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Home My WebLink AboutAgenda Packet_2022-08-02City Council Meeting Packet August 2, 2022 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 Jessie Lopez Councilmember - Ward 3 Johnathan Ryan Hernandez Councilmember - Ward 5 Nelida Mendoza Councilmember - Ward 2 Phil Bacerra Mayor Pro Tem - Ward 4 David Penaloza Councilmember - Ward 6 Mayor and Council telephone: 714-647-6900 Agenda item inquiries: 714-647-6520 Sonia R. Carvalho Kristine Ridge City Attorney City Manager Vacant 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) 647-5624. Notification 48 hours prior to the Meeting will enable the City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supporting documentation can be found on the City's website — www.santa-ana.org/city-meetings. City Council 1 8/2/2022 CITY VISION AND CODE OF ETHICS The City of Santa Ana is committed to achieving a shared vision for the organization and its community. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtful and inclusive process designed to set the City and organization on a course that meets the challenges of today and tomorrow, as follows: Vision - The dynamic center of Orange County which is acclaimed for our: Investment in youth • Safe and healthy community • Neighborhood pride • Thriving economic climate - Enriched and diverse culture • Quality government services Mission - To deliver efficient public services in partnership with our community which ensures public safety, a prosperous economic environment, opportunities for our youth, and a high quality of life for residents. Guiding Principles - Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility - Innovation • Transparency Code of Ethics and Conduct - At the Special Municipal Election held on February 5, 2008, voters approved an amendment to the City Charter which established the Code of Ethics and Conduct for elected officials and members of appointed boards, commissions, and committees to assure public confidence. The following are the core values expressed: - Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • Efficiency City Council 2 8/2/2022 Members of the public may attend the City Council meeting in -person or join via Zoom. The City Council meeting will occur live via teleconference Zoom webinar. You may view the meeting from your computer, tablet or smart phone via YouTube LiveStream at www.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3. PUBLIC COMMENTS — Members of the public who wish to address the City Council on closed session items, items on the regular agenda or on matters which are not on the agenda, but are within the subject matter jurisdiction of the City Council may do so by one of the following ways: • MAILING OPTION written communications — Public comments may be mailed to: Office of the Clerk of the Council, 20 Civic Center Plaza M-30, Santa Ana, CA 92701. All written communications received via mail by 4:00 p.m. on the day of the meeting will be distributed to the City Council and imaged into the City's document archive system which is available for public review. • SENDING E-MAIL OPTION — Public comments may be sent via email to the City Clerk's office at eComment(a)santa-ana.org. Please note the agenda item you are commenting on in the subject line of the email. All emails received 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) 900-9128 and enter MEETING ID: 315 965 149#. You will be prompted by the City Clerk when it is time for a: i) closed session item, ii) general agenda item, iii) public hearing item, iv) special agenda item, or v) for Housing Authority item. You may request to speak by dialing *9 from your phone or you may virtually raise your hand from Zoom. After the Clerk confirms the last three digits of the caller's phone number or Zoom ID and unmutes them, the caller must press *6 or microphone icon to speak. Callers are encouraged, but not required, to identify themselves by name. Each caller will be provided three (3) minutes to speak, unless due to the number of speakers wanting to speak a decision is made to provide a different amount of time to speak. • IN -PERSON OPTION - Members of the public can provide in -person comments at the podium in the Council Chamber. The Council Chamber will have seating available for members of the public to attend the meeting in -person. Face coverings are required for members of the public who enter City buildings. 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 City Council 3 8/2/2022 the LIVE or IN -PERSON PUBLIC COMMENTS OPTION above. Speaker queue will open at 4:30 p.m. YOU MUST JOIN ZOOM OR THE CONFERENCE CALL BY 5:00 p.m. Speakers who are not in the speaker queue by 5:00 p.m. will not be permitted to speak. 2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON -AGENDA ITEMS (GENERAL PUBLIC COMMENT) — You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN -PERSON PUBLIC COMMENTS OPTION above. Speaker queue will open at 4:30 p.m. YOU MUST JOIN ZOOM OR THE CONFERENCE CALL PRIOR TO 6:00 p.m. Speakers who are not in the speaker queue by 6:00 p.m. will not be permitted to speak. 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 Mayor Pro Tern Mayor City Manager City Attorney Clerk of the Council ROLL CALL Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza David Penaloza Thai Viet Phan Phil Bacerra Vicente Sarmiento Kristine Ridge Sonia R. Carvalho 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: 1. CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6(a): City Council 4 8/2/2022 Agency Negotiators: Human Resources Executive Director, Jason Motsick Employee Organizations: • Santa Ana Police Officers Association (POA) • Santa Ana Police Management Association (PMA) • Service Employees' International Union (SEIU) Full -Time Employees • Service Employees' International Union (SEIU) Part -Time Non -Civil Service Employees • Confidential Association of Santa Ana (CASA) • Santa Ana Management Association (SAMA) 2. PUBLIC EMPLOYEE EMPLOYMENT/APPOINTMENT pursuant to Government Code 54957 Title: Clerk of the Council, Acting Clerk of the Council, or Interim Clerk of the Council 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 5 8/2/2022 CITY COUNCIL REGULAR OPEN SESSION CALL TO ORDER ROLL CALL PLEDGE OF ALLEGIANCE Mayor Sarmiento WORDS OF INSPIRATION Pastor Tommy Cota CEREMONIAL PRESENTATIONS Certificate of Recognition presented by Mayor Sarmiento and Councilmember Mendoza to Nashely and Gilbert Lopez for Outstanding Contributions to the Community. 2. Proclamation presented by Councilmember Hernandez declaring August 2022 as Chicano Heritage Month. 3. Certificate of Recognition presented by Councilmember Lopez to Preston Joseph Dillard for Outstanding Contributions to the Community. 4. Certificate of Recognition presented by Councilmember Mendoza to Dr. Annebelle Nery for Outstanding Contributions to Higher Education. 5. Certificate of Recognition presented by Councilmember Phan and Mayor Sarmiento to Santa Anita Neighborhood Youth Volunteers for Outstanding Contributions to the Community. STAFF PRESENTATIONS 6. COVID-19 Update in the Community 7. OC Streetcar Project — Orange County Transportation Authority and Public Works Agency CLOSED SESSION REPORT — The City Attorney will report on any action(s) from Closed Session. PUBLIC COMMENT — Public comments will be held during the beginning of the meeting for ALL comments on agenda and non -agenda items, with the exception of public hearings. Comments for public hearings will take place after the hearing is opened. I CONSENT CALENDAR RECOMMENDED ACTION: Approve staff recommendations on the following City Council 6 8/2/2022 Consent Calendar Items: 8 through 16. 8. Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse the absent members. 9. Minutes from the Regular Meeting of May 17, 2022 Department(s): Clerk of the Council Recommended Action: Approve minutes. 10. Minutes from the Regular and Housing Authority Meeting of June 7, 2022 Department(s): Clerk of the Council Office Recommended Action: Approve minutes. 11. Adopt Ordinance -AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 33 OF THE SANTA ANA MUNICIPAL CODE (STREETS, SIDEWALKS AND PUBLIC WORKS) BY ADDING ARTICLE XI RELATING TO CEREMONIAL STREET NAMING First reading at the July 19, 2022 City Council meeting and approved by a vote of 7-0. Published in the Orange County Reporter on July 22, 2022. Department(s): Public Works Agency Recommended Action: Place ordinance on second reading and adopt. 12. Adopt Ordinance - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING ARTICLE I OF CHAPTER 10 OF THE SANTA ANA MUNICIPAL CODE TO REQUIRE SIGNS AT COMMERCIAL CENTERS PROVIDING INFORMATION ABOUT PROPERTY MAINTENANCE TO THE PUBLIC First reading at the July 19, 2022 City Council meeting and approved by a vote of 7-0. Published in the Orange County Reporter on July 22, 2022. Department(s): Planning and Building Agency Recommended Action: Place ordinance on second reading and adopt. 13. Approve an Agreement with KTUA for Traffic Planning and Engineering Services for the Safe Mobility Santa Ana Plan Update in the Amount of $180,000 for a up to a Five-year Term (Non -General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with KTUA, for transportation/traffic planning and engineering services for the Safe Mobility City Council 7 8/2/2022 Santa Ana (SMSA) plan update, for a three-year period beginning August 2, 2022, and ending on August 1, 2025, with the option to extend for up to a two-year period, in a total aggregate amount not to exceed $180,000, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2022-XXX). 14. Approve Agreement between the City of Santa Ana and William H. Nuesse M.D. and Mary Ann Nuesse, D.O, a California Medical Corporation, Doing Business as Sunrise Multispecialist Medical Center, for Non -Industrial Medical Services (Non -General Fund) Department(s): Human Resources Recommended Action: Authorize the City Manager to execute an Aareement with William H. Nuesse M.D. and Mary Ann Nuesse, D.O, a California medical corporation, doing business as Sunrise Multispecialist Medical Center, to provide non -industrial medical services for a three-year term (June 7, 2022 through June 30, 2025) with the option of one 1-year extension, subject to non -substantive changes approved by the City Manager and City Attorney. The agreement shall not exceed $200,000 over the term of the Agreement (Agreement No. 2022-XXX). 15. Adopt a Resolution Declaring City -Owned Properties as Exempt Surplus Land for the Purpose of a Real Property Exchange with the State of California Department(s): Community Development Agency Recommended Action: Resolution No. 2022-XXX — Adopt a resolution declaring City -owned properties as exempt surplus land pursuant to California Government Code § 54220 et seq. for exchange of State of California real property for the City's use, and authorize the City Manager to execute any and all documents necessary to complete the exchange. 16. Orange County Grand Jury's Investigative Report, Findings, and Recommendations Regarding "How is Orange County Addressing Homelessness" Department(s): City Manager Office Recommended Action: Receive and file the Orange County Grand Jury's investigative report, findings, and recommendations regarding Orange County Homelessness and authorize the City Manager to deliver the City's response to the findings and recommendations to the Presiding Judge of the Superior Court. **END OF CONSENT CALENDAR** IBUSINESS CALENDAR 17. Approve the $128,360,000 Revive Santa Ana Spending Plan, Appropriate Federal City Council 8 8/2/2022 American Rescue Plan Act (ARPA) Funding, and Adopt a Resolution to Amend the FY 2022-23 Annual Budget to Add Limited -Term Full -Time Positions (Revive Santa Ana Program) Department(s): City Manager Office Recommended Action: 1. Approve the updated $128,360,000 Revive Santa Ana Spending Plan to protect and revive the community as Santa Ana continues to emerge from the impacts of the COVID-19 pandemic. 2. Approve an appropriation adjustment of $64,180,000 to authorize spending from the federal American Rescue Plan Act (ARPA) for various expenditures to recover from COVID-19, including authorization for the City Manager to move appropriated money between Spending Plan line items to reflect evolving federal guidelines and individual program popularity. (Requires five affirmative votes) 3. Resolution No. 2022-XXX — Adopt a resolution to amend the Fiscal Year 2022-23 Annual Budget to add limited -term full-time positions for the implementation of Revive Santa Ana projects. 18. Direct Staff to Place a Proposed Charter Amendment Voter Ballot Measure for Public Consideration at the November 8, 2022 General Municipal Election; Adopt a Resolution, Authorize and Designate City Councilmembers to File an Argument; Direct City Attorney to File an Impartial Analysis; and Other Related Documents Calling for a General Municipal Election and Consolidating it with the Statewide General Election Department(s): City Manager Office Recommended Action: 1. Resolution No. 2022-XXX — Adopt a Resolution of the City Council of the City of Santa Ana calling for the placement on the ballot of a measure for the November 8, 2022 General Municipal Election for the submission to the qualified voters of the question of whether the City Charter should be amended to update the City Charter by imposing a lifetime ban for the Mayor after completion of 4 terms and a lifetime ban for Councilmembers after completion of 3 terms, requiring approval of 2/3 of the City Council to adopt a budget, expanding the application of the Code of Ethics, utilizing gender neutral language throughout the Charter, changing references to the "Clerk of Council" to "City Clerk" and making other minor clean-up updates. 2. Request that the Board of Supervisors of Orange County Consolidate the City's General Municipal Election with the Statewide General Election. 3. Authorize the filing of Arguments and Rebuttals. a. Designate up to five (5) Councilmembers to author an Argument and Rebuttal Statement. 4. Direct the City Attorney to prepare an Impartial Analysis. 5. Direct the Clerk of the Council to publish legal notices as required by law. City Council 9 8/2/2022 **END OF BUSINESS CALENDAR** 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. Future Items 1. Mental Health Mobile Outreach Services 2. Community Workforce Agreement City Council 10 8/2/2022 DRAFT Minutes of the Regular Meeting of the City Council City of Santa Ana, California d May 17, 2022 SPECIAL CLOSED SESSION MEETING - 4:00 PM REGULAR OPEN MEETING - 5:45 PM (Immediately following the Closed Session Meeting) CITY COUNCIL CHAMBER 22 Civic Center Plaza Santa Ana, CA 92701 SPECIAL CLOSED SESSION CALL TO ORDER ATTENDANCE Council Members Mayor Pro Tern Mayor City Manager City Attorney Clerk of the Council Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza David Penaloza Thai Viet Phan Phil Bacerra Vicente Sarmiento Kristine Ridge Sonia R. Carvalho Daisy Gomez MINUTES: Mayor Sarmiento called the Special Closed Session meeting to order at 4:02 p.m. ROLL CALL City Council 19 — 1 5BY2/2022 MINUTES: Clerk of the Council Daisy Gomez conducted roll call. All councilmembers were present. Councilmember Penaloza joined the Special Closed Session meeting at 4:05 p.m. and Mayor Pro Tem Bacerra joined the Special Closed Session meeting at 4:14 p.m. Councilmember Hernandez joined the Special Closed Session meeting at 5:00 p.m. CLOSED SESSION ITEMS — The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: 1. CONFERENCE WITH LEGAL COUNSEL -EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A. Sumon Nicole v. City of Santa Ana, Orange County Superior Court, Case No. 30- 2020-01161215. 2. CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6(a): Agency Negotiators: Human Resources Executive Director, Jason Motsick Employee Organizations: • Santa Ana Police Officers Association (POA) • Santa Ana Police Management Association (PMA) • Service Employees' International Union (SEIU) Full -Time Employees • Service Employees' International Union (SEIU) Part-time Civil Service Employees • Service Employees' International Union (SEIU) Part -Time Non -Civil Service Employees • Confidential Association of Santa Ana (CASA) • Santa Ana Management Association (SAMA) 3. PUBLIC EMPLOYEE PERFORMANCE EVALUATION Pursuant to Government Code Section 54957 Title: Clerk of the Council, City Attorney and City Manager 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. City Council 29 — 2 5BY2/2022 MINUTES: Mayor Sarmiento recessed the portion of the meeting to consider the Special Closed Session item(s) at 4:03 p.m. RECONVENE — City Council will reconvene to continue regular City business. MINUTES: Mayor Sarmiento adjourned Closed Session meeting at 5:25 p.m. and convened to the Regular Open Session. CITY COUNCIL REGULAR OPEN SESSION CALL TO ORDER MINUTES: Mayor Sarmiento called the Regular Open Session meeting to order a 5:49 p.m. ROLL CALL MINUTES: Clerk of the Council conducted roll call. All councilmembers were present. PLEDGE OF ALLEGIANCE Mayor Sarmiento MINUTES: Councilmember Mendoza led the pledge of allegiance. WORDS OF INSPIRATION Reverend Lee de Leon MINUTES: Words of inspiration taken out of order after item 1 followed by items 2-3. CEREMONIAL PRESENTATIONS Certificate of Recognition presented by Mayor Sarmiento to the Orange County School of the Arts Ambassador Jazz Orchestra for Outstanding Musical Contributions to the Community. MINUTES: Item 1 taken out of order and considered after the Pledge of Allegiance. 2. Proclamation presented by Mayor Pro Tern Bacerra to the Santa Ana Public Works Agency declaring May 15-21, 2022, as National Public Works Week. MINUTES: Item 2 considered after the words of inspiration. City Council 39 — 3 581(2/2022 3. Proclamation presented by Councilmember Hernandez and Councilmember Lopez to Santa Ana Active Streets declaring May 2022, as National Bike Month. 4. Certificate of Recognition presented by Councilmember Lopez to Ernesto Cisneros for Outstanding Contributions to Children's Literature. STAFF PRESENTATIONS 5. COVID-19 Update in the Community MINUTES: City Manager Kristine Ridge provided a brief presentation. Council discussion ensued and provided comments. CLOSED SESSION REPORT — The City Attorney will report on any action(s) from Closed Session. MINUTES: City Attorney Sonia Carvalho stated there was no reportable action. Consent calendar items 8-10 considered out of order, followed by administration of the oath of office by Clerk of the Council Daisy Gomez to Duane Rohrbacher, Environmental and Transportation Advisory Commissioner, Jeffrey Katz, Arts and Culture Commissioner, and Ana Padilla, Community Development Commissioner. PUBLIC COMMENT — Public comments will be held during the beginning of the meeting for ALL comments on agenda and non -agenda items, except for public hearings. Comments for public hearings will take place after the hearing is opened. MINUTES: Dale Helvig spoke on children's parade in Norway and its significance to the country and likened it to the Children's Parade in Park Santiago during Fourth of July celebrations. Delilah Snell requested more support for the downtown businesses affected by the Orange County Transpiration Authority Street Car project and to have councilmembers attend the next Orange County Transpiration Authority Board meeting on May 23, 2022. Nancy Collins spoke on item 38 and asked that council consider allocating funds to create more street infrastructure near Flower and Memory Lane to deal with speeding cars. Les Hall spoke on item 38 and also supported Nancy Collins recommendations for more infrastructure to reduce speeding on Flower and Memory Lane. Leonel Flores spoke on item 9. Defended Santa Ana and asked council to not support or enable members of council that do not uphold their oath of office. City Council 49 — 4 5BY2/2022 Dr. Allen Wu spoke in support of the Parks and Recreation Master Plan and on item 36. Anna Cecilia Fierro spoke on item 38 and emphasized the need of funds for rehabilitation in the community. Mia Verdin spoke on item 38 and the need for youth programs and services in the city. Irene Cabanas spoke in support of item 14, and thanked Parks director Lisa Rudloff and Councilmember Hernandez for all their hard work. Lucia Gonzalez spoke on item 38 and spoke on funding for Santa Ana Police Department Veronica Gomez spoke on a community event that is going to be held at Centennial Park on June 26, 2022. Extended an invitation to council members and asked for guidance regarding cultural events held in the city. Victor Mendez thanked Mayor Sarmiento and provided various comments allocation of funds recommended in the city budget. Paul Sanford spoke on item 38 and also asked for infrastructure to reduce speeding in the Fisher Park neighborhood. Clerk of the Council Daisy Gomez reported out on correspondence received. Lin Lee spoke in support of item 36 and commended council members for this resolution. Danny Vega spoke on the deteriorating conditions of certain city roads and sidewalks and asked council to consider these services. Nathaniel Greensides spoke in opposition of item 11 and spoke in support of item 14. Luis Sarmiento spoke against item 11 and applauded the youth that provided comments at the meeting. Spoke in support of item 14. Karla A. spoke on item 9 and called on council to remove commissioners that do not represent the city well. Also, spoke on police funding. Penelope Lopez with Chispa, spoke on item 38 and urged council to support a budget that meets the needs of the community. I CONSENT CALENDAR City Council 59 — 5 5BY2/2022 RECOMMENDED ACTION: Approve staff recommendations on the following Consent Calendar Items: 6 through 36. 6. Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse the absent members. 7. Minutes from the Regular Meeting of April 19, 2022 Department(s): Clerk of the Council Office Recommended Action: Approve minutes. 8. Appoint Duane Rohrbacher nominated by Councilmember Penaloza as the Ward 6 representative to the Environmental and Transportation Advisory Commission for a partial -term expiring December 13, 2022 Department(s): Clerk of the Council Office Recommended Action: Appoint Duane Rohrbacher to the Environmental and Transportation Advisory Commission representing Ward 6 and administer Oath of Office. Moved by Councilmember Penaloza, seconded by Mayor Pro Tern Bacerra to approve items 8, 9 and 10. YES: 7 — Hernandez, Lopez, Mendoza, Penaloza, Phan, Bacerra, Sarmiento NO: 0 ABSTAIN: 0 ABSENT:0 Status: 7-0-0-0— Pass MINUTES: Items 8, 9, and 10 were taken out of order after the Special Closed Session report out. Clerk of the Council, Daisy Gomez administered the Oath of Office to Commissioner Duane Rohrbacher. 9. Remove Leonel Flores and Appoint Jeffrey Katz Nominated by Councilmember Mendoza as the Ward 2 Representative to the Arts and Culture Commission for a Partial -term Expiring December 13, 2022 Pursuant to SAMC Section 2-326; a board or commission member may be removed by the City Council by the affirmative votes of a majority of the Council. Department(s): Clerk of the Council Office Recommended Action: Remove Leonel Flores and appoint Jeffrey Katz as the Ward 2 representative from the Arts and Culture Commission and administer Oath of Office to newly appointed. City Council 69 — 6 5BY2/2022 MINUTES: Items 8, 9, and 10 were taken out of order after the Special Closed Session report out. Clerk of the Council, Daisy Gomez administered the Oath of Office to Commissioner Jeffrey Katz. Moved by Councilmember Penaloza, seconded by Mayor Pro Tern Bacerra to approve items 8, 9 and 10. YES: 7 — Hernandez, Lopez, Mendoza, Penaloza, Phan, Bacerra, Sarmiento NO: 0 ABSTAIN: 0 ABSENT:0 Status: 7-0-0-0— Pass 10. Remove Roy Afusia and Appoint Ana Padilla Nominated by Councilmember Mendoza as the Ward 2 representative to the Community Development Commission for a partial -term expiring December 13, 2022 Pursuant to SAMC Section 2-326; a board or commission member may be removed by the City Council by the affirmative votes of a majority of the Council. Department(s): Clerk of the Council Office Recommended Action: Remove Roy Afusia and appoint Ana Padilla as the Ward 2 representative from the Community Development Commission and administer Oath of Office to newly appointed. MINUTES: Items 8, 9, and 10 were taken out of order after the Special Closed Session report out. Clerk of the Council, Daisy Gomez administered the Oath of Office to Commissioner Roy Afusia. Moved by Councilmember Penaloza, seconded by Mayor Pro Tern Bacerra to approve items 8, 9 and 10. YES: 7 — Hernandez, Lopez, Mendoza, Penaloza, Phan, Bacerra, Sarmiento NO: 0 ABSTAIN: 0 ABSENT:0 Status: 7-0-0-0— Pass 11. Adopt Ordinance -AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING A POLICY FOR THE USE OF MILITARY EQUIPMENT BY THE SANTA ANA POLICE DEPARTMENT First reading at the May 3, 2022 City Council meeting and approved by a vote of 4-2-1 (Hernandez, Lopez dissented and Sarmiento absent). City Council 79 — 7 5BY2/2022 Published in the Orange County Reporter on May 6, 2022. Department(s): Police Department Recommended Action: Place ordinance on second reading and adopt. MINUTES: Council discussion ensued and input provided to staff. Mayor Sarmiento recited no on item 11. Councilmember Hernandez moved to deny item, seconded by Mayor Sarmiento. This consent Item - Ordinance NS-3020 was approved. Moved by Councilmember Phan, seconded by Councilmember Penaloza to substitute motion to approve recommended action. YES: 4 — Lopez, Mendoza, Penaloza, Phan NO: 2 — Hernandez, — Sarmiento ABSTAIN: 0 ABSENT: 1 — Bacerra Status: 4-2-0— 1 — Pass 12. 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 Department(s): Finance and Management Services Recommended Action: Receive and file Quarterly Report of Contracts entered into between January 1, 2022 to March 31, 2022, valued at up to $50,000 for non-public works contracts and agreements and up to $250,000 for public works contracts and agreements. 13. Receive and File Quarterly Report of Investments as of March 31, 2022 Department(s): Finance and Management Services Recommended Action: Receive and file. 14. Adopt a Resolution Approving the Parks, Facilities, Trails and Open Space Master Plan Department(s): Parks, Recreation, and Community Services Recommended Action: Resolution No. 2022-XXX — Adopt a resolution approving the Parks, Facilities, Trails and Open Space Master Plan. City Council 89 — 8 5BY2/2022 MINUTES: Council discussion ensued and input and direction provided to staff. Councilmember Phan requested language that references turning River View Golf Course into a public open space be added. Councilmember Penaloza requested staff look into the feasibility of purchasing the land with railroad tracks that are dormant. Councilmember Hernandez requested the I ot" and flower lot be added as a potential park space. Councilmember Lopez recommended adding more skate parks and community gardens. Councilmember Mendoza recommended adding more parks closer to the center of ward 2 in the future. This consent Item - Resolution No. 2022-038 was approved. Moved by Councilmember Phan, seconded by Councilmember Penaloza to Adopt and amend to include language that references turning River View Golf Course into a public open space. . YES: 7 — Hernandez, Lopez, Mendoza, Penaloza, Phan, Bacerra, Sarmiento NO: 0 ABSTAIN: 0 ABSENT:0 Status: 7-0-0-0— Pass 15. Award a Construction Contract to All American Asphalt in the Amount of $2,109,832 for the Local Street Preventative Maintenance Fiscal Year (FY) 2021-22 Project with an Estimated Project Delivery Cost of $2,778,000 (Project No. 22-6907) (Non - General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to All American Asphalt, the lowest responsible bidder, in accordance with the base bid in the amount of $2,109,832, for construction of the Local Street Preventative Maintenance FY 2021- 22, for the term beginning May 17, 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 $2,778,000, which includes $2,109,832 for the construction contract, $316,500 for contract administration, inspection and testing, and a $351,668 project contingency City Council 99 — 9 5BY2/2022 for unanticipated or unforeseen work. 16. Approve the Second Amendment to the Construction Contract with CJ Concrete Construction, Inc., to Increase the Contract Amount by $2,000,000 to Perform Additional Concrete Repairs through the End of Project Completion (Project No.22- 6970) (General and Non -General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to approve the second amendment to the construction contract with CJ Concrete Construction, Inc., by an increase of $2,000,000, to perform additional concrete improvements through the end of project completion, for a new estimated project delivery cost of $3,700,000. 2. Approve the revised Project Cost Analysis increasing Construction Administration, Inspection, and Testing by $50,000 and the project contingencies by $1,950,000, for a new estimated project delivery cost of $3,700,000. 17. Amend the Blanket Order Contract for Chain Link Fence Rental/Portable Restroom Rental in the amount of $50,000 (Specification No. 16-059) (General Fund) Department(s): Parks, Recreation, and Community Services Recommended Action: Authorize the City Manager to amend the annual amount of the blanket order contract with United Site Service, Inc. for citywide chain link fence rentals/portable restroom rentals by $50,000 for a new total annual amount not to exceed $ 285,400, subject to non -substantive changes approved by the City Manager and City Attorney. 18. Award a Purchase Order to Western Truck Exchange for Two Ford Super Duty F-550 Stake Bed Trucks for the Parks, Recreation and Community Services Agency in the Amount of $211,278 (Specification No. 22-034) (General Fund) Department(s): Public Works Agency Recommended Action: Authorize a one-time purchase and payment of purchase order to Western Truck Exchange for the purchase of two Ford Super Duty F-550 Stake Bed Trucks for the Parks, Recreation and Community Services Agency, in the amount of $211,278 plus a contingency of $20,000, for a total amount not to exceed $231,278, subject to non -substantive changes approved by the City Manager and City Attorney. 19. Award a Purchase Order to Bucher Municipal for One Bucher CityCat V20 Mini Street Sweeper, to Sweep Bike Lanes, in the Amount of $200,175 (Specification No. 22- 066) (General Fund & Non -General Fund) Department(s): Public Works Agency Recommended Action: Authorize a one-time purchase and payment of purchase order to Bucher Municipal for the purchase of one Bucher CityCat V20 Mini Street City Council 1 A — 10 5BY2/2022 Sweeper to sweep bike lanes, in the amount of $185,175, plus a contingency of $15,000, for a total amount not to exceed $200,175, subject to non -substantive changes approved by the City Manager and City Attorney. 20. Approve Appropriation Adjustment and Award a Purchase Order to Daktronics, Inc. for the Purchase of a Scoreboard and Sound System Replacement and Marquee Retrofit in an Amount Not to Exceed $705,761 (Project No. 22-2753 and 22-1306) (Non -General Fund and Revive Santa Ana Program) Department(s): Parks, Recreation, and Community Services Recommended Action: 1. Approve an Appropriation Adjustment recognizing revenue received in Fiscal Year 2021-22 in the amount of $358,599 in the Residential Development District 2, District Park Acquisition & Development Fees revenue account and appropriating the same amount into the Residential Development District 2, Improvements Other Than Building expenditure account for FY 2021-2022 capital operating expenses. (Requires five affirmative votes) 2. Award a one-time purchase order to the Daktronics, Inc. for the purchase of a scoreboard and sound system replacement and marquee retrofit at the Santa Ana Stadium in an amount not to exceed $705,761, subject to non -substantive changes approved by the City Manager and City Attorney. 3. Approve an amendment to the Fiscal Year 2021-22 Capital Improvement Program to modify the New Stadium Scoreboard and Marquee Projects. 21. Approve an Appropriation Adjustment and Approve an Agreement with Tetra Tech, Inc. for Engineering Services in an Amount not to Exceed $830,000 for up to a Five - Year Term (Project No. 19-6496) (Non -General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Tetra Tech, Inc. for engineering services for pressure control station relocation and transmission main improvements for a three-year period beginning May 17, 2022 and expiring May 16, 2025, with provisions for one, two-year renewal period exercisable by the City Manager and City Attorney, in an amount not to exceed of $830,000, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2022-XXX). 2. Approve an appropriation adjustment to recognize $270,000 of prior -year fund balance in the Water Fund, Public Works Water Revenue, Prior Year Carryforward revenue account, and appropriate the same amount to the Acquisition & Construction, Water Utility Capital Projects, Water Capital Project expenditure account. (Requires five affirmative votes) 3. Approve an amendment to the Fiscal Year 2021-22 Capital Improvement Program to include $270,000 in engineering funds for the SA-2 Pressure Control Station Relocation Project (No. 19-6496). City Council 1 s — 11 5BY2/2022 MINUTES: This consent Item - Agreement No. 2022-070 was approved. 22. Approve an Amendment to the Agreement with Blue Technologies Smart Solutions for Access and Support Services for iManage Data Management Systems (General Fund) Department(s): City Attorney Office Recommended Action: Authorize the City Manager to execute an amendment to the agreement with Blue Technologies Smart Solutions ("BlueTech") to provide increased data storage for continued access and support services for the iManage Data Management Systems ("iManage") for the remaining period of August 1, 2022 through July 31, 2024, increasing the annual billing amount by $4,800 for years two and three, for $30,050 annually, for the iManage System, and increasing the total not -to -exceed amount of the agreement to $95,350, which includes a $10,000 contingency, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2022-XXX). MINUTES: This consent Item - Agreement No. 2022-071 was approved. 23. Approve On -call Building Safety Division Services for the Planning and Building Agency (General and Non -General Fund) Department(s): Planning and Building Agency Recommended Action: Authorize the City Manager to execute agreements, as provided in the attached template approved as to form by the City Attorney, to engage each of the fourteen firms listed below for a period of three years, beginning May 17, 2022 through May 16, 2025, with the option to renew for up to one additional year, to provide on -call Building Safety Services for an aggregated not to exceed amount of $4,600,000 (Agreement No. 2022-XXX). 1. 4LEAF 2. BPR Consulting Group 3. Building Code Services Inc 4. CSG Consultant's Inc. 5. HR Green Pacific, Inc. 6. JAS Pacific 7. JLee Engineering, Inc. 8. OC Plan Review LLC 9. Scott Fazekas & Associates, Inc. 10. The Code Group, Inc. (VCA Code) 11. Transtech Engineers, Inc. 12. TRB & Associates 13. True North Compliance Services 14. West Coast Code Consultants, Inc. City Council 12 — 12 5BY2/2022 MINUTES: This consent Item — Core Agreement No. 2022-072 was approved. 24. Approve Agreement for a Learning Management System with Meridian Knowledge Systems, LLC (General and Non -General Fund) Department(s): Human Resources Recommended Action: Authorize the City Manager to execute an Agreement with Meridian Knowledge Solutions, LLC, to provide an annual subscription for a Learning Management System ("LMS") with an additional add -on with OpenSesame Plus 100 for web -based training content, for a three-year term from May 17, 2022 through June 30, 2025, with the option of two one-year extensions, in an amount not to exceed $311,7788, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2022-XXX). MINUTES: This consent Item - Agreement No. 2022-073 was approved. 25. Approve a Three -Year Agreement with HCI Environmental & Engineering Service for Police Range Cleaning Services (General Fund) Department(s): Police Department Recommended Action: Authorize the City Manager to execute an agreement with HCI Environmental & Engineering Service for police firing range cleaning and ventilation system filter replacement for the period of June 1, 2022 through May 31, 2025 in an amount not to exceed $203,364, which includes a ten -percent contingency ($18,488), subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2022-XXX). MINUTES: This consent Item - Agreement No. 2022-074 was approved. 26. Approve Agreement Amendment with Siemens, Inc. for Citywide Security System Maintenance and Enhancements by Increasing the Agreement Amount $1,200,000 for the Remaining Term of the Agreement Department(s): Public Works Agency, Police Department, Human Resources Recommended Action: 1. Authorize the City Manager to execute a first amendment to the agreement with Siemens, Inc. for additional system enhancement and annual maintenance costs by increasing the agreement amount by $1,200,000, including a $100,000 contingency, for a total agreement amount not to exceed $3,382,870 for the remaining term of the agreement expiring October 31, 2023, subject to non - substantive changes approved by the City Manager and City Attorney (Agreement No. 2022-XXX). City Council 19 — 13 5BY2/2022 2. Approve the Project Cost Analysis for a total estimated delivery cost of $2,380,000, which includes $1,200,000 for the first amendment, $180,000 for contract administration, inspection and testing, and a $1,000,000 project contingency for additional sites. MINUTES: This consent Item - Agreement No. 2022-075 was approved. 27. Approve an Agreement with Superior Property Services, Inc. to Provide Hardscape Pavement Cleaning and Infectious Waste Removal Services for an Annual Amount not to exceed $316,642 (Non -General Fund) Department(s): Parks, Recreation, and Community Services Recommended Action: Authorize the City Manager to execute an agreement with Superior Property Services, Inc. to provide hardscape pavement cleaning and infectious waste removal services for an annual amount not to exceed $316,642, which includes a 20-percent contingency, for a term from July 1, 2022 through June 30, 2026, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2022-XXX). MINUTES: This consent Item - Agreement No. 2022-076 was approved. 28. Approve Agreements with Desmond, Marcello & Amster, LLC, Donna Desmond Associates, Paragon Partners, Monument, and Hodges Lacey & Associates, LLC for Various On -Call Right -of -Way Specialty Services in an Amount Not to Exceed $148,000 for a Three -Year Term (Non -General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute agreements with Desmond, Marcello & Amster, LLC, Donna Desmond Associates, Paragon Partners, Monument, and Hodges Lacey & Associates, LLC to provide right-of-way business goodwill appraisal services, property management, and furniture, fixtures, and equipment appraisal services in a shared aggregate amount not to exceed $148,000 for each specialty area, for a three-year term beginning May 17, 2022 and expiring May 16, 2025, with an option for two, one-year extensions, subject non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2022- XXX). MINUTES: This consent Item - Agreement No. 2022-077 was approved. 29. Approve Agreements with Quality Fence Co., Inc. and United Site Services of California, Inc. for On -Call Chain Link Fencing Services in an Amount Not to Exceed $300,000 for a Three -Year Term (Non -General Fund) City Council 14 — 14 5BY2/2022 Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with Quality Fence Co., Inc. and United Site Services, Inc. for on -call chain link fencing services, in a shared aggregate amount not to exceed $300,000 for a three-year term beginning May 17, 2022 and expiring May 16, 2025, with an option for two, one-year extensions, subject non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2022-XXX). MINUTES: This consent Item - Agreement No. 2022-078 was approved. 30. Approve an Appropriation Adjustment, Interagency Agreement with the Orange County Water District and Moulton Niguel Water District to Evaluate a Potential Emergency Interconnection, and Approve an Agreement with Stantec Consulting Services, Inc. in an Amount Not to Exceed $200,000 for a Three-year Term to Conduct a Preliminary Design Study and Environmental Analysis for an Emergency Water Distribution Interconnection (Non -General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an agreement with Orange County Water District and Moulton Niguel Water District for a three-year term beginning on May 17, 2022 and ending on May 16, 2025 to conduct a preliminary design study and environmental analysis for an emergency water distribution interconnection, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2022-XXX). 2. Approve an appropriation adjustment to recognize $200,000 in reimbursement obligation funds from MNWD into the Water, Public Works Water Revenue, Expense Reimbursement revenue account and appropriate the same amount into the Water, Water Admin/Engineering, Contract Services — Professional expenditure account. (Requires five affirmative votes) 3. Authorize the City Manager to execute an agreement with Stantec Consulting Services, Inc., for a three-year term beginning on May 17, 2022, and ending on May 16, 2025, to evaluate a water interconnection with Moulton Niguel Water District, in an amount not to exceed $200,000, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2022-XXX). MINUTES: This consent Item - Agreement No. 2022-079 and Agreement No. 2022-080 was approved. 31. Adopt a Resolution Authorizing the Executive Director of the Public Works Agency to Execute Grant Agreements with the California Department of Transportation for the King Street Urban Greening Project Department(s): Public Works Agency City Council 19 — 15 5BY2/2022 Recommended Action: Resolution No. 2022-XXX — Adopt a resolution authorizing the Executive Director of the Public Works Agency to execute grant agreements with the California Department of Transportation for the King Street Urban Greening Project (Agreement No. 2022-XXX). MINUTES: This consent Item - Resolution No. 2022-035 was approved. This consent Item - Agreement No. 2022-081 was approved. 32. Adopt a Resolution in Support of the Santa Ana River Watershed Weather Modification Pilot Program and Approve One-time Funding in the Amount of $10,000 for the Program (Non -General Fund) Department(s): Public Works Agency Recommended Action: 1. Resolution No. 2022-XXX — Adopt a resolution in support of the Santa Ana River Watershed Weather Modification Pilot Program. 2. Approve one-time funding in the amount of $10,000 to the Santa Ana Watershed Project Authority for the Weather Modification Pilot Program. MINUTES: This consent Item - Resolution No. 2022-036 was approved. 33. Use of Teleconferencing for Meetings of City Council and All Boards, Committees, and Commissions Pursuant to the Provisions of Assembly Bill 361 Department(s): Clerk of the Council Office Recommended Action: Resolution No. 2022-XXX — Adopt a resolution to consider continuing the use of teleconferencing for City Council, board, committee, and commission meetings pursuant to the provisions of Assembly Bill 361 for the next 30 days. MINUTES: This consent Item - Resolution No. 2022-037 was approved. 34. Amend Agreement with Universal Protection Service, LP, Dba Allied Universal Security Services, to Provide Security Guard Services at Various City Facilities by Extending the Term by an Additional Six Months and Increasing the Agreement Amount by $1,074,376 (General and Non -General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an amendment to the agreement with Universal Protection Service, LP, Dba Allied Universal Security Services, to provide security guard services at various City facilities, to extend the City Council 16 — 16 5BY2/2022 term of the agreement for an additional six-month term beginning June 1, 2022, through November 30, 2022, and increase the amount by $1,074,376, for a total agreement amount of $4,127,177, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2022-XXX). MINUTES: This consent Item - Agreement No. 2022-082 was approved. 35. Approve the Transfer of Ownership of Two City Camping Trailers; Recognize $238,070 into the General Fund from the Sale of 14 City Camping Trailers Department(s): Community Development Agency Recommended Action: Authorize the City Manager to transfer the ownership of two camping trailers to Suavecito Foundation for their use. 36. Resolution Apologizing to Chinese Immigrants and their Descendants Department(s): City Manager Office Recommended Action: Resolution No. 2022-XXX — Adopt a resolution apologizing to Chinese immigrants and their descendants for acts of fundamental injustice and discrimination seeking forgiveness and committing to the rectification of past policies and misdeeds. Moved by Councilmember Phan, seconded by Mayor Pro Tern Bacerra to amended to include language in section 2 to say "acknowledges and condemns acts of fundamental injustice" and to add an additional section prior to section 5 that states "we formally reject the actions taken by the Board of Trustees by Resolution No. 416". YES: 7 — Hernandez, Lopez, Mendoza, Penaloza, Phan, Bacerra, Sarmiento NO: 0 ABSTAIN: 0 ABSENT:0 Status: 7-0-0-0— Pass MINUTES: Council discussion ensued and direction provided to staff. Councilmember Phan requested the language in section 2 to say "acknowledges and condemns acts of fundamental injustice... " and requested to add an additional section prior to section 5 that states "we formally reject the actions taken by the Board of Trustees by Resolution No. 416" and potentially rescind it. This consent Item - Resolution No. 2022-039 was approved. City Council 10 — 17 5BY2/2022 Moved by Mayor Pro Tern Bacerra, seconded by Councilmember Penaloza to approve Consent Calendar items 6-35 with the exception of 8, 9, 10, 11, 14, and 36. Items 8-10 were considered before the consent calendar and approved. Councilmember Phan recused herself from items 21, 30 and 32 due to a conflict of interest and out of an abundance of caution. Mayor Sarmiento recused himself from item 35 due to a conflict of interest and out of an abundance of caution. YES: 7 — Hernandez, Lopez, Mendoza, Penaloza, Phan, Bacerra, Sarmiento NO: 0 ABSTAIN: 0 ABSENT:0 Status: 7-0-0-0— Pass MINUTES: Mayor Sarmiento recited no on item 11 on its second reading. Councilmember Hernandez provided comment recognizing the Public Works Department. **END OF CONSENT CALENDAR** I BUSINESS CALENDAR 37. Discuss and Provide Direction Regarding a Proposed Voter Ballot Measure to Restructure Business Licensing Tax Rates and Chapter 21 of the Santa Ana Municipal Code Department(s): Finance and Management Services Recommended Action: Discuss and provide direction regarding a proposed Voter Ballot Measure for the November 8, 2022, General Election to: (1) restructure non - cannabis business license tax rates and charges with the aim of achieving an overall net revenue neutral result designed to reflect current best practices and to recognize the impact of home -based businesses and the new "gig" economy; and (2) provide a flexible Tax Holiday period for unlicensed, past due, or under -assessed businesses to obtain a valid business license or satisfy unpaid or unassessed taxes; and (3) align with closely associated provisions of SAMC Chapter 21. MINUTES: Executive Director of Finance and Management Services Agency Kathryn Downs provided a brief presentation. Council discussion ensued and was provided to staff. 38. Budget Workshop: Fiscal Year 22-23 Proposed General Fund Budget, Misc. Fees, City Council 19 — 18 5BY2/2022 Workforce Changes and Capital Improvement Plan Department(s): Finance and Management Services Recommended Action: Receive presentation and provide direction to staff. MINUTES: Executive Director of Finance and Management Services Agency Kathryn Downs provided a brief presentation. Council discussion ensued, direction and input provided to staff. City Manager Kristine Ridge announced that councilmembers all have a placeholder for a special meeting on May 31, 2022, and encouraged all to reach out to her for a one-on-one meeting to receive clarification and/or ask questions. Councilmember Phan for the record stated her opposition to the additional $1.5 million allocation of funds to provide financial relief for the downtown business. **END OF BUSINESS CALENDAR** PUBLIC HEARINGS PUBLIC COMMENTS — Members of the public may address the City Council on each of the Public Hearing items. 39. Public Hearing - Approve Three Loan Agreements with Westview House L.P. (c/o Community Development Partners) for a total of $3,904,341 for the Development of the Westview House Affordable Housing Project Located at 2530 & 2534 Westminster Avenue; Approve a Subordination Agreement with Umpqua Bank; Conduct a TEFRA Hearing and Adopt a Resolution Approving the Issuance of Bonds (Non -General Fund) Legal notice published in the Orange County Report on May 4, 2022. Department(s): Community Development Agency Recommended Action: 1. Authorize the City Manager to execute a Loan Agreement with Westview House L.P. (c/o Community Development Partners) for $2,003,705 in HOME Investment Partnerships Program funds for the development of the Westview House affordable housing project located at 2530 & 2534 Westminster Avenue, Santa Ana, CA 92701 (APNs 198-132-21 and 198-132-23), subject to non - substantive changes approved by the City Manager and City Attorney (Agreement No. 2022-XXX). 2. Authorize the City Manager to execute a Loan Agreement with Westview House L.P. (c/o Community Development Partners) for $1,514,113 in Inclusionary Housing funds for the development of the Westview House affordable housing project located City Council 19 — 19 5BY2/2022 at 2530 & 2534 Westminster Avenue, Santa Ana, CA 92701 (APNs 198-132-21 and 198-132-23), subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2022-XXX). 3. Authorize the City Manager to execute a Loan Agreement with Westview House L.P. (c/o Community Development Partners) for $386,523 in Rental Rehabilitation Program Funds for the development of the Westview House affordable housing project located at 2530 & 2534 Westminster Avenue, Santa Ana, CA 92701 (APNs 198-132-21 and 198-132-23), subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2022-XXX). 4. Authorize the City Manager to execute a Subordination Agreement with Umpqua Bank, to subordinate the City's three Loan Agreements to a senior loan, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2022-XXX). 5. Authorize the City Manager to execute a future Subordination Agreement with the State of California Department of Housing and Community Development, Citibank, and/or the County of Orange, for the City's three Loan Agreements, after the Westview House affordable housing project is complete, subject to approval as to form by the City Attorney (Agreement No. 2022-XXX). 6. Conduct a Tax Equity and Fiscal Responsibility Act Hearing in consideration of the issuance of tax-exempt bond financing by the California Statewide Communities Development Authority on behalf of Westview House, LP, for the benefit of Westview House Apartments to finance the acquisition, construction, improvement, and equipping of the Project, an 85-unit multifamily rental housing project located at 2530 & 2534 Westminster Avenue, Santa Ana, California (APNs 198-132-21 and 198-132- 23). 7. Resolution No. 2022-XXX — Adopt a resolution approving the issuance of revenue bonds by the California Statewide Communities Development Authority in an amount not to exceed $45,000,000 for the purpose of financing the acquisition, construction, improvement and equipping of the Westview House affordable housing project located at 2530 & 2534 Westminster Avenue, Santa Ana, CA 92701 (APNs 198-132- 21 and 198-132-23). MINUTES: Mayor Sarmiento opened the public hearing at 10:23 p.m. Assistant City Manager/Executive Director of Community Development Agency Steven Mendoza provided a brief presentation. Clerk of the Council, Daisy Gomez, reported out there was no correspondence received. Nathaniel Greensides spoke in support of item. Councilmember Phan stated for the record her disappointment in lack of recognition from the development community. City Council 20 — 20 5BY2/2022 Council discussion ensued and input provided. Mayor Sarmiento closed the public hearing at 10:32 p.m. This public hearing item - Agreements No. 2022-083, No. 2022-084, No. 2022- 085, No. 2022-086, No. 2022-087 was approved. This public hearing Item - Resolution No. 2022-040 was approved. Moved by Councilmember Mendoza, seconded by Councilmember Phan to Approve. YES: 7 — Hernandez, Lopez, Mendoza, Penaloza, Phan, Bacerra, Sarmiento NO: 0 ABSTAIN: 0 ABSENT:0 Status: 7-0-0-0— Pass 40. Public Hearing - Adopt Resolution Adjusting the Solid Waste Rates As required by the provisions of Proposition 218, notices of a public hearing for adjusting solid waste collection rates were mailed to all property owners within the City of Santa Ana solid waste collection service area on or before April 1, 2022. The Clerk of the Council Office has received 44 protest letters, as of the publishing of this agenda. Legal notice was published in the Orange County Reporter on May 6, 2022 and May 13, 2022. Department(s): Public Works Agency Recommended Action: Resolution No. 2022-XXX — Hold a public hearing and adopt a resolution adjusting the solid waste rates effective July 1, 2022. MINUTES: Mayor Sarmiento opened the public hearing at 10:37 p.m. Executive Director of Public Works Agency Nabil Saba provided a brief presentation. Gabriela Hernandez spoke with a concern on city municipal service rates. Nathaniel Greensides spoke in support of item. Marisol Hernandez spoke with a concern on city municipal service rates. Clerk of the Council, Daisy Gomez, reported out on correspondence received. City Council 2S — 21 5BY2/2022 Mayor Sarmiento closed the public hearing at 10:52 p.m. Council discussion ensued and input provided. Mayor Sarmiento requested a robust staff report to explain rate increase for members of the public. Mayor Pro Tem Bacerra expressed concern with the lack of state funding for this item. This public hearing item - Resolution No. 2022-041 was approved. Moved by Councilmember Phan, seconded by Councilmember Mendoza to Approve. YES: 5 — Phan, Hernandez, Lopez, Mendoza, Sarmiento NO: 2 — Penaloza, — Bacerra ABSTAIN: 0 ABSENT:0 Status: 5-2-0-0— Pass COUNCILMEMBER REQUESTED ITEMS 41. Discuss and Consider Directing the City Manager to Direct Staff to Prepare an Ordinance Establishing Regulations Prohibiting the Unlawful Possession of Catalytic Converters in the City — Councilmember Mendoza MINUTES: Council discussion ensued and input provided. Councilmember Hernandez left the council meeting at 11:04 p.m. Majority of council support to send a letter to Senator Umberg and show support for SB986. CITY MANAGER COMMENTS MINUTES: City Manager Kristine Ridge made the following announcements: Free Family Event due to Public Works Week on May 21St, 2022 from 11:00 a.m. to 2:00 p.m. City Council 28 — 22 5BY2/2022 Neighborhood Block Transformation Contest deadline is May 20, 2022 at 1:00 p.m. City Manager, Kristine Ridge stated a public appreciation for Parks and Recreation Director, Lisa Rudloff. 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. MINUTES: Councilmember Lopez thanked Public Works staff for their hard work and advised residents to avoid outdoor areas for health reasons when fire season begins. Announced a community clean up and that office hours will be virtual this month. Councilmember Mendoza reminded the public to conserve water due to the ongoing drought. Councilmember Penaloza noted that the Federal Government is giving away additional at home rapid tests for COVID-19. Reminded the public on the importance of voting. Mayor Pro Tem Bacerra offered his congratulations to Parks and Recreation Director, Lisa Rudloff and noted per disclosure AB 1234 he attended the 2022 Southern California Association of Governments Regional Conference and General Assembly. Announced the Hometown Hero Active Service Member banner unveiling ceremony on May 23, 2022 at 2.00 p.m. at Bomo Koral Park and will hold his community office hours on June 4, 2022 at Thornton Park. Mayor Sarmiento thanked staff for all of their hard work and requested to send letters of condolences to communities that have faced tragedies in the previous days such as mass shootings. ADJOURNMENT — Adjourn the City Council meeting. MINUTES: Mayor Sarmiento adjourned the City Council meeting at 11:24 p.m. City Council 29 — 23 5BY2/2022 DRAF- Minutes of the Regular and Housing Authority Meeting of the City Council City of Santa Ana, California d June 07, 2022 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 CLOSED SESSION CALL TO ORDER ATTENDANCE Council Members Mayor Pro Tern Mayor City Manager City Attorney Clerk of the Council Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza David Penaloza Thai Viet Phan Phil Bacerra Vicente Sarmiento Kristine Ridge Sonia R. Carvalho Daisy Gomez MINUTES: Mayor Sarmiento called the Closed Session meeting to order at 5:06 p.m. ROLL CALL City Council 110 — 1 6/2/2022 MINUTES: Clerk of the Council Daisy Gomez conducted roll call. All councilmembers were present. Councilmember Hernandez and Mayor Pro Tem Bacerra joined the Closed Session meeting at 5:26 p.m. CLOSED SESSION ITEMS — The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: 1. CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6(a): Agency Negotiators: Human Resources Executive Director, Jason Motsick Employee Organizations: • Santa Ana Police Officers Association (POA) • Service Employees' International Union (SEIU) Full -Time Employees • Service Employees' International Union (SEIU) Part -Time Non -Civil Service Employees • Santa Ana Management Association (SAMA) • Confidential Association of Santa Ana (CASA) 2. CONFERENCE WITH LEGAL COUNSEL -EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A. Maria Bautista v. City of Santa Ana, Orange County Superior Court, Case No. 30- 2020-01143441 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. MINUTES: Mayor Sarmiento recessed the portion of the meeting to consider the Closed Session item(s) at 5:07 p.m. RECONVENE — City Council will reconvene to continue regular City business. MINUTES: Mayor Sarmiento adjourned Closed Session meeting at 6:10 p.m. and convened to the Regular Open Session. City Council 210 — 2 6/2/2022 CITY COUNCIL REGULAR OPEN SESSION CALL TO ORDER MINUTES: Mayor Sarmiento called the Regular Open Session meeting to order at 6:13 p.m. ROLL CALL MINUTES: Clerk of the Council conducted roll call. All councilmembers were present with the exception of Councilmember Mendoza. PLEDGE OF ALLEGIANCE Mayor Sarmiento MINUTES: Councilmember Penaloza led the pledge of allegiance. WORDS OF INSPIRATION CEREMONIAL PRESENTATIONS Rupert Vega, Police Chaplain Certificate of Recognition presented by Mayor Sarmiento to the Suavecito Prom Sweepstakes Committee for Outstanding Contributions to the Community. MINUTES: Item moved to the Junes 21, 2022 City Council Meeting. 2. Certificate of Recognition presented by Mayor Pro Tern Bacerra to the Santa Ana College Softball Team for Exceptional Athletic Performance. MINUTES: Item considered out of order prior to item 1 as it was moved to a future meeting. 3. Certificate of Recognition presented by Councilmember Lopez to Loosies Pizza for Outstanding Contributions to the Community. 4. Proclamation presented by Councilmember Mendoza, Mayor Sarmiento and Councilmember Lopez to Moms Demand Action declaring June 3, 2022 as National Gun Violence Awareness Day. MINUTES: Mayor Sarmiento gave direction to staff to proceed with a buy back gun program. City Council 310 — 3 6/2/2022 CLOSED SESSION REPORT — The City Attorney will report on any action(s) from Closed Session. MINUTES: City Attorney Sonia Carvalho stated there was no reportable action. PUBLIC COMMENT — Public comments will be held during the beginning of the meeting for ALL comments on agenda and non -agenda items, except for public hearings. Comments for public hearings will take place after the hearing is opened. MINUTES: Dale Helvig spoke on the general plan and the development cycle. Dr. Carol Vinternute spoke in opposition of gun violence and requested council to consider the secure gun storage ordinance. Irma Jauregui spoke in support of the general plan and advocated for a cultural center. Requested more officers to relieve our current officers. Pilar Looney thanked council for their support in celebrating Alzheimer caregivers and for taking care of the people of Santa Ana. Norma Castellanos thanked council and spoke in support of Alzheimer caregivers. Maribel Gomez a downtown business owner thanked council for their past support, however requested an additional 1.5 million dollars in financial support and additional security for downtown area. Araceli Robles spoke in support of item 9 and requested council to support the THRIVE proposal. Ana Charco spoke in support of item 9. Ilda Ortiz with Latino Health Access spoke in support of item 9. Sarai Arpero spoke in support of item 9. Erik Sanchez spoke in support of item 9. Lucero Garcia with CLUE Justice spoke in support of item 9. Danny Vega requested that council prioritize additional officers. Clerk of the Council Daisy Gomez reported out on correspondence received. City Council 410 — 4 6/2/2022 I CONSENT CALENDAR I RECOMMENDED ACTION: Approve staff recommendations on the following Consent Calendar Items: 5 through 13. 5. Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse the absent members. MINUTES: Clerk of the Council Daisy Gomez announced Councilmember Mendoza's excused absence. 6. Minutes from the Special Closed Session, Regular and Housing Authority Meeting of May 3, 2022 Department(s): Clerk of the Council Office Recommended Action: Approve minutes. 7. Minutes from the Special Meeting of May 12, 2022 Department(s): Clerk of the Council Office Recommended Action: Approve minutes. 8. Approve Agreement with State of California for a Two-year Term in an Amount of $4,497,514 for a Californians for All Youth Workforce Program (Non -General Fund) Department(s): Community Development Agency Recommended Action: Agreement No. 2022-XXX — Authorize the City Manager to execute an agreement (JP1012) in the amount of $4,497,514 with the State of California — California Volunteers, for a two-year period from June 7, 2022 to May 1, 2024, for a Californians for All Youth Workforce Program, subject to non -substantive changes approved by the City Manager and City Attorney. MINUTES: This consent Item - Agreement No. 2022-089 was approved. 9. Approve First Amendment to the Disposition and Development Agreement with THRIVE Santa Ana, Inc. for the Development of a Microfarm at 1901 W Walnut Avenue and Authorize the City Manager to execute a Consent to Assignment of Leases and Rents Agreement Department(s): Community Development Agency Recommended Action: 1. Agreement No. 2022-XXX — Authorize the City Manager to execute First Amendment to Disposition and Development Agreement (agreement City Council 510 — 5 6/2/2022 no. A-2020-044) with THRIVE, Santa Ana, Inc. to extend the term for one year, allow right of entry for soil remediation, update the schedule of performance, and amend the ground lease, subject to non -substantive changes approved by the City Manager and City Attorney. 2. Agreement No. 2022-XXX — Authorize the City Manager to execute a Consent to Assignment of Leases and Rents Agreement with THRIVE, Santa Ana, Inc., subject to non -substantive changes approved by the City Manager and City Attorney. MINUTES: This consent Item - Agreement No. 2022-090 and Agreement No. 2022-091 were approved. 10. Approve the Recognition of $94,097.52 of Revenue for Certain Unclaimed Monies from Various City Funds Department(s): Finance and Management Services Recommended Action: Approve the recognition of $94,097.52 of revenue in the General Fund for certain unclaimed deposits, as allowed by state law. 11. Adopt a Resolution Ordering the Implementation of Water Conservation Actions for a Level Two Water Supply Shortage Department(s): Public Works Agency Recommended Action: Resolution No. 2022-XXX — Adopt a resolution declaring Water Supply Shortage Level Two as defined in Chapter 39 of the Municipal Code and the adopted Water Shortage Contingency Plan. MINUTES: This consent Item - Resolution No. 2022-042 was approved. 12. Use of Teleconferencing for Meetings of City Council and All Boards, Committees, and Commissions Pursuant to the Provisions of Assembly Bill 361 Department(s): Clerk of the Council Office Recommended Action: Resolution No. 2022-XXX — Adopt a resolution to consider continuing the use of teleconferencing for City Council, board, committee, and commission meetings pursuant to the provisions of Assembly Bill 361 for the next 30 days. MINUTES: This consent Item - Resolution No. 2022-043 was approved. 13. Giving Notice of a General Municipal Election to be Held on November 8, 2022 and Requesting Board of Supervisors of the County of Orange to Consolidate a General Municipal Election with the Statewide General Election (General Fund) City Council 610 — 6 6/2/2022 Department(s): Clerk of the Council Office Recommended Action: 1. Resolution No. 2022-XXX — Adopt a resolution ordering, calling, and giving notice of a General Municipal Election to be held in City of Santa Ana on November 8, 2022 and requesting the Board of Supervisors of the County of Orange to consolidate with the Statewide General Election. 2. Resolution No. 2022-XXX — Adopt a resolution establishing a charge for candidates' statements to be submitted to the electorate in the November 8, 2022 General Municipal Election. MINUTES: This consent Item - Resolution No. 2022-044 and Resolution No. 2022-045 were approved. Moved by Mayor Pro Tern Bacerra, seconded by Councilmember Penaloza to Approve Consent Calendar items 5 through 13. YES: 6 — Hernandez, Lopez, Penaloza, Phan, Bacerra, Sarmiento NO: 0 ABSTAIN: 0 ABSENT: 1 — Mendoza Status: 6-0-0— 1 — Pass **END OF CONSENT CALENDAR** I BUSINESS CALENDAR 14. Approve Fiscal Year 2022-2023 Miscellaneous Fee Resolution Department(s): Finance and Management Services Recommended Action: Resolution No. 2022-XXX — Adopt a resolution establishing a Uniform Schedule of Miscellaneous Fees for Fiscal Year 2022-23. MINUTES: Executive Director of Finance and Management Services Agency Kathryn Downs provided a brief presentation. This consent Item - Resolution No. 2022-046 was approved. Moved by Mayor Pro Tern Bacerra, seconded by Councilmember Penaloza to Approve recommended action. City Council 710 — 7 6/2/2022 YES: 6 — Hernandez, Lopez, Penaloza, Phan, Bacerra, Sarmiento NO: 0 ABSTAIN: 0 ABSENT: 1 — Mendoza Status: 6-0-0— 1 — Pass **END OF BUSINESS CALENDAR** PUBLIC HEARINGS PUBLIC COMMENTS — Members of the public may address the City Council on each of the Public Hearing items. 15. Public Hearing - Ordinance to Adopt a Consolidation of Rates and Schedules to Unify all Non -Cannabis Business License Tax Rates, Schedules, and Charges Currently Contained in Articles V through X of SAMC Chapter 21 Legal notice published in the Orange County Reporter on May 27, 2022. Department(s): Finance and Management Services Recommended Action: Approve the first reading of an ordinance to consolidate Business License Rates and Schedules to unify all non -cannabis business license tax rates, schedules, and charges currently contained in Articles V through X of SAMC Chapter 21, respectively, into a single article (Article X) for clarity and cohesion. MINUTES: Mayor Sarmiento opened the public hearing at 7:05 p.m and seeing no comment closed the public hearing at 7:06 p.m. Moved by Mayor Pro Tern Bacerra, seconded by Councilmember Lopez to Adopt. YES: 6 — Hernandez, Lopez, Penaloza, Phan, Bacerra, Sarmiento NO: 0 ABSTAIN: 0 ABSENT: 1 — Mendoza Status: 6-0-0— 1 — Pass 16. Public Hearing - Consider an Ordinance to adopt the Fiscal Year 2022-23 Budget, Approve a Resolution for Changes to the City's Basic Classification and Compensation Plan Budget, and Adopt the Seven -Year Capital Improvement Program Legal notice published in the Orange County Reporter on May 27, 2022 and June 3, 2022. Department(s): Finance and Management Services City Council 810 — 8 6/2/2022 Recommended Action: 1. Approve the introduction and first reading of an Ordinance to adopt the budget for Fiscal Year 2022-23 (FY22-23), which begins on July 1, 2022 and ends on June 30, 2023. (Exhibit 1 and Exhibit 2) 2. Resolution No. 2022-XXX — Adopt a Resolution, to effect certain changes to the City's basic classification and compensation plan, such as addition of new classification titles. (Exhibit 3) 3. Resolution No. 2022-XXX — Adopt a Resolution, to effect certain changes to the City's basic classification and compensation plan for classifications in the Police Management Association (PMA) bargaining unit to comply with the Memorandum of Understanding. (Exhibit 4) 4. Adopt the Seven -Year Capital Improvement Program (CIP) beginning FY 2022-23 through FY 2028-29, as required by the Orange County Transportation Authority (OCTA) for Measure M2 eligibility. (Exhibit 5) 5. Deposit $9,506,967 (including $7,748,811 million from the General Fund) into the Section 115 Pension Trust Fund to implement Pension Debt Strategy. MINUTES: City Manager Kristine Ridge along with all the executive directors provided a brief presentation. Mayor Sarmiento opened the public hearing at 7:43 p.m. Rachel Pozos (Spanish speaker) spoke on the dangers that the transgender community faces and called for access to mental health support and affordable housing. Cynthia Espinoza (Spanish speaker) spoke on the work that Translatinx is doing in the community. Requested support from council to aid the transgender community. Delilah Snell spoke on how the OC Street Car project from the Orange County Transportation Authority is affecting the downtown community. Requested council to continue economically helping the downtown businesses. Irma Jauregui requested council to revisit our sales tax as it is affecting the sale of items in the city. Advocated for the expansion of the PAL program. Shawn Makhani advocated for continuous help for business owners. Victor Mendez spoke on the budget and allocating cannabis revenue towards youth services as well as reducing police overtime. Hector Bustos thanked Translatinx for their work in the community. Called for reoccurring funds to go into community based organizations and investing in police oversight. City Council 910 — 9 6/2/2022 Ana Padilla thanked council and emphasized the need for continued aid to the businesses affected by OC the street car construction under Orange County Transportation Authority. Maria Perez requested more economic help from council for businesses affected by the OC street car construction. Tim Rush called for funding of the 8 approved police officer positions as well as more code enforcement positions and the Library department. Guadalupe Barragan called for more funding for police officer training and more aid for downtown businesses. Alfredo Bolanos thanked council for the economic aid provided to downtown business. Requested more help from council for the businesses affected by the OC street car construction. Juliet Castro requested more economic aid from council for the businesses affected by the OC street car construction. Clerk of the Council, Daisy Gomez, reported out on correspondence received. Araceli Robles spoke on the importance of accessible mental health assistance for the city's youth and the requested council approve all funding aimed at assisting youth programs. Hilda Ortiz with Latino Health Access spoke on the importance of community -based organizations and the need to fund these programs with General Fund monies. Jairo Cortes with Chispa spoke in support of the police oversight and called for more funding for community -based organizations. Michelle Pulido called attention to available federal grants that the city can obtain due to the OC street car construction. Moises Vasquez encouraged council to adopt a budget that will support organizations that provide mental health programs as well as other programs. Called for more funding for the Work Center. Mayor Sarmiento closed the public hearing at 8:42 p.m. for members of the public who spoke during the June 7, 2022 public hearing, but the public hearing open to those who have not yet spoken. City Council 113D — 10 6/2/2022 Moved by Councilmember Penaloza, seconded by Mayor Pro Tern Bacerra to Adjourn item and continue to Wednesday, June 15, 2022. YES: 5 — Hernandez, Lopez, Penaloza, Bacerra, Sarmiento NO: 1 — Phan ABSTAIN: 0 ABSENT: 1 — Mendoza Status: 5-1 — 0 — 1 —Pass CITY MANAGER COMMENTS MINUTES: None. COUNCIL COMMENTS A131234 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. MINUTES: Councilmember Hernandez thanked his neighbors for participating in the Santiago Little League closing ceremony. Councilmember Lopez thanked everyone that participated in the local elections. Councilmember Phan reminded everyone about the drought that California is experiencing and emphasized the conservation of water. Councilmember Penaloza wished all the fathers a happy Father's Day. Mayor Pro Tem Bacerra announced that the park host is at Thornton Park. Highlighted his experience at his office hours last month. ADJOURNMENT — Adjourn the City Council meeting and convene to the Housing Authority meeting. City Council 1110 — 11 6/2/2022 MINUTES: Mayor Sarmiento recessed the Regular City Council meeting and convened to the Housing Authority meeting at 8:44 p.m. HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Vice Chair Chair City Manager City Attorney Clerk of the Council ROLL CALL Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza David Penaloza Thai Viet Phan Phil Bacerra Vicente Sarmiento Kristine Ridge Sonia R. Carvalho Daisy Gomez PUBLIC COMMENTS — Members of the public may address Housing Authority on items on the Housing Authority agenda. MINUTES: None. I CONSENT CALENDAR RECOMMENDED ACTION: Approve staff recommendations on the following Consent Calendar Items: 1 and 2. 1. Excused Absences Department(s): Clerk of the Council Office Recommended Action: Excuse the absent members. 2. Minutes from the Housing Authority Meeting of May 3, 2022 Department(s): Clerk of the Council Office Recommended Action: Approve minutes. (Please refer to agenda item #6 in the City Council agenda) Moved by Councilmember Penaloza, seconded by Councilmember Phan to Approve Consent Calendar items. City Council 10 — 12 6/2/2022 YES: 6 — Hernandez, Lopez, Penaloza, Phan, Bacerra, Sarmiento NO: 0 ABSTAIN: 0 ABSENT: 1 — Mendoza Status: 6-0-0— 1 — Pass **END OF CONSENT CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT — Adjourn the Housing Authority meeting. MINUTES: Chair Sarmiento adjourned the Housing Authority meeting and reconvened the City Council meeting at 8:45 p.m. Mayor Sarmiento adjourned the Regular City Council Meeting at 8:48 p.m. City Council 10 — 13 6/2/2022 brs 4/25/22 ORDINANCE NO. NS-XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 33 OF THE SANTA ANA MUNICIPAL CODE (STREETS, SIDEWALKS AND PUBLIC WORKS) BY ADDING ARTICLE XI RELATING TO CEREMONIAL STREET NAMING WHEREAS, the Santa Ana City Council desires to recognize individuals and philanthropic organizations that are of particular importance to the City of Santa Ana or have made significant contributions to improving the quality of life in the City by ceremonially naming sections of public streets in their honor; and WHEREAS, currently, there is no formal policy addressing guidelines for the content or placement of ceremonial street signs; and WHEREAS, a policy is needed to ensure consistency, proper neighborhood outreach, traffic safety, and appropriate sign content; and WHEREAS, this ordinance will amend the Santa Ana Municipal Code to authorize the City Council to confer ceremonial names on public streets and allow for the installation of appropriate signage, which shall be distinct from, and not change or replace, existing legal street names and signs, and recognized neighborhood association neighborhood street designations; and WHEREAS, for ease of administration, these regulations will comprise new Article XI of Chapter 33 of the Santa Ana Municipal Code (Streets, Sidewalks and Public Works); and WHEREAS, this ordinance is not intended to apply to the method by which the recognized neighborhood associations of the City currently place their neighborhood street designations. NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, DOES HEREBY ORDAIN AS FOLLOWS: Section 1. The recitals above are each incorporated by reference and adopted as findings by the City Council. Section 2. Article XI (Ceremonial Street Naming) is hereby added to Chapter 33 of the Santa Ana Municipal Code (Streets, Sidewalks and Public Works) to read in its entirety as follows. Ordinance No. NS-XXX City Council 11 — 1 8/2/fM1 of' brs 4/25/22 ARTICLE XI. - CEREMONIAL STREET NAMING Sec. 33-259. - Purpose. The purpose of this article is to commemorate the service, lives, and achievements of individuals, philanthropic groups of individuals, or a landmark event, affiliated with the City of Santa Ana where the individual(s) or event has had significant and clearly defined cultural, humanitarian or historic impact on the City by recognizing them with a ceremonial street name that does not cause any disruption of the existing legal street names and abutting uses. Nothing in this article shall pertain to the method by which recognized neighborhood associations place their neighborhood street designations. Sec. 33-260. - General provisions. (a) Only entire blocks of public streets or intersections may be granted ceremonial street names. (b) A ceremonial street naming application may only be initiated by: (1) A resident or owner of a property abutting the street; or (2) Neighborhood or community groups; or (3) A current City Councilmember. (c) Candidates for ceremonial street names shall be limited to the name of an individual, philanthropic organization, significant event or landmark. (d) Ceremonial street names shall be in the form of a "Sign Topper," which is a sheet metal sign that is placed on top of the standard City street sign identification and shall adhere to the following specifications: (1) Ceremonial street naming cannot contain a product name or be used for a commercial purpose. (2) Ceremonial street naming must be a name of an individual, philanthropic organization, landmarks or an event. (3) A ceremonial street Sign Topper must include the word "Honorary." (4) No more than one ceremonial Sign Topper per street block. (5) Only one Sign Topper may be placed on any pole. (6) Sign Toppers shall not be attached to traffic signal mast arms. Ordinance No. NS-XXX City Council 11 —2 8/2/fn0 2 of 7 brs 4/25/22 (7) Ceremonial names shall not duplicate any currently existing official street names. (8) Up to five (5) Sign Toppers may be located at any one intersection, coincident with existing street name signs. (9) Sign Toppers may not be attached to traffic signal poles. (10) No one candidate may receive City Council approval for a Sign Topper recognition on more than one street or intersection. Sec. 33-261. - Criteria for Ceremonial Street Naming. (a) Candidates for ceremonial street names must exhibit a minimum of 10 years of community involvement or demonstrated an extraordinary, consistent and voluntary commitment to the community, or have had contributed significantly to the City of Santa Ana. Significant historic events or City of Santa Ana landmarks may also be considered if supported by significant and clearly defined cultural, humanitarian, or historical impact to the City. (b) An Individual to be honored must have been dead for at least two years prior to the date of application. (c) Candidates, who have already been honored on one street, whether ceremonial or official, may not be honored on another street. (d) Ceremonial street names cannot be an ideology or a commercial interest. Sec. 33-262. - Application Process. (a) Application. An application for a ceremonial street naming must be filed with the Public Works Agency on an application form furnished by the Agency. The application must include all of the following- (1) A statement addressing the criteria for ceremonial street naming set forth in this article. (2) A map showing the proposed location of the entire street block(s) receiving the ceremonial street name. No fractions of a street block may receive the ceremonial street name. (3) If a ceremonial name is proposed for an intersection, a map showing the proposed intersection. No more than five (5) locations at an intersection may receive the ceremonial name. Ordinance No. NS-XXX City Council 11 — 3 8/2/fM' of 7 brs 4/25/22 (4) Documentation indicating that two-thirds of the residents or owners of the lots abutting the street or intersection are in support of the ceremonial street name. A. For the purposes of this section, only one (1) adult signature per address, either owner or renter, will be counted. B. Documentation shall be within 60 days from the date of the application. C. Documentation shall be submitted on a form provided by the Director of Public Works. (b) Notice of Application. Within ten (10) calendar days of acceptance by the City of the ceremonial street application, the applicant must provide written notice to the legal owners of the property abutting the proposed ceremonial street or intersection by depositing the notice, properly addressed and postage paid in the United States mail to such owners. (1) The written notice shall include the following: A. The proposed name of the street or intersection; and B. The location of the proposed street or intersection. (2) The City shall provide the addresses of the owners of record of the properties abutting the proposed ceremonial street block(s) or intersection. (3) Applicant will be responsible for paying postage and mailing such notices using the United States mail system. (c) Fees. The following fees are required for a ceremonial street naming. (1) An application fee, as established by resolution of the City Council, must be paid at the time the application is submitted. (2) If approved by the City Council, fei and installation fees, as established be paid prior to sign installation. s for sign production, hardware costs by resolution of the City Council, must (d) Public Hearing. The City Council shall consider the application based on the testimony presented at a public hearing and a determination that the application meets the ceremonial street naming criteria standards. (1) If a written protest against the ceremonial street naming has been signed by the residents or owners of twenty percent (20%) of all lots abutting the Ordinance No. NS-XXX City Council 11 — 4 8/2/fn0 4 of 7 brs 4/25/22 street, then a favorable vote of three -fourths of all City Councilmembers is required. (2) Otherwise, a ceremonial street application may be approved by a majority vote of City Councilmembers. (e) Waiver. If application is initiated by a current City Councilmember, the requirements of subsections (a) through (c) may be waived by a majority vote of the City Council. (f) Resolution. Approval of the ceremonial street naming shall be made by City Council resolution. Sec. 33-263. - Effective date of ceremonial street name and end date. (a) The ceremonial street name shall end ten (10) years after the date of the resolution approving the ceremonial street name, provided that the City Council at its sole discretion may select a longer or indefinite period. (b) An applicant may re -apply for the ceremonial street name by the same process detailed in this article. Sec. 33-264. - Installation and replacement. (a) Installation. The Director of the Public Works Agency, or his or her designee, is responsible for the fabrication and installation of the ceremonial Sign Toppers. (b) Replacement and Removal. Any ceremonial Sign Topper that has become torn, damaged, defaced, or destroyed shall be repaired, replaced, or removed by the City at the sole cost of applicant following written notice to applicant. Sec. 33-265. - Authority of the Director. The Director of Public Works is authorized to establish rules and procedures and to produce signs, forms and other materials necessary or appropriate to implement the provisions of this article. Section 4. 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. 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 Ordinance No. NS-XXX City Council 11 — 5 8/2/fn0 5 of 7 brs 4/25/22 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 , 2022. Vicente Sarmiento Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Edon Salvatierra Deputy City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Ordinance No. NS-XXX City Council 11 — 6 8/2/fM' of 7 brs 4/25/22 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby attest to and Ordinance No. NS- to be the original ordinance Council of the City of Santa Ana on , and tha Date: Clerk of the Council City of Santa Ana t Ordinance No. NS-XXX City Council 11 — 7 8/2/fn0 7 of ORDINANCE NO. NS-XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING ARTICLE I OF CHAPTER 10 OF THE SANTA ANA MUNICIPAL CODE TO REQUIRE SIGNS AT COMMERCIAL CENTERS PROVIDING INFORMATION ABOUT PROPERTY MAINTENANCE TO THE PUBLIC WHEREAS, throughout the City of Santa Ana, commercial centers display varying degrees of upkeep; and WHEREAS, the disparate maintenance of commercial centers has led to a decline in the overall appearance of the City to the dismay of its residents and an increase in calls to Santa Ana Code Enforcement and the Santa Ana Police Department regarding the condition of commercial centers; and WHEREAS, the City hopes to expedite the process of remedying ill -maintained commercial centers by furnishing the public with an avenue of direct communication with the property management regarding the condition of the property; and WHEREAS, the City now seeks to take robust action to preserve its beauty and code enforcement resources by requiring commercial centers to place signage at all ingresses and egresses indicating the name and phone number of a person responsible for fielding comments, complaints, and concerns from the public regarding the general upkeep and condition of the commercial center; and WHEREAS, the City Council of the City of Santa Ana discussed this subject on April 19, 2022, and directed staff to prepare an ordinance to this effect. NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIORNIA, DOES HEREBY ORDAIN AS FOLLOWS: Section 1. The recitals above are each incorporated by reference and adopted as findings by the City Council. Section 2. Section 10-96 of Article I (In General) of Chapter 10 of the Santa Ana Municipal Code (Crimes and Miscellaneous Law Enforcement Provisions) is hereby amended to read in its entirety as follows: Sec. 10-96. - Loitering, obstructing passage; signs; requirements for commercial centers. (a) Public property. No person, after first being warned by a law enforcement officer, shall loiter, stand, sit or lie in or upon any public street, sidewalk, curb, crosswalk, walkway area or mall so as to hinder or obstruct the free passage of pedestrians or City Council 12 — 1 OrdirooW_RJ022-xxx Page 1 of 4 vehicles thereon; nor shall any person block, obstruct or prevent the free access to the entrance of any building open to the public. (b) Private property open to the public. No person, after first being warned by a law enforcement officer, or where a sign or signs have been posted in accordance with this section, shall loiter, stand, sit or lie in or upon any portion of private property utilized for public use, so as to hinder or obstruct the free passage of pedestrians or vehicles thereon; nor shall any person block, obstruct or prevent the free access to the entrance of any building open to the public. (c) Signs posted as provided in subsection (b) of this section shall conform to the following requirements: (1) Each sign shall not be less than twenty-two (22) inches by thirty (30) inches; (2) Sign colors and materials shall contribute to the sign's legibility, and sign materials shall be compatible with and complement the overall design of the private property; (3) All signs shall be clearly visible to persons in restricted locations; (4) Signs shall have the word "WARNING" not less than two (2) inches in height, and all other lettering shall be at least five -eighths (%) inches in height; (5) Signs shall be posted every one hundred (100) feet; and (6) The following wording shall appear on each sign: "WARNING" "Unreasonable obstruction of pedestrian traffic in this area by persons loitering, standing, sitting, or lying is prohibited and punishable as a misdemeanor." "SAMC Section 10-96" (d) Signage requirement for commercial centers. Every commercial center shall have signs posted at each entrance and exit on the property providing the name and 24-hour contact phone number of a representative of the property management company for the center, or if no property management company, then the name and 24-hour contact phone number of the property owner or the person responsible for the maintenance of the property, to whom the City and the members of the public can provide notice of any operational or maintenance -related problems associated with the premises. Each commercial center owner shall make reasonable and good faith efforts to encourage the public to call this representative to resolve any operational or maintenance -related problems before any calls or complaints are made to the City or law enforcement regarding the same. It shall be unlawful for any responsible person, as defined in section 1-21.1(a) of this Code, or any other person having responsibility over the operation of a commercial center to fail to comply with the requirements of this subsection (d). (e) Commercial center, as used in this section, is a commercial or industrial complex containing a variety of one or more retail stores, restaurants, and other City Council 12 — 2 Ordir8OLW_J()M-XXX Page 2 of 4 businesses providing goods and/or services to the public, housed in a series of connected and/or adjacent buildings and structures within an integrated campus that shares common areas and parking facilities, and which fronts onto one or more roadways. (f) Signs posted as provided in subsection (d) of this section shall conform to the following requirements: (1) Each sign shall not be less than eighteen (18) inches x twenty-four (24) inches;(2) Sign colors and materials shall contribute to the sign's legibility, and sign materials shall be compatible with and complement the overall design of the commercial center;(3) Signs shall be of a font that is legible from a distance of forty-five (45) feet; and(4)The following wording shall appear on each sign: "This property is managed by (name). To report any problems or concerns regarding this property, call (name and 24-hour contact phone number.)" "SAMC Section 10-96" Section 3. 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. Section 4. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. Section 5. This Ordinance shall become effective thirty (30) days after its adoption. Section 6. 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 12022. Vicente Sarmiento Mayor City Council 12 — 3 OrdirooW_RJ022-XXX Page 3 of 4 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney John M. Funk 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 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 12 — 4 Ordir&2/2022-xxx Page 4 of 4 Public Works Agency www.santa-ana.org/pw Item # 13 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 2, 2022 TOPIC: Safe Mobility Santa Ana Planning and Engineering Services AGENDA TITLE Approve an Agreement with KTUA for Traffic Planning and Engineering Services for the Safe Mobility Santa Ana Plan Update in the Amount of $180,000 for a up to a Five-year Term (Non -General Fund) RECOMMENDED ACTION Authorize the City Manager to execute an agreement with KTUA, for transportation/traffic planning and engineering services for the Safe Mobility Santa Ana (SMSA) plan update, for a three-year period beginning August 2, 2022, and ending on August 1, 2025, with the option to extend for up to a two-year period, in a total aggregate amount not to exceed $180,000, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION On August 30, 2021, the Public Works Agency issued a Request for Proposal (RFP) for contractors to provide transportation/traffic planning and engineering services to update the existing Safe Mobility Santa Ana (SMSA) plan (Exhibit 1). The goal of the SMSA update is to reevaluate citywide traffic safety, identify new areas of concern, contributing factors and patterns, recommend and prioritize improvements, and analyze traffic collisions of pedestrians and bicyclists, to reduce the number of persons killed or injured in collisions. The RFP was advertised on the City's online bid management and publication system, with bids due on September 20, 2021. Six proposals were received and evaluated by a three -member panel of Public Works Agency Staff selection. The scores were based on criteria as outlined in the RFP. Listed below are the responding contractors and their ranking: Rank Firm Average Score Location 1 KTUA 95 San Diego 2 NN Engineering, Inc. 92 San Francisco 3 Toole Design 91 Los Angeles 4 IBI Group 87 Irvine City Council 13 — 1 8/2/2022 Safe Mobility Santa Ana Planning and Engineering Services August 2, 2022 Page 2 Rank Firm Avera a Score Location 5 Koa 84 Orange 6 TJKM Transportation Consultants 84 Pleasanton In accordance with the RFP, staff recommends awarding the contract to KTUA in an amount not to exceed $180,000 for up to a five-year term. (Exhibit 2) The consultant has demonstrated a high technical competency and has experience performing similar services. The proposal contained a clear path toward achieving City goals and objectives as required by the RFP. KTUA has performed quality work on projects for the City in the past. KTUA successfully completed the Downtown Complete Streets Plan in January 2016 and the Central Santa Ana Complete Streets Plan in February 2019. These complete street plans are very similar to the report the consultant will develop under this agreement. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The total cost of the agreement is not to exceed $179,965 for the 3-year term of the agreement. Any remaining balances not expended at the end of the Fiscal Year will be carried forward into subsequent Fiscal Years for expenditure for continued transportation/traffic engineering services as shown below. Funds are budgeted and available for expenditures as shown below. Fiscal Accounting Unit- Fund Accounting Unit, Amount Year Account No. Description Account Description 14717611-66220 Federal Aid Pub. Svs-Street Safety 2021-22 (22-6994) Safety Projects, Improvements $147,000 Program Other Than Buildings 03217662-66220 Measure M Measure M2 Local 2021-22 (22 6994) Street Fairshare, Improvements $33,000 Construction Other Than Buildings Total $180,000 EXHIBIT(S) 1. RFP 21-082 Safe Mobility Santa Ana (SMSA) Update 2. Agreement - KTUA Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Kristine Ridge, City Manager City Council 13 — 2 8/2/2022 REQUEST FOR PROPOSALS (RFP) FOR SAFE MOBILITY SANTA ANA UPDATE RFP NO.: 21-082 y av�MCE c urrrr over oE� �/I 1 G I:MfN� T H E 0 L D E H C I T Y FOUNDED m6 CITY OF SANTA ANA Public Works Agency 20 Civic Center Plaza, M-43 Santa Ana, CA 92701 Mauricio Castaneda Project Manager (714) 647-5643 Office mcastaneda(a),santa-ana.org Approved for Release: KEY RFP DATES (Subject to change at discretion of City): Issue Date: Deadline for Requests for Information: Proposal Due Date: Anticipated Projected Award Date: Zdenek Kekula Principal Civil Engineer Public Works Agency Monday, August 30, 2021 Monday, September 13, 2021 Monday, September 20, 2021; 5:00 PM. Tuesday, December 7, 2021 City Council 13 — 3 8/2/2022 NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms for Construction Management and Inspection Services. Responses to this Request for Proposals (RFP) must be submitted electronically to the PlanetBids system no later than August 9, 2021 at 5:00 p.m. Proposals received after this date/time will not be considered. It is the responsibility of the proposer to ensure that any proposals submitted have sufficient time to be received by the City of Santa Ana prior to this proposal due date and time. Additionally, it is a requirement that hard copy proposals also be sent by courier service, mailed, or hand delivered in an enclosed sealed envelope and marked clearly with the following "SEALED PROPOSAL FOR SAFE MOBILITY SANTA ANA UPDATE RFP NO.21-082 IN THE CITY OF SANTA ANA DO NOT OPEN WITH REGULAR MAIL." City of Santa Ana Attn.: Mauricio Castaneda Public Works Agency; M-43 20 Civic Center Plaza; Ross Annex Santa Ana, CA 92701 For further instructions regarding hard copy submission of proposals, refer to PlanetBids. All notifications, requests for information, updates and addenda will be posted online on PlanetBids at hgps://www.planetbids.coM/portal/portal.cfm?CompanyID=20137. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive qualification. City Council 13 — 4 8/2/2022 i00:u2ifi TABLE OF CONTENTS I. INTRODUCTION / PROJECT DESCRIPTION 4 II. INSTRUCTIONS TO PROPOSERS 6 A. CITY RESPONSIBILITIES B. PROPOSER RESPONSIBILITIES C. REQUEST FOR INFORMATION OR CLARIFICATION D. ADDENDA E. LICENSES & PERMITS F. INSURANCE G. INFORMATION PACKET H. PRE -PROPOSAL MEETING I. CITY RIGHT TO REJECT J. BID PROTESTS III. SUBMITTAL REQUIREMENTS 8 A. GENERAL B. PROPOSAL CONTENTS 1. STATEMENT OF QUALIFICATIONS 2. SCOPE OF SERVICES AND SCHEDULE 3. FEE PROPOSAL 4. CERTIFICATIONS IV. PROPOSAL REVIEW (CONSULTANT SELECTION) 10 A. EVALUATION AND RATING B. SELECTION V. CONTRACT AWARD A. REQUEST FOR COUNCIL ACTION B. EXECUTION OF AGREEMENT VI. IMPLEMENTATION A. KICK-OFF MEETING B. NOTICE TO PROCEED VII. PUBLIC RECORDS 1I/IIWR>>01►111►:/ ATTACHMENT 1: SCOPE OF WORK ATTACHMENT 2: AGREEMENT ATTACHMENT 3: CERTIFICATION ATTACHMENT 4: TRAFFIC STATISTICS 10 10 11 City Council 13 — 5 8/2/2022 I. INTRODUCTION / PROJECT DESCRIPTION Nature of Work: The City of Santa Ana is seeking a traffic counting service company. A detailed Scope of Work is included in the Appendix of this RFP as Attachment 1. Number of Proposals and Signature: Five (5) hard copies are required to accompany an electronic submittal of the complete proposal package on PlanetBids. One of the hard copies shall be marked as "ORIGINAL" and be signed by a company official with the power to bind the company, and submitted to the City of Santa Ana. Please be explicit in identifying the appropriate person with legal authority to bind the company. The Statement of Qualifications shall be limited to a maximum of (10) double -sided pages (excluding front and back covers, section dividers and attachments such as resumes, forms). Font size shall be minimum 11-point Arial. Proposal exhibits shall be maximum I I" x 17". Proposal Evaluation and Rating_: The criteria for evaluating the SOQ submitted will take the following items into consideration: • Firm/Team Experience 30% • Understanding of Need 30% • Relevant Project Experience 20% • Schedule of Delivery 10% • References 10% The City has established a proposal review committee to evaluate proposers based on the response to this RFP, which includes adherence to outlined directions and format, and the City evaluation criteria set forth above. A final score will be calculated for each submitted proposal and used to rank the proposers. City Council 13 — 6 8/2/2022 Project Funding_: Funding sources for each project may vary and shall comply with the funding agency's requirements. Special conditions may apply. Refer to Attachment 1 (Scope of Work) in the Appendix of this RFP. Term of Contract Agreement: The City desires to enter into a contract with the top scoring firm for an initial three (3) year term with a City option for two (2) one (1) year extension period. This term is outlined in the Standard Consultant Agreement, as contained in the Appendix of this RFP as Attachment 2. City Council 13 — 7 8/2/2022 II. INSTRUCTIONS TO PROPOSERS A. CITY RESPONSIBILITIES The City will provide information in its possession relevant to preparation of required information in this RFP. The City will provide only the staff assistance and documentation specifically referred to herein. B. PROPOSER RESPONSIBILITIES Point of Contact: The selected proposer will assume responsibilities for all services in its proposal. The selected proposer shall identify a sole point of contact with the greatest knowledge concerning the required service operations and contractual matters, including payment of all charges resulting from the Agreement. Contact information such as email and phone number must be included into the proposal. Evidence of Financial Capacity: Proposer may be requested to submit its most recent audited financial statement, evidencing proposer's financial capacity to fully perform the required services, including provision of equipment and personnel expenses over a ninety (90) day period. If said financial statement does not reflect full ninety (90) day operational capacity, proposer may include a letter of credit as evidence of supplemental capacity. C. REQUEST FOR INFORMATION OR CLARIFICATION All questions or requested clarifications shall be made only in writing to the Q&A section located in PlanetBids no fewer than five (5) calendar days prior to the date and time set for opening of proposals. No verbal requests or responses will be accepted. Significant interpretations or clarifications will be addressed via addenda to this REP. 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 PlanetBids at https://www.planetbids.coM/portal/portal.cfm?CoMPMID=20137 as set forth in the Notice Inviting Proposals. Addenda shall become part of the agreement documents. E. LICENSES & PERMITS The selected proposer shall be required to obtain a City of Santa Ana Business license within ten (10) business days of selection and must provide a copy to the City's project manager or designee prior to commencing any work in Santa Ana. Additionally, Proposer will be responsible for obtaining any licenses/permits required by the Scope of Work. F. INSURANCE City Council 13 — 8 8/2/2022 The Selected Proposer shall provide the required evidence of insurance coverage as set forth in the Scope of Work within ten (10) business days after receipt of notice that the contract has been awarded. Failure to provide the required insurance certificates shall be cause for the annulment of the award and the forfeiture of the proposal guaranty. The City will provide the Selected Proposer with a "New Vendor Checklist", which outlines insurance requirements. G. PAYMENT INFORMATION PACKET The selected proposer shall return a completed payment information packet within ten (10) business days after the successful proposer has received notice that the contract has been awarded. H. PRE -PROPOSAL MEETING Should a pre -proposal meeting be scheduled, the date, time, and location is identified on the cover page of this RFP. The meeting will include discussion of the project scope and a question -and -answer session. It is highly recommended that the Proposer's key team members attend this meeting. Significant interpretations or clarifications will be addressed via addenda to this RFP, as described above in "Section D: Addenda." I. CITY RIGHT TO REJECT The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any contract will be awarded pursuant to this RFP or otherwise. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any minor inconsistency, informality or technical defect in the proposal. The City reserves the right to reject, replace, and approve any and all subcontractors. All subcontractor(s) shall be identified in response to this RFP. Subcontractors shall be the responsibility of the successful proposer and the City shall assume no liability of such subcontractors. J. BID PROTESTS Proposers with concerns or rebuttal of any staff determination of non -responsiveness or non- responsibility may submit, in writing within five (5) business days, to the Project Manager, any concerns regarding the RFP process or staff determination. Such writing shall be considered by the City Manager or her designated representative, and may be acted upon within five (5) business days. If no action is taken within such time, there shall be no change to the staff determination. The exercise by the Proposer of its right to submit written concerns shall be a condition precedent to seeking judicial review of any award of a contract hereunder. City Council 13 — 9 8/2/2022 III. SUBMITTAL REQUIREMENTS A. GENERAL 1. The number of Proposal Copies and signature is specified in: RFP SECTION I - INTRODUCTION / PROJECT DESCRIPTION 2. Deadline: Proposals are due to the City of Santa Ana at the date, time, and location specified in the Notice Inviting Proposals. B. PROPOSAL CONTENTS The proposal format and page limitation, if any, is specified in: RFP SECTION I - INTRODUCTION / PROJECT DESCRIPTION 1. STATEMENT OF QUALIFICATIONS a. Cover Letter: Proposals shall include a letter signed by a principal or authorized representative who can make legally binding commitments for the entity. b. Contract Agreement Statement: Proposal shall include a statement outlining your concurrence or concerns with any and all provisions contained in the Agreement attached herein as Attachment 2 in the Appendix. Firm and Team Experience: Proposal shall include a profile of the firm's experience. Include resumes of project team/sub-consultants that will be providing services which outline their technical and design experience. At a minimum, this should include the project manager/principal agent, associates in charge when project manager/principal agent is unavailable, key personnel, firm size, and an organization chart identifying only those who will perform work for the proposed project and the percentage of each individual's time devoted to this project. The project manager/principal agent shall be the primary contact person to represent your firm and will be the person to conduct the presentation, if invited for an interview. City Council 13 — 10 8/2/2022 d. Understanding of Need: Proposal shall include an outline which demonstrates the firm's understanding of the work. This outline should include anticipated approach, tasks necessary for successful completion, deliverables, and suggestions or special concerns that the City should be made aware of. Identify any assumptions and/or exclusions used in preparation of the scope of work and associated fee estimate. Relevant Project Experience: Proposal shall include a list of relevant projects, which your firm or personnel have completed within the last 5 years, including significant work with public agencies. Project information should include project description, project location, year completed, client name and contact information, and dame of consultant project managerl[LMIII[LM21. City of Santa Ana staff may conduct site visits at select projects. f. References: Proposals shall include a listing of relevant projects with references for three public entities with valid current emails for which Proposer has performed similar work within the past five (5) years. 2. SCOPE OF SERVICES AND SCHEDULE: Proposal shall include a Scope of Services and Schedule which details the work phases to be completed, the tasks to be accomplished, the deliverables to be provided, and the schedule / timeline to complete the project, based upon the requested Scope of Work detailed in Attachment 1 of this RFP. 3. FEE PROPOSAL: The fee proposal shall be submitted separate and concurrently with the technical proposal, both submitted electronically in PlanetBids and as a hard copy in a separately sealed envelope, clearly labeled as "Fee Proposal." This shall include the firm's Standard Hourly Fee Schedule, a table outlining the tasks and team hourly effort for each of the major tasks, and a Project Fee Schedule as outlined in the Scope of Work. The fee proposal will not be opened until the proposals have been evaluated by the proposal selection committee. The City will select the consultant based on qualifications, and then negotiate a contract price based on available funding. 4. CERTIFICATIONS: The following forms shall be signed and included as part of the proposal submittal package: City Council 13 — 11 8/2/2022 • Attachment 3-1: Non -Collusion Affidavit • Attachment 3-2: Non -Lobbying Certification • Attachment 3-3: Non -Discrimination Certification IV. PROPOSAL REVIEW (CONSULTANT SELECTION) A. EVALUATION AND RATING The criteria for evaluating the proposals are specified in: RFP SECTION I - INTRODUCTION / PROJECT DESCRIPTION. B. SELECTION The selection committee will be comprised of at least (3) City staff from multiple departments. The committee may interview the top ranking proposers. The City will recommend award of contracts to the proposers who will provide the best value to the City. The City reserves the right to begin negotiations and enter into a contract without interview or further discussions. V. CONTRACT AWARD A. REQUEST FOR COUNCIL ACTION Following evaluation and rating by the proposal review committee and acceptance from Funding agency following financial audit, the Project Manager will recommend award contracts to the three top-ranking proposers that will provide the best value to the City. B. EXECUTION OF AGREEMENT The Scope of Services, Schedule, and Fees submitted in the proposal will be the basis of any negotiation of final terms, which will lead to a completed agreement ready for execution based on the standard Agreement attached herein as Attachment 2 in the Appendix. VI. IMPLEMENTATION A. KICK-OFF MEETING A kick-off meeting will be held after award of contracts. Consultants and their team will meet with City of Santa Ana staff to conduct introductions, discuss scope of services, and implementation processes. B. NOTICE TO PROCEED Prior to issuance of a formal Notice to Proceed (NTP), Consultants shall provide all required bonds, insurance documents, and contents of the Information Packet for review and approval by the City. City Council 13 — 12 8/2/2022 For "On -Call" contracts, individual City Project Managers will request project/task specific proposals from Consultants on an as -needed basis. Proposals will then be evaluated by City staff and written NTPs will be issued accordingly per each task order. VII. PUBLIC RECORDS All data, documents and other products used, developed, or produced during response preparation of this RFP will become property of the City. All responses to this RFP shall become property of the City. Proposer information identified as proprietary information be maintained confidential, to the extent allowed under the California Public Records Act. Proposals will become public record after award of contract. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. City Council 13 — 13 8/2/2022 Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR SAFE MOBILITY SANTA ANA UPDATE RFP NO.: 21-082 INTRODUCTION The City of Santa Ana (City) has seen the number of cyclists and pedestrians injured or killed in traffic collisions remain unacceptably high for a number of years. The Santa Ana City Council and community are now calling for a change to the City's mobility priorities. The statistics tell the story: • Most densely populated City in Orange County (Ranking 4th Nationally) • 52% of Residents are under the age of 30 • 18% of Households are without a car • 14% of Residents use public transit • Santa Ana ranks 3rd out of the 13 highest population cities in California in injury/fatal traffic collisions o Pedestrian involved: 5/13 o Bicyclist involved: 3/13 Safe all-around Santa Ana mobility must be better balanced with regional mobility priorities! The response must be customized to address the specific needs and characteristics of Santa Ana. DESCRIPTION The City is issuing this Request for Proposals (RFP) for the Safe Mobility Santa Ana (SMSA) Update that involves evaluating citywide traffic safety. The SMSA Update will analyze traffic collisions, identify contributing factors or patterns, recommend improvements, develop cost estimates, and prioritization for improvements. PROJECT TASKS The Consultant shall provide all necessary services to perform the following tasks: Task 1: Project Management: The City shall be the lead agency for the SMSA Update, and the designated City Project Manager will coordinate project management through the Traffic Engineering Section of the Public Works Agency. However, because this Project will require multi -jurisdictional cooperation with other agencies, the Consultant shall show a demonstrated ability to interface and coordinate with multiple agencies. Other agencies will provide necessary input on project design including: • Public Works Agency • Planning & Building Agency • Santa Ana Police Department • OCTA • Caltrans • SAUSD The Consultant shall be expected to interface both locally with City staff and other affected agencies as necessary, as well as participating in discussions and presentations with the wider design team at peeft it;8[ gt milestones. In order to ensure a JipIlllprogression of the protg inception to final deliverable, the following activities should be anticipated once the Notice to Proceed (NTP) is authorized and as the Project progresses: • Project Kick-off Meeting • Weekly PDT Meetings • Up to Five Community/Stakeholder Meetings • Two City Council Meetings/Presentations • Project Schedule Management • Monthly Progress Reports • Monthly Cost Accounting • Quality Assurance / Quality Control Of particular importance is the monthly PDT Meetings. The consultant shall prepare, update, and provide staff with a punch list prior to the meeting. City staff will be participating and guiding the development of the SMSA Update throughout the process. Task 2: Data collection: Data collection will include, but not be limited to; traffic counts, collision data for the past five years, posted speed limit, 85% the speed limit, lane configurations, street classification, lane widths, traffic citations, street lighting, trees, transit stops, transit boarding/alighting, street crossings, and adjacent land uses. Task 3: Community Survey: A community survey to assess safety concerns shall be conducted to assist in determining the prioritization criteria in later tasks. Task 4: Analysis: The analysis will consist of a thorough review and study of the data collected particularly the citywide collisions within the past five -years (20,000+). Special focus will be placed on all pedestrian and bicycle involved collisions. The analysis will review collisions to identify correctable collision patterns. The review will include, but not be limited to; time of day, day of the week, night time, age of parties, year by year trends, primary collision factors, type of collisions, severity of injury, and fatalities. Review of actual collision reports for the past five -years will be required. Task 5: Location Prioritization and Field Review: Conduct a safety evaluation and field reviews for street segments and intersections that present the highest risk to vulnerable roadways users (bicyclists and pedestrians). A prioritization of risk factors shall be established as part of this Task and may include collision patterns, severity of injuries, and proximity to school, parks, or other pedestrian/bicycle generating uses. The field reviews shall be conducted while school is in session. Task 6: Recommended Countermeasures: Based on the data collection, field review and collision analysis; street improvements/counter-measures shall be proposed to mitigate potential future collisions, including multiple alternatives where appropriate. The alternative street improvement options may vary in cost or ease of implementation. Countermeasures shall include engineering, enforcement, and education activities. All options will be considered. This project will encourage use of innovative and creative street improvement options. Task 7: Consistency Review: All proposed countermeasures shall be reviewed for consistency with local, regional, and state policies, regulations, and guidelines. Potential countermeasures shall not be ruled out due to inconsistency, however inconsistencies shall be identified and recommendations to allow implementation offered. These recommendations may include, but not be limited to; engineering City Council 13 — 15 8/2/2022 surveys for speed limit reductions, reclassification of streets, or obtaining approval for pilot/study projects. Task 8: Cost Estimates: Cost estimates will be prepared for each street improvement option for each street segment and/or intersection. Task 9: Improvement Prioritization: A prioritization system to rank proposed countermeasures along street segments or intersections with the highest opportunity for collision reductions shall be developed. The prioritization system will establish criteria from the data collection, community survey, field review, and collision analysis. Criteria may include, but not be limited to; volumes of motor vehicles, volumes of pedestrians and bicyclists, speed of motor vehicles, number of collisions, collision patterns, severity of injuries, ease of implementation, cost, and proximity to specific land -uses. Task 10: Coordination of Multiple Protects: In addition to this project, the consultant must be in coordination with the Sustainable Communities Program — Active Transportation & Safety SCAG project and required coordination of the abovementioned project by the consultant awarded the contract to perform the work of each respective project shall be required to ensure the efficient and effective implementation of the proposed projects in a safe and timely manner. Consultants shall make every effort necessary to avoid any delays on each of the project schedules. Consultants shall notify the Engineer as soon as any potential delay on any portion of contract work is known or identified. Consultants shall work together in a good faith effort to ensure projects are delivered in an efficient, effective, safe, and timely manner. Task 11: Final Plan Report: Final report shall include but not be limited to the following: i. Introduction ii. Relationship of this document to existing documents iii. Collision analysis iv. Toolbox of potential street improvements V. Recommended improvements vi. Cost estimates vii. Prioritization viii. Matrix of proposed countermeasures ix. Appendices (include all relevant data) SUMMARY OF PRODUCTS The required products, which are to be delivered to the Traffic Engineering section of the City of Santa Ana Public Works Agency, shall be as follows: 1. All data collection information for each street segment/intersection. 2. The draft SMSA Update report. (electronic) 3. The final SMSA Update report. (10 hard copies, one electronic) All written reports, information, data, charts, tables, maps, drawings, etc. in electronic format acceptable to the City of Santa Ana. SCHEDULE City Council 13 — 16 8/2/2022 This project is a high priority project for the City of Santa Ana Public Works Agency. As a result, the SMSA Update has a very aggressive schedule. 9 to 12 months from the date notice to proceed is issued, in coordination with the Sustainable Communities Program — Active Transportation & Safety SCAG project. Organizations submitting Proposals must show how they will meet this schedule including staff allocation, responsiveness, and quality control. SPECIAL REQUIREMENTS (ATTACHMENT 4) This project will 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 10-01: Consultant Proposal DBE Commitment • LAPM Exhibit 10-02: Consultant Contract DBE Commitment • LAPM Exhibit 10-K: Consultant Certification of Contract Costs and Financial Management System 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/ch l O.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 10-1— Notice to Proposers DBE Information included in the Appendix of this RFP. Proposers must submit Exhibits 10-01 & 10-02 — Consultant Proposal & Contract DBE Commitment to demonstrate compliance with Agency's DBE goal. CONSULTANT AUDIT AND REVIEW PROCESS: Prior to contract award and dependent on contract award amount, the selected Consultant shall be subject to an audit or review by Caltrans' Audit and Investigations (A&I), other state audit organizations, or the federal government. The selected Consultant 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 13 — 17 8/2/2022 i00:u2111111111111ili Appendix ATTACHMENT 2 STANDARD AGREEMENT CONSULTANT AGREEMENT CITY OF SANTA ANA CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR SAFE MOBILITY SANTA ANA UPDATE RFP NO.: 21-082 THIS AGREEMENT is made and entered into on this day of , 2022 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 Work - Exhibit 1, attached hereto and incorporated by reference. City Council 13 — 18 8/2/2022 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services under this Agreement, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement, shall not exceed $ during the term of this Agreement, including any extension periods exercised under Section 3. This sum is comprised of (1) the base amount of $ and (2) a contingency in the amount of $ for additional services at the City's sole discretion. b. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above for a with the option for the City to grant up to a renewals, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 16, below. 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. City Council 13 — 19 8/2/2022 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 the purposes intended by this Agreement shall be at City's sole risk. 7. 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. City Council 13 — 20 8/2/2022 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. 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 Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, 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 City Council 13 — 21 8/2/2022 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 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 City Council 13 — 22 8/2/2022 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. 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 City Council 13 — 23 8/2/2022 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. 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: City Council 13 — 24 8/2/2022 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 To Consultant: First & Last Name Title Consultant Firm Name Address City, State, Zip Fax: A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. City Council 13 — 25 8/2/2022 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: John Funk Assistant City Attorney RECOMMENDED FOR APPROVAL: Nabil Saba Executive Director Public Works Agency (name) (title) City Council 13 — 26 8/2/2022 EXHIBIT I SCOPE OF WORK City Council 13 — 27 8/2/2022 i00:u:1ifi EXHIBIT B COMPENSATION Fee Proposal including hourly rates if applicable City Council 13 — 28 8/2/2022 103:11:3111111111ii CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR SAFE MOBILITY SANTA ANA UPDATE REP NO.: 21-082 NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non -collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non -collusion Affidavit. BIDDERS are cautioned that making a false certification may subject the certifier to criminal prosecution. Signed State of California County of Subscribed and sworn to (or Affirmed) before me on this day of , 20, by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal City Council 13 — 29 8/2/2022 The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. 2. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities". This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly. Firm Signed and Printed Name: Title Date City Council 13 — 30 8/2/2022 The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: 1. The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Consultant's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Consultant may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 7. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted City Council 13 — 31 8/2/2022 IWA: I1-.11aI by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a sub -consultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: Title: Firm: Date: City Council 13 — 32 8/2/2022 Appendix ATTACHMENT 4 CALTRANS ATTACHMENTS Please see below City Council 13 — 33 8/2/2022 EXHIBIT 1 EXHIBIT 10-H1 COST PROPOSAL Page I of 3 COST -PLUS -FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS (DESIGN, ENGINEERING AND ENVIRONMENTAL STUDIES) Note: Mark-ups are Not Allowed ❑ Prime Consultant ❑ Subconsultant ❑ 2' Tier Subconsultant Consultant Project No. DIRECT LABOR Contract No. Date Classification/Title Name Hours Actual Hourly Rate Total $ 0.00 $ 0.00 $ 0.00 $ 0.00 LABOR COSTS a) Subtotal Direct Labor Costs $ 0.00 b) Anticipated Salary Increases (see page 2 for calculation) c) TOTAL DIRECT LABOR COSTS [(a) + (b)] INDIRECT COSTS d) Fringe Benefits (Rate: 0.00% ) e) Total Fringe Benefits [(c) x (d)] $ 0.00 f) Overhead (Rate: 0.00% ) g) Overhead [(c) x (f)] $ 0.00 h) General and Administrative (Rate: 0.00% ) i) Gen & Admin [(c) x (h)] $ 0.00 j) TOTAL INDIRECT COSTS [(e) + (g) + (i)] $ 0.00 $ 0.00 FIXED FEE k) TOTAL FIXED FEE [(c) + 0)] x fixed fee 0.00% ] $ 0.00 1) CONSULTANT'S OTHER DIRECT COSTS (ODC) — ITEMIZE (Add additional Daees if necessarv) Description of Item Quantity Unit Unit Cost Total Mileage Costs Eauipment Rental and Supplies Permit Fees Plan Sheets Test 1) TOTAL OTHER DIRECT COSTS , 0.00 m) SUBCONSULTANTS' COSTS (Add additional pages if necessary) Subconsultant 1: Subconsultant 2: Subconsultant 3: Subconsultant 4: m) TOTAL SUBCONSULTANTS' COSTS $ 0.00 n) TOTAL OTHER DIRECT COSTS INCLUDING SUBCONSULTANTS [(1)+(m)] % 0 00 TOTAL COST [(c) + 0) + (k) + (n)] $ 0.00 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. 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. 3. Anticipated salary increases calculation (page 2) must accompany. EXHIBIT 1 EXHIBIT 1 0-H1 COST PROPOSAL Page 2 of 3 COST -PLUS -FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS (CALCULATIONS FOR ANTICIPATED SALARY INCREASES) 1. Calculate Average Hourly Rate for 1st year of the contract (Direct Labor Subtotal divided by total hours) Direct Labor Total Hours per Avg 5 Year Subtotal per Cost Cost Proposal Hourly Contract Proposal Rate Duration $250,000.00 500 = $50.00 Year 1 Avg Hourly Rate 2. Calculate hourly rate for all years (Increase the Average Hourly Rate for a year by proposed escalation %) Avg Hourly Rate Proposed Escalation Year 1 $50.00 + 2% _ $51.00 Year 2 Avg Hourly Rate Year 2 $51 00 + 2% _ $52.02 Year 3 Avg Hourly Rate Year 3 $52.02 + 2% _ $53 06 Year 4 Avg Hourly Rate Year 4 $53.06 + 2% _ $54.12 Year 5 Avg Hourly Rate 3. Calculate estimated hours per year (Multiply estimate % each year by total hours) Estimated % Completed Total Hours per Cost Total Hours per Each Year Proposal Year Year 1 20.0% 5000 = 1000 Estimated Hours Year 1 Year 2 40.0% 5000 = 2000 Estimated Hours Year 2 Year 3 15.0% 5000 = 750 Estimated Hours Year 3 Year 4 15.0% 5000 = 750 Estimated Hours Year 4 Year 5 10.0% 5000 = 500 Estimated Hours Year 5 Total 100% Total = 5000 4. Calculate Total Costs including Escalation (Multiply Average Hourly Rate by the number of hours) Avg Hourly Rate Estimated hours Cost per (calculated above) (calculated above) Year Year 1 $50.00 1000 = $50,000.00 Estimated Hours Year 1 Year 2 $51.00 2000 = $102,000.00 Estimated Hours Year 2 Year 3 $52.02 750 = $39,015.00 Estimated Hours Year 3 Year4 $53.06 750 = $39,795.30 Estimated Hours Year 4 Year 5 $54.12 500 = $27,060.80 Estimated Hours Year 5 Total Direct Labor Cost with Escalation = $257,871.10 Direct Labor Subtotal before Escalation = $250,000.00 Estimated total of Direct Labor Salary = Transfer to Page 1 Increase $7,871.10 NOTES: 1 . This is not the onlyway to estimate salary increases. Other methodswill be accepted if they clearly indicate the % increase, the # of years of the contract, and a breakdown of the labor to be performed each year. 2. An estimation that is based on direct labor multiplied by salary increase % multiplied by the # of years is not acceptable. (i.e. $250,000 x 2% x 5 yrs = $25,000 is not an acceptable methodology) 3. This assumes that one year will be worked at the rate on the cost proposal before salary increases are granted. 4. Calculations for anticipated salary escalation must be provided. EXHIBIT 1 0-H1 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: 1. Generally Accepted Accounting Principles (GAAP) 2. Terms and conditions of the contract 3. Title 23 United States Code Section 112 - Letting of Contracts 4. 48 Code of Federal Regulations Part 31 - Contract Cost Principles and Procedures 5. 23 Code of Federal Regulations Part 172 - Procurement, Management, and Administration of Engineering and Design Related Service 6. 48 Code of Federal Regulations Part 9904 - Cost Accounting Standards Board (when applicable) All costs must be applied consistently and fairly 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 noncompliant with the federal and state requirements are not eligible for reimbursement. Local governments are responsible for applying only cognizant agency approved or Caltrans accepted Indirect Cost Rate(s). Prime Consultant or Subconsultant Certifying: Name: Signature : Email: Address: Title *: Date of Certification (mmlddlyyyy): 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 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 DrOVldlna unaertne DroDosea contract: EXHIBIT 1 EXHIBIT 10-H2 COST PROPOSAL Page 1 of SPECIFIC RATE OF COMPENSATION (USE FOR ON -CALL OR AS -NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) Note: Mark-ups are Not Allowed Consultant Project No. Contract No. For Combined Rate For Home Office Rate For Field Office Rate D Prime Consultant D Subconsultant D 211 Tier Subconsultant Participation Amount $ Date __ Fringe Benefit % + General &Administrative % = Combined ICR% OR Fringe Benefit % + General &Administrative % = Home Office ICR% inge Benefit % + General &Administrative % = Field Office ICR% BILLING INFORMATION Fee = CALCULATION INFORMATION Name/Job Title/Classification' Hourly Billing Rates2 Effective Date of Hourly Rate Actual or Avg. % or $ Hourly Range - Straight3 OT(1.5x) OT(2x) From To Hourly Rate Increase for Classifications Only John Doe - Project Manager " $0.00 $0.00 $0.00 01 /01 /2016 12/31 /2016 $0.00 Not Applicable Civil Engineer II $0.00 $0.00 $0.00 01 /01 /2017 12/31 /2017 $0.00 0.0% $0.00 $0.00 $0.00 01 /01 /2018 12/31 /2018 $0.00 0.0% Sue Jones - Construction $0.00 $0.00 $0.00 01 /01 /2016 12/31 /2016 $0.00 Not Applicable Engineer/Inspector $0.00 $0.00 $0.00 01 /01 /2017 12/31 /2017 $0.00 0.0% Engineer 1 $0.00 $0.00 $0.00 01 /01 /2018 12/31 /2018 $0.00 0.0% Buddy Black - Claims Engineer $0.00 $0.00 $0.00 01 /01 /2016 12/31 /2016 $0.00 Not Applicable Engineer 111 $0.00 $0.00 $0.00 01 /01 /2017 12/31 /2017 $0.00 0.0% $0.00 $0.00 $0.00 01 /01 /2018 12/31 /2018 $0.00 0.0% Land Surveyor " $0.00 $0.00 $0.00 01 /01 /2016 12/31 /2016 $0.00 $00 - $00 $0.00 $0.00 $0.00 01 /01 /2017 12/31 /2017 $0.00 0.0% $00 - $00 $0.00 $0.00 $0.00 01 /01 /2018 12/31 /2018 $0.00 0.0% $00 - $00 Technician $0.00 $0.00 $0.00 01 /01 /2016 12/31 /2016 $0.00 $00 - $00 $0.00 $0.00 $0.00 01 /01 /2017 12/31 /2017 $0.00 0.0% $00 - $00 $0.00 $0.00 1 $0.00 01 /01 /2018 1 12/31 /2018 1 $0.00 1 0.0% 1 $00 - $00 (Add pages as necessary) Gity Council 13-37 �2'12022 Page 4 of 9 January 2020 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 + I CR) " (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. Consultant EXHIBIT 10-H2 COST PROPOSAL Page 2of3 SPECIFIC RATE OF COMPENSATION (USE FOR ON -CALL OR AS -NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS) D Prime Consultant D 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 2 1 $ 10.00 Equipment Rental and Supplies 2 $ 20.00 Permit Fees 3 $ 30.00 Plan Sheets Test Vehicle $ 0.00 Su bconsu Itant 1: $ 100.00 Su bconsu Itant 2: $ 200.00 Su bconsu Itant 3: $ 300.00 Su bconsu Itant 4: $ 500.00 Su bconsu Itant 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. Goty Council 13 — 38 �2'1202 ) Page 5 of 9 January 2020 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 EXHIBIT 10-1-I2 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 fairly 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 noncompliant 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: Address: 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 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 providmq under the proposed contract: Note: Mark-ups are Not Allowed Consultant Project No. Unittitem of Work: EXHIBIT 1 0-H3 COST PROPOSAL Pagel of 2 COST PER UNIT OF WORK CONTRACTS (GEOTECHNICAL AND MATERIAL TESTING) El Prime Consultant El Subconsultant Contract No. D 2"d Tier Subconsultant Date (Example: Log of Test Boring for Soils Report, or ADL Testing for Hazardous Waste Material Study) Include as many Items as necessary. DIRECT LABOR Professional (Classification)* Sub-professional/Technical** EQUIPMENT 1 (with Operator) EQUIPMENT 2 (with Operator) Hours Billing Hourly Rate ($) Total ($) Consultant's Other Direct Costs (ODC) — Itemize: Description of Item Quantity Unit Unit Cost Total Mileage Costs 2 1 $ 10.00 Equipment Rental and Supplies 2 $ 20.00 Permit Fees 3 $ 30.00 Plan Sheets Test Subconsultant 1: $100.00 Subconsultant 2: $ 200.00 Subconsultant 3: $ 300.00 Subconsultant 4: $ 500.00 Subconsultant 5: Note: Attach additional pages if necessary. TOTAL COST PER UNIT OF WORK NOTES: 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. The cost proposal format shall not be amended. Hourly billing rates should include prevailing wage rates and be consistent with publicly advertised rates charged to all clients (Commercial, Private or Public). Mobilization/De-mobilization is based on site location and number and frequency of tests/items. ODC items shall be based on actual costs and supported by historical data and other documentation. ODC items that would be considered "tools of the trade" are not reimbursable. Billing Hourly Rates must be actual, allowable, and reasonable. EXHIBIT 1 U-H3 COST PROPOSAL Page 2 of 2 Certification of Direct Costs: I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposals) in this contract are actual, reasonable, allowable, and allocable to the contract in accordance with the contract terms and the following requirements: 13. Generally Accepted Accounting Principles (GAAP) 14. Terms and conditions of the contract 15. Title 23 United States Code Section 112 - Letting of Contracts 16.48 Code of Federal Regulations Part 31_ - Contract Cost Principles and Procedures 17. 23 Code of Federal Regulations Part 172 - Procurement, Management, and Administration of Engineering and Design Related Service 18. 48 Code of Federal Regulation Part 9904 - Cost Accounting Standards Board (when applicable) All costs must be applied consistently and fairly 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 noncompliant with the federal and state requirements are not eligible for reimbursement. Prime Consultant or Subconsultant Certifying: Name: Title*: Signature L Date of Certification (mm/dd/yyyy� Email: Address: 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 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 providinq under the proposed contract: 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 09.00% 1. TERMS AS USED IN THIS DOCUMENT • The term "Disadvantaged Business Enterprise" or "DBE" means a for -profit small business concern owned and controlled by a socially and economically disadvantaged person(s) as defined in Title 49, Code of Federal Regulations (CFR), Part 26.5. • The term "Agreement" also means "Contract." • Agency also means the local entity entering into this contract with the Contractor or Consultant. • The term "Small Business" or "SB" is as defined in 49 CFR 26.65. 2. AUTHORITY AND RESPONSIBILITY A. DBEs and other small businesses are strongly encouraged to participate in the performance of Contracts financed in whole or in part with federal funds (See 49 CFR 26, "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs"). The Consultant must ensure that DBEs and other small businesses have the opportunity to participate in the performance of the work that is the subject of this solicitation and should take all necessary and reasonable steps for this assurance. The proposer must not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts. B. Proposers are encouraged to use services offered by financial institutions owned and controlled by DBEs. 3. SUBMISSION OF DBE INFORMATION If there is a DBE goal on the contract, Exhibit 10-01 Consultant Proposal DBE Commitment must be included in the 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. 4. DBE PARTICIPATION GENERAL INFORMATION It is the proposer's responsibility to be fully informed regarding the requirements of 49 CFR, Part 26, and the Department's DBE program developed pursuant to the regulations. Particular attention is directed to the following: A. A DBE must be a small business firm defined pursuant to 13 CFR 121 and be certified through the California Unified Certification Program (CUCP). 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 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 ION: 11-.11aI 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 172.1l(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 City Council 13 — 45 8/2/2022March 2018 IWA: ii:1:aI 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 $ Engineering services that the consultant on all State and FAHP contracts for Architectural & 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 ❑ CPA ICR Audit ❑ Federal Gov't 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: Email**: Date of Certification (mm/dd/yyyy): 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-Kforms. Caltrans will not process local agency's invoices until a complete Exhibit 10-Kform 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 City Council 13 — 46 8/2/2022March 2018 Local Assistance Procedures Manual EXHIBIT 1 Exhibit 10-01 Consultant Proposal DBE Commitment EXHIBIT 10-01 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: z 7. Description of Work, Service, or Materials Supplied 8• DBE Certification Number 9. DBE Contact Information 10. DBE % Local Agency to Complete this Section 11. TOTAL CLAIMED DBE PARTICIPATION 17. Local Agency Contract Number: 18. Federal -Aid Project Number: 19. Proposed Contract Execution Date: 20. Consultant's Ranking after Evaluation: IMPORTANT: Identify all DBE firms being claimed for credit, Local Agency certifies that all DBE certifications are valid and information on this form is complete and accurate. 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 City Council 13 — 47 8/2/2022 Page 1 of January 2019 EXHIBIT 1 Local Assistance Procedures Manual Exhibit 10-01 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 City Council 13 — 48 8/2/2022 Page 2 of January 2019 Local Assistance Procedures Manual EXHIBIT 1 Exhibit 10-02 Consultant Contract DBE Commitment 1. Local Agency: 3. Project Description: 4. Project Location: 5. Consultant's Name: EXHIBIT 10-02 CONSULTANT CONTRACT DBE COMMITMENT 8. Total Dollar Amount for ALL Subconsultants: 2. Contract DBE Goal: 6. Prime Certified DBE: ❑ 7. Total Contract Award Amount: 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 KI-1 -'' 21. Federal -Aid Project Number: 22. Contract Execution nntP- 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. City Council 13 — 49 8/2/2022 Page 1 of July 23, 2015 EXHIBIT 1 Local Assistance Procedures Manual Exhibit 10-02 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. City Council 13 — 50 8/2/2022 Page 2 of July 23, 2015 AGREEMENT WITH KTU&A DBA KTUA TO PROVIDE SAFE MOBILITY ANALYSIS SERVICES THIS AGREEMENT is made and entered into this 2nd day of August 2022, by and between KTU&A dba KTUA, 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 30, 2021, the City issued Request for Proposal No. 21-082, by which it sought a qualified consultant to provide safe mobility analysis services for the City's Public Works Agency. B. Consultant submitted a responsive proposal that was selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work that was included in RFP 21-082. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional contracting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform the services described in the scope of work that was included in RFP No. 21-082, which is attached as Exhibit A and incorporated in full, and as further described in Consultant's Proposal, which is attached as Exhibit B and incorporated in full. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit C. The total amount to be expended under this Agreement shall not exceed One Hundred Seventy Nine Thousand, Nine Hundred Sixty -Five Dollars and Zero Cents ($179,965). b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. City Council 13 — 51 8/2/2022 Page 1 of 9 3. TERM This Agreement shall commence on the date first written above and terminate on August 1, 2025, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for up to a two (2) year period upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONSULTANT 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 the purposes intended by this Agreement shall be at City's sole risk. City Council 13 — 52 8/2/2022 Page 2 of 9 7. 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. 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 aggregatelimit 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 Consultant 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. Professional Liability: 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 $2,000,000 per claim with a $2,000,000 aggregate. 5. Broader Coverage: 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 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 connectionwith such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant's insurance (at least as broad as ISO Form CG 20 10 1185 or if notavailable, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 2037 if a later edition is used). City Council 13 — 53 8/2/2022 Page 3 of 9 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 0104 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 provide 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 that 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 -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. 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. 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 Consultant must purchase "extended reporting" coverage for a minimum of five (5) years after completion of work. 8. 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 requiredby this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing allpolicy endorsements to City before work begins. However, failure to City Council 13 — 54 8/2/2022 Page 4 of 9 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. 9. Subcontractors: Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Consultant shall ensure that City is an additional insured on insurance required from subcontractors. 10. Special Risks or Circumstances: City reserves the right to modify these requirements, including limits, based on the nature of therisk, 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 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 Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend, indemnify and hold harmless the City, its officers, agents, representatives, and employees against any and all liability, including costs, and attorney's fees, for infringement of any United States' letters patent, trademark, or copyright contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. City Council 13 — 55 8/2/2022 Page 5 of 9 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 information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) City Council 13 — 56 8/2/2022 Page 6 of 9 11411161901=00 Santa Ana, CA 92702-1988 Fax 714- 647-6956 Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 To Consultant: KTU&A dba KTUA 3916 Normal Street San Diego, CA 92103 Attn: Michael Singleton, President A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these timeframes, weekends, federal, state, County or City holidays shall be excluded. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant regarding the subject matter herein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services that are the subject to this Agreement performed by City personnel or by other contractors retained by City. City Council 13 — 57 8/2/2022 Page 7 of 9 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work that 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. 20. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, City Council 13 — 58 8/2/2022 Page 8 of 9 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. 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 Deputy City Attorney RECOMMENDED FOR APPROVAL Nabil Saba, PE Executive Director Public Works Agency CITY OF SANTA ANA Kristine Ridge City Manager KTU&A dba KTUA Mic el Singleton President City Council 13 — 59 8/2/2022 Page 9 of 9 Human Resources www.santa-ana.org/hr Item # 14 or City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 2, 2022 TOPIC: Approve Agreement with Sunrise Multispecialist Medical Center for Non - Industrial Medical Services AGENDA TITLE: Approve Agreement between the City of Santa Ana and William H. Nuesse M.D. and Mary Ann Nuesse, D.O, a California Medical Corporation, Doing Business as Sunrise Multispecialist Medical Center, for Non -Industrial Medical Services (Non -General Fund) RECOMMENDED ACTION Authorize the City Manager to execute an Aareement with William H. Nuesse M.D. and Mary Ann Nuesse, D.O, a California medical corporation, doing business as Sunrise Multispecialist Medical Center, to provide non -industrial medical services for a three-year term (June 7, 2022 through June 30, 2025) with the option of one 1-year extension, subject to non -substantive changes approved by the City Manager and City Attorney. The agreement shall not exceed $200,000 over the term of the Agreement. DISCUSSION The City currently utilizes Sunrise Multispecialist Medical Center ("Sunrise") to provide the City's non -industrial medical services including, but not limited to, COVID-19 and Department of Transportation (DOT) -mandated services, drug tests, respiratory fitness tests, vision testing, post -accident testing, pre -employment examinations, fitness for duty examinations, and similar medical services for employees or applicants (for City employment). In undertaking the performance of this Agreement, Sunrise represents that it remains knowledgeable in the field and that any services provided under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in this field. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. City Council 14 — 1 8/2/2022 Approve Agreement Medical Services August 2, 2022 Page 2 with Sunrise Multispecialist Medical Center for Non -Industrial FISCAL IMPACT Prior to utilizing the services, staff will ensure sufficient funds are available in the appropriate program budget and will track expenditures to ensure the City does not exceed the aggregate $200,000 maximum total. The following accounts will be utilized for this agreement. Accounting Unit -Account Accounting Unit — Account No. No. (Project Fund Description Description No.) 08209052- Workers Safety Program, Contract Srvcs-Professional 62300 Compensation Fund 08009052- Liability & Property Safety Program, Contract Srvcs-Professional 62300 Ins Fund 08009051- Liability & Property Liab. & Property Ins Fund, Contract Srvcs- 62300 Ins Fund Professional EXHIBIT(S) 1. Agreement For Consultant Services Between City Of Santa Ana And William H. Nuesse M.D. and Mary Ann Nuesse, D.O, a California medical corporation, doing business as Sunrise Multispecialist Medical Center 2. Sunrise Multispecialist Medical Center Price Sheet Submitted By: Jason Motsick, Executive Dir Human Resources Approved By: Kristine Ridge, City Manager City Council 14 — 2 8/2/2022 EXHIBIT 1 AGREEMENT FOR MEDICAL SERVICES AND TESTING THIS AGREEMENT is made and entered into this 7th day of June, 2022 by and between William H. Nuesse, M.D. and Mary Ann Nuesse, D.O., a California medical corporation, doing business as Sunrise Multispecialist Medical Center ("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. City desires to retain a consultant to provide non -industrial medical services including but not limited to Department of Transportation ("DOT") mandated services, drug tests, respiratory fitness tests, vision testing, post -accident testing, pre -employment examinations, fitness for duty examinations, COVID-19 testing and similar medical services for employees or applicants for employment. B. In undertaking the performance of this Agreement, Consultant represents that it employs a licensed medical doctor and 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 licensed professional. 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 A. Consultant shall perform medical services including examinations and testing for non -industrial medical services including but not limited to Department of Transportation ("DOT") mandated services, COVID-19 testing, post -accident testing, pre -employment examinations, fitness for duty examinations, and similar medical services for employees or applicants for employment. Each service request will be confirmed in writing between City's Human Resources Department and Consultant prior to Consultant providing services pursuant to this Agreement. Specifically, consultant's services will include: 1) For prospective and current City employees to perform the duties of the position for which they are being considered (pre -employment assessments), using pre -determined medical protocols for each job classification; such protocols may be modified by the physician, in consultation with the City's Executive Director of Human Resources, or his/her designee, as is necessary to make a determination as to suitability for employment; 2) For current City employees being considered for employment in Department of Transportation (DOT) and non -DOT positions requiring pre - placement or pre -assignment drug screens; 3) Fitness for Duty examinations (industrial and non -industrial), and provide reports and recommendations regarding the suitability of current employees City Council 1 14 — 3 8/2/2022 to continue to perform their duties; 4) Urine and breath specimen collection, laboratory analysis and Medical Review Officer (MRO) responsibilities; 5) Department of Motor Vehicles (DMV) Driver's License physical examinations; 6) DOT -mandated drug and alcohol testing of employees considered `safety sensitive' as defined under DOT regulations and City policy. Consultant shall ensure all such testing complies with DOT testing procedures as per 49 CFR, Part 40; such testing to include pre -employment and pre - assignment; and 7) COVID-19 testing. B. City shall be responsible for the organization, scheduling, and management of DOT and non -DOT "reasonable suspicion" drug and alcohol testing, and DOT "random" and "post -accident" drug and alcohol testing. Consultant shall facilitate evaluation of the results of said testing by qualified personnel, in accordance with the provisions of the Agreement and relevant laws and regulations. C. Consultant shall ensure that clinics used for DOT -related drug and alcohol testing maintain a current valid contract with a Substance Abuse and Mental Health Services Administration (SAMSHA)-certified laboratory. Consultant shall ensure turn -around time from specimen collection to obtained test results shall be a maximum of three (3) working days for a negative test, and a maximum of five (5) working days for a positive test. D. As part of the medical services review program, Consultant shall: 1) Analyze current job classification specifications and make recommendations for the City's use in the medical examination and drug testing process. 2) Provide training to Risk Management personnel in administration procedures of Consultant's medical services review process. 3) Communicate with City Risk Management staff regarding applicants' or employees' progress throughout the medical services review process. 4) Communicate directly with applicants and City Risk Management staff throughout the pre -employment or pre -assignment process in regard to results and medical conditions as ascertained through the medical or physical examinations. 5) Provide an electronic final report in a format established by City Risk Management staff at its sole discretion, outlining each candidate's pre- employment placement medical evaluation and results. 6) Provide quarterly electronic activity reports, in a format established by Risk Management in its sole discretion, on the nature and number of examinations conducted, including but not limited to results and final dispositions. 7) Provide a detailed quarterly explanation and summary of charges incurred. City Council 2 14 — 4 8/2/2022 8) Provide all quarterly and annual summaries as required under the DOT; 9) Provide consultation as needed to Risk Management staff regarding medical services provided and outlined in the Agreement. 10) Consultant solely shall review all pre-employment/pre-placement medical evaluation services and maintain records, pursuant to the Agreement, in accordance with State and Federal laws, or as otherwise reasonably required by the City, and to the fullest extent permitted by law. 11) Consultant agrees to permit duly authorized agents and employees of the City to review such records. 12) Consultant shall maintain all books, documents, papers, accounting records, and other evidence pertaining to the fees paid under this Agreement. Consultant will make materials available at their offices at reasonable times and notice, during the period of the Agreement and for three (3) years after date of final payment under the Agreement for inspection by the City or by any other governmental entity or Department participating in the funding of the Agreement, or any authorized agents thereof. 13) Consultant's documents shall not be used, duplicated, or disclosed to any other third party without written permission, unless such disclosure is required by law. Consultant shall not be required to create or maintain books and records not required in the ordinary course of Consultant's business operations, nor will the Consultant be required to disclose any information, including but not limited to product cost or pricing data, which Consultant considers confidential or proprietary. 14) Any Agreement changes, which are mutually agreed upon by and between the parties, shall be incorporated in written amendments to the Agreement. 15) If the circumstances on a particular hearing and/or court proceeding warrant the presence of a competent and knowledgeable representative of the Consultant, the City may request and contractor shall provide such representative, at the rates provided in Exhibit A and upon proper HIPAA release. 16) Maintain a network of qualified and trained medical providers and medical specialists for necessary exams; Orient City staff in the legal/medical/risk management and human resources aspects of Consultant services; 17) Communicate directly with applicants to obtain the confidential medical information that is needed for clearance for a particular job; 18) Manage all bill review functions for the medical exams performed by clinics; and, 19) Provide access for City staff to Consultant's tracking system. E. Depending on job classification, pre -employment and pre -assignment medical examination processes may include: job profile review; review of medical history; check vital signs; detailed vision exam, including check of near/far/peripheral vision, Ishihara 14 and primary color; audiogram (if classification has specific occupational noise exposure or critical hearing demands); chest x-ray; EKG or treadmill stress EKG; Spirometry; chem panel 20; CBC w/diff; dipstick UA, or UA w/Micro (to lab); venipuncture & collection. City Council 3 14-5 8/2/2022 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services the rates and charges identified in Exhibit A. The total annual amount authorized under this Agreement shall not exceed two hundred thousand dollars and zero cents ($200,000) during the term of this Agreement. b. Payment by City shall be made within forty-five of days (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work that fails to meet the standards of performance set forth in the Recitals, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date written above and terminate on June 30, 2025, unless terminated earlier in accordance with Section 15, below. 4. INDEPENDENT CONSULTANT Consultant shall, during the entire term of this Agreement, be construed to be an independent Consultant and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. INSURANCE Coverage shall be at least as broad as: Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including 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 generalaggregate 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), withlimit no less than City Council I 14 — 6 8/2/2022 $1,000,000 per accident for bodily injury and property damage. (Not required if Consultant has no automobiles) 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'sprofession, with limit no less than $2,000,000 per occurrence or claim, $2,000,000aggregate. If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. Other Insurance Provisions The insurance policies are to contain, or be endorsed to contain, the following provisions: AdditionalInsuredStatus 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). 6. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal City Council 5 14 — 7 8/2/2022 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 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. 7. 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. 8. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant 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. 10. 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. 11. BACKGROUND CHECK REQUIREMENTS Consultant shall not assign any employee, agent, subcontractors or volunteer to provide services pursuant to this Agreement, if that employee, agent, subcontractors or volunteer is City Council I 14 — 8 8/2/2022 required to register as a sex offender under California Penal Code Section 290 et seq, has a conviction for any crime of moral turpitude, has a conviction for a violent felony as defined in California Penal Code Section 667.5(c), or has a conviction for a serious felony as defined in California Penal Code Section 1192.7(c). Failure to comply with this Section shall be grounds for immediate termination of this Agreement. 12. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax 714- 647-6956 With Courtesy Copy to: Executive Director Human Resources Agency City of Santa Ana 20 Civic Center Plaza (M-34) P.O. Box 1988 Santa Ana, California 92702 To Consultant: William H. Nuesse, M.D. or Mary Ann Nuesse, D.O. Sunrise Multispecialist Medical Center 867 South Tustin Street Orange, California 92866 Fax:714-771-6918 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 City Council 7 14 — 9 8/2/2022 time frames, weekends, federal, state, County or City holidays shall be excluded. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant regarding the subject matter therein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services, which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 15. TERMINATION Except as otherwise specified herein, this Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed, as of such date, and in such case, such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes, as the City deems appropriate. b. Payment need not be made for work that fails to meet the standard of performance specified in the Recitals of this Agreement. 16. NONDISCRIMINATION 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, City Council 14 — 10 8/2/2022 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. 17. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 19. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature 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. The parties agree that this Agreement can be signed in counter parts and that electronic or fax signatures can be used in lieu of original wet signatures. d. Consultant will comply with all applicable federal state and local laws including the Health Insurance Portability and Accountability Act ("HIPAA"). [This section intentionally left blank] City Council ■ 14 — 11 8/2/2022 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Daisy Gomez Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: f cry Laura A. Rossini Chief Assistant City Attorney RECOMMENDED FOR APPROVAL: Jason Motsick Executive Director Human Resources Agency CITY OF SANTA ANA Kristine Ridge City Manager CONSULTANT: William H. Nuesse, M.D. William H. Nuesse, M.D. and Mary Ann Nuesse, D.O., a medical corporation Dba Sunrise Multispecialist Medical Center City Council 10 14 — 12 8/2/2022 EXHIBIT A RATES/CHARGES Physicals: Basic Employer Physical (includes UA dip, distance vision, basic color vision) $35.00 Annual Employer Physical (includes UA dip, distance vision, basic color vision) $35.00 Pre -Employment Physical (includes UA dip, distance vision, basic color vision) $35.00 Fit For Duty/Return to Work (MUST have copy of job description) $40.00 Commercial Driver Exams $55.00 Respiratory Fit Testing: Respiratory Evaluation (includes: Mask Fit Test, OSHA questionnaire review, PFT) $90.00 PFT $40.00 OSHA Questionnaire Review $25.00 Mask Fit Test $25.00 Drug Screens: Breath Alcohol Test $30.00 5 Panel Rapid $15.00 10 panel Rapid $20.00 9 Panel Non -Dot #1793N $25.00 10 Panel Non -Dot #6633N $30.00 DOT Drug Screen $25.00 MRO Interpretation of Positive Drug Screen $25.00 Drug Screen Collection Only (Not on Sunrise's lab account) $15.00 City Council 14 — 13 8/2/2022 11 Vision Testing: Ishihara Near Vision Jaeger Snellen & Basic Color Other Services: Audiograms Lift Test — Floor to Waist Lift Test — Waist to Chest EKG TB/PPD Skin Test Chest X-Ray (2 Views rule out TB) Lumbar X-Ray (4 Views) Jamar Grip Strength Vaccines: Tdap Hepatitis B Varicella MMR Flu Vaccine Titers: Hepatitis A #35604 Hepatitis B 98475 $10.00 $5.00 $5.00 $5.00 $15.00 $5.00 $5.00 $30.00 $28.00 $30.00 $50.00 $5.00 $95.00 $70.00 $202.00 $144.00 $30.00 $45.00 $45.00 City Council 12 14 — 14 8/2/2022 Hepatitis C #8472 $21.00 MMR #802, #8624, and #964 $85.00 Varicella $45.00 Common Labs: CBC with Diff #6399 $20.00 Lipid Panel #14852 $42.00 Comp Metabolic Panel #10231 $29.00 COVID-19: Rapid AntigenTesting $99.00 PCR $150.00 City Council 14 — 15 8/2/2022 13 William H. Nuesse, M.D. and Mary Ann Nuesse, D.O., a Medical Corporation dba Sunrise Multispecialist Medical Center Pricing as of May 10, 2022 Exhibit A City of Santa Ana Non -Industrial Medical Services Physicals: Basic Employer Physical (includes UA dip, distance vision, basic color vision) $35.00 Annual Employer Physical (includes UA dip, distance vision, basic color vision) $35.00 Pre -Employment Physical (includes UA dip, distance vision, basic color vision) $35.00 Fit For Duty/Return to Work (MUST have copy ofjob description) $40.00 Commercial Driver Exams $55.00 Respiratory Fit Testine: Respiratory Evaluation (includes: Mask Fit Test, OSHA questionnaire review, PFT) $90.00 PFT $40.00 OSHA Questionnaire Review $25.00 Mask Fit Test $25.00 Drug Screens• Breath Alcohol Test $30.00 5 Panel Rapid $15.00 10 panel Rapid $20.00 9 Panel Non -Dot #1793N $25.00 10 Panel Non -Dot #6633N $30.00 DOT Drug Screen $25.00 MRO Interpretation of Positive Drug Screen $25.00 Drug Screen Collection Only (Not on Sunrise's lab account) $15.00 Vision Testine: Ishihara $10.00 Near Vision $5.00 Jaeger $5.00 Snellen & Basic Color $5.00 Other Services: Audiograms $15.00 Lift Test — Floor to Waist $5.00 Lift Test — Waist to Chest $5.00 EKG $30.00 TB/PPD Skin Test $28.00 City Council 14 — 16 8/2/2022 Chest X-Ray (2 Views rule out TB) Lumbar X-Ray (4 Views) Jamar Grip Strength Vaccines: Tdap Hepatitis B Varicella MMR Flu Vaccine Titers: Hepatitis A #35604 Hepatitis B #8475 Hepatitis C #8472 MMR #802, #8624, and #964 Varicella Common Labs: CBC with Diff #6399 Lipid Panel #14852 Comp Metabolic Panel #10231 COVID-19: Rapid AntigenTesting PCR $30.00 $50.00 $5.00 $95.00 $70.00 $202.00 $144.00 $30.00 $45.00 $45.00 $21.00 $85.00 $45.00 $20.00 $42.00 $29.00 $99.00 $150.00 City Council 14 — 17 8/2/2022 Community Development Agency santa-ana.org/cd Item # 15 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 2, 2022 TOPIC: Resolution Declaring City -Owned Properties Exempt Surplus Land AGENDA TITLE: Adopt a Resolution Declaring City -Owned Properties as Exempt Surplus Land for the Purpose of a Real Property Exchange with the State of California RECOMMENDED ACTION Adopt a resolution declaring City -owned properties as exempt surplus land pursuant to California Government Code § 54220 et seq. for exchange of State of California real property for the City's use, and authorize the City Manager to execute any and all documents necessary to complete the exchange. DISCUSSION The City is the owner of five real property assets ("City Properties") that are vacant remnant parcels of land that were acquired for roadway improvements on North Grand Avenue. The improvements are now complete and the remnant parcels are no longer needed for City use. These properties include: Assessor's Parcel No. APN Address 398-385-03 1222 E 4th St., Santa Ana CA 92701 398-385-04 1225 E 4th St., Santa Ana CA 92701 398-385-05 1221 3rd St., Santa Ana CA 92701 398-453-05 1214 E 3rd St., Santa Ana CA 92701 398-453-06 202 N Grand Ave., Santa Ana CA 92701 On April 21, 2020, the City Council adopted a resolution declaring the City Properties as surplus and the City commenced with the disposition process pursuant to California Government Code section 54221, as they were no longer needed for City purposes. The disposition process was halted, as it was determined that the City Properties were better suited for an exchange of real property with State of California. The State owns an office building located in the Santa Ana Civic Center at 28 Civic Center Plaza, Santa Ana, CA 92701, APN 008-067-36 ("State Property"). The State Property is enclosed by City -owned property on all four sides, and an exchange of the State Property would be necessary for the City's potential future redevelopment of City Hall and the Civic Center. City Council 15 — 1 8/2/2022 Resolution Declaring City -owned Properties Exempt Surplus Land August 2, 2022 Page 2 Additionally, the State's Housing and Community Development Agency (HCD) would be able to use the exchanged City Properties for affordable housing purposes. HCD has requested that the City Properties be assembled into a single parcel. To aggregate these parcels across 3rd Street, a cul-de-sac is required. The City will complete consolidation of the City Properties into a single parcel prior to conveyance to the State. An exchange of the City Properties for the State Property is mutually beneficial to both agencies. Adopting this resolution declaring the Properties exempt surplus under California Government Code section 54221 (f)(1)(C) and (D), allows the City to further negotiate with the State for the real property exchange. CEQA The exchange of the City Properties is exempt from environmental review under the California Environmental Quality Act ("CEQA") pursuant to CEQA Guidelines section 15312 (Surplus Government Property Sales). However, if development were proposed on the City Properties and State Property, then that development would be reviewed under CEQA. FISCAL IMPACT There is no fiscal impact associated with this item. EXHIBIT(S) 1. Resolution 2. Location Map Submitted By: Steven Mendoza, Assistant City Manager Approved By: Kristine Ridge, City Manager City Council 15 — 2 8/2/2022 EXHIBIT 1 RESOLUTION NO. 2022-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA DECLARING VARIOUS CITY -OWNED PROPERTIES AS EXEMPT SURPLUS LAND PURSUANT TO THE SURPLUS LAND ACT, CALIFORNIA GOVERNMENT CODE SECTION 54220, ET SEQ., TO EXCHANGE FOR STATE OF CALIFORNIA REAL PROPERTY FOR THE CITY'S USE 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 (the "City") is the owner of five real property assets as described in Exhibit A attached herewith and incorporated herein by reference (collectively, the "City Properties"), that were acquired for roadway improvements on North Grand Avenue, which are now complete. B. The City Properties are vacant remnant parcels from full parcel acquisitions that were made following the City's environmental analysis that the project impacts could not be adequately mitigated if only partial acquisitions were made. C. The City Properties consist of: 1222 E. 4th St., Santa Ana, CA 92701 (APN 398-385-03); 1225 E. 4th St., Santa Ana, CA 92701 (APN 398- 385-04); 1221 E. 3rd St., Santa Ana, CA 92701 (APN 398-385-05); 1214 E. 3rd St., Santa Ana, CA 92701 (APN 398-453-05); and, 202 N. Grand Ave., Santa Ana, CA 92701 (APN 398-453-06). D. On April 21, 2020, the City adopted a resolution designating the City Properties, along with other properties, as surplus land pursuant to California Government Code section 54221 as they were no longer needed for City purposes. E. The disposition process was halted for the City Properties as the City determined that the City Properties were suited for an exchange of real property with the State of California (the "State"). Resolution No. 2022-XXX Page 1 of 5 City Council 15 — 3 8/2/2022 EXHIBIT 1 F. California Government Code section 54221(f)(1)(C) defines exempt surplus land to include surplus land that a local agency is exchanging for another property necessary for the agency's use. G. The State is the owner of an office building that the State claims as surplus real property, located in the Santa Ana Civic Center at 28 Civic Center Plaza, Santa Ana, CA 92701 (APN 008-067-36) ("State Property") H. The State Property is enclosed by City owned property on all four sides, and an exchange of the State Property is ideal and necessary for the City's redevelopment of City Hall. I. The State Housing and Community Development Agency ("HCD") is a public agency responsible for promoting safe, affordable homes and vibrant, inclusive, sustainable communities for all Californians, inclusive of increasing the supply of affordable places to live. J. HCD would be able to use the exchanged City Properties for affordable housing. K. HCD has requested that the City Properties be assembled into a single parcel. To connect these parcels across 3rd Street, a cul-de-sac is required. The City will complete consolidation of the City Properties into a single parcel prior to conveyance to the State. L. An exchange of the City Properties from the City to the State for the State Property is mutually beneficial to both agencies. M. The City intends to exchange the City Properties for the State Property for the City's use. N. The City now desires to declare the City Properties as exempt surplus land and authorize the exchange of the City Properties for the State Property. Section 2. The City Council hereby finds and declares the City Properties exempt surplus land pursuant to California Government Code section 54221(f)(1)(C), based on the true and correct written findings found in Section 1, incorporated herein by this reference. Section 3. The City Council hereby authorizes the City Manager to execute any and all documents necessary to complete the exchange of the City Properties for the State Property. Resolution No. 2022-XXX Page 2 of 5 City Council 15 — 4 8/2/2022 EXHIBIT 1 Section 4. The exchange of the City Properties is exempt from environmental review under the California Environmental Quality Act ("CEQA") pursuant to CEQA Guidelines section 15312 (Surplus Government Property Sales). However, if development was proposed on the City Properties by a subsequent owner, then that development would be reviewed under CEQA. 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 2022. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: _ 'I.- RyaO. Hodge Assis ant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT Councilmembers Councilmembers Councilmembers Councilmembers Vicente Sarmiento Mayor Resolution No. 2022-XXX Page 3 of 5 City Council 15 — 5 8/2/2022 EXHIBIT 1 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, , Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2022-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana Resolution No. 2022-XXX Page 4 of 5 City Council 15 — 6 8/2/2022 EXHIBIT 1 EXHIBIT A City of Santa Ana Exempt Surplus Properties For Exchange with State of California Parcel/ APN Address Size 398-385-03 1222 E. 4th St. C7 398-385-04 1225 E. 4thSt. 12,734 SF 398-385-05 1221 E. 3rd.St. 398-453-05 1214 E. 3rd St. C9 25,139 SF 398-453-06 202 N. Grand Ave. Resolution No. 2022-XXX Page 5 of 5 City Council 15 — 7 8/2/2022 EXHIBIT 2 Location Map E 4TH ST N [YQ 4 r r Oq W ^1 W pp a � l E 3RD 5T E 3RD ST I ~ p � N y L206r"' 0 Z E 2MD ST E 2ND ST f i E 1ST ST 398-385-03 1222 E 4th St., Santa Ana CA 92701 398-385-04 1225 E 4th St., Santa Ana CA 92701 398-385-05 1221 3rd St., Santa Ana CA 92701 398-453-05 1214 E 3rd St., Santa Ana CA 92701 398-453-06 206 N Grand Ave., Santa Ana CA 92701 x City Council 15 — 8 8/2/2022 City Manager Office www.santa-ana.org/city-managers-office Item # 16 or City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 2, 2022 TOPIC: Orange County Grand Jury's Investigative Report, Findings, and Recommendations Regarding "How is Orange County Addressing Homelessness" AGENDA TITLE: Orange County Grand Jury's Investigative Report, Findings, and Recommendations Regarding "How is Orange County Addressing Homelessness" RECOMMENDED ACTION Receive and file the Orange County Grand Jury's investigative report, findings, and recommendations regarding Orange County Homelessness and authorize the City Manager to deliver the City's response to the findings and recommendations to the Presiding Judge of the Superior Court. DISCUSSION On June 17, 2022, the Orange County Grand Jury (OCGJ) issued an investigative report with findings and recommendations regarding the regarding addressing Orange County's homelessness. The Orange County Grand Jury (OCGJ) studied the Continuum of Care Board and the Orange County Office of Care Coordination which administers contracts, monitors budgets and evaluates the result of the funded programs. Exhibit 1 is the complete OCGJ's report. As a result of the investigation, OCGJ issued six findings and six recommendations. The OCGJ is requesting that the City of Santa Ana respond to two findings and three recommendations. Exhibit 1 outlines the OCGJ findings, recommendations, and Exhibit 2 is the City's response. Upon authorization by the City Council, the responses in Exhibit 2 will be submitted to the Presiding Judge of the Superior Court. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. City Council 16 — 1 8/2/2022 Orange County Grand Jury Response Regarding Homelessness August 2, 2022 Page 2 EXHIBIT(S) 1. County of Orange Grand Jury Investigative Report, Findings and Recommendations regarding "how is Orange County Addressing Homelessness" 2. City Response to County of Orange Grand Jury Findings and Recommendations Regarding "How is Orange County Addressing Homelessness" Submitted By: Kristine Ridge, City Manager Approved By: Kristine Ridge, City Manager City Council 16 — 2 8/2/2022 How is Orange County Addressing Homelessness? GRAND JURY 2021-2022 City Council 16 — 3 8/2/2022 How is Orange County Addressing Homelessness? Table of Contents SUMMARY................................................................................................................................... 1 BACKGROUND........................................................................................................................... 1 REASON FOR THE STUDY...................................................................................................... 4 METHODOF STUDY................................................................................................................. 5 INVESTIGATION AND ANALYSIS......................................................................................... 5 Orange County Continuum of Care Collaboration................................................................. S Prioritizing Homeless Funding............................................................................................... 6 Continuum of Care Funding Oversight................................................................................... 7 Major Funding Sources Overseen by the CoC........................................................................ 8 CoC Process to Address Homelessness................................................................................... 8 OC System of Care Resources............................................................................................... 12 FINDINGS................................................................................................................................... 13 RECOMMENDATIONS............................................................................................................ 14 COMMENDATIONS................................................................................................................. 14 RESPONSES...............................................................................................................................15 REFERENCES............................................................................................................................ 20 GLOSSARY................................................................................................................................. 21 2021-2022 Orange County Grand Jury Page ii City Council 16 — 4 8/2/2022 How is Orange County Addressing Homelessness? SUMMARY Orange County's homeless population continues to be of great concern to residents. Seeing homeless individuals on the streets raises awareness of this persistent problem, but the elaborate efforts to address homelessness are less evident. Orange County's response to homelessness is a collaboration led by the independent Orange County Continuum of Care Board (CoC), which oversees the distribution of federal and state homeless funding. The CoC is supported by the Orange County Office of Care Coordination (OCC) which administers contracts, monitors budgets, and evaluates the results of the funded programs. The Orange County Grand Jury (OCGJ) studied the CoC to understand how the County is working to address homelessness. The collaborative efforts led by the CoC and OCC have resulted in progress in the fight against homelessness, including a system of care across multiple levels of government programs and community providers. It further established a coordinated entry system, a cooperative homeless information system, and consolidated applications for federal and state funds. Together, the members were responsible for a quick and effective response to the coronavirus disease (COVID) pandemic on the homeless, an increase in the number of shelter beds, a decrease in homeless encampments, more outreach and treatment alternatives, and new housing vouchers being available for permanent housing. This collaborative system of care developed by the CoC and OCC amounts to a great achievement. The graphs in this OCGJ report show the increased outreach, prevention efforts, shelter beds provided, and permanent housing made available that the CoC and OCC achieved. They also show the additional system of care resources provided by the County of Orange to prevent people from falling into homelessness. Unfortunately, from 2018 to 2021, exits from the CoC homeless system to permanent housing have hovered between 24 percent and 32 percent.' Orange County is addressing homelessness with elaborate systems even beyond the efforts of the CoC and OCC, but the reality of homelessness is that despite these programs our system has shortcomings and bottlenecks. This OCGJ found that: South Orange County needs an emergency shelter; homeless individuals suffering from mental illness and substance abuse need court - ordered treatment; Orange County does not have enough housing affordable to individuals exiting homeless shelters; and youth aging out of foster care do not have enough safe housing, resulting in many falling into homelessness. BACKGROUND There are numerous causes of homelessness. These causes range from poverty, unemployment, lack of affordable housing, and individual issues of mental and/or substance use disorders. Other risk factors include medical problems, physical disability, domestic violence, and youth aging out of the child-care system.2 The continuum of care concept was created by HUD in 1994 to promote communitywide commitment to the goal of ending homelessness. HUD provided funding to quickly rehouse ' 211 OC, Longitudinal Systems Analysis, FY 2018 through 2021, from HMIS data. 2 US Department of Health and Human Services, Substance Abuse and Mental Health Services Administration. 2021-2022 Orange County Grand Jury Page 1 City Council 16 — 5 8/2/2022 How is Orange County Addressing Homelessness? individuals and families, promote participation in programs for the homeless, and optimize self- sufficiency among those experiencing homelessness.3 HUD recommended the collaborative development of plans to end homelessness in all communities receiving HUD funding. In response, Orange County created the Commission to End Homelessness that published a Ten -Year Plan to End Homelessness in 2012.4 Over the ensuing decade, implementation of this model Ten -Year Plan was beyond the power of the Commission and major parts of the plan were not achieved. Meanwhile, in 2009, HUD outlined the process of building a collaborative CoC comprised of organizations and individuals dedicated to ending homelessness. The CoC was created in 2016 along with the OCC. HUD, the major fonder of homeless programs, gave the CoC responsibility for prioritizing the distribution of competitive federal homeless assistance program monies. The strategy of the CoC is to prioritize funding of programs that focus on four pillars: Prevention, Outreach, Shelter, and Housing. Mixed Success in Addressing Homelessness In Orange County, various approaches to manage homelessness have been tried with varying levels of success. • Moving the Homeless: When businesses and residents complained about homeless individuals, police were expected to relocate them. Pushing homeless individuals out of town sometimes resulted in simply shifting the problem to neighboring communities. Ordinances by Cities: Ordinances that criminalized camping on public property or loitering contributed to the incarceration of homeless individuals, including many suffering from mental illness and substance abuse issues. Orange County Sheriff Don Barnes commented, `By default, the Orange County Jail had become the de facto mental hospital of Orange County.... [in] 2018, Orange County jails had about 2,200 inmates with severe mental illnesses."5 Housing and Treatment: Recent approaches that emphasized housing only or treatment only fell short in substantially reducing homelessness. Local Opposition Prevented Shelter and Housing: In Orange County, early efforts to provide low -threshold emergency shelters to get individuals off the streets were met with local opposition in most communities, as were developments of housing affordable to individuals exiting shelters. The development of a Coordinated Entry System (CES)7 helped reduce the neighborhood impact of shelters. 3 HUD Office of Community Planning and Development, Continuum of Care 101, June 6, 2009. 4 Orange County Ten Year Plan to End Homelessness, 2012. 5 Nick Gerda, "OC Mental Health Jail Expansion Draws Pushback and Debate", Voice of OC, October 23, 2019. 6 A Low -Threshold Emergency Shelter offers an alternative to living on the streets. Individuals in these shelters must comply with the shelter rules but are not required to be drug and alcohol free. 7 Coordinated Entry System (CES) is a shared database between service providers that shuttles homeless individuals in and out of shelters eliminating walk-in and walk -out shelter access that caused community opposition. The CES is also a point of referral into permanent housing. 2021-2022 Orange County Grand Jury Page 2 City Council 16 — 6 8/2/2022 How is Orange County Addressing Homelessness? • Prevention Investments: Additional assistance for rent or utilities, as well as Section 8 housing vouchers, resulted in increased financial stability of individuals at danger of becoming homeless. • Outreach Expanded: More homeless individuals were reached through trust -building and outreach efforts resulting in increased numbers being sheltered. • Increased Shelter: Emergency shelter beds available to the homeless increased providing immediate help to more of the unhoused. • Permanent Housing Added: Some permanent housing opportunities increased through new HUD vouchers, as well as County of Orange Permanent Supportive Housing developments. Point in Time Count The HUD -mandated Point in Time Count (PIT)8 is a national effort to create a census of homeless individuals every two years. While this one -day initiative to contact and count the homeless is assumed to result in a significant undercount, it is a consistent approach which shows comparable data collected over time. The most recent PIT was conducted in 2022 and reported a decrease of 1,142 homeless individuals counted in Orange County. North and Central SPA cities sheltered 49% of their homeless while South SPA cities sheltered on 28% of their homeless according to the 2022 PIT.9 OC Homeless Point in Time Count 8000 7000 6000 5000 3961 4000 3 2584 3000 2000 1000 2208 2899 2661 0 2017 2019 2022 Sheltered Homeless I Unsheltered Homeless a Point in Time Count, Orange County Office of Care Coordination, May 2022 9 Ibid. 2021-2022 Orange County Grand Jury Page 3 City Council 16 — 7 8/2/2022 How is Orange County Addressing Homelessness? "John " was a homeless man who lived in Hart Park in the City of Orange for several years. He sought housing at the County `BRIDGES at Kraemer" shelter, where he stayed for seven months. He was an Army Veteran and during his time at BRIDGES, the staff worked with him to obtain identification and get his veteran benefits. Together they developed a housing plan and found a permanent home for him in Fountain Valley. He reported his joy when BRIDGES staff even gave him transportation to his new home where he now lives. Federal Court Intervenes and Regional Shelters Are Opened In response to a lawsuit against the County of Orange filed on behalf of the homeless individuals living in large encampments along the Santa Ana River and other public property, a federal District Court got involved in overseeing the County's actions to clear the encampments. On February 13, 2018, US District Court Judge David Carter ordered that "OC officials, cities and homeless advocates collaborate to find shelter for hundreds of people who have been living in the camps."10 Judge Carter issued a Temporary Restraining Order barring the arrest of those living along the Santa Ana River stating, "That order will stand until public officials can identify an alternative place to house those living along the river trail."" As a result of this litigation, on July 23, 2019, the District Court brokered a Settlement Agreement between the County of Orange and the advocates for the homeless.12 This agreement outlined the number of emergency shelter beds that must be developed in each Orange County Service Planning Area (SPA)13, before any homeless individuals could be removed from the encampments. This agreement was later adopted by North and Central SPA cities to avoid litigation and became a major impetus to opening low -threshold emergency shelters in the North and Central OC communities. South OC SPA cities did not sign the Settlement Agreement and no new low -threshold emergency shelters have subsequently been opened to meet the need of the South OC homeless identified in the OCGJ investigation. REASON FOR THE STUDY Homelessness continues to be one of the most frequently identified issues of concern to Orange County residents. 14 Previous Grand Juries examined efforts to address homelessness and made recommendations, many of which have been implemented.15 Yet concerns about homelessness persist in our communities. The purpose of this report is to discuss the effectiveness of the CoC and OCC in collaborating to address Orange County's homelessness through the services that are provided by the 37 contracts they authorize and oversee. The Grand Jury sought to evaluate the 10 Hannah Fry and Doug Smith, "Frustrated judge demands O.C. find shelter for homeless being evicted from camps", Los Angeles Times, February 14, 2018 11 Ibid. 12 "Federal Judge Approves Settlement of Homeless Lawsuits", City News Service, July 23, 2019. " Service Planning Area (SPA) is the division of Orange County cities into three regional areas North, Central, and South, for the purpose of facilitating regional collaboration in the provision of services to the homeless. 14 OC Annual Survey, Chapman University 2020. " OCGJ Report 2017-18. 2021-2022 Orange County Grand Jury Page 4 City Council 16 — 8 8/2/2022 How is Orange County Addressing Homelessness? amount of money is being spent, the outcomes achieved, and whether this investment of public dollars is making a difference. "James " abruptly found himself homeless and on the street at the age of 18 when his foster parents said they had completed their obligation to him. With few resources, he turned to friends who let him "couch surf", and then out of desperation, enlisted in the military. After his service, he returned to Orange County where found a friend to stay with and worked to get back on his feet. His lifelong struggles with homelessness coupled with excessive anger issues, addictions, and recovery from negative childhood experiences have required committing to radical personal change. Today in his early 50s, James has a job, and a mission to serve his community, teaching kids and helping the homeless with food, resources, and advice. METHOD OF STUDY • Reviewed CoC contracts, budgets, and performance evaluations. • Toured emergency shelters, food service providers, substance abuse and mental health treatment programs, and the Collaborative Courts. • Interviewed federal authorities, city managers, shelter providers, homeless outreach workers, law enforcement personnel, county staff responsible for shelter and affordable housing, mental health professionals, OC jail staff, and homeless individuals. • Reviewed documents including the Ten -Year Plan to End Homelessness, Continuum of Care Board minutes and reports, previous California Grand Jury reports, budgets, articles, and litigation. • Conducted internet research on homeless issues. INVESTIGATION AND ANALYSIS Orange County Continuum of Care Collaboration Since 1998, Orange County has developed a comprehensive regional continuum of care to address homelessness in Orange County. This collaboration covers Orange County's 34 cities and unincorporated areas. County departments and agencies, local governments, homeless, housing, supportive service providers, and community groups (including non -profits, faith -based organizations, interested business leaders, schools, individuals with lived experience, and many other stakeholders) joined as participants with the shared mission to address homelessness. The Orange County Continuum of Care Board (CoC), created in 2016, is the governing body for the continuum of care, whose goal is to oversee and implement this strategic collaboration as authorized by federal legislation.16 The CoC is comprised of diverse representatives of the collaborative participants. 16 Subtitle C of Title IV of the McKinney-Vento Homeless Assistance Act, (42 U.S.C.11381-11389). 2021-2022 Orange County Grand Jury Page 5 City Council 16 — 9 8/2/2022 How is Orange County Addressing Homelessness? The CoC vision is to develop a dignified and equitable system to permanently house those experiencing homelessness, on a collaborative and regional basis, to allocate funds to match the greatest needs. Prioritizing Homeless Funding The CoC Board is responsible for the distribution of federal, state, and local funding to address homelessness. These dollars are restricted for specific uses by the funding sources. The CoC prioritizes awarding contracts based on four strategic pillars, and the OCC administers, monitors, and evaluates the contracts. The four pillars are: 1. Prevention - short-term intervention to keep people in their homes, avoid eviction, and stabilize their housing. 2. Outreach - seeking, reaching out to, and engaging individuals as a first step towards ending their homelessness and providing services to develop self-sufficiency and independence. 3. Shelters- temporary residence providing protection from exposure and a safety net for the homeless. 4. Housing - including housing coupled with treatment and supportive services enables greater potential success of homeless individuals suffering from mental illness and substance abuse. OC CoC Annual Contracts by Pillar 2021 Prevention $910,062 Outreach Shelter Housing 11 Contract Inventory 2021, Orange County Office of Care Coordination. 2021-2022 Orange County Grand Jury City Council 16 — 10 Source: Office of Care Coordination.17 Page 6 8/2/2022 How is Orange County Addressing Homelessness? Continuum of Care Funding Oversight The CoC oversees 37 contracts that outline the terms and agreements as to what services must be provided, and which funding source is used (such as the County General Fund, or various state and federal grants). The source of funds dictates how the funds must be used. The CoC receives funding through various state and federal sources through a Notice of Funding Availability. The CoC issues a Request for Proposals to which qualified non -profits submit proposals. The CoC and the Commission to End Homelessness work together to establish funding priorities. The CoC selects which proposals to fund and sends them to the Board of Supervisors for legal approval. All contracts specify that audits may be required. Audits are based on performance and proper use of funds required by the funding source. The County can also request an audit at any time during the contract term. The OCC monitors the contracts through a monthly Expenditure and Revenue report. Along with this financial review, the County conducts yearly site visits for each contract. The on -site audit reviews all aspects of the contract obligations to ensure that the contractors are compliant with the specifications of the funding. Contractors who meet or exceed their requirements are typically renewed. Those who fail are given the opportunity to explain unexpected hurdles they faced, such as COVID issues or other unavoidable circumstances. After a full review, the CoC Board decides whether to renew or terminate a contract. OC Continuum of Care Funding Sources 2021 NOTE: This pie chart includes some grants awarded for multiple years. Source: Office of Care Coordination.18 18 Ibid. 2021-2022 Orange County Grand Jury Page 7 City Council 16 — 11 8/2/2022 How is Orange County Addressing Homelessness? Major Funding Sources Overseen by the CoC A variety of federal, state, and county restrictive grants with specific uses required make up the funding that the CoC allocates.19 CoC Process to Address Homelessness OCGJ sought to evaluate the effectiveness of the CoC contracts under each pillar using the data from the Homeless Management Information System (HMIS) which is the shared database of all homeless services providers required by HUD for CoC's and maintained by the non-profit 211 OC. 1. Prevention - CoC investments in homeless prevention, include rental and utility assistance, as well as housing vouchers, and are measured as "increased income" in the graph below. The CoC system does not represent the only County of Orange expenditures to prevent homelessness. The County allocates significant amounts of funding to prevent individuals and families from becoming homeless as outlined later in this report. Prevention Performance 10000 9000 8000 7000 6000 5000 4000 3000 2000 i000 831 723 2021 o Client Contacts E Increased Income 19 Grant sources include: American Recovery Plan Act (ARPA)*, Business, Consumer and Housing Agency, COVID 19 Tenant Relief Act (BOSH)*, California Emergency Solution Housing (CESH), Consolidated Appropriations Act for Rental Assistance (CAA), Coronavirus Aid, Relief and Economic Security Act (CARES)*, Federal Continuum of Care fund (CoC), Homeless Emergency Aid Program (HEAP), Homeless Housing Assistance Prevention (HHAP), HUD Emergency Shelter Grant program (ESG), HUD Housing Community Development (HCD), Orange County General Fund (GF). * COVID Related Funding. 2021-2022 Orange County Grand Jury Page 8 City Council 16 — 12 8/2/2022 How is Orange County Addressing Homelessness? A homeless man hanging out at a volunteer organization that provides food and assistance to the homeless described his experience in Orange. He stated that because he did not have a home, he was constantly stopped and harassed by the police, both physically and mentally. He believed that the Be Well Center was just a trick to get people off the streets. They would 5150 (72-hour mental health hold) everyone referred to their program and no one ever saw them again. 2. Outreach — Outreach efforts of CoC non-profit contractors resulted in successful exits from homelessness to shelter increasing about 33 percent from 2,245 in 2019 to 2,994 in 2021. In that period, outreach efforts by non -profits seeking to build trust with homeless individuals resulted in the doubling of client contacts, to over 10,000 a year. Increasing client contacts, building trust, and successful entrance into shelter are measures of successful outreach programs. Some people believe that chronically homeless individuals do not want permanent housing and are resistant to programs. While this may be true in some cases, the OCGJ learned several reasons for this resistance, including: • Individuals who lack trust in outreach program staff due to promises previously broken. • Substance abusers who are not ready for treatment. • Mentally ill individuals who lack awareness of their illness. • Individuals who fear for their safety in shelters or housing. • Individuals who do not like the rule that forbids walking in and out of the shelter and require access by arranged transportation only. The OCGJ learned from law enforcement and shelter officials that there were not enough rehabilitation and treatment facilities and services to meet the need of homeless Orange County residents suffering from mentally illness or substance abuse. 12000 10000 8000 6000 4000 2000 0 2019 Outreach Performance O Client Contacts 10,705 7532 ' 2636 2 2020 o Successfully Sheltered 2021 Source: 211 OC, HMIS data, 2019-21 2021-2022 Orange County Grand Jury Page 9 City Council 16 — 13 8/2/2022 How is Orange County Addressing Homelessness? 3. Shelter - Emergency shelter capacity increased over 40 percent from 2,665 in 2017 to 3,756 in 2021, primarily in North and Central SPA cities. This increase helped to temporarily house many of the homeless of Orange County. Low -Threshold Emergency Shelters are open to all individuals whose behavior is consistent with the shelter rules. This includes individuals who are suffering mental illness as well as those who are still using drugs and alcohol. The County of Orange funds two such shelters, BRIDGES in the North SPA and YALE in the Central SPA, but has been unsuccessful in siting a shelter in South SPA. Navigation Centers are emergency shelters that are funded by cities and other sources. Shelters have opened in Anaheim, Buena Park, Fullerton, Huntington Beach, Laguna Beach, Placentia, Tustin, and Santa Ana. Additional shelters are operated by various non -profits and faith -based organizations around Orange County. The OCGJ found that no low -threshold emergency shelters had been opened in South SPA cities to meet the identified need. Various levels of service are provided at the emergency shelters in addition to safe beds, food, and showers. The low -threshold, multi -service county shelters work with the residents to do the following: develop a plan to get into permanent housing; get job training and secure a job; obtain benefits for which they qualify, such as veterans, general relief, disability, or other public assistance; get into treatment programs to help with their substance abuse or mental illness; receive medical care and needed medicine; and overcome other individual challenges to independent living. Shelter Capacity 4000 3500 3000 2500 ll I� 2000 3494 1500 2921 2665 1000 500 0 2017 2018 2019 2020 2021 Note: Numbers include year-round and seasonal shelters, and 517 temporary COVID beds. 20 20 HIC Report Year Over Year 2017-21, 211 OC, Orange County, 2021. 2021-2022 Orange County Grand Jury Page 10 City Council 16 — 14 8/2/2022 How is Orange County Addressing Homelessness? 4. Housing - Permanent housing, including Permanent Supportive Housing (PSH), has increased 13 percent over the last five years, from 3,261 in 2017 to 3,689 in 2021. Permanent Housing Performance 4000 3500 3000 2500 2000 •�• 1500 - 1000 - 500 0 - 2017 2018 2019 2020 2021 J Permanent Housing . I Permanent Supportive Housing Source: 211 OC Housing Inventory Count 2017-2121 • Housing Vouchers (Section 8) are issued by local Housing Authorities who set aside some for the homeless. They prioritize individual veterans, disabled, and families with children, as well as designating some for PSH projects. Vouchers are a permanent housing subsidy that require individuals to contribute 30 percent of their income to rent. • Exits from emergency shelters to permanent housing were limited not only by the number of vouchers available, but by the inability of homeless individuals to find housing where landlords would accept vouchers. From 2018 to 2021, exits from the CoC homeless system to permanent housing have hovered between 24 and 32 percent.zz • 2,700 PSH units were needed according to the PIT count in 2017. PSH is for homeless individuals who are living with disabilities and mental illness. OC Housing Community Development leveraged California Mental Health Services Act funds resulting in 2,700 PSH units being built, approved, or in the planning stage as of 2022. • Treatment programs for homeless individuals, who could benefit from permanent housing but require treatment programs to be successful, are in short supply. • Transitional Aged Youth (TAY), are 16-24-year-olds who age out of the Foster Care system. They are vulnerable and many become homeless. The CoC funds one shelter with 25 beds for TAY where the waiting list for a bed is nine months. During the pandemic, housing vouchers for TAY increased from five to 120 but fell short of meeting the 150 beds needed.23 21 Orange County Housing Stock, 211 OC, Housing Inventory Count 2021 Report. 22 Longitudinal Systems Analysis, 211 OC, FY 2018 through 2021. 23 Dr. Shauntina Sorrells, MSW, DSW, Chief Program Officer, Orangewood Children's Home, Chair CoC TAY Committee, in a presentation to OC Supervisor Foley's Forum on Homelessness, Santa Ana, April 20, 2022. 2021-2022 Orange County Grand Jury Page 11 City Council 16 — 15 8/2/2022 How is Orange County Addressing Homelessness? OC System of Care Resources While the CoC represents the targeted collaboration to combat homelessness envisioned by HUD, there are additional programs in the Orange County System of Care that serve homeless individuals through other County agencies, such as the following: • Prevention - Health care services which include: mental health, substance abuse treatment, and public health (infectious disease control); public assistance programs such as: Cal Fresh (EBT, food assistance), Cal WORKS (job training), Cash Assistance Program for Immigrants, Medi-Cal, and General Relief (cash assistance). • Outreach - Link to Services, Housing, Treatment, Basic Skills, and Job Training. • Shelter - All emergency shelter funds go through the CoC Board. • Housing - Housing Choice Vouchers, and Supportive Housing. OC System of Care Resources FY 2021-22 Budget in Millions $15 Prevention $14 Outreach J ] $19 Shelter _] $28 Housing $ $218 $- $100 $ u Specifically for Homeless Total Orange County Cost of Homelessness $749 J $800 $900 All Residents Including Homeless Source County of Orange 24 In addition to the costs of the Orange County System of Care, the county spends significant funds annually on homeless individuals in jail and in the criminal justice system. When these expenditures are included, Orange County homeless costs were an estimated $1.6 billion in FY 2021.25 The graphs in this OCGJ report illustrate the increased outreach, prevention, shelter, and permanent housing that the CoC and OCC achieved, as well as additional system of care 21 OC System of Care Resources, FY 2021-22, Orange County Office of Care Coordination. 21 OC District 2 Services Assessment Final Report, Moss Adams, February 2022. 2021-2022 Orange County Grand Jury Page 12 City Council 16 — 16 8/2/2022 How is Orange County Addressing Homelessness? resources provided by the County of Orange. The 2022 Point in Time count documents the resulting decrease in homelessness, even as it shows the remaining challenges. These County of Orange investments to address homelessness make a big difference by taking many people off the streets, providing shelters with basic services, giving needed medical and mental health care, helping with job training, and creating some permanent housing. While these investments are essential, they do not go far enough to house all the homeless people living in Orange County; in fact, only about 30 percent of the individuals exiting temporary shelters move into permanent housing. The challenge of homelessness in our changing economy has been evolving as have our systems of care and prevention. It is clear that no one approach is going to eradicate homelessness. However, if we continue to come together to learn and to improve our collective efforts, we will enable greater success in the exhaustive task of serving this vulnerable population in our community. FINDINGS Based on its investigation described in this report, the 2021-2022 Orange County Grand Jury has arrived at the following findings: F1 South Orange County SPA cities lack low -threshold emergency shelters resulting in more homeless encampments and individuals living on the streets. F2 Too many of the homeless who are severely and persistently mentally ill and those with addiction issues end up incarcerated instead of more appropriate placements. F3 The County of Orange and cities within Orange County have been inconsistent in collaboration for support of shelters and services, which has resulted in missed opportunities to end homelessness. F4 There are an insufficient number of rental units available to those exiting Emergency Shelters, resulting in the majority returning to homelessness when leaving the shelters. F5 The Office of Care Coordination, in collaboration with the Continuum of Care Board, provides an effective community -based system of setting priorities to address homelessness, learning best practices, awarding and monitoring contracts, and overseeing a comprehensive system of care. However, the challenge of housing all our homeless requires much more. F6 Transitional Aged Youth who age out of the Foster Care system are a vulnerable population that often become homeless and need assistance in finding housing. There are insufficient resources to adequately serve these young people. 2021-2022 Orange County Grand Jury Page 13 City Council 16 — 17 8/2/2022 How is Orange County Addressing Homelessness? RECOMMENDATIONS Based on its investigation described herein, the 2021-2022 Orange County Grand Jury makes the following recommendations: R1 By July 1, 2023, the CoC and County of Orange should leverage funding to persuade South Orange County cities to open a regional, low -threshold emergency shelter for the homeless, in addition to the Laguna Beach Friendship Shelter. (F 1) R2 By July 1, 2023, South OC SPA cities should collaborate in siting and funding a low - threshold emergency shelter for the homeless, in addition to the Friendship Shelter in Laguna Beach. (172) R3 The CoC should fund programs in fiscal year 2022-23 for people with severe and persistent mental illness and addiction issues to receive supervised care and treatment. (172) R4 By July 1, 2024, the County of Orange and cities should collaborate to open facilities that can house people with severe and persistent mental illness and addiction issues in a secure setting. (F2) R5 By July 1, 2023, the County of Orange, cities and CoC should collaborate to encourage the development of housing affordable to individuals exiting the emergency shelters in Orange County. (173, F4, 175) R6 By December 1, 2022, the County of Orange, cities and CoC should collaborate to increase the number of housing opportunities for Transitional Aged Youth. (F6) COMMENDATIONS Continuum of Care - The Orange County Grand Jury commends the broad -based collaboration between the County, cities, non-profit shelter and service providers, homeless advocates, faith - based organizations helping the homeless and hungry, and public and private entities, known as the Continuum of Care. This federally supported initiative has a representative board of directors and enjoys the highly effective professional support of the County of Orange Office of Care Coordination. The OCGJ toured facilities and interviewed those engaged at all levels in this community -wide endeavor and was impressed at the dedication and caring to help the less fortunate in our County. During the OCGJ investigation into the CoC, several exceptional organizations and dedicated individuals were brought to our attention. While not a direct part of our focus on the CoC, they were part of this broad community effort to address homelessness so the OCGJ thought they warranted honorable mention, including: • Be Well OC in Orange is an innovative collaboration to provide outreach vans with mental health crisis teams, and a residential facility to reduce the incarceration of individuals with mental illness and/or substance abuse problems. • Mary's Kitchen in the city of Orange provides dignified services including food to the walk-in homeless. Additionally, clients can receive mail and take showers. 2021-2022 Orange County Grand Jury Page 14 City Council 16 — 18 8/2/2022 How is Orange County Addressing Homelessness? • Navigation Centers in the cities of Laguna Beach, Fullerton, Buena Park, Placentia, Tustin, and Huntington Beach are providing critical shelter and services to the homeless. • Orange County's Emergency Shelters, Yale, and Bridges at Kraemer are unique multi- service, low -threshold shelters run by PATH and Mercy House respectfully. • Outreach and Prevention work being done by City Net and city homeless liaisons are the front line in reaching the chronically homeless. • Permanent Housing is being developed by many entities overcoming various obstacles. The Grand Jury commends Jamboree Housing for their successful PSH units we toured, and the OC Housing Community Development department for their success in leveraging partnerships to create 2700 units of PSH. • The Salvation Army operates a low -threshold, comprehensive homeless shelter for the City of Anaheim and is in the process of building an adjacent apartment complex with permanent supportive housing. • US District Court Judge David Carter played an extraordinary role in bringing the cities and county to the table with the advocates and homeless to create change. His "hands on" approach demonstrated the compassion he expected of all. • Whatever It Takes (WIT) Collaborative Court is an initiative to help high risk, high need, convicted felons, to be successfully reintegrated into society. Coordinated resources and guidance are offered to complete a program of sobriety, housing, employment, counseling, relationship issues, and consistent healthy behavior. RESPONSES California Penal Code Section 933 requires the governing body of any public agency which the Grand Jury has reviewed, and about which it has issued a final report, to comment to the Presiding Judge of the Superior Court on the findings and recommendations pertaining to matters under the control of the governing body. Such comment shall be made no later than 90 days after the Grand Jury publishes its report (filed with the Clerk of the Court). Additionally, in the case of a report containing findings and recommendations pertaining to a department or agency headed by an elected County official (e.g., District Attorney, Sheriff, etc.), such elected County official shall comment on the findings and recommendations pertaining to the matters under that elected official's control within 60 days to the Presiding Judge with an information copy sent to the Board of Supervisors. Furthermore, California Penal Code Section 933.05 specifies the manner in which such comment(s) are to be made as follows: (a) As to each Grand Jury finding, the responding person or entity shall indicate one of the following: (1) The respondent agrees with the finding. 2021-2022 Orange County Grand Jury Page 15 City Council 16 — 19 8/2/2022 How is Orange County Addressing Homelessness? (2) The respondent disagrees wholly or partially with the finding, in which case the response shall specify the portion of the finding that is disputed and shall include an explanation of the reasons therefor. (b) As to each Grand Jury recommendation, the responding person or entity shall report one of the following actions: (1) The recommendation has been implemented, with a summary regarding the implemented action. (2) The recommendation has not yet been implemented, but will be implemented in the future, with a time frame for implementation. (3) The recommendation requires further analysis, with an explanation and the scope and parameters of an analysis or study, and a time frame for the matter to be prepared for discussion by the officer or head of the agency or department being investigated or reviewed, including the governing body of the public agency when applicable. This time frame shall not exceed six months from the date of publication of the Grand Jury report. (4) The recommendation will not be implemented because it is not warranted or is not reasonable, with an explanation therefor. (c) If a finding or recommendation of the Grand Jury addresses budgetary or personnel matters of a county agency or department headed by an elected officer, both the agency or department head and the Board of Supervisors shall respond if requested by the Grand Jury, but the response of the Board of Supervisors shall address only those budgetary /or personnel matters over which it has some decision -making authority. The response of the elected agency or department head shall address all aspects of the findings or recommendations affecting his or her agency or department. The Orange County Grand Jury requires and requests the following responses: 90 Day Response Required F1 F2 F3 F4 F5 F6 OC Board of Supervisors X X X X X X 90 Day Response Required RI R2 R3 R4 R5 R6 OC Board of Supervisors X X X X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Aliso Viejo X X X 90 Day Response Required Rl R2 R3 R4 R5 R6 Aliso Viejo X X X X X 2021-2022 Orange County Grand Jury Page 16 City Council 16 — 20 8/2/2022 How is Orange County Addressing Homelessness? 90 Day Response Required F1 F2 F3 F4 F5 F6 Anaheim X X 90 Day Response Required RI R2 R3 R4 R5 R6 Anaheim X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Brea X X 90 Day Response Required RI R2 R3 R4 R5 R6 Brea X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Buena Park X X 90 Day Response Required RI R2 R3 R4 R5 R6 Buena Park X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Costa Mesa X X 90 Day Response Required R1 R2 R3 R4 R5 R6 Costa Mesa X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Cypress X X 90 Day Response Required R1 R2 R3 R4 R5 R6 Cypress X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Dana Point X X X 90 Day Response Required RI R2 R3 R4 R5 R6 Dana Point X X X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Fountain Valley X X 90 Day Response Required RI R2 R3 R4 R5 R6 Fountain Valley X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Fullerton X X 90 Day Response Required RI R2 R3 R4 R5 R6 Fullerton X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Garden Grove X X 90 Day Response Required R1 R2 R3 R4 R5 R6 Garden Grove X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Huntington Beach X X 90 Day Response Required RI R2 R3 R4 R5 R6 Huntington Beach X X X 2021-2022 Orange County Grand Jury Page 17 City Council 16 — 21 8/2/2022 How is Orange County Addressing Homelessness? 90 Day Response Required F1 F2 F3 F4 F5 F6 Irvine X X X 90 Day Response Required RI R2 R3 R4 R5 R6 Irvine X X X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 La Habra X X 90 Day Response Required RI R2 R3 R4 R5 R6 La Habra X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 La Palma X X 90 Day Response Required RI R2 R3 R4 R5 R6 La Palma X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Laguna Beach X X 90 Day Response Required R1 R2 R3 R4 R5 R6 Laguna Beach X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Laguna Hills X X X 90 Day Response Required RI R2 R3 R4 R5 R6 Laguna Hills X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Laguna Niguel X X X 90 Day Response Required RI R2 R3 R4 R5 R6 Laguna Niguel X X X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Laguna Woods X X X 90 Day Response Required Rl R2 R3 R4 R5 R6 Laguna Woods X X X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Lake Forest X X X 90 Day Response Required RI R2 R3 R4 R5 R6 Lake Forest X X X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Los Alamitos X X 90 Day Response Required Rl R2 R3 R4 R5 R6 Los Alamitos X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Mission Viejo X X X 90 Day Response Required RI R2 R3 R4 R5 R6 Mission Viejo X X X X X 2021-2022 Orange County Grand Jury Page 18 City Council 16 — 22 8/2/2022 How is Orange County Addressing Homelessness? 90 Day Response Required F1 F2 F3 F4 F5 F6 Newport Beach X X 90 Day Response Required RI R2 R3 R4 R5 R6 Newport Beach X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Orange X X 90 Day Response Required RI R2 R3 R4 R5 R6 Orange X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Placentia X X 90 Day Response Required R1 R2 R3 R4 R5 R6 Placentia X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Rancho Santa Margarita X X X 90 Day Response Required RI R2 R3 R4 R5 R6 Rancho Santa Margarita X X X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 San Juan Capistrano X X X 90 Day Response Required RI R2 R3 R4 R5 R6 San Juan Capistrano X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Santa Ana X X 90 Day Response Required Rl R2 R3 R4 R5 R6 Santa Ana X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Seal Beach X X 90 Day Response Required RI R2 R3 R4 R5 R6 Seal Beach X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Stanton X X 90 Day Response Required RI R2 R3 R4 R5 R6 Stanton X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Tustin X X 90 Day Response Required Rl R2 R3 R4 R5 R6 Tustin X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Villa Park X X 90 Day Response Required RI R2 R3 R4 R5 R6 Villa Park X X X 2021-2022 Orange County Grand Jury Page 19 City Council 16 — 23 8/2/2022 How is Orange County Addressing Homelessness? 90 Day Response Required F1 F2 F3 F4 F5 F6 Westminster X X 90 Day Response Required R1 R2 R3 R4 R5 R6 Westminster X X X 90 Day Response Required F1 F2 F3 F4 F5 F6 Yorba Linda X X 90 Day Response Required R1 R2 R3 R4 R5 R6 Yorba Linda X X X 90 Day Response Requested F1 F2 F3 F4 F5 F6 Office of Care Coordination X X X X X X 90 Day Response Requested R1 R2 R3 R4 R5 R6 Office of Care Coordination X X X X X X 90 Day Response Requested F1 F2 F3 F4 F5 F6 Continuum of Care Board X X X X X X 90 Day Response Requested R1 R2 R3 R4 R5 R6 Continuum of Care Board X X X X X X REFERENCES 211 OC Website Data: Orange County CoC Dashboard — Orange County HMIS (ochmis.org) 211 OC Housing Inventory Count, Orange County Housing Stock, from HMIS data, 2021 Report 211 OC, HIC Report Year Over Year, from HMIS data, for Orange County 2017-2021 211 OC, Longitudinal Systems Analysis, from HMIS data FY 2018 through 2021 City of Anaheim, Addressing Homelessness FACT SHEET, Winter 2021 Chapman University, OC Annual Survey 2020 City News Service, Federal Judge Approves Settlement of Homeless Lawsuits, 7/23/2019 City of Fullerton, Report of the Fullerton Task Force on Homelessness and Mental Health Services, 5/15/2012 City of Fullerton, Housing Game Plan, 3/9/2021 Fullerton Homeless Plan Committee, Strategic Plan for Addressing Homelessness, 1/24/2020 Los Angeles Times, Frustrated judge demands O. C. find shelter for homeless being evicted from camp, 2/14/2018 Moss Adams, OC District 2 Services Assessment Final Report, February 2022 OCGJ Report, Where there's a Will There's a Way, 2018 OCGJ Report, Homeless Report, 2005 2021-2022 Orange County Grand Jury Page 20 City Council 16 — 24 8/2/2022 How is Orange County Addressing Homelessness? OC Ten Year Plan to End Homelessness, 2012 Orange Housing Finance Trust, https:Hochft.org Orange County, OC System of Care Resources by Resource Type, Budget 2020-2022 Office of Care Coordination (OCC) Contract Map, 2021-22 OCC, Contract Inventory, 2021 OCC, Coordinated Entry System Policy and Procedures 9/11/2019 OCC, Emergency Shelter List by SPA, 3/9/2021 OCC, Contracts Monitoring System Reports, 2021 OCC, Website Documents and Reports, www.ochealthinfo.com/about-hca/directors- office/office-care-coordination/homeless-services/continuum-care OC Community Resources, HUD Consolidated Plan, 6/23/2020 OC Register, Welcome Home OC 12/12/21 Orange County Point in Time Count, 2017-2022 Subtitle C of Title IV of the McKinney- Vento Homeless Assistance Act, (42 U.S.C.11381- 11389). As noted in CFR 24 Part 578.1 US Department of Health and Human Services, Substance Abuse and Mental Health Services Administration US Department of Housing and Urban Development, CoC Homeless Assistance Programs Populations and Sub -Populations Reports 2016-2020 United Way of OC, Homelessness in Orange County: The Cost to Our Community, 2017 Voice of OC, OC Mental Health Jail Expansion Draws Pushback and Debate, 10/23/2019 Voice of OC, Where does OC's Homelessness Spending Actually Go? Here's What We Found Out, 7/25/21 GLOSSARY 211 OC: A non-profit that administers the county Homeless Management Information System and publishes the data on their website. Chronically Homeless: An individual or family who is homeless and lives in a place not meant for human habitation, for at least 1 year. Chronic Substance Abuse: adults with a substance abuse problem that is expected to be of indefinite duration and substantially impairs the person's ability to live independently. Commission to End Homelessness: A collaborative board of County and city government, private foundations, advocacy groups, community organizations, and other interested stakeholders that promote the success of the Ten -Year Plan to End Homelessness. 2021-2022 Orange County Grand Jury Page 21 City Council 16 — 25 8/2/2022 How is Orange County Addressing Homelessness? Coordinated Entry System (CES): A system to coordinate program participant intake assessment, and provision of referral. Continuum of Care (CoQ: A HUD -mandated local board of individuals and organizations working together to address homelessness on a regional basis. Disability: A person with physical, mental, or emotional impairment, which is expected to be of long duration, and substantially impedes an individual's ability to live independently. Domestic Violence: The act of family member, partner or ex -partner attempting to physically or psychologically dominate another. Homeless Management Information Systems (HMIS): Computerized data base to capture client -level information on the characteristics and service needs of those experiencing homelessness. Housing Inventory Count (HIC): The HUD -mandated annual count of homeless shelter beds available, conducted by the CoC. U.S. Department of Housing and Urban Development (HUD): An agency of the United States Government. Low -Threshold Emergency Shelter: A facility offering limited shelter as a safe alternative to living on the streets and provides essential services. "Low -threshold" means that individuals do not have to be drug and alcohol free, only that their behavior complies with the shelter rules. Navigation Center: Another name for emergency shelter, emphasizing the service provided to residents to navigate to permanent housing, jobs, medical care, and other independent living skills. Office of Care Coordination (OCC): County of Orange staff who provide support to the CoC Board and coordinate homeless program funds and services. Permanent Supportive Housing (PSH): Long-term, community -based housing that has supportive services for homeless persons with disabilities including mental illness. Point -in -Time Count & Survey (PIT): A community -wide effort to collect information on the number and characteristics of individuals and families experiencing homelessness. Severely and Persistently Mentally Ill: adults with mental health problems that are expected to be life-long and substantially impairs the person's ability to live independently. Sheltered Homeless: individuals who are in emergency shelters, navigation centers, or other temporary housing. Service Planning Area (SPA): Divisions of Orange County into North, Central, and South cities to coordinate homeless shelters and services on a regional basis. Unsheltered Homeless: individuals who spent last night in the streets, a vehicle, an abandoned building, bus/train station, camping not in a designated campground, sleeping anywhere outside, or other place not meant for human habitation or stayed in friend or family's garage, backyard, porch, shed or driveway. 2021-2022 Orange County Grand Jury Page 22 City Council 16 — 26 8/2/2022 MAYOR Vicente Sarmiento MAYOR PRO TEM Phil Bacerra COUNCILMEMBERS Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza David Penaloza Thai Viet Phan August 3, 2022 CITY OF SANTA ANA CITY MANAGER'S OFFICE 20 Civic Center Plaza • P.O. Box 1988 Santa Ana, California 92702 www.santa-ana.org Honorable Erick Larsh, Presiding Judge Orange County Grand Jury 700 Civic Center Drive West Santa Ana, CA 92701 CITY MANAGER Kristine Ridge CITY ATTORNEY Sonia R. Carvalho Via E-mail and U.S. Mail Subject: Response to Grand Jury Report Entitled "How is Orange County Addressing Homelessness" Dear Honorable Judge Larsh: Please accept this letter as the City of Santa Ana's response to the Grand Jury's report entitled "How is Orange County Addressing Homelessness". This report was presented to the City Council at their meeting held on August 2, 2022, whereby the City Council authorized the City Manager to deliver the City's response to the Presiding Judge of the Orange County Superior Court. Here are the City's responses to the items requested by the Grand Jury, specifically for the City of Santa Ana: F3, F4, R4, R5, and R6. FINDINGS: F3. The County of Orange and cities within Orange County have been inconsistent in collaboration for support of shelters and services, which has resulted in missed opportunities to end homelessness. CitV's Response: The City agrees with this finding. F4. There are insufficient number or rental units available to those exiting Emergency Shelters, resulting in the majority returning to homelessness when leaving the shelters. City's Response: The City agrees with this finding. RECOMMENDATIONS: R4. By July 1, 2024, the County of Orange and cities should collaborate to open facilities that can house people with severe and persistent mental illness and addiction issues in a secure setting. (F2) City's Response: The City of Santa Ana looks forward to the expansion of Be Well OC to provide this service beyond their existing Orange campus. SANTA ANA CITY COUNCIL Vicente Sarmiento Phil Bacerra Thai Viet Phan Nelida Mendoza Jessie Lopez Johnathan Ryan Hernandez David Penaloza Mayor Mayor Pro Tern, Ward 4 Ward 1 Ward 2 Ward 3 Ward 5 Ward 6 vsarmiento(a)santa-ana.org dpenaloza(a)santa-ana.org City Council 16 — 27 8/2/2022 August 3, 2022 Honorable Erick Larsh, Presiding Judge Page 2 R5. By July 1, 2023, the County of Orange, cities, and CoC should collaborate to encourage the development of housing affordable to individuals exiting the emergency shelter in Orange County. (F3, F4, F5) City's Response - The City of Santa Ana regularly collaborates with the County of Orange to increase the supply of affordable housing as evidenced by the development and construction of the following projects jointly funded by the City of Santa Ana and the County or Orange. In pre -development: o WISEPlace: ■ OCHFT = $2,480,000 ■ City = $5,740,327 and 25 Project -Based Vouchers ■ County = $1.5 Million o Crossroads at Washington: ■ City = $4,644,909 and 15 Project -Based Vouchers ■ County = $2,650,701 and 43 Project -Based Vouchers ■ 62-year Ground Lease for County -owned land ■ 62-year Ground Lease for City -owned land ■ OCHFT = $2,500,000 o FX Residences: ■ City = $1,656,947 and 3 Project -Based Vouchers ■ 99-year Ground Lease for City -owned land ■ County = $6,217,047 (includes competitive NPLH award) ■ OCHFT = $832,015.28 Under construction: o Westview House: ■ City = $3,904,341 and 26 Project -Based Vouchers ■ County = $11,570,817 (includes competitive NPLH award) ■ OCHFT = $1,450,349.19 o Legacy Square: ■ County = $7,527,376 (includes competitive NPLH award) ■ City = 8 Project -Based Vouchers o North Harbor Village: ■ City = $1,687,047 and 89 Project -Based Vouchers ■ OCHFT = $2,217,769.14 Complete: o Heroes Landing ■ City= $477,345.90 and 75 ■ County = $2,912,000 o Santa Ana Arts Collective ■ City = $7,902,631 ■ County = $4,724,430 o Depot at Santiago Project -Based Vouchers ■ $3,000,000 and 8 Project -Based Vouchers ■ County = $1,615,320 City Council Vicente Sarmiento Phil Bacerra Mayor Mayor Pro Tem, Ward 4 vsarmiento(cilsanta-ana.ora pbacerranp.santa-ana.oro SANTA ANA CITY CTWNCIL28 8/2/2022 Thai Viet Phan Nelida Mendoza Jessie Lopez Johnathan Ryan Hernandez David Penaloza Ward 1 Ward 2 Ward 3 Ward 5 Ward 6 tphan(cb.santa-ana.ora nmendoza(a),santa-ana.orc iessielopez(a).santa-ana.orc irvanhernandez(cbsanta-ana.ora dpenalozana.santa-ana.ora August 3, 2022 Honorable Erick Larsh, Presiding Judge Page 3 In summary, the City of Santa Ana and the County of Orange collaborate on increasing the supply of affordable housing within the City of Santa Ana. R6. By December 1, 2022, the County of Orange, cities and CoC should collaborate to increase the number of housing opportunities for Transitional Aged Youth. (F6) City's Response: The City of Santa Ana plans to utilize approximately $2 million of HHAP Round 1, 2 and 3 dollars to deliver permanent housing dedicated to Youth Homelessness. The City of Santa Ana will be working with a nonprofit and the Department of Health Care Services to fund an Intergenerational project that combines senior citizen housing and youth housing to stretch these dollars to increase the effectiveness. The City of Santa Ana would welcome more collaboration between the County and the CoC toward funding innovative projects that provide housing for Transitional Aged Youth. Note: Since the release of this report, the Santa Ana Navigation Center opened. The City of Santa Ana operated the temporary Navigation Center in the City of Fullerton listed on page 15 of the report. Thank you for the opportunity to respond to your request. If you have any questions, please feel free to call me at (714) 647-5200. Sincerely, Kristine Ridge City Manager Attachments: Staff report dated August 2, 2022 and related exhibits SANTA ANA CITY COUNCIL Vicente Sarmiento i acerra a ie an e i a en oza essie opez o na an yan ernan ez David Penaloza Mayor Ci y r gp 4 Ward 1 Ward 2 '� 6 _ 2Q Ward 3 Wards/.-/2022 Ward 6 vsarmiento(a�santa-ana.org acerra Santa-ana.or tphan(asanta-ana.org nmendozf Santa-ana.org lessee ope 4( .nta-ana.org Iryanhernandez(a. a-ana.org dpenaloza(g�santa-ana.org City Manager Office www.santa-ana.org/city-managers-office Item # 17 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 2, 2022 TOPIC: Revive Santa Ana Spending Plan AGENDA TITLE: Approve the $128,360,000 Revive Santa Ana Spending Plan, Appropriate Federal American Rescue Plan Act (ARPA) Funding, and Adopt a Resolution to Amend the FY 2022-23 Annual Budget to Add Limited -Term Full -Time Positions (Revive Santa Ana Program) RECOMMENDED ACTION 1. Approve the updated $128,360,000 Revive Santa Ana Spending Plan to protect and revive the community as Santa Ana continues to emerge from the impacts of the COVID-19 pandemic. 2. Approve an appropriation adjustment of $64,180,000 to authorize spending from the federal American Rescue Plan Act (ARPA) for various expenditures to recover from COVID-19, including authorization for the City Manager to move appropriated money between Spending Plan line items to reflect evolving federal guidelines and individual program popularity. (Requires five affirmative votes) 3. Adopt a resolution to limited -term full-time projects. DISCUSSION amend the Fiscal Year 2022-23 Annual Budget to add positions for the implementation of Revive Santa Ana The American Rescue Plan Act (ARPA) of 2021 is the latest COVID-19 stimulus package approved by the U.S. Congress and signed into law by President Biden. ARPA is a $1.9 trillion economic stimulus bill. Within ARPA, the Coronavirus State and Local Fiscal Recovery Fund provides $350 billion in direct funding for states, municipalities, counties, tribes, and territories, including $130.2 billion for local governments split evenly between municipalities and counties. Of this, the City of Santa Ana received $128,360,000. The Coronavirus State and Local Fiscal Recovery Fund provides a substantial infusion of resources to help turn the tide on the COVID-19 pandemic, address its economic fallout, and lay the foundation for a strong and equitable recovery. The purpose of the use of these funds are as follows: Support urgent COVID-19 response efforts to continue to decrease spread of City Council 17 — 1 8/2/2022 the virus and bring the pandemic under control. • Replace lost revenue for eligible state, local, territorial, and tribal governments to strengthen support for vital public services and help retain jobs. • Support immediate economic stabilization for households and businesses. • Address systemic public health and economic challenges that have contributed to the unequal impact of the pandemic. The Coronavirus State and Local Fiscal Recovery Fund provides substantial flexibility for each local government to meet local needs —including support for households, small businesses, impacted industries, essential workers, and the communities hardest hit by the pandemic. These funds can be used to make necessary investments in water, sewer, and broadband infrastructure, among other uses. As a recipient of these funds, the City has been working diligently to find the best way to use the City's allocation of the Coronavirus State and Local Fiscal Recovery Fund. To that end, the City created Revive Santa Ana, a community engagement initiative and spending plan to use the $128,360,000 in federal funding. The City received its first of two payments from the U.S. Department of the Treasury, in the amount of $64,180,000 in 2021, and the second payment of $64,180,000 in June 2022. The original Revive Santa Ana Plan, a detailed spending plan for the first allocation, was presented to the City Council for approval at the July 6, 2021 meeting and the City Council approved the item at the July 20, 2021 meeting. The Revive Santa Ana Spending Plan (Exhibit 1) has been updated to reflect the entire ARPA allocation of local fiscal recovery funds. Revive Santa Ana Spending Plan The spending plan includes five expenditure categories: • Recovery from the Pandemic - $8,200,000 o Public Health Equity, expansion of critical communication methods, sanitization, emergency response, mental health recovery, and support services for COVID-19 response • Direct Assistance Programs - $22,400,000 o Rental assistance, housing vouchers, food supply/distribution, business and non-profit assistance, early childhood support, daycare and head start, after -school programs, youth violence, sexual assault intervention, technology skill courses, direct resident assistance • Public Health and Safety - $34,235,000 o 5k Run, additional green/open space, healthy food access, property compliance programs, rapid response homeless services, park restrooms, increased security for parks and community centers, First Street safety enhancements • Critical Infrastructure - $51,400,000 o Broadband access, community center renovations, transformation of Central Library to support early childhood learning, expansion of library accessibility, IT and process upgrades, streetlights, storm drain gates, parking structure improvements • City Fiscal Health - $12,125,000 o Legal support services, contract management, unemployment fund / paid leave reimbursement, accounting and compliance for federal funding, City Council 17 — 2 8/2/2022 reserve for revenue loss allocation Appropriation of Funds Below are the final Revive Santa Ana Spending Plan allocations for each of the proposed expenditure categories for the full allocation: Expenditure Category Amount Recovery from the Pandemic $8,200,000 Direct Assistance Programs $22,400,000 Public Health and Safety $34,235,000 Critical Infrastructure $51,400,000 City Fiscal Health $12,125,000 Total $128,360,000 Staff recommends that the City Council approve the updated Revive Santa Ana Spending Plan, and appropriate the City's second ARPA allocation of $64,180,000. Staff anticipates the Spending Plan will evolve, as the U.S. Department of Treasury is continually updating the spending guidelines and program popularity and use will affect spending priorities. Similar to the spending authorization for the Coronavirus Aid, Relief and Economic Security (CARES) Act, staff requests that the City Council grant authorization to the City Manager to shift money between line items within the spending plan. The City Manager will not have the authority to increase or decrease the overall appropriation. Administration of Revive Santa Ana Programs The implementation of the Revive Santa Ana programs requires an extensive amount of staff resources to administer and manage in accordance with federal program guidelines. In order to successfully administer the large volume of programs, staff is requesting the addition of several limited -term positions to augment existing staff resources and deliver these programs in an efficient and effective matter. The table below outlines the amount of limited -term positions requested by department. The complete list of requested classifications is outlined in Exhibit 2. Department Number of Limited -Term Full- Time Positions Requested 9-Month Total City Manager's Office 1 $87,480 Public Works Agency 9 $649,620 Police Department 1 $68,310 TOTAL 11 $805,410 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Multiple departments will manage the various spending initiatives, and accounting units have been set-up accordingly in the ARPA special revenue fund 181 to account for City Council 17 — 3 8/2/2022 $128,360,000 of expenditures. Department Account Number Amount City Attorney's Office 18108013-6XXXX 500,000 City Manager's Office 18103013-6XXXX 6,425,000 Community Development 18118013-6XXXX 20,935,000 Finance 18110013-6XXXX 12,000,000 Human Resources 18109013-6XXXX 200,000 Information Technology 18120013-6XXXX 5,500,000 Library 18111013-6XXXX 23,000,000 Parks and Recreation 18113013-6XXXX 3,050,000 Planning and Building 18116013-6XXXX 5,250,000 Police 18114013-6XXXX 1,500,000 Public Works 18117013-6XXXX 50,000,000 EXHIBITS 1. Revive Santa Ana Spending Plan 2. Resolution Submitted By: Daisy Perez, Assistant to the City Manager Approved By: Kristine Ridge, City Manager City Council 17 — 4 8/2/2022 EXHIBIT 1 REVIVE ,,„1J � 4 ANA SPENDING PLAN Mental Health Recovery Feasibility of Public Health Department Expansion of Critical City Communications Methods Sanitization & Prevention COVID Emergency Response Total Lead Agency $ 1,000,000.00 CMO $ 400,000.00 CDA $ 2,000,000.00 CMO $ 3,800,000.00 PWA $ 1,000,000.00 FIN $ 8,200,000.00 Early Childhood Support & Head Start & Child/Day Care $ 1,500,000.00 PRCSA After -School / Youth Sport Programs $ 1,000,000.00 PRCSA Emergency Rental Assistance Program' $ 14,026,593.00 CDA Emergency Housing Vouchers' $ 1,805,508.00 CDA Food Supply / Distribution $ 1,500,000.00 CMO Business/Non-Profit Assistance $ 3,600,000.00 CDA Youth Violence/Sexual Assault Intervention/Reentry $ 2,000,000.00 PRCSA Technology Skills / Digital Literacy Education $ 500,000.00 LIB Resident Direct Assistance $ 12,000,000.00 CDA Rent Stabilization and Just Cause Eviction Program $ 300,000.00 CDA " Not ARPA Funded $ 22,400,000.00 Revive 5k Run $ 50,000.00 PRCSA First Street Pedestrian Safety Project $ 5,000,000.00 PWA Addition of Park/Open Space $ 12,250,000.00 PWA Healthy Food Access $ 1,500,000.00 CMO Property Compliance/Assistance Program $ 5,250,000.00 PBA Rapid Response Homeless Services $ 3,135,000.00 CDA Upgrade Park Restrooms $ 3,000,000.00 PWA Enhanced security for usability of Parks/Community Centers $ 1,000,000.00 PRCSA Public Health Plaza $ 4,000,000.00 PWA $ 35,185,000.00 Parking Structure Improvements & Safety Enhancements $ 1,500,000.00 CDA Broadband Access $ 3,500,000.00 IT Community Center Renovations $ 14,000,000.00 PWA Transformation of Main Library $ 16,500,000.00 LIB New Library Branch/Expansion of Library Accessibility $ 6,000,000.00 LIB Pedestrian & Mobility Improvements $ 4,000,000.00 PWA Information Technology & Process Upgrades $ 2,000,000.00 IT Neighborhood Safety Streetlights $ 2,000,000.00 PWA Storm Drain Gates & Channel Fencing $ 950,000.00 PWA $ 50,450,000.00 City Fiscal Health Legal Support Services & Contract Management Support Accounting & Compliance for Federal Funding HR Service Enhancement Program Reserve for Revenue Loss Allocation Administration of Federal Reporting Requirements $ 500,000.00 CAO $ 1,000,000.00 FIN $ 200,000.00 HR $ 10,000,000.00 FIN $ 425,000.00 CMO $ 12,125,000.00 Tntal R 19R_ Af;n_nnn_nn City Council 17 — 5 8/2/2022 EXHIBIT 2 RESOLUTION NO. 2022-XX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND THE CURRENT FISCAL YEAR 2021- 2022 ANNUAL BUDGET TO ADD LIMITED -TERM FULL-TIME POSITIONS IN THE CITY MANAGER'S OFFICE, POLICE DEPARTMENT, AND PUBLIC WORKS AGENCY FOR THE IMPLEMENTATION OF AMERICAN RESCUE PLAN ACT PROJECTS BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby finds, determines and declares as follows: A. On June 21, 2022, the City Council passed and adopted Ordinance No. NS-3021, establishing the City's Budget for Fiscal Year 2022-2023 and authorizing position allocations for Fiscal Year 2022-2023. The Ordinance also sets forth the requirement that alterations in the allocation of authorized positions be reviewed and approved by the City Council. B. The City Manager of the City Manager's Office requests to amend its Fiscal Year 2022-2023 budget to add one (1) limited -term full-time Management Analyst (Excepted) for the implementation of the American Rescue Plan Act projects. C. The Chief of Police requests to amend its Fiscal Year 2022-2023 budget to add one (1) limited full-time Police Athletic/Activities League Assistant Director for the implementation of American Rescue Plan Act projects. D. The Executive Director of the Public Works Agency requests to amend its Fiscal Year 2021-2022 budget to add two (2) limited -term full-time Associate Engineers, add one (1) limited -term full-time Management Analyst, one (1) limited -term full-time Management Aide, one (1) limited -term full-time Assistant Parks/Landscape Planner, one (1) limited -term full-time Associate Park and Landscape Planner, one (1) limited -term full-time Maintenance Assistant, one (1) limited -term full- time Projects Manager, and add one (1) limited -term full-time Public Works Projects Specialist for the implementation of the American Rescue Plan Act projects. E. It is now desired to amend the Fiscal Year 2022-2023, as amended, in order to effect this change, as shown below. X,es o i 17 — 6 8/2/2022 Section 2: The City's Annual budget for Fiscal Year 2022-2023, as amended, is hereby further amended by: A. Adding the following position in the City Manager's Office, at the monthly six -step range as indicated: 6-Step Salary Rate Range Effective 08/02/2022 Classification Title Number of Positions Added Monthly Salary Minimum -Maximum Management Analyst (Excepted) 1 $6,863 - $8,346 B. Adding the following position in the Police Department, at the monthly five - step range as indicated: Classification Title Police Athletic/Activities League Assistant Director 5-Step Salary Rate Range Effective 8/2/2022 Number of Positions Added Monthly Salary Minimum -Maximum 1 $5,278 - $6,415 C. Adding the following positions in the Public Works Agency, at the monthly seven -step range as indicated: 7-Step Salary Rate Range Effective 8/02/2022 Classification Title Number of Positions Added Monthly Salary Minimum -Maximum Assistant Parks/Landscape Planner 1 $5,818 - $7,799 Associate Park and Landscape Planner 1 $7,427 - $9,955 Maintenance Assistant 1 $3,449 - $4,624 Projects Manager 1 $7,761 - $10,401 Public Works Projects Specialist 1 $6,446 - $8,641 Associate Engineer 2 $6,080 - $8,149 D. Adding the following positions in the Public Works Agency, at the monthly six -step range as indicated: 6-Step Salary Rate Range Effective 8/02/2022 Classification Title Number of Positions Added Monthly Salary Minimum -Maximum Management Analyst (UC) 1 $6,863 - $8,346 City Council 17 — 7 eso u i8xx Page of 4 EXHIBIT 2 Management Aide (UC) 1 $4,296 - $5,762 Section 3: All salary rate range classifications are set forth in the City's "Salary Schedule" as periodically updated. Section 4: That except as amended by this Resolution, all other provisions of the Annual Budget for Fiscal Years 2022-2023, as amended, shall remain in full force and effect. Section 5: This Resolution is operative from and after the date upon which it is adopted. ADOPTED this 2nd day of August, 2022. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By:,Ta,� Laura A. Rossini Chief Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT Councilmembers Councilmembers Councilmembers Councilmembers Vicente Sarmiento Mayor Res Page lvj) i 17 — 8 8/2/2022 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Deputy Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2022- to be the original Resolution adopted by the City Council of the City of Santa Ana on )2022. Date: Deputy Clerk of the Council City of Santa Ana City Council 17 — 9 eso u ig XX Page of 4 City Manager's Office www.santa-ana.org/city-managers-office 1- - Item # 18 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 2, 2022 TOPIC: Voter Ballot Measure for the November 8, 2022 General Municipal Election to Amend the City Charter TITLE Direct Staff to Place a Proposed Charter Amendment Voter Ballot Measure for Public Consideration at the November 8, 2022 General Municipal Election; Adopt a Resolution, Authorize and Designate City Councilmembers to File an Argument; Direct City Attorney to File an Impartial Analysis; and Other Related Documents Calling for a General Municipal Election and Consolidating it with the Statewide General Election RECOMMENDED ACTION 1. Adopt a Resolution of the City Council of the City of Santa Ana calling for the placement on the ballot of a measure for the November 8, 2022 General Municipal Election for the submission to the qualified voters of the question of whether the City Charter should be amended to update the City Charter by imposing a lifetime ban for the Mayor after completion of 4 terms and a lifetime ban for Councilmembers after completion of 3 terms, requiring approval of 2/3 of the City Council to adopt a budget, expanding the application of the Code of Ethics, utilizing gender neutral language throughout the Charter, changing references to the "Clerk of Council" to "City Clerk" and making other minor clean-up updates. 2. Request that the Board of Supervisors of Orange County Consolidate the City's General Municipal Election with the Statewide General Election. 3. Authorize the filing of Arguments and Rebuttals. a. Designate up to five (5) Councilmembers to author an Argument and Rebuttal Statement. 4. Direct the City Attorney to prepare an Impartial Analysis. 5. Direct the Clerk of the Council to publish legal notices as required by law. City Council 18 — 1 8/2/2022 Voter Ballot Measure to Amend the City Charter August 2, 2022 Page 2 DISCUSSION In 2020, the Mayor created a Charter Review Ad Hoc Committee that considered numerous potential City Charter amendments. The Ad Hoc Committee ultimately recommend to the full City Council that 17 amendments to the City Charter be placed on the ballot for the November 2020 General Municipal Election. After consideration of the proposed Charter Amendments at a series of public meetings in 2020, the City Council declined, at that time, to place the recommended Charter amendments on the ballot. In 2022, the Mayor created a Charter Review Ad Hoc Committee that considered both the 2020 Charter amendment recommendations, along with some additional changes to the City Charter relating to City Council term limits, the term of the Mayor, City Council compensation, and adoption of the City budget. The 2022 Charter Review Ad Hoc Committee ultimately recommended to the full City Council placing 16 of the 17 2020 recommendations on the ballot. The 16 proposed Charter amendments from 2020 are administrative in nature. These 16 amendments are intended to have the City Charter conform with various federal, state, and/or applicable laws, such as by revising Civil Service provisions, updating anti -discrimination provisions, and removing provisions relating to work stoppages. In addition, these amendments remove outdated provisions that are not necessary to be included in the Charter, reorganize sections to improve the readability of the Charter, and update provisions to improve the delivery of City services. At the July 19, 2022 meeting, staff presented a recommendation from the Charter Review Ad Hoc Committee regarding two new proposed Charter amendments: (1) adopting a lifetime ban for the Mayor after 4 terms and a lifetime ban for Councilmembers after 3 terms; and (2) requiring a 2/3 vote by the City Council to adopt the City budget. The City Council concurred with the Ad Hoc Committee's recommendation to move forward with these two items, in addition to the 16 administrative/clean-up items. These 16 proposed administrative/clean-up Charter amendments, along with the two new proposed Charter amendments (lifetime ban for Mayor and Councilmembers) are summarized below. Summary of Proposed Charter Amendments 16 Administrative/Clean-Up Items Section 400: Number, Selection and Term of Members The current Charter states that the term of each councilmember, including the mayor, shall begin at 6:00 p.m. on the second Tuesday of December following certification of election results. This amendment clarifies that term of each councilmember, including the mayor, shall begin at 6:00 p.m. on the first regularly scheduled City Council meeting or at a special City Council meeting following certification of election results. City Council 18 — 2 8/2/2022 Voter Ballot Measure to Amend the City Charter August 2, 2022 Page 3 Section 401.01: Term Limits (new section) This amendment removes term limit provisions for the mayor and councilmember, from Sections 404 and 401, respectively, and restates those term limit provisions in their entirety into a new Section 401.01 of the Charter. The purpose of this amendment is to reorganize all provisions relating to term limits into one new section. Section 401.05: Code of Ethics and Conduct (new section) The current Charter states that the City shall adopt a Code of Ethics and Conduct for elected officials and members of appointed boards, commissions, and committees to assure public confidence in the integrity of the City. This amendment expands the applicability of the Code of Ethics and Conduct to include elected officials, the City Attorney, City Manager, Clerk of Council, Police Chief, and directors of all City departments. Furthermore, this amendment prescribes a process for documenting alleged violations of the Code of Ethics and Conduct in writing to the City Council, as well as a procedure for the City Council to review such alleged allegations. Section 405: Mayor Pro Tem The current Charter provides that at the first City Council meeting following any general or special election when councilmembers, including the mayor, are elected, the City Council shall elect a mayor pro tem. This amendment clarifies that the election of the mayor pro tem shall occur each calendar year at the first City Council meeting in January. Furthermore, this amendment clarifies that the mayor pro tem from the previous year cannot be elected as mayor pro tem for the following year, and that the mayor pro tem may be replaced by the affirmative votes of four members of the City Council. Section 406: Council Judge of Elections and Qualifications of Members This section declares that the City Council shall be the judge of the election and of the qualifications of its member(s) as defined in Section 401, and shall meet on the first regularly scheduled City Council meeting following certification of election results to declare such election results and install members. This amendment provides that the City Council may also meet at a special City Council meeting to do the same. Section 413: Adoption (Ordinances) The current Charter provides a procedure for the adoption of ordinances. This amendments adds resolutions as part of this procedure, as well as clarifies the following: that ordinances may not be amended after the first reading, and that if an ordinance is amended after the first reading, that it must be re -introduced to be consistent with state law; that a resolution or ordinance must be signed as soon as possible, but no later than 72 hours following its adoption; and that if the mayor does not sign a resolution or ordinance, that the mayor pro tem or any councilmember who voted to approve such ordinance or resolution may sign instead. Section 613: Claims— Formalities; Treasury Warrants The process for claims as prescribed in the Charter is outdated. This amendment revises this process to streamline the claims and payment process. City Council 18 — 3 8/2/2022 Voter Ballot Measure to Amend the City Charter August 2, 2022 Page 4 Section 1000: Civil Service System This amendment revises the equal opportunity provisions to clarify that civil service rules and regulations shall provide for such matters as the City Council and Personnel Board may deem necessary, and clarifies that these matters shall be determined with concurrence of the City Council. Section 1002: Civil Service and Excepted Service This amendment provides administrative clean-up revisions to ensure compliance with CaIPERS rules and other applicable laws and regulations. Section 1010: Prohibitions This amendments updates the Charter's anti -discrimination provisions, as well as requires that the City Council adopt an anti -nepotism policy. Section 1011: Contract for Performance of Administrative Functions In 2018, the City Council adopted a resolution changing the name of the Personnel Services Agency to the Human Resources department. To be consistent with these organizational changes, this amendment replaces the word "personnel" to "human resources". Section 1014: Work Stoppages Removes this section in its entirety to be consistent with state law and other applicable laws and regulations. Section 1208: Enforcement Section 1206 prescribes rules relating to campaign contribution limits for candidates for mayor or councilmember. Section 1207 prescribes rules relating to campaign committees and bank accounts. Section 1208 provides enforcement provisions relating to Sections 1206 and 1207. This amendment allows that the City to contract with a state or county entity to enforce such provisions. Section 1400: Employees' Retirement System This amendment revises the in -text references to Section 1002 to be consistent with the proposed revisions in Section 1002 relating to Civil Service. Gender Pronouns (various sections) Throughout the current Charter, references to City officials use gender -specific pronouns such as he/his/him or his or her. This amendment replaces gender -specific pronouns with they/them to be more inclusive. This change aligns with the contemporary use of pronouns relating to gender. Clerk of the Council Title (various sections) The Clerk of the Council intends to replace the title "clerk of the council" with "city clerk" to modernize and better identify this position. City Council 18 — 4 8/2/2022 Voter Ballot Measure to Amend the City Charter August 2, 2022 Page 5 Two New Items Section 607: Budget Adoption This amendment would change the voting requirement to approve the City budget from a majority of the City Council to a two-thirds vote of the City Council. This change would be consistent Section 609 relating to the two-thirds voting requirement to appropriate City funds. Sections 401 and 404, and Proposed New Section 401.01) This amendment would impose a "lifetime ban" by removing the eight -year cooling -off provision (sections 401 and 404). This means that after a Mayor or member of the City Council has reached their term limit (four 2-year terms for Mayor and three 4-year terms for Councilmember), they would no longer be eligible to serve on the City Council. The full text of each of the Charter amendments is attached to this staff report as Exhibit A to the attached resolution (Exhibit 1). Next Steps The California Elections Code requires that the City Council adopt the attached resolution (Exhibit 1) to place the voter ballot measure before the voters at least 88 days in advance of the election. By adopting the attached resolution, the City will meet this deadline and have the voter ballot measure before the voters at the November 8, 2022 General Municipal Election. Second, the City may file written arguments in favor or against the voter ballot measure by members of the City Council, any individual voter eligible to vote on the voter ballot measure, or a bona fide association of such citizens, or any combination thereof. The Elections Code specifies that members of the City Council may be given preference and priority. If the attached resolution is adopted, any member of the City council who desires to submit an argument will be able to do so. Third, the City Council may direct the City Attorney to prepare an impartial analysis of the voter ballot measure that explains the effect of such voter ballot measure on existing law and the operation of the voter ballot measure. The impartial analysis would not exceed 500 words in length. The impartial analysis would be printed in the voter information guide. This direction is included in the attached resolution. Finally, if the attached resolution is adopted, the Clerk of the Council would be required to file a certified copy with the Orange County Board of Supervisors and the Registrar of Voters of Orange County at least 88 days before the date of the election. Furthermore, as the City's elections official, the Clerk of the Council would be required to publish legal notices relating to the General Municipal Election as prescribed by state law, along with other tasks. Conclusion The proposed voter ballot measure, if approved by a majority of qualified voters, would approve all of these proposed Charter amendments. By placing the measure on the ballot, the City City Council 18 — 5 8/2/2022 Voter Ballot Measure to Amend the City Charter August 2, 2022 Page 6 Council is not endorsing or taking a position, but rather asking the voters of Santa Ana to consider the proposed Charter amendments. Therefore, staff recommends that the City Council adopt the resolution necessary to place the Voter Ballot Measure before the voters of Santa Ana. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The voter ballot measure to amend the Charter is intended to be revenue neutral, but there will be an expense associated with placement of a voter ballot measure on the November 8, 2022 General Municipal Election ballot, which is a budgeted expense. Staff confirmed with the Clerk of the Council the latest estimate of $100,000 for the ballot question. Funds are budgeted and made available in the following accounts for the specified year: Fiscal Year Accounting Fund Accounting Amount Unit -Account # Description Unit, Account Description FY 2022-23 01107031- Clerk of the Contract $100,000 62300 Council—Admin. Services - Professional EXHIBIT(S) 1. Resolution Submitted By: Kristine Ridge, City Manager Approved By: Kristine Ridge, City Manager City Council 18 — 6 8/2/2022 RESOLUTION NO. 2022-XXX RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA GIVING NOTICE OF A GENERAL MUNICIPAL ELECTION TO BE HELD IN THE CITY OF SANTA ANA ON NOVEMBER 8, 2022 FOR THE SUBMISSION OF A BALLOT MEASURE TO THE QUALIFIED VOTERS FOR CHARTER CLEAN-UP AMENDMENTS, ADOPTION OF A LIFETIME BAN FOR THE MAYOR AFTER 4 TERMS AND A LIFETIME BAN FOR CITY COUNCILMEMBERS AFTER 3 TERMS, REQUIRING APPROVAL OF 2/3 OF THE CITY COUNCIL TO ADOPT A BUDGET, EXPANDING APPLICATION OF THE CODE OF ETHICS, AND PROVIDING FOR THE FILING OF ARGUMENT AND REBUTTAL STATEMENTS BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. By Resolution No. 2022-044, the City Council has declared that a General Municipal Election shall be held on November 8, 2022 for the election of municipal officers and the City Council asked that the General Municipal Election be consolidated by the County of Orange with the Statewide Election on November 8, 2022. Section 2. The California Elections Code directs that the City Council approve the form of the ballot question to be submitted to the voters and the City of Santa Ana desires, on its own motion, to submit to the voters a question of whether clean-up amendments to modernize and streamline the City Charter, along with adoption of a lifetime ban for the Mayor after 4 terms and a lifetime ban for Councilmembers after 3 terms, requiring a 2/3 vote of the City Council for approval of the budget, and expanding the application of the Code of Ethics shall be submitted to the voters at the General Municipal Election to be held on Tuesday, November 8, 2022. Section 3. In 2020, the Mayor created a Charter Review Ad Hoc Committee that considered numerous potential City Charter amendments. The Ad Hoc Committee ultimately recommend to the full City Council that 17 amendments to the City Charter be placed on the ballot for the November 2020 General Municipal Election. After consideration of the proposed Charter Amendments at a public meeting, the City Council declined, at that time, to place the recommended Charter amendments on the ballot. Section 4. In 2022, the Mayor created a Charter Review Ad Hoc Committee that considered both the 2020 Charter amendment recommendations and some additional changes to the City Charter relating to City Council term limits, the term of the Mayor, City Council compensation, and adoption of the City budget. The 2022 Charter Review Ad Hoc Committee ultimately recommended to the full City Council placing 16 of the 17 2020 recommendations on the ballot, as well as, two new Charter amendments adopting a Resolution No. 2022-XXX Patit! ouncil 18 — 7 8/2/2022 lifetime ban for the Mayor after 4 terms and a lifetime ban for Councilmembers after 3 terms and requiring a 2/3 vote by the City Council to adopt the budget. Section 5. The ballot question for the proposed Charter amendments shall be as follows, with identification as determined in accordance with the California Elections Code: MEASURE # Yes Shall the Santa Ana City Charter be amended to update the Charter by imposing a lifetime ban for the Mayor after 4 terms and a lifetime ban for Councilmembers after completion of 3 terms, requiring approval of 2/3 of the City Council to adopt a budget, expanding the application of the Code of Ethics, utilizing gender neutral language No throughout the Charter, changing references to the "Clerk of Council" to "City Clerk" and making other minor updates? Section 6. The text of the Charter amendments to be submitted to the voters is attached to this Resolution as Exhibit "A" and incorporated herein by this reference. Section 7. Should said measure be approved by the requisite vote of a majority of the qualified voters, in addition to the changes in Section 6 above, to modernize the language, (a) all references in the Santa Ana City Charter to he/his/him or his/her would be replaced with they/them/their; and (b) all references in the City Charter to the "Clerk of Council" would be changed to "City Clerk." Section 8. If the ballot measure receives a majority of the votes cast on it at the election, the Charter amendments shall be enacted accordingly. Section 9. That pursuant to Elections Code Section 9280, the City Council hereby directs the Clerk of Council to transmit a copy of the Ballot Measure to the City Attorney to prepare an impartial analysis of the Ballot Measure which shall not exceed 500 words in length. Section 10. That pursuant to Elections Code Section 9282, the City Council, or a member or members of the City Council authorized by the City Council, or an individual voter who is eligible to vote on the measure, or bona fide association of citizens or combination of voters and associations, may file a written argument for or against the Ballot Measure in accordance with Article 4, Chapter 3, Division 9 of the Elections Code. An argument shall not exceed 300 words in length. Resolution No. 2022-XXX City Council 18 — 8 / / f 5 Section 11. That pursuant to Elections Code Section 9287, if more than one argument for or more than one argument against the Ballot Measure is submitted to the Clerk of Council within the time prescribed by law, he or she shall select one of the arguments in favor and one of the arguments against the Ballot Measure for printing and distribution to the voters, giving preference in such selection in the following order: 1. The City Council, or a member or members of the City Council authorized by the City Council. 2. The individual voter, or bona fide association of citizens, or combination of voters and associations, who are the bona fide sponsors or proponents of the measure. 3. Bona fide association of citizens. 4. Individual voters who are eligible to vote on the measure. Section 12. That pursuant to Elections Code Sections 9220 and 9285, when the Clerk of Council has selected the arguments for and against the Ballot Measure which will be printed and distributed to the voters, the Clerk of Council shall send copies of the argument in favor of the Ballot Measure to the author or authors of the argument against, and copies of the argument against the Ballot Measure to the author or authors of the argument in favor. The author or authors may submit a rebuttal argument to the direct argument not exceeding 250 words. Rebuttal arguments shall be printed in the same manner as the direct arguments and shall immediately follow the direct argument, which it seeks to rebut. All previous resolutions providing for the filing of rebuttal arguments for City measures are repealed, and this Section shall only apply to the election on the Ballot Measure to be held on November 8, 2022. Section 13. In accordance with California Elections Code Section 10002, the City Council requests the Orange County Board of Supervisors to permit the county elections official to render specified services to the City relating to the conduct of an election, for which the City shall reimburse the County in full for the services performed upon presentation of a bill to the City. The Board of Supervisors is also requested to consent and agree to the consolidation of the City's general election with any other election occurring on November 8, 2022, and the City hereby consents to any such consolidation. Section 14. The services requested by the City of the county elections official, or such other official as may be appropriate and authorized to perform, include: the preparation, printing, and mailing of sample ballots and polling place cards; the establishment or appointment of precincts, polling places, and elections officers; opening and closing of polling places, and making such publications as are required by law in connection therewith; the furnishing of ballots, voting booths, and other necessary supplies or materials for polling places; the canvassing of the returns of the election and Resolution No. 2022-XXX Pa i y ouncil 18 — 9 8/2/2022 the furnishing of the results of such canvassing to the Clerk of the Council; and the performance of such other election services as may be requested by the City. Section 15. All persons qualified to vote at municipal elections in the City on the day of election herein provided shall be qualified to vote on the ballot measure hereby submitted at the general municipal election. Section 16. In all particulars not recited in the Resolution, the election shall be held and conducted as provided by law for holding general municipal elections in the City. Section 17. Notice of the time and place of holding the general municipal election is given, and the Clerk of the Council is authorized, instructed, and directed to give further or additional notice of the election in the time, form, and manner as required by law. Section 18. The Clerk of the Council shall receive the canvass as it pertains to the general municipal election and shall certify the results to the City Council, as required by law. Section 19. Pursuant to California Elections Code Section 9295, this Resolution and the attached ballot measure will be available for public examination for no fewer than ten (10) calendar days prior to being submitted for printing in the sample ballot. The examination period will end on the day that is seventy-five (75) days prior to the date set for the election. Section 20. If any section, subsection, sentence, clause, phrase or provision of this Resolution or the application thereof to any person or circumstances is held invalid or unconstitutional by any court of competent jurisdiction, such invalidity or unconstitutionality shall not affect the validity of any other provision or applications, and to this end the provisions of this Resolution are declared to be severable. The City Council hereby declares that it would have passed this Resolution and each section, subsection, sentence, clause, phrase or provision thereof, irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases or provisions thereof be declared invalid or unconstitutional. Section 21. This Resolution shall take effect immediately upon its adoption by a majority of the City Council. Resolution No. 2022-XXX FQ City Council 18 — 10 / / 22 f 5 Section 22. The Clerk of Council is hereby directed to certify to the passage and adoption of this Resolution and to file a certified copy of this Resolution with the Orange County Board of Supervisors and the Registrar of Voters of Orange County at least eighty- eight (88) days before the date of the election. ADOPTED this day of , 2022: Vicente Sarmiento Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By:'T aun/Ua_ N. Q-"� Laura A. Rossini Chief Assistant City Attorney AYES: NOES: Councilmembers Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, , Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2022 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on , 2022. Date: Clerk of the Council City of Santa Ana Resolution No. 2022-XXX Pa i y ouncil 18 — 11 8/2/2022 Proposed Charter amendments: additions are underlined and deleted language is stricken. Sec. 400. - Number, selection and terms of members. The City Council shall consist of seven (7) members elected at the times and in the manner provided in this charter, each of whom, except for the mayor, shall serve a term of four (4) years. The term of each member shall begin at 6:00 p.m. on the first regularly scheduled meeting or at a special meeting conond Tuesday of DeGernhor following certification of election results, and each shall serve except as otherwise provided for in this charter, until the member's his or herr successor is elected and qualified. Each office of councilmember shall be a separate office and, except for the mayor, one (1) of such offices shall be assigned to each of the wards of the City. Councilmembers shall be residents of their respective wards, and nominated and elected only by the voters of their respective wards. The Mayor shall be elected from the City at large. City Council 18 — 12 8/2/2022 Sec. 401. Qualifications of members. To be eligible to be elected to the office of councilmember, a person must be a qualified voter and a thirty (30) day resident of the ward from which the candidate is nominated at the time nomination papers are issued as provided for in the Elections Code of the State of California, except that the mayor need only be a registered voter and thirty (30) day resident of the city at such time. In the event any councilmember other than the mayor shall cease to be a resident of the ward from which the councilmember (or, in the case of an appointee, the councilmember's predecessor) was elected, or in the event the mayor shall cease to be a resident of the city, the office shall immediately become vacant and shall be filled in the same manner as herein provided for other vacancies; provided, that where a councilmember ceases to be a resident of the ward from which the councilmember (or, in case of an appointee, the councilmember's predecessor) was elected solely because of a change in boundaries of any ward as in this charter provided, the councilmember shall not lose the office by reason of such change. If a member of the city council shall be convicted of a crime involving moral turpitude, the office shall immediately become vacant and be so declared by the city council. A peFso who has served t ee (3) eensornt4iye terms of four (4) years eael, shall be eligible for- ointment, nomination f6F of eleetion o the offrne period) no sooner- than f6f a teFm beginning eight (8) years aftet: eompletion of th EAtmeilmember-'s thifd eenseetitive fAAtefr. Choft or paftinl terms shall not be eonsider-e in dete rmin ing eligibility for appoint ination or- 7 For- purposes of this 7 tefms shall only be these where the eouneilmembet: was elected or- appointed to r-epl ee another nauneilmember- who 1A office before the latter offlnial's term expired. Any eatineilmembet: who assumed office at the beginning of a term an 1�ee early for- a fyases1 whatsoever - shall Nall be deemed to sel=Ve n full temI ' provided, GTL 7 appointment, nomination or- eleetion a no sooner- than fef a teFm beginning eight (8) years - pin f a �. p� or-, aftef eomple f th eouneil member- or mayofnl tefm,-o -V iVV-�VL JCL gPhe �vis of this seetio r. minted to shoft or nrtinl terms is . -loomed to l,,v rlonlnrnt�rcof existing law. City Council 18 — 13 8/2/2022 Sec. 401.01, Term limits. (NEW SECTION) A. Councilmembers A person shall only serve three (3) terms of four (4) years each in the office of councilmember (regardless of wards represented by that person during such period and regardless of whether service is consecutive or nonconsecutive). This term limit of a total of twelve (12) vears of service shall be deemed to apply to anyone elected in or after the 2012 general municipal election. Short or partial terms shall not be considered in determining eligibility for appointment, nomination or election. For purposes of this Charter, short or partial terms shall only be those where the councilmember was elected or appointed to replace another councilmember who left office before the latter official's term expired. Any councilmember who assumed office at the beginning of a term and left office early for any reason whatsoever shall be deemed to have served a full term. The provisions of this section related to short or partial terms is deemed to be declaratory of existing law. B. Mayor A person shall only serve four (4) terms of two (2) years each (regardless of whether service is consecutive or nonconsecutive). This term limit of a total of eight (8) years of service shall be deemed to apply to anyone elected in or after the 2012 general municipal election. Short or partial terms shall not be considered in determining eligibility for appointment nomination or election as mayor. For purposes of this Charter, short or partial terms shall only be those where the mayor was elected or appointed to replace another mayor who left office before the latter official's term expired. Any mayor who assumed office at the beginning of a term and left office early or before the term expires for any reason whatsoever shall be deemed to have served a full term. The provisions of this section related to short or partial terms is deemed to be declaratory of existing law. C. Application of prior "cooling off period" Anyone who previously termed out of office and was subject to the former "cooling off period" shall be deemed ineligible to seek election as a councilmember or mayor. City Council 18 — 14 8/2/2022 Sec. 401.05. - Code of ethics and conduct. The City of Santa Ana shall adopt a Code of Ethics and Conduct for elected officials, the City Attorney, the City Manager, the Clerk of Council, the Police Chief, directors of all City departments, and members of appointed boards, commissions, and committees to assure public confidence in the integrity of local government elected and appointed officials. The City Council shall periodicaly review a4w the Code of Ethics and Conduct and make any amendments by ordinance or resolution within six months of the effeGtiye date of this Charter seGtion Any person alleging a violation of the Code of Ethics and Conduct by the Police Chief or department director shall provide a written document to the City Manager with their name and contact information and a brief description of the alleged violation. The City Manaaer shall review and resaond to the complaint in writina and retort to the Citv Council every thirty (30) days of the status of the review. Any person alleging a violation of the Code of Ethics and Conduct by any member of the City Council, the City Manger, the City Attorney, the Clerk of Council, or members of appointed boards, commissions, and committees shall provide a written document to all members of the City Council with their name and contact information and a brief description of the alleged violation. The City Council shall refer the complaint to an ad hoc committee of the Council for review. The Council ad hoc committee may then make a recommendation to the full City Council for futher review, investigation or action. When a review or investigation is completed, the City Council may impose sanctions which may include, a reprimand, formal censure or loss of committee assignments or in the case of members of boards, commissions or committees, removal from the board, commission, or committee. A complaint concerning an alleged violation by one of the Council's appointed employees shall be handled as a personnel matter. City Council 18 — 15 8/2/2022 Sec. 404. Presiding officer, mayor. The mayor shall be a member of the City Council and shall preside over the meetings of the City Council. The mayor shall have voice and vote in all of the City Council's proceedings and shall be recognized as head of the City government for all ceremonial purposes. The mayor shall have no administrative duties but shall perform such other duties as may be prescribed by this charter, or imposed by the City Council, consistent with his office. The mayor shall be elected by the voters of the City at large at each general municipal election in November of even -numbered years for a two-year term commencing on the same date as the terms of other council members elected in such year. No person may be a candidate for mayor and a candidate for any other office on the City Council in the same election. In the event an incumbent City Council member other than the mayor is elected mayor such other office shall become vacant at the time he or she assumes office as mayor and the City Council shall call a special election to fill the vacancy. To be eligible to be elected to the office of mayor a person must be a qualified voter as provided for in the Elections Code of the State of California. If the mayor is convicted of a crime involving moral turpitude, the office shall immediately become vacant and be so declared by the city council. A pefson who has served four (4) eonseeu4ive terms of two (2) years eael+, be eligible for- appoin4ment, nomination foi: at: eleetion to the offiee of mayor- He sooner- than for- a teFm beginning eight (9) years aftef eompletion of the mayor-'F, foufth eonseetitive fit!! teFm. This eight yea-F "000ling off'per-iod shall not apply to eligibility for- appointment, nomination �qf oF eleetion to a eouneil member- offie-e-, they sen,ed, shall not be eligible for- appointment, nomination oF eleetion as a eouneil membeF or- as mayor-, no soonef than for- a teFm beginning eight (8) years Short or pai4ia terms steal not be consideredin deterfn n1ng eligibility fi r or- pai4ial tefms shall only be those whefe the mayer- was eleeted or- appointed to W ho assumed offiee at the beginning of a ter-Ri and left offiee ea -Ay or- be The nrO1'i.si :B.s Of this section related to short or pai4ia tefms is deemed deelar- tofy of existing law. City Council 18 — 16 8/2/2022 Sec. 405. - Mayor pro tem. Each calendar year, at the in the first meeting in January, speeial eleetion at ..., ieh mom,.o s f the City Couneil afe eleeted; the City Council shall elect a mayor pro tem who shall act as mayor during the absence from the City or disability of the mayor, or during any vacancy in the office of mayor until otherwise filled in accordance with section 403. All members of the City Council, other than the mayor, shall be eligible to serve as mayor pro tem regardless of their seniority or whether they previously served a term or terms as mayor pro tem. The mayor pro tem from the previous vear cannot be selected as mavor pro tem the next vear. The mavor pro tem shall serve at the will and pleasure of the Council and be replaced by four affirmative votes of the Council. City Council 18 — 17 8/2/2022 Sec. 406. - Council judge of elections and qualifications of members. The City Council shall be the judge of the election and qualifications of its memberfs) as defined in section 401 of this charter and shall meet on the first regularly scheduled meeting or at a special meeting after election returns are certified for any municipal election at which members of the City Council are elected, declare the results thereof, and install elected members, if any. City Council 18 — 18 8/2/2022 Sec. 413. - Adoption (resolutions and ordinances). Every ordinance shall be introduced in writing. A copy of each ordinance and written resolution shall be available in the council's chambers for public inspection during any council meeting at which the same is to be passed or adopted. No ordinance shall be passed finally on the day it is introduced, except for emergency ordinances as hereinafter defined in Section 415, nor within six (6) days thereafter, nor at any time other than at a regular or adjourned regular meeting. A proposed ordinance may not be amended or modified between the time of its first reading introduetion and the time of its second reading final except for clerical errors or corrections as discussed by the Council ,.,.,,viding its general seepe original *,,i . The rights and powers conferred on the City Council shall be exercised by ordinance, resolution or motion as may be prescribed by the Constitution or Laws of the State of California, and the provisions of this Charter; provided, that each act of the City Council establishing a fine or other penalty or granting a franchise shall be by ordinance. No order for the payment of money shall be adopted or made at any other than a regular or adjourned regular meeting, except when a state of emergency has been declared or at an emergency meeting properly convened. All ordinances and written resolutions shall be signed by the mayor and attested by the Clerk of the Council as soon as possible, but no later than 72 hours from its adoption by the Council If the mayor is not available or does not sign an ordinance or resolution, the Clerk of Councill shall first ask the mayor pro tem to sign and then any Councilmember who voted to approve the ordinance or resolution. City Council 18 — 19 8/2/2022 Sec. 607. Same —Further consideration and adoption. After the conclusion of the public hearing, the City Council may further consider the proposed budget and make any revisions thereof that it may deem advisable. On or before the thirty-first (31 st) day of July the City Council shall adopt the budget with revisions, if any, by the affirmative votes of at least two- thirds a major -it of its members. Upon final adoption, the budget shall be in effect for the ensuing fiscal year. Between the first (1st) day of July and any subsequent date on which the budget, is adopted the several offices, departments and divisions shall be authorized to expend, each calendar month subject to the controls established in other sections of this charter, amounts of money equal to the expenditures of each such office, department or division during the preceding June. The budget adopted by the City Council shall provide for the support of public recreation programs at least the equivalent of six cents (6) on each one hundred dollars ($100) of the assessed value of taxable property in the City on the legal assessment date for the previous fiscal year. A copy of the adopted budget, certified to by the Clerk of the Council, shall be filed with the director of finance and a further copy shall be placed, and shall remain on file, in the office of the Clerk of the Council where it shall be available for inspection. The budget so certified shall be reproduced and copies made available for the use of all officers, offices, departments, and other agencies of the City and for the use of civic organizations. City Council 18 — 20 8/2/2022 Sec. 613. - Claims —Formalities; treasury payment its. Any claim against the City shall be in writing and may be in the form of a bill, invoice, payroll, or formal demand. The director of finance, with approval of the City Manager, may prescribe the format fermi en in which claims against the City shall be presented. to him. Each such claim shall be presented to the & to finance department. The director of finance shall prescribe internal controls for examination and audit of each claim, who shall examine and a . If the claim is correct in all respects, has not previously been paid nor certified for payment, is provided for by an appropriation or legally enforceable court or administrative order for the purpose or object that gave rise to it, and if sufficient funds for the payment thereof remain unencumbered in such appropriation if applicable, and if the claim is otherwise legally due and payable, the director of finance shall SG Gertif , ^n the ^ al form evil^ ^; ^ the Glaim aPA shall authorize payment from draw his warrant on the treasury, and against the proper fund, for the payment thereof. All claims certified for payment by the director of finance, and payments warrants drawn by the finance director him for the payment thereof, shall be transmitted by the finance director 4i=m to the City Manager together with a list of such payments waFFaRtS payable from each fund, showing for each payment,waarFant the number, date, and amount of the payment warran and the name of the payee. The City Manager may approve or disallow any of the claims so certified for payment. Any person dissatisfied with the refusal of the director of finance and/or the City Manager to approve any claim, in whole or in part, may present such claim to the City Council. The City Council, after examination into the matter, may approve or disapprove the claim in whole or in part, and, if properly payable under an existing appropriation, may order the director of finance to make payment of the claim or portion thereof draw his warrant ^n the treasury ;n paymeRt th^reef. For any such claim for which no provision, by way of appropriation, exists, but which is approved for payment by the City Council, appropriation by the City Council shall be made therefor before the director of finance is ordered to make payment draw his warrant ;n paym8Rt thereof. Payment due` VarrantS on the City treasury which are not paid for lack of funds shall be registered. All registered payments waFFaRts shall be paid in the order of their registration when funds therefor are available and shall bear interest from date of registration at such rate as shall be fixed by the City Council by resolution. City Council 18 — 21 8/2/2022 ARTICLE X. -CIVIL SERVICE Sec. 1000. - Civil service system. A civil service system shall be as follows in addition to necessary rules of implementation to be established by ordinance: and as may be recommended by the personnel board: (a) That the most qualified and competent employees shall be appointed and promoted, based upon fair and equitable competition for the positions to ensure the highest quality City government. (b) That no political or other outside influences shall affect appointments or promotions. (c) That there shall be equal opportunity for all persons regardless of membership in a protected class as specified in state or federal law. F^'i^ion eed aFital status ph handiGap, or national arigin. (d) That there is equitable treatment of all civil service employees in matters of discipline, layoff or dismissal from the City service. The system should be established in such a manner to ensure the accomplishment of the foregoing standards in appointments, promotions, discipline, layoffs or dismissals of civil service employees. The civil service rules and regulations shall provide for such matters as the City Council and the personnel board, with the concurrence of the City Council, may deem necessary, proper or expedient to carry out the intent and purpose of the civil service provisions of this charter. These rules and regulations shall provide: (a) Preference for veterans for appointment to civil service positions consistent with the principle of merit. (b) Vacancies in positions of the higher classes in the civil service of the City shall be filled with preference to employees occupying positions of lower classes having duties and responsibilities which can reasonably be considered as affording training and experience for the performance of the duties of the higher class. (c) That persons achieving eligibility for a position in the civil service shall retain that eligible status for a time sufficient to offer an opportunity to be appointed to a position in the civil service. (d) That the right to exercise disciplinary and dismissal powers is vested respectively in the officers of the City who have the power of appointment as to any position in the personnel system. Actions relating to suspension, demotion or dismissal for reasonable and sufficient cause may be taken by the officer having the power of appointment to the position. City Council 18 — 22 8/2/2022 Sec. 1002. - Civil service and excepted service. The civil service system of the City shall cover all employees of the City not excepted by this section. (a) The excepted service shall comprise the following offices and positions: (1) The individual offices held by all elective officers; (2) The City Manager and the City Manager's his assistants, if any; (3) The City Attorney and the City Attorney's lais legal assistants, if any; (4) The Clerk of the Council; (6) The diresior^ofpersen�, of aaT (57) The head of each department of the City as specified by ordinance or resolution-44et otherwise speGified hereon and the ^h'^f arlmonostratmvp offmcpr of the communot redevelopment agenGy Of the Gity ef Santa Ana, and of the housing authority of the City of Santa Ana, but not including the police chief or the fire chief; (fig) One private secretary to the City Manager; Q9) All members of boards and commissions; @41-0) Positions occupied by persons employed to render professional, scientific, technical, or expert service of an occasional and exceptional nature; (944) Positions in any class or grade created for a special or temporary purpose. iGh e teexist fer ^ peFied Of ..et !E)Rger than a Ret y (90) days-• 2) Positions of any Glass or grade exempted from the covol spndnp for a maximum of six (6) months in any Galendar year provided that the personnel board upon appliGation of the city 2i3) ef its members. Any SUGh exemption shall not afferl the tanurp ef any person whG&e appeiRtmeRt has he^eme final ,...ter GiVil (103) Part-time positions or employments; requiring less than twenty (20) regular hours of m nle..ment n week; (115) All positions occupied by persons employed to replace employees ordered to active duty, enlisted, or drafted for military service during a national emergency or when this country has declared war and until the expiration of the time when such replaced employee could demand his former position of employment under federal or state statutes. (b) The civil service shall comprise all positions not specifically included by this section in the excepted service. (c) In the event an officer or employee of the City holding a position in the civil service is appointed to a position in the excepted service and should subsequently be removed therefrom within twelve (12) months of the employee's appointment to the excepted service, the employee shall revert to the employee's his former position in the civil service without loss of any rights or privileges and upon the same terms and conditions as if the employee had remained in said position continuously. City Council 18 — 23 8/2/2022 Sec. 1010. - Prohibitions. (a) No officer or employee of the City shall in any way favor or discriminate against any employee of the City or any applicant for employment with the City because of the employee's his or her race,age— Golor, religion, sex or national ori . Membership in a protected class under state or federal law. (b) No officer or employee of the City shall engage in any political activities in violation of Chapter 9.5 of Division 4 of Title 1 of the California Government Code (commencing with Section 3201) as the same exists on the date of adoption of this section or as the same may be thereafter amended, or in violation of any other provisions of applicable law. (c) No officer or employee of the City and no candidate for any City office shall, directly or indirectly, solicit any assessment, subscription, or contribution, whether voluntary or involuntary, for any political candidate, for Santa Ana municipal office from anyone on an eligible list, or, with the exception of elective officers and members of appointive boards and commissions, anyone holding a position in the service of the City. (d) No person shall willfully or through culpable negligence make any false statement, certificate, mark, rating, or report in regard to any application, test certification, or appointment held or made under the provisions of this article or in any manner commit or attempt any fraud preventing the impartial execution of such provisions of this article or of the rules and regulations made hereunder. (e) No officer or employee shall use nepotism in contracting, hiring, promotion, discipline or any other employment decision. The City Council shall adopt an anti -nepotism policy. City Council 18 — 24 8/2/2022 Sec. 1011. - Contract for performance of administrative functions. The City Council, upon recommendation of the City Manager, may contract with the governing body of any other City or of any county within this state, or with any state department or other state agency for the preparing or conducting of competitive examinations for positions in the service of the City or for the performance of any other human resources personnel administration service. City Council 18 — 25 8/2/2022 Sec. 1014. = Reserved. WGFI( stappages. City Council 18 — 26 8/2/2022 Sec. 1208. - Enforcement. -(a) Any person who knowingly or willfully violates sections 1206. or 1207 of this charter is guilty of a misdemeanor. (b) Any resident of the City may bring an action, at a time during an election period or thereafter, in a court of competent jurisdiction to enjoin actual or threatened violations of, or to compel compliance with, or to obtain a judicial declaration regarding compliance with, section 1206 or 1207. (c) The City Attorney may maintain, in the name of the City, or a resident of the City may maintain, in his or her own name, a civil action to recover from a candidate or a committee controlled by a candidate any contributions received by such candidate or committee in excess of the contribution limitations established by section 1206. Any money recovered in any such action shall be deposited in the City's general fund. (d) The City may contract with a State or County entity to enforce the provisions of this section. City Council 18 — 27 8/2/2022 Sec. 1400. - Employees' retirement system. (a) Duty to provide retirement system. Except as hereinafter otherwise provided, the council shall provide, by ordinance or ordinances, for the creation, establishment and maintenance of a retirement plan or plans for all officers and employees of the City. Such plan or plans need not be the same for all officers and employees. Subject to other provisions of this article, the council may at any time, or from time to time, amend or otherwise change any retirement plan or plans or adopt or establish a new or different plan or plans for all or any officers or employees. (b) Authority to join other systems. Subject to other provisions of this article, the City, by and through its council, is hereby empowered, but not required, to join or continue as a contracting agency in any retirement or pension system or systems existing or hereafter created under the laws of the State of California or of the United States of America to which municipalities and municipal officers or employees are eligible for membership. (c) Continuance of existing retirement system. Until otherwise provided by ordinance, the City shall continue to participate in the Public Employees' Retirement System of the State of California, as the same now exists or may hereafter be amended. The City Council may not terminate any such contract with the Public Employees' Retirement System of the State of California, and may not amend any such contract in a manner which would decrease or eliminate any benefit accruing to persons employed by the City at the time of such contract termination or amendment, unless such amendment shall substitute a retirement system or systems providing equal or greater benefits for said persons. (d) Exclusions. The council in its discretion may exclude all or any of the following persons from any or all retirement plans, to wit: Persons mentioned in subsections (a)(1). (Q-(10)(b) of Charter Section 1002. f(a)Y'�`, Persons in City service primarily for training, study or educational purposes; Persons employed or paid on a part-time, per diem, per hour or any basis other than a monthly basis. City Council 18 — 28 8/2/2022