may institute any appropriate legal actions or proceedings necessary to ensure compliance with this article, including actions: (1) To disapprove, revoke, or suspend any permit, including a building permit, certificate of occupancy, or discretionary approval; and (2) For injunctive relief or damages. (d) Recovery of costs. In any action to enforce this article, or an inclusionary housing agreement recorded hereunder, the city shall be entitled to recover its reasonable attorney's fees and costs. Sec. 41-1909. Inclusionary housing fund. (a) Inclusionary housing fund. There is hereby established a separate fund of the city, to be known as the inclusionary housing fund. All monies collected pursuant to this article shall be deposited in the inclusionary housing fund. Additional monies from other sources may be deposited in the inclusionary housing fund. The monies deposited in the inclusionary housing fund shall be subject to the following conditions: (1) Monies deposited into the inclusionary housing fund must be used to increase and improve the supply of housing affordable to moderate, low, very low, and extremely low income households in the city as specified in the city's affordable housing funds policies and procedures. A priority will be on the creation of new affordable housing opportunities for large families currently living in the City. Other eligible uses of the inclusionary housing fund include but are not limited to: (i) Creating affordable units from the existing market rate housing stock including but not limited to, the purchase and rehabilitation of units. City Council 29 –55 11/16/2021 Ordinance No. NS-XXX Page 14 of 17 (ii) Funding one-time programs for code enforcement, quality of life, and general health and safety activities. (iii) Implementing and promoting programs addressing housing security, eviction prevention, and housing legal assistance for city residents. (iv) Funding reasonable administrative or related expenses associated with the administration of this article. (2) The fund shall be administered by the executive director, or his or her designee, who may develop procedures in the city's affordable housing funds policies and procedures to implement the purposes of the inclusionary housing fund consistent with the requirements of this article and any adopted budget of the city. (3) Monies deposited in accordance with this section shall be used in accordance with the affordable housing funds policies and procedures, housing element, consolidated plan, or subsequent plan adopted by the city council to construct, rehabilitate, or subsidize affordable housing or to recapture affordable housing at risk of market conversion, or to assist other government entities, private organizations, or individuals to do so. Permissible uses include, but are not limited to, assistance to housing development corporations, equity participation loans, grants, pre-home ownership co- investment, pre-development loan funds, participation leases, or other public-private partnership arrangements. The inclusionary housing fund may be used for the benefit of both rental and owner-occupied housing. (4) A developer receiving funding from the inclusionary housing fund shall implement a local preference in their resident selection criteria and marketing policies meeting guidelines established by the executive director. (5) A developer receiving funding from the inclusionary housing fund, as well as its contractors and subcontractors at every tier performing work for the new housing units is encouraged and should negotiate in good faith to provide the City with an enforceable commitment that a minimum 30% of the labor utilizing 2 or more construction trades be performed by a “Skilled and Trained Workforce” as defined in Public Contract Code section 2601 to complete the construction of the project and shall also include a minimum of 35% of all work-hours for the project be performed in accordance with local hire policies approved by the City Council. Sec. 41-1910. Administrative. (a) In-lieu fee calculation. The amount per square foot of the inclusionary housing in- lieu fee shall be subject to city council review and consideration as needed. (b) Administration fees. The council may by resolution establish reasonable fees and deposits for the administration of this article including an annual monitoring fee and an inclusionary housing plan submittal fee. City Council 29 –56 11/16/2021 Ordinance No. NS-XXX Page 15 of 17 (c) Monitoring/audits. At the time of initial occupancy, and annually thereafter, the city will monitor the project to ensure that the income verifications are correct and in compliance with the inclusionary housing administrative procedures. For ownership units, the city shall monitor to verify that owner-occupancy requirements are maintained. Developer/property owners are required to cooperate with the city in promptly providing all information requested by the city in monitoring compliance with program requirements. The city will conduct periodic random quality control audits of inclusionary units to ensure compliance with rules and requirements. Such audits may include verification of continued occupancy in inclusionary units by eligible tenants, compliance with the inclusionary housing plan and agreement, and physical inspections of the residential project. (e) Administrative procedures. The city manager is hereby authorized and directed to promulgate administrative procedures for the implementation of this article. Secs. 41-1911—41-1999. Reserved. Section 5. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. Section 6. This Ordinance shall become effective thirty (30) days after its adoption. Section 7. The Clerk of the Council shall certify the adoption of this ordinance and shall cause the same to be published as required by law. ADOPTED this _______ day of ___________, 2021. _________________________ Vicente Sarmiento Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By:_________________________ John M. Funk City Council 29 –57 11/16/2021 Ordinance No. NS-XXX Page 16 of 17 Sr. Assistant City Attorney AYES: Councilmembers ______________________________________ NOES: Councilmembers _______________________________________ ABSTAIN: Councilmembers _______________________________________ NOT PRESENT: Councilmembers _______________________________________ City Council 29 –58 11/16/2021 Ordinance No. NS-XXX Page 17 of 17 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby attest to and certify the attached Ordinance No. NS-____________ to be the original ordinance adopted by the City Council of the City of Santa Ana on _______________, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: ________________ ____________________________________ Clerk of the Council City of Santa Ana City Council 29 –59 11/16/2021 Ordinance No. NS-XXX Page 1 of 17 ORDINANCE NO. NS-________ ZONING ORDINANCE AMENDMENT NO. 2021-03 AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REPEALING AND REENACTING IN ITS ENTIRETY ARTICLE XVIII.I. OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE REGARDING THE HOUSING OPPORTUNITY ORDINANCE 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. On November 28, 2011, the Santa Ana City Council adopted Ordinance No. NS-2825, known as the Housing Opportunity Ordinance and appearing as “Article XVIII.I. – Housing Opportunity Ordinance” (“Housing Opportunity Ordinance”) of Chapter 41 of the Santa Ana Municipal Code. The Housing Opportunity Ordinance was adopted to implement the City’s Housing Element Goal of providing affordable housing within the City. B. On September 1, 2015, the City Council adopted Ordinance No. NS-2881, which amended the Housing Opportunity Ordinance in various respects, including applicability, options to satisfy inclusionary requirements, and calculation of the in-lieu housing fee. These amendments were intended to make the inclusionary housing requirements more predictable for housing developers and to incentivize the production of more affordable housing. C. In response to impacts of the COVID-19 pandemic on the development and construction of housing in the City, including the reduction of housing starts, the City Council adopted Ordinance No. NS-2994 on September 1, 2020. Ordinance No. NS- 2994 further amended the Housing Opportunity Ordinance to lower the in-lieu housing fee for all projects from $15 to $5 per square foot, adjust the trigger of the ordinance, and expand the eligible uses of in-lieu fees collected by the City. D. On March 2, 2021, at the direction of the City Council, an Ad Hoc Committee for Housing was formed. The Ad Hoc Committee reviewed the Housing Opportunity Ordinance and recommended certain changes. The Ad Hoc Committee’s recommendations were presented and discussed at the City Council Meeting on July 6, 2021. E. On July 26, 2021, the City Council conducted a work-study session to further evaluate the Committee’s recommendations and to receive input from key stakeholders and members of the public. The City Council provided direction to staff to prepare amendments to the Housing Opportunity Ordinance concerning the applicability City Council 29 –60 11/16/2021 Ordinance No. NS-XXX Page 2 of 17 and triggers for the ordinance, adjustments to the in-lieu fee calculation, set-aside units, and options for satisfaction of inclusionary requirements. F. On September 7, 2021, the City Council further considered this matter and provided additional direction to staff regarding proposed amendments to the Housing Opportunity Ordinance. G. At the City Council meeting of October 5, 2021, staff received direction to initiate the adoption hearing in order for the City Council to consider the changes recommended by the Housing Ad Hoc Committee. H. On October 25, 2021, the Planning Commission held a duly noticed public hearing on the proposed amendments and considered the staff report, recommendations by staff, and public testimony concerning the proposed Ordinance. The Planning Commission recommended that the City Council adopt the proposed Ordinance. I. The Request for City Council Action for this Ordinance dated __________, 2021 and duly signed by the Executive Director of the Planning and Building Agency shall, by this reference, be incorporated herein, and together with this ordinance, any amendments or supplements, and oral testimony, constitute the necessary findings for this ordinance. Section 2. The City Council finds and determines that this Ordinance is not subject to the California Environmental Quality Act (CEQA) pursuant to Sections 15060(c)(2) and 15060(c)(3) of the State CEQA Guidelines because it will not result in a direct or reasonably foreseeable indirect physical change in the environment, as there is no possibility it will have a significant effect on the environment and it is not a "project", as defined in Section 15378 of the CEQA Guidelines. Furthermore, the proposed Ordinance falls within the "common sense" CEQA exemption set forth in CEQA Guidelines Section 15061(b)(3), excluding 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." Adoption of this Ordinance will not have a significant effect on the environment because the proposed changes will only modernize, update, and clarify existing affordable and inclusionary housing requirements responding to the current economic and housing trends in the City and will not cause a physical change in the environment. Section 3. Article XVIII.I of Chapter 41 of the Santa Ana Municipal Code is hereby repealed in its entirety. Section 4. Article XVIII.I. of Chapter 41 of the Santa Ana Municipal Code is hereby reenacted and amended to read in its entirety as follows: ARTICLE XVIII.I. - 2021 AFFORDABLE HOUSING OPPORTUNITY AND CREATION ORDINANCE City Council 29 –61 11/16/2021 Ordinance No. NS-XXX Page 3 of 17 Sec. 41-1900. Purpose. This article establishes standards and procedures to encourage the development of housing that is affordable to a range of households with varying income levels. The purpose of this article is to encourage the development and availability of affordable housing by requiring the inclusion of affordable housing units within new developments when the number of units exceed the densities permitted under the general plan, zoning classification, or the conversion of rental units to condominium ownership. Sec. 41-1901. Definitions. As used in this article, the following terms shall have the following meanings: Adjusted for household size appropriate for the unit means a household of one person in the case of a studio unit, two (2) persons in the case of a one-bedroom unit, three (3) persons in the case of a two-bedroom unit, four (4) persons in the case of a three- bedroom unit, and five (5) persons in the case of a four-bedroom unit. Administrative procedures means those regulations promulgated by the executive director pursuant to section 41-1910 of this article. Affordable housing cost means the total housing costs paid by a qualifying household, which shall not exceed the fraction of gross income specified, as follows: Extremely low-income households. Thirty (30) percent of the income of a household earning thirty (30) percent of the Orange County median income adjusted for family size appropriate for the unit. Very low-income households. Thirty (30) percent of the income of a household earning fifty (50) percent of the Orange County median income adjusted for family size appropriate for the unit. Low-income households. Thirty (30) percent of the income of a household earning eighty (80) percent of the Orange County median income for family size appropriate for the unit. Moderate-income households. Thirty (30) percent of the income of a household earning one hundred twenty (120) percent of the Orange County median income adjusted for family size appropriate for the unit. The qualifying limits for extremely low-income, very low-income, low-income and moderate-income households are established and amended annually pursuant to Section 8 of the United States Housing Act of 1937. The limits are published by the Secretary of Housing and Urban Development. Developer means any association, corporation, firm, joint venture, partnership, person, or any entity or combination of entities, which seeks city approval for all or part of a residential project. Development agreement means an agreement approved by the city council between a property owner and the city pursuant to Government Code section 65864, et seq. Executive director means the executive director of community development for the city. City Council 29 –62 11/16/2021 Ordinance No. NS-XXX Page 4 of 17 General plan means the adopted general plan for the City of Santa Ana. Inclusionary housing agreement means a legally binding agreement between the developer and the city, in a form and substance satisfactory to the executive director and the city attorney, and containing those provisions necessary to ensure that the requirements of this article are satisfied, whether through the provision of inclusionary units or through an approved alternative method. Inclusionary housing fund means the fund created by the city in which all fees collected in compliance with this article shall be deposited. Inclusionary housing plan means the plan submitted by the developer, in a form specified by the executive director, detailing how the provisions of this article will be implemented for the proposed residential project. Inclusionary unit means a dwelling unit that will be offered for sale or rent to extremely low, very low, low, or moderate-income households, at an affordable housing cost, in compliance with this article. Low-income units, very low-income units, and extremely low-income units means inclusionary units restricted to occupancy by low, very low, and extremely low-income households, respectively, at an affordable housing cost. Market rate units means dwelling units in a residential project that are not inclusionary units. Moderate-income units means inclusionary units restricted to occupancy by moderate-income households at an affordable housing cost. Regulatory agreement means an agreement entered into between the City of Santa Ana or the Santa Ana Community Development Agency and a developer by which the developer covenants to keep certain housing units at an affordable housing cost for a specified period of time. Rehabilitated units/rehabilitation means the improvement of a unit in substandard condition to a decent, safe and sanitary level. Units are in substandard condition when, while they may be structurally sound, they do not provide safe and adequate shelter, and in their present condition endanger the health, safety or well-being of the occupants. Residential project/project means any of the following: A subdivision resulting in the creation of five (5) or more residential lots or residential condominium units; or The new construction of a project consisting of five (5) or more multi-family units; or The new construction of five (5) or more separate houses or dwelling units; or The conversion of five (5) or more existing residential rental units to condominium ownership. Target area means that area designated by the city from time to time, on an as-needed basis, as a priority area for rehabilitation due to health and safety concerns. City Council 29 –63 11/16/2021 Ordinance No. NS-XXX Page 5 of 17 Total housing costs the total monthly or annual recurring expenses required of a household to obtain shelter. For a rental unit, total housing costs shall include the monthly rent payment and utilities paid by the tenant (excluding telephone and television). For an ownership unit, total housing costs shall include the mortgage payment (principal and interest), insurance, homeowners' association dues (if applicable), private mortgage insurance (if applicable), taxes, utilities, an allowance for maintenance and any other related assessments. Sec. 41-1902. Applicability and inclusionary unit requirements. (a) Applicability. The requirements of this article shall apply to any new project comprised of five (5) or more residential lots or residential units, including new construction and condominium conversions, which meets one or all of the following applicability thresholds: (1) A change in use to allow for residential or that exceeds the general plan or zoning prescribed densities or percentage of residential development of the subject property at the time of application. (2) Implementation of the permitted residential density or percentage of residential development allowed as a result of city initiated zone changes or city initiated general plan amendments after November 28, 2011. (3) Increase of the permitted percentage of residential development allowed for a mixed-use development above the percentage permitted under the zoning classification at the time of application. (4) Development of new residential uses or increase of the permitted residential density or percentage of residential development within an overlay zone approved pursuant to Division 28 of Article I of this Chapter. (5) Conversion of rental units to condominium ownership. (b) Applications. The inclusionary requirements shall only apply to the incremental units beyond that which is allowed as prescribed in Subsection (a) above. (c) Units for sale. If the new residential project consists of units for sale, then a minimum of ten (10) percent of the total number of units in the project shall be sold to moderate-income households. (d) Rental units. If the new residential project consists of rental units, the inclusionary units shall be constructed as follows: (1) A minimum of twenty (20) percent of the units shall be rented to low-income households, or (2) A minimum of fifteen (15) percent shall be rented to very low-income households, or City Council 29 –64 11/16/2021 Ordinance No. NS-XXX Page 6 of 17 (3) A minimum of ten (10) percent shall be rented to extremely low-income households, or (4) A minimum of fifteen (15) percent shall be available at an affordable housing cost of which five (5) percent rented to low-income households, five (5) percent rented to very low-income households, and five (5) percent rented to extremely low-income households. (e) Rounding of quantities in calculations. In calculating the required number of inclusionary units, fractional units shall be rounded-up to the next whole unit. The developer may choose to pay an in-lieu fee set forth in section 41-1904(c) for the fractional units, which shall be calculated based on the number of habitable square feet applicable in each case. (f) Displacement of existing inclusionary units. Notwithstanding any other provision of this article, any residential project subject to this article that results in the displacement of extremely low, very low and/or low-income household(s) shall be required to provide on- site inclusionary units as required by this article. (g) Compliance with article. All inclusionary units required by this article shall be sold or rented in compliance with this article. Sec. 41-1903. Exempt projects. The following are exempt from the requirements of this article: (a) Development agreements. A residential project that is the subject of a development agreement under applicable provisions of the California Government Code that expressly provides for an exclusion to this article, provides for a different amount of inclusionary units, or provides for a different specified method for determining the in-lieu fee provisions of this ordinance, such as the timing of payment or the point in time for determining the applicable in-lieu fee amount, to satisfy the inclusionary units from that specified by this article. (b) Project with regulatory agreement. A residential project for which a regulatory agreement has been approved, provided that the regulatory agreement is effective at the time the residential project would otherwise be required to comply with the requirements of this article, and there is no uncured breach of the regulatory agreement before issuance of a certificate of occupancy for the project. This may include a residential project that has obtained a density bonus under article XVI.I of the Santa Ana Municipal Code. Such projects cannot be used to satisfy the inclusionary requirement for another project. (c) Adaptive Reuse. Adaptive reuse development projects pursuant to Chapter 41, Article XVI.II - Adaptive Reuse. (d) Development Projects Approved Under the Provisions of Ordinance No. NS-2994 Adopted on September 1, 2020. A development project that has received entitlement City Council 29 –65 11/16/2021 Ordinance No. NS-XXX Page 7 of 17 approvals by city council action prior to November 16, 2021 to construct new residential units is hereby determined to have vested the right to carry out the completion and construction of the project under the regulations and provisions of Ordinance No. NS- 2994. The vested regulations and provisions in accordance with this section shall terminate if any or all of the entitlement approvals become invalid for any reasons or have expired under the various applicable time limits established in the Santa Ana Municipal Code. A list these projects and the vested right(s) under Ordinance No. NS-2994 are attached hereto as Exhibit A and is incorporated herein by reference. Sec. 41-1904. Options to satisfy inclusionary requirements. (a) On-site units. The primary means of complying with the inclusionary requirements of this article shall be the provision of on-site inclusionary units in accordance with section 41-1902 above. A developer may only satisfy the requirements of this article by means of an alternative to on-site inclusionary units in accordance with the requirements and procedures of this section. (b) Off-site units. (1) New units. The developer may satisfy the inclusionary unit requirements for the project, in whole or in part by constructing the required new inclusionary housing at a different location within the city borders at the ratio of one square foot of habitable inclusionary unit space for each required habitable square foot. While the total habitable square footage area of the required new inclusionary units must be the same as the sum- total of the number of habitable square feet for the project as directed by this ordinance, the number of units and bedrooms associated with the off-site units may be approved by the review authority of the city, consistent with the type of affordable housing needed at the time of project review. (2) Rehabilitated units outside a designated target area. The developer may satisfy the inclusionary unit requirements for the project, in whole or in part by substantially rehabilitating existing housing units elsewhere within the borders of the city at a rate of one and one-half (1½) habitable square feet per each required habitable square foot of inclusionary units. (3) Rehabilitated units within a designated target area. Upon application, the developer may satisfy the inclusionary unit requirements for the project, in whole or in part by substantially rehabilitating existing housing units elsewhere within the borders of the city at a rate of one habitable square foot per each required habitable square foot of affordable inclusionary units. (c) In-lieu fee. (1) Five (5) or more units. For a residential project comprised of five (5) or more residential lots or residential units, the developer may elect to satisfy the inclusionary unit requirements for the project, in whole or in part, by payment of a fee in-lieu of constructing City Council 29 –66 11/16/2021 Ordinance No. NS-XXX Page 8 of 17 some or all of the required units. The total amount of the fee allowed by this section shall be calculated using the In-Lieu Fee Schedule in section 41-1904(c)(1)(i) multiplied by the sum total of the number of habitable square feet within the entire project, as measured from the exterior walls of the residential units. This calculation does not include exterior hallways, common areas, landscape, open space or exterior stairways. (i) In-Lieu Fee Schedule Units Fee Per Square Foot of Habitable Area 5 – 9 $10.00 10 – 14 $11.66 15 – 19 $13.32 20 or more $15.00 (ii) Local Skilled and Trained Workforce Incentive. The in-lieu fee for fifteen (15) or more units shall be reduced if the developer voluntarily provides the City with an executed enforceable commitment to use a “Skilled and Trained Workforce” as defined in Public Contract Code section 2601 to complete the construction of the project as follows: Use of Skilled and Trained Workforce Fee Per Square Foot of Habitable Area 30% of workforce utilizing 2 or more construction trades $10.00 60% of workforce utilizing 3 or more construction trades $5.00 A minimum of 35% of the above work-hours shall be performed in accordance with local hire policies approved by the City Council. (2) Timing of payment. The total fee amount for the entirety of a project is calculated, determined, and set at the time of issuance of the first building permit for the project. All in-lieu fees allowed by this section shall be paid no later than prior to issuance of the first occupancy approval for any construction which adds net residential units. If the city approves a phased project, a proportional share of the required fee shall be paid within each phase of the residential project. The in-lieu fees collected by the city are city funds over which the city has complete and absolute discretion. (3) Inclusionary housing fund. Fees collected in compliance with this section shall be deposited in the inclusionary housing fund. City Council 29 –67 11/16/2021 Ordinance No. NS-XXX Page 9 of 17 Sec. 41-1904.1. Inclusionary housing development incentives for production of units. (a) In order to make the production of new inclusionary units on-site or off-site or off- site rehabilitated units, certain incentives, standards and concessions shall be allowed and prescribed as set forth herein below. Such concessions shall not be available to those developers that choose to pay an in lieu fee rather than build the units. The developer may opt to take advantage of up to two (2) concessions among the following possible concessions: (1) Parking concession. One on-site parking space for each zero to one bedroom unit; two (2) on-site parking spaces for each two (2) to three (3) bedroom unit; two and one-half (2½) parking spaces for each four (4) or more bedroom unit. (2) Concession on one of the following Zoning Code site development standards: (i) Setback reduction of up to twenty-five (25) percent reduction on subject property; (ii) Height increase of up to twenty (20) additional feet. (b) A developer of a for sale residential project proposing to provide on-site moderate income units and a surrounding community benefit may opt to take advantage of up to three (3) of the above concessions. The surrounding community benefit will include but not be limited to park improvements, urban community gardens, developer-funded down payment assistance, or subsidy of services, activities or programs. Sec. 41-1905. Housing plan and housing agreement. (a) Submittal and execution. The developer shall comply with the following requirements: (1) Inclusionary housing plan. The developer shall submit an inclusionary housing plan in a form specified by the executive director, detailing how the provisions of this article will be implemented for the proposed residential project. The inclusionary housing plan and its supportive documents, plans, and details shall be submitted at the same time as the site plan and application materials for the original project. All inclusionary housing plans shall be subject to the approval of the executive director and subject to appeal processes and procedures set forth in the Santa Ana Municipal Code. 2) Inclusionary housing agreement. The developer shall execute and cause to be recorded an inclusionary housing agreement. The inclusionary housing agreement shall be a legally binding agreement between the developer and the city, executed by the city manager, or his or her designee, and in a form and substance satisfactory to the executive director and the city attorney, and containing those provisions necessary to ensure that the requirements of this article are satisfied, whether through the provision of inclusionary units or through an approved alternative method. City Council 29 –68 11/16/2021 Ordinance No. NS-XXX Page 10 of 17 (b) Discretionary approvals. No discretionary approval shall be issued for a residential project subject to this article until the developer has submitted an inclusionary housing plan. (c) Issuance of building permit. No building permit shall be issued for a residential project subject to this article unless the executive director has approved the inclusionary housing plan, and any required inclusionary housing agreement has been recorded. (d) Issuance of certificate of occupancy. A certificate of occupancy shall not be issued for a residential project subject to this article unless the approved inclusionary housing plan has been fully implemented. Sec. 41-1906. Standards. (a) Location within project, relationship to non-inclusionary units. All inclusionary units shall be: (1) Reasonably dispersed throughout the residential project; (2) Proportional, in number of bedrooms, gross floor area of habitable space, and location, to the market rate units; (3) Comparable to the market rate units included in the residential project in terms of design, materials, finished quality, and appearance; and (4) Permitted the same access to project amenities and recreational facilities, as are market rate units. (b) Timing of construction. All inclusionary units in a residential project shall be constructed concurrent with, or before the construction of the market rate units. If the city approves a phased project, a proportional share of the required inclusionary units shall be provided within each phase of the residential project. (c) Location outside the proposed original project. For projects where the developer proposes to either produce new inclusionary units or rehabilitate existing off-site units to meet the inclusionary affordable housing requirements of this ordinance, the off-site project(s) containing the required inclusionary units shall be subject to the following requirements: (1) The sum-total area (in habitable square feet) of all the newly constructed off-site inclusionary units shall be the same number of habitable square feet of inclusionary area as required by this ordinance. For the purpose of the calculation of the number of square feet of required inclusionary housing, the total gross habitable square feet of the housing units of the original market rate project shall be used, as measured from exterior walls to exterior walls of the market units provided as the base for calculation. The common areas, exterior hallways, stairways, patios, and balconies shall not be calculated in determining the number of required square feet of inclusionary housing production. All new or rehabilitated units must meet all current zoning and general plan standards. City Council 29 –69 11/16/2021 Ordinance No. NS-XXX Page 11 of 17 (2) While the total number of square feet of inclusionary housing requirement is calculated based on the requirements of this ordinance, the number of units, bedrooms and other amenities on the proposed off-site inclusionary housing location shall be approved by the review authority commensurate with the size and type of units most in demand at the time of submittal of the application. (3) Any off-site affordable inclusionary housing project shall be substantially comparable to the market rate units included in the residential project in terms of quality of design, materials and finishes. (4) If tenants are displaced due to rehabilitation of housing to meet the inclusionary unit requirement, the developer shall be responsible for relocation costs as required by state law. (5) No city, housing authority, or public funds, subsidies, or participation of any kind shall be expended on the production or building of any inclusionary housing projects associated with meeting the inclusionary unit requirement. (d) Timing of construction. All inclusionary units in a residential project or proposed off-site new inclusionary units or rehabilitated units shall be constructed concurrent with, or before the construction of the market rate units. If the city approves a phased project, a proportional share of the required inclusionary units shall be provided within each phase of the residential project. (e) Units for sale. (1) Time limit for inclusionary restrictions. A unit for sale shall be restricted to the target income level group at the applicable affordable housing cost for a minimum of fifty-five (55) years. (2) Certification of purchasers. The developer and all subsequent owners of an inclusionary unit offered for sale shall certify, on a form provided by the city, the income of the purchaser and that such owners will live in such inclusionary unit as their primary residence. (3) Resale price control. In order to maintain the availability of inclusionary units required by this article, the resale price of an owner occupied inclusionary unit shall be limited to the lesser of the fair market value of the unit as established by a licensed real estate agent based upon three (3) comparable properties or the restricted resale price. For these purposes, the restricted resale price shall be the applicable affordable housing cost. (4) Inheritance of inclusionary units. Upon the death of an owner of an owner- occupied inclusionary unit, title in the property may transfer to the surviving joint tenant or heir (in the case of the death of a sole owner or all owners of the household). City Council 29 –70 11/16/2021 Ordinance No. NS-XXX Page 12 of 17 (5) Forfeiture. If an inclusionary unit for sale is sold for an amount in excess of the resale price controls required by this section, the buyer and the seller shall be jointly and severally liable to the city for the amount in excess of the affordable housing cost at the time of such sale of the inclusionary unit. Recovered funds shall be deposited into the inclusionary housing fund. Notwithstanding the foregoing, city may allow the buyer and seller to cure any violation of the resale price controls within one hundred eighty (180) days. (f) Rental units. (1) Time limit for inclusionary restrictions. A rental inclusionary unit shall remain restricted to the target income level group at the applicable affordable housing cost for fifty-five (55) years. (2) Certification of renters. The owner of any rental inclusionary unit shall certify, on a form provided by the city, the income of all members of the household above the age of eighteen (18) at the time of the initial rental and annually thereafter. (3) Forfeiture. Any lessor who leases an inclusionary unit in violation of this article shall be required to forfeit to the city all money so obtained. Recovered funds shall be deposited into the inclusionary housing fund. (g) Execution and recording of documents. The executive director may require the execution and recording of whatever documents are required to ensure enforcement of this section; including, but not limited to, promissory notes, deeds of trust, resale restrictions, rights of first refusal, options to purchase, and/or other documents, which shall be recorded against all inclusionary units. (h) General prohibitions. (1) No person shall sell or rent an inclusionary unit at a price or rent in excess of the maximum amount allowed by any restriction placed on the unit in accordance with this article. (2) No person shall sell or rent an inclusionary unit to a person or persons that do not meet the income restrictions placed on the unit in accordance with this article. (3) No person shall provide false or materially incomplete information to the city or to a seller or lessor of an inclusionary unit to obtain occupancy of housing for which that person is not eligible. (i) Principal residency requirement. 1. The owner or lessee of an inclusionary unit shall reside in the unit for not less than ten (10) out of every twelve (12) months. City Council 29 –71 11/16/2021 Ordinance No. NS-XXX Page 13 of 17 2. No owner or lessee of an inclusionary unit shall lease or sublease, as applicable, an inclusionary unit without the prior permission of the executive director. Sec. 41-1907. Reserved. Sec. 41-1908. Enforcement. (a) Violation. Any violation of this article constitutes a misdemeanor. (b) Forfeiture of funds. Any individual who sells an inclusionary unit in violation of this article shall be required to forfeit any money in excess of the affordable housing cost at such time. Any individual who rents an inclusionary unit in violation of this article shall be required to forfeit all money so obtained. Recovered funds shall be deposited into the inclusionary housing fund. (c) Legal actions. The city may institute any appropriate legal actions or proceedings necessary to ensure compliance with this article, including actions: (1) To disapprove, revoke, or suspend any permit, including a building permit, certificate of occupancy, or discretionary approval; and (2) For injunctive relief or damages. (d) Recovery of costs. In any action to enforce this article, or an inclusionary housing agreement recorded hereunder, the city shall be entitled to recover its reasonable attorney's fees and costs. Sec. 41-1909. Inclusionary housing fund. (a) Inclusionary housing fund. There is hereby established a separate fund of the city, to be known as the inclusionary housing fund. All monies collected pursuant to this article shall be deposited in the inclusionary housing fund. Additional monies from other sources may be deposited in the inclusionary housing fund. The monies deposited in the inclusionary housing fund shall be subject to the following conditions: (1) Monies deposited into the inclusionary housing fund must be used to increase and improve the supply of housing affordable to moderate, low, very low, and extremely low income households in the city as specified in the city's affordable housing funds policies and procedures. A priority will be on the creation of new affordable housing opportunities for large families currently living in the City. Other eligible uses of the inclusionary housing fund include but are not limited to: (i) Creating affordable units from the existing market rate housing stock including but not limited to, the purchase and rehabilitation of units. (ii) Funding one-time programs for code enforcement, quality of life, and general health and safety activities. City Council 29 –72 11/16/2021 Ordinance No. NS-XXX Page 14 of 17 (iii) Implementing and promoting programs addressing housing security, eviction prevention, and housing legal assistance for city residents. (iv) Funding reasonable administrative or related expenses associated with the administration of this article. (2) The fund shall be administered by the executive director, or his or her designee, who may develop procedures in the city's affordable housing funds policies and procedures to implement the purposes of the inclusionary housing fund consistent with the requirements of this article and any adopted budget of the city. (3) Monies deposited in accordance with this section shall be used in accordance with the affordable housing funds policies and procedures, housing element, consolidated plan, or subsequent plan adopted by the city council to construct, rehabilitate, or subsidize affordable housing or to recapture affordable housing at risk of market conversion, or to assist other government entities, private organizations, or individuals to do so. Permissible uses include, but are not limited to, assistance to housing development corporations, equity participation loans, grants, pre-home ownership co- investment, pre-development loan funds, participation leases, or other public-private partnership arrangements. The inclusionary housing fund may be used for the benefit of both rental and owner-occupied housing. (4) A developer receiving funding from the inclusionary housing fund shall implement a local preference in their resident selection criteria and marketing policies meeting guidelines established by the executive director. (5) A developer receiving funding from the inclusionary housing fund, as well as its contractors and subcontractors at every tier performing work for the new housing units is encouraged and should negotiate in good faith to provide the City with an enforceable commitment that a minimum 30% of the labor utilizing 2 or more construction trades be performed by a “Skilled and Trained Workforce” as defined in Public Contract Code section 2601 to complete the construction of the project and shall also include a minimum of 35% of all work-hours for the project be performed in accordance with local hire policies approved by the City Council. Sec. 41-1910. Administrative. (a) In-lieu fee calculation. The amount per square foot of the inclusionary housing in- lieu fee shall be subject to city council review and consideration as needed. (b) Administration fees. The council may by resolution establish reasonable fees and deposits for the administration of this article including an annual monitoring fee and an inclusionary housing plan submittal fee. (c) Monitoring/audits. At the time of initial occupancy, and annually thereafter, the city will monitor the project to ensure that the income verifications are correct and in City Council 29 –73 11/16/2021 Ordinance No. NS-XXX Page 15 of 17 compliance with the inclusionary housing administrative procedures. For ownership units, the city shall monitor to verify that owner-occupancy requirements are maintained. Developer/property owners are required to cooperate with the city in promptly providing all information requested by the city in monitoring compliance with program requirements. The city will conduct periodic random quality control audits of inclusionary units to ensure compliance with rules and requirements. Such audits may include verification of continued occupancy in inclusionary units by eligible tenants, compliance with the inclusionary housing plan and agreement, and physical inspections of the residential project. (e) Administrative procedures. The city manager is hereby authorized and directed to promulgate administrative procedures for the implementation of this article. Secs. 41-1911—41-1999. Reserved. Section 5. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. Section 6. This Ordinance shall become effective thirty (30) days after its adoption. Section 7. The Clerk of the Council shall certify the adoption of this ordinance and shall cause the same to be published as required by law. ADOPTED this _______ day of ___________, 2021. _________________________ Vicente Sarmiento Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By:_________________________ John M. Funk Sr. Assistant City Attorney City Council 29 –74 11/16/2021 Ordinance No. NS-XXX Page 16 of 17 AYES: Councilmembers ______________________________________ NOES: Councilmembers _______________________________________ ABSTAIN: Councilmembers _______________________________________ NOT PRESENT: Councilmembers _______________________________________ City Council 29 –75 11/16/2021 Ordinance No. NS-XXX Page 17 of 17 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby attest to and certify the attached Ordinance No. NS-____________ to be the original ordinance adopted by the City Council of the City of Santa Ana on _______________, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: ________________ ____________________________________ Clerk of the Council City of Santa Ana City Council 29 –76 11/16/2021 2021 List of Entitled Projects Vested Under the Regulations and Provisions of Ordinance No. NS-2994 The development projects listed in Table 1 have received entitlement approvals by Planning Commission and/or City Council action prior to November 16, 2021, to construct new residential units and are hereby determined to have vested the right to carry out the completion and construction of the project under the regulations and provisions of Ordinance No. NS-2994 (HOO). The vested regulations and provisions shall automatically terminate if any or all of the entitlement approvals become invalid for any reasons or have expired under the various applicable time limits established in the Santa Ana Municipal Code or any applicable State Covid-19 pandemic relief or other applicable time extension provisions. Ordinance No. NS-2994 is incorporated herein by reference. Table 1. Entitled Projects Vested Under the Regulations and Provisions of Ordinance No. NS-2994 No. Project Address Project Name Number of Dwelling Units HOO Compliance Requirements 1. 1122 N. Bewley Street Bewley Townhomes 10 Provide inclusionary units as required under NS-2994 or payment of in-lieu of $5/sf 2. 301 N. Mountain View Street Mountain View Townhomes 8 Provide inclusionary units as required by NS-2994 or payment of in-lieu of $5/sf 3. 200 N. Cabrillo Park Drive The Madison 260 Provide inclusionary units as required by NS-2994 or payment of in-lieu of $5/sf 4. 1109 N. Broadway One Broadway Plaza 415 $15/sf in-lieu payment under a project Mutual Declaration 5. 3025 W. Edinger Avenue Haphan Townhomes 17 Provide inclusionary units as required by NS-2994 or payment of in-lieu of $5/sf 6. 2800 N. Main Street/Specific Plan No. 4 MainPlace Mall Transformation 1,900 residential units 1,900 Provide inclusionary units as required by NS-2994 or payment of in-lieu of $5/sf 7. 419 N. Harbor Boulevard (previously 421 N. Harbor Boulevard) Fifth and Harbor Mixed Use Apartments 94 Provide inclusionary units as required by NS-2994 or payment of in-lieu of $5/sf 8. 3417 W. Fifth Street West Fifth Villas 8 Provide inclusionary units as required by NS-2994 or payment of in-lieu of $5/sf The development projects listed in Table 2 have received entitlement approvals by Planning Commission or City Council action prior to November 16, 2021, but did not triggered HOO provisions and have been identified herein for implementation clarity. Table 2. Entitled Projects Not Triggering HOO requirements No. Project Address Project Name Number of Dwelling Units HOO Compliance Requirements 1. 201 W. Third Street 3rd and Broadway 171 HOO provisions not applicable to project 2. 409 E. Fourth Street and 509 E. Fourth Street 4th and Mortimer 169 HOO provisions not applicable to project 3. 1801 E. Fourth Street Central Pointe 644 HOO provisions not applicable to project 4. 200 E. First American Way Legado at the Met 278 HOO provisions not applicable to project 5. 114 E. Fifth Street and 115 E. Fifth Street Rafferty (4th + Main) 220 HOO provisions not applicable to project City Council 29 –77 11/16/2021 PART II ‐ THE CODE Chapter 18 ‐ HEALTH AND SANITATION ARTICLE III. TOBACCO RETAIL  LICENSE   Santa Ana, California, Code of Ordinances Created: 2021‐07‐14 10:10:37 [EST] (Supp. No. 25)  Page 1 of 7      ARTICLE III. TOBACCO RETAIL LICENSE     Sec. 18‐90. Definitions.   The following words and phrases, whenever used in this article, shall have the meanings  defined in this section unless the context clearly requires otherwise:   (a) "Department" means the Santa Ana Police Department.   (b) "Chief" means the Chief of Police or designee.   (c) “Delivery sale” means the sale of any tobacco product to any person for personal  consumption and not for resale when the sale is conducted by any means other than an in‐ person, over‐the‐counter sales transaction in a tobacco retail establishment. Delivery sale  includes the sale of any tobacco product when the sale is conducted by telephone, other voice  transmission, mail, the internet, or app‐based service. Delivery sale includes delivery by  licensees or third parties by any means, including curbside pick‐up.  (d) “Electronic smoking device” means any device that may be used to deliver any  aerosolized or vaporized substance to the person inhaling from the device, including, but not  limited to, an e‐cigarette, e‐cigar, e‐pipe, vape pen, or e‐hookah. Electronic smoking device  includes any component, part, or accessory of the device, and also includes any substance that  may be aerosolized or vaporized by such device, whether or not the substance contains  nicotine. Electronic smoking device does not include drugs, devices, or combination products  authorized for sale by the U.S. Food and Drug Administration, as those terms are defined in the  Federal Food, Drug, and Cosmetic Act.   (e) “Flavored Tobacco Product” means any tobacco product that contains a taste or smell, other  than the taste or smell of tobacco, that is distinguishable by an ordinary consumer either prior  to, or during the consumption of, a tobacco product, including, but not limited to, any taste or  smell relating to fruit, menthol, mint, wintergreen, chocolate, cocoa, vanilla, honey, molasses,  or any candy, dessert, alcoholic beverage, herb, or spice.  (fc) "Person" means any natural person, partnership, cooperative association, corporation,  personal representative, receiver, trustee, assignee, or any other legal entity, and includes the  definition of "person" found in Section 1‐2 of the Code.   (g) “Pharmacy” means any retail establishment in which the profession of pharmacy is practiced  by a pharmacist licensed by the State of California in accordance with the Business and  Professions Code and where prescription pharmaceuticals are offered for sale, regardless of  whether the retail establishment sells other retail goods in addition to prescription  pharmaceuticals.  Commented [PHLC1]: Note that in crafting an ordinance,  our model ordinance contains numerous helpful findings  you may want to include on the rationale and effectiveness  of flavor prohibitions, pharmacy sales prohibitions, and  density restrictions, among others.   City Council 30 –1 11/16/2021 (hd) "Proprietor" means a person with an ownership or managerial interest in a business. An  ownership interest shall be deemed to exist when a person has a ten percent (10%) or greater  interest in the stock, assets, or income of a business other than the sole interest of security for  debt. A managerial interest shall be deemed to exist when a person can or does have or share  ultimate control over the day‐to‐day operations of a business.   (i) “Recreation Facility” means an area, place, structure, or other facility that is used either  permanently or temporarily for community recreation, even though it may be used for other  purposes, and includes but is not limited to a gymnasium, playing court, playing field, and  swimming pool.  (e) "Tobacco paraphernalia" means cigarette papers or wrappers, pipes, holders of smoking  materials of all types, cigarette rolling machines, and any other item designed for the smoking,  preparation, storing, or consumption of tobacco products.   (jf) Tobacco product" means: (1) any substance containing, made of, or derived from tobacco or  nicotine that is intended for human consumption or is likely to be consumed leaf, whether  inhaled, absorbed, or ingested by any other means, including but not limited to cigarettes,  cigars, pipe tobacco, hookah tobacco, snuff, chewing tobacco, dipping tobacco, bidis, or any  other preparation of tobacco; or (2) any electronic smoking device and any substances that may  be aerosolized or vaporized by such device, whether or not the substance contains nicotine; or  (3) any component, part, or accessory of (1) or (2), whether or not any of these contains  tobacco or nicotine, including but not limited to filters, rolling papers, blunt or hemp wraps,  hookahs, mouthpieces, and pipes. any product or formulation of matter containing biologically  active amounts of nicotine that is manufactured, sold, offered for sale, or otherwise distributed  with the expectation that the product or matter will be introduced into the human body, but   “Tobacco product” does not mean drugs, devices, or combination products authorized for sale  by the U.S. Food and Drug Administration, as those terms are defined in the Federal Food, Drug,  and Cosmetic Actinclude any product specifically approved by the United States Food and Drug  Administration for use in treating nicotine or tobacco product dependence.   (kg) "Tobacco retailer" means any person or business who sells, offers for sale, or does or offers  to exchange for any form of consideration, tobacco, tobacco products, , or tobacco  paraphernalia, or who distributes free or low cost samples of tobacco products or tobacco  paraphernalia. "Tobacco retailing" shall mean the doing of any of these things. This definition is  without regard to the quantity of tobacco, tobacco products , or tobacco paraphernalia sold,  offered for sale, exchanged, or offered for exchange.   (l) “Youth‐Oriented Facility” means a parcel in the city that is occupied by:   (1) a private or public kindergarten, elementary, middle, junior high, or high school;   (2) a library open to the public;   (3) a playground open to the public;   (4) a youth center, defined as a facility where children, ages 6 to 17, inclusive,  come together for programs and activities;   City Council 30 –2 11/16/2021 (5) a recreation facility open to the public;   (6) a park open to the public or to all the residents of a private community; or  (7) a licensed child‐care facility or preschool [other than a small‐family day care home or  a large‐family day care home [as defined in California Health & Safety Code § 1596.78]],     (Ord. No. NS‐2729, § 2, 11‐20‐06)     Sec. 18‐91. Tobacco retailer license.   (a) It shall be unlawful for any person to act as a tobacco retailer, or to display or advertise the  sale of tobacco products or tobacco paraphernalia, without obtaining and maintaining a valid  tobacco retailer's license pursuant to this article for each location at which that activity is to  occur.   (b) It shall be a unlawful for a licensed tobacco retailer, or an agent or employee thereof to  violate any local, state, or federal tobacco‐related law.   (c) Each day on which a prohibited act occurs shall constitute a separate violation.   (d) It shall be unlawful for a licensed tobacco retailer or any of the licensee's agents or  employees, to violate any local, state, or federal law applicable to sale, display or advertising of  tobacco products, tobacco paraphernalia, or tobacco retailing.   (e) Each tobacco retailer license shall be prominently displayed in a publicly visible location at  the licensed location.   (Ord. No. NS‐2729, § 2, 11‐20‐06)     Sec. 18‐92. Limits on tobacco retail license.   (a) No license shall be issued to authorize tobacco retailing at other than a fixed business place.  Tobacco retailing by persons on foot or from vehicles is prohibited.   (b) No license shall be issued to authorize tobacco retailing at any location for which a tobacco  retailer license suspension is in effect or during a period of ineligibility following a revocation.   (c) ON‐SITE SALES. All sales of tobacco products shall be conducted in‐person in the licensed  location. It shall be a violation of this article for any tobacco retailer or any of the tobacco  retailer’s agents or employees to engage in the delivery sale of tobacco products or to  knowingly or recklessly sell or provide tobacco products to any person that intends to engage in  the delivery sale of the tobacco product in the city.  (d) PHARMACIES. No license shall be issued, and no existing license may be renewed, to  authorize tobacco retailing in a pharmacy.   (e) FLAVORED TOBACCO PRODUCT SALES PROHIBITED. It shall be unlawful for any tobacco  retailer to sell any flavored tobacco product. A public statement or claim made or disseminated  Formatted: Font color: Auto Formatted: Font: +Body (Calibri), Font color: Auto Formatted: Font: +Body (Calibri) City Council 30 –3 11/16/2021 by the manufacturer of a tobacco product, or by any person authorized or permitted by the  manufacturer to make or disseminate public statements concerning such tobacco product, that  such tobacco product has a taste or smell other than tobacco shall constitute presumptive  evidence that the tobacco product is a flavored tobacco product.   (f) PROXIMITY TO YOUTH‐ORIENTED FACILITIES. No license shall be issued, and no existing  license may be renewed, to authorize tobacco retailing within [ 1000 ] feet of a youth‐ oriented  facility as measured by a straight line from the nearest point of the property line of the parcel  on which the youth‐oriented facility is located to the nearest point of the property line of the  parcel on which the applicant’s business is located.   (g) PROXIMITY TO OTHER TOBACCO RETAILERS. No license shall be issued, and no existing  license may be renewed, to authorize tobacco retailing within [ 1000 ] feet of a tobacco retailer  location already licensed pursuant to this article as measured by a straight line from the nearest  point of the property line of the parcel on which the applicant’s business is located to the  nearest point of the property line of the parcel on which an existing licensee’s business is  located.  (h) POPULATION AND DENSITY. The issuing of tobacco retailer licenses is limited as follows:   (1) The total number of tobacco retailer licenses within the city shall be limited to one for each [  2,500 ] inhabitants of the city.   (2) For the purposes of this subsection, the total population of the city shall be determined by  the most current published total available from the U.S. Census Bureau or the California State  Department of Finance, whichever has been more recently updated, as of the date the license  application is filed.   (3) No new license may issue to authorize tobacco retailing if the number of tobacco retailer  licenses already issued equals or exceeds the total number authorized pursuant to subsection  (1).  (Ord. No. NS‐2729, § 2, 11‐20‐06)     Sec. 18‐93. Application procedure.   (a) Application for a tobacco retailer's license shall be submitted in the name of each proprietor  proposing to conduct retail tobacco sales and shall be signed by each proprietor or an  authorized agent thereof.   (b) It is the responsibility of each proprietor to be informed regarding all laws applicable to  tobacco retailing, including those laws affecting the issuance of a tobacco retailer's license.   (c) No proprietor may rely on the issuance of a license as a determination by the City that the  proprietor has complied with all laws applicable to tobacco retailing.   (d) A license issued contrary to this article, contrary to any other law, or on the basis of false or  misleading information supplied by a proprietor shall be revoked pursuant to section 18‐101.   Commented [PHLC2]: This is our standard  recommendation, but since Santa Ana is so large, it may  wish to consider setting a lower limit (higher population per  retailer). Our model ordinance has helpful findings about  the effectiveness of density restrictions that could be worth  adding to an ordinance.   City Council 30 –4 11/16/2021 (e) Nothing in this article shall be construed to vest in any person obtaining and maintaining a  tobacco retailer's license any status or right to act as a tobacco retailer in contravention of any  provision of law.   (f) All applications shall be submitted on a form supplied by the chief and shall contain the  following information:   (1) The name, address, and telephone number of each proprietor of the business that is seeking  a license.   (2) The business name, address, and telephone number of the single fixed location for which a  license is sought.   (3) A single name and mailing address authorized by each proprietor to receive all  communications and notices (the "authorized address") required by, authorized by, or  convenient to the enforcement of this article. If an authorized address is not supplied, each  proprietor shall be understood to consent to the provision of notice at the business address  specified in subparagraph (2).   (4) Proof that the location for which a tobacco retailer's license is sought has been issued a valid  state tobacco retailer's license by the California Board of Equalization.   (5) Whether a proprietor has previously been issued a license pursuant to this article that is or  was at any time suspended or revoked and, if so, the dates and locations of all such suspensions  or revocations.  (6) Such other information as the chief deems reasonably necessary for the administration or  enforcement of this article.   (7) All information required to be submitted in order to apply for a tobacco retailer's license  shall be updated with the chief whenever the information changes. A tobacco retailer shall  provide the Chief with any updates within ten (10) business days of a change.   (Ord. No. NS‐2729, § 2, 11‐20‐06)     Sec. 18‐94. Issuance of tobacco retail license.   Upon the receipt of a complete application for a tobacco retailer's license and the license fee  required by this article, the chief shall issue a tobacco retail license unless one or more of the  following exists:   (a) The information presented in the application is inaccurate or false. Intentionally supplying  inaccurate or false information shall be a violation of this article; or   (b) The application seeks authorization for tobacco retailing at a location for which a suspension  is in effect pursuant to this article, for which a license has been revoked pursuant to this article,  or for which this article otherwise prohibits issuance of tobacco retailer licenses; or   (c) The application seeks authorization for tobacco retailing for a proprietor to whom a  suspension is in effect pursuant to this article for the subject location or another location,  City Council 30 –5 11/16/2021 whose license has been revoked pursuant to this article for the subject location or another  location, or to whom this article otherwise prohibits a tobacco retailer license to be issued.   (d) The city has information that the proprietor or his or her agent or employee has violated  any local, state or federal tobacco control law, including this Article, within the preceding  twelve (12) months.   (e) The application seeks authorization for tobacco retailing that is prohibited pursuant to this  article, that is unlawful pursuant to this Code, or that is unlawful pursuant to any other local,  state, or federal law.   (f) Any denial of an application shall be in writing setting forth the reasons for denial of the  permit. Such denial shall be subject to appeal in accordance with section 18‐102.   (Ord. No. NS‐2729, § 2, 11‐20‐06)     Sec. 18‐95. License renewal and expiration.   (a) A tobacco retailer license is invalid unless the appropriate fee has been paid in full and the  term of the license has not expired. The term of a tobacco retailer license is one year beginning  each fiscal year on April 1 and ending on March 31 of the following year. Each tobacco retailer  shall apply for the renewal of his or her tobacco retailer's license and submit the license fee no  later than thirty (30) days prior to expiration of the term.   (b) A tobacco retailer's license that is not timely renewed shall expire at the end of its term. To  reinstate a license that has expired, or to renew a license not timely renewed pursuant to  subparagraph (a), the proprietor must:   (1) Submit the license fee plus a reinstatement fee of ten percent (10%) of the license fee;   (2) Submit a signed affidavit affirming that the proprietor:   (A) Has not sold and will not sell any tobacco product or tobacco paraphernalia after the license  expiration date and before the license is renewed; or   (B) Has waited the appropriate ineligibility period established for tobacco retailing without a  license, as set forth in subsection 18‐101(a), before seeking renewal of the license.   (Ord. No. NS‐2729, § 2, 11‐20‐06)     Sec. 18‐96. License nontransferable.   (a) A tobacco retailer's license may not be transferred from one person to another or from one  location to another. Whenever a tobacco retailing location has a change in proprietors a new  tobacco retailer's license is required.   (b) Notwithstanding any other provision of this article, prior violations at a location shall  continue to be counted against a location and license ineligibility periods shall continue to apply  to a location unless:   City Council 30 –6 11/16/2021 (1) The location has been fully transferred to a new proprietor or fully transferred to entirely  new proprietors; and   (2) The new proprietor(s) provides the city with clear and convincing evidence that the new  proprietor(s) has acquired or is acquiring the location in an arm's length transaction. As used in  this section, the term "arm's length transaction" shall mean a sale in good faith and for valuable  consideration that reflects the fair market value in the open market between two informed and  willing parties, neither of which is under any compulsion to participate in the transaction. A sale  between relatives, related companies or partners, or a sale for which a significant purpose is  avoiding the effect of the violations of this article is not an arm's length transaction.   (Ord. No. NS‐2729, § 2, 11‐20‐06)     Sec. 18‐97. Fees for license.   The fee to issue or to renew a tobacco retailer's license shall be set by resolution of the city  council from time to time. The fee shall be calculated so as not to exceed that amount which  would recover the total cost of both license administration and license enforcement, including,  for example, issuing the license, administering the license program, retailer education, retailer  inspection and compliance checks, documentation of violations, and prosecution of violators.  All fees shall be used exclusively to fund the program. Fees are nonrefundable except as may be  required by law.   (Ord. No. NS‐2729, § 2, 11‐20‐06)     Sec. 18‐98. Suspension or revocation of license by chief of police.   (a) In addition to any other remedy authorized by law, a tobacco retailer's license may be  suspended and eventually revoked if the chief finds pursuant to this article that the licensee, or  any of the licensee's agents or employees, has violated any of the requirements, conditions, or  prohibitions of this article or has pleaded guilty, "no contest" or its equivalent, or admitted to a  violation of any law designated in subsection 18‐91(d). During any period of license suspension,  the retailer must remove all tobacco products from public view.   (b) Time period of suspension of license.   (1) Upon the first time that the chief makes a finding as set forth in subsection (a), the tobacco  retailer's license shall be suspended for up to sixty (60) days;   (2) Upon the second time that the chief makes a finding as set forth in subsection (a)within sixty  (60) months of the first determination, the tobacco retailer's license shall be suspended for one  hundred twenty (120) days;   (3) Upon the third time that the chief makes a finding as set forth in subsection (a) of this  section within sixty (60) months of the prior determination, the tobacco retailer's license shall  be suspended one hundred and eighty (180) days;   City Council 30 –7 11/16/2021 (4) Upon the fourth and each subsequent time that the chief makes a finding as set forth in  subsection (a) within sixty (60) months of the prior determination, the tobacco retailer's license  shall be revoked, and no new license may issue for the location until five (5) years have passed  from the date of revocation.   (c) Revocation of license issued in error. A tobacco retailer's license shall be revoked if the chief  finds, after written notice and opportunity to be heard, that one or more of the bases for denial  of a license under section 18‐94 existed at the time of application was made or at any time  before the license was issued. The decision by the chief shall be final. The revocation shall be  without prejudice to the filing of a new application for license.   (Ord. No. NS‐2729, § 2, 11‐20‐06)     Sec. 18‐99. Notice of intended decision.   (a) Upon determining the existence of any of the grounds for suspension or revocation of a  license, the chief shall issue to the license holder a notice of intended decision.   (b) The notice of intended decision shall state all the grounds upon which the revocation or  suspension is based.   (c) The notice of intended decision shall advise the permit holder that the suspension or  revocation shall become final unless the licensee files a written request for hearing before the  chief within ten (10) calendar days of the date of service of the notice of intended decision.   (d) The notice of intended decision shall specify the effective date of the suspension or  revocation.   (Ord. No. NS‐2729, § 2, 11‐20‐06)     Sec. 18‐100. Procedure for hearing before the chief.   (a) The written request for a hearing before the chief must be received by the chief within ten  (10) calendar days of the date of service of the notice of intended decision.   (b) Upon timely receipt of a written request for a hearing, the chief shall schedule a hearing  which shall be held no later than thirty (30) calendar days after receipt of a timely request for  hearing.   (c) The chief shall serve a notice of hearing on the licensee at least ten (10) calendar days prior  to the scheduled date of the hearing.   (d) At the hearing before the chief, or before a hearing officer at the chief's option, the licensee  shall be given the opportunity to present witnesses and relevant documentary evidence.   (e) The hearing will be conducted informally and the technical rules of evidence shall not apply.  Any and all evidence which the chief or hearing officer deems reliable, relevant and not unduly  repetitious may be considered.   (Ord. No. NS‐2729, § 2, 11‐20‐06)   City Council 30 –8 11/16/2021   Sec. 18‐101. Decision of the chief.   (a) The Chief or hearing officer shall serve on the licensee a written decision sustaining,  reversing or modifying the chief's intended decision.   (b) The decision by the chief or hearing officer after hearing shall become final unless the  licensee files an appeal within the time period specified in section 18‐102.   (Ord. No. NS‐2729, § 2, 11‐20‐06)     Sec. 18‐102. Chapter 3 appeal.   (a) If a licensee is dissatisfied with the written decision of the chief, the licensee may file a  written appeal to the city.   (b) The appeal must be in writing on a form provided by the city and must be received by the  clerk of the council within ten (10) calendar days of notification of the chief's decision.   (c) The appeal, including its hearing, shall be conducted in accordance with chapter 3.   (Ord. No. NS‐2729, § 2, 11‐20‐06)     Sec. 18‐103. Tobacco retailing without a license—Seizure.   (a) Tobacco products and tobacco paraphernalia offered for sale or exchange in violation of this  article are subject to seizure by the chief or any peace officer and shall be forfeited after the  licensee and any other owner of the tobacco products and tobacco paraphernalia seized is  given reasonable notice and an opportunity to demonstrate that the tobacco products and  tobacco paraphernalia were not offered for sale or exchange in violation of this article.   (b) Forfeited tobacco products and tobacco paraphernalia shall be maintained and destroyed  pursuant to the chief's policy for seized evidence.   (Ord. No. NS‐2729, § 2, 11‐20‐06)     Sec. 18‐104. Enforcement.   (a) The remedies provided by this article are cumulative and in addition to any other remedies  available at law or in equity.   (b) Whenever evidence of a violation of this article is obtained in any part through the  participation of a person under the age of eighteen (18) years old, such a person shall not be  required to appear or give testimony in any civil or administrative process brought to enforce  this article and the alleged violation shall be adjudicated based upon the sufficiency and  persuasiveness of the evidence presented.   (c) Causing, permitting, aiding, abetting, or concealing a violation of any provision of this article  shall also constitute a violation of this article.   City Council 30 –9 11/16/2021 (d) Violations of this article are hereby declared to be public nuisances.   (e) In addition to other remedies provided by this article or by other law, any violation of this  article may be remedied by a civil action brought by the city attorney.   (f) Compliance with this article shall be monitored by the Department. In addition, the city may  designate additional persons to monitor compliance with this chapter. All licensed premises  must be open to inspection by county staff or designated persons during regular business  hours.   (g) The Department shall inspect each tobacco retailer at least [ 3 ] times per 12 month period  to ensure compliance with this article.   (h) The city will conduct at least [ one ] compliance check per 12‐month period that involves the  participation of persons between the ages of 18 and 20 to enter licensed premises to attempt  to purchase tobacco products.   (i) Nothing in this section shall create a right of action in any licensee or other person against  the city or its agents.  (Ord. No. NS‐2729, § 2, 11‐20‐06)     Sec. 18‐105. Notice.   Whenever a notice is required to be given under this article, it shall be made as provided in this  Code, and addressed to such person to be notified at the authorized address provided in the  application for a tobacco retail license pursuant to subsection 18‐93(f)(3), or if an authorized  address is not supplied, to the business address provided pursuant subsection 18‐93 (f)(2).   (Ord. No. NS‐2729, § 2, 11‐20‐06)     Sec. 18‐XXX. Limited, Conditional Privilege.  Nothing in this article shall be construed to grant any person obtaining and maintaining a  tobacco retailer’s license any status or right other than the limited conditional privilege to act  as a tobacco retailer at the location in the County identified on the face of the permit. Nothing  in this chapter shall be construed to render inapplicable, supersede, or apply in lieu of, any  other provision of applicable law.    Secs. 18‐106—18‐150. Reserved.  City Council 30 –10 11/16/2021 Community Development Agency santa-ana.org/cd Item # 2 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report November 16, 2021 TOPIC: On-Call Agreements for Affordable Housing Financial, Analytical, and Advisory Services AGENDA TITLE: Approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc. for On-Call Affordable Housing Financial, Analytical and Advisory Services on an As–Needed Basis in a Shared Amount not to exceed $250,000 RECOMMENDED ACTION CITY COUNCIL AND HOUSING AUTHORITY Authorize the City Manager and Executive Director of the Housing Authority to execute joint on-call consultant agreements for affordable housing financial, analytical and advisory services with Keyser Marston Associates, David Paul Rosen & Associates, and RSG, Inc., for a three-year term beginning on November 16, 2021, through November 1, 2024, in a total shared amount not to exceed $250,000, subject to non-substantive changes approved by the City Manager, Executive Director, and City Attorney. DISCUSSION On September 7, 2021, the City of Santa Ana issued a Request for Qualifications (RFQ # 21-107) for affordable housing financial, analytical, and advisory services from professional consulting firms to provide financial analytical and advisory services for general multifamily affordable housing financial advisory services, general single family affordable housing program financial analytical services, multifamily and/or single family bond issuance financial advisory services, and the City’s inclusionary housing program. The RFQ was posted on the City’s website and the City's Planet Bids portal. Letters announcing the RFQ were sent by e-mail to individuals and firms who had previously requested to be informed of such opportunities as well as other firms that staff identified through research. The Community Development Agency received four proposals before the submission deadline which, following a minimum threshold review by staff, met the minimum requirements of the RFQ. For evaluation purposes, staff formed a Review Panel consisting of four staff from the Community Development Agency. The Review Panel met on September 29, 2021 to review the proposals. Each proposal was evaluated by the Review Panel based upon the evaluation criteria in the RFQ. The following table City Council 2 –1 11/16/2021 On-Call Agreements for Housing Financial, Advisory and Analytical Services November 16, 2021 Page 2 2 2 2 7 summarizes the results of the evaluation by the Review Panel, providing the average score and ranking for each proposal: Rank Proposal Submitted By Average Score* 1 Keyser Marston Associates 96.75 2 DRA-David Paul Rosen & Associates 78.75 3 RSG, Inc.77.75 4 EcoNorthwest 77.25 * Maximum score is 100 points In accordance with the RFQ, staff recommends approving agreements with one or more financial advisors to serve in a full service capacity for purposes of advising the City and the Authority, as needed on financial matters and programs of work involving affordable housing. The top three firms’ proposals were from Keyser Marston Associates, DRA- David Paul Rosen & Associates and RSG, Inc. Each firm brings decades of experience, knowledge and expertise in providing affordable housing financial advisory services. As such, staff recommends that the City approve Agreements with Keyser Marston Associates, David Paul Rosen & Associates and RSG, Inc. for on-call affordable housing financial, analytical and advisory services on an as–needed basis in a shared amount not to exceed $250,000 (Exhibit 1, 2 and 3). FISCAL IMPACT Prior to utilizing any of these on-call services, staff will ensure sufficient funds are available in the appropriate program budget and will track expenditures to ensure the City and Housing Authority does not exceed the aggregate $250,000 maximum total. The agency anticipates a variety of housing funds may be utilized for these agreements, including, but not limited to the following programs: Accounting Unit- Account Fund Description Accounting Unit, Account Description 13018780-62300 HOME Program HOME, Contract Services- Professional 13518780-62300 Community Development Block Grant CDBG, Contract Services- Professional 14018760-62300 Housing Choice Vouchers HCV, Contract Services- Professional 14218760-62300 Neighborhood Stabilization Program 1 NSP 1, Contract Services- Professional 14218761-62300 Neighborhood Stabilization Program 2 NSP 2, Contract Services- Professional 14218762-62300 Neighborhood Stabilization Program 3 NSP 3, Contract Services- Professional 14318760-62300 CalHOME Loans CalHOME, Contract City Council 2 –2 11/16/2021 On-Call Agreements for Housing Financial, Advisory and Analytical Services November 16, 2021 Page 3 2 2 2 7 Services-Professional 41718820-62300 Inclusionary Housing Inclusionary Housing, Contract Services- Professional 15818700-62300 Permanent Local Housing Allocation PLHA, Contract Services- Professional 60718810-62300 Low and Moderate Income Housing Asset Fund LMIHAF, Contract Services- Professional Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director – Finance and Management Services Agency EXHIBIT(S) 1. Agreement with Keyser Marston Associates 2. Agreement with David Paul Rosen & Associates 3. Agreement with RSG, Inc. Submitted By: Steven Mendoza, Assistant City Manager Approved By: Kristine Ridge, City Manager City Council 2 –3 11/16/2021 AGREEMENT TO PROVIDE ON-CALL AFFORDABLE HOUSING FINANCIAL, ANALYTICAL, AND ADVISORY SERVICES THIS AGREEMENT is made and entered into this 16th day of November, 2021, by and between Keyser Marston Associates, Inc., a California corporation ("Consultant"), and jointly 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 Housing Authority of the City of Santa Ana, a public body, corporate and politic ("Authority"). City and Authority shall jointly or interchangeably, as applicable, be referred to as "City" for purposes of this Agreement. RECITALS A.On September 7, 2021, the City issued Request for Qualifications No. 21-107 ("RFQ"), by which it sought Consultants to provide on-call affordable housing financial, analytical and advisory services for the City and Authority. The scope of work may include any and all work efforts related to financial analytical and advisoryservices for general multifamily affordable housing financial advisory services; generalsingle family affordable housing program fina ncial analytical services; multifamilyand/or single fami ly bond issuance financial advisory services; and the City's Inclusionary Housing Program financial analysis on an as-needed basis. B.Consultant submitted a responsive proposal that was among those selected by the City, which is attached hereto as Exhibit B. C.Consultant represents that it is able and willing to provide the services described in the Scope of Work that was included in RFQ No. 21-107, which is attached heretoas Exhibit A. D.In undertaking the performance of this Agreement, Consultant represents that it is knowledgea ble in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional contracting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1.SCOPE OF SERVICES On an as-needed basis, and at the sole discretion of City, Consultant shall perform the services that are described in Exhibit A, as well as Consultant's proposal attached hereto as Exhibit B. When the need for services arise, City may initiate services through use of a letter agreement, executed by the Executive Director of the Community Development Agency and the Consultant. Work by the Consultant may not proceed absent a previously engaged or fully executed consultant agreement and letter agreement for a specific project. Page I of 10 EXHIBIT 1 City Council 2 –4 11/16/2021 2.COMPENSATION a.City neither warrants nor guarantees any minimum or maximum 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. Consultant is one of three (3) Consultants selected to provide affordable housing financial, analytical, and advisory services on an as needed basis under RFQ No. 21-107. The total compensation for services provided by all Consultants selected under RFQ No. 21-107 is a collective amount not to exceed Two Hundred and Fifty Thousand Dollars ($250,000.00) during the term of the Agreement, including any extension periods. b.Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3.TERM This Agreement shall commence on the date first written above and continue for three (3) years through November 1, 2024, unless terminated earlier in accordance with Section 17, below. Upon execution and commencement of the Term of this Agreement, Agreement No. A-2018-203 between the City and Consultant shall be terminated. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. 4.INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant perfonns 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 ("Docmnents & Data"). Consultant Page 2 of IO EXHIBIT 1 City Council 2 –5 11/16/2021 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 Consultant shall procure and maintain for the duration of the contract insurance against claims for irtjuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder by the Consultant, its agents, representatives, or employees. a.MINIMUM SCOPE AND LIMIT OF INSURANCE Coverage shall be at least as broad as: I.Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. 2.Automobile Liability: Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non-owned), with limit no less than $1,000,000 per accident for bodily injury and property damage. (Not required if automobile is not necessary to perfonn services.) 3.Workers' Compensation: insurance as required by the State of California, with Statutory Limits, and Employer's Liability Insurance with limit ofno less than $1,00 0,000 per accident for bodily injury or disease. (Not required if Consultant provides written verification it has no employees.) 4.Professional Liability (Errors and Omissions): insurance appropriate to the Consultant's profession, with limit no less than $2,00 0 ,000 per occurrence or claim, $2,000,0 00 aggregate. 5.If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. b.Other Insurance Provisions -The insurance policies are to contain, or be endorsed to contain, the following provisions: Page 3 of 10 EXHIBIT 1 City Council 2 –6 11/16/2021 1.Additional Insured Status: The City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant's insurance ( at least as broad as ISO Form CG 20 10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if a later revisions used). 2.Primary Coverage: For any claims related to this contract, the Consultant's insurance coverage shall be primary coverage at least as broad as ISO CG 20 01 04 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Consultant's insurance and shall not contribute with it. 3.Notice of Cancellation: Each insurance policy required above shall state that coverage shall not be canceled, except with notice to the City. 4.Waiver of Subrogation: Consultant hereby grants to City a waiver of any right to subrogation which any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. 5.Self-Insured Retentions: Self-in sured retentions must be declared to and approved by the City. The City may require the Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self­ insured retention may be satisfied by either the named insured or City. 6.Acceptability of Insurers: Insurance is to be placed with insurers authorized to conduct business in.the state with a current A.M. Best's rating ofno less than A:VII, unless otherwise acceptable to the City. 7.Claims Made Policies: If any of the required policies provide coverage on a claims-made basis: 1.The Re tro active Date must be shown and must be before the date of the contract or the beginning of contract work. 2.Insurance must be maintained and evidence of insurance must be provided for at least three (3) years after completion of the contract of work. 3.If coverage is canceled or non-renewed, and not replaced with another claims-made policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase "extended reporting" coverage for a minimum of three (3) years after completion of contract work. Page 4 of 10 EXHIBIT 1 City Council 2 –7 11/16/2021 8.Verification of Coverage: Consultant shall furnish the City with original Certificates of Insurance including all required arnendatory endorsements ( or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant's obligation to provide them. City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. 9.Subcontractors: Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Consultant shall ensure that the City is an additional insured on insurance required from subcontractors. 10.Special Risks or Circumstances: City reserves the right to modify these requirements, in cluding limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances. 8, INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, a nd c laims for property damage, which may arise from the negligent operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services describ ed 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 tenns of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution,judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 9.INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend, indemnify and hold harmless the City, its officers, agents, representatives, and employees against any and all liability, including costs, and attorney's fees, for infringement of any United States' letters patent, trademark, or copyright contained in the work Page 5 of 10 EXHIBIT 1 City Council 2 –8 11/16/2021 product or documents provided by Consultant to the City pursuant to this Agreement. 10.RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete an d 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 docum.ents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3)years from the date of final payment to Consultant under this Agreement. 11.CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confid ential 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 nonpub lic information. Confidential infmmation 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 oflaw; or ( e) is independently developed by the Consultant without reference to information disclosed by the City. 12.CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services. 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: Page 6 of 10 EXHIBIT 1 City Council 2 –9 11/16/2021 To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Executive Director Community Development Agency City of Santa Ana 20 Civic Center Plaza (M-27) P.O. Box 1988 Santa Ana, CA 92702 To Consultant: Keyser Marston Associates, Inc. Attn: Tim Bretz, Senior Principal 500 South Grand Avenue, Suite 1480 Los An geles, CA 90071 Tel: 213-622-8095 Fax: 213-622-5204 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 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 ob ligate Consultant or the City. Each party to this Agreement aclmowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 15.ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior Page 7 of!O EXHIBIT 1 City Council 2 –10 11/16/2021 written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 16.WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17.TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of tennination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant ·compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a.As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b.Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 18.NON-DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 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. Page 8 of 10 EXHIBIT 1 City Council 2 –11 11/16/2021 20, PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 21.MISCELLANEOUS PROVISIONS a.Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is 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} Page 9 of 10 EXHIBIT 1 City Council 2 –12 11/16/2021 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney CITY OF SANTA ANA KRISTINE RIDGE City Manager HOUSING AUTHORITY OF THE CITY OF SANTA ANA STEVEN A. MENDOZA Executive Director CONSULTANT By: Tim Bretz Title: Senior Principal Page 10 of10 EXHIBIT 1 City Council 2 –13 11/16/2021 EXHIBIT A SCOPE OF SERVICES EXHIBIT 1 City Council 2 –14 11/16/2021 REQUEST FOR QUALIFICATIONS RFQ # 21-107 AFFORDABLE HOUSING FINANCIAL, ANALYTICAL AND ADVISORY SERVICES Issue Date: Proposal Due Date: CITY OF SANTA ANA Community Development Agency 20 Civic Center Plaza Santa Ana, CA 92701 Claudia Fernandez-Shaw Housing Programs Analyst (714)667-2265 Office (714)667-2225 Fax cshaw@santa-ana.org KEY RFQ DATES Tuesday, Tuesday, September 7, 2021 September 21, 2021 at 5:00 P.M. City of Santa Ana Community Development Agency Request for Qualifications -Affordable Housing Financial, Analytical and Advisory Services Page 1 EXHIBIT 1 City Council 2 –15 11/16/2021 NOTICE INVITING QUALIFICATIONS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms to provide Affordable Housing Financial, Analytical and Advisory Services. Responses to this Request for Qualifications (RFQ) will be accepted until Tuesday, September 21 at 5:00 P.M. If further information is required, please contact Claudia Fernandez-Shaw, Housing Programs Analyst, at (714) 667-2265 or cshaw@santa-ana.org. MAILED, E-MAILED, DELIVERED BY HAND or COURIERED proposals will be accepted as follows: Attention: Claudia Fernandez-Shaw, Housing Programs Analyst City of Santa Ana Community Development Agency (6th Floor) 20 Civic Center Plaza, M-26 Santa Ana, CA 92701 cshaw@santa-ana.org It is the responsibility of the proposer to see that any proposals submitted shall have sufficient time to be received by the City of Santa Ana prior to the proposal due date and time. Questions regarding this Request for Qualifications shall be made in writing via e-mail to Claudia Fernandez-Shaw at cshaw@santa-ana.org. The receiving time at the Front Desk of the City of Santa Ana Community Development Agency, 5th Floor, 20 Civic Center Plaza, Santa Ana CA 92701 will be the governing time for the receipt of proposals or the e-mail receipt date. Late Proposals will NOT be considered and will be returned to the proposer unopened. TELEGRAPHIC, ELECTRONIC AND FACSIMILE PROP OSALS WILL NOT BE ACCE PTED ONLY SEALED RFQ RESPONSES ARE ACCEPTABLE DO NOT FAX RFQ RESPONSES City of Santa Ana Community Development Agency Request for Qualifications-Affordable Housing Financial, Analytical and Advisory Services Page 2 EXHIBIT 1 City Council 2 –16 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY REQUEST FOR QUALIFICATIONS FOR AFFORDABLE HOUSING FINANCIAL, ANALYTICAL AND ADVISORY SERVICES (RFQ) I.INTRODUCTION II.PERIOD OF CONTRACT 111.SCOPE OF WORK / SERVICES IV.GENERAL INFORMATION V.CONTRACTOR RESPONSIBILITIES VI.INSURANCE REQUIREMENTS AND CITY BUSINESS LICENSE VII.RULES FOR PROPOSALS VIII.E-MAIL COMMUNICATIONS AND INTERPRETATIONS/ CLARIFICATIONS PAGE 4 4 4 4 5 5 6 6 IX.ADDENDA 6 X.SUBMITTAL INFORMATION AND DEADLINE 6 XI.MINIMUM QUALIFICATIONS 6 XII.SUBMITTAL REQUIREMENTS 7 XIII.CONTRACTOR SELECTION-SCORING AND EVALUATION 8 XIV.PUBLIC RECORDS 9 XV.FILING A PROTEST 9 EXHIBIT A SCOPE OF SERVICES 10 EXHIBIT B PROPOSERS STATEMENT AND FEE SC HEDULE 13 EXHIBIT C ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL 14 GENERAL LIABILITY AND BUSINESS AUTOMOBILE POLICIES EXHIBIT D REFERENCES AND RELEVANT WORK HISTORY 15 EXHIBIT E PROPOSAL AND CONTRACT AGREEMENT -PROPOSERS 17 STATEMENT EXHIBIT F PROPOSAL AND CONTRACT AGREEMENT -CERTIFICATION 18 OF NONDISCRIMINATION BY CONTRACTOR EXHIBIT G NON-COLLUSION AFFIDAVIT 20 City of Santa Ana Community Development Agency Request for Qualifications -Affordable Housing Financial, Analytical and Advisory Services Page 3 EXHIBIT 1 City Council 2 –17 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY REQUEST FOR QUALIFICATIONS FOR AFFORDABLE HOUSING FINANCIAL, ANALYTICAL AND ADVISORY SERVICES (RFQ) I.INTRODUCTION The City of Santa Ana (City) and the Housing Authority of the City of San ta Ana (Authority) are issuing this Request for Qualifications (RFQ) for Aff ordable Housing Financial, Analytical and Advisory Services from professional consulting firms to provide financial analytical and advisory service s for general multifamily affordable housing financial advisory services; general single family affordable housing program financial analytical services; multifamily and/or single family bond issuance financial advisory services; and the City's lnclusionary Housing Program financial analysis. The scope of work may include any and all work efforts related to EXHIBIT A-SCOPE OF SERVICES. II.PERIOD OF CONTRACT Unless earlier terminated as allowed for in the Agreement, the agreement term shall be for a period of up to three (3) years. The agreement term is anticipated to commence after City Council award of this agreement and upon receipt and approval of all required insurance documents. The term of this Agreement shall have provision for three (3), one-year renewal options exercisable by the City Manager and City Attorney unless the City notifies the Consultant in writing at least thirty (30) days before the end of the initial term or any extended term, of its intent to terminate the Agreement at the conclusion of the initial term or any extension. Ill . SCOPE OF WORK/ SERVICES The scope of work may include any and all work efforts related to the Affordable Housing Financial,. Analytical and Advisory Services per EXHIBIT A-SCOPE OF SERVICES The Contractor shall be an independent contractor capable of providing experienced, knowledgeable and professional staff. The Contractor shall be responsive and maintain excellent working relationships with city residents, businesses, government officials and City staff. The Contractor shall provide adequate staffing levels at all times and adhere to established schedules. The Consultant shall be knowledgeable of and comply with federal, state and local regulations, including but not limited to the California Health and Safety Code and the Santa Ana Municipal Code. IV .GENERAL INFORMATION A.The term of the contract will begin after the contract is awarded by the City Council. City of Santa Ana Community Development Agency Request for Qualifications-Affordable Housing Financial, Analytical and Advisory Services Page 4 EXHIBIT 1 City Council 2 –18 11/16/2021 B.When determined appropriate, the City will provide information in its possession relevant to preparation of required information in the RFQ. The City will provide only the staff assistance and documentation specifically referred to herein. C.The Contractor shall be responsible for retaining data, records and documentation for the preparation of the required information. These materials shall be made available to the City as requested by the City. D.This RFQ does not commit the City to pay costs incurred in preparation of a response to this RFQ. All costs incurred in the preparation of the proposal, the submission of additional information and/or any aspect of a proposal prior to the award of a written contract will be borne by the respondent. The City reserves th.e right to accept or reject the combined or separate components of a proposal in part of in its entirety or to waive any informality or technical defect in a proposal. E.All data, documents and other products used, developed or produced during response preparation of the RFQ will become property of the City. All responses to the RFQ shall become property of the City. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. F.The City reserves the right to reject, replace and approve any and all subcontractors. All subcontractor(s) shall be identified in the response to the RFQ and the City reserves the right to reject any subcontractor(s). Subcontractor(s) shall be the responsibility of the prime Contractor and the City shall assume no liability of such subcontractor(s). V.CONTRACTOR RESPONSIBILITIES The selected Contractor will assume responsibilities for all services in its proposal. The selected Contractor shall identify a sole point of contact for contractual matters, including payment of any and all charges resulting from the Agreement. VI.INSURANCE REQUIREMENTS AND CITY BUSINESS LICENSE CGL (Commercial General Liability) -CGL insurance is required when the Consultant will be performing services on City property or receiving City grant funds. A $1,000,000.00 per occurrence with $2,000,000.00 in the aggregate policy is required. The certificate of insurance must provide 30-day notice of cancellation or material reduction in policy limits. Additionally, the City of Santa Ana and the Housing Authority of the City of Santa Ana, its officers, agents, volunteers and employees shall be named as an additional insured via an additional insured endorsement. The additional insured endorsement, attached as Exhibit C, shall provide that the Consultant's insurance is primary to any insurance or self-insurance carried by the City as well as a separation of insure.d's clause. Automobile -Automobile insurance is required when the Consultant will be driving from one City site to another City site in a non-City vehicle. A $1,000,000.00 per occurrence policy for owned, hired and· non-owned automobiles is required. Worker's Compensation -In accordance with the provisions of Section 3300 of the California Labor Code, any Consultant with employees must maintain employer's liability insurance with limits not less than $1,000,000.00 per accident. Worker's Compensation is not required for sole proprietors or a City of Santa Ana Community Development Agency Request for Qualifications -Affordable Housing Financial, Analytical and Advisory Services Page 5 EXHIBIT 1 City Council 2 –19 11/16/2021 partnership with no employees. However, these Consultants must complete a "Worker's Compensation Declaration." This form may be obtained from City staff. Professional Liability-Professional liability insurance is required for state licensed professionals, such as, engineers, architects, CPAs, attorneys and medical professionals. A $1,000,000.00 policy is required. City Business License -The selected proposer shall be required to obtain a City of Santa Ana Business license within thirty (30) days of selection and must provide a copy to the City project manager or designee prior to commencing any work in Santa Ana. VII.-RULES FOR PROPOS ALS The signer of the RFQ must declare in writing that the only person, persons, company or parties interested in the proposal as principals are named therein; that the proposal is made without collusion with any other person, persons, company or parties submitting a proposal; that ii is in all respects fair and in good faith without collusion or fraud; and, that the signer of the proposal has full authority to bind the proposer. VIII.E-MAIL COMMUNICATIONS AND INTERPRETATIONS/ CLARIFICATIONS To facilitate the RFQ process, proposers are required to monitor and respond to e-mail requests within 48 hours. No oral interpretations will be made by the City to any proposer as to the meaning of requirements identified herein including the Scope of Services. Every request for such an interpretation must be made in writing via e-mail to Claudia Fernandez-Shaw, Housing Programs Analyst, no later than Tuesday, September 14, 2021 at 5:00 p.m. Significant interpretations or clarification will be made by an addendum to this RFQ, which will be posted to the website. Addenda may become part of the agreement documents. IX.ADD ENDA If clarification or interpretation of this RFQ is considered necessary by the City, a written addendum shall be issued and the information will be posted on the City's website at http://www.santa-ana.org/bids-rfps/. II is the responsibility of each proposer to periodically check the City's website to ensure that they have received and reviewed any and au addenda to this RFQ. X.SUBMITTAL INFORMATION AND DEADLINE Proposals are due to the City of Santa Ana, at the date, time and location set forth on the Notice Inviting Proposals. Faxed proposals will not be accepted. XI.MINIMUM QUALIFICATIONS The following are the minimum qualifications to be considered as an eligible candidate to submit proposals for the requested services described in this RFQ. Proposers shall have a minimum of five (5) years recent experience in providing financial analytical and/or advisory services for affordable housing City of Santa Ana Community Development Agency Request for Qualifications-Affordable Housing Financial, Analytical and Advisory Services Page 6 EXHIBIT 1 City Council 2 –20 11/16/2021 projects. Proposers shall have a minimum of five (5) years of recent experience working with affordable housing projects and various funding sources (i.e. HOME Investment Partnerships Program (HOME) funding, Community Development Block Grant (CDBG), Low-Income Housing Tax Credit, bond financing). XII.SUBMITTAL REQUIREMENTS The RFQ is intended to assess and evaluate each firm's capabi lities as they apply to the proposed services. Each firm must address each of the following items in its response to the RFQ: 1)Statement of Qualifications -In order to maintain uniformity, the Statement of Qualifications must be limited to a MAXIMUM OF 25 PAGES (excluding front and back covers). The page limitation incl udes all appendices, attachments and supplemental information. The following information is required: . a) Cover Letter: A letter signed by a principal or authorized representative who can make legally binding commitments for the entity. b)Organizational Background: A brief description of the consultant's firm, including the year the firm was established, type of organization (partnership, corporation, etc.), and a statement of the firm's qualifications for performing the subject consulting services. c)Scope of Services: Include a detailed description of the components of housing financial analytical and/or advisory services. d)Firm or Personnel Experience: A profile of the firm's experience, personnel and history relating to the scope of work identified in Exhibit A -Scope of Services. Include a description of the company profile, including range of the firm's capabilities and service. In addition, provide the names of all personnel who will be assigned to this project, their education and previous ex perience. e)Relevant Experience: List of financial analytical and/or advisory services which your firm or personnel have completed within the last five (5) years. Information should include project description, year completed, client name, along with a person to contact and his/her telephone number. f)Sub consultants: Identification is required of any contemplated sub consultants to be used, with the identification of personnel to be assigned, their qualifications, education, and representative experience. g)References: The Consultant shall submit a list of references comprised of a listing of work similar to that identified in the RFQ. h)Fee Schedule: The fee schedule shall include the hourly rates for each pers onnel category to be used on the project and/or fee for each type of service. Personnel hourly rates shall reflect all costs for office overhead, including phones, cellular phones, vehicles, mileage and other direct and indirect costs. This fee schedule shall reflect all anticipated fee increases. The fee schedule shall include the proposed fees and timeframe for the completion of (1) a subsidy layering analysis for an affordable multi-family project; and (2) financial advisory services for a multi-family bond issuance. 2)EXHIBIT B PROPOSERS STATEMENT AND PROPOSAL ITEM PRICING 3)EXHIBIT C-ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY (NOT REQUIRED UNTIL AFTER CONTRACTOR SELECTION) 4)EXHIBIT D-REFERENCES AND RELEVANT WORK HISTORY /PAST 10 YEARS) City of Santa Ana Community Development Agency Request for Qualifications-Affordable Housing Financial, Analytical and Advisory Services Page 7 EXHIBIT 1 City Council 2 –21 11/16/2021 5)EXHIBIT E-PROPOSAL CONTRACT AND AGREEMENT -PROPOSERS STATEMENT 6)EXHIBIT F · PROPOSAL CONTRACT AND AGREEMENT -CERTIFICATION OF NONDISC RIMINATION BY CONTRACTOR 7)EXHIBIT G -NON-COLLUSION AFFIDAVIT Submittal of Proposal: •Five (5) copies of the response to the RFQ shall be signed by a company official with the power to bind the company. •One (1) copy of the submittal on a USB Flash Drive. •Structure your proposal to include the Scope of Service response, Implementation Schedule, Fees/ Contract Price and Exhibits. The proposal must be completely responsive to the RFQ. The City reserves the right to reject any or all proposals submitted and no representation is made he reby that any contract will be awarded pursuant to this RFQ or otherwise. XIII.CONTRACTOR SELECTION -SCORING AND EVALUATION The criteria for evaluating the proposals submitted will take the following items into consideration: POINTS EVALUATION CRITERIA 35 Qualifications and Company Experience 30 Demonstrated and Relevant Affordable Housing Experience 35 Fee Schedule 100 TOTAL POINTS City of Santa Ana Community Development Agency Request for Qualifications -Affordable Housing Financial, Analytical and Advisory Services Page 8 EXHIBIT 1 City Council 2 –22 11/16/2021 The proposals will be reviewed by a committee of City staff members. The committee will evaluate Proposers based on their response to the RFQ. A final score will be calculated for each submitted proposal and used to rank the proposers. The most responsive proposers will be informed after the scoring and evaluation is complete. The committee will recommend award of the contract to the proposer who will provide the best quality service to the City. The City reserves the right to negotiate pricing and for additional interviews. The City will notify the successful firms by email of invitation for a final oral interview and/or award. XIV.PUBLIC RECORDS Proposals will become public record after award of agreement. Interested offerors may submit a written request, with a self-addressed stamped envelope to receive results of the evaluation. Proposer inform ation identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. Submit your request to: City of Santa Ana Community Development Agency, Attn.: Claudia Fernandez-Shaw, Housing Programs Analyst, 20 Civic Center Plaza M-26, Santa Ana, CA 92701. XV.FILING A PROTEST Bidders may file a "protest" with the City's Community Development Agency-Housing Division. In order for a vendor's protest to be considered valid, the protest must: 1.Be filed in writing within five (5) business days of either the RFQ posted date or before 5:00 p.m. of the 5th business day following the posting of RFQ results/Notice of Intent to Award Contract on the City's website; 2.Clearly identify the specific irregularity or accusation; 3.Clearly identify the specific City staff determination or recommendation being protested; 4.Specify, in detail, the grounds of the protest and the facts supporting the protest; and 5.Include all relevant, supporting documentation with the protest at time of filing. If the protest does not comply with each of these requirements, it will be rejected as invalid. If the protest is valid, the City's Housing Division Manager, or other designated City staff member, shall review the basis of the protest and all relevant information. The Housing Division Manager will provide a written decision to the protestor within fourteen (14) calendar days from receipt of protest. The decision from the Housing Division Manager, or her/her designee, is final and no further appeals will be considered. City of Santa Ana Community Development Agency Request for Qualifications-Affordable Housing Financial, Analytical and Advisory Services Page 9 EXHIBIT 1 City Council 2 –23 11/16/2021 I. II. EXHIBIT A CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY REQUEST FOR QUALIFICATIO NS FOR AFFORDABLE HOUSING FINANCIAL, ANALYTICAL AND ADVISORY SERVICES (RFQ) SCOPE OF SERVICES INTRODUCTION The City of Santa Ana (City) and the Housing Authority of the City of Santa Ana (Authority) are issuing this Request for Qualifications to provide affordable housing financial, analytical and advisory services for various affordable housing programs and projects. The City and the Authority administer a variety of programs for developing affordable housing funded by federal, state and local sources. These include affordable housing funded by the Community Development Block Grant (CDBG) Program, HOME Investment Partnerships Grant (HOME) Program, Neighborhood Stabilization Program, Project-Based Voucher (PBV) Program, Low and Moderate Income Housing Asset Fund (LMIHAF), local inclusionary housing funds, and housing revenue bond financed programs. In order to enhance its financial capacities as a lender, the City and Authority are seeking proposals from affordable housing financial, analytical and advisory firms interested in providing their services in the following areas: (1)General multi-family affordable housing financial, analytical and/or advisory services; (2)Multi-family and/or single-family bond issuance financial advisory services; (3)lnciusionary housing financial analysis and advisory services. Scope of Work The City and the Authority intend to contract with one or more Financial Advisors to serve in a full­ service capacity for purposes of advising the City and Authority, as needed, on all financial matters and programs of work involving affordable housing. The City of Santa Ana provides financing to affordable housing projects within the City through the use of the CDBG Program, HOME Program, Neighborhood Stabilization Program, PBV Program, LMIHAF, and local inclusionary housing funds. As part of these projects, the selected consultant may be asked to: •Perform financial analyses in connection with affordable and mixed-income projects with a variety of affordable housing financing sources, including affordable and market­ rate rental housing, and affordable and market-rate ownership housing. •Perform financial analysis and/or subsidy layering analysis for the structuring of the City's multifamily affordable housing development projects. Analysis should be completed to satisfy funding requirements, such as the HOME Program. Assist in compiling and analyzing general economic data regarding housing. City of Santa Ana Community Development Agency Request for Qualifications-Affordable Housing Financial, Analytical and Advisory Services Page 10 EXHIBIT 1 City Council 2 –24 11/16/2021 •Perform analyses in relation to the City's Housing Opportunity Ordinance and inclusionary housing fund. •Complete subsidy layering analysis for multi-family projects. •Review construction budgets for multi-family projects.•Conduct annual financial oversight of HOME Projects. •Review Capital Needs Assessments. •Attend City Council, Housing Authority, and/or Community Redevelopment and Housing Commission meetings, as needed. The Authority issues tax exempt mortgage revenue bonds for the purpose of developing or preserving affordable housing within the City. These bonds are considered "conduit" obligations. While the Authority issues the bonds, the project owner is always the borrower and has sole responsibility for repayment. There can be no recourse to either the Authority or the City. The Authority requires the services of highly qualified and experienced financial advisors to insure that these issuances are fiscally sound, that they protect the interests of both the City and the Authority, and that they meet all applicable requirements of Federal and State law. Of particular importance is the ability of the selected firm(s) to provide quality services at reasonable cost with the objective of protecting the Authority's and the City's interests and their affordable housing objectives through participation only in transactions which applicable standards of fiscal prudence. The services will include, but not be limited to, the following: •Preparation of a feasibility analysis to determine whether it is economically advisable to proceed with any given bond issuance. The analysis will include but not be limited to an evaluation of the financial strength of the proposed project, including its projected income and expenses, an evaluation of any additional sources of security for the bonds in addition to the project that may be required or advisable, and an evaluation of the developer's financial condition and experience.•Identification, analysis and recommendations on all substantive matters pertinent to the proposed transaction, including advice in areas of industry-specific knowledge that may affect the financing and the interests of the City and the Authority.•Assessment of the optimal use of housing assistance programs and funding sources that may be available in connection with a particular bond financing. These may include but not be limited to HOME Program funds, Low Income Housing Tax Credits, other federal and state programs, and local programs such as the City's inclusionary housing funds that may be available.•Assistance in preparation of legal documentation for the financing. Participation in all meetings prior to the bond issuance. Assistance in the preparation and presentation of reports on proposed financing to the City and the Authority. Assistance in review and decision-making with respect to issues that may arise after the issuance of the bonds and construction of the project. Upon request, recommendations and advice regarding the City's and the Authority's policies and procedures relating to affordable housing. City of Santa Ana Community Developm ent Agency Request for Qualifications-Affordable Housing Financial, Analytical and Advisory Services Page 11 EXHIBIT 1 City Council 2 –25 11/16/2021 Continuing legal advice, as needed and requested, concerning any actions necessary to insure the continuing tax exempt status of the bonds, and to protect the interests of the City and the Authority. The City Attorney's Office will at all times serve as the City's and the Authority's own legal counsel in all matters respecting these tax exempt bonds. Bond counsel will be required to work with the City Attorne y's Office in its conduct of these services. Payment of fees will require its approval. Responding firms are encouraged to review this Scope of Services, and to recommend any additions they might see as appropriate. City of Santa Ana Community Development Agency Request for Qualifications-Affordable Housing Financial, Analytical and Advisory Services Page 12 EXHIBIT 1 City Council 2 –26 11/16/2021 TO BE INCLUDED IN PROPOSAL EXHIBIT B CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY REQUEST FOR QUALIFICATIONS FOR AFFORDABLE HOUSING FINANCIAL, ANALYTICAL AND ADVISORY SERVICES (RFQ) PROPOSERS STATEMENT AND QUALIFICATION FEE SCHEDULE Certification� I certify that I have read, understand and agree to the terms and conditions of this Request for Qualifications. I have examined the Scope of Services (Exhibit A) and I am familiar with the scope of work requirements. I am familiar with all of the existing conditions and limitations that may impact work reque sts. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. LEGAL NAME OF COMPANY PHONE AND FAX NUMBER BUSINESS ADDRESS PRINTED NAME OF AUTHORIZED AGENT TITLE SI GNATURE OF AUTHORIZED AGENT DATE E-MAIL ADDRESS ·FEDERAL ID NO. (IF APPLICABLE)CONTRACTOR LICENSE NO. (IF APPLICABLE) City of Santa Ana Community Development Agency Request for Qualifications -Affordable Housing Financial, Analytical and Advisory Services Page 13 EXHIBIT 1 City Council 2 –27 11/16/2021 EXHIBITC CITY OF SANTA ANA COMMUNITY DEVE LOPMENT AGENCY REQUEST FOR QUALIFICATIONS FOR AFFORDABLE HOUSING FINANCIAL, ANALYTICAL AND ADVISORY SERVICES (RFQ) ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY AND BUSINESS AUTOMOBILE POLICIES 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 M-26, 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 M-26, 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 part of Name Insured Countersigned by: _______________ _Authorized Representative TO BE INCLU DED IN PROPOSAL City of Santa Ana Community Development Agency Request for Qualifications-Affordable Housing Financial, Analytical and Advisory Services Page 14 EXHIBIT 1 City Council 2 –28 11/16/2021 EXHIBIT D CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY REQUEST FOR QUALIFICATIONS FOR AFFORDABLE HOUSING FINANCIAL, AN ALYTICAL AND ADVISORY SERVICES (RFQ) List and describe the contracts performed by your firm which demonstrate your ability to provide the services included in the scope of services. Attach additional pages if required for additional references. The City reserves the right to contact each of the references listed for additional information regardi ng your firm's qualifications. Reference No. 1 Customer Name: Contract Individual: Address: Phone Number: Facsimile Number: Contract Amount: -------'----------Year: Description of services provided: Reference No. 2 Customer Name: Contract Individual: ------------ Address: Phone Number: ------------ Fa cs i mi I e Number: ------------ Contract Amount: Year: ------------ Description of services provided: City of Santa Ana Community Development Agency Request for Qualifications-Affordable Housing Financial, Analytical and Advisory Services Page 15 EXHIBIT 1 City Council 2 –29 11/16/2021 Reference No. 3 Customer Name: Contract Individual: ------------- Address: Phone Number: Facsimile Number: Contract Amount: Year: ------------� Description of services provided: City of Santa Ana Community Development Agency Request for Qualifications-Affordable Housing Financial, Analytical and Advisory Services Page 16 EXHIBIT 1 City Council 2 –30 11/16/2021 TO BE INCLUDED IN PROPOSAL EXHIBIT E CITY OF SANTA ANA COMMUNITY DEVEL OPMENT AGENCY REQUEST FOR QUALI FICATIONS FOR AFFORDABLE HOUSING FINAN CIAL, AN ALYTICAL AN D ADVISORY SERVICES (RFQ) PROPOSAL & CONTRACT AGREEMENT PROPOSER'S STATEMENT Proposer understands and agr ees that this written RFQ (or any part thereof specifically designated and accepted by the City of Santa Ana (hereinafter "the City'') shall constitute the entire agreement between proposer and the City only after it has been accepted by the City, endorsed by the Clerk of the Council with his/her signature and official seal noting here on the action of approval of the Council, signed by the Executive Director or his/her duly authorized agent, and signed by the City Attorney, denoting his/her approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish the City all required bonds and certificates of liability insurance within ten (10) days (excluding Saturdays, Sundays and the City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by the City because of the failure to enter into an Agreement and/or furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by the City is difficult to ascertain; otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFQ schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the Specifications, the Certification of Non-Discrimination by Owners, and the Workers' Compensation Insurance Certificate are to be incorporated by reference into this Agreement and are made specifically as part of this RFQ. FIRM SIGNED AND PRINTED NAME TITLE DATE City of Santa Ana Community Development Agency Request for Qualifications-Affordable Housing Financial, Analytical and Advisory Services Page 17 EXHIBIT 1 City Council 2 –31 11/16/2021 TO BE INCLUDED IN PROPOSAL EXHIBIT F CITY OF SANTAANA COMMUNITY DEVELOPMENT AGENCY REQUEST FOR QUALIFICATIONS FOR AFFORDABLE HOUSING FINANCIAL, ANALYTICAL AND ADVISORY SERVICES (RFQ) PROPOSAL AND CONTRACT AGREEMENT CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR The undersigned Contractor or corporate officer, during the performance of this contract, certifies as follows: 1.The Contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, national origin or any other protected class. The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, national origin or any other protected class. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2.The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin or any other protected class. 3.Ttie Contractor shall send to each labor union or representative of workers with which he has a collective . bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4.The Contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5.The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6.In the event of the Contractor's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction/services 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 City of Santa Ana Community Development Agency Request for Qualifications-Affordable Housing Financial, Analytical and Advisory Services Page 18 EXHIBIT 1 City Council 2 –32 11/16/2021 in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 7.The Contractor shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the 8.Contractor may request that the United States enter into such litigation to protect the interests of the United States. 9.Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1039, and as amended, No discrimination shall be made in the employment of persons because of race, religious creed, color national origin, ancestry, physical handicaps; mental condition, marital status, sex of such persons, or any other protected class, except as provided in Section 1420, and any Contractor violating this Section is subject to all the penalties imposed for a violation of the Chapter. FIRM SIGNED AND PRINTED NAME TITLE DATE City of Santa Ana Community Development Agency Request for Qualifications-Affordable Housing Financial, Analytical and Advisory Services Page 19 EXHIBIT 1 City Council 2 –33 11/16/2021 TO BE INCLUDED IN PROPOSAL EXHIBIT G CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY REQUEST FOR QUALIFICATIONS FOR AFFORDABLE HOUSING FINANCIAL, ANALYTICAL AND ADVISORY SERVICES (RFQ) To the CITY OF SANTA ANA, PROPOSAL AND CONTRACT AGREEMENT NON-COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and . Public Contract Code Section 7106) In accordanc e with Title 23 United States Code Section 112 and Public Contract Code 71 0 6 the PROPOSER declares that the bid is not made in the interest of, or on behalf of, any undi sclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the PROPOSER has not directly or indirectly induced or solicited any other PROPOSER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any PROPOSER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the PROPOSER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the PROPOSER or any PROPOSER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other PROPOSER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the PROPOSER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non-collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non-collusion Affidavit. PROPOSERS are cautioned that making a false certification may subject the certifier to criminal prosecution. State of California County of Subscribed and sworn to (or affirmed) before me on this ____ day of ---- ,20 _� by _____________ , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal City of Santa Ana Community Development Agency Request for Qualifications-Af fordable Housing Financial, Analytical and Advisory Services Page 20 EXHIBIT 1 City Council 2 –34 11/16/2021 EXHIBITB PROPOSAL EXHIBIT 1 City Council 2 –35 11/16/2021 KEYSER MARSTON ASSOCIATES .. QUALIFICATIONS FOR AFFORDABLE HOUSING FINANCIAL, ANALYTICAL AND ADVISORY SERVICES (RFQ #21-107) Prepared for: City of Santa Ana Community Development Agency Prepared by: Keyser Marston Associates, Inc. September 21, 2021 EXHIBIT 1 City Council 2 –36 11/16/2021 ADVISORS IN: Real Estate Affordable Housing Economic Development BERKELEY A. Jerry Keyser Timothy C. Kelly Debbie M. Kern David Doezema Los ANGELES Kathleen H. Head James A. Rabe Gregory D. Soo-Hoo Kevin E, Engstrom Julie L. Romey Tim R. Bretz SAN DIEGO Paul C. Marra KEYSER MARSTON ASSOCIATES. ADVISORS IN PUUUC/PRJYATF. REAL ESTATE DEVHOrMENT September 21, 2021 Claudia Fernandez-Shaw Housing Programs Analyst City of Santa Ana Community Development Agency (6th Floor) 20 Civic Center Plaza, M-26 Santa Ana, CA 92701 Re: Request for Qualifications for Affordable Housing Financial, Analytical and Advisory Services (RFQ #21-107) Dear Ms. Fernandez-Shaw: Keyser Marston Associates, Inc. (KMA) is pleased to submit this proposal to the City of Santa Ana Community Development Agency (City) request for qualifications (RFQ) to provide affordable housing financial, analytical and advisory services. Specifical ly, KMA is proposing to provide financial and analytical assistance with multifamily and single­ family housing projects and programs; bond issuance advisory services; and financial analysis of projects subject to the City's lnclusionary Housing Program. KMA is a full-service real estate, financial, and economic consulting firm with a specialization in affordable housing services. KMA brings in-depth expertise in a variety of financing techniques such as tax-exempt multifamily bonds, Low Income Housing Tax Cr edits, New Market Tax Credits, United States Department of Housing and Urban Development (HUD) assistance sources, financing programs offered by the California Department of Housing and Community Development (HCD), the Federal Home loan Bank Affordable Housing Program funds (AHP), and the revenue sources that are availab le to the housing successors to former redevelopment agencies. 500 SOUTH GRAND AVENUE, SUITE 1480 ► LOS ANGELES, CALIFORNIA 90071 ► PHONE 213.622.8095 WWW.KEYSERMARSTON.COM 2109007CL.KMA.TRB 99900.000 EXHIBIT 1 City Council 2 –37 11/16/2021 Claudia Fernandez-Shaw, Housing Programs Analyst City of Santa Ana September 21, 2021 Page 2 KMA understands that the City wishes to enter into a three-year contract with the selected firm, with the possibility for three (3) one-year options. If KMA is selected, we will obtain a City of Santa Ana business license and provide the insurance certification required by the RFQ. We declare that the only person, persons, company or parties interested in this proposal as principals are named herein; that the proposal is made without collusion with any other person, persons, company or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud; and, that the signer of this proposal has full authority to bind the proposer. We have notarized the anti-collusion requirements included in Exhibit G to this RFQ. For purposes of the response to the RFQ, the Principal-in-Charge of this engagement, and the authorized signatory to a le gally binding commitment, the KMA representative is: Tim Bretz Senior Principal Keyser Marston Associates, Inc. 500 South Grand Avenue, Suite 1480 Los Angeles, California 90071 Telephone: 213.622.8095 / Fax: 213.622.5204 Email: tbretz@keysermarston.com KMA appreciates the opportunity to assist the City. If you require any additional information, please do not hesitate to contact me. Sincerely, Keyser Marston Associates, Inc. Tim Bretz 2109007Cl.KMA.TRB 99900.000 EXHIBIT 1 City Council 2 –38 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES TABLE OF CONTENTS I.ORGANIZATI ONAL BACKGROUND ..................................................................................... 2 A.Description of the Firm ....... : .............................................................................................. 2 B.Expe rtise ............................................................................................................................ 2 II.· SCOPE OF SERVICES .................... , ...................................................................................... 3 A.Market and Financial Analysis of Projects with an Affordable Housing Component.. ........ 4 B .. Pro forma and Project Analysis .................................... : ..................................................... 8 C. Compliance Monitoring: General Services and Operating Budgets .................................... 9 D.Compliance Monitoring: Residual Receipts Calculations and Compliance ........................ 9 E.Regulatory Reporting: SB 341 Affordable Housing Reports ............................................... 9 F.As Needed Implementation Services ............................................................................... 10 Ill. PERSONNEL EXPERIENCE ................................................................................................. 11 A.Principal In Charge ........................................................................................................... 11 B.Key Staff ........................................................................................................................... 11 IV.RELEVANT EXPERIENCE ................................................................................................... 12 V.REFERENCES .................................................................................................................... 18 VI.FEE SCHEDULE ................................................................................................................. 19 VII.DISCLOSURES AND DISCLAIMERS .................................................................................... 20 Exhibits Exhibit B: Proposers Statement and Fee Schedule Exhibit C: Insurance Requirements Exhibit D: References and Relevant Work History Exhibit E: Proposal and Contract Agreement-Proposers Statement Exhibit F: Certification of Nondiscrimination by Contractor Exhibit G: Non-Collusion Affidavit Keyser Marston Associates, Inc. Page I 1 EXHIBIT 1 City Council 2 –39 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES I.ORGANIZATIONAL BACKGROUND A.DESCRIPTION OF THE FIRM Keyser Marston Associates, Inc. (KMA) is a full-service real estate, financial, affordable housing, public finance and economic consulting firm that specializes in advisory and evaluation services. The majority of KMA assignments involve long-standing client relationships with a wide range of government agencies; and a limited number of private sector clients, throughout California -w.ith a number of these clients located in Orange County. KMA is a privately held California corporation that was founded in 1973. KMA now has one of the largest real estate and affordable housing advisory practices on the West Coast. KMA presently has 16 professional staff members, three corporate staff members, and three support staff members. KMA has offices located in Los Angeles, Berkeley, San Rafael and San Diego. The downtown Los Angeles office would provide services to the City of Santa Ana and the Housing Authority of the City of Santa Ana (collectively referred to as "City"). The KMA Los Angeles office includes seven professional staff members. B.EXPERTISE For more than 45 years KMA has held the same commitment to clients: to provide creative and pragmatic solutions to complex issues. The KMA practice areas consist of the following: Affordable & Market Rate Housing Real Estate Services/P3/Asset Management Financial Planning Public Benefits/Fiscal & Economic Impact Land Use Strategies/Specific Plans Infrastructure Finance The increased complexities of real estate and ground lease transactions demand a strong technical understanding of real estate, financing markets and a keen understanding of California laws that affect the disposition of public property. The firm is unique among other real estate consulting firms by possessing this par ticular combination of skills. The combined knowledge and expertise in these areas has resulted in KMA's ability to provide services, which not only comply with the current policies and practices pertaining to local development, but are also based on a fundamental understanding of real estate markets, valuation and financing. Keyser Marston Associates, Inc. Page I 2 EXHIBIT 1 City Council 2 –40 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES KMA's principals are frequent speakers to industry groups including the California League of Cities, the American Planning Association, NAHRO, the Urban Land Institute, and other similar organizations. They have been guest lecturers at several universities and affordable housing instructors at learning institutes held by organizations such as Caled, the California League of Cities, the San Diego Housing Federation and jurisdictions such as the Cities of Irvine, Long Beach, Los Angeles and Santa Ana; and San Bernardino County. KMA principals have served on policy-advisory committees for the State Legislature and Governor on issues such as affordable housing, economic development and military base reuse. KMA's principals also served as special advisors to the California Redevelopment Ass ocia tion (CRA) Board of Directors and its Affordable Housing Committee. Some unique characteristics possessed by KMA include: Experience KMA has over 45 years of experience assisting clients throughout the West in in real estate market and evaluation services; negot iation services; structuring public/private transactions; affordable housing services; and project implementation services. Cost Effectiveness KMA is cost effective for our clients given our ability to provide com prehensive services relating to market and financial feasibility, economic analysis, direct implementation experience and public finance without the need for additional consultants. Approach The philosophy and structure of our firm is to provide our clients with maximum direct contact with principals. The commitment of principals who are recognized leaders in real estate advisory services throughout California provides our clients with quality, tailored and direct services. II. SCOPE Of SERVICES The scope of services being requested by the City includes a mix of affordable housing transaction structuring, bond advisory services, technical assistance with the implementation of the Housing Opportunities Ordinance, and ongoing oversight of affordable housing projects that have received City assistance. l<eyser Marston Associates, Inc. Page I 3 EXHIBIT 1 City Council 2 –41 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES KMA has a robust practice in evaluating the development economics of individual projects -including projects with an affordable housing component. From this practice, we understand construction costs, financing structures and the "affordability and feasibility gaps" associated with developing both market rate and affordable housing. The following describes aspects of KMA's experience relevant to the requested scope of services: A.MARl<ET AND FINANCIAL ANALYSIS OF PROJECTS WITH AN AFFORDABLE HOUSING COMPONENT Market and Financial Analysis KMA prepares market and financial analyses that result in identifying an appropriate level of client investment in a project. We evaluate the impact of burdens and incentives on affordable housing programs and advise on all aspects of project funding sources, Including the use of available outside funding and assistance sources. Since 1989, KMA has assisted clients in structuring affordable housing projects that use multiple funding sources including the following: 1.Low Income Housing Tax Credits (Tax Credits), including both the competitively awarded 9% Tax Credits and the 4% Tax Credits that are awarded in conjunction with Tax Exempt Multifamily Bonds allocated by the California Debt Limit Allocation Committee (CDLAC). 2.Low and Moderate Income Housing Asset Funds (Housing Asset funds). 3.Funding sources admi nistered by the California Department of Housing and Community Development Including: a.Affordable Housing and Sustainable Communities (AHSC} funds; b.Multifamily Housing Program (MHP) funds; c.No Place Like Home (NPLH) funds; and d.Project Homekey funds. 4.California Housing Financing Agency (CalHFA) funds. 5.United States Department of Housing and Urban Development (HUD} funds including: a.HOME Program funds; b.Community Development Block Grant (CDBG) funds; Keyser Marston Associates, Inc. Page I 4 EXHIBIT 1 City Council 2 –42 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES c.Neighborhood Stabilization Program (NSP) fun ds; and d.Section 8 Project-Based Vouchers (PBVs). 6.Federal Home Loan Bank (FHLB} Affordable Housing Program (AHP) funds. Layering and Leveraging Analyses KMA prepares market and financial analyses to quantify the appropriate level of client assistance to a project. We evaluate the impact of burdens and incentives on affordable housing programs and advise on all _aspects of project structuring, including the use of available outside funding and assistance sources. KMA has extensive experience preparing HOME layering analyses under the HOME final rule. Project Planning and Leasing: Disposit'ion Services KMA disposition services include assisting clients with the preparation of developer solicitation documentation, analysis of development proposals, developer selection, participation in negotiations, and assistance with transaction structuring. KMA advises clients regarding financial structuring utilizing its expertise in the deployment of public revenue sources. KMA also has unp aralleled experience in the negotiation of ground leases between the public and private sectors. lnclusionary Housing Programs Creation and Implementation KMA's inclusionary housing services range from limited tasks such as analyses that support the imposition of in-lieu fees to the full design of new inclusionary housing programs with all of its ordinance and implementation provisions. Following is a list of inclusionary housing assignments that have been undertaken by the Los Angeles KMA office: City of Alhambra City of Oceanside City of Beverly Hills City of Pasadena City of Burbank -City of Pomona City of Campbell City of Redon do Beach City of Chino Hills City of San Buenaventura City of Claremont City of San Dimas City of Dana Point (Not Adopted) City of San Jose City of Davis City of Santa Ana City of Duarte City of Santa Clarita Keyser Marston Associates, Inc. Page I 5 EXHIBIT 1 City Council 2 –43 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES City of Glendale City of Santa Cruz City of Huntington Beach City of Santa Paula City of Long Beach City of Tustin City of Los Angeles (Not Adopted) City of West Hollywood County of Los Angeles City of Whittier City of Newport Beach Affordable Housing Trans.action Structuring Services KMA has the experience necessary to provide the following services to the City: Keyser Marston Associates, Inc. Page I 6 EXHIBIT 1 City Council 2 –44 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES Bond Advisory Services KMA has the qualifications to provide the following bond advisory services: [ [ [ [ ' � � � '0 /-/: , ' -� � ' "' '�rel!!ari;! reasiHillty !l:malyses td',determine whether It is '1' '.' ,, advisable to proceed with proposed bpiid issues.' , : · '' \ { >y, ' " ' ;c " ' ,� ' ,, � �, �· � ' < � "' " ' '\ ! ' � ,_ evalullte tHe !lnancial strength of proposed projects and , 'development teams, , . , ·• · : . ' ·, f0 / "' < ' M ' ' > i Policies and Procedures Manuals I I I I I KMA prepares policies and procedures manuals that are used to implement inclusionary housing programs, including manuals dedicated to developers, tenants and home buyers. In addition, KMA has prepared policies and procedures manuals for clients to ensure compliance with HOME Program regulations and programs funded by the Ne ighborhood Stabilization Program. Keyser Marston Associates, Inc, Page I 7 EXHIBIT 1 City Council 2 –45 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES B.PROFORMA AND PROJECT ANALYSIS For the purposes of KMA's pro forma analysis services, KMA reviews the proposed scope of development, conceptual development plans, the developer's pro forma analysis, and any additional ·available information that describes the proposed project. KMA will work with City/Housing Authority staff to clarify any questions regarding the project and to identify any major financia·I issues with the proposed development plari. At the completion of that process, l<MA prepares an initial pro forma analysis to estimate the financial gap associated with the proposed project. The KMA analysis will include the following components: 1.Development Costs: The accuracy and reasonableness of the developer's cost estimates will be reviewed and evaluated. The specific cost categories that will be considered are: a.The estimated construction costs; b.The amount of the developer fee being requested; and c.Other financial elements of the development cost proforma as _necessary. 2.KMA will evaluate the sales price or rent structure assumptions applied in the developer's pro forma especially with regards to any income and affordability restrictions Imposed on the project. 3.l<MA will review and evaluate the reasonableness of the operating expense estimates provided by the developer. 4.KMA will review and evaluate the sources and uses of funds proposed to be used during the construction period and on a permanent basis. 5.KMA will quantify the financial gap associated with the project. 6.KMA Will prepare a cash flow projection that covers the period during which the income and affordability covenants will be in place. KMA will prepare a memorandum that describes the assumptions and methodol ogy that were applied in the financial analysis. Based on the findings of the analysis, KMA will provide conclusions and recommendations for the City including the warranted financial assistance amount and best practices for structuring the City's financial assistance. Keyser Marston Associates, Inc. Page I 8 EXHIBIT 1 City Council 2 –46 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES If the City intends to utilize Hou�ing Asset funds as one of the funding sources for the project, SB 341 requires that any expenditure of Housing Asset funds must comply with the requirements set forth in H&SC Section 34176.1. As part of the KMA proforma and financial gap anal ysis outlined above, KMA will quantify the minimum number of extremely low units and the maximum number of low income units that can be assisted in order to comply with the SB 341 expenditure requirements. KMA is also available to assist the Housing Authority in preparing the annual SB 341 Report. C.COMPLIANCE MONITORING: GENERAL SERVICES AND OPERATING BUDGETS Affordable rental housing is typically funded with a variety of layered funding sources. These sources impose income and affordability restrictions that require clients to monitor compliance of the relevant affordable standard. KMA's experience includes structuring housing projects funded with multiple assistance sources and monitoring the completed pr ojects to ensure continuing compliance with the income and affordability covenants. In addition, KMA regularly reviews operating budgets, quarterly financial reports and annual audited financial statements to ensure that projects are operating appropriately. KMA will identify any operational issues or concerns, and is available to work with the City to address these issues with project owners. D.COMPLIANCE MONITORING: RESIDUAL RECEIPTS CALCULATIONS AND COMPLIANCE KMA has assisted clients in the evaluation of affordable housing operations and ensuring compliance with residual receipts loan repayment terms. The evaluation typically includes a review of the annual audited financial statements and operating statements to determine any residual receipts payments due. E.REGULATORY REPORTING: SB 341 AFFORDABLE HOUSING REPORTS For any project that includes Housing Asset Funds, KMA quantifies the allocation of Hou sing Asset Funds per the expenditure requirements imposed by California Health and Safety Code {H&SC) Section 34176.1. In addition, KMA has prepared a template to be used by Housing Successor staff to prepare the required annual SB 341 report. KMA also prepares the report for many of our housing successor agency clients. Keyser Marston Associates1 Inc. Page I 9 EXHIBIT 1 City Council 2 –47 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES F.As NEEDED IMPLEMENTATION SERVICES KMA is available to assist the City and Housing Authority with any additional services that are not specifically identified in this RFP. For your information, KMA regularly provides the following additional services to our clients: Density Bonus Analysis KMA provides evaluation services related to density bonus applications submitted under the auspices of California Government Code Sections 65915-65918. A representative list of clients that KMA has assisted includes the cities of Palmdale, Beverly Hills, Culver City, Pasadeha, West Hollywood and Santa Barbara. The services that KMA provides include the preparation of financial analyses that are used to evaluate density bonus applications Including: the required number of affordable units; the requested density bonus; the value of any requested incentives and concessions; and the impact created by any requested development standards waivers. KMA also prepares procedures to be applied by a city in evaluating density bonus applications, which includes a timeline of actions for the app licant, the city, the outside consultants, the Planning Commission and the City Council. Homebuyer Loan Programs KMA has assisted several cities and former redevelopment agencies in creating homebuyer assistance programs that serve households at a range of income levels. The KMA role in this process has been to assist in creating the program parameters such as household income qualifications, affordable housing cost calculations, homebuyer down payment requirements, assistance caps, refinancing limitations, junior lien prohibitions and resale controls. KMA has also assisted numerous jurisdictions in preparing policies and proced ures manuals for homebuyer programs. The attachments in these manuals include homebuyer selection procedures; homebuyer eligibility applications and instructions; covenants and resale restrictions; transfer disclosure statements; residency recertification forms; household income limits; affordable housing cost calculations; and a subordination checklist. KMA provided technical financial assistance to the City of Huntington Beach in creating a website that lays out the income and affordable housing cost calculations applicable to the homebuyer programs offered by the city and former redevelopment agency. The website Information is updated quarterly. Keyser Marston Associates, Inc. Page J 10 EXHIBIT 1 City Council 2 –48 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES Ill. PERSONNEL EXPERIENCE A.PRINCIPAL IN CHARGE l<MA has designated Tim Bretz as the Principal in charge of this proposed engagement. Tim will provide management coordination for the financial analysis services to be provided to the City and/or Housing Authority. Tim's contact information follows: Tim Bretz Senior Principal, KMA Los Angeles ·Telephone: 213.622.8095 Email: tbretz@keysermarston.com B.l{EY STAFF l<MA's unique strength is the depth, continuity and availability of our principals who average more than 20 years of practical experience working with our public and institutional clients. All work assignments are directly supervised by a principal, and it is the personal involvement of our principals that contribute to the firm's ongoing success. For each assignment, it is l<MA's policy to assign a principal with specific expertise in the subject matter to lead the consulting team. Summaries of these individuals' experience follow: Tim Bretz, Tim has been with KMA since 2008. During that time he has assisted a Senior Principal number of public agencies with affordable housing and real estate assignments. Tim has perfor.med affordable housing feasibility, analyses; and marketand reuse analyses for residential, mixed-use, hotel, office and industrial projects. He has also prepared residential nexus and commercial linkage fee studies to support impact fees to be used for affordable housing activities. Kathleen Head, l<athe joined the firm in 1983, and manages the firm's affordable President housing practice. l<athe's specific areas of expertise are affordable housing transaction structuring and program creation; community benefits analyses related to proposed development; and public/private joint development transactions. Keyser Marston Associates, Inc. Page 111 EXHIBIT 1 City Council 2 –49 11/16/2021 . CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSIN G FINANCIAL, ANALYTICAL & ADVISORY SERVICES Greg Soo-Hoo, Senior Principal Julie Romey Senior Principal Courtney Holt, Senior Associate Greg is a registered Municipal Advisor Principal with the Municipal Securities Rulemaking Board (MSRB) and the U.S. Securities and Exchange Commission (SEC). He has over 35 years of experience in redevelopment and public finance, including acting as the Fiscal Consultant to Successor Agency and Redevelopment Agency bond financings totaling over °$6.2 billion. Julie is a Senior Principal in the Los Angeles office who has over 20 years of real estate and affordable housing experience. Julie has had a role in structuring development agreements, affordable housing strategies, HOME Program policies and procedures manuals, preparing HOME Layering Analyses, and monitoring affordability restrictions and loan agreements. Courtney is a Senior Associate in the Los Angeles office who joined KMA in 2017 with a background in asset management, economic and market analysis, and land use planning. Courtney's work at KMA focuses on affordable housing studies and nexus analyses, market and demographic studies, HOME Program policies and procedures, and affordable housing monitoring and compliance review. . . . . IV.RELEVANT EXPERIENCE A sample of similar services that KMA has provided to clients within the last five years is included below: County of San Bernardino -Affordable I-lousing Development Projects Since 2013, KMA has been the County of Sail Bernardino's affordable housing and real estate consultant. During this period, KMA has assisted the County with affordable housing projects that include a mix of new construction, acquisition/rehabilitation, and work-out strategies for existing • projects experiencing operational difficulties. KMA conducts detailed pro forma analyses, advises on recommended deal terms and structuring, and provides negotiating support to County staff. KMA analyzes projects that are financed with both 9% and 4% Low Income Housing Tax Credits and conventional financing. In addition, the County has provided NSPl and NSP 3 funds, tax-exempt bon.ds ·that were secured by property tax increment housing set-aside funds, MHSA funds, and HOME funds. kMA assists in the negotiations process, quantifies the warranted local assistance to the project, and prepares the public reports required by California Health and Safety Code Section 33433. KMA also prepares HOME Underwriting and Subsidy Layering Reviews for projects th�t utilize HOME funds. Keyser Marston Associates, Inc. Page I 12 EXHIBIT 1 City Council 2 –50 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES One of these projects is the multi-phase Bloomington multigenerational housing and public library mixed use project being developed on a County-owned site. Phase I of the project consisted of 72 senior-citizen apartment units, 35 family apartment units, and a 6,600 square foot public library. Phase 1 also included 11 permanent supportive _housing (PSH) units. Phase II consisted of 84 afforda.ble family apartm ents. Phase Ill •is cuuently under construction and will include 98 affordable units including 20 PSH units. Phase Ill also.includes the development of a public park adjacent to the Site. Specifically with regards to Phase Ill, the developer requested financial assistance from the County, which consisted of the following sources: a capitalized land rent, NSP 3 funds, Tax-Exempt Bond proceeds, Low and Moderate Income Housing Asset (LMIHAF) funds, and HOME funds. KMA analyzed multiple pro forma and cash flow scenarios to determine the best financial structure for the project. KMA also assisted in negotiations with the developer, advised on the ground lease structure, as well as ·provided HOME lay ering analysis services -including identifying the number of required HOME units and preparing a HOME Subsidy Layering Review. Since the site was purchased with tax-exempt bonds secured by property tax increment housing set-aside funds, l<MA also prepared a 33433 Report and reuse analysis for the project. KMA completed financial advisory services for Phase Ill in 2020.Deputy Executive Officer -Community Development & Housing Agency County of San Bernardino Phone: 909c387-4411 Email: dena.fuentes@cdh.sbcounty.gov . 385 N. Arrowhead Ave., 3,tl Floor, San Bernardino, CA 92415-0121 City of Los Angeles -Los Angeles Housing Department (LAHD} KMA provides ongoing affordable housing consulting services to LAHD on a variety.of affordable ownership and rental projects. LAHD received numerous properties from the former Community Redevelopment Agency of the City of Los Angeles, as well as surplus properties from other City departments. These properties are proposed to be developed with affordable housing projects with a focus on providing PSH units. KMA's tasks include: 1.Affordability and feasibil.ity gap analyses; 2.Property disposition reports; and 3.Developer selection and negotiation for long term ground leases Keyser Marston Associates, Inc. Page I 13 EXHIBIT 1 City Council 2 –51 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES The projects that KMA analyzes are financed with a variety of funding sources including Tax Credits, HCD funding sources, and the city's HHH funds, which are designated for PSH units. KMA summarizes each transaction in a memorandum and p�esents each project to LAH D's Loan Committee for approval. KMA is currently providing financial advisory services to LAHD. One of these projects involved four parcels lo.cated at 6901-15 South Main Street and owned by LAHD, ·which were adjacent to a parcel owned by the developer. The disposition structure involved selling the four LAHD parcels to the developer via a carry-back loan provided by LAHD. The developer is required to construct a 50-unit affordable apartment project on the combined site. In addition to conveyance of the site, the developer requested that LAHD issue tax-exempt multifamily bonds and provide HHH Funds. The developer is also proposing to finance the project with 4% Tax Credits, Affordable Housing Program (AHP) funds, and funds from the Los Angeles Community Development Authority {LACDA). KMA analyzed multiple pro forma and cash flo"" scenarios to determine the best site conveyance and financial assistance structure for LAHD. KMA prepared a Loan Committee Report for the project as well as worked with LAHD staff to prepare the project's term sheet. KMA atten ded LAH D's Loan Committee meeting to discuss the project and responded to questions posed by the Loan Committee. Since the site was purchased with tax-exempt bonds secured by property tax increment housing set­ aside funds, KMA also prepared a 33433 Report. KMA completed financial advisory services for this project in 2017. Acting Director -Housing Strategies & Services Division City of Los Angeles Housing Department (LAHD) Phone: 213-808-8592 Email: magdalina.zakaryan@lacity.org 1200 W. 7th Street, 8th Floor, Los Angeles, CA 90017 City of Anaheim -Affordable Housing Development Projects Since the late 1970s, KMA has been the former redevelopment agency's real estate advisor. Commencing in the late 1980s, KMA has represented the former redevelopment agency and Anaheim Housing Authority in a wide array of affordable housing matters. KMA provi des on-going real estate and negotiations assistance to Anaheim on a variety of affordable housing transactions including ownership and rental projects. In some instances, the City ground leases the City-owned site to an affordable housing developer for the purposes of the project. KMA's Keyser Marston Associates, Inc. Page I 14 EXHIBIT 1 City Council 2 –52 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES tasks include financial and feasibility analyses, property disposition and negotiation for long-term ground leases. The projects are financed with a variety of funding sources including Low Income Housing Tax Credits, HOME funds, Section 8 Project-Based Vouchers (PBVs) and State of California funding sources. Recent projects include a motel conversion which will create 70 PSH units as well as a proposed 100-unit PSH project to be developed adjac entto a shelter facility. l(MA also assists the City with developer selection services. These services include the assistance in drafting the RFQ/P, financial assessments of proposed outside leveraging sources and the financial assistance package being requested, participating in the Interview process and negotiating the assistance package dollar amount and structure. In addition, KMA provides policy-related services including compliance monitoring and reporting, density bonus policy and related analyses, and public presentations on inclusionary housing and impact fee issues. One of the projects that KMA has provided financial advisory services for is the. Manchester/Orangewood development. The former Redevelopment Agency acquired the Manchester/Orangewood site in 2008. In 2018, the City/Housing Authority issued a request for proposals to develop the site with affordable housing. KMA participated in the RFP evaluation panel and advised the City/Housing Authority on the selection of the developer, Jamboree Housing Corporation. Subsequently, KMA reviewed the developer's pro formas, prepared financial gap analyses, and assisted the Housing Authority in negotiating the ground lease terms and financial assistance structure. The project includes 102 apartment units restricted to extremely-low, very-low and low income households. Twenty (20) units in the project will be restricted as permanent supportive housing {PSH) units for homeless households. The outside funding sources included 9% Tax Credits and Orange County Housing Trust funds. The Housing Authority provided a ca pitalized ground rent payment, HOME funds and Low and Moderate Income Housing Asset fu nds. KMA completed financial advisory services for this project in 2020. Community Investment Manager� Community & Economic Development City of Anaheim Phone: 714-765-4368 Email: anogal@anaheim.net 201 South Anaheim Blvd, Suite 1003, Anaheim, CA 92805 Keyser Marston Associates, Inc. Page I 15 EXHIBIT 1 City Council 2 –53 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES Los Angeles County Development Authority (LACDA} Since 2015, KMA has been providing on-goingflnancial consulting services to LAC DA. In particular, KMA has reviewed development proposals from throughout the County that are submitted through the LACDA's NOFA process. This task includes performing a threshold review of the financial and economic components of the project as well as a technical review that considers the LACDA's underwriting guidelines and fundi ng/market conditions to de.termine the feasibility as well as need for assistance. KMA then presents the proposals to the LACDA NOFA Committee and discusses how to resolve identified issues. KMA has also been on various developer selection review panels for LACDA, including the recent American Legion Site in Downey that is owned by the County and near a transit station. As the number of projects and funding sources have increased for LACDA, KMA has als·o assisted staff with moving projects through the underwriting process. KMA is currently assisting LACDA with numerous loan closings. Director of the Housing Investment & Finance Division Los Angeles County Development Authority Phone: 626-586-1806 · Email: lynn.katano@lacda.or�700 W. Main Street, Alhambra, CA 91801 City of Huntington Beach Since 1984, KMA has represented the City of Huntington Beach, the former redevelopment agency, and the Housing Successor Agency. A summary of the affordable housing services provided by KMA includes: 1.Financial gap analyses in support of the assistance packages provided to affordable rental and permanent supportive housing projects. Funding sources include 9% Tax Credits, Tax-Exempt Multifamily Bonds coupled with 4% Tax Credits, NPLH funds, MHSA funds, AHP funds, Orange County Business Housing Trust Funds, and HUD Section 8 Project Based Rental Assistance Vouchers (PBVs). 2.Capital planning for the use of affordable housing funds and annual preparation of the Housing Successor's SB 341 report. Keyser Marston Associates, Inc. Page [ 16 EXHIBIT 1 City Council 2 –54 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES 3.Creation of the monitoring system for.the existing affordable housing projects and ongoing compliance monitoring for those-p rojects. 4.Loan repayment monitoring for a city loan to the developer of a large scale mixed-use project with an affordable housing component. 5.Assistance in selling a city-owned affordable housing project to a nonprofit developer. 6.The following activities related to the City's lnclusionary Housing Ordinance: a.In 2007 KMA assisted the City in memorializing inclusionary housing obligations in the form of an ordinance; b.In 2009 KMA prepared financial analyses to estimate the in-lieu fees that could be supported for three to nine unit projects on a financially feasible basis; c.In 2011 KMA prepared a policies and procedures manual in support of the inclusionary housing ordinance; d.In 2012 KMA prepared financial analyses to estimate the in-lieu fees that could be supported for three to 30 unit projects on a financially feasible basis; e.In 2020 KMA prepared an updated financial evaluation to assist the City in updating the existing lnclusionary Housing Ordinance; f.On an annual basis, KMA updates the in-lieu fee schedule; and g.On an ad hoc basis, KMA prepares in-lieu fee determinations fo r proposed residential developme nts. Keyser Marston Associates, Inc. Community Development Director City of Huntington Beach ·Phone: 714-536-5554 Email: Ursula.luna-reynosa@surfcity-hb.org 2000 Main Street, Huntington Beach, CA 92648 Page I 17 EXHIBIT 1 City Council 2 –55 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES V.· REFERENCES The following are five references corresponding to the KMA experience summarized above: Dep:uty Exec:utive Officer -Comrrrnnity Development & Ho:using Agency Co:unty of San Bernardino Phone: 909-387-4411 Email: dena;f:uentes@cdh.sbco:unty.gov 385 N. Arrowhead Ave.,'J'd Floor, San Bernardino, CA 92415-0121 Acting Director -Housing Strategies & Services Division City of Los Angeles Housing + Corrrrnunity Investment Department Phone: 213-808-8592 Email: magdalina.zakaryan@lacity.org 1200 W. 7th Street, 8th Floor, Los Angeles, CA 90017 Corrrrnunity Investment Manager -Corrrrnunity & Economic Development City of Anaheim Phone: 714-765-4368 Email: anogal@anaheim.net 201 South Anaheim Blvd, Suite 1003, Anaheim, CA 92805 Director of the Housing Investment & Finance Division Los Angeles County Development Authority Phone: 626-586-1806 Email: lynn.katano@lacda.org 700 W. Main Street, Alhambra, CA 91801 Keyser Marston Associates, lnc. Page I 18 EXHIBIT 1 City Council 2 –56 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES VI.FEE SCHEDULE Community Development Director City of Huntington Beach Phone: 714-536-5554 Email: Ursula.luna-reynosa@surfcity-hb.org 2000 Main Street, Huntington Beach, CA 92648 The KMA billing rate schedule for Fiscal Year 2021-2022 is presented in the following table: Chairman & President Managing Principals* ser11or P-rincipaJs• Principals* Managers* Senior Associates Associates "·~ Senior Analysts ----v.,---.,,,.._--., Analysts Technical Staff 'A1:fmfnistrai:ive st'Mt $280.00 $280.00 ········ · s'2Y,n\o $250.00 $225.00 $187.50 s16'rso $150.00 $136.60 $95.00 sso:oo *Rates for individu als in these categories will be increased by 50% for time spent in court testimony. Monthly billings for staff time and expenses incurred during the period will be payable within thirty {30) days of invoice date. Directly related job expenses will be billed at 110% of cost. Keyser Marston Associates, lnc. Page I 19 EXHIBIT 1 City Council 2 –57 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - · AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES A.PROPOSED FEE AND Tl MELINE FOR SAMPLE ASSIGNMENTS Subsidy Layering for an Affordable Multi-Family Project The technical components of a subsidy layering analysis can be completed at a budget in a range of · $13,000 within a three to four-week time frame. However, this timeframe is dependent on the accuracy of the (leveloper's submittal and the timeliness on responses from the developer. This budget does not include KMA participation in the negotiations or transaction structuring process, which vary widely based on the transaction's level of complexity. Financial Advisory Services for a Multi-Family Bond Issuance Based on the scope of bond advisory services described in Exhibit A of this proposal, KMA estimates· the fee related to a multi-family bond issue in the range of $20,000. The KMA services would be provided throughout the negotiations, structuring and financing process for a project. This can be accomplished in as few as 90 days, but the process is more likely to require six months or more to complete. VII.DISCLOSURES AND DISCLAIMERS City represents, acknowledges and agrees that: 1.KMA is not advising or recommending any action be taken by the City with respect to any prospective, new or existing municipal financial products or issuance of municipal securities (including with respect to the structure, timing, terms and other similar matters concerning such financial products or issues); 2.KMA is not acting as a municipal advisor to City and does not assume any fiduciary duty hereunder, including, without limitation, a fiduciary duty to City pursuant to Section 15B of the Exchange Act with respect to the services provided hereunder and any information and material contained in Consultant's work product; and 3.City shall discuss any such information and material contained in KMA's work product With any and all internal and/or external advisors and experts, including its own municipal advisors, that it deems appropriate before acting on the information and material. Keyser Marston Associates, Inc. Page I 20 EXHIBIT 1 City Council 2 –58 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES City further represents, acknowledges and agrees that: 1.City uses the services of one or more municipal advisors registered with the SEC to advise it in connection with municipal financial products and the issuance of municipal securities; 2.City is not looking to KMA to provide, and City shall not otherwise request or require KMA to provide, any advice or recommendations with respect to municipal finantial products or the· issuance of municipal securities (including any advice or recommendations with respect to the structure, timing, terms, and other similar matters concerning such financial products or issues); 3.City warrants that the provisions of this contract and the services to be provided hereunder are not intended (and shall not be construed) to constitute or include any municipal advisory services within the meaning of Section 15B of the U.S. Securities Exchange Act of 1934, as amended, and the rules and regulations adopted thereunder; and 4.Notwithstanding all of the foregoing, the City recognizes that interpretive guidance regarding municipal advisory activities is currently quite limited and is likely to evolve and develop during the term of the contract and, to that end, the City will work with KMA throughout the term of the contract to ensure that the contract and the services to be provided by KMA hereunder, is interpreted by the parties, and if necessary amended, in a manner intended to ensure that the City is not asking KMA to provide, and KMA is not in fact providing or required to provide, any municipal advisory services. Keyser Marston Associates, Inc. Page I 21 EXHIBIT 1 City Council 2 –59 11/16/2021 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY - AFFORDABLE HOUSING FINANCIAL, ANALYTICAL & ADVISORY SERVICES EXHIBITS Keyser Marston Associates, Inc. Page I 22 EXHIBIT 1 City Council 2 –60 11/16/2021 TO BE INCLUDED IN PROPOSAL EXHIBITS CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY REQUEST FOR QUALIFICATIONS FOR AFFORDABLE HOUSING FINANCIAL, ANALYTICAL AND ADVISORY SERVICES (RFQ) PROPOSERS STATEMENT AND QUALIFICATION FEE SCHEDULE Cer tification -I certify that I have read, understand and agree to the terms and conditions of this Request for Qual ifications. I have examined the Scope of Services (Exhibit A) and I am familiar with the scope of work requirements. I am familiar with all of the existing conditions and limitations that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Keyser Marston Associates, Inc. LEGAL NAME OF COMPANY 500 South Grand Ave, Suite 1480, Los Angeles, CA 90071 BUSINESS ADDRESS Tim Bretz PRINTED NAME OF AUTHORIZED AGENT SIGNATURE OF AUTHORIZED AGENT 94-2363741 FEDERAL ID NO. (IF APPLICABLE) 9/20/2021 P: 213-622-8095 / F: 213-622-5201 PHONE AND FAX NUMBER Senior Principal TITLE tbretz@keysermarsto n .com DATE E-MAIL ADDRESS CONTRACTOR LICENSE NO. (IF APPLICABLE) City of Santa Ana Community Development Agency Request for Qualifications -Affordable Housing Financial, Analytical and Advisory Services Page 13 EXHIBIT 1 City Council 2 –61 11/16/2021 EXHIBIT C CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY REQUEST FOR QUALIFICATIONS FOR AFFORDABLE HOUSING FINANCIAL, ANALYTICAL AND ADVISORY SERVICES (RFQ) ADDITI ONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY AND BUSINESS AUTOMOBILE POLICIES 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 M-26, Santa Ana, California 92701; its officers, employees, agents, volunteer s 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 beh alf 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 lia bility. 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 noti ce has been given to the City of Santa Ana, 20 Civic Center Plaza M-26, Santa Ana, California 92701. (Completion of the following, including countersig nature, is required to make this endorsement effective.) Effective Policy# Issued to _______________ , this endorsement form as part of Name Insured Countersign ed by: ---��--,------,-,=-----,---�--­Authorized Representative TO BE INCLUDED IN PROPOSAL City of Santa Ana Community Development Agency Request for Qualifications -Affordable Housing Financial, Analytical and Advisory Services Page 14 EXHIBIT 1 City Council 2 –62 11/16/2021 EXHIBIT D CITY OF SANTA ANA COMMU NITY DEVELOPMENT AGENCY REQUEST FOR QUALIFICATIONS FOR AFFORDABLE HOUSING FINANCIAL, ANALYTICAL AND ADVISORY SERVICES (RFQ) List and describe the contracts performed by your firm which demonstrate your ability to provide the services included in the scope of seFVices. Attach additional pages if required for additional references. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference No. 1 Customer Name: Address: Contract Amount: San Bernardino County Contract Individual: 385 N. Arrowhead Ave, 3rd Floor Phone Number: San Bernardino, CA 92415-0121 Facsimile Number: $400,000 Year: ���--------- Description of services provided: Dena Fuentes 909-387-4411 909-387-4415 2021 -2026 KMA provides on-call financial advisory services for a variety of projects. This includes financial gap analyses, ground lease negotiation assistance, preparation of required documents and HOME Subsidy Layering Reviews. Reference No. 2 Customer Name: Address: Contract Amount: L os Angeles Housing Department Contract Individual: 1200 W. 7th Street, 81h Floor Phone Number: ------�----- --=Lo=-cs:..:A...cncc;g2.ceccle=-cs:..c, -=C==-A.:...9::c0=-c0:..:1cc.7____ F acs im ile Number: $360,000 Year: --"'���-------- Description of services provided: Magdalina Zakaryan 213-808-8592 N/A 2020 -2021 KMA provides on-call financial advisory services for a variety of projects. This includes financial gap analyses, ground lease negotiation assistance, preparation of required documents and Loan Committee presentations. City of Santa Ana Community Development Agency Request for Qualifications-Affordable Housing Financial, Analytical and Advisory Services Page 15 EXHIBIT 1 City Council 2 –63 11/16/2021 Reference No. 3 Customer Name: Address: Contract Amount: City of Anaheim Contract Individual: 201 S. Anaheim Blvd, Suite 1003 Phone Number: Anaheim, CA 92805 Facsimile Number: ...:....:===-====------ �$50,000 /ye a r (for 2020 & 2021) Year: Description of services provided: Andy Nogal 714-765-4368 714-765-4313 1989 -present KMA provides on-call financial advisory services for a variety of projects. This includes financial gap analyses, ground lease negotiation assistance, preparation of required documents and housing policy analyses. City of Santa Ana Community Development Agency Request for Qualifications -Affordable Housing Financial, Analytical and Advisory Services Page 16 EXHIBIT 1 City Council 2 –64 11/16/2021 TO BE INCLUDED IN PROPOSAL EXHIBIT E CITY OF SANTA ANA COM MUNITY DEVELOPMENT AGENCY REQUEST FOR QUALIFICATION S FOR AFFORDABLE HOUSING FINANCIAL, ANALYTICAL AND ADVISORY SERVICES (RFQ) PROPOSAL & CONTRACT AGREEMENT PROPOSER'S STATEMENT Proposer understands and agrees that this written RFQ (or any part thereof specifically designated and accepted by the City of Santa Ana (hereinafter "the City") shall <;onstitute the entire agreement between proposer and the City only after it has been accept ed by the City, endorsed by the Clerk of the Council with his/her signature and official seal noting here on the action of approval oftheCouncil, signed by the Executive Director or his/her duly authorized agent, and signed by the City Attorney, denoting his/her approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish the City all required bonds and certificates of liability insurance within ten (10) days (excluding Saturdays, Sundays and the City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall· become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by the City because of the failure to enter into an Agreement and/or furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by the City is difficult to ascertain; otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFQ schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the Specifications, the Certification of Non-Discrimination by Owners, and the Workers' Compensation Insurance Certificate are to be incorporated by reference into this Agreement and are made specifically as part of this RFQ. Keyser Marston Associates, Inc. FIRM �� Tim Bretz SIGNED AND PRINTED NAME Senior Principal TITLE City of Santa Ana Community Development Agency September 20, 2021 DATE Request for Qua lifications -Affordable Housing Financial, Analytical and Advisory Services Page 17 EXHIBIT 1 City Council 2 –65 11/16/2021 TO BE INCLUDED IN PROPOSAL EXHIBITF CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY REQUEST FOR QU ALIFICATIONS FOR AFFORDABLE HOUSING FINANCIAL, ANALYTICAL AND . ADVISORY SERVICES (RFQ} PROPOSAL AND CONTRACT AGREEMENT CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR The undersigned. Contractor or corporate officer, during the performance of this contract, certifies as follows: 1.The Contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, national origin or any other protected class. The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, national origin or any other protected class. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2.The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of .the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin or any other protected class. 3.The Contractor shall send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4.The Contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5.The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6.In the event of the Contractor's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction/services contracts in accordance with procedures authorized in Execution Order 1 1246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided City of Santa Ana Community Development Agency Request for Qualifications -Affordable Housing Financial, Analytical and Advisory Services Page 18 EXHIBIT 1 City Council 2 –66 11/16/2021 in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 7.The Contractor shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted. by rules, regulations, or orders of the Secretary of Labor issued pursuant to Sec tion 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such dire ction by the administering agency, the· 8.Contractor may request that the United States enter into such litigation to protect the interests of the United States. 9.Pursuant to California Labor Gode Section 1735, as added by Chapter 643 Stats .. 1039, ahd as amended, · No discrimination shall be mac;le in the employment of persons because of race, religious creed, color national origin, ancestry, physical handicaps, mental condition, marital status, sex of such persons, or any other protected class, except as provided in Section 1420, and any Contractor violating this Section is subject to all the penalties imposed for a violation of the Chapter. Keyser Marston Associates, Inc. FIRM ��- SIGNED AND PRINTED NAME Senior Principal TITLE Tim Bretz City of Santa Ana Community Development Agency September 20, 2021 DATE Request for Qualifications-Affordable Housing Financial, Analytical and Advisory Services Page 19 EXHIBIT 1 City Council 2 –67 11/16/2021 TO BE INCLUDED IN PROPOSAL EXHIBITG CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY REQUEST FOR QUALIFICATIONS FOR AFFORDABLE HOUSING FINANCIAL, ANALYTICAL AND ADVISORY SERVICES (RFQ) PROPOSAL AND CONTRACT AGREEMENT NON-COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA, In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the PROPOSER declares that the bid is not made in the interestof, 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 PROPOSER has not directly or indirectly induced or solicited any other PROPOSER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any PROPOSER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the PROPOSER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the PROPOSER or any PROPOSER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other PROPOSER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the PROPOSER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non-collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non-collusion Affidavit. PROPOSERS are cautioned that making a false certification may subject the certifier to criminal prosecution. State of California County of ?of !JiflUf I Subscribed and sworn to (or affirmed) before me on this __j_L_ day of J.[f/_{llf{IZ, , 20 ...zj__, by Ttflb1/f1 1:'(mJ_ll,EfZ, , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. l "' * "" e • !EZ.N;RA �o�z • e f .i; Notary Public • Callforni: -J Los Angeles County f, Commission II 2245098 MyComm. Expires Jun 14, 2022 Notary Public Seal City of Santa Ana Community Development Agency Request for Qualifications -Affordable Housing Financial, Analytical and Advisory Services Page 20 EXHIBIT 1 City Council 2 –68 11/16/2021 EXHIBIT 2 City Council 2 –69 11/16/2021 EXHIBIT 2 City Council 2 –70 11/16/2021 EXHIBIT 2 City Council 2 –71 11/16/2021 EXHIBIT 2 City Council 2 –72 11/16/2021 EXHIBIT 2 City Council 2 –73 11/16/2021 EXHIBIT 2 City Council 2 –74 11/16/2021 EXHIBIT 2 City Council 2 –75 11/16/2021 EXHIBIT 2 City Council 2 –76 11/16/2021 EXHIBIT 2 City Council 2 –77 11/16/2021 EXHIBIT 2 City Council 2 –78 11/16/2021 EXHIBIT 2 City Council 2 –79 11/16/2021 EXHIBIT 2 City Council 2 –80 11/16/2021 EXHIBIT 2 City Council 2 –81 11/16/2021 EXHIBIT 2 City Council 2 –82 11/16/2021 EXHIBIT 2 City Council 2 –83 11/16/2021 EXHIBIT 2 City Council 2 –84 11/16/2021 EXHIBIT 2 City Council 2 –85 11/16/2021 EXHIBIT 2 City Council 2 –86 11/16/2021 EXHIBIT 2 City Council 2 –87 11/16/2021 EXHIBIT 2 City Council 2 –88 11/16/2021 EXHIBIT 2 City Council 2 –89 11/16/2021 EXHIBIT 2 City Council 2 –90 11/16/2021 EXHIBIT 2 City Council 2 –91 11/16/2021 EXHIBIT 2 City Council 2 –92 11/16/2021 EXHIBIT 2 City Council 2 –93 11/16/2021 EXHIBIT 2 City Council 2 –94 11/16/2021 EXHIBIT 2 City Council 2 –95 11/16/2021 EXHIBIT 2 City Council 2 –96 11/16/2021 EXHIBIT 2 City Council 2 –97 11/16/2021 EXHIBIT 2 City Council 2 –98 11/16/2021 EXHIBIT 2 City Council 2 –99 11/16/2021 EXHIBIT 2 City Council 2 –100 11/16/2021 EXHIBIT 2 City Council 2 –101 11/16/2021 EXHIBIT 2 City Council 2 –102 11/16/2021 EXHIBIT 2 City Council 2 –103 11/16/2021 EXHIBIT 2 City Council 2 –104 11/16/2021 EXHIBIT 2 City Council 2 –105 11/16/2021 EXHIBIT 2 City Council 2 –106 11/16/2021 EXHIBIT 2 City Council 2 –107 11/16/2021 EXHIBIT 2 City Council 2 –108 11/16/2021 EXHIBIT 2 City Council 2 –109 11/16/2021 EXHIBIT 2 City Council 2 –110 11/16/2021 EXHIBIT 2 City Council 2 –111 11/16/2021 EXHIBIT 2 City Council 2 –112 11/16/2021 EXHIBIT 2 City Council 2 –113 11/16/2021 EXHIBIT 2 City Council 2 –114 11/16/2021 EXHIBIT 2 City Council 2 –115 11/16/2021 EXHIBIT 2 City Council 2 –116 11/16/2021 EXHIBIT 2 City Council 2 –117 11/16/2021 EXHIBIT 2 City Council 2 –118 11/16/2021 EXHIBIT 2 City Council 2 –119 11/16/2021 EXHIBIT 2 City Council 2 –120 11/16/2021 EXHIBIT 2 City Council 2 –121 11/16/2021 EXHIBIT 2 City Council 2 –122 11/16/2021 EXHIBIT 2 City Council 2 –123 11/16/2021 EXHIBIT 2 City Council 2 –124 11/16/2021 EXHIBIT 2 City Council 2 –125 11/16/2021 EXHIBIT 2 City Council 2 –126 11/16/2021 EXHIBIT 2 City Council 2 –127 11/16/2021 EXHIBIT 3 City Council 2 –128 11/16/2021 EXHIBIT 3 City Council 2 –129 11/16/2021 EXHIBIT 3 City Council 2 –130 11/16/2021 EXHIBIT 3 City Council 2 –131 11/16/2021 EXHIBIT 3 City Council 2 –132 11/16/2021 EXHIBIT 3 City Council 2 –133 11/16/2021 EXHIBIT 3 City Council 2 –134 11/16/2021 EXHIBIT 3 City Council 2 –135 11/16/2021 EXHIBIT 3 City Council 2 –136 11/16/2021 EXHIBIT 3 City Council 2 –137 11/16/2021 EXHIBIT 3 City Council 2 –138 11/16/2021 EXHIBIT 3 City Council 2 –139 11/16/2021 EXHIBIT 3 City Council 2 –140 11/16/2021 EXHIBIT 3 City Council 2 –141 11/16/2021 EXHIBIT 3 City Council 2 –142 11/16/2021 EXHIBIT 3 City Council 2 –143 11/16/2021 EXHIBIT 3 City Council 2 –144 11/16/2021 EXHIBIT 3 City Council 2 –145 11/16/2021 EXHIBIT 3 City Council 2 –146 11/16/2021 EXHIBIT 3 City Council 2 –147 11/16/2021 EXHIBIT 3 City Council 2 –148 11/16/2021 EXHIBIT 3 City Council 2 –149 11/16/2021 EXHIBIT 3 City Council 2 –150 11/16/2021 EXHIBIT 3 City Council 2 –151 11/16/2021 EXHIBIT 3 City Council 2 –152 11/16/2021 EXHIBIT 3 City Council 2 –153 11/16/2021 EXHIBIT 3 City Council 2 –154 11/16/2021 EXHIBIT 3 City Council 2 –155 11/16/2021 EXHIBIT 3 City Council 2 –156 11/16/2021 EXHIBIT 3 City Council 2 –157 11/16/2021 EXHIBIT 3 City Council 2 –158 11/16/2021 EXHIBIT 3 City Council 2 –159 11/16/2021 EXHIBIT 3 City Council 2 –160 11/16/2021 EXHIBIT 3 City Council 2 –161 11/16/2021 EXHIBIT 3 City Council 2 –162 11/16/2021 EXHIBIT 3 City Council 2 –163 11/16/2021 EXHIBIT 3 City Council 2 –164 11/16/2021 EXHIBIT 3 City Council 2 –165 11/16/2021 EXHIBIT 3 City Council 2 –166 11/16/2021 EXHIBIT 3 City Council 2 –167 11/16/2021 EXHIBIT 3 City Council 2 –168 11/16/2021 EXHIBIT 3 City Council 2 –169 11/16/2021 EXHIBIT 3 City Council 2 –170 11/16/2021 EXHIBIT 3 City Council 2 –171 11/16/2021 EXHIBIT 3 City Council 2 –172 11/16/2021 EXHIBIT 3 City Council 2 –173 11/16/2021 EXHIBIT 3 City Council 2 –174 11/16/2021 EXHIBIT 3 City Council 2 –175 11/16/2021 EXHIBIT 3 City Council 2 –176 11/16/2021 EXHIBIT 3 City Council 2 –177 11/16/2021 EXHIBIT 3 City Council 2 –178 11/16/2021 EXHIBIT 3 City Council 2 –179 11/16/2021 EXHIBIT 3 City Council 2 –180 11/16/2021 EXHIBIT 3 City Council 2 –181 11/16/2021 EXHIBIT 3 City Council 2 –182 11/16/2021 EXHIBIT 3 City Council 2 –183 11/16/2021 EXHIBIT 3 City Council 2 –184 11/16/2021 EXHIBIT 3 City Council 2 –185 11/16/2021